The Ontario Securities Commission OSC Bulletin October 12, 2017 Volume 40, Issue 41 (2017), 40 OSCB...
Transcript of The Ontario Securities Commission OSC Bulletin October 12, 2017 Volume 40, Issue 41 (2017), 40 OSCB...
The Ontario Securities Commission
OSC Bulletin
October 12, 2017
Volume 40, Issue 41
(2017), 40 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 Thomson Reuters 22nd Floor, 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 TTY: 1-866-827-1295 Office of the Secretary: Fax: 416-593-2318
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October 12, 2017
(2017), 40 OSCB
Table of Contents
Chapter 1 Notices / News Releases ...................... 8227 1.1 Notices .......................................................... 8227 1.1.1 OSC Staff Notice 11-739 (Revised) – Policy Reformulation Table of Concordance and List of New Instruments .................................. 8227 1.2 Notices of Hearing ......................................... (nil) 1.3 Notices of Hearing with Related Statements of Allegations ............................ (nil) 1.4 News Releases .............................................. (nil) 1.5 Notices from the Office of the Secretary ............................................ 8229 1.5.1 Khalid Walid Jawhari ...................................... 8229 1.6 Notices from the Office of the Secretary with Related Statements of Allegations ............................ (nil) Chapter 2 Decisions, Orders and Rulings ............ 8231 2.1 Decisions ...................................................... 8231 2.1.1 VM Holding S.A. ............................................ 8231 2.1.2 Taiga Building Products Ltd. ........................... 8235 2.1.3 Samco Gold Limited ....................................... 8238 2.2 Orders............................................................ 8243 2.2.1 Sandvine Corporation ..................................... 8243 2.2.2 National Bank of Canada and Canadian Imperial Bank of Commerce – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids ......... 8244 2.2.3 The Toronto-Dominion Bank and The Bank of Nova Scotia – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids ..................... 8250 2.2.4 The Toronto-Dominion Bank and BMO Nesbitt Burns Inc. – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids ..................... 8256 2.2.5 Avnel Gold Mining Limited ............................. 8262 2.2.6 Asiamet Resources Limited ............................ 8263 2.2.7 Sandvine Corporation – s. 1(6) of the OBCA .................................... 8266 2.3 Orders with Related Settlement Agreements .................................................... (nil) 2.4 Rulings ........................................................... (nil) Chapter 3 Reasons: Decisions, Orders and Rulings .................................................... (nil) 3.1 OSC Decisions ............................................... (nil) 3.2 Director’s Decisions ...................................... (nil) 3.3 Court Decisions ............................................. (nil) Chapter 4 Cease Trading Orders ........................... 8267 4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders ......................... 8267 4.2.1 Temporary, Permanent & Rescinding Management Cease Trading Orders .............. 8267 4.2.2 Outstanding Management & Insider Cease Trading Orders .................................... 8267
Chapter 5 Rules and Policies .................................. (nil) Chapter 6 Request for Comments ........................ 8269 6.1.1 Proposed Amendments to National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives and Proposed Changes to Companion Policy 94-101 Mandatory Central Counterparty Clearing of Derivatives ................................... 8269 Chapter 7 Insider Reporting .................................. 8297 Chapter 9 Legislation ............................................... (nil) Chapter 11 IPOs, New Issues and Secondary Financings ............................................. 8419 Chapter 12 Registrations ......................................... 8429 12.1.1 Registrants ..................................................... 8429 Chapter 13 SROs, Marketplaces,
Clearing Agencies and Trade Repositories ............................... 8431
13.1 SROs ............................................................... (nil) 13.2 Marketplaces ................................................ 8431 13.2.1 Nasdaq CXC Limited and Ensoleillement Inc. – Application for Recognition as Exchanges – Notice and Request for Comment .............. 8431 13.2.2 TSX – Housekeeping Amendments to Form 5 – Dividend/Distribution Declaration – Notice of Housekeeping Rule Amendments to the TSX Company Manual ... 8474 13.3 Clearing Agencies ....................................... 8476 13.3.1 The Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc. – Application to Vary the Recognition Order – Request for Comment ... 8476 13.4 Trade Repositories ........................................ (nil) Chapter 25 Other Information ................................... (nil) Index ............................................................................ 8479
October 12, 2017
(2017), 40 OSCB 8227
Chapter 1
Notices / News Releases 1.1 Notices 1.1.1 OSC Staff Notice 11-739 (Revised) – Policy Reformulation Table of Concordance and List of New Instruments
OSC STAFF NOTICE 11-739 (REVISED)
POLICY REFORMULATION TABLE OF CONCORDANCE AND LIST OF NEW INSTRUMENTS
The following revisions have been made to the Table of Concordance and List of New Instruments. A full version of the Table of Concordance and List of New Instruments as of September 30, 2017 has been posted to the OSC Website at www.osc.gov.on.ca.
Table of Concordance
Item Key
The third digit of each instrument represents the following: 1-National/Multilateral Instrument; 2-National/Multilateral Policy; 3-CSA Notice; 4-CSA Concept Release; 5-Local Rule; 6-Local Policy; 7-Local Notice; 8-Implementing Instrument; 9-Miscellaneous
Reformulation
Instrument Title Status
None
New Instruments
Instrument Title Status
23-318 Withdrawal of Proposed Amendments Regarding Best Execution Disclosure under National Instrument 23-101 Trading Rules
Published July 6, 2017
94-101 National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives – Amendments
Commission approval published July 6, 2017
25-101 Designated Rating Organizations – Amendments Published for comment July 6, 2017
21-101 Marketplace Operation – Amendments Published for comment July 6, 2017
31-103 Registration Requirements – Amendments Published for comment July 6, 2017
33-109 Registration Information – Amendments Published for comment July 6, 2017
41-101 General Prospectus Requirements – Amendments Published for comment July 6, 2017
44-101 Short Form Prospectus Distributions – Amendments Published for comment July 6, 2017
44-102 Shelf Distributions – Amendments Published for comment July 6, 2017
45-106 Prospectus Exemptions – Amendments Published for comment July 6, 2017
51-102 Continuous Disclosure Obligations – Amendments Published for comment July 6, 2017
81-102 Investment Funds – Amendments Published for comment July 6, 2017
81-106 Investment Fund Continuous Disclosure – Amendments Published for comment July 6, 2017
Notices / News Releases
October 12, 2017
(2017), 40 OSCB 8228
New Instruments
Instrument Title Status
33-506 (Commodity Futures Act) Registration Information – Amendments
Published for comment July 6, 2017
24-101 Institutional Trade Matching and Settlement – Amendments Ministerial approval published July 13, 2017
33-748 Compliance and Registrant Regulation – Annual Summary Report for Dealers, Advisers and Investment Fund Managers
Published July 13, 2017
31-349 Change to Standard Form Reports for Close Supervision and Strict Supervision Terms and Conditions
Published July 13, 2017
33-320 The Requirement for True and Complete Applications for Registration
Published July 13, 2017
11-739 Policy Reformulation Table of Concordance and List of New Instruments (Revised)
Published July 13, 2017
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations – Amendments
Commission approval published July 27, 2017
33-109 Registration Information – Amendments Commission approval published July 27, 2017
33-506 (Commodity Futures Act) Registration Information – Amendments
Commission approval published July 27, 2017
61-302 Staff Review and Commentary on Multilateral Instrument 61-101 Protection of Minority Security Holders in Special Transactions
Published July 27, 2017
51-351 Continuous Disclosure Review Program Activities for the fiscal year ended March 31, 2017
Published July 27, 2017
46-307 Cryptocurrency Offerings Published August 24, 2017
81-102 Investment Funds – Amendments Commission approval published August 31, 2017
51-728 Corporate Finance Branch 2016-2017 Annual Report Published September 21, 2017
91-102 Prohibition of Binary Options Commission approval published October 6, 2017
For further information, contact: Darlene Watson Project Specialist Ontario Securities Commission 416-593-8148 October 12, 2017
Notices / News Releases
October 12, 2017
(2017), 40 OSCB 8229
1.5 Notices from the Office of the Secretary 1.5.1 Khalid Walid Jawhari
FOR IMMEDIATE RELEASE October 5, 2017
IN THE MATTER OF
KHALID WALID JAWHARI TORONTO – Take notice that the Commission will hold a hearing on October 10, 2017 at 9:30 a.m. at the offices of the Ontario Securities Commission located at 20 Queen Street West, 17th Floor, Toronto, for an appearance in the above named matter. A copy of the Order dated September 26, 2017 is available at www.osc.gov.on.ca. OFFICE OF THE SECRETARY GRACE KNAKOWSKI SECRETARY TO THE COMMISSION For media inquiries: [email protected] For investor inquiries: OSC Contact Centre 416-593-8314 1-877-785-1555 (Toll Free)
Notices / News Releases
October 12, 2017
(2017), 40 OSCB 8230
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Chapter 2
Decisions, Orders and Rulings 2.1 Decisions 2.1.1 VM Holding S.A. Headnote National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – National Instrument 43-101 – Applicant granted relief from the requirements of Section 2.2 of NI 43-101 to permit the Filer to include disclosure of certain prior estimates in its initial public offering prospectus and its technical reports which prior estimates do not meet the definition of “historical estimate” as defined in Section 1.1 of NI 43-101. Applicable Legislative Provisions National Instrument 43-101 Standards of Disclosure for Mineral Projects, s. 2.2.
September 21, 2017
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 VM HOLDING S.A.
(the Filer)
DECISION
Background The principal regulator in the Jurisdiction has received an application from the Filer for a decision under the securities legislation of the Jurisdiction of the principal regulator (the Legislation) granting an exemption (the Exemption Sought) from the requirements of Section 2.2 of National Instrument 43-101 – Standards of Disclosure for Mineral Projects (“NI 43-101”) to permit the Filer to include disclosure of certain prior estimates in its prospectus and its technical reports which prior estimates do not meet the definition of “historical estimate” as defined in Section 1.1 of NI 43-101 as the Filer owned the relevant properties at the relevant time when the applicable prior estimates were prepared. 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 Instrument 11-102 – Passport System (MI 11-
102) is intended to be relied upon in British Columbia, Alberta, Saskatchewan, Manitoba, Quebec, New Brunswick, Newfoundland and Labrador, Nova Scotia, Prince Edward Island, Northwest Territories, Yukon and Nunavut.
Furthermore, the principal regulator in the Jurisdiction has received a request from the Filer for a decision that the application and this decision be kept confidential and not be made public until the earlier of: (i) the date on which the Filer publicly discloses the granting of the Exemption Sought; (ii) the date on which the Filer obtains a receipt for a preliminary long form prospectus
Decisions, Orders and Rulings
October 12, 2017
(2017), 40 OSCB 8232
relating to the proposed initial public offering of the Filer (the IPO); (iii) the date on which the Filer advises the principal regulator that there is no longer any need for the application and this decision to remain confidential; and (iv) the date that is 90 days after the date of this decision (the Confidentiality Sought). 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 is a public limited liability company (société anonyme) organized under the laws of Luxembourg. 2. The registered office of the Filer is located at 26 28 rue Edward Steichen, L 2540 Luxembourg, Grand Duchy of
Luxembourg. 3. The Filer is, and through its predecessor entities has been, a large scale, low cost integrated zinc producer with over
60 years of experience developing and operating mining assets in Latin America. Of relevance to this application are five mines that are owned and operated by the Filer, three located in the Central Andes of Peru and two located in the state of Minas Gerais in Brazil.
4. The Filer is, and through its predecessor entities has been for many years, a “producing issuer” for the purposes of NI
43-101. 5. The Filer is contemplating (i) a concurrent initial public offering of its common shares in the United States, and in each
of the Jurisdictions and (ii) a concurrent listing of its common shares on the New York Stock Exchange and the Toronto Stock Exchange.
6. Following its IPO, in the Jurisdictions the Filer will be a “SEC foreign issuer” as such term is defined in National
Instrument 71-102 Continuous Disclosure and Other Exemptions Relating to Foreign Private Issuers, and in the United States the Filer will be a “foreign private issuer” within the meaning of Rule 405 under the Securities Exchange Act of 1934, as amended, of the United States of America.
7. The Filer is not currently a reporting issuer in any of the Jurisdictions. 8. Among other mining and development properties, the Filer owns and operates the following (each a “Property” and
collectively the “Properties”): a. the Cerro Lindo mine, Chavin District, Chincha Province, Peru; b. the El Porvenir mine, Pasco, Peru; c. the Atacocha mine, Pasco, Peru; d. the Vazante mine, Minas Gerais State, Brazil; and e. the Morro Agudo mine, Minas Gerais State, Brazil.
9. Each of the Properties is either a primarily underground mining operation or includes underground mining operations. 10. As prescribed by applicable prospectus form requirements and NI 43-101, the Filer intends to include in its Prospectus
disclosure relating to each of the Properties, which will be supported by an independent technical report prepared in accordance with NI 43-101.
11. Mineral resource and ore reserve estimates (the “prior estimates”) for each of the Properties were prepared by staff of
the Filer using the confidence categories set out in the 2004 edition of the Australasian Code for Reporting of Exploration Results, Mineral Resources and Ore Reserves, Joint Ore Reserves Committee (JORC) Code. The Filer will not be treating such prior estimates as current estimates.
Decisions, Orders and Rulings
October 12, 2017
(2017), 40 OSCB 8233
12. In respect of the requirements under Section 2.2 of NI 43-101 relating to disclosure of information about a mineral resource or mineral reserve, Section 2.4 of NI 43-101 permits issuers to disclose a “historical estimate” using the original terminology provided the requirements of Subsections 2.4 (a) to (g) are satisfied.
13. Pursuant to Section 4.3 of NI 43-101, a technical report that is required to be filed under Part 4 of NI 43-101 must be
filed in accordance with Form 43-101F1 – Technical Report (“Form 43-101F1”). Item 6(c) of Form 43-101F1 requires disclosure of any significant historical mineral resource and mineral reserve estimates in accordance with Section 2.4 of NI 43-101. Item 24 of Form 43-101 requires disclosure of additional information necessary to make the technical report understandable and not misleading.
14. A “historical estimate” is defined in Section 1.1 of NI 43-101 as an “estimate of the quantity, grade, or metal or mineral
content of a deposit that an issuer has not verified as a current mineral resource or mineral reserve, and which was prepared before the issuer acquiring, or entering into an agreement to acquire, an interest in the property that contains the deposit”.
15. The prior estimates proposed to be disclosed by the Filer pertaining to Properties were not prepared prior to the Filer
“acquiring, or entering into an agreement to acquire, an interest in the properties” but rather were prepared in all cases when the Properties were owned by the Filer.
16. The prior estimates meet the definition of historical estimate in Section 1.1 of NI 43-101 but for the ownership by the
Issuer of the Properties at the time the historical estimates were prepared. Furthermore, the disclosure of the prior estimates will otherwise comply with the exemption under Section 2.4 of NI 43-101, as the prospectus and the technical reports will: a. identify the source and date of the prior estimate, including any existing technical report; b. comment on the relevance and reliability of the historical estimate; c. to the extent known, provide the key assumptions, parameters, and methods used to prepare the prior
estimate; d. state whether the prior estimate uses categories other than the ones set out in Sections 1.2 and 1.3 of NI 43-
101 and, if so, include an explanation of the differences; e. include any more recent estimates or data available to the Filer; f. comment on what work needs to be done to upgrade or verify the prior estimate as current mineral resources
or mineral reserves; and g. state with equal prominence that:
i. a qualified person has not done sufficient work to classify the prior estimate as current mineral resources or mineral reserves; and
ii. the Filer is not treating the prior estimate as current mineral resources or mineral reserves.
17. The Filer will include current estimates of mineral reserves and resources for the Properties in compliance with NI 43-
101. However, given the geological nature (i.e., narrow vein or tabular bodies of mineralization) of the Properties and the practical and economic limitations associated with surface and underground drilling, both of which result in meaningful limitations on the total amount of mineral reserves and mineral resources that can practically be defined by the Filer, the Filer submits that its current estimates of mineral reserves and resources as estimated under NI 43-101 represent incomplete disclosure without the benefit of the historical context provided by the prior estimates. In this regard, the Filer considers the prior estimates to be useful disclosure for investors for the purpose of illustrating the Filer’s past ability to replenish and in some cases grow mineral reserves and mineral resources depleted through normal course mining activities over time, which replenishment is consistent with the Filer’s understanding and the understanding of the independent authors of the technical reports, of the geological nature of the mineralization underlying the Properties.
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.
Decisions, Orders and Rulings
October 12, 2017
(2017), 40 OSCB 8234
The decision of the principal regulator under the Legislation is that the Exemption Sought is granted provided that disclosure relating to the prior estimates in the prospectus and the technical reports complies with Section 2.4 (a) through (g) of NI 43-101. Furthermore, the decision of the principal regulator is that the Confidentiality Sought is granted. “Jo-Anne Matear” Manager, Corporate Finance Branch Ontario Securities Commission
Decisions, Orders and Rulings
October 12, 2017
(2017), 40 OSCB 8235
2.1.2 Taiga Building Products Ltd. Headnote National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – Relief from prospectus requirements with respect to common shares issued pursuant to an offer to redeem notes in exchange for the common shares, subject to conditions – the exchange offer does not meet the definition of an issuer bid under the legislation and no exemption from the prospectus requirement is available; the issuer will treat the exchange offer as if it were an issuer bid and comply with the requirements under securities legislation applicable to issuer bids. Applicable Legislative Provisions Securities Act, R.S.O. 1990, c. S.5, as am., ss. 53 and 74(1).
September 22, 2017
IN THE MATTER OF THE SECURITIES LEGISLATION OF
BRITISH COLUMBIA AND ONTARIO (the Jurisdictions)
AND
IN THE MATTER OF THE PROCESS FOR EXEMPTIVE RELIEF APPLICATIONS
IN MULTIPLE JURISDICTIONS
AND
IN THE MATTER OF TAIGA BUILDING PRODUCTS LTD.
(the Filer)
DECISION
Background 1 The securities regulatory authority or regulator in each of the Jurisdictions (Decision Maker) has received an application
from the Filer for a decision under the securities legislation of the Jurisdictions (the Legislation) that: (a) the prospectus requirements under the Legislation (the Prospectus Requirements) do not apply to
distributions by the Filer of common shares (Common Shares) and/or new notes (New Notes) in connection with an exchange offer (the Exchange Offer) by the Filer to the holders of 14% subordinated unsecured notes of the Filer (the Existing Notes) to purchase the Existing Notes in exchange for Common Shares and/or New Notes (the Exemption Sought); and
(b) this decision and accompanying application (the Confidential Material) be kept confidential and not be made
public until the earlier of:
(i) the date that the Filer publicly announces the mailing of its management information circular in respect of a special meeting for the purposes of seeking the Minority Approval (as defined below),
(ii) the date that the Filer advises the Decision Maker that there is no longer any need for the
Confidential Material to remain confidential, and (iii) the date that is 90 days after the date of this order
(the Confidentiality Relief).
Under the Process for Exemptive Relief Applications in Multiple Jurisdictions (for a dual application):
(a) the British Columbia Securities Commission is the principal regulator for this application;
Decisions, Orders and Rulings
October 12, 2017
(2017), 40 OSCB 8236
(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 Alberta, Saskatchewan, Manitoba, Québec, Nova Scotia, New Brunswick, Prince Edward Island, Newfoundland and Labrador, Yukon Territory, Northwest Territories and Nunavut (each a Local Jurisdiction); and
(c) the decision is the decision of the principal regulator and evidences the decision of the securities regulatory
authority or regulator in Ontario. Interpretation 2 Terms defined in National Instrument 14-101 Definitions and MI 11-102 have the same meaning in this decision unless
they are otherwise defined in this decision. Representations 3 This decision is based on the following facts represented by the Filer:
1. the Filer is a company formed under the laws of British Columbia; the Filer’s head office is located at 4710
Kingsway, Burnaby, British Columbia, V5H 4M2; 2. the Filer is a reporting issuer in the Jurisdictions and each of the provinces of Canada, other than Québec,
and is not in default of any requirement of the securities legislation in any of these jurisdictions; 3. the Filer currently has 32,414,278 Common Shares and $128,834,218 aggregate principal amount of Existing
Notes outstanding; 4. the Common Shares and Existing Notes are listed and posted for trading through the facilities of the Toronto
Stock Exchange (the TSX) under the symbols “TBL” and “TBL.NT”, respectively; 5. the Existing Notes became redeemable at par commencing September 1, 2017; 6. in order to provide the Filer with increased financial flexibility, lower cost of capital and long-term stability to its
overall capital structure, the Filer wishes to commence the Exchange Offer for all of the Existing Notes under which a holder of Existing Notes would receive, in exchange for Existing Notes: (a) an equivalent principal amount of New Notes, (b) Common Shares at a share exchange price within the permitted range under TSX policies, or (c) a combination of New Notes and Common Shares;
7. the Exchange Offer will involve the potential issuance of securities to certain related parties of the Filer that
own Existing Notes and elect to participate in the Exchange Offer (the Interested Parties); the issuance of Common Shares to the Interested Parties in connection with the Exchange Offer would constitute a related party transaction under Multilateral Instrument 61-101 Protection of Minority Security Holders in Special Transactions (MI 61-101);
8. but for the fact that the Existing Notes are debt securities that are not convertible into securities other than
debt securities, the Exchange Offer would constitute an issuer bid under National Instrument 62-104 Take-Over Bids and Issuer Bids (NI 62-104);
9. notwithstanding that the Exchange Offer is not an issuer bid, the Filer intends to treat the Exchange Offer as if
it were an issuer bid; in particular, the Filer intends to comply with the requirements relating to issuer bids under NI 62-104, including, but not limited to, notice requirements, the delivery of a circular in accordance with the prescribed form of issuer bid circular to holders of Existing Notes and the provision of withdrawal rights;
10. participation in the Exchange Offer by holders of Existing Notes is optional and at the sole discretion of such
holders; holders of Existing Notes that elect not to participate in the Exchange Offer will continue to hold such Existing Notes, which will mature on the applicable maturity date, unless earlier redeemed, and continue to be entitled to all rights and privileges under the instrument governing their terms; holders of Existing Notes that elect to participate in the Exchange Offer will receive: (a) a cash payment representing accrued and unpaid interest (if any) to, but not including, the date of take up of the Existing Notes, and (b) consideration consisting of either New Notes, Common Shares or a combination thereof, as elected by such holder;
11. the Filer will not treat the Exchange Offer as an issuer bid exempt from the Legislation or the securities
legislation of a Local Jurisdiction, except to the extent that such exemption is evidenced by a decision document from the Decision Makers or a securities regulatory authority in a Local Jurisdiction, as applicable;
Decisions, Orders and Rulings
October 12, 2017
(2017), 40 OSCB 8237
12. section 2.16 of National Instrument 45-106 Prospectus Exemptions provides that the Prospectus Requirements do not apply in respect of a trade in a security in connection with an issuer bid; accordingly, if the Exchange Offer constituted an issuer bid, the New Notes and/or Common Shares that would be distributed in connection with the Exchange Offer would be exempt from the Prospectus Requirements; and
13. in accordance with MI 61-101, the Filer will seek minority shareholder approval (the Minority Approval) in
respect of the potential issuance of Common Shares to the Interested Parties in connection with the Exchange Offer, as such issuance will constitute a related party transaction and no exemption is available; such minority shareholder approval shall exclude votes cast by the Interested Parties to the extent they hold Common Shares at the meeting of shareholders convened for such purpose; the Filer will prepare and mail to its shareholders an information circular in respect of a special meeting for the purposes of seeking the Minority Approval that will comply with the disclosure requirements in MI 61-101 in respect of related party transactions.
Decision 4 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) the Filer treats the Exchange Offer as if it were an issuer bid and complies with the requirements of the Legislation applicable to issuer bids; and
(b) the first trade of any Common Shares or New Notes issuable in connection with the Exchange Offer
will be a distribution unless
(i) the Filer has filed on SEDAR a circular in accordance with the prescribed form of issuer bid circular relating to the Exchange Offer;
(ii) the trade is not a “control distribution” as defined in National Instrument 45-102 Resale of
Securities; and (iii) the Filer was a reporting issuer on the date the Existing Notes were first taken up under the
Exchange Offer.
It is also the decision of the Decision Makers that the Confidentiality Relief is granted. “John Hinze” Director, Corporate Finance British Columbia Securities Commission
Decisions, Orders and Rulings
October 12, 2017
(2017), 40 OSCB 8238
2.1.3 Samco Gold Limited Headnote Multilateral Instrument 61-101 Protection of Minority Security Holders in Special Transactions and National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – exemption from the requirement to call a shareholders’ meeting to consider a proposed related party transaction and to send an information circular to such shareholders – proposed transaction pursuant to which, among other things, a wholly-owned subsidiary will be transferred to a related party and persons acting jointly with the related party, and the shares of the issuer held by the related party and persons acting jointly with the related party will be acquired by the issuer for cancellation, constitutes a related party transaction subject to the minority approval requirement under MI 61-101 – issuer disclosed the details of the proposed related party transaction in a material change report and disclosure document filed on SEDAR, both of which contained the applicable information required by MI 61-101 – issuer has received comfort from disinterested shareholders holding a majority of the common shares of the issuer eligible to be counted in determining minority approval under Part 8 of MI 61-101 that they will provide signed written consents to the proposed related party transaction – disclosure document was provided to each shareholder from whom consent is being sought – exemption sought granted, subject to conditions, including that the issuer will not close the proposed transaction unless and until (i) the consenting parties have had 14 days to review the disclosure document, and (ii) 14 days have elapsed from the date the last of the disclosure document, form of written consent and material change report was filed on SEDAR. Statutes Cited Multilateral Instrument 61-101 Protection of Minority Security Holders in Special Transactions , ss. 5.3, 5.6, 8.1 and 9.1(2). Companion Policy 61-101CP to Multilateral Instrument 61-101 Protection of Minority Security Holders in Special Transactions,
s. 3.1.
October 4, 2017
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
SAMCO GOLD LIMITED (the Filer)
DECISION
Background The principal regulator in the Jurisdiction has received an application from the Filer for a decision under the securities legislation of the Jurisdiction of the principal regulator (the Legislation) pursuant to section 9.1 of Multilateral Instrument 61-101 Protection of Minority Security Holders in Special Transactions (MI 61-101) exempting the Filer from the requirement in subsection 5.3(2) of MI 61-101 to call a meeting of holders of common shares of the Filer (the Common Shares, and such holders, the Shareholders) to consider a proposed related party transaction and to send an information circular to such holders (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 Instrument 11-102 Passport System (MI 11-102)
is intended to be relied upon in Alberta, Manitoba and New Brunswick.
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Interpretation Terms defined in National Instrument 14-101 Definitions, MI 11-102, and MI 61-101 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 is a corporation existing under the laws of the British Virgin Islands. The head office of the Filer is located at 3
Hanover Square, 4th Floor, London, England, W1S 1HD. 2. The Filer is a reporting issuer in the provinces of Ontario, British Columbia, Alberta, Saskatchewan, Manitoba, Nova
Scotia, New Brunswick, Prince Edward Island, and Newfoundland and Labrador and is not in default of securities legislation in any such jurisdiction.
3. The authorized capital of the Filer consists of an unlimited number of Common Shares, each of which carries the right
to one vote at all meetings of Shareholders. As at September 13, 2017, a total of 65,076,075 Common Shares were issued and outstanding. The Common Shares are listed and posted for trading on the TSX Venture Exchange (the TSXV) under the symbol “SGA”.
4. On September 13, 2017, the Filer announced that it entered into a definitive agreement with Ricardo Auriemma, María
Amalia Leguizamón (Ms. Leguizamón), Estanislao Auriemma, Martin Auriemma, Facundo Auriemma, Anoki Venture Ltd., and Safyre Management Ltd. (collectively, the Auriemma Shareholders) pursuant to which (a) the Filer will dispose of all of the shares of its wholly-owned Argentinean subsidiary, 5R S.A. (such shares, the 5R Shares), which is the registered titleholder of the Filer’s El Dorrado Monserrat properties in Santa Cruz, Argentina (the EDM Properties), (b) all of the Common Shares held by the Auriemma Shareholders will be returned to the Filer for cancellation (the Share Cancellation), (c) the Litigation Claims (as defined below) will be withdrawn, and the parties to the Litigation Claims will release each other from all claims in connection therewith, and (d) the Filer will retain a 1.5% net smelter return royalty over the EDM Properties (such transactions collectively, the Proposed Transaction).
5. One of the conditions of the Proposed Transaction is the amendment of the participation and option agreement dated
January 10, 2014 between Ricardo Auriemma and the Filer (the PO Agreement) such that, inter alia, the quantum of expenses payable by Ricardo Auriemma to the Filer pursuant to the PO Agreement, which had been the subject of dispute between the parties, be fixed at US$200,000.
6. A material change report in respect of the Proposed Transaction that contains the information required by section 5.2 of
MI 61-101 (the Material Change Report) was filed on the System for Electronic Document Analysis and Retrieval (SEDAR) on September 19, 2017.
7. Estanislao Auriemma was the President of two wholly-owned subsidiaries of the Filer, 5R S.A. and of Samco Gold S.A.
(SGSA), until his dismissal from such positions in June 2016 and May 2016, respectively. In September 2016, Estanislao Auriemma filed a lawsuit against the Filer in Argentina for loss of office claiming an unspecified amount for unpaid salaries, fines and damages (the Estanislao Litigation).
8. Each of Martin Auriemma and Facundo Auriemma were employed by SGSA to provide technical geological services
until their termination in October 2015. In August 2016, Martin Auriemma and Facundo Auriemma filed a lawsuit in Argentina against the Filer alleging wrongful dismissal and claiming damages of approximately US$400,000 in the aggregate (the Martin and Facundo Litigation, and together with the Estanislao Litigation, the Litigation Claims).
9. The Filer deemed the Litigation Claims to be without merit and took actions to defend such claims in the Argentinean
courts. Notwithstanding the Filer’s position on the merits of the Litigation Claims, the Filer engaged in settlement discussions with the Auriemma Shareholders in an attempt to arrive at an acceptable and expedient resolution of the Litigation Claims, which discussions culminated in the Proposed Transaction.
10. At a meeting of the board of directors of the Filer (the Board) held on April 14, 2017, management of the Filer
presented the Proposed Transaction (including a draft letter of intent describing the material terms of the Proposed Transaction (the Letter of Intent)) to the Board. Michel Marier, an employee of Sentient Executive GP IV, Limited (Sentient), the general partner of Sentient Global Resources Fund IV, L.P. (the Sentient Fund), which will own or control more than 20% of the outstanding Common Shares and become a “Control Person” of the Filer (as that term is defined in the policies of the TSXV) as a result of the Share Cancellation, declared his interest in the Proposed Transaction and abstained from voting on the resolution authorizing the Filer to proceed with the Proposed Transaction (the Transaction Resolution). Charles Koppel (Mr. Koppel), Executive Chairman and Chief Executive Officer of the
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Filer, also abstained from voting on the Transaction Resolution in light of the possibility that, when aggregated with other transactions then contemplated by the Filer but which were ultimately not pursued, the Proposed Transaction could result in him owning or controlling greater than 20% of the outstanding Common Shares. Accordingly, John Hick (Mr. Hick) and Kevin Tomlinson, the remaining independent directors of the Filer, neither of whom are interested parties in respect of the Proposed Transaction, considered, voted upon and approved the Transaction Resolution and authorized and directed the Letter of Intent to be delivered to the Auriemma Shareholders in the form presented to the Board.
11. The definitive agreement evidencing the Proposed Transaction is substantially the same as the Letter of Intent, with no
material changes having been made to the terms set out in the Letter of Intent, and was negotiated by Mr. Hick, in his capacity as chair of the Filer’s audit committee, with the advice of legal counsel to the Filer.
12. The Auriemma Shareholders have represented to the Filer that they have beneficial ownership of, or control or
direction over, 18,450,000 Common Shares, representing approximately 28.4% of the issued and outstanding Common Shares.
13. The Share Cancellation is not an “issuer bid” under the Legislation as none of the Auriemma Shareholders is resident
in any province or territory of Canada. 14. Ms. Leguizamón, one of the Auriemma Shareholders, directly or indirectly, beneficially owns, or has control or direction
over, an aggregate of 14,500,000 Common Shares, representing approximately 22.3% of the issued and outstanding Common Shares. Accordingly, Ms. Leguizamón is a “control person” of the Filer under the Legislation and a related party of the Filer for the purposes of MI 61-101. The Filer believes that the Auriemma Shareholders are acting jointly or in concert with each other.
15. As one of the Auriemma Shareholders is a related party of the Filer, the Proposed Transaction constitutes a related
party transaction for the purposes of MI 61-101, requiring the provision of a formal valuation and the receipt of minority approval in the absence of exemptions therefrom.
16. The Proposed Transaction is exempt from the formal valuation requirement set out in section 5.4 of MI 61-101 pursuant
to paragraph 5.5(b) of MI 61-101. However, there are no exemptions available from the minority approval requirement set out in 5.6 of MI 61-101 in respect of the Proposed Transaction. Accordingly, the Filer is required by section 5.6 of MI 61-101 to obtain minority approval for the Proposed Transaction in accordance with Part 8 of MI 61-101 (the Minority Approval).
17. Subsection 5.3(2) of MI 61-101 requires that issuers proposing to carry out a related party transaction in respect of
which minority approval is required under section 5.6 of MI 61-101 call a meeting of holders of the affected securities and send an information circular to those holders.
18. The Filer will obtain Minority Approval in respect of the Proposed Transaction by way of written consent as opposed to
at a meeting of Shareholders. 19. As at September 13, 2017, 46,626,075 Common Shares, or approximately 71.6% of the issued and outstanding
Common Shares, were held by persons who are not interested parties, related parties of interested parties, or joint actors with interested parties or related parties of interested parties in respect of the Proposed Transaction.
20. Mr. Koppel has beneficial ownership of, or control or direction over, 8,373,085 Common Shares. Sentient, as general
partner of the Sentient Fund, has beneficial ownership of, or control or direction over, 12,949,200 Common Shares. The Filer has received comfort from Mr. Koppel and Sentient, as well as one other Shareholder with beneficial ownership of, or control or direction over, 4,200,000 Common Shares (such party together with Mr. Koppel and Sentient, the Consenting Parties and each a Consenting Party) that each of them will consent to the Proposed Transaction and will evidence such consent by executing the form of written consent (the Consent) accompanying the Disclosure Document (as defined below).
21. No Consenting Party is: (a) an interested party; (b) a related party of an interested party, unless the related party meets
that description solely in its capacity as a director or senior officer of one or more entities that are neither interested parties nor issuer insiders of the Filer; or (c) a joint actor with a person or company referred to in (a) or (b) above in respect of the Proposed Transaction.
22. No Consenting Party (including those Consenting Parties that are not related parties of the Filer) has received, or will
receive, any collateral benefit in respect of the Proposed Transaction or in connection with agreeing to execute the Consent.
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23. In aggregate, the Consenting Parties have beneficial ownership of, or control or direction over, 25,522,285 Common Shares, representing approximately 39.2% of the issued and outstanding Common Shares on a non-diluted basis and approximately 54.7% of the issued and outstanding Common Shares held by Shareholders eligible to provide the Minority Approval required for the Proposed Transaction, which exceeds the simple majority requirement set out in MI 61-101 for such approval.
24. Each of the Consenting Parties whose consent for the Proposed Transaction is being sought was provided with a copy
of the Consent and a news release pertaining to the Proposed Transaction whose contents satisfy and comply with the disclosure requirements set out in subsection 5.3(3) of MI 61-101 (the Disclosure Document). The Disclosure Document and Consent set out the relevant details of the Proposed Transaction and included an acknowledgement from the Consenting Party that such Consenting Party has had a minimum of 14 days to review the Disclosure Document.
25. In addition to the Minority Approval, the Proposed Transaction will also require:
(a) the approval of a majority of Shareholders pursuant to section 175 of the Business Companies Act, 2004
(British Virgin Islands) (the BVI Approval); (b) the approval of disinterested Shareholders pursuant to TSXV Policy 5.3 – Acquisitions and Dispositions of
Non-Cash Assets on the basis that (i) the Proposed Transaction constitutes a sale of more than 50% of the Filer’s assets to one or more “Non-Arm’s Length Party” and to “associates” of such Non-Arm’s Length Party (as those terms are defined in the TSXV Corporate Finance Manual), and (ii) satisfactory evidence of value in the form required by the TSXV was not provided to the TSXV in connection with the Proposed Transaction (together, the TSXV Disposition Approval); and
(c) the approval of disinterested Shareholders pursuant to TSXV Policy 3.2 – Filing Requirements and
Continuous Disclosure on the basis that, as a result of the Proposed Transaction, Sentient will own or control more than 20% of the outstanding Common Shares, which will constitute a change of control of the Filer within the meaning of that term under the policies of the TSXV (the TSXV Change of Control Approval, and together with the TSXV Disposition Approval, the TSXV Approvals).
26. The BVI Approval may be evidenced by written consent of a majority of Shareholders and the Filer has obtained
comfort that it will obtain written consents sufficient to satisfy the BVI Approval. In accordance with the requirements of the Business Companies Act, 2004 (British Virgin Islands), the Filer will provide a copy of the form of resolution used for the purposes of the BVI Approval to all Shareholders, including those from whom written consent was not sought.
27. The TSXV has confirmed to the Filer that the TSXV Approvals may be evidenced by the written consent of a majority of
Shareholders excluding (a) the Auriemma Shareholders, in the case of the TSXV Disposition Approval, and (b) Sentient, in the case of the TSXV Change of Control Approval. The Filer has obtained comfort that it will obtain written consents sufficient to satisfy each of the TSXV Approvals.
28. On September 13, 2017, the Filer filed copies of the Disclosure Document and form of Consent on SEDAR. The Filer
will send a copy of the Disclosure Document to any Shareholder who requests a copy. 29. The Filer will not close the Proposed Transaction unless and until (a) the Consenting Parties have had 14 days to
review the Disclosure Document, and (b) 14 days have elapsed from the date the latest of the Disclosure Document, Consent and Material Change Report was filed on SEDAR.
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:
(a) the Filer has received executed Consents from Shareholders representing a majority of Shareholders eligible to provide the Minority Approval required for the Proposed Transaction;
(b) each Consenting Party received a copy of the Consent and Disclosure Document; (c) the Disclosure Document contains the information required pursuant to section 5.3 of MI 61-101 and also
discloses that:
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(i) the Filer will be obtaining Minority Approval by way of written consent; (ii) written consent will be obtained from the Consenting Parties; and (iii) the Filer has applied for the Exemption Sought;
(d) no Consenting Party (including those Consenting Parties that are not related parties of the Filer) has received, or will receive, any collateral benefit in respect of the Proposed Transaction or in connection with agreeing to execute the Consent;
(e) the Filer will not close the Proposed Transaction unless and until (i) the Consenting Parties have had 14 days
to review the Disclosure Document, and (ii) 14 days have elapsed from the date the latest of the Disclosure Document, Consent and Material Change Report was filed on SEDAR;
(f) a copy of the Disclosure Document will be sent to any Shareholder who requests a copy; (g) each Consenting Party receives a copy of this decision; (h) the Filer has obtained written consents sufficient to satisfy the BVI Approval and a copy of the form of
resolution used for the purposes of the BVI Approval will be delivered to all Shareholders in accordance with the laws of the British Virgin Islands, including those Shareholders from whom written consent was not sought;
(i) the Filer has obtained written consents sufficient to satisfy each of the TSXV Approvals; and (j) there are no other approvals required in respect of the Proposed Transaction which must be obtained at a
meeting of Shareholders and are not permitted to be evidenced by written consent. “Naizam Kanji” Director, Office of Mergers & Acquisitions Ontario Securities Commission
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2.2 Orders 2.2.1 Sandvine Corporation Headnote National Policy 11-206 Process for Cease to be a Reporting Issuer Applications – The issuer ceases to be a reporting issuer under securities legislation. Applicable Legislative Provisions Securities Act, R.S.O. 1990, c. S.5, as am., s. 1(10)(a)(ii).
October 5, 2017
IN THE MATTER OF THE SECURITIES LEGISLATION OF
ONTARIO (THE JURISDICTION)
AND
IN THE MATTER OF
THE PROCESS FOR CEASE TO BE A REPORTING ISSUER APPLICATIONS
AND
IN THE MATTER OF
SANDVINE CORPORATION (THE FILER)
ORDER
Background The principal regulator in the Jurisdiction has received an application from the Filer for an order under the securities legislation of the Jurisdiction of the principal regulator (the Legislation) that the Filer has ceased to be a reporting issuer in all jurisdictions of Canada in which it is a reporting issuer (the Order Sought). Under the Process for Cease to be a Reporting Issuer Applications (for a passport application):
(a) the Ontario Securities Commission is the principal regulator for this application, and
(b) the Filer has provided notice that sub-
section 4C.5(1) of Multilateral Instrument 11-102 Passport System (MI 11-102) is intended to be relied upon in British Columbia, Alberta, Saskatchewan, Mani-toba, Québec, New Brunswick, Nova Scotia, Prince Edward Island, New-foundland and Labrador, Northwest Territories, Yukon and Nunavut.
Interpretation Terms defined in National Instrument 14-101 Definitions and MI 11-102 have the same meaning if used in this order, unless otherwise defined. Representations This order is based on the following facts represented by the Filer: 1. the Filer is not an OTC reporting issuer under
Multilateral Instrument 51-105 Issuers Quoted in the US Over-the-Counter Markets;
2. 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;
3. 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;
4. the Filer is applying for an order that the Filer has
ceased to be a reporting issuer in all of the jurisdictions of Canada in which it is a reporting issuer; and
5. the Filer is not in default of securities legislation in
any jurisdiction. Order The principal regulator is satisfied that the order meets the test set out in the Legislation for the Principal Regulator to make the order. The decision of the principal regulator under the Legislation that the Order Sought is granted. “Jo-Anne Matear” Manager, Corporate Finance Ontario Securities Commission
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2.2.2 National Bank of Canada and Canadian Imperial Bank of Commerce – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids
Section 6.1 of NI 62-104 – Issuer bid – relief from the requirements applicable to issuer bids in Part 2 of NI 62-104 – issuer proposes to purchase, pursuant to a repurchase program and at a discounted purchase price, up to a specified number of its common shares under its normal course issuer bid from a third party – the third party will abide by the requirements governing normal course issuer bids as though it was the issuer, subject to certain modifications, including that the third party will not make any purchases under the program pursuant to a pre-arranged trade – common shares delivered to the issuer for cancellation will be common shares from the third party's existing inventory – due to the discounted purchase price, the common shares cannot be acquired through the TSX trading system – but for the fact that the common shares cannot be acquired through the TSX trading system, the Issuer could otherwise acquire such shares in accordance with TSX rules and in reliance upon the issuer bid exemption available under section 4.8 of NI 62-104 – the third party will purchase common shares under the program on the same basis as if the issuer had conducted the bid in reliance on the normal course issuer bid exemptions set out in securities legislation – no adverse economic impact on, or prejudice to the issuer or its security holders – acquisition of securities exempt from the requirements applicable to issuer bids in Part 2 of NI 62-104, subject to conditions, including that the number of common shares transferred by the third party from its existing inventory to the issuer for purchase under the program be equivalent to the number of common shares that the third party has purchased, or had purchased on its behalf, on Canadian markets. Applicable Legislative Provisions National Instrument 62-104 Take-Over Bids and Issuer Bids, Part 2 and s. 6.1.
IN THE MATTER OF THE SECURITIES ACT,
R.S.O. 1990, c. S.5, AS AMENDED
AND
IN THE MATTER OF NATIONAL BANK OF CANADA AND
CANADIAN IMPERIAL BANK OF COMMERCE
ORDER (Section 6.1 of National Instrument 62-104)
UPON the application (the “Application”) of National Bank of Canada (the “Issuer”) and Canadian Imperial Bank of Commerce (“CIBC”, and together with the Issuer, the “Filers”) to the Ontario Securities Commission (the “Commission”) for an order pursuant to section 6.1 of National Instrument 62-104 Take-Over Bids and Issuer Bids (“NI 62-104”) exempting the Issuer from the requirements applicable to issuer bids in Part 2 of NI 62-104 (the “Issuer Bid Requirements”) in respect of the proposed purchases by the Issuer of up to 1,000,000 (the “Program Maximum”) of its common shares (the “Common Shares”) from CIBC pursuant to a share repurchase program (the “Program”); AND UPON considering the Application and the recommendation of staff of the Commission; AND UPON the Issuer having represented to the Commission the matters set out in paragraphs 1, 2, 3, 4, 10 to 20, inclusive, 22 to 29, inclusive, 33, 35, 37, 38, 39, 41 and 42; AND UPON CIBC and CIBC World Markets Inc. (“CIBCWI”, and together with CIBC, the “CIBC Entities”) having represented to the Commission the matters set out in paragraphs 5, 6, 7, 8, 9, 20 to 23, inclusive, 28, 30 to 34, inclusive, 36, 40, 42 and 43 as they relate to the CIBC Entities; 1. The Issuer is a Schedule I bank governed by the Bank Act (Canada). 2. The registered and head office of the Issuer is located at 600 de La Gauchetière Street West, 4th Floor, Montréal,
Quebec, H3B 4L2. 3. The Issuer is a reporting issuer in each of the provinces and territories of Canada (the “Jurisdictions”) and the
Common Shares are listed for trading on the Toronto Stock Exchange (the “TSX”) under the symbol “NA”. The Issuer is not in default of any requirement of the securities legislation of the Jurisdictions.
4. The authorized share capital of the Issuer consists of: (a) an unlimited number of Common Shares; (b) an unlimited
number of first preferred shares without par value, issuable for a maximum aggregate consideration of $5,000,000,000,
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or the equivalent thereof in foreign currencies, issuable in series; and (c) 15,000,000 second preferred shares without par value, and issuable for a maximum aggregate consideration of $300,000,000. As of August 31, 2017, the Issuer had the following shares outstanding:
Number of shares outstanding
Common Shares 341,201,990
First preferred shares, Series 28 8,000,000
First preferred shares, Series 30 14,000,000
First preferred shares, Series 32 12,000,000
First preferred shares, Series 34 16,000,000
First preferred shares, Series 36 16,000,000
First preferred shares, Series 38 16,000,000
5. CIBC is a Schedule I bank governed by the Bank Act (Canada). The head office of CIBC is located in the Province of
Ontario. 6. CIBCWI is registered as an investment dealer under the securities legislation of British Columbia, Alberta,
Saskatchewan, Manitoba, Ontario, Québec, Nova Scotia, New Brunswick, Newfoundland and Labrador, Prince Edward Island, Yukon, the Northwest Territories and Nunavut. It is also registered as a futures commission merchant under the Commodity Futures Act (Ontario), as a derivatives dealer under the Derivatives Act (Québec), and as a dealer (futures commission merchant) under The Commodity Futures Act (Manitoba). CIBCWI is a member of the Investment Industry Regulatory Organization of Canada (“IIROC”) and the Canadian Investor Protection Fund, a participating organization or member of the TSX, TSX Venture Exchange and Canadian Securities Exchange, and an approved participant of the Bourse de Montréal. The head office of CIBCWI is located in Toronto, Ontario.
7. CIBC does not own, directly or indirectly, more than 5% of the issued and outstanding Common Shares. 8. CIBC is the beneficial owner of at least 1,000,000 Common Shares, none of which were acquired by, or on behalf of,
CIBC in anticipation or contemplation of resale to the Issuer (such Common Shares over which CIBC has beneficial ownership, the “Inventory Shares”). All of the Inventory Shares are held by CIBC in the Province of Ontario, and all purchases of Inventory Shares by the Issuer from CIBC will be executed and settled in the Province of Ontario. No Common Shares were purchased by, or on behalf of, CIBC on or after August 19, 2017, being the date that was 30 days prior to the date of the Application, in anticipation or contemplation of a sale of Common Shares by CIBC to the Issuer.
9. CIBC is at arm’s length to the Issuer and is not an “insider” of the Issuer, an “associate” of an “insider” of the Issuer, or
an “associate” or “affiliate” of the Issuer, as such terms are defined in the Securities Act (Ontario) (the “Act”). CIBC is an “accredited investor” within the meaning of National Instrument 45-106 Prospectus Exemptions.
10. Pursuant to a Notice of Intention to Make a Normal Course Issuer Bid (the “Notice”) which was accepted by the TSX
effective June 1, 2017, the Issuer is permitted to make a normal course issuer bid (the “Normal Course Issuer Bid”) to purchase for cancellation, during the 12-month period beginning on June 5, 2017 and ending on June 4, 2018, up to 6,000,000 Common Shares, representing approximately 1.76% of the issued and outstanding Common Shares as of the date specified in the Notice. The Notice specifies that purchases under the Normal Course Issuer Bid will be conducted through the facilities of the TSX or any other exchange or alternative trading system in Canada, or by such other means as may be permitted by the TSX, in accordance with sections 628 to 629.3 of Part VI of the TSX Company Manual (the “TSX Rules”), by a securities regulatory authority, or under applicable securities laws and regulations, including under automatic trading plans and by private agreements or share repurchase programs under issuer bid exemption orders issued by securities regulatory authorities.
11. The Normal Course Issuer Bid is being conducted in reliance upon the exemption from the Issuer Bid Requirements set
out in subsection 4.8(2) of NI 62-104 (the “Designated Exchange Exemption”). 12. The Normal Course Issuer Bid is also being conducted in the normal course on other permitted published markets in
Canada (the “Canadian Other Published Markets”) in reliance upon the exemption from the Issuer Bid Requirements set out in subsection 4.8(3) of NI 62-104 (the “Other Published Markets Exemption”, and together with the Designated Exchange Exemption, the “Exemptions”).
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13. Pursuant to the TSX Rules, the Issuer has appointed National Bank Financial Inc. as its designated broker in respect of the Normal Course Issuer Bid (the “Responsible Broker”).
14. The Issuer may, from time to time, appoint a non-independent purchasing agent (a “Plan Trustee”) to purchase
Common Shares on the open market to fulfill requirements for the delivery of Common Shares under the Issuer’s security-based compensation plans (the “Plan Trustee Purchases”). A Plan Trustee has not been appointed by the Issuer, no Plan Trustee will be appointed by the Issuer during the Program Term (as defined below) and no Plan Trustee Purchases will be required or made during the Program Term.
15. The Notice states that the Issuer may implement an automatic repurchase plan (an “ARP”) to permit the Issuer to make
purchases under the Normal Course Issuer Bid at such times when the Issuer would not be permitted to trade in its securities, including regularly scheduled quarterly blackout periods and other internal blackout periods (each such time, a “Blackout Period”). No ARP has been implemented at this time and no ARP will be implemented or operative during the Program Term (as defined below).
16. The maximum number of Common Shares that the Issuer is permitted to repurchase under the Normal Course Issuer
Bid will be reduced by the number of Plan Trustee Purchases and the number of Common Shares purchased under an ARP, if any.
17. To the best of the Issuer’s knowledge, the “public float” (calculated in accordance with the TSX Rules) for the Common
Shares as at August 31, 2017 consisted of 340,512,699 Common Shares. The Common Shares are “highly-liquid securities” as that term is defined in section 1.1 of OSC Rule 48-501 Trading during Distributions, Formal Bids and Share Exchange Transactions (“OSC Rule 48-501”) and section 1.1 of the Universal Market Integrity Rules (“UMIR”).
18. On July 19, 2017, the Commission granted the Issuer and The Toronto-Dominion Bank (“TD”) an order pursuant to
section 6.1 of NI 62-104 exempting the Issuer from the Issuer Bid Requirements in connection with the proposed purchases by the Issuer of up to 500,000 Common Shares from TD pursuant to a share repurchase program (the “TD Program”). The Issuer purchased 500,000 Common Shares under the TD Program, which terminated on July 28, 2017.
19. As at September 13, 2017, the Issuer has purchased 500,000 Common Shares pursuant to the Normal Course Issuer
Bid. 20. The Filers wish to participate in the Program during, and as part of, the Normal Course Issuer Bid to enable the Issuer
to purchase from CIBC, and for CIBC to sell to the Issuer, that number of Common Shares equal to the Program Maximum.
21. Pursuant to the terms of the Program Agreement (as defined below), CIBCWI has been retained by CIBC to acquire
Common Shares through the facilities of the TSX and on Canadian Other Published Markets (collectively with the TSX, the “Canadian Markets”) under the Program. No Common Shares will be acquired under the Program on a market that is not a Canadian Market.
22. The Program will be governed by, and conducted in accordance with, the terms and conditions of a Share Repurchase
Program Agreement (the “Program Agreement”) that will be entered into among the Filers and CIBCWI prior to the commencement of the Program, a copy of which will be delivered by the Filers to the Commission promptly thereafter.
23. The Program will begin on or after October 10, 2017 and will terminate on the earlier of December 31, 2017 and the
date on which the Issuer will have purchased the Program Maximum under the Program (the “Program Term”). Neither the Issuer nor any of the CIBC Entities may unilaterally terminate the Program Agreement during the Program Term, except in the case of an event of default by a party thereunder, or a change in law or announced change in law that would have adverse consequences to the transactions under the Program or to the Issuer or either of the CIBC Entities.
24. At least two clear Trading Days (as defined below) prior to the commencement of the Program, the Issuer will issue
and file a press release that has been pre-cleared by the TSX that: (a) describes the material features of the Program, including the Program Term; (b) discloses the Issuer’s intention to participate in the Program during the Normal Course Issuer Bid; (c) states that it is the Issuer’s current intention to purchase the Program Maximum, but that the number of Common Shares purchased pursuant to the Program may be less than the Program Maximum; (d) provides an explanation as to why less than the Program Maximum may be purchased; and (e) states that, immediately following the Program Term, the Issuer will issue and file the Completion Press Release (as defined below) (the “Commencement Press Release”).
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25. The Program Maximum is less than the number of Common Shares remaining that the Issuer is entitled to acquire under the Normal Course Issuer Bid, calculated as at the date of the Program Agreement.
26. The Program Term will not include a Blackout Period. In the event that a Blackout Period should arise during the
Program Term, purchasing under the Program will cease immediately and will not recommence until following the expiration of the Blackout Period.
27. The TSX has: (a) been advised of the Issuer’s intention to enter into the Program; (b) been provided with a copy of the
Program Agreement and a draft of the Commencement Press Release; and (c) confirmed that it has no objection to the Issuer conducting the Program as part of the Normal Course Issuer Bid.
28. During the Program Term, CIBCWI will purchase Common Shares on the applicable Trading Day (as defined below) in
accordance with instructions received by CIBCWI from the Issuer prior to the opening of trading on such Trading Day, which instructions will be the same instructions that the Issuer would have given to the Responsible Broker if the Issuer was conducting the Normal Course Issuer Bid in reliance on the Exemptions.
29. The Issuer will not give purchase instructions in respect of the Program to CIBCWI at any time that the Issuer is aware
of Undisclosed Information (as defined below). 30. All Common Shares acquired for the purposes of the Program by CIBCWI on a day during the Program Term on which
Canadian Markets are open for trading (each, a “Trading Day”) must be acquired on Canadian Markets in accordance with the TSX Rules and any by-laws, rules, regulations or policies of any Canadian Markets upon which purchases are carried out (collectively, the “NCIB Rules”) that would be applicable to the Issuer in connection with the Normal Course Issuer Bid, provided that: (a) the aggregate number of Common Shares to be acquired on Canadian Markets by CIBCWI on each Trading
Day shall not exceed the maximum daily limit that is imposed upon the Normal Course Issuer Bid pursuant to the TSX Rules, determined with reference to an average daily trading volume that is based on the trading volume of the Common Shares on all Canadian Markets rather than being limited to the trading volume on the TSX only (the “Modified Maximum Daily Limit”), it being understood that the aggregate number of Common Shares to be acquired on the TSX by CIBCWI on each Trading Day will not exceed the maximum daily limit that is imposed on the Normal Course Issuer Bid pursuant to the TSX Rules; and
(b) notwithstanding the block purchase exception provided for in the TSX Rules, no purchases will be made by
CIBCWI on any Canadian Markets pursuant to any pre-arranged trade.
31. The aggregate number of Common Shares to be acquired by CIBCWI in connection with the Program:
(a) shall not exceed the Program Maximum; and (b) on Canadian Other Published Markets shall not exceed that number of Common Shares remaining eligible for
purchase by the Issuer pursuant to the Other Published Markets Exemption, calculated as at the date of the Program Agreement.
32. On every Trading Day, CIBCWI will purchase the Number of Common Shares. The “Number of Common Shares” will
be no greater than the least of: (a) the maximum number of Common Shares that can be purchased using the Canadian dollar amount provided
in the instructions received by CIBCWI from the Issuer prior to the opening of trading on such Trading Day; (b) the Program Maximum less the aggregate number of Common Shares previously purchased by CIBCWI
under the Program; (c) on a Trading Day where trading ceases on the TSX or some other event that would impair CIBCWI’s ability to
acquire Common Shares on Canadian Markets occurs (a “Market Disruption Event”), the number of Common Shares acquired by CIBCWI on such Trading Day up until the time of the Market Disruption Event; and
(d) the Modified Maximum Daily Limit. The “Discounted Price” per Common Share will be equal to: (i) the volume weighted average price of the Common Shares on the Canadian Markets on the Trading Day on which purchases were made less an agreed upon discount; or
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(ii) upon the occurrence of a Market Disruption Event, the volume weighted average price of the Common Shares on the Canadian Markets at the time of the Market Disruption Event less an agreed upon discount.
33. CIBC will deliver to the Issuer that number of Inventory Shares equal to the number of Common Shares purchased by CIBCWI on a Trading Day under the Program on the second Trading Day thereafter, and the Issuer will pay CIBC, upon delivery, a purchase price equal to the Discounted Price for each such Inventory Share. Each Inventory Share purchased by the Issuer under the Program will be cancelled upon delivery to the Issuer.
34. CIBC will not sell any Inventory Shares to the Issuer unless CIBCWI has purchased the equivalent number of Common
Shares on Canadian Markets under the Program. The number of Common Shares that are purchased by CIBCWI on Canadian Markets under the Program on a Trading Day will be equal to the Number of Common Shares for such Trading Day. CIBCWI will provide the Issuer with a daily written report of CIBCWI’s purchases, which report will indicate, inter alia, the aggregate number of Common Shares acquired under the Program, the Canadian Market on which such Common Shares were acquired, and the Modified Maximum Daily Limit.
35. During the Program Term, the Issuer will: (a) not purchase, directly or indirectly, any Common Shares (other than
Inventory Shares purchased under the Program); and (b) prohibit the Responsible Broker from acquiring any Common Shares on its behalf.
36. All purchases of Common Shares under the Program will be made by CIBCWI and neither of the CIBC Entities will
engage in any hedging activity in connection with the conduct of the Program. 37. The Issuer will report its purchases of Common Shares under the Program to the TSX in accordance with the TSX
Rules. In addition, immediately following the end of the Program Term, the Issuer will: (a) report the total number of Common Shares acquired under the Program to the TSX and the Commission; and (b) issue and file a press release that announces the completion of the Program and sets out the number of Common Shares acquired under the Program and the aggregate dollar amount paid for such Common Shares (the “Completion Press Release”).
38. The Issuer is of the view that: (a) it will be able to purchase Common Shares from CIBC at a lower price than the price
at which it would be able to purchase an equivalent quantity of Common Shares under the Normal Course Issuer Bid in reliance on the Exemptions; and (b) the purchase of Common Shares pursuant to the Program is in the best interests of the Issuer and constitutes a desirable use of the Issuer’s funds.
39. The entering into of the Program Agreement, the purchase of Common Shares by CIBCWI in connection with the
Program, and the sale of Inventory Shares by CIBC to the Issuer will not adversely affect the Issuer or the rights of any of the Issuer’s security holders and it will not materially affect control of the Issuer.
40. The sale of Inventory Shares to the Issuer by CIBC will not be a “distribution” (as defined in the Act). 41. The Issuer will be able to acquire the Inventory Shares from CIBC without the Issuer being subject to the dealer
registration requirements of the Act. 42. At the time that the Issuer and the CIBC Entities enter into the Program Agreement, neither the Issuer, nor any member
of the Equity Derivatives Trading Group of CIBC, nor any personnel of either of the CIBC Entities that negotiated the Program Agreement or made, participated in the making of, or provided advice in connection with, the decision to enter into the Program Agreement and sell the Common Shares, will be aware of any “material change” or “material fact” (each as defined in the Act) with respect to the Issuer or the Common Shares that has not been generally disclosed (the “Undisclosed Information”).
43. Each of the CIBC Entities:
(a) has policies and procedures in place to ensure that the Program will be conducted in accordance with, among
other things, the Program Agreement and this Order, and to preclude those persons responsible for administering the Program from acquiring any Undisclosed Information during the conduct of the Program; and
(b) will, prior to entering into the Program Agreement: (i) ensure that its systems are capable of adhering to, and
performing in accordance with, the requirements of the Program and this Order; and (ii) provide all necessary training and take all necessary actions to ensure that the persons administering and executing the purchases under the Program are aware of, and understand the terms of this Order.
AND UPON the Commission being satisfied that to do so would not be prejudicial to the public interest;
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IT IS ORDERED pursuant to section 6.1 of NI 62-104 that the Issuer be exempt from the Issuer Bid Requirements in respect of the purchase of Inventory Shares from CIBC pursuant to the Program, provided that:
(a) at least two clear Trading Days prior to the commencement of the Program, the Issuer issues and files the
Commencement Press Release; (b) all purchases of Common Shares under the Program are made on Canadian Markets by CIBCWI, and are:
(i) made in accordance with the NCIB Rules applicable to the Normal Course Issuer Bid, as modified by
paragraph 30 of this Order; (ii) taken into account by the Issuer when calculating the maximum annual aggregate limits that are
imposed upon the Normal Course Issuer Bid in accordance with the TSX Rules, with those Common Shares purchased on Canadian Other Published Markets being taken into account by the Issuer when calculating the maximum aggregate limits that are imposed upon the Issuer in accordance with the Other Published Markets Exemption;
(iii) marked with such designation as would be required by the applicable marketplace and UMIR for
trades made by an agent of the Issuer; and (iv) monitored by the CIBC Entities on a continual basis for the purposes of ensuring compliance with the
terms of this Order, NCIB Rules, and applicable securities law; (c) during the Program Term: (i) the Issuer does not purchase, directly or indirectly, any Common Shares (other
than Inventory Shares purchased under the Program); and (ii) no Common Shares are purchased on behalf of the Issuer by the Responsible Broker;
(d) the number of Inventory Shares transferred by CIBC to the Issuer for purchase under the Program in respect
of a particular Trading Day is equal to the number of Common Shares purchased by CIBCWI on Canadian Markets under the Program in respect of the Trading Day;
(e) no hedging activity is engaged in by the CIBC Entities in connection with the conduct of the Program; (f) at the time that the Program Agreement is entered into by the Filers and CIBCWI:
(i) the Common Shares are “highly-liquid securities”, as that term is defined in section 1.1 of OSC Rule
48-501 and section 1.1 of UMIR; and (ii) none of the Issuer, any member of the Equity Derivatives Trading Group of CIBC, or any personnel
of either of the CIBC Entities that negotiated the Program Agreement or made, participated in the making of, or provided advice in connection with, the decision to enter into the Program Agreement and sell the Common Shares, was aware of any Undisclosed Information;
(g) no purchase instructions in respect of the Program are given by the Issuer to CIBCWI at any time that the
Issuer is aware of Undisclosed Information; (h) no purchases of Common Shares under the Program occur during a Blackout Period; (i) the CIBC Entities maintain records of all purchases of Common Shares that are made by CIBCWI pursuant to
the Program, which will be available to the Commission and IIROC upon request; and (j) in addition to reporting its purchases of Common Shares under the Program to the TSX in accordance with
the TSX Rules, immediately following the end of the Program Term, the Issuer will: (i) report the total number of Common Shares acquired under the Program to the TSX and the Commission; and (ii) issue and file the Completion Press Release.
DATED at Toronto, Ontario, this 4th day of October, 2017. “Naizam Kanji” Director, Office of Mergers & Acquisitions Ontario Securities Commission
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2.2.3 The Toronto-Dominion Bank and The Bank of Nova Scotia – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids Section 6.1 of NI 62-104 – Issuer bid – relief from the requirements applicable to issuer bids in Part 2 of NI 62-104 – issuer proposes to purchase, pursuant to a repurchase program and at a discounted purchase price, up to a specified number of its common shares under its normal course issuer bid from a third party – the third party will abide by the requirements governing normal course issuer bids as though it was the issuer, subject to certain modifications, including that the third party will not make any purchases under the program pursuant to a pre-arranged trade – common shares delivered to the issuer for cancellation will be common shares from the third party's existing inventory – the third party will purchase common shares under the program on the same basis as if the Issuer had conducted the bid in reliance on the normal course issuer bid exemptions set out in securities legislation – no adverse economic impact on, or prejudice to, the Issuer or its security holders – acquisition of securities exempt from the requirements applicable to issuer bids in Part 2 of NI 62-104, subject to conditions, including that the number of common shares transferred by the third party from its existing inventory to the issuer for purchase under the program be equivalent to the number of common shares that the third party has purchased, or had purchased on its behalf, on Canadian markets. Applicable Legislative Provisions National Instrument 62-104 Take-Over Bids and Issuer Bids, Part 2 and s. 6.1.
IN THE MATTER OF THE SECURITIES ACT,
R.S.O. 1990, c. S.5, AS AMENDED
AND
IN THE MATTER OF THE TORONTO-DOMINION BANK AND
THE BANK OF NOVA SCOTIA
ORDER (Section 6.1 of National Instrument 62-104)
UPON the application (the “Application”) of The Toronto-Dominion Bank (the “Issuer”) and The Bank of Nova Scotia (“BNS”, and together with the Issuer, the “Filers”) to the Ontario Securities Commission (the “Commission”) for an order pursuant to section 6.1 of National Instrument 62-104 Take-Over Bids and Issuer Bids (“NI 62-104”) exempting the Issuer from the requirements applicable to issuer bids in Part 2 of NI 62-104 (the “Issuer Bid Requirements”) in respect of the proposed purchases by the Issuer of up to 4,400,000 (the “Program Maximum”) of its common shares (the “Common Shares”) from BNS pursuant to a share repurchase program (the “Program”); AND UPON considering the Application and the recommendation of staff of the Commission; AND UPON the Issuer having represented to the Commission the matters set out in paragraphs 1 to 4, inclusive, 7, 11 to 19, inclusive, 21 to 30, inclusive, 33, 35, 37 to 43, inclusive, as they relate to the Issuer; AND UPON BNS and Scotia Capital Inc. (“SCI” and together with BNS, the “Scotia Entities”) having, together, represented to the Commission the matters set out in paragraphs 5 to 10 inclusive, 18, 20 to 22 inclusive, 26, 30 to 34 inclusive, 36, 40, 42 and 43 as they relate to the Scotia Entities, as applicable; 1. The Issuer is a Schedule I bank governed by the Bank Act (Canada). 2. The Issuer maintains its registered office at Toronto-Dominion Centre, Toronto, Ontario, M5K 1A2. 3. The Issuer is a reporting issuer in each of the provinces and territories of Canada (the “Jurisdictions”) and the
Common Shares are listed for trading on the Toronto Stock Exchange (the “TSX”) and the New York Stock Exchange. The Issuer is not in default of any requirement of the securities legislation of the Jurisdictions.
4. The authorized share capital of the Issuer consists of an unlimited number of Common Shares and an unlimited
number of Class A First Preferred Shares which may be issued in one or more series. As at August 31, 2017, 1,848,896,530 Common Shares, 5,387,491 Series S Class A First Preferred Shares, 4,612,509 Series T Class A First Preferred Shares, 5,481,853 Series Y Class A First Preferred Shares, 4,518,147 Series Z Class A First Preferred Shares, 20,000,000 Series 1 Class A First Preferred Shares, 20,000,000 Series 3 Class A First Preferred Shares, 20,000,000 Series 5 Class A First Preferred Shares, 14,000,000 Series 7 Class A First Preferred Shares, 8,000,000 Class 9 Series A First Preferred Shares, 6,000,000 Series 11 Class A First Preferred Shares, 28,000,000 Series 12
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Class A First Preferred Shares, 40,000,000 Series 14 Class A First Preferred Shares and 14,000,000 Series 16 Class A First Preferred Shares were issued and outstanding.
5. BNS is a Schedule I bank governed by the Bank Act (Canada). The corporate headquarters of BNS is located in
Toronto, Canada. 6. SCI is registered as an investment dealer under the securities legislation of British Columbia, Alberta, Saskatchewan,
Manitoba, Ontario, Quebec, Nova Scotia, Newfoundland and Labrador, New Brunswick, Prince Edward Island, Yukon, the Northwest Territories and Nunavut. It is also registered as a futures commission merchant under the Commodity Futures Act (Ontario), as a derivatives dealer under the Derivatives Act (Québec), and as dealer (futures commission merchant) under The Commodity Futures Act (Manitoba). SCI is a member of the Investment Industry Regulatory Organization of Canada (“IIROC”) and the Canadian Investor Protection Fund, a participating organization or member of the TSX, TSX Venture Exchange and Canadian Securities Exchange, and an approved participant of the Bourse de Montréal. The head office of SCI is located in Toronto, Ontario.
7. Each proposed purchase will be executed and settled in the Province of Ontario. 8. BNS does not directly or indirectly own more than 5% of the issued and outstanding Common Shares. 9. BNS is the beneficial owner of at least 4,400,000 Common Shares, none of which were acquired by, or on behalf of,
BNS in anticipation or contemplation of resale to the Issuer (such Common Shares over which BNS has beneficial ownership, the “Inventory Shares”). All of the Inventory Shares are held by BNS in the Province of Ontario. No Common Shares were purchased by, or on behalf of, BNS on or after August 20, 2017, being the date that was 30 days prior to the date of the Application, in anticipation or contemplation of a sale of Common Shares by BNS to the Issuer.
10. BNS is at arm's length to the Issuer and is not an “insider” of the Issuer, an “associate” of an “insider” of the Issuer, or
an “associate” or “affiliate” of the Issuer, as such terms are defined in the Securities Act (Ontario) (the “Act”). BNS is an “accredited investor” within the meaning of National Instrument 45-106 Prospectus Exemptions.
11. Pursuant to a Notice of Intention to Make a Normal Course Issuer Bid (the “Original Notice”) which was accepted by
the TSX effective March 16, 2017, the Issuer was permitted to make a normal course issuer bid (the “NCIB”) to purchase up to 15,000,000 Common Shares (excluding purchases by non-independent trustees) representing approximately 0.9% of the Issuer’s then outstanding Common Shares. As of April 20, 2017, the Issuer had completed the repurchase of the entire 15,000,000 Common Shares pursuant to the Original Notice. On September 19, 2017, the TSX accepted an amendment (the “Amendment” together with the Original Notice, the “Notice”) to permit the Issuer to purchase an additional 20,000,000 Common Shares (the “Additional Common Shares”) pursuant to the NCIB, for an aggregate of 35,000,000 Common Shares representing approximately 1.9% of the Issuer’s then outstanding Common Shares. In accordance with the Notice, the NCIB is conducted through the facilities of the TSX or alternative Canadian trading platforms, or such other means as may be permitted by the TSX in accordance with sections 628 to 629.3 of Part VI of the TSX Company Manual (the “TSX Rules”) or by such other means as may be permitted by a securities regulatory authority, including private agreements or share repurchase programs under issuer bid exemption orders issued by securities regulatory authorities.
12. The NCIB is being conducted in reliance upon the exemption from the Issuer Bid Requirements set out in subsection
4.8(2) of NI 62-104 (the “Designated Exchange Exemption”). 13. The NCIB is also being conducted in the normal course on other permitted published markets in Canada (the “Other
Published Markets”) in reliance upon the exemption from the Issuer Bid Requirements set out in subsection 4.8(3) of NI 62-104 (the “Other Published Markets Exemption”, and together with the Designated Exchange Exemption, the “Exemptions”).
14. Pursuant to the TSX Rules, the Issuer has appointed TD Securities Inc. as its designated broker in respect of the NCIB
(the “Responsible Broker”). 15. Any automatic share repurchase plan established by the Issuer in connection with the NCIB prior to the
commencement of the Program Term (as defined below) will not be in effect during the Program Term. Any automatic share repurchase plan established by the Issuer in connection with the NCIB prior to the commencement of the Program Term (as defined below) has been completed and no other automatic share repurchase plans will be implemented or operative during the Program Term.
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16. During the course of the NCIB, Common Shares may be purchased by trustees or administrators that are not independent of the Issuer pursuant to the TSX Rules (a “Plan Trustee”) in the open market to satisfy net requirements of certain employee plans (“Plan Trustee Purchases”).
17. Pursuant to relief granted by the TSX on March 28, 2017, certain of the Issuer’s broadly-based, market-sourced,
employee-directed employee share purchase plans were exempted from the provisions of the TSX Rules that would deem the plans to have non-independent trustees (the “Exempted Plans”). Other than purchases made under the Exempted Plans (“Exempted Plan Trustee Purchases”), no Plan Trustee Purchases will be made during the Program Term (as defined below).
18. The Filers wish to participate in the Program during, and as part of, the NCIB to enable the Issuer to purchase from
BNS, and for BNS to sell to the Issuer, that number of Common Shares equal to the Program Maximum. 19. To the best of the Issuer's knowledge the “public float” (calculated in accordance with the TSX Rules) for the Common
Shares as at August 31, 2017 represented more than 99.0% of all issued and outstanding Common Shares. The Common Shares are “highly-liquid securities” as that term is defined in section 1.1 of OSC Rule 48-501 Trading during Distributions, Formal Bids and Share Exchange Transactions (“OSC Rule 48-501”) and section 1.1 of the Universal Market Integrity Rules (“UMIR”).
20. Pursuant to the terms of the Program Agreement (as defined below), SCI will acquire Common Shares through the
facilities of the TSX and on Other Published Markets in Canada (each, a “Canadian Other Published Market” and collectively with the TSX, the “Canadian Markets”) under the Program. No Common Shares will be acquired under the Program on any other published markets other than Canadian Other Published Markets.
21. The Program will be governed by, and conducted in accordance with, the terms and conditions of a Share Repurchase
Program Agreement (the “Program Agreement”) that will be entered into among the Filers and SCI prior to the commencement of the Program and a copy of which will be delivered by the Filers to the Commission promptly thereafter.
22. The Program will commence on the Trading Day (defined below) following completion or termination of the BMO
Program (defined below) and will terminate on the earlier of December 1, 2017 and the date on which the Issuer will have purchased the Program Maximum under the Program (the “Program Term”). Neither the Issuer nor any of the Scotia Entities may unilaterally terminate the Program Agreement during the Program Term, except in the case of an event of default by a party thereunder or a change in law or announced change in law that would have adverse consequences to the transactions under the Program or the Issuer or either of the Scotia Entities.
23. Concurrently with this Application, the Issuer has filed an additional application with the Commission for exemptive
relief from the Issuer Bid Requirements in connection with the proposed purchase by the Issuer of up to 3,580,000 Common Shares (“BMO Program Maximum”) from BMO Nesbitt Burns Inc. pursuant to a share repurchase program (the “BMO Program”, and together with the Program, the “Programs”). The BMO Program will begin on a date determined by the Issuer and will terminate on the earlier of December 1, 2017 and the date on which the Issuer will have purchased the BMO Program Maximum (the “BMO Program Term”).
24. At least two clear Trading Days prior to the commencement of the BMO Program, the Issuer will issue and file a press
release (the “Commencement Press Release”) that will have been pre-cleared by the TSX that (a) describes the material features of the Programs, including the Program Term and the BMO Program Term; (b) discloses the Issuer's intention to participate in the Programs during the NCIB; (c) states that it is the Issuer’s current intention to purchase the Program Maximum and the BMO Program Maximum, but that the number of Common Shares purchased pursuant to the Programs may be less than the Program Maximum and the BMO Program Maximum, respectively; (d) provides an explanation as to why less than the Program Maximum and the BMO Program Maximum may be purchased; and (e) states that, immediately following the completion of the Program, the Issuer will issue and file the Completion Press Release (as defined below).
25. The Program Maximum will not exceed the number of Common Shares remaining that the Issuer is entitled to acquire
under the NCIB, calculated as at the date of the Program Agreement. 26. The Program will:
(a) be an “automatic securities purchase plan” as defined in National Instrument 55-104 Insider Reporting
Requirements and Exemptions (as applied, mutatis mutandis, to purchases made by an issuer) and SCI will conduct the Program in its sole discretion, in accordance with the irrevocable instructions to be established by the Issuer, and conveyed by the Issuer to SCI, pursuant to the Program Agreement (the “Irrevocable Instructions”); and
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(b) comply with applicable securities regulatory requirements and guidance, including, inter alia, clause 175(2) of Regulation 1015 of the Act, OSC Staff Notice 55-701 Automatic Securities Disposition Plans and Automatic Securities Purchase Plans and similar rules and regulations regarding automatic acquisitions of securities under Canadian securities laws.
27. The Program Agreement will be entered into, and the Irrevocable Instructions will be given, at a time when the Issuer is
not (i) in a regularly scheduled quarterly blackout period that is imposed by the Issuer on its directors, executive officers and other insiders pursuant to the Issuer's internal insider trading policy, or (ii) aware of Undisclosed Information (as defined below).
28. The TSX has been advised of the Issuer's intention to enter into the Program and has confirmed that it has no objection
to the Issuer conducting the Program as part of the NCIB. The TSX will be provided with a copy of the Program Agreement.
29. The Irrevocable Instructions will be of the same nature as the instructions that the Issuer would have given to the
Responsible Broker, if the Issuer was conducting the NCIB in reliance on the Exemptions. 30. All Common Shares acquired for the purposes of the Program by SCI on a day during the Program Term on which
Canadian Markets are open for trading (each, a “Trading Day”) must be acquired on Canadian Markets in accordance with the TSX Rules and any by-laws, rules, regulations or policies of any Canadian Markets upon which purchases are carried out (collectively, the “NCIB Rules”) that would be applicable to the Issuer in connection with the NCIB, provided that: (a) the aggregate number of Common Shares to be acquired on Canadian Markets by SCI on each Trading Day
shall not exceed the maximum daily limit that is imposed upon the NCIB pursuant to the TSX Rules, determined with reference to an average daily trading volume that is based on the trading volume of the Common Shares on all Canadian Markets rather than being limited to the trading volume on the TSX only (the “Modified Maximum Daily Limit”), it being understood that the aggregate number of Common Shares to be acquired on the TSX by SCI on each Trading Day will not exceed the maximum daily limit that is imposed on the NCIB pursuant to the TSX Rules; and
(b) notwithstanding the block purchase exception provided for in the TSX Rules, no purchases will be made by
SCI on any Canadian Markets pursuant to any pre-arranged trade.
31. The aggregate number of Common Shares acquired by SCI in connection with the Program: (a) shall not exceed the Program Maximum; and (b) on Canadian Other Published Markets, shall not exceed that number of Common Shares remaining eligible for
purchase by the Issuer pursuant to the Other Published Markets Exemption, calculated as at the date of the Program Agreement.
32. On every Trading Day, SCI will purchase the Number of Common Shares. The “Number of Common Shares” will be
no greater than the least of: (a) the maximum number of Common Shares established in the instructions set out in the Program Agreement; (b) the Program Maximum less the aggregate number of Common Shares previously purchased by SCI under the
Program; (c) on a Trading Day where trading ceases on the TSX or some other event that would impair SCI's ability to
acquire Common Shares on Canadian Markets occurs (a “Market Disruption Event”), the number of Common Shares acquired by SCI on such Trading Day up until the time of the Market Disruption Event; and
(d) the Modified Maximum Daily Limit. The “Discounted Price” per Common Share will be equal to (i) the volume weighted average price of the Common Shares on the Canadian Markets on the Trading Day on which purchases were made less an agreed upon discount, or (ii) upon the occurrence of a Market Disruption Event, the volume weighted average price of the Common Shares on the Canadian Markets at the time of the Market Disruption Event less an agreed upon discount.
33. BNS will deliver to the Issuer that number of Inventory Shares equal to the number of Common Shares purchased by
SCI on a Trading Day under the Program no later than the third Trading Day thereafter, and the Issuer will pay BNS a
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purchase price equal to the Discounted Price for each such Inventory Share. Each Inventory Share purchased by the Issuer under the Program will be cancelled upon delivery to the Issuer.
34. BNS will not sell any Inventory Shares to the Issuer unless SCI has purchased the equivalent number of Common
Shares on Canadian Markets under the Program. The number of Common Shares that are purchased by SCI on Canadian Markets on a Trading Day under the Program will be equal to the Number of Common Shares for such Trading Day. SCI will provide the Issuer with a daily written report of SCI's purchases, which report will indicate, inter alia, the aggregate number of Common Shares acquired under the Program, the Canadian Market on which such Common Shares were acquired, and the Modified Maximum Daily Limit.
35. During the Program Term, the Issuer will: (a) not purchase, directly or indirectly, any Common Shares (other than
Inventory Shares purchased under the Program); (b) prohibit the Responsible Broker from acquiring any Common Shares on its behalf; and (c) prohibit any Plan Trustee from undertaking any Plan Trustee Purchases, other than Exempted Plan Trustee Purchases.
36. All purchases of Common Shares under the Program will be made by SCI and neither of the Scotia Entities will engage
in any hedging activity in connection with the conduct of the Program. 37. The Issuer will report its purchases of Common Shares under the Program to the TSX in accordance with the TSX
Rules. In addition, immediately following the completion of the Program, the Issuer will: (a) report the total number of Common Shares acquired under the Program to the TSX and the Commission; and (b) issue and file a press release that announces the completion of the Program and sets out the number of Common Shares acquired under the Program and the aggregate dollar amount paid for such Common Shares (the “Completion Press Release”).
38. The Issuer is of the view that: (a) it will be able to purchase Common Shares from BNS at a lower price than the price
at which it would be able to purchase an equivalent quantity of Common Shares under the NCIB in reliance on the Exemptions; and (b) the purchase of Common Shares pursuant to the Program is in the best interests of the Issuer and constitutes a desirable use of the Issuer's funds.
39. The entering into of the Program Agreement, the purchase of Common Shares by SCI in connection with the Program,
and the sale of Inventory Shares by BNS to the Issuer will not adversely affect the Issuer or the rights of any of the Issuer's security holders and it will not materially affect control of the Issuer.
40. The sale of Inventory Shares to the Issuer by BNS will not be a “distribution” (as defined in the Act). 41. The Issuer will be able to acquire the Inventory Shares from BNS without the Issuer being subject to the dealer
registration requirements of the Act. 42. At the time the Issuer and the Scotia Entities enter into the Program Agreement, neither the Issuer, nor any member of
the Global Equity Derivatives group of BNS, nor any personnel of either of the Scotia Entities that negotiated the Program Agreement or made, participated in the making of, or provided advice in connection with, the decision to enter into the Program Agreement and sell the Common Shares, will be aware of any “material change” or “material fact” (each as defined in the Act) with respect to the Issuer or the Common Shares that has not been generally disclosed (the “Undisclosed Information”).
43. The Issuer and each of the Scotia Entities:
(a) has policies and procedures in place to ensure that the Program will be conducted in accordance with, among
other things, the Program Agreement and this Order, and to preclude those persons responsible for administering the Program from acquiring any Undisclosed Information during the conduct of the Program; and
(b) will, prior to entering into the Program Agreement, (i) ensure that its systems are capable of adhering to, and
performing in accordance with, the requirements of the Program and this Order, and (ii) provide all necessary training and take all necessary actions to ensure that the persons administering and executing the purchases under the Program are aware of, and understand the terms of this Order.
AND UPON the Commission being satisfied that to do so would not be prejudicial to the public interest; IT IS ORDERED pursuant to section 6.1 of NI 62-104 that the Issuer be exempt from the Issuer Bid Requirements in respect of the purchase of Inventory Shares from BNS pursuant to the Program, provided that:
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(a) at least two clear Trading Days prior to the commencement of the BMO Program the Issuer issues and files the Commencement Press Release;
(b) all purchases of Common Shares under the Program are made on Canadian Markets by SCI, and are:
(i) made in accordance with the NCIB Rules applicable to the NCIB, as modified by paragraph 30 of this
Order; (ii) taken into account by the Issuer when calculating the maximum annual aggregate limits that are
imposed upon the NCIB in accordance with the TSX Rules, with those Common Shares purchased on Canadian Other Published Markets being taken into account by the Issuer when calculating the maximum aggregate limits that are imposed upon the Issuer in accordance with the Other Published Markets Exemption;
(iii) marked with such designation, as would be required by the applicable marketplace and UMIR for
trades made by an agent of the Issuer; and (iv) monitored by the Scotia Entities on a continual basis for the purposes of ensuring compliance with
the terms of this Order, the NCIB Rules, and applicable securities law;
(c) during the Program Term, (i) the Issuer does not purchase, directly or indirectly, any Common Shares (other than Inventory Shares purchased under the Program), (ii) no Common Shares are purchased on behalf of the Issuer by the Responsible Broker and (iii) no Plan Trustee Purchases (other than Exempted Plan Trustee Purchases) are undertaken by any Plan Trustee;
(d) the number of Inventory Shares transferred by BNS to the Issuer for purchase under the Program in respect of
a particular Trading Day is equal to the number of Common Shares purchased by SCI under the Program on Canadian Markets in respect of the Trading Day;
(e) no hedging activity is engaged in by the Scotia Entities in connection with the conduct of the Program; (f) at the time of the commencement of the Program Term:
(i) the Common Shares are “highly liquid securities”, as that term is defined in section 1.1 of OSC Rule
48-501 and section 1.1 of UMIR; and (ii) none of the Issuer, any member of the Global Equity Derivatives group of BNS, or any personnel of
either of the Scotia Entities that negotiated the Program Agreement or made, participated in the making of, or provided advice in connection with, the decision to enter into the Program Agreement and sell the Common Shares, was aware of any Undisclosed Information;
(g) no purchase instructions in respect of the Program are given by the Issuer to SCI and no automatic securities
purchase plan is entered into in respect of the Program at any time that the Issuer is aware of Undisclosed Information;
(h) the Scotia Entities maintain records of all purchases of Common Shares that are made by SCI pursuant to the
Program, which will be available to the Commission and IIROC upon request; and (i) in addition to reporting its purchases of Common Shares under the Program to the TSX in accordance with
the TSX Rules, immediately following the completion of the Program, the Issuer will: (i) report the total number of Common Shares acquired under the Program to the TSX and the Commission, and (ii) issue and file the Completion Press Release.
DATED at Toronto, Ontario, this 4th day of October, 2017. “Naizam Kanji” Director, Office of Mergers & Acquisitions Ontario Securities Commission
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(2017), 40 OSCB 8256
2.2.4 The Toronto-Dominion Bank and BMO Nesbitt Burns Inc. – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids Headnote Section 6.1 of NI 62-104 – Issuer bid – relief from the requirements applicable to issuer bids in Part 2 of NI 62-104 – issuer proposes to purchase, pursuant to a repurchase program and at a discounted purchase price, up to a specified number of its common shares under its normal course issuer bid from a third party – the third party will abide by the requirements governing normal course issuer bids as though it was the issuer, subject to certain modifications, including that the third party will not make any purchases under the program pursuant to a pre-arranged trade – common shares delivered to the issuer for cancellation will be common shares from the third party's existing inventory – the third party will purchase common shares under the program on the same basis as if the Issuer had conducted the bid in reliance on the normal course issuer bid exemptions set out in securities legislation – no adverse economic impact on, or prejudice to, the Issuer or its security holders – acquisition of securities exempt from the requirements applicable to issuer bids in Part 2 of NI 62-104, subject to conditions, including that the number of common shares transferred by the third party from its existing inventory to the issuer for purchase under the program be equivalent to the number of common shares that the third party has purchased, or had purchased on its behalf, on Canadian markets. Applicable Legislative Provisions National Instrument 62-104 Take-Over Bids and Issuer Bids, Part 2 and s. 6.1.
IN THE MATTER OF THE SECURITIES ACT,
R.S.O. 1990, c. S.5, AS AMENDED
AND
IN THE MATTER OF THE TORONTO-DOMINION BANK AND
BMO NESBITT BURNS INC.
ORDER (Section 6.1 of National Instrument 62-104)
UPON the application (the “Application”) of The Toronto-Dominion Bank (the “Issuer”) and BMO Nesbitt Burns Inc. (“BMO Nesbitt”, and together with the Issuer, the “Filers”) to the Ontario Securities Commission (the “Commission”) for an order pursuant to section 6.1 of National Instrument 62-104 Take-Over Bids and Issuer Bids (“NI 62-104”) exempting the Issuer from the requirements applicable to issuer bids in Part 2 of NI 62-104 (the “Issuer Bid Requirements”) in respect of the proposed purchases by the Issuer of up to 3,580,000 (the “Program Maximum”) of its common shares (the “Common Shares”) from BMO Nesbitt pursuant to a share repurchase program (the “Program”); AND UPON considering the Application and the recommendation of staff of the Commission; AND UPON the Issuer having represented to the Commission the matters set out in paragraphs 1 to 4, inclusive, 7, 11 to 19, inclusive, 21 to 30, inclusive, 33, 35, 37 to 43, inclusive, as they relate to the Issuer; AND UPON BMO Nesbitt and Bank of Montreal (“BMO”, and together with BMO Nesbitt, the “BMO Entities”) having, together, represented to the Commission the matters set out in paragraphs 5 to 10 inclusive, 18, 20 to 22 inclusive, 26, 30 to 34 inclusive, 36, 40, 42 and 43 as they relate to the BMO Entities, as applicable; 1. The Issuer is a Schedule I bank governed by the Bank Act (Canada). 2. The Issuer maintains its registered office at Toronto-Dominion Centre, Toronto, Ontario, M5K 1A2. 3. The Issuer is a reporting issuer in each of the provinces and territories of Canada (the “Jurisdictions”) and the
Common Shares are listed for trading on the Toronto Stock Exchange (the “TSX”) and the New York Stock Exchange. The Issuer is not in default of any requirement of the securities legislation of the Jurisdictions.
4. The authorized share capital of the Issuer consists of an unlimited number of Common Shares and an unlimited
number of Class A First Preferred Shares which may be issued in one or more series. As at August 31, 2017, 1,848,896,530 Common Shares, 5,387,491 Series S Class A First Preferred Shares, 4,612,509 Series T Class A First Preferred Shares, 5,481,853 Series Y Class A First Preferred Shares, 4,518,147 Series Z Class A First Preferred Shares, 20,000,000 Series 1 Class A First Preferred Shares, 20,000,000 Series 3 Class A First Preferred Shares,
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(2017), 40 OSCB 8257
20,000,000 Series 5 Class A First Preferred Shares, 14,000,000 Series 7 Class A First Preferred Shares, 8,000,000 Class 9 Series A First Preferred Shares, 6,000,000 Series 11 Class A First Preferred Shares, 28,000,000 Series 12 Class A First Preferred Shares, 40,000,000 Series 14 Class A First Preferred Shares and 14,000,000 Series 16 Class A First Preferred Shares were issued and outstanding.
5. BMO is a Schedule I bank governed by the Bank Act (Canada). The corporate headquarters of BMO is located in the
Province of Ontario. 6. BMO Nesbitt is registered as an investment dealer under the securities legislation of British Columbia, Alberta,
Saskatchewan, Manitoba, Ontario, Quebec, Nova Scotia, Newfoundland and Labrador, New Brunswick, Prince Edward Island, Yukon, the Northwest Territories and Nunavut. It is also registered as a futures commission merchant under the Commodity Futures Act (Ontario), as a derivatives dealer under the Derivatives Act (Québec), and as dealer (futures commission merchant) under The Commodity Futures Act (Manitoba). BMO Nesbitt is a member of the Investment Industry Regulatory Organization of Canada (“IIROC”) and the Canadian Investor Protection Fund, a participating organization or member of the TSX, TSX Venture Exchange and Canadian Securities Exchange, and an approved participant of the Bourse de Montréal. The head office of BMO Nesbitt is located in Toronto, Ontario.
7. Each proposed purchase will be executed and settled in the Province of Ontario. 8. BMO Nesbitt does not directly or indirectly own more than 5% of the issued and outstanding Common Shares. 9. BMO Nesbitt is the beneficial owner of at least 3,580,000 Common Shares, none of which were acquired by, or on
behalf of, BMO Nesbitt in anticipation or contemplation of resale to the Issuer (such Common Shares over which BMO Nesbitt has beneficial ownership, the “Inventory Shares”). All of the Inventory Shares are held by BMO Nesbitt in the Province of Ontario. No Common Shares were purchased by, or on behalf of, BMO Nesbitt on or after August 16, 2017, being the date that was 30 days prior to the date of the Application, in anticipation or contemplation of a sale of Common Shares by BMO Nesbitt to the Issuer.
10. BMO Nesbitt is at arm's length to the Issuer and is not an “insider” of the Issuer, an “associate” of an “insider” of the
Issuer, or an “associate” or “affiliate” of the Issuer, as such terms are defined in the Securities Act (Ontario) (the “Act”). BMO Nesbitt is an “accredited investor” within the meaning of National Instrument 45-106 Prospectus Exemptions.
11. Pursuant to a Notice of Intention to Make a Normal Course Issuer Bid (the “Original Notice”) which was accepted by
the TSX effective March 16, 2017, the Issuer was permitted to make a normal course issuer bid (the “NCIB”) to purchase up to 15,000,000 Common Shares (excluding purchases by non-independent trustees) representing approximately 0.9% of the Issuer’s then outstanding Common Shares. As of April 20, 2017, the Issuer had completed the repurchase of the entire 15,000,000 Common Shares pursuant to the Original Notice. On September 19, 2017, the TSX accepted an amendment (the “Amendment” together with the Original Notice, the “Notice”) to permit the Issuer to purchase an additional 20,000,000 Common Shares (the “Additional Common Shares”) pursuant to the NCIB, for an aggregate of 35,000,000 Common Shares representing approximately 1.9% of the Issuer’s then outstanding Common Shares. In accordance with the Notice, the NCIB is conducted through the facilities of the TSX or alternative Canadian trading platforms, or such other means as may be permitted by the TSX in accordance with sections 628 to 629.3 of Part VI of the TSX Company Manual (the “TSX Rules”) or by such other means as may be permitted by a securities regulatory authority, including private agreements or share repurchase programs under issuer bid exemption orders issued by securities regulatory authorities.
12. The NCIB is being conducted in reliance upon the exemption from the Issuer Bid Requirements set out in subsection
4.8(2) of NI 62-104 (the “Designated Exchange Exemption”). 13. The NCIB is also being conducted in the normal course on other permitted published markets in Canada (the “Other
Published Markets”) in reliance upon the exemption from the Issuer Bid Requirements set out in subsection 4.8(3) of NI 62-104 (the “Other Published Markets Exemption”, and together with the Designated Exchange Exemption, the “Exemptions”).
14. Pursuant to the TSX Rules, the Issuer has appointed TD Securities Inc. as its designated broker in respect of the NCIB
(the “Responsible Broker”). 15. Any automatic share repurchase plan established by the Issuer in connection with the NCIB prior to the
commencement of the Program Term (as defined below) will not be in effect during the Program Term. Any automatic share repurchase plan established by the Issuer in connection with the NCIB prior to the commencement of the Program Term (as defined below) has been completed and no other automatic share repurchase plans will be implemented or operative during the Program Term.
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(2017), 40 OSCB 8258
16. During the course of the NCIB, Common Shares may be purchased by trustees or administrators that are not independent of the Issuer pursuant to the TSX Rules (a “Plan Trustee”) in the open market to satisfy net requirements of certain employee plans (“Plan Trustee Purchases”).
17. Pursuant to relief granted by the TSX on March 28, 2017, certain of the Issuer’s broadly-based, market-sourced,
employee-directed employee share purchase plans were exempted from the provisions of the TSX Rules that would deem the plans to have non-independent trustees (the “Exempted Plans”). Other than purchases made under the Exempted Plans (“Exempted Plan Trustee Purchases”), no Plan Trustee Purchases will be made during the Program Term (as defined below).
18. The Filers wish to participate in the Program during, and as part of, the NCIB to enable the Issuer to purchase from
BMO Nesbitt, and for BMO Nesbitt to sell to the Issuer, that number of Common Shares equal to the Program Maximum.
19. To the best of the Issuer's knowledge the “public float” (calculated in accordance with the TSX Rules) for the Common
Shares as at August 31, 2017 represented more than 99.0% of all issued and outstanding Common Shares. The Common Shares are “highly-liquid securities” as that term is defined in section 1.1 of OSC Rule 48-501 Trading during Distributions, Formal Bids and Share Exchange Transactions (“OSC Rule 48-501”) and section 1.1 of the Universal Market Integrity Rules (“UMIR”).
20. Pursuant to the terms of the Program Agreement (as defined below), BMO has retained BMO Nesbitt to acquire
Common Shares through the facilities of the TSX and on Other Published Markets in Canada (each, a “Canadian Other Published Market” and collectively with the TSX, the “Canadian Markets”) under the Program. No Common Shares will be acquired under the Program on any other published markets other than Canadian Other Published Markets.
21. The Program will be governed by, and conducted in accordance with, the terms and conditions of a Share Repurchase
Program Agreement (the “Program Agreement”) that will be entered into among the Filers and BMO prior to the commencement of the Program and a copy of which will be delivered by the Filers to the Commission promptly thereafter.
22. The Program will commence on a date to be determined by the Issuer and will terminate on the earlier of December 1,
2017 and the date on which the Issuer will have purchased the Program Maximum under the Program (the “Program Term”). Neither the Issuer nor any of the BMO Entities may unilaterally terminate the Program Agreement during the Program Term, except in the case of an event of default by a party thereunder or a change in law or announced change in law that would have adverse consequences to the transactions under the Program or the Issuer or either of the BMO Entities.
23. Concurrently with this Application, the Issuer has filed an additional application with the Commission for exemptive
relief from the Issuer Bid Requirements in connection with the proposed purchase by the Issuer of up to 4,400,000 Common Shares (“BNS Program Maximum”) from The Bank of Nova Scotia pursuant to a share repurchase program (the “BNS Program”, and together with the Program, the “Programs”). The BNS Program will begin on the Trading Day (as defined below) following completion or termination of the Program and will terminate on the earlier of December 1, 2017 and the date on which the Issuer will have purchased the BNS Program Maximum (the “BNS Program Term”).
24. At least two clear Trading Days prior to the commencement of the Program, the Issuer will issue and file a press
release (the “Commencement Press Release”) that will have been pre-cleared by the TSX that (a) describes the material features of the Programs, including the Program Term and the BNS Program Term; (b) discloses the Issuer's intention to participate in the Programs during the NCIB; (c) states that it is the Issuer’s current intention to purchase the Program Maximum and the BNS Program Maximum, but that the number of Common Shares purchased pursuant to the Programs may be less than the Program Maximum and the BNS Program Maximum, respectively; (d) provides an explanation as to why less than the Program Maximum and the BNS Program Maximum may be purchased; and (e) states that, immediately following the completion of the Program, the Issuer will issue and file the Completion Press Release (as defined below).
25. The Program Maximum will not exceed the number of Common Shares remaining that the Issuer is entitled to acquire
under the NCIB, calculated as at the date of the Program Agreement. 26. The Program will:
(a) be an “automatic securities purchase plan” as defined in National Instrument 55-104 Insider Reporting
Requirements and Exemptions (as applied, mutatis mutandis, to purchases made by an issuer) and BMO will
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conduct the Program in its sole discretion, in accordance with the irrevocable instructions to be established by the Issuer, and conveyed by the Issuer to BMO, pursuant to the Program Agreement (the “Irrevocable Instructions”); and
(b) comply with applicable securities regulatory requirements and guidance, including, inter alia, clause 175(2) of
Regulation 1015 of the Act, OSC Staff Notice 55-701 Automatic Securities Disposition Plans and Automatic Securities Purchase Plans and similar rules and regulations regarding automatic acquisitions of securities under Canadian securities laws.
27. The Program Agreement will be entered into, and the Irrevocable Instructions will be given, at a time when the Issuer is
not (i) in a regularly scheduled quarterly blackout period that is imposed by the Issuer on its directors, executive officers and other insiders pursuant to the Issuer's internal insider trading policy, or (ii) aware of Undisclosed Information (as defined below).
28. The TSX has been advised of the Issuer's intention to enter into the Program and has confirmed that it has no objection
to the Issuer conducting the Program as part of the NCIB. The TSX will be provided with a copy of the Program Agreement.
29. The Irrevocable Instructions will be of the same nature as the instructions that the Issuer would have given to the
Responsible Broker, if the Issuer was conducting the NCIB in reliance on the Exemptions. 30. All Common Shares acquired for the purposes of the Program by BMO Nesbitt on a day during the Program Term on
which Canadian Markets are open for trading (each, a “Trading Day”) must be acquired on Canadian Markets in accordance with the TSX Rules and any by-laws, rules, regulations or policies of any Canadian Markets upon which purchases are carried out (collectively, the “NCIB Rules”) that would be applicable to the Issuer in connection with the NCIB, provided that:
(a) the aggregate number of Common Shares to be acquired on Canadian Markets by BMO Nesbitt on each
Trading Day shall not exceed the maximum daily limit that is imposed upon the NCIB pursuant to the TSX Rules, determined with reference to an average daily trading volume that is based on the trading volume of the Common Shares on all Canadian Markets rather than being limited to the trading volume on the TSX only (the “Modified Maximum Daily Limit”), it being understood that the aggregate number of Common Shares to be acquired on the TSX by BMO Nesbitt on each Trading Day will not exceed the maximum daily limit that is imposed on the NCIB pursuant to the TSX Rules; and
(b) notwithstanding the block purchase exception provided for in the TSX Rules, no purchases will be made by
BMO on any Canadian Markets pursuant to any pre-arranged trade. 31. The aggregate number of Common Shares acquired by BMO Nesbitt in connection with the Program:
(a) shall not exceed the Program Maximum; and (b) on Canadian Other Published Markets, shall not exceed that number of Common Shares remaining eligible for
purchase by the Issuer pursuant to the Other Published Markets Exemption, calculated as at the date of the Program Agreement.
32. On every Trading Day, BMO Nesbitt will purchase the Number of Common Shares. The “Number of Common
Shares” will be no greater than the least of: (a) the maximum number of Common Shares established in the instructions set out in the Program Agreement; (b) the Program Maximum less the aggregate number of Common Shares previously purchased by BMO Nesbitt
under the Program; (c) on a Trading Day where trading ceases on the TSX or some other event that would impair BMO Nesbitt's
ability to acquire Common Shares on Canadian Markets occurs (a “Market Disruption Event”), the number of Common Shares acquired by BMO Nesbitt on such Trading Day up until the time of the Market Disruption Event; and
(d) the Modified Maximum Daily Limit. The “Discounted Price” per Common Share will be equal to (i) the volume weighted average price of the Common Shares on the Canadian Markets on the Trading Day on which purchases were made less an agreed upon discount, or
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(2017), 40 OSCB 8260
(ii) upon the occurrence of a Market Disruption Event, the volume weighted average price of the Common Shares on the Canadian Markets at the time of the Market Disruption Event less an agreed upon discount.
33. BMO Nesbitt will deliver to the Issuer that number of Inventory Shares equal to the number of Common Shares purchased by BMO Nesbitt on a Trading Day under the Program no later than the fourth Trading Day thereafter, and the Issuer will pay BMO Nesbitt a purchase price equal to the Discounted Price for each such Inventory Share. Each Inventory Share purchased by the Issuer under the Program will be cancelled upon delivery to the Issuer.
34. BMO Nesbitt will not sell any Inventory Shares to the Issuer unless BMO Nesbitt has purchased the equivalent number
of Common Shares on Canadian Markets under the Program. The number of Common Shares that are purchased by BMO Nesbitt on Canadian Markets on a Trading Day under the Program will be equal to the Number of Common Shares for such Trading Day. BMO Nesbitt will provide the Issuer with a daily written report of BMO Nesbitt's purchases, which report will indicate, inter alia, the aggregate number of Common Shares acquired under the Program, the Canadian Market on which such Common Shares were acquired, and the Modified Maximum Daily Limit.
35. During the Program Term, the Issuer will: (a) not purchase, directly or indirectly, any Common Shares (other than
Inventory Shares purchased under the Program); (b) prohibit the Responsible Broker from acquiring any Common Shares on its behalf; and (c) prohibit any Plan Trustee from undertaking any Plan Trustee Purchases, other than Exempted Plan Trustee Purchases.
36. All purchases of Common Shares under the Program will be made by BMO Nesbitt and neither of the BMO Entities will
engage in any hedging activity in connection with the conduct of the Program. 37. The Issuer will report its purchases of Common Shares under the Program to the TSX in accordance with the TSX
Rules. In addition, immediately following the completion of the Program, the Issuer will: (a) report the total number of Common Shares acquired under the Program to the TSX and the Commission; and (b) issue and file a press release that announces the completion of the Program and sets out the number of Common Shares acquired under the Program and the aggregate dollar amount paid for such Common Shares (the “Completion Press Release”).
38. The Issuer is of the view that: (a) it will be able to purchase Common Shares from BMO Nesbitt at a lower price than
the price at which it would be able to purchase an equivalent quantity of Common Shares under the NCIB in reliance on the Exemptions; and (b) the purchase of Common Shares pursuant to the Program is in the best interests of the Issuer and constitutes a desirable use of the Issuer's funds.
39. The entering into of the Program Agreement, the purchase of Common Shares by BMO Nesbitt in connection with the
Program, and the sale of Inventory Shares by BMO Nesbitt to the Issuer will not adversely affect the Issuer or the rights of any of the Issuer's security holders and it will not materially affect control of the Issuer.
40. The sale of Inventory Shares to the Issuer by BMO Nesbitt will not be a “distribution” (as defined in the Act). 41. The Issuer will be able to acquire the Inventory Shares from BMO Nesbitt without the Issuer being subject to the dealer
registration requirements of the Act. 42. At the time the Issuer and the BMO Entities enter into the Program Agreement, neither the Issuer, nor any member of
the Trading Products Group of BMO Nesbitt, nor any personnel of either of the BMO Entities that negotiated the Program Agreement or made, participated in the making of, or provided advice in connection with, the decision to enter into the Program Agreement and sell the Common Shares, will be aware of any “material change” or “material fact” (each as defined in the Act) with respect to the Issuer or the Common Shares that has not been generally disclosed (the “Undisclosed Information”).
43. The Issuer and each of the BMO Entities:
(a) has policies and procedures in place to ensure that the Program will be conducted in accordance with, among
other things, the Program Agreement and this Order, and to preclude those persons responsible for administering the Program from acquiring any Undisclosed Information during the conduct of the Program; and
(b) will, prior to entering into the Program Agreement, (i) ensure that its systems are capable of adhering to, and
performing in accordance with, the requirements of the Program and this Order, and (ii) provide all necessary training and take all necessary actions to ensure that the persons administering and executing the purchases under the Program are aware of, and understand the terms of this Order.
AND UPON the Commission being satisfied that to do so would not be prejudicial to the public interest;
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(2017), 40 OSCB 8261
IT IS ORDERED pursuant to section 6.1 of NI 62-104 that the Issuer be exempt from the Issuer Bid Requirements in respect of the purchase of Inventory Shares from BMO Nesbitt pursuant to the Program, provided that:
(a) at least two clear Trading Days prior to the commencement of the Program the Issuer issues and files the Commencement Press Release;
(b) all purchases of Common Shares under the Program are made on Canadian Markets by BMO Nesbitt, and
are: (i) made in accordance with the NCIB Rules applicable to the NCIB, as modified by paragraph 30 of this
Order; (ii) taken into account by the Issuer when calculating the maximum annual aggregate limits that are
imposed upon the NCIB in accordance with the TSX Rules, with those Common Shares purchased on Canadian Other Published Markets being taken into account by the Issuer when calculating the maximum aggregate limits that are imposed upon the Issuer in accordance with the Other Published Markets Exemption;
(iii) marked with such designation, as would be required by the applicable marketplace and UMIR for
trades made by an agent of the Issuer; and (iv) monitored by the BMO Entities on a continual basis for the purposes of ensuring compliance with the
terms of this Order, NCIB Rules, and applicable securities law; (c) during the Program Term, (i) the Issuer does not purchase, directly or indirectly, any Common Shares (other
than Inventory Shares purchased under the Program), (ii) no Common Shares are purchased on behalf of the Issuer by the Responsible Broker and (iii) no Plan Trustee Purchases (other than Exempted Plan Trustee Purchases) are undertaken by any Plan Trustee;
(d) the number of Inventory Shares transferred by BMO Nesbitt to the Issuer for purchase under the Program in
respect of a particular Trading Day is equal to the number of Common Shares purchased by BMO Nesbitt under the Program on Canadian Markets in respect of the Trading Day;
(e) no hedging activity is engaged in by the BMO Entities in connection with the conduct of the Program; (f) at the time of the commencement of the Program Term:
(i) the Common Shares are “highly liquid securities”, as that term is defined in section 1.1 of OSC Rule
48-501 and section 1.1 of UMIR; and (ii) none of the Issuer, any member of the Trading Products Group of BMO Nesbitt, or any personnel of
either of the BMO Entities that negotiated the Program Agreement or made, participated in the making of, or provided advice in connection with, the decision to enter into the Program Agreement and sell the Common Shares, was aware of any Undisclosed Information;
(g) no purchase instructions in respect of the Program are given by the Issuer to the BMO Entities and no
automatic securities purchase plan is entered into in respect of the Program at any time that the Issuer is aware of Undisclosed Information;
(h) the BMO Entities maintain records of all purchases of Common Shares that are made by BMO Nesbitt
pursuant to the Program, which will be available to the Commission and IIROC upon request; and (i) in addition to reporting its purchases of Common Shares under the Program to the TSX in accordance with
the TSX Rules, immediately following the completion of the Program, the Issuer will: (i) report the total number of Common Shares acquired under the Program to the TSX and the Commission, and (ii) issue and file the Completion Press Release.
DATED at Toronto, Ontario, this 4th day of October, 2017. “Naizam Kanji” Director, Office of Mergers & Acquisitions Ontario Securities Commission
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(2017), 40 OSCB 8262
2.2.5 Avnel Gold Mining Limited Headnote National Policy 11-206 Process for Cease to be a Reporting Issuer Applications – The issuer ceased to be a reporting issuer under securities legislation. Applicable Legislative Provisions Securities Act, R.S.O. 1990, c. S.5, as am., s. 1(10)(a)(ii).
October 6, 2017
IN THE MATTER OF THE SECURITIES LEGISLATION OF
ONTARIO (THE JURISDICTION)
AND
IN THE MATTER OF
THE PROCESS FOR CEASE TO BE A REPORTING ISSUER
AND
IN THE MATTER OF
AVNEL GOLD MINING LIMITED (THE FILER)
ORDER
Background The securities regulator in the Jurisdiction has received an application from the Filer for an order under the securities legislation of the Jurisdiction of the principal regulator (the Legislation) that the Filer has ceased to be a reporting issuer in all jurisdictions of Canada in which it is a reporting issuer (the Order Sought). Under the Process for Cease to be a Reporting Issuer Applications (for a passport application):
(a) the Ontario Securities Commission is the principal regulator for this application; and
(b) the Filer has provided notice that sub-
section 4C.5(1) of Multilateral Instrument 11-102 Passport System (MI 11-102) is intended to be relied upon in British Columbia, Alberta, Saskatchewan, Mani-toba, New Brunswick, Nova Scotia, Prince Edward Island and Newfoundland.
Interpretation Terms defined in National Instrument 14-101 Definitions and MI 11-102 have the same meaning if used in this order, unless otherwise defined.
Representations This order is based on the following facts represented by the Filer: 1. the Filer is not an OTC reporting issuer under
Multilateral Instrument 51-105 Issuers Quoted in the U.S. Over-the-Counter Markets;
2. 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;
3. 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;
4. the Filer is applying for an order that the Filer has
ceased to be a reporting issuer in all of the jurisdictions of Canada in which it is a reporting issuer; and
5. the Filer is not in default of securities legislation in
any jurisdiction. Order Each of the Decision Makers is satisfied that the order meets the test set out in the Legislation for the principal regulator to make the order. The decision of the principal regulator under the Legislation is that the Order Sought is granted. “Sonny Randhawa” Deputy Director Corporate Finance Branch
Decisions, Orders and Rulings
October 12, 2017
(2017), 40 OSCB 8263
2.2.6 Asiamet Resources Limited National Policy 11-206 Process for Cease to be a Reporting Issuer Applications – Securities Act, s. 1(10) – Cease to be a reporting issuer in Ontario – The issuer’s securities are traded only on a market or exchange outside of Canada – Canadian residents own less than 2% of the issuer’s securities and represent less than 2% of the issuer’s total number of security holders; the issuer does not intend to do a public offering of its securities to Canadian residents, will not be a reporting issuer in a Canadian jurisdiction, is subject to the reporting requirements of UK securities laws, and all shareholders receive the same disclosure. Applicable Legislative Provisions Securities Act, R.S.O. 1990, c. S.5, as am., s. 1(10).
October 6, 2017
IN THE MATTER OF THE SECURITIES LEGISLATION OF BRITISH COLUMBIA AND ONTARIO
(the Jurisdictions)
AND
IN THE MATTER OF THE PROCESS FOR CEASE TO BE A REPORTING ISSUER APPLICATIONS
AND
IN THE MATTER OF
ASIAMET RESOURCES LIMITED (the Filer)
ORDER
Background 1 The securities regulatory authority or regulator (the Decision Maker) in each of the Jurisdictions has received an
application from the Filer for an order under the securities legislation of the Jurisdictions (the Legislation) that the Filer has ceased to be a reporting issuer under the Legislation in all jurisdictions of Canada in which it is a reporting issuer (the Order Sought). Under the Process for Cease to be a Reporting Issuer Applications (for a dual application):
(a) the British Columbia Securities Commission is the principal regulator for this application, (b) the Filer has provided notice that subsection 4C.5(1) of Multilateral Instrument 11-102 Passport
System (MI 11-102) is intended to be relied upon in Alberta, and (c) this order is the order of the principal regulator and evidences the decision of the securities
regulatory authority or regulator in Ontario.
Interpretation 2 Terms defined in National Instrument 14-101 Definitions have the same meaning if used in this order, unless otherwise
defined. Representations 3 This order is based on the following facts represented by the Filer:
1. the Filer is governed by the Bermuda Companies Act 1981 and its registered office is located in Bermuda, its head office is located in Australia and its operations offices are in Indonesia; the Filer’s records office is located at Unit 1 – 15782 Marine Drive, White Rock, British Columbia;
Decisions, Orders and Rulings
October 12, 2017
(2017), 40 OSCB 8264
2. the Filer is a reporting issuer in British Columbia, Alberta and Ontario (the Reporting Jurisdictions); 3. the Filer is a mineral exploration company active in Indonesia through Indonesian subsidiaries holding mineral
exploration licenses in Indonesia; 4. the Filer has no operations, employees, assets or premises in Canada, other than that its records office is
located in Canada; 5. the Filer’s main nexus to Canada is that one of the Filer’s directors is resident in Canada (Canadian Director)
and the Filer’s Corporate Secretary and Chief Financial Officer is resident in Canada (Canadian Officer); after the Filer ceases to be a reporting issuer in Canada the Corporate Secretary office will be performed by a United Kingdom resident and the Chief Financial Officer function will be performed by an Australian resident;
6. the authorized share capital of the Filer consists of 1,000,000,000 common shares (Shares), each with a par
value of US$0.01; 7. the Filer’s Shares are listed and posted for trading as depository interests through CREST (Depository
Interests) on the Alternative Investment Market (AIM) of the London Stock Exchange under the symbol “ARS”; the Filer has been trading on the AIM since 2008;
8. the Shares were listed on the TSX Venture Exchange (TSXV) under the trading symbol “ARS” but, at the
request of the Filer, were voluntarily delisted from the TSXV effective at the close of trading on February 28, 2017 (the Delisting Date);
9. the Filer is a designated foreign issuer under National Instrument 71-102 Continuous Disclosure and Other
Exemptions Relating to Foreign Issuers and is subject to the securities laws of the United Kingdom and the rules of the AIM;
10. the Filer is not in default of any of its obligations under the securities laws of the United Kingdom or the rules
of the AIM; 11. the Filer is not in default of any of its obligations under the securities laws of the Reporting Jurisdictions; 12. in support of the representations set forth in paragraphs 13 to 16 below concerning the percentage of
outstanding securities and the total number of security holders in Canada, the Filer sought and obtained information from the Filer’s registrar, Computershare Investor Services (Bermuda) Limited (Share Registrar), Computershare Investor Services PLC (Depository Interest Registrar) and analysis of the nominee holders provided by Orient Capital Corporation; the Filer undertook a thorough and diligent examination of the Filer’s share register and Depository Interest register for the purposes of determining the number, holdings, identity and geographic location of the direct and indirect holders of its outstanding Shares; the Filer believes that these inquiries were reasonable, given that its share register and the Depository Interest Registrar and the Registrar are the only official source of information on the Filer’s security holders;
13. based upon the searches conducted by the Share Registrar and the Depository Interest Registrar, as of
August 31, 2017, the Filer had: (a) 854,889,186 Shares outstanding to a total of 10,260 holders worldwide; (b) 35,082,200 share purchase options (Options) outstanding to purchase 35,082,200 Shares; and (c) 11,031,344 share purchase warrants (Warrants) outstanding to purchase 11,031,344 Shares;
14. based on the searches described in paragraph 12, at August 31, 2017, the Filer had: (a) 87 holders of Shares in Canada directly or indirectly beneficially holding 13,563,396 Shares,
representing 1.6% of the issued and outstanding Shares and less than 0.01% of the total holders of Shares worldwide;
(b) two holders of Options in Canada, the Canadian Director and the Canadian Officer, holding an
aggregate of 3,450,000 Options, representing 9.8% of the issued and outstanding Options and 8.0% of the total holders of Options worldwide;
15. none of the Warrants are held by Canadian residents;
Decisions, Orders and Rulings
October 12, 2017
(2017), 40 OSCB 8265
16. based on the foregoing, as of August 31, 2017, assuming full exercise of the Options held in Canada, residents of Canada do not: (a) directly or indirectly, beneficially own more than 2% of each class or series of outstanding securities
(including debt securities) of the Filer worldwide; and (b) directly or indirectly, comprise more than 2% of the total number of security holders of the Filer
worldwide.
17. the Filer is subject to all applicable requirements of (i) the corporate laws of Bermuda; (ii) the securities laws of the United Kingdom; and (iii) the rules and reporting requirements of the AIM;
18. in the last twelve months, the Filer has not conducted a prospectus offering in Canada, and since the Delisting
Date, has not taken steps to create a market for its securities in Canada; the Filer does not intend to conduct any offerings of its securities in Canada or to trade its securities in Canada on a marketplace as defined in National Instrument 21-101 Marketplace Operation;
19. the issuer only attracted a de minimis number of Canadian investors; during the twelve months prior to the
Delisting Date, the daily average volume of trading of the Shares on the TSXV accounted for 1.12% of the worldwide daily average volume of trading of the Shares on the TSXV and the AIM;
20. the Filer disseminated a news release dated September 12, 2017 announcing that it had submitted an
application to the Decision Makers for a decision that it is not a reporting issuer in the Reporting Jurisdictions and, if that decision is made, the Filer will no longer be a reporting issuer in any jurisdiction of Canada;
21. none of the Filer’s securities, including debt securities, are traded on a marketplace or listed or quoted on any
other market or exchange in Canada, and the Filer does not intend to have its securities listed, traded or quoted on such a marketplace in Canada;
22. the Shares of the Filer will remain listed on the AIM, and the Filer will be subject to the periodic and timely
disclosure requirements under the securities laws of the United Kingdom and the rules of the AIM; and 23. the Filer has provided an undertaking to the securities regulatory authority or regulator in each of the
Reporting Jurisdictions to concurrently deliver to its Canadian security holders all disclosure the Filer is required to deliver to United Kingdom-resident security holders under the securities laws of the United Kingdom and the rules of the AIM.
Order Each of the Decision Makers is satisfied that the order meets the test set out in the Legislation for the Decision Maker to make the order. The decision of the Decision Makers under the Legislation is that the Order Sought is granted. “John Hinze” Director, Corporate Finance British Columbia Securities Commission
Decisions, Orders and Rulings
October 12, 2017
(2017), 40 OSCB 8266
2.2.7 Sandvine Corporation – s. 1(6) of the OBCA Applicant deemed to have ceased to be offering its securities to the public under the Business Corporations Act (Ontario). Statutes Cited Business Corporations Act, R.S.O. 1990, c. B.16 as am., s. 1(6).
IN THE MATTER OF
THE BUSINESS CORPORATIONS ACT (ONTARIO), R.S.O. 1990, c. B.16, AS AMENDED
(the “OBCA”)
AND
IN THE MATTER OF SANDVINE CORPORATION
(THE “APPLICANT”)
ORDER Subsection 1(6) of the OBCA)
UPON the application of the Applicant to the Ontario Securities Commission (the “Commission”) for an order pursuant to subsection 1(6) of the OBCA to be deemed to have ceased to be offering its securities to the public; AND UPON the Applicant representing to the Commission that: 1. the Applicant is an “offering corporation” as defined in the OBCA and has an authorized capital consisting of an
unlimited number of common shares (“Common Shares”), of which 120,566,638 Common Shares are outstanding; 2. the Applicant’s registered address is located at 408 Albert Street, Waterloo, Ontario, N2L 3V3; 3. on September 21, 2017, all of the issued and outstanding Common Shares of the Applicant were purchased by PNI
Canada Acquireco Corp. (“PNI”) by way of a plan of arrangement (the “Arrangement”) entered into on July 17, 2017; 4. as a result of the Arrangement, all of the issued and outstanding Common Shares are beneficially owned, directly or
indirectly, by PNI and no other securities, including debt securities, of the Applicant are currently issued and outstanding;
5. the Applicant has no intention to seek public financing by way of an offering of securities; 6. the Applicant’s Common Shares were de-listed from the TSX effective the close of trading on September 22, 2017; and 7. on October 5, 2017, the Applicant was granted an order pursuant to subclause 1(10)(a)(ii) of the Securities Act
(Ontario) that it is not a reporting issuer in Ontario and is not a reporting issuer or the equivalent in any other jurisdiction of Canada in accordance with the simplified procedure set out in National Policy 11-206 Process for Cease to be a Reporting Issuer Applications.
AND UPON the Commission being satisfied to do so would not be prejudicial to the public interest; IT IS HEREBY ORDERED by the Commission pursuant to subsection 1(6) of the OBCA that the Applicant be deemed to have ceased to be offering its securities to the public. DATED at Toronto on this 6th day of October, 2017. “Janet Leiper” Commissioner Ontario Securities Commission “Deborah Leckman” Commissioner Ontario Securities Commission
October 12, 2017
(2017), 40 OSCB 8267
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
THERE IS NOTHING TO REPORT THIS WEEK. Failure to File Cease Trade Orders
Company Name Date of Order Date of Revocation
Easy Technologies Inc. 05 October 2017
Kerr Mines Inc. 04 October 2017
Paladin Energy Ltd. 04 October 2017
Sears Canada Inc. 03 October 2017
ZoomMed Inc. 05 October 2017
4.2.1 Temporary, Permanent & Rescinding Management Cease Trading Orders
Company Name Date of Order Date of Lapse
THERE IS NOTHING TO REPORT 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
Performance Sports Group Ltd.
19 October 2016 31 October 2016 31 October 2016
Company Name Date of Order Date of Lapse
Katanga Mining Limited 15 August 2017
Canada House Wellness Group Inc. 13 September 2017
Cease Trading Orders
October 12, 2017
(2017), 40 OSCB 8268
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October 12, 2017
(2017), 40 OSCB 8269
Chapter 6
Request for Comments 6.1.1 Proposed Amendments to National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives
and Proposed Changes to Companion Policy 94-101 Mandatory Central Counterparty Clearing of Derivatives
CSA Notice and Request for Comment
Proposed Amendments to National Instrument 94-101
Mandatory Central Counterparty Clearing of Derivatives and Proposed Changes to Companion Policy 94-101
Mandatory Central Counterparty Clearing of Derivatives
October 12, 2017 Introduction The Canadian Securities Administrators (the CSA or we) are publishing the following, for a 90-day comment period expiring on January 10, 2018:
• proposed amendments (the Proposed Rule Amendments) to National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives (the National Instrument), and
• proposed changes (the Proposed CP Changes) to Companion Policy 94-101 Mandatory Central
Counterparty Clearing of Derivatives (the CP). Together, the Proposed Rule Amendments and the Proposed CP Changes are referred to as the Proposed Amendments. We are issuing this notice to solicit comments on the Proposed Amendments. Background The CSA is proposing the Proposed Amendments based on consultations with and feedback from various market participants, and in order to more effectively and efficiently promote the underlying policy aims of the National Instrument. The National Instrument was published on January 19, 2017 and came into force on April 4, 2017 (with the exception of Saskatchewan where it came into force on April 5, 2017). The purpose of the National Instrument is to reduce counterparty risk in the over-the-counter (OTC) derivatives market by requiring certain counterparties to clear certain prescribed derivatives through a central clearing counterparty (the Clearing requirement). The Clearing requirement became effective for certain counterparties on the coming into force date of the National Instrument, and was initially scheduled to become effective for certain other counterparties on October 4, 2017. To facilitate the rule-making process for the Proposed Amendments, including this publication for comment, the CSA jurisdictions (except Ontario) have exempted from the Clearing requirement until August 20, 2018 those counterparties that would have been subject to the Clearing requirement on October 4, 2017.1 In Ontario, the Ontario Securities Commission has amended the National Instrument to extend the effective date of the Clearing requirement for those counterparties until August 20, 2018.2 Substance and Purpose of the Proposed Amendments The purpose of the Proposed Amendments is to refine the scope of counterparties to which the Clearing requirement applies and the types of derivatives that are subject to the Clearing requirement. The Proposed CP Changes correspond to the Proposed Rule Amendments.
1 Blanket Order 94-501, available on the website of the securities regulatory authority in the local jurisdiction. 2 See, in Ontario, Ontario Securities Commission, Amendment to National Instrument 94-101 Mandatory Central Counterparty Clearing of
Derivatives, published July 6, 2017.
Request for Comments
October 12, 2017
(2017), 40 OSCB 8270
Summary of the Proposed Rule Amendments Subsection 3(1) of the National Instrument currently requires a local counterparty to a transaction in a mandatory clearable derivative to submit it for clearing to a regulated clearing agency if one or more of the following apply:
• under paragraph 3(1)(a), the counterparty is a participant of the regulated clearing agency and subscribes to clearing services for the class of derivatives to which the mandatory clearable derivative belongs;
• under paragraph 3(1)(b), the counterparty is an affiliated entity of a participant referred to in paragraph 3(1)(a)
and has a month-end gross notional amount under all outstanding derivatives exceeding $1 billion, excluding derivatives to which paragraph 7(1)(a) applies;
• under paragraph 3(1)(c), the counterparty is a local counterparty in any jurisdiction of Canada, other than a
counterparty to which paragraph 3(1)(b) applies, and has had a month-end gross notional amount exceeding $500 billion combined with each affiliated entity that is a local counterparty in Canada, excluding derivatives to which paragraph 7(1)(a) applies.
Paragraphs 3(1)(b) and (c) are the subject of the Ontario amendment to the relevant effective date and the Blanket Order exemptions in all other jurisdictions, discussed above. The proposed amendments to paragraphs 3(1)(b) and (c) of the National Instrument would exclude from the Clearing requirement a trust or an investment fund that is an affiliated entity of either (i) a participant of a regulated clearing agency who subscribes to the clearing services in respect of a mandatory clearable derivative, or (ii) a local counterparty whose month-end gross notional amount under all outstanding derivatives, combined with each Canadian affiliated entity, exceeds $500 billion. As a result, those investment funds and trusts would not be subject to the Clearing requirement. Further, in calculating the gross notional amount outstanding for the purpose of the $500 billion threshold under paragraph 3(1)(c), the gross notional amount outstanding of an investment fund or a trust would no longer be aggregated with other affiliated entities. In addition, the Clearing requirement under paragraph 3(1)(c) would no longer apply to a local counterparty with a gross notional amount of outstanding derivatives of $1 billion or less excluding the notional amount of mandatory clearable derivatives to which paragraph 7(1)(a) applies. Finally, the proposed amendments relating to Appendix A of the National Instrument would remove overnight index swaps with variable notional type and forward rate agreements with variable notional type from the list of mandatory clearable derivatives as those are not currently offered for clearing by regulated clearing agencies. Local Matters Annex E to this notice is being published in any local jurisdiction where any additional information is relevant to that jurisdiction only. Contents of Annexes The following annexes form part of this CSA Notice:
Annex A Proposed Amendments to National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives
Annex B Blackline of National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives showing the Proposed Rule Amendments
Annex C Proposed Changes to Companion Policy 94-101 Mandatory Central Counterparty Clearing of Derivatives
Annex D Blackline of Companion Policy 94-101 Mandatory Central Counterparty Clearing of Derivatives showing the Proposed CP Changes
Annex E Local Matters
Request for Comments Please provide your comments in writing by January 10, 2018. We cannot keep submissions confidential because securities legislation in certain provinces requires publication of a summary of the written comments received during the comment period.
Request for Comments
October 12, 2017
(2017), 40 OSCB 8271
In addition, all comments received will be posted on the websites of each of the Alberta Securities Commission at www.albertasecurities.com and the Autorité des marchés financiers at www.lautorite.qc.ca. Therefore, you should not include personal information directly in comments to be published. It is important that you state on whose behalf you are making the submission. Thank you in advance for your comments. Please address your comments to each of the following: Alberta Securities Commission Autorité des marchés financiers Financial and Consumer Services Commission (New Brunswick) Financial and Consumer Affairs Authority of Saskatchewan Manitoba Securities Commission Nova Scotia Securities Commission Nunavut Securities Office Office of the Superintendent of Securities, Newfoundland and Labrador Office of the Superintendent of Securities, Northwest Territories Office of the Yukon Superintendent of Securities Superintendent of Securities, Department of Justice and Public Safety, Prince Edward Island Please send your comments only to the following addresses. Your comments will be forwarded to the remaining jurisdictions:
Me Anne-Marie Beaudoin Corporate Secretary Autorité des marchés financiers 800, rue du Square-Victoria, 22e étage C.P. 246, tour de la Bourse Montréal (Québec) H4Z 1G3 Fax: 514-864-6381 [email protected]
Grace Knakowski Secretary Ontario Securities Commission 20 Queen Street West 22nd floor Toronto, Ontario M5H 3S8 Fax: 416-593-2318 [email protected]
Questions Please refer your questions to any of:
Lise Estelle Brault Co-Chair, CSA Derivatives Committee Senior Director, Derivatives Oversight Autorité des marchés financiers 514-395-0337, ext. 4481 [email protected]
Kevin Fine Co-Chairman, CSA Derivatives Committee Director, Derivatives Branch Ontario Securities Commission 416 593-8109 [email protected]
Paula White Deputy Director, Compliance and Oversight Manitoba Securities Commission 204-945-5195 [email protected]
Martin McGregor Legal Counsel, Corporate Finance Alberta Securities Commission 403-355-2804 [email protected]
Michael Brady Manager, Derivatives British Columbia Securities Commission 604-899-6561 [email protected] Wendy Morgan Senior Legal Counsel Financial and Consumer Services Commission (New Brunswick) 506-643-7202 [email protected]
Abel Lazarus Director, Corporate Finance Nova Scotia Securities Commission 902-424-6859
Liz Kutarna Deputy Director, Capital Markets, Securities Division Financial and Consumer Affairs Authority of Saskatchewan 306-787-5871 [email protected]
Request for Comments
October 12, 2017
(2017), 40 OSCB 8272
ANNEX A
PROPOSED AMENDMENTS TO NATIONAL INSTRUMENT 94-101 MANDATORY CENTRAL COUNTERPARTY CLEARING OF DERIVATIVES
1. National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives is amended by this
Instrument. 2. Subsection 1(1) is amended by adding the following definition:
“investment fund” has the meaning ascribed to it in National Instrument 81-106 Investment Fund Continuous Disclosure;.
3. Subsection 3(1) is amended by
(a) replacing paragraph (b) with the following:
(b) the counterparty
(i) is an affiliated entity of a participant referred to in paragraph (a), (ii) is not an investment fund or a trust, and (iii) has had, at any time after the date on which this Instrument comes into force, a month-end
gross notional amount under all outstanding derivatives exceeding $1 000 000 000 excluding derivatives to which paragraph 7(1)(a) applies;, and
(b) replacing paragraph (c) with the following:
(c) the counterparty
(i) is a local counterparty in any jurisdiction of Canada, (ii) is not an investment fund or a trust, (iii) has had, at any time after the date on which this Instrument comes into force, a month-end
gross notional amount under all outstanding derivatives, combined with each affiliated entity that is not an investment fund or a trust and that is a local counterparty in any jurisdiction of Canada, exceeding $500 000 000 000 excluding derivatives to which paragraph 7(1)(a) applies, and
(iv) has had, at any time after the date on which this Instrument comes into force, a month-end
gross notional amount under all outstanding derivatives exceeding $1 000 000 000 excluding derivatives to which paragraph 7(1)(a) applies..
4. Section 5 is amended by replacing “all” with “both”. 5. Subsection 7(1) is amended
(a) by deleting “the application of”, and (b) in paragraph (a) by replacing “if” with “and”.
6. Section 8 is amended (a) by deleting “the application of”, and (b) in paragraph (e) by replacing “is” with “was”.
7. Section 12 is amended by replacing “offers” with “offered”.
Request for Comments
October 12, 2017
(2017), 40 OSCB 8273
8. Section 13 is amended (a) by replacing “paragraphs” with “paragraph”. (b) by replacing “(3)(1)(a)” with “3(1)(a)”.
9. Appendix A is replaced with the following:
APPENDIX A TO
NATIONAL INSTRUMENT 94-101 MANDATORY CENTRAL COUNTERPARTY CLEARING OF DERIVATIVES
MANDATORY CLEARABLE DERIVATIVES
(Subsection 1(1)) Interest Rate Swaps
Type Floating index Settlement currency
Maturity Settlement currency type
Optionality Notional type
Fixed-to-float CDOR CAD 28 days to 30 years Single currency No Constant or variable
Fixed-to-float LIBOR USD 28 days to 50 years Single currency No Constant or variable
Fixed-to-float EURIBOR EUR 28 days to 50 years Single currency No Constant or variable
Fixed-to-float LIBOR GBP 28 days to 50 years Single currency No Constant or variable
Basis LIBOR USD 28 days to 50 years Single currency No Constant or variable
Basis EURIBOR EUR 28 days to 50 years Single currency No Constant or variable
Basis LIBOR GBP 28 days to 50 years Single currency No Constant or variable
Overnight index swap
CORRA CAD 7 days to 2 years Single currency No Constant
Overnight index swap
FedFunds USD 7 days to 3 years Single currency No Constant
Overnight index swap
EONIA EUR 7 days to 3 years Single currency No Constant
Overnight index swap
SONIA GBP 7 days to 3 years Single currency No Constant
Forward Rate Agreements
Type Floating index Settlement currency
Maturity Settlement currency type
Optionality Notional type
Forward rate agreement
LIBOR USD 3 days to 3 years Single currency No Constant
Forward rate agreement
EURIBOR EUR 3 days to 3 years Single currency No Constant
Forward rate agreement
LIBOR GBP 3 days to 3 years Single currency No Constant
10. This Instrument comes into force on [insert date here].
Request for Comments
October 12, 2017
(2017), 40 OSCB 8274
ANNEX B
BLACKLINE OF NATIONAL INSTRUMENT 94-101 MANDATORY CENTRAL COUNTERPARTY CLEARING OF DERIVATIVES SHOWING THE PROPOSED RULE AMENDMENTS
NATIONAL INSTRUMENT 94-101
MANDATORY CENTRAL COUNTERPARTY CLEARING OF DERIVATIVES
This Annex sets out a blackline showing the Proposed Rule Amendments to National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives, as set out in Annex A.
PART 1
DEFINITIONS AND INTERPRETATION Definitions and interpretation 1. (1) In this Instrument
“investment fund” has the meaning ascribed to it in National Instrument 81-106 Investment Fund Continuous Disclosure; “local counterparty” means a counterparty to a derivative if, at the time of execution of the transaction, either of the following applies:
(a) the counterparty is a person or company, other than an individual, to which one or more of the
following apply: (i) the person or company is organized under the laws of the local jurisdiction; (ii) the head office of the person or company is in the local jurisdiction; (iii) the principal place of business of the person or company is in the local jurisdiction;
(b) the counterparty is an affiliated entity of a person or company referred to in paragraph (a) and the person or company is liable for all or substantially all the liabilities of the counterparty;
“mandatory clearable derivative” means a derivative within a class of derivatives listed in Appendix A; “participant” means a person or company that has entered into an agreement with a regulated clearing agency to access the services of the regulated clearing agency and is bound by the regulated clearing agency’s rules and procedures; “regulated clearing agency” means,
(a) in Alberta, New Brunswick, Newfoundland and Labrador, the Northwest Territories, Nova Scotia,
Nunavut, Prince Edward Island, Saskatchewan and Yukon, a person or company recognized or exempted from recognition as a clearing agency or clearing house pursuant to the securities legislation of any jurisdiction of Canada,
(b) in British Columbia, Manitoba and Ontario, a person or company recognized or exempted from
recognition as a clearing agency in the local jurisdiction, and (c) in Québec, a person recognized or exempted from recognition as a clearing house;
“transaction” means any of the following: (a) entering into a derivative or making a material amendment to, assigning, selling or otherwise
acquiring or disposing of a derivative; (b) the novation of a derivative, other than a novation with a clearing agency or clearing house.
(2) In this Instrument, a person or company is an affiliated entity of another person or company if one of them controls the other or each of them is controlled by the same person or company.
Request for Comments
October 12, 2017
(2017), 40 OSCB 8275
(3) In this Instrument, a person or company (the first party) is considered to control another person or company (the second party) if any of the following apply:
(a) the first party beneficially owns or directly or indirectly exercises control or direction over securities of the
second party carrying votes which, if exercised, would entitle the first party to elect a majority of the directors of the second party unless the first party holds the voting securities only to secure an obligation;
(b) the second party is a partnership, other than a limited partnership, and the first party holds more than 50% of
the interests of the partnership; (c) the second party is a limited partnership and the general partner of the limited partnership is the first party; (d) the second party is a trust and a trustee of the trust is the first party.
(4) In this Instrument, in Alberta, British Columbia, New Brunswick, Newfoundland and Labrador, the Northwest Territories, Nova Scotia, Nunavut, Prince Edward Island, Saskatchewan and Yukon, “derivative” means a “specified derivative” as defined in Multilateral Instrument 91-101 Derivatives: Product Determination. Application 2. This Instrument applies to,
(a) in Manitoba,
(i) a derivative other than a contract or instrument that, for any purpose, is prescribed by any of sections 2, 4 and 5 of Manitoba Securities Commission Rule 91-506 Derivatives: Product Determination not to be a derivative, and
(ii) a derivative that is otherwise a security and that, for any purpose, is prescribed by section 3 of
Manitoba Securities Commission Rule 91-506 Derivatives: Product Determination not to be a security,
(b) in Ontario,
(i) a derivative other than a contract or instrument that, for any purpose, is prescribed by any of sections 2, 4 and 5 of Ontario Securities Commission Rule 91-506 Derivatives: Product Determination not to be a derivative, and
(ii) a derivative that is otherwise a security and that, for any purpose, is prescribed by section 3 of
Ontario Securities Commission Rule 91-506 Derivatives: Product Determination not to be a security, and
(c) in Québec, a derivative specified in section 1.2 of Regulation 91-506 respecting derivatives determination,
other than a contract or instrument specified in section 2 of that regulation.
In each other local jurisdiction, this Instrument applies to a derivative as defined in subsection 1(4) of this Instrument. This text box does not form part of this Instrument and has no official status.
PART 2
MANDATORY CENTRAL COUNTERPARTY CLEARING Duty to submit for clearing 3. (1) A local counterparty to a transaction in a mandatory clearable derivative must submit, or cause to be submitted, the mandatory clearable derivative for clearing to a regulated clearing agency that offers clearing services in respect of the mandatory clearable derivative, if one or more of the following applies to each counterparty:
(a) the counterparty
(i) is a participant of a regulated clearing agency that offers clearing services in respect of the mandatory clearable derivative, and
Request for Comments
October 12, 2017
(2017), 40 OSCB 8276
(ii) subscribes to clearing services for the class of derivatives to which the mandatory clearable derivative belongs;
(b) the counterparty
(i) is an affiliated entity of a participant referred to in paragraph (a), (ii) is not an investment fund or a trust, and (iii) (ii) has had, at any time after the date on which this Instrument comes into force, a month-end gross
notional amount under all outstanding derivatives exceeding $1 000 000 000 excluding derivatives to which paragraph 7(1)(a) applies;
(c) the counterparty
(i) is a local counterparty in any jurisdiction of Canada, other than a counterparty to which paragraph (b)
applies, and (ii) is not an investment fund or a trust, (iii) (ii) has had, at any time after the date on which this Instrument comes into force, a month-end gross
notional amount under all outstanding derivatives, combined with each affiliated entity that is not an investment fund or a trust and that is a local counterparty in any jurisdiction of Canada, exceeding $500 000 000 000 excluding derivatives to which paragraph 7(1)(a) applies., and
(iv) has had, at any time after the date on which this Instrument comes into force, a month-end gross
notional amount under all outstanding derivatives exceeding $1 000 000 000 excluding derivatives to which paragraph 7(1)(a) applies.
(2) Unless paragraph (1)(a) applies, a local counterparty to which paragraph (1)(b) or (1)(c) applies is not required to
submit a mandatory clearable derivative for clearing to a regulated clearing agency if the transaction in the mandatory clearable derivative was executed before the 90th day after the end of the month in which the month-end gross notional amount first exceeded the amount specified in subparagraph (1)(b)(ii) or (1)(c)(ii), as applicable.
(3) Unless subsection (2) applies, a local counterparty to which subsection (1) applies must submit a mandatory clearable
derivative for clearing no later than (a) the end of the day of execution if the transaction is executed during the business hours of the regulated
clearing agency, or (b) the end of the next business day if the transaction is executed after the business hours of the regulated
clearing agency.
(4) A local counterparty to which subsection (1) applies must submit the mandatory clearable derivative for clearing in accordance with the rules of the regulated clearing agency, as amended from time to time.
(5) A counterparty that is a local counterparty solely pursuant to paragraph (b) of the definition of “local counterparty” in
section 1 is exempt from this section if the mandatory clearable derivative is submitted for clearing in accordance with the law of a foreign jurisdiction to which the counterparty is subject, set out in Appendix B.
Notice of rejection 4. If a regulated clearing agency rejects a mandatory clearable derivative submitted for clearing, the regulated clearing
agency must immediately notify each local counterparty to the mandatory clearable derivative. Public disclosure of clearable and mandatory clearable derivatives 5. A regulated clearing agency must do allboth of the following:
(a) publish a list of each derivative or class of derivatives for which the regulated clearing agency offers clearing services and state whether each derivative or class of derivatives is a mandatory clearable derivative;
(b) make the list accessible to the public at no cost on its website.
Request for Comments
October 12, 2017
(2017), 40 OSCB 8277
PART 3 EXEMPTIONS FROM MANDATORY CENTRAL COUNTERPARTY CLEARING
Non-application 6. This Instrument does not apply to the following counterparties:
(a) the government of Canada, the government of a jurisdiction of Canada or the government of a foreign jurisdiction;
(b) a crown corporation for which the government of the jurisdiction where the crown corporation was constituted
is liable for all or substantially all the liabilities; (c) a person or company wholly owned by one or more governments referred to in paragraph (a) if the
government or governments are liable for all or substantially all the liabilities of the person or company; (d) the Bank of Canada or a central bank of a foreign jurisdiction; (e) the Bank for International Settlements; (f) the International Monetary Fund.
Intragroup exemption 7. (1) A local counterparty is exempt from the application of section 3, with respect to a mandatory clearable derivative, if all
of the following apply: (a) the mandatory clearable derivative is between a counterparty and an affiliated entity of the counterparty ifand
each of the counterparty and the affiliated entity are consolidated as part of the same audited consolidated financial statements prepared in accordance with “accounting principles” as defined in National Instrument 52-107 Acceptable Accounting Principles and Auditing Standards;
(b) both counterparties to the mandatory clearable derivative agree to rely on this exemption; (c) the mandatory clearable derivative is subject to a centralized risk management program reasonably designed
to assist in monitoring and managing the risks associated with the derivative between the counterparties through evaluation, measurement and control procedures;
(d) there is a written agreement between the counterparties setting out the terms of the mandatory clearable
derivative between the counterparties.
(2) No later than the 30th day after a local counterparty first relies on subsection (1) in respect of a mandatory clearable derivative with a counterparty, the local counterparty must deliver electronically to the regulator or securities regulatory authority a completed Form 94-101F1 Intragroup Exemption.
(3) No later than the 10th day after a local counterparty becomes aware that the information in a previously delivered Form
94-101F1 Intragroup Exemption is no longer accurate, the local counterparty must deliver or cause to be delivered electronically to the regulator or securities regulatory authority an amended Form 94-101F1 Intragroup Exemption.
Multilateral portfolio compression exemption 8. A local counterparty is exempt from the application of section 3, with respect to a mandatory clearable derivative
resulting from a multilateral portfolio compression exercise, if all of the following apply: (a) the mandatory clearable derivative is entered into as a result of more than 2 counterparties changing or
terminating and replacing existing derivatives; (b) the existing derivatives do not include a mandatory clearable derivative entered into after the effective date on
which the class of derivatives became a mandatory clearable derivative; (c) the existing derivatives were not cleared by a clearing agency or clearing house; (d) the mandatory clearable derivative is entered into by the same counterparties as the existing derivatives;
Request for Comments
October 12, 2017
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(e) the multilateral portfolio compression exercise iswas conducted by an independent third-party.
Recordkeeping 9. (1) A local counterparty to a mandatory clearable derivative that relied on section 7 or 8 with respect to a mandatory
clearable derivative must keep records demonstrating that the conditions referred to in those sections, as applicable, were satisfied.
(2) The records required to be maintained under subsection (1) must be kept in a safe location and in a durable form for a
period of
(a) except in Manitoba, 7 years following the date on which the mandatory clearable derivative expires or is terminated, and
(b) in Manitoba, 8 years following the date on which the mandatory clearable derivative expires or is terminated.
PART 4
MANDATORY CLEARABLE DERIVATIVES Submission of information on derivatives clearing services provided by a regulated clearing agency 10. No later than the 10th day after a regulated clearing agency first offers clearing services for a derivative or class of
derivatives, the regulated clearing agency must deliver electronically to the regulator or securities regulatory authority a completed Form 94-101F2 Derivatives Clearing Services, identifying the derivative or class of derivatives.
PART 5
EXEMPTION Exemption 11. (1) The regulator or the securities regulatory authority may grant an exemption to this Instrument, in whole or in part,
subject to such conditions or restrictions as may be imposed in the exemption. (2) Despite subsection (1), in Ontario, only the regulator may grant an exemption. (3) Except in Alberta and Ontario, an exemption referred to in subsection (1) is granted under the statute referred to in
Appendix B of National Instrument 14-101 Definitions opposite the name of the local jurisdiction.
PART 6 TRANSITION AND EFFECTIVE DATE
Transition – regulated clearing agency filing requirement 12. No later than May 4, 2017, a regulated clearing agency must deliver electronically to the regulator or securities
regulatory authority a completed Form 94-101F2 Derivatives Clearing Services, identifying all derivatives or classes of derivatives for which it offersoffered clearing services on April 4, 2017.
Transition – certain counterparties’ submission for clearing 13. A counterparty specified in paragraphsparagraph (3)(1)(b) or (c) to which paragraph (3)(1)(a) does not apply is not
required to submit a mandatory clearable derivative for clearing to a regulated clearing agency until October 4, 2017. Effective date 14. (1) This Instrument comes into force on April 4, 2017. (2) In Saskatchewan, despite subsection (1), if these regulations are filed with the Registrar of Regulations after April 4,
2017, these regulations come into force on the day on which they are filed with the Registrar of Regulations.
Request for Comments
October 12, 2017
(2017), 40 OSCB 8279
APPENDIX A TO
NATIONAL INSTRUMENT 94-101 MANDATORY CENTRAL COUNTERPARTY CLEARING OF DERIVATIVES
MANDATORY CLEARABLE DERIVATIVES
(Subsection 1(1)) Interest Rate Swaps
Type Floating index Settlement currency
Maturity Settlement currency type
Optionality Notional type
Fixed-to-float CDOR CAD 28 days to 30 years Single currency No Constant or variable
Fixed-to-float LIBOR USD 28 days to 50 years Single currency No Constant or variable
Fixed-to-float EURIBOR EUR 28 days to 50 years Single currency No Constant or variable
Fixed-to-float LIBOR GBP 28 days to 50 years Single currency No Constant or variable
Basis LIBOR USD 28 days to 50 years Single currency No Constant or variable
Basis EURIBOR EUR 28 days to 50 years Single currency No Constant or variable
Basis LIBOR GBP 28 days to 50 years Single currency No Constant or variable
Overnight index swap
CORRA CAD 7 days to 2 years Single currency No Constant or variable
Overnight index swap
FedFunds USD 7 days to 3 years Single currency No Constant or variable
Overnight index swap
EONIA EUR 7 days to 3 years Single currency No Constant or variable
Overnight index swap
SONIA GBP 7 days to 3 years Single currency No Constant or variable
Forward Rate Agreements
Type Floating index Settlement currency
Maturity Settlement currency type
Optionality Notional type
Forward rate agreement
LIBOR USD 3 days to 3 years Single currency No Constant or variable
Forward rate agreement
EURIBOR EUR 3 days to 3 years Single currency No Constant or variable
Forward rate agreement
LIBOR GBP 3 days to 3 years Single currency No Constant or variable
Request for Comments
October 12, 2017
(2017), 40 OSCB 8280
APPENDIX B TO
NATIONAL INSTRUMENT 94-101 MANDATORY CENTRAL COUNTERPARTY CLEARING OF DERIVATIVES
LAWS, REGULATIONS OR INSTRUMENTS OF FOREIGN JURISDICTIONS
APPLICABLE FOR SUBSTITUTED COMPLIANCE (Subsection 3(5))
Foreign jurisdiction Laws, regulations or instruments
European Union Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories
United States of America Clearing Requirement and Related Rules, 17 C.F.R. pt. 50
Request for Comments
October 12, 2017
(2017), 40 OSCB 8281
FORM 94-101F1 INTRAGROUP EXEMPTION
Type of Filing: INITIAL AMENDMENT Section 1 – Information on the entity delivering this Form 1. Provide the following information with respect to the entity delivering this Form: Full legal name: Name under which it conducts business, if different: Head office Address: Mailing address (if different): Telephone: Website: Contact employee Name and title: Telephone: Email: Other offices Address: Telephone: Email: Canadian counsel (if applicable) Firm name: Contact name: Telephone: Email: 2. In addition to providing the information required in item 1, if this Form is delivered for the purpose of reporting a name
change on behalf of the entity referred to in item 1, provide the following information: Previous full legal name: Previous name under which the entity conducted business: Section 2 – Combined notification on behalf of counterparties within the group to which the entity delivering this Form belongs 1. For the mandatory clearable derivatives to which this Form relates, provide all of the following information in the table
below: (a) the legal entity identifier of each counterparty in the same manner as required under the following instruments:
(i) in Alberta, British Columbia, New Brunswick, Newfoundland and Labrador, the Northwest Territories,
Nova Scotia, Nunavut, Prince Edward Island, Saskatchewan and Yukon, Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting,
(ii) in Manitoba, Manitoba Securities Commission Rule 91-507 Trade Repositories and Derivatives Data
Reporting, (iii) in Ontario, Ontario Securities Commission Rule 91-507 Trade Repositories and Derivatives Data
Reporting, and (iv) in Québec, Regulation 91-507 respecting Trade Repositories and Derivatives Data Reporting;
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October 12, 2017
(2017), 40 OSCB 8282
(b) whether each counterparty is a local counterparty in a jurisdiction of Canada.
Pairs LEI of counterparty 1
Jurisdiction(s) of Canada in which
counterparty 1 is a local counterparty
LEI of counterparty 2
Jurisdiction(s) of Canada in which counterparty 2 is a
local counterparty
1
2. Describe the ownership and control structure of the counterparties identified in item 1. Section 3 – Certification I certify that I am authorized to deliver this Form on behalf of the entity delivering this Form and on behalf of the counterparties identified in Section 2 of this Form and that the information in this Form is true and correct. DATED at ____________ this ________ day of _________________, 20____ ________________________________________________________ (Print name of authorized person) ________________________________________________________ (Print title of authorized person) ________________________________________________________ (Signature of authorized person) _________________________________ (Email) _________________________________ (Phone number)
Request for Comments
October 12, 2017
(2017), 40 OSCB 8283
FORM 94-101F2 DERIVATIVES CLEARING SERVICES
Type of Filing: INITIAL AMENDMENT Section 1 – Regulated clearing agency information 1. Full name of regulated clearing agency: 2. Contact information of person authorized to deliver this form Name and title: Telephone: Email: Section 2 – Description of derivatives 1. Identify each derivative or class of derivatives for which the regulated clearing agency offers clearing services in
respect of which a Form 94-101F2 has not previously been delivered. 2. For each derivative or class of derivatives referred to in item 1, describe all significant attributes of the derivative or
class of derivatives including (a) the standard practices for managing life-cycle events associated with the derivative or class of derivatives, as
defined in the following instruments: (i) in Alberta, British Columbia, New Brunswick, Newfoundland and Labrador, the Northwest Territories,
Nova Scotia, Nunavut, Prince Edward Island, Saskatchewan and Yukon, Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting;
(ii) in Manitoba, Manitoba Securities Commission Rule 91-507 Trade Repositories and Derivatives Data
Reporting; (iii) in Ontario, Ontario Securities Commission Rule 91-507 Trade Repositories and Derivatives Data
Reporting; (iv) in Québec, Regulation 91-507 respecting Trade Repositories and Derivatives Data Reporting,
(b) the extent to which the transaction is confirmable electronically, (c) the degree of standardization of the contractual terms and operational processes, (d) the market for the derivative or class of derivatives, including its participants, and (e) the availability of pricing and liquidity of the derivative or class of derivatives within Canada and internationally.
3. Describe the impact of providing clearing services for each derivative or class of derivatives referred to in item 1 on the regulated clearing agency’s risk management framework and financial resources, including the protection of the regulated clearing agency on the default of a participant and the effect of the default on the other participants.
4. Describe the impact, if any, on the regulated clearing agency’s ability to comply with its regulatory obligations should
the regulator or securities regulatory authority determine a derivative or class of derivatives referred to in item 1 to be a mandatory clearable derivative.
5. Describe the clearing services offered for each derivative or class of derivatives referred to in item 1. 6. If applicable, attach a copy of every notice the regulated clearing agency provided to its participants for consultation on
the launch of the clearing service for a derivative or class of derivatives referred to in item 1 and a summary of concerns received in response to the notice.
Request for Comments
October 12, 2017
(2017), 40 OSCB 8284
Section 3 – Certification
CERTIFICATE OF REGULATED CLEARING AGENCY I certify that I am authorized to deliver this form on behalf of the regulated clearing agency named below and that the information in this form is true and correct. DATED at ____________ this ________ day of _________________, 20____ ________________________________________________________ (Print name of regulated clearing agency) ________________________________________________________ (Print name of authorized person) ________________________________________________________ (Print title of authorized person) ________________________________________________________ (Signature of authorized person)
Request for Comments
October 12, 2017
(2017), 40 OSCB 8285
ANNEX C
PROPOSED CHANGES TO COMPANION POLICY 94-101 MANDATORY CENTRAL COUNTERPARTY CLEARING OF DERIVATIVES
1. Companion Policy 94-101 Mandatory Central Counterparty Clearing of Derivatives is changed by this
Document. 2. Subsection 3(1) is replaced with the following:
Subsection 3(1) – Duty to submit for clearing The duty to submit a mandatory clearable derivative for clearing to a regulated clearing agency only applies at the time the transaction is executed. If a derivative or class of derivatives is determined to be a mandatory clearable derivative after the date of execution of a transaction in that derivative or class of derivatives, we would not expect a local counterparty to submit the mandatory clearable derivative for clearing. Therefore, we would not expect a local counterparty to clear a mandatory clearable derivative entered into as a result of a counterparty exercising a swaption that was entered into before the effective date of the Instrument or the date on which the derivative became a mandatory clearable derivative. Similarly, we would not expect a local counterparty to clear an extendible swap that was entered into before the effective date of the Instrument or the date on which the derivative became a mandatory clearable derivative and extended in accordance with the terms of the contract after such date. However, if after a derivative or class of derivatives is determined to be a mandatory clearable derivative, there is another transaction in that same derivative, including a material amendment to a previous transaction (as discussed in subsection 1(1) above), that derivative will be subject to the mandatory central counterparty clearing requirement. Where a derivative is not subject to the mandatory central counterparty clearing requirement but the derivative is clearable through a regulated clearing agency, the counterparties have the option to submit the derivative for clearing at any time. For a complex swap with non-standard terms that regulated clearing agencies cannot accept for clearing, adherence to the Instrument would not require market participants to structure such derivative in a particular manner or disentangle the derivative in order to clear the component which is a mandatory clearable derivative if it serves legitimate business purposes. However, considering that it would not require disentangling, we would expect the component of a packaged transaction that is a mandatory clearable derivative to be cleared. For a local counterparty that is not a participant of a regulated clearing agency, we have used the phrase “cause to be submitted” to refer to the local counterparty’s obligation. In order to comply with subsection (1), a local counterparty would need to have arrangements in place with a participant for clearing services in advance of entering into a mandatory clearable derivative. A transaction in a mandatory clearable derivative is required to be cleared when at least one of the counterparties is a local counterparty and one or more of paragraphs (a), (b) or (c) apply to both counterparties. For example, a local counterparty under any of paragraphs (a), (b) or (c) must clear a mandatory clearable derivative entered into with another local counterparty under any of paragraphs (a), (b) or (c). As a further example, a local counterparty under any of paragraphs (a), (b) or (c) must also clear a mandatory clearable derivative with a foreign counterparty under paragraphs (a) or (b). For instance, a local counterparty that is an affiliated entity of a foreign participant would be subject to mandatory central counterparty clearing for a mandatory clearable derivative with a foreign counterparty that is an affiliated entity of another foreign participant considering that there is one local counterparty to the transaction and both counterparties meet the criteria under paragraph (b). An investment fund or a trust would not be subject to the Instrument unless the investment fund or the trust is a participant under paragraph (a). A local counterparty that has not had a month-end gross notional amount of outstanding derivatives exceeding the $1 billion threshold in subparagraph (b)(iii) or (c)(iv), for any month following the entry into force of the Instrument, would not be subject to the Instrument. Pursuant to paragraph (c) a local counterparty that is not an investment fund or a trust and that has had a month-end gross notional amount of outstanding derivatives that exceeds the $500 billion threshold in subparagraph (c)(iii) must clear a mandatory clearable derivative entered into with another counterparty that meets the criteria under paragraph (a), (b) or (c). In order to determine whether the $500 billion threshold in subparagraph (c)(iii) is exceeded, a local counterparty must add the gross notional amount of all outstanding derivatives of its affiliated entities that are also local counterparties, to its own. However, investments funds and trusts that are affiliated entities of the local counterparty are not included in the calculation.
Request for Comments
October 12, 2017
(2017), 40 OSCB 8286
Where a local counterparty is a member of a group of affiliated entities that exceeds the $500 billion threshold but that local counterparty is not itself over the $1 billion threshold in subparagraph (c)(iv), it is not required to clear. The calculation of the gross notional amount outstanding under paragraphs (b) and (c) excludes derivatives with affiliated entities whose financial statements are prepared on a consolidated basis. A local counterparty that is a participant at a regulated clearing agency, but does not subscribe to clearing services for the class of derivatives to which the mandatory clearable derivative belongs would still be required to clear if it is subject to paragraph (c). A local counterparty subject to mandatory central counterparty clearing that engages in a mandatory clearable derivative is responsible for determining whether the other counterparty is also subject to mandatory central counterparty clearing. To do so, the local counterparty may rely on the factual statements made by the other counterparty, provided that it does not have reasonable grounds to believe that such statements are false. We would not expect that all the counterparties of a local counterparty provide their status as most counterparties would not be subject to the Instrument. However, a local counterparty cannot rely on the absence of a declaration from a counterparty to avoid the requirement to clear. Instead, when no information is provided by a counterparty, the local counterparty may use factual statements or available information to assess whether the mandatory clearable derivative is required to be cleared in accordance with the Instrument. We would expect counterparties subject to the Instrument to exercise reasonable judgement in determining whether a person or company may be near or above the thresholds set out in paragraphs (b) and (c). We would expect a counterparty subject to the Instrument to solicit confirmation from its counterparty where there is reasonable basis to believe that the counterparty may be near or above any of the thresholds. The status of a counterparty under this subsection should be determined before entering into a mandatory clearable derivative. We would not expect a local counterparty to clear a mandatory clearable derivative entered into after the Instrument came into effect, but before one of the counterparties was captured under one of paragraphs (a), (b) or (c) unless there is a material amendment to the derivative.
3. These changes become effective on [insert date here].
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October 12, 2017
(2017), 40 OSCB 8287
ANNEX D BLACKLINE OF COMPANION POLICY 94-101
MANDATORY CENTRAL COUNTERPARTY CLEARING OF DERIVATIVES SHOWING THE PROPOSED CP CHANGES
COMPANION POLICY 94-101
MANDATORY CENTRAL COUNTERPARTY CLEARING OF DERIVATIVES
This Annex sets out a blackline showing the Proposed Changes to Companion Policy 94-101 Mandatory Central Counterparty Clearing of Derivatives, as set out in Annex C.
GENERAL COMMENTS Introduction This Companion Policy sets out how the Canadian Securities Administrators (the “CSA” or “we”) interpret or apply the provisions of National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives (“NI 94-101” or the “Instrument”) and related securities legislation. The numbering of Parts and sections in this Companion Policy correspond to the numbering in NI 94-101. Any specific guidance on sections in NI 94-101 appears immediately after the section heading. If there is no guidance for a section, the numbering in this Companion Policy will skip to the next provision that does have guidance. SPECIFIC COMMENTS Unless defined in NI 94-101 or explained in this Companion Policy, terms used in NI 94-101 and in this Companion Policy have the meaning given to them in the securities legislation of the jurisdiction including National Instrument 14-101 Definitions. In this Companion Policy, “Product Determination Rule” means,
in Alberta, British Columbia, New Brunswick, Newfoundland and Labrador, the Northwest Territories, Nova Scotia, Nunavut, Prince Edward Island, Saskatchewan and Yukon, Multilateral Instrument 91-101 Derivatives: Product Determination, in Manitoba, Manitoba Securities Commission Rule 91-506 Derivatives: Product Determination, in Ontario, Ontario Securities Commission Rule 91-506 Derivatives: Product Determination, and in Québec, Regulation 91-506 respecting Derivatives Determination.
In this Companion Policy, “TR Instrument” means, in Alberta, British Columbia, New Brunswick, Newfoundland and Labrador, the Northwest Territories, Nova Scotia, Nunavut, Prince Edward Island, Saskatchewan and Yukon, Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting, in Manitoba, Manitoba Securities Commission Rule 91-507 Trade Repositories and Derivatives Data Reporting, in Ontario, Ontario Securities Commission Rule 91-507 Trade Repositories and Derivatives Data Reporting, and in Québec, Regulation 91-507 respecting Trade Repositories and Derivatives Data Reporting.
PART 1 DEFINITIONS AND INTERPRETATION
Subsection 1(1) – Definition of “participant” A “participant” of a regulated clearing agency is bound by the rules and procedures of the regulated clearing agency due to the contractual agreement with the regulated clearing agency.
Request for Comments
October 12, 2017
(2017), 40 OSCB 8288
Subsection 1(1) – Definition of “regulated clearing agency” It is intended that only a “regulated clearing agency” that acts as a central counterparty for over-the-counter derivatives be subject to the Instrument. The purpose of paragraph (a) of this definition is to allow, for certain enumerated jurisdictions, a mandatory clearable derivative involving a local counterparty in one of the listed jurisdictions to be submitted to a clearing agency that is not yet recognized or exempted in the local jurisdiction, but that is recognized or exempted in another jurisdiction of Canada. Paragraph (a) does not supersede any provision of the securities legislation of a local jurisdiction with respect to any recognition requirements for a person or company that is carrying on the business of a clearing agency in the local jurisdiction. Subsection 1(1) – Definition of “transaction” The Instrument uses the term “transaction” rather than the term “trade” in part to reflect that “trade” is defined in the securities legislation of some jurisdictions as including the termination of a derivative. We do not think the termination of a derivative should trigger mandatory central counterparty clearing. Similarly, the definition of transaction in NI 94-101 excludes a novation resulting from the submission of a derivative to a clearing agency or clearing house as this is already a cleared transaction. Finally, the definition of “transaction” is not the same as the definition found in the TR Instrument as the latter does not include a material amendment since the TR Instrument expressly provides that an amendment must be reported. In the definition of “transaction”, the expression “material amendment” is used to determine whether there is a new transaction, considering that only new transactions will be subject to mandatory central counterparty clearing under NI 94-101. If a derivative that existed prior to the coming into force of NI 94-101 is materially amended after NI 94-101 is effective, that amendment will trigger the mandatory central counterparty clearing requirement, if applicable, as it would be considered a new transaction. A material amendment is one that changes information that would reasonably be expected to have a significant effect on the derivative’s attributes, including its notional amount, the terms and conditions of the contract evidencing the derivative, the trading methods or the risks related to its use, but excluding information that is likely to have an effect on the market price or value of its underlying interest. We will consider several factors when determining whether a modification to an existing derivative is a material amendment. Examples of a modification to an existing derivative that would be a material amendment include any modification which would result in a significant change in the value of the derivative, differing cash flows, a change to the method of settlement or the creation of upfront payments.
PART 2 MANDATORY CENTRAL COUNTERPARTY CLEARING
Subsection 3(1) – Duty to submit for clearing The duty to submit a mandatory clearable derivative for clearing to a regulated clearing agency only applies at the time the transaction is executed. If a derivative or class of derivatives is determined to be a mandatory clearable derivative after the date of execution of a transaction in that derivative or class of derivatives, we would not expect a local counterparty to submit the mandatory clearable derivative for clearing. Therefore, we would not expect a local counterparty to clear a mandatory clearable derivative entered into as a result of a counterparty exercising a swaption that was entered into before the effective date of the Instrument or the date on which the derivative became a mandatory clearable derivative. Similarly, we would not expect a local counterparty to clear an extendible swap that was entered into before the effective date of the Instrument or the date on which the derivative became a mandatory clearable derivative and extended in accordance with the terms of the contract after such date. However, if after a derivative or class of derivatives is determined to be a mandatory clearable derivative, there is another transaction in that same derivative, including a material amendment to a previous transaction (as discussed in subsection 1(1) above), that derivative will be subject to the mandatory central counterparty clearing requirement. Where a derivative is not subject to the mandatory central counterparty clearing requirement but the derivative is clearable through a regulated clearing agency, the counterparties have the option to submit the derivative for clearing at any time. For a complex swap with non-standard terms that regulated clearing agencies cannot accept for clearing, adherence to the Instrument would not require market participants to structure such derivative in a particular manner or disentangle the derivative in order to clear the component which is a mandatory clearable derivative if it serves legitimate business purposes. However, considering that it would not require disentangling, we would expect the component of a packaged transaction that is a mandatory clearable derivative to be cleared. For a local counterparty that is not a participant of a regulated clearing agency, we have used the phrase “cause to be submitted” to refer to the local counterparty’s obligation. In order to comply with subsection (1), a local counterparty would need to have arrangements in place with a participant for clearing services in advance of entering into a mandatory clearable derivative.
Request for Comments
October 12, 2017
(2017), 40 OSCB 8289
A transaction in a mandatory clearable derivative is required to be cleared when at least one of the counterparties is a local counterparty and one or more of paragraphs (a), (b) or (c) apply to both counterparties. For example, a local counterparty under any of paragraphs (a), (b) or (c) must clear a mandatory clearable derivative entered into with another local counterparty under any of paragraphs (a), (b) or (c). As a further example, a local counterparty under any of paragraphs (a), (b) or (c) must also clear a mandatory clearable derivative with a foreign counterparty under paragraphs (a) or (b). For instance, a local counterparty that is an affiliated entity of a foreign participant would be subject to mandatory central counterparty clearing for a mandatory clearable derivative with a foreign counterparty that is an affiliated entity of another foreign participant considering that there is one local counterparty to the transaction and both counterparties respectmeet the criteria under paragraph (b). An investment fund or a trust would not be subject to the Instrument unless the investment fund or the trust is a participant under paragraph (a). A local counterparty that has not had a month-end gross notional amount of outstanding derivatives exceeding the 1 billion threshold in paragraphssubparagraph (b)(iii) or (c)(iv), for any month following the entry into force of the Instrument, would not be subject to the Instrument. Pursuant to paragraph (c) a local counterparty that is not an investment fund or a trust and that has had a month-end gross notional amount of outstanding derivatives that exceeds the 500 billion threshold in subparagraph (c)(iii) must clear all its subsequent transactions in a mandatory clearable derivative entered into with another counterparty that meets the criteria under one or more of paragraphs (a), (b), or (c). In order to determine whether the 500 billion threshold in subparagraph (c)(iii) is exceeded, a local counterparty must add the gross notional amount of all outstanding derivatives of its affiliated entities that are also local counterparties, to its own. However, investments funds and trusts that are affiliated entities of the local counterparty are not included in the calculation. Where a local counterparty is a member of a group of affiliated entities that exceeds the 500 billion threshold but that local counterparty is not itself over the 1 billion threshold in subparagraph (c)(iv), it is not required to clear. The calculation of the gross notional amount outstanding under paragraphs (b) and (c) excludes derivatives with affiliated entities whose financial statements are prepared on a consolidated basis, which would be exempted under section 7 if they were mandatory clearable derivatives.In addition, a local counterparty determines whether it exceeds the threshold in paragraph (c) by adding the gross notional amount of all outstanding derivatives of its affiliated entities that are also local counterparties, to its own. A local counterparty that is a participant at a regulated clearing agency, but does not subscribe to clearing services for the class of derivatives to which the mandatory clearable derivative belongs would still be required to clear if it is subject to paragraph (c). A local counterparty subject to mandatory central counterparty clearing that engages in a mandatory clearable derivative is responsible for determining whether the other counterparty is also subject to mandatory central counterparty clearing. To do so, the local counterparty may rely on the factual statements made by the other counterparty, provided that it does not have reasonable grounds to believe that such statements are false. We would not expect that all the counterparties of a local counterparty provide their status as most counterparties would not be subject to the Instrument. However, a local counterparty cannot rely on the absence of a declaration from a counterparty to avoid the requirement to clear. Instead, when no information is provided by a counterparty, the local counterparty may use factual statements or available information to assess whether the mandatory clearable derivative is required to be cleared in accordance with the Instrument. We would expect counterparties subject to the Instrument to exercise reasonable judgement in determining whether a person or company may be near or above the thresholds set out in paragraphs (b) and (c). We would expect a counterparty subject to the Instrument to solicit confirmation from its counterparty where there is reasonable basis to believe that the counterparty may be near or above any of the thresholds. The status of a counterparty under this subsection should be determined before entering into a mandatory clearable derivative. We would not expect a local counterparty to clear a mandatory clearable derivative entered into after the Instrument came into effect, but before one of the counterparties was captured under one of paragraphs (a), (b) or (c) unless there is a material amendment to the derivative. Subsection 3(2) – 90-day transition This subsection provides that only transactions in mandatory clearable derivatives executed on or after the 90th day after the end of the month in which the local counterparty first exceeded the threshold are subject to subsection 3(1). We do not intend that transactions executed between the 1st day on which the local counterparty became subject to subsection 3(1) and the 90th day be back-loaded after the 90th day.
Request for Comments
October 12, 2017
(2017), 40 OSCB 8290
Subsection 3(3) – Submission to a regulated clearing agency We would expect that a transaction subject to mandatory central counterparty clearing be submitted to a regulated clearing agency as soon as practicable, but no later than the end of the day on which the transaction was executed or if the transaction occurs after business hours of the regulated clearing agency, the next business day. Subsection 3(5) – Substituted compliance Substituted compliance is only available to a local counterparty that is a foreign affiliated entity of a counterparty organized under the laws of the local jurisdiction or with a head office or principal place of business in the local jurisdiction and that is responsible for all or substantially all the liabilities of the affiliated entity. The local counterparty would still be subject to the Instrument, but its mandatory clearable derivatives, as per the definition under the Instrument, may be cleared at a clearing agency pursuant to a foreign law listed in Appendix B if the counterparty is subject to and compliant with that foreign law. Despite the ability to clear pursuant to a foreign law listed in Appendix B, the local counterparty is still required to fulfill the other requirements in the Instrument, as applicable. These include the retention period for the record keeping requirement and the submission of a completed Form 94-101F1 Intragroup Exemption to the regulator or securities regulatory authority in a jurisdiction of Canada when relying on an exemption regarding mandatory clearable derivatives entered into with an affiliated entity.
PART 3 EXEMPTIONS FROM MANDATORY CENTRAL COUNTERPARTY CLEARING
Section 6 – Non-application A mandatory clearable derivative involving a counterparty that is an entity referred to in section 6 is not subject to the requirement under section 3 to submit a mandatory clearable derivative for clearing even if the other counterparty is otherwise subject to it. The expression “government of a foreign jurisdiction” in paragraph (a) is interpreted as including sovereign and sub-sovereign governments. Section 7 – Intragroup exemption The Instrument does not require an outward-facing transaction in a mandatory clearable derivative entered into by a foreign counterparty that meets paragraph 3(1)(a) or (b) to be cleared in order for the foreign counterparty and its affiliated entity that is a local counterparty subject to the Instrument to rely on this exemption. However, we would expect a local counterparty to not abuse this exemption in order to evade mandatory central counterparty clearing. It would be considered evasion if the local counterparty uses a foreign affiliated entity or another member of its group to enter into a mandatory clearable derivative with a foreign counterparty that meets paragraph 3(1)(a) or (b) and then do a back-to-back transaction or enter into the same derivative relying on the intragroup exemption where the local counterparty would otherwise have been required to clear the mandatory clearable derivative if it had entered into it directly with the non-affiliated counterparty. Subsection 7(1) – Requisite conditions for intragroup exemption The intragroup exemption is based on the premise that the risk created by mandatory clearable derivatives entered into between counterparties in the same group is expected to be managed in a centralized manner to allow for the risk to be identified and managed appropriately. This subsection sets out the conditions that must be met for the counterparties to use the intragroup exemption for a mandatory clearable derivative. The expression “consolidated financial statements” in paragraph (a) is interpreted as financial statements in which the assets, liabilities, equity, income, expenses and cash flows of each of the counterparty and the affiliated entity are consolidated as part of a single economic entity. Affiliated entities may rely on paragraph (a) for a mandatory clearable derivative as soon as they meet the criteria to consolidate their financial statements together. Indeed, we would not expect affiliated entities to wait until their next financial statements are produced to benefit from this exemption if they will be consolidated. If the consolidated financial statements referred to in paragraph 7(1)(a) are not prepared in accordance with IFRS, Canadian GAAP or U.S. GAAP, we would expect that the consolidated financial statements be prepared in accordance with the generally
Request for Comments
October 12, 2017
(2017), 40 OSCB 8291
accepted accounting principles of a foreign jurisdiction where one or more of the affiliated entities has a significant connection, such as where the head office or principal place of business of one or both of the affiliated entities, or their parent, is located. Paragraph (c) refers to a system of risk management policies and procedures designed to monitor and manage the risks associated with a mandatory clearable derivative. We expect that such procedures would be regularly reviewed. We are of the view that counterparties relying on this exemption may structure their centralized risk management according to their unique needs, provided that the program reasonably monitors and manages risks associated with non-centrally cleared derivatives. We would expect that, for a risk management program to be considered centralized, the evaluation, measurement and control procedures would be applied by a counterparty to the mandatory clearable derivative or an affiliated entity of both counterparties to the derivative. Paragraph (d) refers to the terms governing the trading relationship between the affiliated entities for the mandatory clearable derivative that is not cleared as a result of the intragroup exemption. We would expect that the written agreement be dated and signed by the affiliated entities. An ISDA master agreement, for instance, would be acceptable. Subsection 7(2) – Submission of Form 94-101F1 Within 30 days after two affiliated entities first rely on the intragroup exemption in respect of a mandatory clearable derivative, a local counterparty must deliver, or cause to be delivered, to the regulator or securities regulatory authority a completed Form 94-101F1 Intragroup Exemption (“Form 94-101F1”) to notify the regulator or securities regulatory authority that the exemption is being relied upon. The information provided in the Form 94-101F1 will aid the regulator or securities regulatory authority in better understanding the legal and operational structure allowing counterparties to benefit from the intragroup exemption. The parent or the entity responsible to perform the centralized risk management for the affiliated entities using the intragroup exemption may deliver the completed Form 94-101F1 on behalf of the affiliated entities. For greater clarity, a completed Form 94-101F1 could be delivered for the group by including each pairing of counterparties that seek to rely on the intragroup exemption. One completed Form 94-101F1 is valid for every mandatory clearable derivative between any pair of counterparties listed on the completed Form 94-101F1 provided that the requirements set out in subsection (1) are complied with. Subsection 7(3) – Amendments to Form 94-101F1 Examples of changes to the information provided that would require an amended Form 94-101F1 include: (i) a change in the control structure of one or more of the counterparties listed in Form 94-101F1, and (ii) the addition of a new local jurisdiction for a counterparty. This form may also be delivered by an agent. Section 8 – Multilateral portfolio compression exemption A multilateral portfolio compression exercise involves more than two counterparties who wholly change or terminate some or all of their existing derivatives submitted for inclusion in the exercise and replace those derivatives with, depending on the methodology employed, other derivatives whose combined notional amount, or some other measure of risk, is less than the combined notional amount, or some other measure of risk, of the derivatives replaced by the exercise. The purpose of a multilateral portfolio compression exercise is to reduce operational or counterparty credit risk by reducing the number or notional amounts of outstanding derivatives between counterparties and the aggregate gross number or notional amounts of outstanding derivatives. Under paragraph (c), the existing derivatives submitted for inclusion in the exercise were not cleared either because they did not include a mandatory clearable derivative or because they were entered into before the class of derivatives became a mandatory clearable derivative or because the counterparty was not subject to the Instrument. We would expect a local counterparty involved in a multilateral portfolio compression exercise to comply with its credit risk tolerance levels. To do so, we expect a participant to the exercise to set its own counterparty, market and cash payment risk tolerance levels so that the exercise does not alter the risk profiles of each participant beyond a level acceptable to the participant. Consequently, we would expect existing derivatives that would be reasonably likely to significantly increase the risk exposure of the participant to not be included in the multilateral portfolio compression exercise in order for this exemption to be available. We would generally expect that a mandatory clearable derivative resulting from the multilateral portfolio compression exercise would have the same material terms as the derivatives that were replaced with the exception of reducing the number or notional amount of outstanding derivatives.
Request for Comments
October 12, 2017
(2017), 40 OSCB 8292
Section 9 – Recordkeeping We would generally expect that reasonable supporting documentation kept in accordance with section 9 would include complete records of any analysis undertaken by the local counterparty to demonstrate it satisfies the conditions necessary to rely on the intragroup exemption under section 7 or the multilateral portfolio compression exemption under section 8, as applicable. A local counterparty subject to the mandatory central counterparty clearing requirement is responsible for determining whether, given the facts available, an exemption is available. Generally, we would expect a local counterparty relying on an exemption to retain all documents that show it properly relied on the exemption. It is not appropriate for a local counterparty to assume an exemption is available. Counterparties using the intragroup exemption under section 7 should have appropriate legal documentation between them and detailed operational material outlining the risk management techniques used by the overall parent entity and its affiliated entities with respect to the mandatory clearable derivatives benefiting from the exemption.
PART 4 MANDATORY CLEARABLE DERIVATIVES
and
PART 6
TRANSITION AND EFFECTIVE DATE Section 10 – Submission of Form 94-101F2 & Section 12 – Transition for the submission of Form 94-101F2 A regulated clearing agency must deliver a Form 94-101F2 Derivatives Clearing Services (“Form 94-101F2”) to identify all derivatives for which it provides clearing services within 30 days of the coming into force of the Instrument pursuant to section 12. A new derivative or class of derivatives added to the offering of clearing services after the Instrument is in force is declared through a Form 94-101F2 within 10 days of the launch of such service pursuant to section 10. Each regulator or securities regulatory authority has the power to determine by rule or otherwise which derivative or class of derivatives will be subject to mandatory central counterparty clearing. Furthermore, the CSA may consider the information required by Form 94-101F2 to determine whether a derivative or class of derivatives will be subject to mandatory central counterparty clearing. In the course of determining whether a derivative or class of derivatives will be subject to mandatory central counterparty clearing, the factors we will consider include the following:
(e) the derivative is available to be cleared on a regulated clearing agency; (f) the level of standardization of the derivative, such as the availability of electronic processing, the existence of
master agreements, product definitions and short form confirmations; (g) the effect of central clearing of the derivative on the mitigation of systemic risk, taking into account the size of
the market for the derivative and the available resources of the regulated clearing agency to clear the derivative;
(h) whether mandating the derivative or class of derivatives to be cleared would bring undue risk to regulated
clearing agencies; (i) the outstanding notional amount of the counterparties transacting in the derivative or class of derivatives, the
current liquidity in the market for the derivative or class of derivatives, the concentration of participants active in the market for the derivative or class of derivatives, and the availability of reliable and timely pricing data;
(j) the existence of third-party vendors providing pricing services; (k) with regards to a regulated clearing agency, the existence of an appropriate rule framework, and the existence
of capacity, operational expertise and resources, and credit support infrastructure to clear the derivative on terms that are consistent with the material terms and trading conventions on which the derivative is traded;
(l) whether a regulated clearing agency would be able to manage the risk of the additional derivatives that might
be submitted due to the mandatory central counterparty clearing requirement determination;
Request for Comments
October 12, 2017
(2017), 40 OSCB 8293
(m) the effect on competition, taking into account appropriate fees and charges applied to clearing, and whether mandating clearing of the derivative could harm competition;
(n) alternative derivatives or clearing services co-existing in the same market; (o) the public interest.
Request for Comments
October 12, 2017
(2017), 40 OSCB 8294
FORM 94-101F1 INTRAGROUP EXEMPTION
Submission of information on intragroup transactions by a local counterparty In paragraph (a) of item 1 in section 2, we refer to information required under section 28 of the TR Instrument. We intend to keep the forms delivered by or on behalf of a local counterparty under the Instrument confidential in accordance with the provisions of the applicable legislation. We are of the view that the forms generally contain proprietary information, and that the cost and potential risks of disclosure for the counterparties to an intragroup transaction outweigh the benefit of the principle requiring that forms be made available for public inspection. While we intend for Form 94-101F1 and any amendments to it to be kept generally confidential, if the regulator or securities regulatory authority considers that it is in the public interest to do so, it may require the public disclosure of a summary of the information contained in such form, or amendments to it.
Request for Comments
October 12, 2017
(2017), 40 OSCB 8295
FORM 94-101F2 DERIVATIVES CLEARING SERVICES
Submission of information on clearing services of derivatives by the regulated clearing agency Paragraphs (a), (b) and (c) of item 2 in section 2 address the potential for a derivative or class of derivatives to be a mandatory clearable derivative given its level of standardization in terms of market conventions, including legal documentation, processes and procedures, and whether pre- to post- transaction operations are carried out predominantly by electronic means. The standardization of economic terms is a key input in the determination process. In paragraph (a) of item 2 in section 2, “life-cycle events” has the same meaning as in section 1 of the TR Instrument. Paragraphs (d) and (e) of item 2 in section 2 provide details to assist in assessing the market characteristics such as the activity (volume and notional amount) of a particular derivative or class of derivatives, the nature and landscape of the market for that derivative or class of derivatives and the potential impact its determination as a mandatory clearable derivative could have on market participants, including the regulated clearing agency. Assessing whether a derivative or class of derivatives should be a mandatory clearable derivative may involve, in terms of liquidity and price availability, considerations that are different from, or in addition to, the considerations used by the regulator or securities regulatory authority in permitting a regulated clearing agency to offer clearing services for a derivative or class of derivatives. Stability in the availability of pricing information will also be an important factor considered in the determination process. Metrics, such as the total number of transactions and aggregate notional amounts and outstanding positions, can be used to justify the confidence and frequency with which the pricing of a derivative or class of derivatives is calculated. We expect that the data presented cover a reasonable period of time of no less than 6 months. Suggested information to be provided on the market includes:
(c) statistics regarding the percentage of activity of participants on their own behalf and for customers, (d) average net and gross positions including the direction of positions (long or short), by type of market
participant submitting mandatory clearable derivatives directly or indirectly, and (e) average trading activity and concentration of trading activity among participants by type of market participant
submitting mandatory clearable derivatives directly or indirectly to the regulated clearing agency.
Request for Comments
October 12, 2017
(2017), 40 OSCB 8296
ANNEX E LOCAL MATTERS – ONTARIO
Legislative Authority for Rule Making The proposed amendments to National Instrument 94-101 Mandatory Central Counteraparty Clearing of Derivatives (the “National Instrument”) will come into force under the rulemaking authority provided under subparagraph 143(1) of the Securities Act. Subparagraph 35(iii) authorizes the Ontario Securities Commission to make rules that make requirements in respect of margin, collateral, capital, clearing and settlement. Alternatives Considered by Commission No alternatives were considered. Anticipated Costs and Benefits We believe that the impact of the proposed amendments is to reduce the costs of compliance with the National Instrument and do not result in a material burden on market participants.
October 12, 2017
(2017), 40 OSCB 8297
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
October 12, 2017
(2017), 40 OSCB 8298
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
ABcann Global Corporation Common Shares Fishman, Barry 5 01/10/2017 00 304,117
ABcann Global Corporation Common Shares Fishman, Barry 5 02/10/2017 46 1,479,117 1,175,000
ABcann Global Corporation Options Fishman, Barry 5 01/10/2017 00 1,250,000
Aberdeen International Inc. Common Shares Miller, III, Lloyd I. 3 02/10/2017 10 0.113 8,735,000 12,000
Aberdeen International Inc. Common Shares Miller, III, Lloyd I. 3 04/10/2017 10 0.1132 8,743,500 8,500
Aberdeen International Inc. Common Shares Miller, III, Lloyd I. 3 05/10/2017 10 0.1123 8,786,500 43,000
Abitibi Royalties Inc. Common Shares Abitibi Royalties Inc. 1 22/09/2017 38 9.1086 1,400 1,400
Abitibi Royalties Inc. Common Shares Abitibi Royalties Inc. 1 28/09/2017 38 9.2 1,500 100
Abitibi Royalties Inc. Common Shares Abitibi Royalties Inc. 1 29/09/2017 38 100 -1,400
Abitibi Royalties Inc. Common Shares Abitibi Royalties Inc. 1 04/10/2017 38 0 -100
Abitibi Royalties Inc. Common Shares Ball, Ian 4, 5 03/10/2017 51 2.18 115,007 3,940
Abitibi Royalties Inc. Common Shares Ball, Ian 4, 5 03/10/2017 11 9.05 116,503 1,496
Abitibi Royalties Inc. Common Shares Ball, Ian 4, 5 04/10/2017 10 9.47 116,603 100
Abitibi Royalties Inc. Common Shares Ball, Ian 4, 5 03/10/2017 10 9.5 23,350 200
Abitibi Royalties Inc. Common Shares Ball, Ian 4, 5 04/10/2017 10 9.44 23,650 300
Abitibi Royalties Inc. Common Shares Ball, Ian 4, 5 06/10/2017 10 9.3 23,750 100
Abitibi Royalties Inc. Options Ball, Ian 4, 5 28/09/2017 51 60,000 -3,940
Abitibi Royalties Inc. Common Shares Doyle, Louis 4 06/10/2017 11 9.44 3,209 353
Abitibi Royalties Inc. Common Shares Mullan, Glenn J 4, 6, 5 03/10/2017 51 0.55 98,664 7,128
Abitibi Royalties Inc. Common Shares Mullan, Glenn J 4, 6, 5 03/10/2017 11 9.05 97,168 -1,496
Abitibi Royalties Inc. Common Shares Mullan, Glenn J 4, 6, 5 06/10/2017 51 0.55 98,175 1,007
Abitibi Royalties Inc. Common Shares Mullan, Glenn J 4, 6, 5 06/10/2017 11 9.44 97,822 -353
Abitibi Royalties Inc. Options Mullan, Glenn J 4, 6, 5 28/09/2017 51 190,928 -7,128
Abitibi Royalties Inc. Options Mullan, Glenn J 4, 6, 5 04/10/2017 51 189,921 -1,007
Acasta Enterprises Inc. Class B Shares Swartz, Jay 4 19/06/2017 00
Acasta Enterprises Inc. Class B Shares Swartz, Jay 4 29/09/2017 11 94,105 94,105
Acasta Enterprises Inc. Warrants Swartz, Jay 4 19/06/2017 00
Acasta Enterprises Inc. Warrants Swartz, Jay 4 29/09/2017 11 5,646 5,646
Acasta Enterprises Inc. Class B Shares Young, Michael D'Arcy 4 19/06/2017 00
Acasta Enterprises Inc. Class B Shares Young, Michael D'Arcy 4 29/09/2017 11 94,105 94,105
Acasta Enterprises Inc. Warrants Young, Michael D'Arcy 4 19/06/2017 00
Acasta Enterprises Inc. Warrants Young, Michael D'Arcy 4 29/09/2017 11 5,646 5,646
Advantage Oil & Gas Ltd. Rights Deferred Share Units
Angevine, Jill Terilee 4 30/09/2017 56 20,141 799
Advantage Oil & Gas Ltd. Rights Deferred Share Units
Balog, Stephen 4 30/09/2017 56 29,780 666
Advantage Oil & Gas Ltd. Rights Deferred Share Units
Fagerheim, Grant Bradley 4 30/09/2017 56 28,406 799
Advantage Oil & Gas Ltd. Rights Deferred Share Units
Haggis, Paul 4 30/09/2017 56 33,594 733
Advantage Oil & Gas Ltd. Rights Deferred Share Units
McIntosh, Ronald A 4 30/09/2017 56 45,798 1,066
Advantagewon Oil Corp. Common Shares Darakjian, David 6 29/09/2017 10 0.095 20,176,978 -65,000
Advantagewon Oil Corp. Common Shares Darakjian, David 6 02/10/2017 10 0.091 20,124,978 -52,000
Advantagewon Oil Corp. Common Shares Darakjian, David 6 04/10/2017 10 0.095 20,123,978 -1,000
Advantagewon Oil Corp. Common Shares Ewart, Jason Gordon 6 29/09/2017 10 0.095 20,176,978 -65,000
Advantagewon Oil Corp. Common Shares Ewart, Jason Gordon 6 02/10/2017 10 0.091 20,124,978 -52,000
Advantagewon Oil Corp. Common Shares Ewart, Jason Gordon 6 04/10/2017 10 0.095 20,123,978 -1,000
Advantagewon Oil Corp. Common Shares Fountain Asset Corp. 3 29/09/2017 10 0.095 20,176,978 -65,000
Advantagewon Oil Corp. Common Shares Fountain Asset Corp. 3 02/10/2017 10 0.091 20,124,978 -52,000
Advantagewon Oil Corp. Common Shares Fountain Asset Corp. 3 04/10/2017 10 0.095 20,123,978 -1,000
Ag Growth International Inc. Rights Deferred Compensation Plan
Giesselman, Janet 4 01/10/2017 56 3,952 262
Ag Growth International Inc. Rights Deferred Compensation Plan
Lambert, William Allen 4 01/10/2017 56 11,628 382
Ag Growth International Inc. Rights Deferred Compensation Plan
Moore, Malcolm 4 01/10/2017 56 3,323 251
Ag Growth International Inc. Rights Deferred Compensation Plan
White, David 4 01/10/2017 56 7,877 251
Agellan Commercial Real Estate Investment Trust
Units Barazzuol, Renzo 6 27/09/2017 10 11.798 1,106,320 46,600
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8299
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Agellan Commercial Real Estate Investment Trust
Units Barazzuol, Renzo 6 28/09/2017 10 11.88 1,126,220 19,900
Agellan Commercial Real Estate Investment Trust
Units Barazzuol, Renzo 6 29/09/2017 10 11.999 1,211,571 85,351
Agellan Commercial Real Estate Investment Trust
Units Barazzuol, Renzo 6 02/10/2017 10 12.15 1,247,371 35,800
Agellan Commercial Real Estate Investment Trust
Units Barazzuol, Renzo 6 03/10/2017 10 12.163 1,271,471 24,100
Agellan Commercial Real Estate Investment Trust
Units Manji, Salim 6 27/09/2017 10 11.798 1,106,320 46,600
Agellan Commercial Real Estate Investment Trust
Units Manji, Salim 6 28/09/2017 10 11.88 1,126,220 19,900
Agellan Commercial Real Estate Investment Trust
Units Manji, Salim 6 29/09/2017 10 11.999 1,211,571 85,351
Agellan Commercial Real Estate Investment Trust
Units Manji, Salim 6 02/10/2017 10 12.15 1,247,371 35,800
Agellan Commercial Real Estate Investment Trust
Units Manji, Salim 6 03/10/2017 10 12.163 1,271,471 24,100
Agellan Commercial Real Estate Investment Trust
Units Manji, Samir Aziz 6 27/09/2017 10 11.798 1,106,320 46,600
Agellan Commercial Real Estate Investment Trust
Units Manji, Samir Aziz 6 28/09/2017 10 11.88 1,126,220 19,900
Agellan Commercial Real Estate Investment Trust
Units Manji, Samir Aziz 6 29/09/2017 10 11.999 1,211,571 85,351
Agellan Commercial Real Estate Investment Trust
Units Manji, Samir Aziz 6 02/10/2017 10 12.15 1,247,371 35,800
Agellan Commercial Real Estate Investment Trust
Units Manji, Samir Aziz 6 03/10/2017 10 11.88 19,900
Agellan Commercial Real Estate Investment Trust
Units Manji, Samir Aziz 6 03/10/2017 10 12.163 1,271,471 24,100
Agellan Commercial Real Estate Investment Trust
Units Sandpiper GP Inc. 3 27/09/2017 10 11.798 1,106,320 46,600
Agellan Commercial Real Estate Investment Trust
Units Sandpiper GP Inc. 3 28/09/2017 10 11.88 1,126,220 19,900
Agellan Commercial Real Estate Investment Trust
Units Sandpiper GP Inc. 3 29/09/2017 10 11.999 1,211,571 85,351
Agellan Commercial Real Estate Investment Trust
Units Sandpiper GP Inc. 3 02/10/2017 10 12.15 1,247,371 35,800
Agellan Commercial Real Estate Investment Trust
Units Sandpiper GP Inc. 3 03/10/2017 10 12.163 1,271,471 24,100
AGF Management Limited Common Shares Class B AGF EMPLOYEE BENEFIT PLAN TRUST
2 02/10/2017 10 8.075 382,855 100,000
AGF Management Limited Common Shares ESOP - Cash
BASARABA, Adrian 5 30/09/2017 30 7.39 25,900 1,608
AGF Management Limited Common Shares ESOP - RRSP
BASARABA, Adrian 5 30/09/2017 30 7.11 4,247 47
AGF Management Limited Common Shares ESOP - Select Plan
BASARABA, Adrian 5 30/09/2017 30 7.11 1,789 20
AGF Management Limited Common Shares ESP Vested
BASARABA, Adrian 5 30/09/2017 30 7.11 6,505 72
AGF Management Limited Common Shares Class B Camilli, Kathleen Mary 4 02/10/2017 10 6.47 39,800 200
AGF Management Limited Common Shares Class B Camilli, Kathleen Mary 4 02/10/2017 10 6.46 42,400 2,600
AGF Management Limited Common Shares Class B Camilli, Kathleen Mary 4 05/10/2017 10 6.4061 43,400 1,000
AGF Management Limited Common Shares ESOP - Cash
CAMMARERI, ROSE 5 30/09/2017 30 7.36 33,068 1,330
AGF Management Limited Common Shares ESOP - RRSP
CAMMARERI, ROSE 5 30/09/2017 30 7.11 61 1
AGF Management Limited Common Shares ESP Vested
CAMMARERI, ROSE 5 30/09/2017 30 7.11 9,699 108
AGF Management Limited Common Shares ESOP - Cash
Goldring, Judy 4, 5 30/09/2017 30 7.35 47,500 1,751
AGF Management Limited Common Shares ESOP - Select Plan
Goldring, Judy 4, 5 30/09/2017 30 7.11 4,550 51
AGF Management Limited Common Shares ESP Vested
Goldring, Judy 4, 5 30/09/2017 30 7.11 19,061 212
AGF Management Limited Common Shares ESOP - Cash
MCCREADIE, KEVIN ANDREW
5 30/09/2017 30 7.4 27,636 2,094
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8300
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
AGF Management Limited Common Shares ESP Vested
MCCREADIE, KEVIN ANDREW
5 30/09/2017 30 7.11 65,093 724
AGT Food and Ingredients Inc. (formerly, Alliance Grain Traders Inc.)
Common Shares Al-Katib, Murad 3, 4, 5 03/10/2017 10 24.802 573,633 857
AGT Food and Ingredients Inc. (formerly, Alliance Grain Traders Inc.)
Common Shares Al-Katib, Murad 3, 4, 5 03/10/2017 10 24.802 574,061 428
AGT Food and Ingredients Inc. (formerly, Alliance Grain Traders Inc.)
Common Shares Bourassa, Gaetan Michael 5 03/10/2017 10 24.802 50,680 454
AGT Food and Ingredients Inc. (formerly, Alliance Grain Traders Inc.)
Common Shares Bourassa, Gaetan Michael 5 03/10/2017 10 24.802 50,907 227
AGT Food and Ingredients Inc. (formerly, Alliance Grain Traders Inc.)
Common Shares Ireland, Lori Ann 5 03/10/2017 10 24.802 62,340 169
AGT Food and Ingredients Inc. (formerly, Alliance Grain Traders Inc.)
Common Shares Ireland, Lori Ann 5 03/10/2017 10 24.802 62,424 84
Aida Minerals Corp. Common Shares Tolbert, Robin S. 4 24/05/2017 45 0.1 800,000 50,000
Aida Minerals Corp. Common Shares Tolbert, Robin S. 4 24/05/2017 97 0.1 900,000 100,000
Aida Minerals Corp. Common Shares Tolbert, Robin S. 4 27/09/2017 10 0.05 337,500 -562,500
Aim Explorations Ltd. Common Shares Balderson, Geoffrey 4, 5 30/04/2015 97 550,000 -550,000
Aim Explorations Ltd. Common Shares Balderson, Geoffrey 4, 5 13/03/2017 37 275,000 -275,000
Aim Explorations Ltd. Options Balderson, Geoffrey 4, 5 03/03/2017 52 200,000
Aim Explorations Ltd. Options Balderson, Geoffrey 4, 5 03/03/2017 52 400,000 200,000
Aimia Inc. Deferred Share Units Brown, Robert Ellis 4 01/10/2017 56 2.56 140,381 15,723
Aimia Inc. Deferred Share Units Doroniuk, Roman 4 01/10/2017 56 2.56 55,925 4,883
Aimia Inc. Deferred Share Units Fortier, Michael M 4 01/10/2017 56 2.56 101,845 15,625
Aimia Inc. Deferred Share Units Gardner, Thomas David 4 01/10/2017 56 2.56 22,969 7,324
Aimia Inc. Deferred Share Units Griffin, Emma Kate 4 01/10/2017 56 2.56 40,791 9,766
Aimia Inc. Deferred Share Units Kreidler, Robert Christopher 4 01/10/2017 56 2.56 15,955 4,883
Aimia Inc. Deferred Share Units McEwan, William Gerard 4 01/10/2017 56 2.56 32,760 9,668
Aimia Inc. Deferred Share Units Port, Douglas D. 4 01/10/2017 56 2.56 62,348 7,324
Air Canada Deferred Share Units Clark, Christie James Beckett
4 02/10/2017 56 13,234 758
Air Canada Deferred Share Units Green, Michael 4 02/10/2017 56 23,918 758
Air Canada Deferred Share Units Huot, Jean Marc 4 02/10/2017 56 207,217 701
Air Canada Deferred Share Units PAQUIN, MADELEINE 4 02/10/2017 56 30,293 1,314
Air Canada Deferred Share Units Romanow, Roy 4 02/10/2017 56 114,914 701
Air Canada Share Units (Long-Term Incentive Plan)
Smith, Benjamin M. 7 02/10/2017 59 26.12 189,300 -4,000
Air Canada Deferred Share Units Sorensen, Vagn 4 02/10/2017 56 1,942
Air Canada Deferred Share Units Sorensen, Vagn 4 02/10/2017 56 1,942
Air Canada Deferred Share Units Sorensen, Vagn 4 16/11/2006 00
Air Canada Deferred Share Units Sorensen, Vagn 4 02/10/2017 56 1,942 1,942
Air Canada Deferred Share Units Taylor, Kathleen 4 02/10/2017 56 18,779 1,385
Air Canada Deferred Share Units Verschuren, Annette Marie 4 02/10/2017 56 41,264 758
Air Canada Deferred Share Units Wilson, Michael M. 4 02/10/2017 56 52,021 1,942
AIRBOSS OF AMERICA CORP.
Rights - Deferred Stock Units
Hagerman, Robert 4 30/09/2017 56 1,007 531
AIRBOSS OF AMERICA CORP.
Rights - Deferred Stock Units
Matthews, Mary 4 30/09/2017 56 4,513 764
AIRBOSS OF AMERICA CORP.
Rights - Deferred Stock Units
McLeish, Robert 4 30/09/2017 56 6,254 1,082
AIRBOSS OF AMERICA CORP.
Rights - Deferred Stock Units
Robbins, Brian Andrew 4 02/10/2017 56 9,151 1,719
AIRBOSS OF AMERICA CORP.
Rights - Deferred Stock Units
Watson, Alan JD 4 30/09/2017 56 3,891 753
Akita Drilling Ltd. Non-Voting Shares Charlton, Loraine 4 02/10/2017 30 7.09 12,268 113
Akita Drilling Ltd. Non-Voting Shares Charlton, Loraine 4 03/10/2017 30 7.15 12,512 244
Akita Drilling Ltd. Non-Voting Shares Coleman, Raymond 5 29/09/2017 30 7.26 20,714 353
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8301
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Akita Drilling Ltd. Non-Voting Shares Coleman, Raymond 5 02/10/2017 30 7.09 20,811 97
Akita Drilling Ltd. Non-Voting Shares Coleman, Raymond 5 03/10/2017 30 7.15 21,160 349
Akita Drilling Ltd. Non-Voting Shares Coleman, Raymond 5 06/10/2017 30 6.95 21,312 152
Akita Drilling Ltd. Non-Voting Shares Dease, Colin 5 03/10/2017 30 7.15 7,673 349
Akita Drilling Ltd. Non-Voting Shares Dease, Colin 5 06/10/2017 30 6.95 7,749 76
Akita Drilling Ltd. Non-Voting Shares Hensel, Fred 5 29/09/2017 30 7.26 31,386 234
Akita Drilling Ltd. Non-Voting Shares Hensel, Fred 5 02/10/2017 30 7.09 31,533 147
Akita Drilling Ltd. Non-Voting Shares Hensel, Fred 5 03/10/2017 30 7.15 31,882 349
Akita Drilling Ltd. Non-Voting Shares Hensel, Fred 5 06/10/2017 30 6.95 32,113 231
Akita Drilling Ltd. Non-Voting Shares Kushner, Craig 5 02/10/2017 30 7.09 15,327 149
Akita Drilling Ltd. Non-Voting Shares Kushner, Craig 5 03/10/2017 30 7.15 15,676 349
Akita Drilling Ltd. Non-Voting Shares Mohan, Harish 4 02/10/2017 30 7.09 4,535 54
Akita Drilling Ltd. Non-Voting Shares Mohan, Harish 4 03/10/2017 30 7.15 4,779 244
Akita Drilling Ltd. Non-Voting Shares Reynolds, Darcy 5 29/09/2017 30 7.26 3,938 104
Akita Drilling Ltd. Non-Voting Shares Reynolds, Darcy 5 02/10/2017 30 7.09 3,957 19
Akita Drilling Ltd. Non-Voting Shares Reynolds, Darcy 5 03/10/2017 30 7.15 4,306 349
Akita Drilling Ltd. Non-Voting Shares Reynolds, Darcy 5 06/10/2017 30 6.95 4,333 27
Akita Drilling Ltd. Non-Voting Shares RICHARDSON, DALE 4 02/10/2017 30 7.09 35,372 115
Akita Drilling Ltd. Non-Voting Shares RICHARDSON, DALE 4 03/10/2017 30 7.15 35,616 244
Akita Drilling Ltd. Non-Voting Shares Ruud, Karl 4 02/10/2017 30 7.09 43,581 149
Akita Drilling Ltd. Non-Voting Shares Ruud, Karl 4 03/10/2017 30 7.15 43,930 349
Akita Drilling Ltd. Non-Voting Shares Southern-Heathcott, Linda A.
4, 6 02/10/2017 30 7.09 24,456 115
Akita Drilling Ltd. Non-Voting Shares Southern-Heathcott, Linda A.
4, 6 03/10/2017 30 7.15 24,700 244
Akita Drilling Ltd. Non-Voting Shares Southern, Nancy C. 4, 6 02/10/2017 30 7.09 25,737 115
Akita Drilling Ltd. Non-Voting Shares Southern, Nancy C. 4, 6 03/10/2017 30 7.15 25,981 244
Akita Drilling Ltd. Non-Voting Shares Spitznagel, Curt Perry 4 02/10/2017 30 7.09 10,328 115
Akita Drilling Ltd. Non-Voting Shares Spitznagel, Curt Perry 4 03/10/2017 30 7.15 10,572 244
Akita Drilling Ltd. Non-Voting Shares Wilmot, Harry 4 02/10/2017 30 7.09 2,420 29
Akita Drilling Ltd. Non-Voting Shares Wilmot, Harry 4 03/10/2017 30 7.15 2,664 244
Akita Drilling Ltd. Non-Voting Shares WILSON, Charles W. 4 02/10/2017 30 7.09 19,520 96
Akita Drilling Ltd. Non-Voting Shares WILSON, Charles W. 4 03/10/2017 30 7.15 19,764 244
Alabama Graphite Corp. Common Shares Pamplin, Ann-Marie Michelle
8 28/09/2017 10 0.14 27,000 500
Alabama Graphite Corp. Common Shares Pamplin, Ann-Marie Michelle
8 02/10/2017 10 0.15 30,500 3,500
Alabama Graphite Corp. Common Shares Pamplin, Ann-Marie Michelle
8 02/10/2017 10 0.145 33,000 2,500
Alabama Graphite Corp. Common Shares Pamplin, Ann-Marie Michelle
8 03/10/2017 10 0.2 35,000 2,000
Alabama Graphite Corp. Common Shares Pamplin, Ann-Marie Michelle
8 03/10/2017 10 0.18 44,000 9,000
Alabama Graphite Corp. Common Shares Pamplin, Ann-Marie Michelle
8 03/10/2017 10 0.185 47,000 3,000
Alabama Graphite Corp. Common Shares Pamplin, Ann-Marie Michelle
8 03/10/2017 10 0.19 53,000 6,000
Alabama Graphite Corp. Common Shares Pamplin, Ann-Marie Michelle
8 03/10/2017 10 0.18 56,000 3,000
Alabama Graphite Corp. Common Shares Pamplin, Ann-Marie Michelle
8 04/10/2017 10 0.17 70,000 14,000
Alabama Graphite Corp. Common Shares Pamplin, Ann-Marie Michelle
8 28/09/2017 10 0.14 73,000 9,500
Alabama Graphite Corp. Common Shares Pamplin, Ann-Marie Michelle
8 29/09/2017 10 0.14 78,000 5,000
Alabama Graphite Corp. Common Shares Pamplin, Ann-Marie Michelle
8 02/10/2017 10 0.15 83,000 5,000
Alabama Graphite Corp. Common Shares Pamplin, Ann-Marie Michelle
8 02/10/2017 10 0.145 85,000 2,000
Alabama Graphite Corp. Common Shares Pamplin, Ann-Marie Michelle
8 05/10/2017 10 0.17 90,000 5,000
Alabama Graphite Corp. Common Shares Pamplin, Ann-Marie Michelle
8 05/10/2017 10 0.175 93,000 3,000
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8302
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Alderon Iron Ore Corp. Rights DSUs Ashby, Ian R. 4 30/09/2017 56 0.2644 607,823 14,419
Alderon Iron Ore Corp. Rights DSUs Furey, Andrew John 4 30/09/2017 56 0.2644 20,539 13,001
Alderon Iron Ore Corp. Rights DSUs LOADER, WILLIAM ADRIAN
4 30/09/2017 56 0.2644 629,120 17,256
Alderon Iron Ore Corp. Rights DSUs Porter, David James 4 30/09/2017 56 0.2644 732,832 17,256
Alderon Iron Ore Corp. Rights DSUs Wang, Jinhui 4 30/09/2017 56 0.2644 535,296 13,001
Alexandria Minerals Corporation
Common Shares Patil, Priya 4 05/10/2017 10 0.055 100,000 100,000
Algold Resources Ltd. Common Shares Milmeister, Darin 4 29/09/2017 10 0.165 200,000 100,000
Algonquin Power & Utilities Corp.
Rights Deferred Share Units
Ball, Christopher James 4 30/09/2017 56 13.19 43,623 2,155
Algonquin Power & Utilities Corp.
Rights Deferred Share Units
Barnes, Melissa Stapleton 4 30/09/2017 56 13.19 7,876 1,564
Algonquin Power & Utilities Corp.
Rights Deferred Share Units
Laney, Randy David 4 30/09/2017 56 13.19 3,951 1,516
Algonquin Power & Utilities Corp.
Rights Deferred Share Units
Moore, Kenneth 4 30/09/2017 56 13.19 133,221 6,994
Algonquin Power & Utilities Corp.
Rights Deferred Share Units
Saidi, Masheed Hegi 4 30/09/2017 56 13.19 17,555 1,772
Algonquin Power & Utilities Corp.
Rights Deferred Share Units
Samil, Dilek 4 30/09/2017 56 13.19 18,001 1,778
Algonquin Power & Utilities Corp.
Rights Deferred Share Units
Steeves, George Lester 4 30/09/2017 56 13.19 52,843 2,199
Alianza Minerals Ltd. (formerly Tarsis Resources Ltd.)
Warrants Blythe, Marc Girthon 4, 5 03/10/2017 55 0.4 0 -15,000
Alianza Minerals Ltd. (formerly Tarsis Resources Ltd.)
Warrants Brown, Mark Thomas 4 03/10/2017 55 0.4 1,491,607 -15,000
Alianza Minerals Ltd. (formerly Tarsis Resources Ltd.)
Common Shares Lindsay, Craig Thomas 4 10/11/2008 00
Alianza Minerals Ltd. (formerly Tarsis Resources Ltd.)
Common Shares Lindsay, Craig Thomas 4 02/10/2017 10 0.105 460,000 15,000
Alianza Minerals Ltd. (formerly Tarsis Resources Ltd.)
Options Lindsay, Craig Thomas 4 03/10/2017 52 0.4 290,000 -10,000
Alimentation Couche-Tard Inc.
Unité d'action différée Bourque, Nathalie 4 29/09/2017 35 58.33 17,594 27
Alimentation Couche-Tard Inc.
Unité d'action différée D'Amours, Jacques 4 29/09/2017 35 58.33 5,344 8
Alimentation Couche-Tard Inc.
Unité d'action différée Élie, Jean André 4 29/09/2017 35 58.33 32,561 50
Alimentation Couche-Tard Inc.
Unité d'action différée Fortin, Richard 4, 6, 7, 5 29/09/2017 35 58.33 19,001 30
Alimentation Couche-Tard Inc.
Unité d'action différée Kau, Mélanie 4 29/09/2017 35 58.33 64,923 100
Alimentation Couche-Tard Inc.
Unité d'action différée Leroux, Monique F. 4 29/09/2017 35 58.33 3,686 6
Alimentation Couche-Tard Inc.
Unité d'action différée Plourde, Réal 4, 6, 7, 5 29/09/2017 35 58.33 5,273 8
Alimentation Couche-Tard Inc.
Unité d'action différée Rabinowicz, Daniel 5 29/09/2017 35 58.33 4,576 7
Alimentation Couche-Tard Inc.
Unité d'action différée Turmel, Jean 4 29/09/2017 35 58.33 99,480 153
Alliance Growers Corp. Common Shares Lambert, Ian Davidson 4 05/10/2017 10 0.1 574,500 -20,000
Alliance Growers Corp. Common Shares Lambert, Ian Davidson 4 05/10/2017 10 0.105 554,500 -20,000
Alliance Growers Corp. Common Shares Lambert, Ian Davidson 4 05/10/2017 10 0.11 534,500 -20,000
Alliance Growers Corp. Common Shares Lambert, Ian Davidson 4 05/10/2017 10 0.115 514,500 -20,000
Alliance Growers Corp. Common Shares Lambert, Ian Davidson 4 05/10/2017 10 0.12 494,500 -20,000
Almonty Industries Inc. Common Shares Gutschlag, Thomas Joerg 4, 6 28/09/2017 10 0.61 15,365,790 7,000
Almonty Industries Inc. Common Shares Gutschlag, Thomas Joerg 4, 6 28/09/2017 10 0.6 15,367,790 2,000
Almonty Industries Inc. Common Shares Gutschlag, Thomas Joerg 4, 6 28/09/2017 10 0.63 15,368,790 1,000
Almonty Industries Inc. Common Shares Gutschlag, Thomas Joerg 4, 6 02/10/2017 10 0.63 15,373,790 5,000
ALQ Gold Corp. Common Shares Boddy, Brandon 4 03/08/2017 00
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8303
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
ALQ Gold Corp. Common Shares Boddy, Brandon 4 03/08/2017 16 0.075 500,000 500,000
AltaGas Ltd. Rights Restricted Units (RU)
Clements, Paul Carson 7 29/09/2017 30 1,346 33
AltaGas Ltd. Rights Restricted Units (RU)
Clements, Paul Carson 7 29/09/2017 59 27.99 750 -596
AltaGas Ltd. Rights Deferred Share Unit (DSU)
Cornhill, David Wallace 4 02/10/2017 56 28.05 15,000 5,000
Altiplano Minerals Ltd. Common Shares Williamson, John 3, 4 02/10/2017 10 0.135 2,679,847 1,500
Altiplano Minerals Ltd. Common Shares Williamson, John 3, 4 03/10/2017 10 0.15 2,699,847 20,000
Altiplano Minerals Ltd. Common Shares Williamson, John 3, 4 04/10/2017 10 0.14 2,749,847 50,000
Altiplano Minerals Ltd. Common Shares Williamson, John 3, 4 06/10/2017 10 0.15 2,759,847 10,000
Altiplano Minerals Ltd. Common Shares Yaseniuk, Jeremy 4 03/10/2017 10 0.15 583,666 11,000
Altius Minerals Corporation Common Shares Lace, Roger 7 27/09/2017 10 11.745 30,000 10,000
Altus Group Limited Common Shares Probyn, Alex 7 27/09/2017 51 19.29 -2,333
Altus Group Limited Common Shares Probyn, Alex 7 27/09/2017 10 31.277 19,487 -2,333
Altus Group Limited Common Shares Probyn, Alex 7 27/09/2017 51 23.85 -2,333
Altus Group Limited Common Shares Probyn, Alex 7 27/09/2017 10 31.309 17,154 -2,333
Altus Group Limited Common Shares Probyn, Alex 7 27/09/2017 51 19.29 19,487 2,333
Altus Group Limited Common Shares Probyn, Alex 7 27/09/2017 51 23.85 21,820 2,333
Altus Group Limited Options Probyn, Alex 7 27/09/2017 51 19.29 15,971 -2,333
Altus Group Limited Options Probyn, Alex 7 27/09/2017 51 23.85 13,638 -2,333
American Core Sectors Dividend Fund
Trust Units American Core Sectors Dividend Fund
1 29/09/2017 38 10.7 3,671,284 900
Americas Silver Corporation Rights Deferred Share Units
Davidson, Alexander John 4 30/09/2017 56 60,670 4,346
Americas Silver Corporation Rights Deferred Share Units
Edwards, Alan R. 4 30/09/2017 56 40,760 599
Americas Silver Corporation Rights Deferred Share Units
Kipp, Bradley Robert 4 30/09/2017 56 54,732 3,297
Americas Silver Corporation Rights Deferred Share Units
Pridham, Gordon E. 4 30/09/2017 56 35,741 629
Americas Silver Corporation Rights Deferred Share Units
RIVERA RABA, MANUEL ALBERTO
4 02/08/2017 00
Americas Silver Corporation Rights Deferred Share Units
RIVERA RABA, MANUEL ALBERTO
4 30/09/2017 56 472 472
Americas Silver Corporation Rights Deferred Share Units
Waisberg, Lorie 4 30/09/2017 56 38,523 824
Amerigo Resources Ltd Common Shares Toor, Nauman (Nick) 3 28/09/2017 10 0.75 20,733,300 53,500
Aquila Resources Inc. Common Shares Lynott, Jeffrey Stephen 7 02/10/2017 00
Aquila Resources Inc. Convertible Preferred Shares
Lynott, Jeffrey Stephen 7 02/10/2017 00
Aquila Resources Inc. Options Lynott, Jeffrey Stephen 7 02/10/2017 00 250,000
Aquila Resources Inc. Rights Restricted Share Units
Lynott, Jeffrey Stephen 7 02/10/2017 00
Aquila Resources Inc. Warrants Lynott, Jeffrey Stephen 7 02/10/2017 00
Aralez Pharmaceuticals Inc. Common Shares Tursi, James Patrick 5 01/10/2017 57 2.29 94,538 29,000
Aralez Pharmaceuticals Inc. Common Shares Tursi, James Patrick 5 02/10/2017 10 2.5018 84,578 -9,960
Aralez Pharmaceuticals Inc. Restricted Share Units Tursi, James Patrick 5 01/10/2017 57 2.29 172,772 -29,000
Arbutus Biopharma Corporation
Common Shares Sofia, Michael Joseph 5 03/10/2017 10 1,553,403 -10,000
ARC Resources Ltd. Deferred Share Units (DSU) (Cash based only)
Collyer, David Ralph 4 30/09/2017 56 6,341 1,864
ARC Resources Ltd. Deferred Share Units (DSU) (Cash based only)
Dielwart, John Patrick 4 30/09/2017 56 40,898 1,991
ARC Resources Ltd. Deferred Share Units (DSU) (Cash based only)
Dyment, Fred J. 4 30/09/2017 56 39,088 1,991
ARC Resources Ltd. Deferred Share Units (DSU) (Cash based only)
Hearn, Timothy James 4 30/09/2017 56 35,022 1,991
ARC Resources Ltd. Deferred Share Units (DSU) (Cash based only)
Houck, James Curtis 4 30/09/2017 56 44,385 2,323
ARC Resources Ltd. Deferred Share Units (DSU) (Cash based only)
Kvisle, Harold N. 4 30/09/2017 56 75,074 5,859
ARC Resources Ltd. Deferred Share Units (DSU) (Cash based only)
O'Neill, Kathleen M. 4 30/09/2017 56 51,887 2,767
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8304
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
ARC Resources Ltd. Deferred Share Units (DSU) (Cash based only)
Pinder, Herbert 4 30/09/2017 56 66,705 3,318
ARC Resources Ltd. Deferred Share Units (DSU) (Cash based only)
Sembo, William, George 4 30/09/2017 56 22,912 1,864
ARC Resources Ltd. Deferred Share Units (DSU) (Cash based only)
Smith, Nancy Lynn 4 30/09/2017 56 18,320 3,106
Arctic Star Exploration Corp. Common Shares Jassal, Brijender (Binny) Jassal
5 04/10/2017 54 0.08 1,180,333 500,000
Arctic Star Exploration Corp. Common Shares Jassal, Brijender (Binny) Jassal
5 04/10/2017 10 0.08 680,333 -500,000
Arctic Star Exploration Corp. Warrants Jassal, Brijender (Binny) Jassal
5 04/10/2017 54 0.08 0 -500,000
Argex Titanium Inc. Warrants Alnaimi, Mazen 3, 4, 5 02/10/2017 53 25,772,354 2,916,666
Aritzia Inc. Options MacIver, David John 5 03/10/2017 51 4.9 258,551 -59,316
Aritzia Inc. Options MacIver, David John 5 03/10/2017 51 4.5 211,099 -47,452
Aritzia Inc. Options MacIver, David John 5 03/10/2017 51 3.99 209,108 -1,991
Aritzia Inc. Subordinate Voting Shares
MacIver, David John 5 03/10/2017 51 4.9 59,316 59,316
Aritzia Inc. Subordinate Voting Shares
MacIver, David John 5 03/10/2017 10 14.313 0 -59,316
Aritzia Inc. Subordinate Voting Shares
MacIver, David John 5 03/10/2017 51 4.5 47,452 47,452
Aritzia Inc. Subordinate Voting Shares
MacIver, David John 5 03/10/2017 10 14.312 0 -47,452
Aritzia Inc. Subordinate Voting Shares
MacIver, David John 5 03/10/2017 51 3.99 1,991 1,991
Aritzia Inc. Subordinate Voting Shares
MacIver, David John 5 03/10/2017 10 14.62 0 -1,991
Arizona Mining Inc. Common Shares Whelan, Thomas S. 5 20/09/2017 00 10,000
Arizona Mining Inc. Common Shares Whelan, Thomas S. 5 03/10/2017 10 3.21 30,000 20,000
Arizona Mining Inc. Common Shares Whelan, Thomas S. 5 04/10/2017 10 3.46 40,000 10,000
Artis Real Estate Investment Trust
Deferred Units Jack, Bruce William James 4 02/10/2017 56 13.22 5,656 3,064
Artis Real Estate Investment Trust
Deferred Units Martens, Cornelius 4, 5 02/10/2017 56 13.22 4,521 453
Artis Real Estate Investment Trust
Deferred Units Rimer, Ronald Albert 4 02/10/2017 56 13.22 20,920 2,600
Artis Real Estate Investment Trust
Deferred Units Ryan, Patrick Gowan 4 02/10/2017 56 13.22 30,881 2,090
Artis Real Estate Investment Trust
Deferred Units Ryan, Patrick Gowan 4 02/10/2017 56 13.22 31,391 510
Artis Real Estate Investment Trust
Deferred Units Thielmann, Victor 4 02/10/2017 56 13.22 4,521 453
Artis Real Estate Investment Trust
Deferred Units Townsend, Kenneth 4 02/10/2017 56 13.22 4,521 453
Artis Real Estate Investment Trust
Deferred Units Warkentin, Edward 4, 5 02/10/2017 56 13.22 4,521 453
Ascendant Resources Inc. Warrants Shefsky, Stephen 4 04/10/2017 10 0.2 314,700 100,000
Astorius Resources Ltd. Common Shares Brown, Arthur 4, 5 04/10/2017 10 0.085 1,649,000 27,000
Astorius Resources Ltd. Common Shares Brown, Arthur 4, 5 05/10/2017 10 0.085 1,677,000 28,000
ATCO LTD. Non-Voting Shares Class I Charlton, Loraine M. 7 30/09/2017 10 45.6 1,926 13
ATCO LTD. Non-Voting Shares Class I Francis, Robert, B 7 30/09/2017 10 45.6 1,100 7
Athabasca Oil Corporation Deferred Share Units Begley, Bryan 4 30/09/2017 56 0.97 243,667 14,820
Athabasca Oil Corporation Deferred Share Units ECKHARDT, Ronald John 4 30/09/2017 56 0.97 395,903 25,773
Athabasca Oil Corporation Deferred Share Units Fierro, Carlos Antonio 4 30/09/2017 56 0.97 341,855 12,887
Atlantic Power Corporation Common Shares Atlantic Power Corporation 1 29/08/2017 38 2.35 12,291 12,291
Atlantic Power Corporation Common Shares Atlantic Power Corporation 1 29/08/2017 38 2.939 17,291 5,000
Atlantic Power Corporation Common Shares Atlantic Power Corporation 1 30/08/2017 38 2.9382 29,991 12,700
Atlantic Power Corporation Common Shares Atlantic Power Corporation 1 30/08/2017 38 2.3 30,391 400
Atlantic Power Corporation Common Shares Atlantic Power Corporation 1 31/08/2017 38 2.9263 31,191 800
Atlantic Power Corporation Common Shares Atlantic Power Corporation 1 05/09/2017 38 2.9396 41,891 10,700
Atlantic Power Corporation Common Shares Atlantic Power Corporation 1 06/09/2017 38 2.9167 54,591 12,700
Atlantic Power Corporation Common Shares Atlantic Power Corporation 1 07/09/2017 38 2.9284 65,491 10,900
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8305
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Atlantic Power Corporation Common Shares Atlantic Power Corporation 1 07/09/2017 38 2.4 72,491 7,000
Atlantic Power Corporation Common Shares Atlantic Power Corporation 1 08/09/2017 38 2.9266 81,891 9,400
Atlantic Power Corporation Common Shares Atlantic Power Corporation 1 08/09/2017 38 2.4 93,391 11,500
Atlantic Power Corporation Common Shares Atlantic Power Corporation 1 27/09/2017 38 0 -93,391
Atlantic Power Corporation Convertible Debentures Convertible Deb. 6% Convertible Unsecured Subordinated Deb.
Atlantic Power Corporation 1 29/08/2017 38 99 $6,000 $6,000
Atlantic Power Corporation Convertible Debentures Convertible Deb. 6% Convertible Unsecured Subordinated Deb.
Atlantic Power Corporation 1 29/09/2017 38 $0 -$6,000
Atlantic Power Corporation Preferred Shares Series 1 Atlantic Power Corporation 1 25/07/2008 00
Atlantic Power Corporation Preferred Shares Series 1 Atlantic Power Corporation 1 28/06/2017 38 15.5 85,806 85,806
Atlantic Power Corporation Preferred Shares Series 1 Atlantic Power Corporation 1 05/07/2017 38 15.5 171,612 85,806
Atlantic Power Corporation Preferred Shares Series 1 Atlantic Power Corporation 1 31/07/2017 38 0 -171,612
Atlantic Power Corporation Preferred Shares Series 1 Atlantic Power Corporation 1 18/09/2017 38 15.5 78,388 78,388
Atlantic Power Corporation Preferred Shares Series 1 Atlantic Power Corporation 1 30/09/2017 38 0 -78,388
Atlantic Power Corporation Deferred Share Units Duncan, Richard Foster 4 30/09/2017 56 133,915 9,849
Atlantic Power Corporation Deferred Share Units Gerstein, Irving Russell 4 30/09/2017 56 101,162 8,333
Atlantic Power Corporation Deferred Share Units Howell, Kevin 4 30/09/2017 56 71,468 6,566
Atlantic Power Corporation Deferred Share Units Ladhani, Holli 4 30/09/2017 56 136,855 6,818
Atlantic Power Corporation Deferred Share Units Palter, Gilbert Samuel 4 30/09/2017 56 59,133 6,061
Aton Resources Inc. Common Shares OU MOONRIDER 3 02/10/2017 10 0.04 38,834,154 159,000
Aton Resources Inc. Common Shares OU MOONRIDER 3 03/10/2017 10 0.04 39,134,154 300,000
AuRico Metals Inc. Deferred Share Units Day, Anne 4 03/10/2017 56 358,963 7,106
AuRico Metals Inc. Deferred Share Units McCluskey, John 4 03/10/2017 56 320,059 7,106
AuRico Metals Inc. Deferred Share Units Perry, Scott Graeme 4 03/10/2017 56 358,963 7,106
AuRico Metals Inc. Deferred Share Units Spiteri, Joseph George 4 03/10/2017 56 317,373 2,487
AuRico Metals Inc. Deferred Share Units Stairs, Janice Alayne 4 03/10/2017 56 328,467 3,553
Aurora Cannabis Inc. Options Battley, Cam 5 29/09/2017 50 2.76 1,175,000 175,000
Aurora Cannabis Inc. Options Battley, Cam 5 29/09/2017 56 1,368,116 193,116
Aurora Cannabis Inc. Options Belot, Neil 5 29/09/2017 50 2.76 1,050,000 175,000
Aurora Cannabis Inc. Options Belot, Neil 5 29/09/2017 56 1,243,116 193,116
Aurora Cannabis Inc. Options Booth, Terry 4 29/09/2017 50 2.76 1,850,000 250,000
Aurora Cannabis Inc. Options Booth, Terry 4 29/09/2017 56 2,147,101 297,101
Aurora Cannabis Inc. Options Cleiren, Allan John 5 29/09/2017 50 2.76 1,175,000 175,000
Aurora Cannabis Inc. Options Cleiren, Allan John 5 29/09/2017 56 1,351,887 176,887
Aurora Cannabis Inc. Common Shares Del Moral, Jose 4 18/05/2017 97 2.3 3,489,075 279,189
Aurora Cannabis Inc. Common Shares Del Moral, Jose 4 28/08/2017 97 2.135 2,310,200 821,125
Aurora Cannabis Inc. Options Del Moral, Jose 4 29/09/2017 50 2.76 400,000 50,000
Aurora Cannabis Inc. Options Del Moral, Jose 4 29/09/2017 56 450,000 50,000
Aurora Cannabis Inc. Options Dobler, Stephen 4 29/09/2017 50 2.76 1,775,000 175,000
Aurora Cannabis Inc. Options Dobler, Stephen 4 29/09/2017 56 1,968,116 193,116
Aurora Cannabis Inc. Common Shares Dyck, Jason Ronald Bradley 4 05/10/2017 10 3 1,889,215 -217,500
Aurora Cannabis Inc. Options Dyck, Jason Ronald Bradley 4 29/09/2017 50 2.76 175,000 175,000
Aurora Cannabis Inc. Options Dyck, Jason Ronald Bradley 4 29/09/2017 56 350,000 175,000
Aurora Cannabis Inc. Options Ibbott, William Glen 5 29/09/2017 50 2.76 1,425,000 175,000
Aurora Cannabis Inc. Options Ibbott, William Glen 5 29/09/2017 56 1,603,774 178,774
Aurora Cannabis Inc. Options MacPherson, Dieter 5 29/09/2017 50 2.76 300,000 50,000
Aurora Cannabis Inc. Options MacPherson, Dieter 5 29/09/2017 56 350,000 50,000
Aurora Cannabis Inc. Options RIVERA, NILDA 5 29/09/2017 50 2.76 125,000 50,000
Aurora Cannabis Inc. Options RIVERA, NILDA 5 29/09/2017 56 175,000 50,000
Aurora Cannabis Inc. Common Shares Singer, Michael 4 28/09/2017 51 0.46 146,329 100,000
Aurora Cannabis Inc. Common Shares Singer, Michael 4 28/09/2017 10 121,329 -25,000
Aurora Cannabis Inc. Common Shares Singer, Michael 4 04/10/2017 10 21,329 -100,000
Aurora Cannabis Inc. Common Shares Singer, Michael 4 28/09/2017 10 59,250 -10,243
Aurora Cannabis Inc. Options Singer, Michael 4 28/09/2017 51 1,050,000 -100,000
Aurora Cannabis Inc. Options Singer, Michael 4 29/09/2017 50 1,225,000 175,000
Aurora Cannabis Inc. Options Singer, Michael 4 29/09/2017 56 1,400,000 175,000
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8306
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Aurora Cannabis Inc. Options Szweras, Adam Kelley 4 29/09/2017 56 940,000 175,000
Aurora Cannabis Inc. Options Whitehead, Nicholas 5 29/09/2017 50 2.76 300,000 50,000
Aurora Cannabis Inc. Options Whitehead, Nicholas 5 29/09/2017 56 350,000 50,000
Aurora Cannabis Inc. Options Wilson, Debra 5 29/09/2017 50 2.76 300,000 50,000
Aurora Cannabis Inc. Options Wilson, Debra 5 29/09/2017 56 350,000 50,000
Aurvista Gold Corporation Common Shares McCarvill, Gerald Patrick 4, 6 03/10/2017 10 0.29 6,808,335 64,000
Automodular Corporation (formerly Algonquin Mercantile)
Common Shares Automodular Corporation 1 01/09/2017 38 2.35 200 200
Automodular Corporation (formerly Algonquin Mercantile)
Common Shares Automodular Corporation 1 01/09/2017 38 2.35 0 -200
Automotive Properties Real Estate Investment Trust
Deferred Units Forbes, Louis Marie 4 30/09/2017 56 1,795 1,565
Automotive Properties Real Estate Investment Trust
Deferred Units Lazier, Francis Stuart 4 30/09/2017 56 8,151 1,509
Automotive Properties Real Estate Investment Trust
Deferred Units Morrison, John Rennie 4 30/09/2017 56 9,017 1,677
AXMIN Inc. (formerly Asquith Resources Inc.)
Options weill, david de jongh 4 25/09/2017 50 0.05 1
AXMIN Inc. (formerly Asquith Resources Inc.)
Options weill, david de jongh 4 25/09/2017 50 0.05 2,250,000 1,200,000
Ballard Power Systems Inc. Units Deferred Share Units
Bourne, Ian Alexander 4 30/09/2017 56 5.85 286,491 3,205
Ballard Power Systems Inc. Units Deferred Share Units
Hayhurst, Douglas Palmer 4 30/09/2017 56 5.85 180,880 2,243
Ballard Power Systems Inc. Units Deferred Share Units
Le, Duy-Loan 4 30/09/2017 56 5.85 7,482 1,923
Ballard Power Systems Inc. Units Deferred Share Units
Roche, James Norman 4 30/09/2017 56 5.85 46,390 2,243
Ballard Power Systems Inc. Units Deferred Share Units
Sutcliffe, Ian Douglas 4 30/09/2017 56 5.85 74,191 1,923
Ballard Power Systems Inc. Units Deferred Share Units
Woodruff, Janet Patricia 4 30/09/2017 56 5.85 4,931 1,923
Bank of Montreal Common Shares Bank of Montreal 1 05/09/2017 38 89.086 200,000 200,000
Bank of Montreal Common Shares Bank of Montreal 1 06/09/2017 38 89.011 400,000 200,000
Bank of Montreal Common Shares Bank of Montreal 1 07/09/2017 38 89.11 600,000 200,000
Bank of Montreal Common Shares Bank of Montreal 1 11/09/2017 38 90.683 800,000 200,000
Bank of Montreal Common Shares Bank of Montreal 1 12/09/2017 38 600,000 -200,000
Bank of Montreal Common Shares Bank of Montreal 1 12/09/2017 38 400,000 -200,000
Bank of Montreal Common Shares Bank of Montreal 1 12/09/2017 38 200,000 -200,000
Bank of Montreal Common Shares Bank of Montreal 1 12/09/2017 38 91.347 350,000 150,000
Bank of Montreal Common Shares Bank of Montreal 1 13/09/2017 38 91.844 400,000 50,000
Bank of Montreal Common Shares Bank of Montreal 1 15/09/2017 38 200,000 -200,000
Bank of Montreal Common Shares Bank of Montreal 1 15/09/2017 38 50,000 -150,000
Bank of Montreal Common Shares Bank of Montreal 1 15/09/2017 38 0 -50,000
Bank of Montreal Common Shares Rotenberg, Joanna Michelle 5 29/09/2017 51 60.11 2,000 2,000
Bank of Montreal Common Shares Rotenberg, Joanna Michelle 5 29/09/2017 10 94.81 0 -2,000
Bank of Montreal Options Rotenberg, Joanna Michelle 5 29/09/2017 51 60.11 62,988 -2,000
Bank of Nova Scotia, The Common Shares McNamara, Kyle 5 04/10/2017 51 47.75 10,104 3,036
Bank of Nova Scotia, The Common Shares McNamara, Kyle 5 04/10/2017 10 80.535 7,068 -3,036
Bank of Nova Scotia, The Options McNamara, Kyle 5 04/10/2017 51 47.75 61,882 -3,036
Barker Minerals Ltd. Common Shares Doyle, Colleen 5 27/09/2017 10 0.01 -100,000
Barker Minerals Ltd. Common Shares Doyle, Colleen 5 27/09/2017 10 0.01 109,039 -10,000
Barker Minerals Ltd. Common Shares Doyle, Colleen 5 29/09/2017 10 0.01 99,039 -10,000
Barker Minerals Ltd. Common Shares Doyle, Colleen 5 02/10/2017 10 0.01 89,039 -10,000
Barker Minerals Ltd. Common Shares Doyle, Louis Eric 4, 5 27/09/2017 10 0.01 200,047 -10,000
Barker Minerals Ltd. Common Shares Doyle, Louis Eric 4, 5 29/09/2017 10 0.01 190,047 -10,000
Barker Minerals Ltd. Common Shares Doyle, Louis Eric 4, 5 02/10/2017 10 0.01 180,047 -10,000
Barkerville Gold Mines Ltd. Common Shares OBRADOVICH, THOMAS JOHN
4 28/09/2017 16 0.8 977,000 100,000
Barkerville Gold Mines Ltd. Common Shares Prychidny, Morris 4 28/09/2017 16 0.8 437,250 100,000
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8307
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Barkerville Gold Mines Ltd. Common Shares Sabine, John William 4 28/09/2017 16 0.8 115,132 62,500
Barkerville Gold Mines Ltd. Common Shares St-Germain, Andree 4 28/09/2017 16 0.8 39,500 12,500
Barkerville Gold Mines Ltd. Common Shares Tinajero, Andres 5 28/09/2017 16 0.8 400,000 100,000
Barrick Gold Corporation Rights Deferred Share Units (cash settled)
Cisneros, Gustavo Alfredo 4 30/09/2017 56 16.31 110,013 3,066
Barrick Gold Corporation Rights Deferred Share Units (cash settled)
Cisneros, Gustavo Alfredo 4 30/09/2017 30 17.14 110,200 187
Barrick Gold Corporation Rights Deferred Share Units (cash settled)
Clow, Graham G. 4 30/09/2017 56 16.31 12,461 2,299
Barrick Gold Corporation Rights Deferred Share Units (cash settled)
Clow, Graham G. 4 30/09/2017 30 17.14 12,479 18
Barrick Gold Corporation Rights Deferred Share Units (cash settled)
Doer, Gary Albert 4 30/09/2017 56 16.31 12,461 2,299
Barrick Gold Corporation Rights Deferred Share Units (cash settled)
Doer, Gary Albert 4 30/09/2017 30 17.14 12,479 18
Barrick Gold Corporation Rights Deferred Share Units (cash settled)
Evans, John Michael 4 30/09/2017 56 16.31 51,915 3,066
Barrick Gold Corporation Rights Deferred Share Units (cash settled)
Evans, John Michael 4 30/09/2017 30 17.14 52,000 85
Barrick Gold Corporation Rights Deferred Share Units (cash settled)
Greenspun, Brian Lee 4 30/09/2017 56 16.31 38,936 2,299
Barrick Gold Corporation Rights Deferred Share Units (cash settled)
Greenspun, Brian Lee 4 30/09/2017 30 17.14 39,000 64
Barrick Gold Corporation Rights Deferred Share Units (cash settled)
Harvey, Joseph Brett 4 30/09/2017 56 16.31 82,424 3,066
Barrick Gold Corporation Rights Deferred Share Units (cash settled)
Harvey, Joseph Brett 4 30/09/2017 30 17.14 82,562 138
Barrick Gold Corporation Rights Deferred Share Units (cash settled)
Lockhart, Nancy 4 30/09/2017 56 16.31 54,942 3,066
Barrick Gold Corporation Rights Deferred Share Units (cash settled)
Lockhart, Nancy 4 30/09/2017 30 17.14 55,033 91
Barrick Gold Corporation Rights Deferred Share Units (cash settled)
Marcet, Pablo 4 30/09/2017 56 16.31 9,714 3,066
Barrick Gold Corporation Rights Deferred Share Units (cash settled)
Marcet, Pablo 4 30/09/2017 30 17.14 9,726 12
Barrick Gold Corporation Rights Deferred Share Units (cash settled)
Moyo, Dambisa 4 30/09/2017 56 16.31 52,092 2,299
Barrick Gold Corporation Rights Deferred Share Units (cash settled)
Moyo, Dambisa 4 30/09/2017 30 17.14 52,179 87
Barrick Gold Corporation Rights Deferred Share Units (cash settled)
Munk, Anthony 4 30/09/2017 56 16.31 98,349 3,066
Barrick Gold Corporation Rights Deferred Share Units (cash settled)
Munk, Anthony 4 30/09/2017 30 17.14 98,515 166
Barrick Gold Corporation Rights Deferred Share Units (cash settled)
Prichard, John Robert Stobo 4 30/09/2017 56 16.31 23,058 3,066
Barrick Gold Corporation Rights Deferred Share Units (cash settled)
Prichard, John Robert Stobo 4 30/09/2017 30 17.14 23,093 35
Barrick Gold Corporation Rights Deferred Share Units (cash settled)
Shapiro, Steven J. 4 30/09/2017 56 16.31 78,383 3,066
Barrick Gold Corporation Rights Deferred Share Units (cash settled)
Shapiro, Steven J. 4 30/09/2017 30 17.14 78,514 131
Barrick Gold Corporation Rights Deferred Share Units (cash settled)
Thornton, John Lawson 4, 5 30/09/2017 30 17.14 1,140 2
Barrick Gold Corporation Rights Deferred Share Units (cash settled)
Thrasher, Ernie Leo 4 30/09/2017 56 16.31 54,942 3,066
Barrick Gold Corporation Rights Deferred Share Units (cash settled)
Thrasher, Ernie Leo 4 30/09/2017 30 17.14 55,033 91
Baylin Technologies Inc. Deferred Share Units Day, Stockwell 4 29/09/2017 56 53,852 1,260
Baylin Technologies Inc. Deferred Share Units Jones, Douglas Aubrey 4 29/09/2017 56 45,915 630
Baylin Technologies Inc. Deferred Share Units Reiter, Barry 4 29/09/2017 56 76,173 1,680
Baylin Technologies Inc. Deferred Share Units SIMMONDS, DONALD E. 4 29/09/2017 56 53,852 1,260
Baylin Technologies Inc. Deferred Share Units Wolkin, Harold Morton 4 29/09/2017 56 70,135 1,680
Bear Creek Mining Corporation
Options Hawkshaw, Anthony Grant 4, 5 26/09/2017 00
Bear Creek Mining Corporation
Options Hawkshaw, Anthony Grant 4, 5 03/10/2017 50 1,000,000 1,000,000
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8308
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Bear Creek Mining Corporation
Common Shares Tweddle, Frank R. 4 04/10/2017 10 2.07 137,000 5,000
BELLUS Health Inc. Common Shares Larochelle, Pierre 4 25/05/2012 00
BELLUS Health Inc. Common Shares Larochelle, Pierre 4 02/10/2017 10 0.36 275,000 275,000
Benton Resources Inc. Options Harper, William Sinclair 4 15/08/2017 52 300,000 -300,000
Berkley Renewables Inc. Common Shares Jensen, Peter 2 03/10/2017 10 0.05 104,000 88,000
BeWhere Holdings Inc. Common Shares Kohler, Mark William 4 29/09/2017 51 0.195 172,500 65,000
BeWhere Holdings Inc. Options Kohler, Mark William 4 29/09/2017 51 0.195 285,000 -65,000
Biomark Diagnostics Inc. Common Shares Biomark Technologies Inc. 3 29/01/2015 11 0.4 62,500
Biomark Diagnostics Inc. Common Shares Biomark Technologies Inc. 3 29/01/2015 11 0.4 62,500
Biomark Diagnostics Inc. Common Shares Biomark Technologies Inc. 3 29/01/2015 11 0.4 39,937,500 -62,500
Biomark Diagnostics Inc. Common Shares Bux Investments Ltd. 3 18/02/2015 00
Biomark Diagnostics Inc. Common Shares Bux Investments Ltd. 3 18/02/2015 00
Biomark Diagnostics Inc. Common Shares Bux Investments Ltd. 3 20/09/2017 16 0.1 1,000,000
Biomark Diagnostics Inc. Common Shares Bux Investments Ltd. 3 20/09/2017 16 0.1 1,000,000
Biomark Diagnostics Inc. Warrants Bux Investments Ltd. 3 18/02/2015 00
Biomark Diagnostics Inc. Warrants Bux Investments Ltd. 3 18/02/2015 00
Biomark Diagnostics Inc. Warrants Bux Investments Ltd. 3 20/09/2017 16 500,000
Biomark Diagnostics Inc. Warrants Bux Investments Ltd. 3 20/09/2017 16 500,000
Biomark Diagnostics Inc. Common Shares Bux, Rashid 4 30/10/2014 00
Biomark Diagnostics Inc. Common Shares Bux, Rashid 4 18/02/2015 16 0.5 200,000 200,000
Biomark Diagnostics Inc. Common Shares Bux, Rashid 4 20/09/2017 16 0.1 1,200,000 1,000,000
Biomark Diagnostics Inc. Warrants Bux, Rashid 4 30/10/2014 00
Biomark Diagnostics Inc. Warrants Bux, Rashid 4 20/09/2017 16 500,000 500,000
Biomark Diagnostics Inc. Common Shares GRG CONSULTING LTD. 7 15/09/2017 00
Biomark Diagnostics Inc. Common Shares GRG CONSULTING LTD. 7 15/09/2017 00
Biomark Diagnostics Inc. Common Shares GRG CONSULTING LTD. 7 20/09/2017 16 0.1 750,000
Biomark Diagnostics Inc. Common Shares GRG CONSULTING LTD. 7 20/09/2017 16 0.1 750,000
Biomark Diagnostics Inc. Warrants GRG CONSULTING LTD. 7 15/09/2017 00
Biomark Diagnostics Inc. Warrants GRG CONSULTING LTD. 7 15/09/2017 00
Biomark Diagnostics Inc. Warrants GRG CONSULTING LTD. 7 20/09/2017 16 375,000
Biomark Diagnostics Inc. Warrants GRG CONSULTING LTD. 7 20/09/2017 16 375,000
Biomark Diagnostics Inc. Common Shares HUANG, GUOYU 5 15/06/2017 00 189,500
Biomark Diagnostics Inc. Common Shares HUANG, GUOYU 5 20/09/2017 16 0.1 939,500 750,000
Biomark Diagnostics Inc. Warrants HUANG, GUOYU 5 15/06/2017 00
Biomark Diagnostics Inc. Warrants HUANG, GUOYU 5 20/09/2017 16 375,000 375,000
Birchcliff Energy Ltd. Common Shares Bosman, Myles 5 18/01/2005 00
Birchcliff Energy Ltd. Common Shares Bosman, Myles 5 05/10/2017 10 5.56 5,700 5,700
Birchcliff Energy Ltd. Common Shares Carlsen, Christopher Andrew
5 03/10/2017 10 5.745 9,925 3,000
Birchcliff Energy Ltd. Common Shares Carlsen, Christopher Andrew
5 04/10/2017 10 5.47 11,425 1,500
Birchcliff Energy Ltd. Common Shares Schulich, Seymour 3 03/10/2017 10 5.63 15,000,000 -10,000,000
Birchcliff Energy Ltd. Common Shares Tonken, Aaron Jeffery 4, 5 03/10/2017 10 5.76 17,710 3,400
Bird Construction Inc. Deferred Share Units Brooks, Karyn Anne 4 29/09/2017 56 4,641 2,110
Bird Construction Inc. Deferred Share Units Doyle, Donald Gregory 4 29/09/2017 56 41,221 2,500
Bird Construction Inc. Deferred Share Units DuPont, Bonnie Dianne Rose
4 29/09/2017 56 34,999 1,198
Bird Construction Inc. Deferred Share Units Messier, Luc Jean-Francois 4 29/09/2017 56 6,757 2,110
Bird Construction Inc. Deferred Share Units Munkley, Ronald David 4 29/09/2017 56 32,429 2,008
Bird Construction Inc. Deferred Share Units Thorsteinson, Arni Clayton 4 29/09/2017 56 33,914 2,109
Bird River Resources Inc. Common Shares Tokarsky, John Victor 5 29/09/2017 00
Black Diamond Group Limited
Options Geisel, Richard 5 15/09/2017 00
Black Diamond Group Limited
Options Geisel, Richard 5 22/09/2017 50 60,000 60,000
Black Diamond Group Limited
Rights RSU Geisel, Richard 5 15/09/2017 00
Black Diamond Group Limited
Rights RSU Geisel, Richard 5 22/09/2017 56 20,000 20,000
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8309
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Black Diamond Group Limited
Common Shares Haynes, Trevor 4, 5 02/10/2017 10 2.02 2,278,775 10,000
Black Diamond Group Limited
Options RIDLEY, MICHAEL LENARD
5 11/09/2017 00
Black Diamond Group Limited
Options RIDLEY, MICHAEL LENARD
5 12/09/2017 50 120,000 120,000
Black Diamond Group Limited
Rights RSU RIDLEY, MICHAEL LENARD
5 11/09/2017 00
Black Diamond Group Limited
Rights RSU RIDLEY, MICHAEL LENARD
5 12/09/2017 56 40,000 40,000
BlackBerry Limited (formerly Research In Motion Limited)
Common Shares Beard, Martin James 5 28/09/2017 57 139,899 17,196
BlackBerry Limited (formerly Research In Motion Limited)
Common Shares Beard, Martin James 5 28/09/2017 10 11.148 148,898 8,999
BlackBerry Limited (formerly Research In Motion Limited)
Common Shares Beard, Martin James 5 29/09/2017 57 255,044 106,146
BlackBerry Limited (formerly Research In Motion Limited)
Common Shares Beard, Martin James 5 29/09/2017 10 11.309 196,707 -58,337
BlackBerry Limited (formerly Research In Motion Limited)
Performance Restricted Share Units
Beard, Martin James 5 29/09/2017 56 208,598 20,124
BlackBerry Limited (formerly Research In Motion Limited)
Performance Restricted Share Units
Beard, Martin James 5 29/09/2017 38 135,286 -73,312
BlackBerry Limited (formerly Research In Motion Limited)
Restricted Share Units Beard, Martin James 5 28/09/2017 57 140,133 -17,196
BlackBerry Limited (formerly Research In Motion Limited)
Restricted Share Units Beard, Martin James 5 29/09/2017 56 153,549 13,416
BlackBerry Limited (formerly Research In Motion Limited)
Restricted Share Units Beard, Martin James 5 29/09/2017 57 47,403 -106,146
BlackBerry Limited (formerly Research In Motion Limited)
Common Shares Capelli, Steven 5 01/10/2016 00
BlackBerry Limited (formerly Research In Motion Limited)
Common Shares Capelli, Steven 5 29/09/2017 57 62,972 62,972
BlackBerry Limited (formerly Research In Motion Limited)
Common Shares Capelli, Steven 5 29/09/2017 10 11.309 28,366 -34,606
BlackBerry Limited (formerly Research In Motion Limited)
Performance Restricted Share Units
Capelli, Steven 5 29/09/2017 56 384,000 100,626
BlackBerry Limited (formerly Research In Motion Limited)
Restricted Share Units Capelli, Steven 5 29/09/2017 56 256,000 67,084
BlackBerry Limited (formerly Research In Motion Limited)
Restricted Share Units Capelli, Steven 5 29/09/2017 57 193,028 -62,972
BlackBerry Limited (formerly Research In Motion Limited)
Common Shares Chennakeshu, Sandeep 5 28/09/2017 57 398,821 21,164
BlackBerry Limited (formerly Research In Motion Limited)
Common Shares Chennakeshu, Sandeep 5 28/09/2017 10 11.148 389,917 -8,904
BlackBerry Limited (formerly Research In Motion Limited)
Restricted Share Units Chennakeshu, Sandeep 5 28/09/2017 57 21,164 -21,164
BlackBerry Limited (formerly Research In Motion Limited)
Debentures 3.75% Convertible Unsecured due November 13, 2020
Fairfax Financial Holdings Limited
3 13/11/2013 00
BlackBerry Limited (formerly Research In Motion Limited)
Debentures 3.75% Convertible Unsecured due November 13, 2020
Fairfax Financial Holdings Limited
3 28/09/2017 90 129.76 $15,379,000 $15,379,000
BlackBerry Limited (formerly Research In Motion Limited)
Debentures 3.75% Convertible Unsecured due November 13, 2020
Fairfax Financial Holdings Limited
3 13/11/2013 00
BlackBerry Limited (formerly Research In Motion Limited)
Debentures 3.75% Convertible Unsecured due November 13, 2020
Fairfax Financial Holdings Limited
3 28/09/2017 90 129.76 $13,073,000 $13,073,000
BlackBerry Limited (formerly Research In Motion Limited)
Debentures 3.75% Convertible Unsecured due November 13, 2020
Fairfax Financial Holdings Limited
3 28/09/2017 90 129.76 $26,738,000 -$15,379,000
BlackBerry Limited (formerly Research In Motion Limited)
Debentures 3.75% Convertible Unsecured due November 13, 2020
Fairfax Financial Holdings Limited
3 28/09/2017 90 129.76 $13,665,000 -$13,073,000
BlackBerry Limited (formerly Research In Motion Limited)
Common Shares Ho, Sai Yuen (Billy) 5 28/09/2017 57 154,722 18,518
BlackBerry Limited (formerly Research In Motion Limited)
Common Shares Ho, Sai Yuen (Billy) 5 28/09/2017 10 11.148 147,742 -6,980
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8310
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
BlackBerry Limited (formerly Research In Motion Limited)
Common Shares Ho, Sai Yuen (Billy) 5 29/09/2017 57 175,703 27,961
BlackBerry Limited (formerly Research In Motion Limited)
Common Shares Ho, Sai Yuen (Billy) 5 29/09/2017 10 11.309 164,632 -11,071
BlackBerry Limited (formerly Research In Motion Limited)
Common Shares Ho, Sai Yuen (Billy) 5 02/10/2017 10 11.39 134,632 -30,000
BlackBerry Limited (formerly Research In Motion Limited)
Performance Restricted Share Units
Ho, Sai Yuen (Billy) 5 29/09/2017 56 262,826 53,667
BlackBerry Limited (formerly Research In Motion Limited)
Performance Restricted Share Units
Ho, Sai Yuen (Billy) 5 29/09/2017 38 207,842 -54,984
BlackBerry Limited (formerly Research In Motion Limited)
Restricted Share Units Ho, Sai Yuen (Billy) 5 28/09/2017 57 77,965 -18,518
BlackBerry Limited (formerly Research In Motion Limited)
Restricted Share Units Ho, Sai Yuen (Billy) 5 29/09/2017 56 113,743 35,778
BlackBerry Limited (formerly Research In Motion Limited)
Restricted Share Units Ho, Sai Yuen (Billy) 5 29/09/2017 57 85,782 -27,961
BlackBerry Limited (formerly Research In Motion Limited)
Common Shares White-Ivy, Nita 5 28/09/2017 57 163,560 9,920
BlackBerry Limited (formerly Research In Motion Limited)
Common Shares White-Ivy, Nita 5 28/09/2017 10 11.148 158,368 -5,192
BlackBerry Limited (formerly Research In Motion Limited)
Common Shares White-Ivy, Nita 5 29/09/2017 57 172,873 14,505
BlackBerry Limited (formerly Research In Motion Limited)
Common Shares White-Ivy, Nita 5 29/09/2017 10 11.309 164,896 -7,977
BlackBerry Limited (formerly Research In Motion Limited)
Performance Restricted Share Units
White-Ivy, Nita 5 29/09/2017 56 136,748 26,833
BlackBerry Limited (formerly Research In Motion Limited)
Performance Restricted Share Units
White-Ivy, Nita 5 29/09/2017 38 109,256 -27,492
BlackBerry Limited (formerly Research In Motion Limited)
Restricted Share Units White-Ivy, Nita 5 28/09/2017 57 41,217 -9,920
BlackBerry Limited (formerly Research In Motion Limited)
Restricted Share Units White-Ivy, Nita 5 29/09/2017 56 59,106 17,889
BlackBerry Limited (formerly Research In Motion Limited)
Restricted Share Units White-Ivy, Nita 5 29/09/2017 57 44,601 -14,505
BlackBerry Limited (formerly Research In Motion Limited)
Common Shares Wiese, Carl James 5 28/09/2017 57 175,305 105,820
BlackBerry Limited (formerly Research In Motion Limited)
Common Shares Wiese, Carl James 5 28/09/2017 10 11.148 133,997 -41,308
BlackBerry Limited (formerly Research In Motion Limited)
Common Shares Wiese, Carl James 5 29/09/2017 57 154,988 20,991
BlackBerry Limited (formerly Research In Motion Limited)
Common Shares Wiese, Carl James 5 29/09/2017 10 11.309 145,712 -9,276
BlackBerry Limited (formerly Research In Motion Limited)
Performance Restricted Share Units
Wiese, Carl James 5 29/09/2017 56 161,541 67,083
BlackBerry Limited (formerly Research In Motion Limited)
Restricted Share Units Wiese, Carl James 5 28/09/2017 57 168,792 -105,820
BlackBerry Limited (formerly Research In Motion Limited)
Restricted Share Units Wiese, Carl James 5 29/09/2017 56 213,514 44,722
BlackBerry Limited (formerly Research In Motion Limited)
Restricted Share Units Wiese, Carl James 5 29/09/2017 57 192,523 -20,991
BlackBerry Limited (formerly Research In Motion Limited)
Common Shares Zipperstein, Steven 5 28/09/2017 57 426,282 47,619
BlackBerry Limited (formerly Research In Motion Limited)
Common Shares Zipperstein, Steven 5 28/09/2017 10 11.148 408,339 -17,943
BlackBerry Limited (formerly Research In Motion Limited)
Common Shares Zipperstein, Steven 5 29/09/2017 57 486,852 78,513
BlackBerry Limited (formerly Research In Motion Limited)
Common Shares Zipperstein, Steven 5 29/09/2017 10 11.309 455,774 -31,078
BlackBerry Limited (formerly Research In Motion Limited)
Common Shares Zipperstein, Steven 5 02/10/2017 51 7.86 482,809 27,035
BlackBerry Limited (formerly Research In Motion Limited)
Common Shares Zipperstein, Steven 5 02/10/2017 10 11.266 455,774 -27,035
BlackBerry Limited (formerly Research In Motion Limited)
Options Zipperstein, Steven 5 02/10/2017 51 7.86 0 -27,035
BlackBerry Limited (formerly Research In Motion Limited)
Performance Restricted Share Units
Zipperstein, Steven 5 29/09/2017 56 688,343 120,750
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8311
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
BlackBerry Limited (formerly Research In Motion Limited)
Performance Restricted Share Units
Zipperstein, Steven 5 29/09/2017 38 505,060 -183,283
BlackBerry Limited (formerly Research In Motion Limited)
Restricted Share Units Zipperstein, Steven 5 28/09/2017 57 201,698 -47,619
BlackBerry Limited (formerly Research In Motion Limited)
Restricted Share Units Zipperstein, Steven 5 29/09/2017 56 282,198 80,500
BlackBerry Limited (formerly Research In Motion Limited)
Restricted Share Units Zipperstein, Steven 5 29/09/2017 57 203,685 -78,513
Blue Ribbon Income Fund (formerly Citadel Diversified Investment Trust)
Trust Units Blue Ribbon Income Fund 1 05/09/2017 38 9.48 2,500 2,500
Blue Ribbon Income Fund (formerly Citadel Diversified Investment Trust)
Trust Units Blue Ribbon Income Fund 1 05/09/2017 38 9.48 0 -2,500
Blue Ribbon Income Fund (formerly Citadel Diversified Investment Trust)
Trust Units Blue Ribbon Income Fund 1 06/09/2017 38 9.47 3,000 3,000
Blue Ribbon Income Fund (formerly Citadel Diversified Investment Trust)
Trust Units Blue Ribbon Income Fund 1 06/09/2017 38 9.47 0 -3,000
Blue Ribbon Income Fund (formerly Citadel Diversified Investment Trust)
Trust Units Blue Ribbon Income Fund 1 08/09/2017 38 9.46 3,000 3,000
Blue Ribbon Income Fund (formerly Citadel Diversified Investment Trust)
Trust Units Blue Ribbon Income Fund 1 08/09/2017 38 9.46 0 -3,000
Blue Ribbon Income Fund (formerly Citadel Diversified Investment Trust)
Trust Units Blue Ribbon Income Fund 1 11/09/2017 38 9.45 1,900 1,900
Blue Ribbon Income Fund (formerly Citadel Diversified Investment Trust)
Trust Units Blue Ribbon Income Fund 1 11/09/2017 38 9.45 0 -1,900
Blue Ribbon Income Fund (formerly Citadel Diversified Investment Trust)
Trust Units Blue Ribbon Income Fund 1 14/09/2017 38 9.55 3,000 3,000
Blue Ribbon Income Fund (formerly Citadel Diversified Investment Trust)
Trust Units Blue Ribbon Income Fund 1 14/09/2017 38 9.55 0 -3,000
Blue Ribbon Income Fund (formerly Citadel Diversified Investment Trust)
Trust Units Blue Ribbon Income Fund 1 18/09/2017 38 9.62 3,000 3,000
Blue Ribbon Income Fund (formerly Citadel Diversified Investment Trust)
Trust Units Blue Ribbon Income Fund 1 18/09/2017 38 9.62 0 -3,000
Blue Ribbon Income Fund (formerly Citadel Diversified Investment Trust)
Trust Units Blue Ribbon Income Fund 1 22/09/2017 38 9.68 3,000 3,000
Blue Ribbon Income Fund (formerly Citadel Diversified Investment Trust)
Trust Units Blue Ribbon Income Fund 1 22/09/2017 38 9.68 0 -3,000
Blue Ribbon Income Fund (formerly Citadel Diversified Investment Trust)
Trust Units Blue Ribbon Income Fund 1 25/09/2017 38 9.71 3,000 3,000
Blue Ribbon Income Fund (formerly Citadel Diversified Investment Trust)
Trust Units Blue Ribbon Income Fund 1 25/09/2017 38 9.71 0 -3,000
Blue Ribbon Income Fund (formerly Citadel Diversified Investment Trust)
Trust Units Blue Ribbon Income Fund 1 26/09/2017 38 9.7 100 100
Blue Ribbon Income Fund (formerly Citadel Diversified Investment Trust)
Trust Units Blue Ribbon Income Fund 1 26/09/2017 38 9.7 0 -100
Blue Ribbon Income Fund (formerly Citadel Diversified Investment Trust)
Trust Units Blue Ribbon Income Fund 1 27/09/2017 38 9.75 3,000 3,000
Blue Ribbon Income Fund (formerly Citadel Diversified Investment Trust)
Trust Units Blue Ribbon Income Fund 1 27/09/2017 38 9.75 0 -3,000
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8312
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Blue Ribbon Income Fund (formerly Citadel Diversified Investment Trust)
Trust Units Blue Ribbon Income Fund 1 28/09/2017 38 9.72 1,000 1,000
Blue Ribbon Income Fund (formerly Citadel Diversified Investment Trust)
Trust Units Blue Ribbon Income Fund 1 28/09/2017 38 9.72 0 -1,000
Blue Ribbon Income Fund (formerly Citadel Diversified Investment Trust)
Trust Units Blue Ribbon Income Fund 1 28/09/2017 38 9.73 2,000 2,000
Blue Ribbon Income Fund (formerly Citadel Diversified Investment Trust)
Trust Units Blue Ribbon Income Fund 1 28/09/2017 38 9.73 0 -2,000
BlueRush Media Group Corp. Common Shares Taylor, Stephen Baxter 4 03/10/2017 10 0.085 122,000 1,000
BlueRush Media Group Corp. Common Shares Taylor, Stephen Baxter 4 03/10/2017 10 0.09 155,000 33,000
BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 07/09/2017 38 12.28 12,000 12,000
BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 07/09/2017 38 0 -12,000
BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 22/09/2017 38 12.26 80,000 80,000
BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 22/09/2017 38 0 -80,000
BNK Petroleum Inc. Common Shares Harrington Global Limited 3 02/10/2017 10 0.3119 28,080,000 293,000
BNK Petroleum Inc. Common Shares Harrington Global Limited 3 03/10/2017 10 0.3148 28,106,000 26,000
BNK Petroleum Inc. Common Shares Harrington Global Limited 3 04/10/2017 10 0.315 28,107,500 1,500
BNK Petroleum Inc. Common Shares Harrington Global Limited 3 05/10/2017 10 0.3245 28,368,500 261,000
BNK Petroleum Inc. Common Shares Harrington Global Opportunities Fund Limited
3 02/10/2017 10 0.3119 28,080,000 293,000
BNK Petroleum Inc. Common Shares Harrington Global Opportunities Fund Limited
3 03/10/2017 10 0.3148 28,106,000 26,000
BNK Petroleum Inc. Common Shares Harrington Global Opportunities Fund Limited
3 04/10/2017 10 0.315 28,107,500 1,500
BNK Petroleum Inc. Common Shares Harrington Global Opportunities Fund Limited
3 05/10/2017 10 0.3245 28,368,500 261,000
Bombardier Inc. Deferred Stock Units/Unités d'actions différées
Beaudoin, Laurent 4, 5 02/10/2017 56 2.1656 292,119 21,541
Bombardier Inc. Deferred Stock Units/Unités d'actions différées
Bissonnette, Joanne 4 02/10/2017 56 335,686 10,770
Bombardier Inc. Deferred Stock Units/Unités d'actions différées
Bombardier, J.R. André 3, 4, 5 02/10/2017 56 567,558 21,541
Bombardier Inc. Deferred Stock Units/Unités d'actions différées
Brooks, Martha 4 02/10/2017 56 447,803 10,770
Bombardier Inc. Deferred Stock Units/Unités d'actions différées
Fontaine, Jean-Louis 4, 5 02/10/2017 56 565,870 21,541
Bombardier Inc. Deferred Stock Units/Unités d'actions différées
Henningsen, August W. 4 02/10/2017 56 145,364 21,541
Bombardier Inc. Deferred Stock Units/Unités d'actions différées
Marcouiller, Pierre 4 02/10/2017 56 44,950 23,695
Bombardier Inc. Deferred Stock Units/Unités d'actions différées
Pandit, Vikram S. 4 02/10/2017 56 292,668 10,770
Bombardier Inc. Deferred Stock Units/Unités d'actions différées
Pichette, Patrick 4 02/10/2017 56 364,114 11,847
Bombardier Inc. Deferred Stock Units/Unités d'actions différées
Represas, Carlos 4 02/10/2017 56 391,107 10,770
Bombardier Inc. Deferred Stock Units/Unités d'actions différées
Tyler, Antony N. 4 02/10/2017 56 41,468 21,541
Bombardier Inc. Deferred Stock Units/Unités d'actions différées
Weder di Mauro, Beatrice 4 02/10/2017 56 145,364 21,541
Bombardier Inc. Options Zoratti, Alessandro 7 14/09/2017 00 520,549
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8313
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Bombardier Inc. Performance Share Units/Unites d'actions liees au rendement
Zoratti, Alessandro 7 14/09/2017 00 187,655
Bombardier Inc. Restricted Share Units/Unités d'actions incessibles
Zoratti, Alessandro 7 14/09/2017 00 40,724
Bombardier Inc. Subordinate Voting Shares Classe B/ Class B Shares ( Subordinate Voting)
Zoratti, Alessandro 7 14/09/2017 00 11,212
Bonavista Energy Corporation
Common Shares Jensen, Bruce Wayne 5 01/10/2017 57 2.99 207,125 10,425
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Jensen, Bruce Wayne 5 01/10/2017 57 2.99 128,240 -15,000
Bonavista Energy Corporation
Common Shares Ranger, Colin 5 01/10/2017 57 2.99 96,023 3,554
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Ranger, Colin 5 01/10/2017 57 2.99 64,986 -6,000
Bonterra Energy Corp. Options Curtis, Brad Allen 5 30/09/2017 52 20.46 127,000 -55,000
Bonterra Energy Corp. Options Curtis, Brad Allen 5 30/09/2017 52 34.61 62,000 -65,000
Bonterra Energy Corp. Common Shares Fink, George Frederick 3, 4, 5 29/09/2017 10 16.429 3,185,199 5,000
Bonterra Energy Corp. Common Shares Fink, George Frederick 3, 4, 5 02/10/2017 10 16.291 3,190,199 5,000
Bonterra Energy Corp. Options Fink, George Frederick 3, 4, 5 30/09/2017 52 34.61 62,000 -65,000
Bonterra Energy Corp. Options Jarock, Randy M. 4 30/09/2017 52 20.46 55,000 -25,000
Bonterra Energy Corp. Options Jarock, Randy M. 4 30/09/2017 52 34.61 25,000 -30,000
Bonterra Energy Corp. Options Neumann, Adrian 5 30/09/2017 52 20.46 -55,000
Bonterra Energy Corp. Options Neumann, Adrian 5 30/09/2017 52 20.46 -55,000
Bonterra Energy Corp. Options Neumann, Adrian 5 30/09/2017 52 20.46 127,000 -55,000
Bonterra Energy Corp. Options Neumann, Adrian 5 30/09/2017 52 34.61 62,000 -65,000
Bonterra Energy Corp. Options Thompson, Robb Douglas 5 02/10/2017 52 34.61 117,000 -65,000
Bonterra Energy Corp. Options Thompson, Robb Douglas 5 02/10/2017 52 20.46 62,000 -55,000
Bonterra Energy Corp. Options Tourigny, Rodger 4 30/01/2016 52 49.76 115,000 -30,000
Bonterra Energy Corp. Options Tourigny, Rodger 4 30/09/2017 52 20.46 85,000 -25,000
Bonterra Energy Corp. Options Tourigny, Rodger 4 30/09/2017 52 34.61 55,000 -30,000
Braveheart Resources Inc. Common Shares Murray, Robert Brian 3, 4, 5 28/09/2017 10 0.085 452,100 -199,000
Braveheart Resources Inc. Common Shares Murray, Robert Brian 3, 4, 5 29/09/2017 10 0.085 100,000
Braveheart Resources Inc. Common Shares Murray, Robert Brian 3, 4, 5 29/09/2017 10 0.085 100,000
Braveheart Resources Inc. Common Shares Murray, Robert Brian 3, 4, 5 29/09/2017 10 0.85 552,100 100,000
Brisio Innovations Inc. Common Shares Andreola, Gianpaolo Fabrisio
4 06/10/2017 10 0.2 1,689,166 40,000
Brookfield Asset Management Inc.
Deferred Share Units Allan, Elyse 4 29/09/2017 30 40.71 7,315 25
Brookfield Asset Management Inc.
Deferred Share Units Allan, Elyse 4 29/09/2017 56 40.71 8,297 982
Brookfield Asset Management Inc.
Deferred Share Units Braly, Angela F. 4 29/09/2017 30 40.71 11,302 39
Brookfield Asset Management Inc.
Deferred Share Units Braly, Angela F. 4 29/09/2017 56 40.71 12,376 1,074
Brookfield Asset Management Inc.
Preferred Shares Class A Series 28
Brookfield Asset Management Inc.
1 02/10/2017 38 17.6 2,800 2,800
Brookfield Asset Management Inc.
Preferred Shares Class A Series 28
Brookfield Asset Management Inc.
1 03/10/2017 38 17.6 4,700 1,900
Brookfield Asset Management Inc.
Preferred Shares Class A Series 28
Brookfield Asset Management Inc.
1 04/10/2017 38 17.497 8,862 4,162
Brookfield Asset Management Inc.
Preferred Shares Class A Series 28
Brookfield Asset Management Inc.
1 04/10/2017 38 0 -8,862
Brookfield Asset Management Inc.
Preferred Shares Class A Series 44
Brookfield Asset Management Inc.
1 04/10/2017 38 26.24 1,475 1,475
Brookfield Asset Management Inc.
Preferred Shares Class A Series 44
Brookfield Asset Management Inc.
1 04/10/2017 38 0 -1,475
Brookfield Asset Management Inc.
Preferred Shares Class A Series 46
Brookfield Asset Management Inc.
1 30/05/2003 00
Brookfield Asset Management Inc.
Preferred Shares Class A Series 46
Brookfield Asset Management Inc.
1 02/10/2017 38 25.81 3,835 3,835
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8314
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Brookfield Asset Management Inc.
Preferred Shares Class A Series 46
Brookfield Asset Management Inc.
1 03/10/2017 38 25.821 7,670 3,835
Brookfield Asset Management Inc.
Preferred Shares Class A Series 46
Brookfield Asset Management Inc.
1 04/10/2017 38 25.89 11,505 3,835
Brookfield Asset Management Inc.
Preferred Shares Class A Series 46
Brookfield Asset Management Inc.
1 04/10/2017 38 0 -11,505
Brookfield Asset Management Inc.
Deferred Share Units Coutu, Marcel R. 4 29/09/2017 30 50.63 42,050 103
Brookfield Asset Management Inc.
Deferred Share Units Coutu, Marcel R. 4 29/09/2017 30 40.71 42,089 39
Brookfield Asset Management Inc.
Deferred Share Units Coutu, Marcel R. 4 29/09/2017 56 40.71 43,317 1,228
Brookfield Asset Management Inc.
Deferred Share Units Ferreira, Murilo 4 29/09/2017 30 40.71 173 1
Brookfield Asset Management Inc.
Deferred Share Units Ferreira, Murilo 4 29/09/2017 56 40.71 1,186 1,013
Brookfield Asset Management Inc.
Deferred Share Units Kempston Darkes, V. Maureen
4 29/09/2017 30 50.63 50,771 137
Brookfield Asset Management Inc.
Deferred Share Units Kempston Darkes, V. Maureen
4 29/09/2017 30 40.71 50,805 34
Brookfield Asset Management Inc.
Deferred Share Units Kempston Darkes, V. Maureen
4 29/09/2017 56 40.71 51,312 507
Brookfield Asset Management Inc.
Deferred Share Units Kerr, David Wylie 4, 6 29/09/2017 30 50.63 28,054 65
Brookfield Asset Management Inc.
Deferred Share Units Kerr, David Wylie 4, 6 29/09/2017 30 40.71 28,084 30
Brookfield Asset Management Inc.
Deferred Share Units Kerr, David Wylie 4, 6 29/09/2017 56 40.71 28,544 460
Brookfield Asset Management Inc.
Deferred Share Units McKenna, Frank 4 29/09/2017 30 50.63 149,338 311
Brookfield Asset Management Inc.
Deferred Share Units McKenna, Frank 4 29/09/2017 30 40.71 149,533 195
Brookfield Asset Management Inc.
Deferred Share Units McKenna, Frank 4 29/09/2017 56 40.71 152,604 3,071
Brookfield Asset Management Inc.
Deferred Share Units Miranda Robredo, Rafael 4 29/09/2017 30 40.71 173 1
Brookfield Asset Management Inc.
Deferred Share Units Miranda Robredo, Rafael 4 29/09/2017 56 40.71 1,186 1,013
Brookfield Asset Management Inc.
Deferred Share Units Nasr, Youssef 8 29/09/2017 30 50.63 21,681 40
Brookfield Asset Management Inc.
Deferred Share Units Nasr, Youssef 8 29/09/2017 30 40.71 21,715 34
Brookfield Asset Management Inc.
Deferred Share Units Nasr, Youssef 8 29/09/2017 56 40.71 22,475 760
Brookfield Asset Management Inc.
Deferred Share Units O'Donnell, Augustine Thomas
4 29/09/2017 30 50.63 22,178 14
Brookfield Asset Management Inc.
Deferred Share Units O'Donnell, Augustine Thomas
4 29/09/2017 30 40.71 22,240 62
Brookfield Asset Management Inc.
Deferred Share Units O'Donnell, Augustine Thomas
4 29/09/2017 56 40.71 23,254 1,014
Brookfield Asset Management Inc.
Deferred Share Units Seek, Ngee Huat 4 29/09/2017 30 50.63 25,679 26
Brookfield Asset Management Inc.
Deferred Share Units Seek, Ngee Huat 4 29/09/2017 30 40.71 25,741 62
Brookfield Asset Management Inc.
Deferred Share Units Seek, Ngee Huat 4 29/09/2017 56 40.71 26,754 1,013
Brookfield Asset Management Inc.
Deferred Share Units Taylor, Diana 4 29/09/2017 30 50.63 28,347 37
Brookfield Asset Management Inc.
Deferred Share Units Taylor, Diana 4 29/09/2017 30 40.71 28,407 60
Brookfield Asset Management Inc.
Deferred Share Units Taylor, Diana 4 29/09/2017 56 40.71 29,420 1,013
Brookfield Renewable Partners L.P.
Deferred Share Units Christie, Douglas 7 29/09/2017 30 5,965 51
Brookfield Renewable Partners L.P.
Deferred Share Units Christie, Douglas 7 29/09/2017 30 5,997 32
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8315
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Brookfield Renewable Partners L.P.
Deferred Share Units Deschatelets, Julian 7 29/09/2017 30 318 4
BRP Inc. Subordinate Voting Shares
Bekenstein, Joshua 4 28/09/2017 11 78,706 78,706
BRP Inc. Subordinate Voting Shares
Bekenstein, Joshua 4 28/09/2017 47 0 -78,706
BRP Inc. Subordinate Voting Shares
BRP Inc. 1 06/09/2017 38 39.989 19,800 19,800
BRP Inc. Subordinate Voting Shares
BRP Inc. 1 07/09/2017 38 40.457 39,600 19,800
BRP Inc. Subordinate Voting Shares
BRP Inc. 1 08/09/2017 38 39.755 59,400 19,800
BRP Inc. Subordinate Voting Shares
BRP Inc. 1 11/09/2017 38 39.726 79,200 19,800
BRP Inc. Subordinate Voting Shares
BRP Inc. 1 12/09/2017 38 40.709 99,000 19,800
BRP Inc. Subordinate Voting Shares
BRP Inc. 1 13/09/2017 38 40.736 118,800 19,800
BRP Inc. Subordinate Voting Shares
BRP Inc. 1 14/09/2017 38 40.719 138,600 19,800
BRP Inc. Subordinate Voting Shares
BRP Inc. 1 15/09/2017 38 40.7 158,400 19,800
BRP Inc. Subordinate Voting Shares
BRP Inc. 1 18/09/2017 38 40.948 178,200 19,800
BRP Inc. Subordinate Voting Shares
BRP Inc. 1 19/09/2017 38 40.839 198,000 19,800
BRP Inc. Subordinate Voting Shares
BRP Inc. 1 20/09/2017 38 40.813 217,100 19,100
BRP Inc. Subordinate Voting Shares
BRP Inc. 1 21/09/2017 38 41.016 236,900 19,800
BRP Inc. Subordinate Voting Shares
BRP Inc. 1 22/09/2017 38 42.974 256,700 19,800
BRP Inc. Subordinate Voting Shares
BRP Inc. 1 25/09/2017 38 45.134 276,500 19,800
BRP Inc. Subordinate Voting Shares
BRP Inc. 1 29/09/2017 38 0 -276,500
Bryant Resources Inc. Warrants Windt, J. Bradley 3, 4, 5 03/07/2013 00
Bryant Resources Inc. Warrants Windt, J. Bradley 3, 4, 5 03/07/2013 00
BSM Technologies Inc. Common Shares BSM Technologies Inc. 1 01/09/2017 38 1.46 33,100 10,000
BSM Technologies Inc. Common Shares BSM Technologies Inc. 1 05/09/2017 38 1.476 41,300 8,200
BSM Technologies Inc. Common Shares BSM Technologies Inc. 1 06/09/2017 38 1.46 51,300 10,000
BSM Technologies Inc. Common Shares BSM Technologies Inc. 1 07/09/2017 38 1.42 61,300 10,000
BSM Technologies Inc. Common Shares BSM Technologies Inc. 1 08/09/2017 38 1.4 48,200 10,000
BSM Technologies Inc. Common Shares BSM Technologies Inc. 1 11/09/2017 38 1.413 63,200 15,000
BSM Technologies Inc. Common Shares BSM Technologies Inc. 1 12/09/2017 38 1.375 78,200 15,000
BSM Technologies Inc. Common Shares BSM Technologies Inc. 1 13/09/2017 38 1.445 88,200 10,000
BSM Technologies Inc. Common Shares BSM Technologies Inc. 1 14/09/2017 38 1.46 98,200 10,000
BSM Technologies Inc. Common Shares BSM Technologies Inc. 1 15/09/2017 38 1.445 108,200 10,000
BSM Technologies Inc. Common Shares BSM Technologies Inc. 1 18/09/2017 38 1.45 118,200 10,000
BSM Technologies Inc. Common Shares BSM Technologies Inc. 1 19/09/2017 38 1.4333 133,200 15,000
BSM Technologies Inc. Common Shares BSM Technologies Inc. 1 20/09/2017 38 1.4133 148,200 15,000
BSM Technologies Inc. Common Shares BSM Technologies Inc. 1 21/09/2017 38 1.4 163,200 15,000
BSM Technologies Inc. Common Shares BSM Technologies Inc. 1 22/09/2017 38 1.41 170,700 7,500
BSM Technologies Inc. Common Shares BSM Technologies Inc. 1 25/09/2017 38 1.4067 185,700 15,000
BSM Technologies Inc. Common Shares BSM Technologies Inc. 1 26/09/2017 38 1.4 200,700 15,000
BSM Technologies Inc. Common Shares BSM Technologies Inc. 1 27/09/2017 38 1.3233 220,027 19,327
BSM Technologies Inc. Common Shares BSM Technologies Inc. 1 28/09/2017 38 1.4179 231,227 11,200
BSM Technologies Inc. Common Shares BSM Technologies Inc. 1 29/09/2017 38 1.35 236,027 4,800
BSM Technologies Inc. Common Shares BSM Technologies Inc. 1 29/09/2017 38 16,000 -220,027
BTB Real Estate Investment Trust
Parts différées Ducharme, Lucie 4 30/09/2017 46 4.706 10,005 1,860
BTB Real Estate Investment Trust
Parts différées Ducharme, Lucie 4 30/09/2017 35 4.706 10,190 185
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8316
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Cadillac Ventures Inc. Common Shares Brewster, Norman 5 04/10/2017 10 0.045 6,793,120 15,000
Cadillac Ventures Inc. Common Shares Brewster, Norman 5 06/10/2017 10 0.05 6,813,120 20,000
CAE Inc. Deferred Share Units Billson, Margaret 4 30/09/2017 56 21.55 18,685 1,869
CAE Inc. Common Shares CAE INC. 1 01/09/2017 38 20.54 25,000 25,000
CAE Inc. Common Shares CAE INC. 1 05/09/2017 38 20.43 50,000 25,000
CAE Inc. Common Shares CAE INC. 1 06/09/2017 38 20.5 75,000 25,000
CAE Inc. Common Shares CAE INC. 1 07/09/2017 38 20.18 100,000 25,000
CAE Inc. Common Shares CAE INC. 1 08/09/2017 38 20.09 110,000 10,000
CAE Inc. Common Shares CAE INC. 1 11/09/2017 38 20.1 120,000 10,000
CAE Inc. Common Shares CAE INC. 1 12/09/2017 38 20.15 130,000 10,000
CAE Inc. Common Shares CAE INC. 1 13/09/2017 38 20.35 140,000 10,000
CAE Inc. Common Shares CAE INC. 1 14/09/2017 38 19.88 150,000 10,000
CAE Inc. Common Shares CAE INC. 1 15/09/2017 38 19.96 160,000 10,000
CAE Inc. Common Shares CAE INC. 1 18/09/2017 38 20.21 170,000 10,000
CAE Inc. Common Shares CAE INC. 1 19/09/2017 38 20.24 180,000 10,000
CAE Inc. Common Shares CAE INC. 1 20/09/2017 38 20.25 189,900 9,900
CAE Inc. Common Shares CAE INC. 1 21/09/2017 38 20.6 199,900 10,000
CAE Inc. Common Shares CAE INC. 1 22/09/2017 38 20.57 209,900 10,000
CAE Inc. Common Shares CAE INC. 1 25/09/2017 38 20.74 219,900 10,000
CAE Inc. Common Shares CAE INC. 1 26/09/2017 38 20.73 229,900 10,000
CAE Inc. Common Shares CAE INC. 1 29/09/2017 38 20.35 0 -229,900
CAE Inc. Deferred Share Units Fortier, Michael M 4 30/09/2017 56 21.55 53,990 2,177
CAE Inc. Deferred Share Units Hankinson, James Floyd 4 30/09/2017 56 21.55 144,548 2,132
CAE Inc. Common Shares Leontidis, Nick 5 26/09/2017 10 20.771 -7
CAE Inc. Common Shares Leontidis, Nick 5 26/09/2017 10 20.771 61,433 -207
CAE Inc. Common Shares Leontidis, Nick 5 26/09/2017 10 20.775 -3,400
CAE Inc. Common Shares Leontidis, Nick 5 26/09/2017 10 20.775 57,975 -3,458
CAE Inc. Deferred Share Units MacGibbon, Alan 4 30/09/2017 56 21.55 22,367 2,237
CAE Inc. Deferred Share Units Manley, John Paul 4 30/09/2017 56 21.55 102,003 2,330
CAE Inc. Deferred Share Units Olivier, François 4 30/09/2017 56 21.55 4,292 1,757
CAE Inc. Deferred Share Units Schoomaker, Peter J. 4 30/09/2017 56 21.55 92,064 2,289
CAE Inc. Deferred Share Units Stevens, Andrew John 4 30/09/2017 56 21.55 48,445 2,397
CAE Inc. Deferred Share Units Stevenson, Katharine Berghuis
4 30/09/2017 56 21.55 104,587 2,341
Canadian Metals Inc. Common Shares Nardella, Luigi 4 19/09/2017 00 20,846
Canadian Metals Inc. Convertible Debentures Nardella, Luigi 4 19/09/2017 00 $5,000
Canadian Metals Inc. Convertible Debentures 10% unsecured due December 31, 2020
Nardella, Luigi 4 19/09/2017 00 $10,000
Canadian Metals Inc. Options Nardella, Luigi 4 19/09/2017 00
Canadian Metals Inc. Options Nardella, Luigi 4 02/10/2017 50 0.075 200,000 200,000
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 01/09/2017 38 81.196 34,979
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 01/09/2017 38 81.196 257,030 84,979
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 05/09/2017 38 80.311 256,562 85,916
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 06/09/2017 38 81.431 255,629 84,734
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 07/09/2017 38 170,650 -84,979
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 07/09/2017 38 84,734 -85,916
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 07/09/2017 38 81.429 169,470 84,736
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 08/09/2017 38 84,736 -84,734
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 08/09/2017 38 81.482 169,414 84,678
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 11/09/2017 38 84,678 -84,736
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8317
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 11/09/2017 38 81.697 171,584 86,906
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 12/09/2017 38 86,906 -84,678
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 12/09/2017 38 81.922 173,573 86,667
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 13/09/2017 38 86,667 -86,906
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 13/09/2017 38 80.9 174,429 87,762
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 14/09/2017 38 87,762 -86,667
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 14/09/2017 38 80.968 175,450 87,688
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 15/09/2017 38 87,688 -87,762
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 15/09/2017 38 81.322 174,995 87,307
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 18/09/2017 38 87,307 -87,688
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 18/09/2017 38 81.745 173,673 86,366
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 19/09/2017 38 86,366 -87,307
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 19/09/2017 38 82.25 172,201 85,835
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 20/09/2017 38 85,835 -86,366
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 20/09/2017 38 82.131 171,795 85,960
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 21/09/2017 38 85,960 -85,835
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 21/09/2017 37 82.63 85,441
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 21/09/2017 38 82.63 171,401 85,441
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 22/09/2017 38 85,441 -85,960
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 25/09/2017 38 0 -85,441
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 25/09/2017 38 81.96 86,139 86,139
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 25/09/2017 38 100.52 171,639 85,500
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 26/09/2017 38 85,500 -86,139
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 26/09/2017 38 101.27 170,400 84,900
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 27/09/2017 38 84,900 -85,500
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 27/09/2017 38 103.01 168,300 83,400
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 28/09/2017 38 83,400 -84,900
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 28/09/2017 38 103.63 166,300 82,900
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 29/09/2017 38 82,900 -83,400
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 29/09/2017 38 103.69 165,800 82,900
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 02/10/2017 38 82,900 -82,900
Canadian National Railway Company
Common Shares Canadian National Railway Company
1 03/10/2017 38 0 -82,900
Canadian Natural Resources Limited
Common Shares Andersen, Troy John Peter 5 08/05/2017 00
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8318
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 Andersen, Troy John Peter 5 03/10/2017 51 28.06 1,425 1,425
Canadian Natural Resources Limited
Common Shares Andersen, Troy John Peter 5 03/10/2017 10 42.26 0 -1,425
Canadian Natural Resources Limited
Options Andersen, Troy John Peter 5 03/10/2017 51 28.06 122,783 -1,425
Canadian Natural Resources Limited
Common Shares Best, Catherine May 4 02/10/2017 46 41.809 31,228 1,000
Canadian Natural Resources Limited
Common Shares Cusson, Réal, Michel 5 03/10/2017 10 28.74 726,615 15,000
Canadian Natural Resources Limited
Common Shares Cusson, Réal, Michel 5 03/10/2017 10 42.334 711,615 -15,000
Canadian Natural Resources Limited
Options Cusson, Réal, Michel 5 03/10/2017 51 -15,000
Canadian Natural Resources Limited
Options Cusson, Réal, Michel 5 03/10/2017 51 285,000 -15,000
Canadian Natural Resources Limited
DSU Faithfull, Timothy W. 4 02/10/2017 46 41.809 28,000 1,000
Canadian Natural Resources Limited
Common Shares Filmon, Gary 4 02/10/2017 46 41.809 18,990 1,000
Canadian Natural Resources Limited
Common Shares Fong, Christopher Lee 4 02/10/2017 46 41.809 29,588 1,000
Canadian Natural Resources Limited
Common Shares Giffin, Gordon D. 4 02/10/2017 46 41.809 65,821 1,000
Canadian Natural Resources Limited
Common Shares Gobert, Wilfred Arthur 4 02/10/2017 46 41.809 29,884 1,000
Canadian Natural Resources Limited
Common Shares Laing, Ronald Keith 5 28/09/2017 51 34.96 11,825 4,000
Canadian Natural Resources Limited
Common Shares Laing, Ronald Keith 5 28/09/2017 10 42.54 7,825 -4,000
Canadian Natural Resources Limited
Options Laing, Ronald Keith 5 28/09/2017 51 34.96 322,500 -4,000
Canadian Natural Resources Limited
DSU McKenna, Frank 4 02/10/2017 46 41.809 34,010 1,000
Canadian Natural Resources Limited
Common Shares Tuer, David 4 02/10/2017 46 41.809 78,508 1,000
Canadian Natural Resources Limited
Common Shares Verschuren, Annette Marie 4 02/10/2017 46 41.809 12,257 1,000
Canadian Oil Recovery & Remediation Enterprises Ltd.
Common Shares Lorenzo, John Michael 4 29/09/2017 10 0.025 15,446,686 15,000
Canadian Oil Recovery & Remediation Enterprises Ltd.
Common Shares Lorenzo, John Michael 4 04/10/2017 10 0.025 15,463,686 17,000
Canadian Pacific Railway Limited
Rights DSU Baird, John Russell 4 30/09/2017 56 205.64 2,985 285
Canadian Pacific Railway Limited
Common Shares Canadian Pacific Railway Limited
1 01/09/2017 38 193.94 188,800 8,800
Canadian Pacific Railway Limited
Common Shares Canadian Pacific Railway Limited
1 01/09/2017 38 167,100 -21,700
Canadian Pacific Railway Limited
Common Shares Canadian Pacific Railway Limited
1 05/09/2017 38 192.31 186,200 19,100
Canadian Pacific Railway Limited
Common Shares Canadian Pacific Railway Limited
1 05/09/2017 38 181,700 -4,500
Canadian Pacific Railway Limited
Common Shares Canadian Pacific Railway Limited
1 06/09/2017 38 193.77 191,700 10,000
Canadian Pacific Railway Limited
Common Shares Canadian Pacific Railway Limited
1 06/09/2017 38 181,700 -10,000
Canadian Pacific Railway Limited
Common Shares Canadian Pacific Railway Limited
1 07/09/2017 38 193.46 187,100 5,400
Canadian Pacific Railway Limited
Common Shares Canadian Pacific Railway Limited
1 07/09/2017 38 159,200 -27,900
Canadian Pacific Railway Limited
Common Shares Canadian Pacific Railway Limited
1 08/09/2017 38 193.66 160,400 1,200
Canadian Pacific Railway Limited
Common Shares Canadian Pacific Railway Limited
1 08/09/2017 38 150,400 -10,000
Canadian Pacific Railway Limited
Common Shares Canadian Pacific Railway Limited
1 11/09/2017 38 193.95 156,300 5,900
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8319
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Canadian Pacific Railway Limited
Common Shares Canadian Pacific Railway Limited
1 11/09/2017 38 150,900 -5,400
Canadian Pacific Railway Limited
Common Shares Canadian Pacific Railway Limited
1 12/09/2017 38 149,700 -1,200
Canadian Pacific Railway Limited
Common Shares Canadian Pacific Railway Limited
1 13/09/2017 38 192.28 174,700 25,000
Canadian Pacific Railway Limited
Common Shares Canadian Pacific Railway Limited
1 13/09/2017 38 168,800 -5,900
Canadian Pacific Railway Limited
Common Shares Canadian Pacific Railway Limited
1 14/09/2017 38 193.54 179,100 10,300
Canadian Pacific Railway Limited
Common Shares Canadian Pacific Railway Limited
1 15/09/2017 38 193.16 189,100 10,000
Canadian Pacific Railway Limited
Common Shares Canadian Pacific Railway Limited
1 15/09/2017 38 164,100 -25,000
Canadian Pacific Railway Limited
Common Shares Canadian Pacific Railway Limited
1 18/09/2017 38 153,800 -10,300
Canadian Pacific Railway Limited
Common Shares Canadian Pacific Railway Limited
1 19/09/2017 38 143,800 -10,000
Canadian Pacific Railway Limited
Rights DSU Courville, Isabelle 4 30/09/2017 56 205.64 6,149 161
Canadian Pacific Railway Limited
Rights DSU Denham, Gillian H. (Jill) 4 30/09/2017 56 205.64 1,255 285
Canadian Pacific Railway Limited
Rights DSU Fatt, William Robert 4 30/09/2017 56 205.64 1,415 322
Canadian Pacific Railway Limited
Rights DSU MACDONALD, REBECCA 4 30/09/2017 56 205.64 8,900 322
Canadian Pacific Railway Limited
Rights DSU Paull, Matthew 4 30/09/2017 56 166.24 3,008 353
Canadian Pacific Railway Limited
Rights DSU Peverett, Jane Leslie 4 30/09/2017 56 205.64 988 322
Canadian Pacific Railway Limited
Rights DSU Reardon, Andrew Fitzpatrick 4 30/09/2017 56 166.24 9,919 594
Canadian Pacific Railway Limited
Rights DSU Trafton II, Gordon T. 4 30/09/2017 56 166.24 1,127 353
Canadian Real Estate Investment Trust
Units Real Estate Investment Trust Units
Brough, John A. 4 29/09/2017 10 46.17 151 -1,410
Canadian Tire Corporation, Limited
Deferred Share Units Anderson, Eric Thomas 4 30/09/2017 56 152.78 153
Canadian Tire Corporation, Limited
Deferred Share Units Anderson, Eric Thomas 4 30/09/2017 56 152.78 153
Canadian Tire Corporation, Limited
Deferred Share Units Anderson, Eric Thomas 4 30/09/2017 56 152.78 1,273 381
Canadian Tire Corporation, Limited
Deferred Share Units Boivin, Pierre 4 30/09/2017 56 152.78 5,142 277
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Canadian Tire Corporation, Limited
1 02/10/2017 38 156.79 21,000
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Canadian Tire Corporation, Limited
1 02/10/2017 38 156.79 21,000
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Canadian Tire Corporation, Limited
1 02/10/2017 38 -21,000
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Canadian Tire Corporation, Limited
1 02/10/2017 38 -21,000
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Canadian Tire Corporation, Limited
1 02/10/2017 38 156.53 21,000 21,000
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Canadian Tire Corporation, Limited
1 02/10/2017 38 0 -21,000
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Canadian Tire Corporation, Limited
1 03/10/2017 38 156.44 21,000
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Canadian Tire Corporation, Limited
1 03/10/2017 38 156.44 21,000
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Canadian Tire Corporation, Limited
1 03/10/2017 38 155.76 21,000 21,000
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Canadian Tire Corporation, Limited
1 03/10/2017 38 0 -21,000
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Canadian Tire Corporation, Limited
1 04/10/2017 38 156.44 21,000 21,000
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8320
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
Canadian Tire Corporation, Limited
1 04/10/2017 38 0 -21,000
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Canadian Tire Corporation, Limited
1 05/10/2017 38 156.79 21,000 21,000
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Canadian Tire Corporation, Limited
1 05/10/2017 38 0 -21,000
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Canadian Tire Corporation, Limited
1 06/10/2017 38 156.52 21,000 21,000
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Canadian Tire Corporation, Limited
1 06/10/2017 38 0 -21,000
Canadian Tire Corporation, Limited
Deferred Share Units Derbyshire, Mark Elwin 4 30/09/2017 56 152.78 1,903 303
Canadian Tire Corporation, Limited
Deferred Share Units Furlong, John Aloysius Francis
4 30/09/2017 56 152.78 5,564 146
Canadian Tire Corporation, Limited
Deferred Share Units L'Heureux, Claude R. 4 30/09/2017 56 152.78 281
Canadian Tire Corporation, Limited
Deferred Share Units L'Heureux, Claude R. 4 30/09/2017 56 152.78 281
Canadian Tire Corporation, Limited
Deferred Share Units L'Heureux, Claude R. 4 30/09/2017 56 152.78 11,015 281
Canadian Tire Corporation, Limited
Deferred Share Units Murray, Donald Allan 4 30/09/2017 56 152.78 504 291
Canadian Tire Corporation, Limited
Deferred Share Units Price, Timothy Robert 4 30/09/2017 56 152.78 17,334 196
Canadian Tire Corporation, Limited
Deferred Share Units von Hahn, Anatol 4 30/09/2017 56 152.78 2,667 321
Canadian Western Bank Common Shares Bibby, Andrew John 4 20/12/2016 10 30.89 200
Canadian Western Bank Common Shares Bibby, Andrew John 4 20/12/2016 10 30.89 200
Canadian Western Bank Common Shares Bibby, Andrew John 4 20/12/2016 10 30.89 200
Canadian Western Bank Common Shares Bibby, Andrew John 4 29/09/2017 30 32.8 8,869 64
Canadian Western Bank Common Shares Bibby, Andrew John 4 29/09/2017 30 32.8 1,084 7
Canadian Western Bank Options Halliwell, Michael Norman 5 10/03/2017 50 104,977 10,205
Canadian Western Bank Rights Performance Share Units
Halliwell, Michael Norman 5 30/09/2017 30 8,025 244
Canadian Western Bank Rights Restricted Share Units
Halliwell, Michael Norman 5 30/09/2017 56 11,477 3,664
Canadian Western Bank Rights Restricted Share Units
Halliwell, Michael Norman 5 30/09/2017 59 7,797 -3,680
Canadian Western Bank Common Shares Shore, Lester 5 01/10/2017 00 1,232
Canadian Western Bank Options Shore, Lester 5 01/10/2017 00 43,011
Canadian Western Bank Rights Restricted Share Units
Shore, Lester 5 01/10/2017 00 7,401
CANADIAN ZINC CORPORATION
Rights Deferred Share Unit
Nickerson, Dave 4 02/10/2017 56 0.205 340,402 30,487
CANADIAN ZINC CORPORATION
Rights Deferred Share Unit
Potvin, Jean-Charles 4 02/10/2017 46 0.205 148,513 30,487
CANADIAN ZINC CORPORATION
Rights Deferred Share Unit
SWALLOW, MALCOLM JOHN ALEXANDER
4 02/10/2017 46 0.205 126,129 30,487
CANADIAN ZINC CORPORATION
Rights Deferred Share Unit
Ward, Ian Richard 4 30/09/2017 46 0.205 148,513 30,487
CANADIAN ZINC CORPORATION
Rights Deferred Share Unit
Warwick, John Michael 4 30/09/2017 46 148,513 30,487
Canarc Resource Corp. Common Shares Canarc Resource Corp. 1 02/10/2017 10 0.0843 408,000 140,000
Cannabis Wheaton Income Corp.
Common Shares Lickver, Michael David 5 02/10/2017 36 15,000 15,000
Cannabis Wheaton Income Corp.
Special Warrants Lickver, Michael David 5 02/10/2017 36 0 -15,000
Cannabis Wheaton Income Corp.
Warrants Lickver, Michael David 5 02/10/2017 36 4,656,528 15,000
Cannabis Wheaton Income Corp.
Common Shares McKay, Ian Gerard 4 26/04/2017 00
Cannabis Wheaton Income Corp.
Common Shares McKay, Ian Gerard 4 02/10/2017 36 100,000 100,000
Cannabis Wheaton Income Corp.
Special Warrants McKay, Ian Gerard 4 02/10/2017 36 0 -100,000
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8321
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Cannabis Wheaton Income Corp.
Warrants McKay, Ian Gerard 4 26/04/2017 00
Cannabis Wheaton Income Corp.
Warrants McKay, Ian Gerard 4 02/10/2017 36 100,000 100,000
Cannabis Wheaton Income Corp.
Common Shares McNamee, Bradley 5 05/05/2017 00
Cannabis Wheaton Income Corp.
Common Shares McNamee, Bradley 5 02/10/2017 36 250,000 250,000
Cannabis Wheaton Income Corp.
Special Warrants McNamee, Bradley 5 02/10/2017 36 0 -250,000
Cannabis Wheaton Income Corp.
Warrants McNamee, Bradley 5 05/05/2017 00
Cannabis Wheaton Income Corp.
Warrants McNamee, Bradley 5 02/10/2017 36 250,000 250,000
Cannabis Wheaton Income Corp.
Common Shares Rifici, Charles 4, 6, 5 02/10/2017 36 4,590,000 3,640,000
Cannabis Wheaton Income Corp.
Special Warrants Rifici, Charles 4, 6, 5 02/10/2017 36 0 -3,640,000
Cannabis Wheaton Income Corp.
Warrants Rifici, Charles 4, 6, 5 21/03/2017 00
Cannabis Wheaton Income Corp.
Warrants Rifici, Charles 4, 6, 5 02/10/2017 36 3,640,000 3,640,000
CanniMed Therapeutics Inc. Common Shares Holbrook, Larry 5 03/10/2017 10 10.25 81,000 -5,000
CannTrust Holdings Inc. Common Shares Dan, Aubrey 4 11/08/2011 00
CannTrust Holdings Inc. Common Shares Dan, Aubrey 4 06/10/2017 10 4.55 4,557
CannTrust Holdings Inc. Common Shares Dan, Aubrey 4 06/10/2017 10 4.55 4,557
CannTrust Holdings Inc. Common Shares Dan, Aubrey 4 06/10/2017 10 4.557 4,557 4,557
CannTrust Holdings Inc. Common Shares Dan, Aubrey 4 11/08/2011 00
CannTrust Holdings Inc. Common Shares Dan, Aubrey 4 06/10/2017 10 4.4 57,544
CannTrust Holdings Inc. Common Shares Dan, Aubrey 4 06/10/2017 10 4.4 57,544
CannTrust Holdings Inc. Common Shares Dan, Aubrey 4 06/10/2017 10 4.3977 57,544 57,544
CannTrust Holdings Inc. Common Shares Dan, Aubrey 4 11/08/2011 00
CannTrust Holdings Inc. Common Shares Dan, Aubrey 4 06/10/2017 10 4.4 4,363
CannTrust Holdings Inc. Common Shares Dan, Aubrey 4 06/10/2017 10 4.4 4,363
CannTrust Holdings Inc. Common Shares Dan, Aubrey 4 06/10/2017 10 4.3956 4,363 4,363
CannTrust Holdings Inc. Common Shares Litwin, Mark 4, 5 05/10/2017 10 4.1 1,799,247 -122,375
CannTrust Holdings Inc. Common Shares Sanders, Mitchell J. 4 05/10/2017 10 4.06 1,214,116 -41,000
Canso Select Opportunities Fund
Units Class A Canso Investment Counsel Ltd.
7 04/10/2017 10 10.7 334,000 1,000
CanWel Building Materials Group Ltd.
Common Shares Code, James Salter 5 02/10/2017 36 5.85 55,243 5,128
CanWel Building Materials Group Ltd.
Subscription Receipts Code, James Salter 5 02/10/2017 36 5.85 0 -5,128
CanWel Building Materials Group Ltd.
Common Shares Doman, Amar 4 02/10/2017 37 5.85 12,660,370 854,701
CanWel Building Materials Group Ltd.
Subscription Receipts Doman, Amar 4 02/10/2017 36 5.85 0 -854,701
CanWel Building Materials Group Ltd.
Common Shares Donaldson, Thomas Gerard 4 02/10/2017 36 5.85 95,022 5,000
CanWel Building Materials Group Ltd.
Subscription Receipts Donaldson, Thomas Gerard 4 02/10/2017 36 5.85 0 -5,000
CanWel Building Materials Group Ltd.
Common Shares Fleiser, Sam 4 02/10/2017 36 5.85 13,675 13,675
CanWel Building Materials Group Ltd.
Subscription Receipts Fleiser, Sam 4 02/10/2017 36 5.85 0 -13,675
CanWel Building Materials Group Ltd.
Common Shares Marshall, Stephen William 4, 5 02/10/2017 36 5.85 145,750 27,000
CanWel Building Materials Group Ltd.
Subscription Receipts Marshall, Stephen William 4, 5 02/10/2017 36 5.85 0 -27,000
CanWel Building Materials Group Ltd.
Common Shares Seguin, Marc 4 02/10/2017 36 5.85 89,668 25,641
CanWel Building Materials Group Ltd.
Subscription Receipts Seguin, Marc 4 02/10/2017 36 5.85 0 -25,641
Cardero Resource Corp. Common Shares Kopple, Robert Charles 3 27/09/2017 11 10 2,250,000
Cardero Resource Corp. Common Shares Kopple, Robert Charles 3 27/09/2017 11 10 2,250,000
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8322
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Cardiome Pharma Corp. Common Shares Archibald, Jennifer 5 27/09/2017 10 2.54 9,533 -1,125
Cardiome Pharma Corp. Common Shares Archibald, Jennifer 5 27/09/2017 10 2.57 8,933 -600
Cardiome Pharma Corp. Common Shares Archibald, Jennifer 5 27/09/2017 10 2.5 8,859 -74
Cardiome Pharma Corp. Common Shares Archibald, Jennifer 5 27/09/2017 10 2.51 3,859 -5,000
Cardiome Pharma Corp. Common Shares Archibald, Jennifer 5 27/09/2017 10 2.52 3,159 -700
Cardiome Pharma Corp. Common Shares Archibald, Jennifer 5 27/09/2017 10 2.53 2,359 -800
Cardiome Pharma Corp. Common Shares Archibald, Jennifer 5 27/09/2017 10 2.53 0 -2,359
Cardiome Pharma Corp. Common Shares Archibald, Jennifer 5 27/09/2017 10 2.5 24,739 -9,886
Cardiome Pharma Corp. Common Shares Archibald, Jennifer 5 27/09/2017 10 2.51 24,239 -500
Cardiome Pharma Corp. Common Shares Archibald, Jennifer 5 27/09/2017 10 2.55 20,264 -3,975
Cardiome Pharma Corp. Common Shares Archibald, Jennifer 5 27/09/2017 10 2.56 19,964 -300
Carrus Capital Corporation Common Shares Shynkaryk, Chester 5 02/10/2017 10 1.55 15,000 -2,500
Carrus Capital Corporation Common Shares Shynkaryk, Chester 5 02/10/2017 10 1.55 140,000 -10,000
Cartier Iron Corporation (Formerly Northfield Metals Inc.)
Common Shares LARSEN, THOMAS 4, 5 02/10/2017 10 0.085 167,000 12,000
Cascadero Copper Corporation
Common Shares Lewis, Sharon Leigh 5 05/10/2017 10 0.08 204,000 -125,000
CCL Industries Inc. Rights Deferred Share Units
Block, Paul J. 4 30/09/2017 56 59.68 78,237 151
CCL Industries Inc. Rights Deferred Share Units
Galifi, Vincent Joseph 4 30/09/2017 56 59.68 2,232 104
CCL Industries Inc. Rights Deferred Share Units
Guillet, Edward 4 30/09/2017 56 59.68 68,602 132
CCL Industries Inc. Rights Deferred Share Units
Keller-Hobson, Kathleen 4 30/09/2017 56 59.68 6,527 13
CCL Industries Inc. Rights Deferred Share Units
Lang, Erin Melissa 4 30/09/2017 56 59.68 2,154 38
CCL Industries Inc. Rights Deferred Share Units
Lang, Stuart W. 4 30/09/2017 56 59.68 30,681 59
CCL Industries Inc. Rights Deferred Share Units
Muzyka, Douglas W. 4 30/09/2017 56 59.68 3,102 89
CCL Industries Inc. Rights Deferred Share Units
Peddie, Tom 4 30/09/2017 56 59.68 155,639 299
CCL Industries Inc. Rights Deferred Share Units
Shapansky, Mandy 4 30/09/2017 56 59.68 8,555 17
Celestica Inc. Deferred Share Units DiMaggio, Dan 4 02/10/2017 56 12.38 164,760 3,710
Celestica Inc. Deferred Share Units Etherington, William 4 02/10/2017 56 12.38 376,114 7,270
Celestica Inc. Deferred Share Units Gross, Thomas 4 02/10/2017 56 12.38 12,898 3,710
Celestica Inc. Deferred Share Units Koellner, Laurette 4 02/10/2017 56 12.38 188,706 4,013
Celestica Inc. Deferred Share Units Onex Corporation 3 30/09/2017 56 12.38 190,784 4,746
Celestica Inc. Deferred Share Units Perry, Carol Susan 4 02/10/2017 56 12.38 95,346 4,745
Celestica Inc. Deferred Share Units Ryan, Eamon James 4 02/10/2017 56 12.38 240,144 3,787
Celestica Inc. Deferred Share Units Wilson, Michael M. 4 02/10/2017 56 12.38 160,451 4,948
Centerra Gold Inc. Rights Restricted Share Units
Connor, Richard Webster 4 30/09/2017 56 8.95 3,087 3,087
Centerra Gold Inc. Rights Restricted Share Units
Kubatov, Eduard 4 30/09/2017 56 8.95 3,087 3,087
Centerra Gold Inc. Rights Restricted Share Units
Kyshtobaev, Nurlan 4 30/09/2017 56 8.95 3,087 3,087
Centerra Gold Inc. Rights Restricted Share Units
Lang, Stephen A. 5 30/09/2017 56 8.95 58,831 6,494
Centerra Gold Inc. Rights Restricted Share Units
Parrett, Michael S. 4 30/09/2017 56 8.95 48,613 3,087
Centerra Gold Inc. Common Shares Perron, Jacques 4 30/09/2017 57 8.95 96,419 1,543
Centerra Gold Inc. Rights Restricted Share Units
Perron, Jacques 4 30/09/2017 56 8.95 3,087 3,087
Centerra Gold Inc. Rights Restricted Share Units
Perron, Jacques 4 30/09/2017 57 8.95 1,544 -1,543
Centerra Gold Inc. Rights Restricted Share Units
Perron, Jacques 4 30/09/2017 59 8.95 0 -1,544
Centerra Gold Inc. Rights Restricted Share Units
Pressler, Sheryl 4 30/09/2017 56 8.95 3,087 3,087
Centerra Gold Inc. Deferred Share Units Rogers, Terry Vernon 6 30/09/2017 56 8.95 64,866 617
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8323
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Centerra Gold Inc. Rights Restricted Share Units
Rogers, Terry Vernon 6 30/09/2017 56 8.95 2,470 2,470
Centerra Gold Inc. Rights Restricted Share Units
Sagynov, Bektur 4 30/09/2017 56 8.95 3,087 3,087
Centerra Gold Inc. Deferred Share Units Walter, Bruce V. 4 30/09/2017 56 8.95 93,347 5,029
Cervus Equipment Corporation
Common Shares Bell, Don 4 17/07/2017 30 11.06 10,966 68
Cervus Equipment Corporation
Common Shares Bell, Don 4 28/09/2017 10 13.7 0 -3,156
Cervus Equipment Corporation
Common Shares Cervus Equipment Corporation
1 25/09/2017 38 21,319 -2,600
Cervus Equipment Corporation
Common Shares Cervus Equipment Corporation
1 29/09/2017 38 0 -21,319
CGI Group Inc. Rights Performance Share Units
Baticle, Jean-Michel 5 06/03/2013 00
CGI Group Inc. Rights Performance Share Units
Baticle, Jean-Michel 5 01/10/2017 56 64.7 7,913 7,913
CGI Group Inc. Rights Performance Share Units
Boulanger, François 5 16/01/2003 00
CGI Group Inc. Rights Performance Share Units
Boulanger, François 5 01/10/2017 56 64.7 13,366 13,366
CGI Group Inc. Rights Performance Share Units
Boyajian, Mark 5 19/05/2015 00
CGI Group Inc. Rights Performance Share Units
Boyajian, Mark 5 01/10/2017 56 64.7 7,355 7,355
CGI Group Inc. Rights Performance Share Units
Dube, Benoit 5 29/04/2008 00
CGI Group Inc. Rights Performance Share Units
Dube, Benoit 5 01/10/2017 56 64.7 6,390 6,390
CGI Group Inc. Rights Performance Share Units
Forman, Stuart 5 25/02/2015 00
CGI Group Inc. Rights Performance Share Units
Forman, Stuart 5 01/10/2017 56 64.7 1,250 1,250
CGI Group Inc. Rights Performance Share Units
Godin, Julie 4 03/08/2009 00
CGI Group Inc. Rights Performance Share Units
Godin, Julie 4 01/10/2017 56 64.7 7,039 7,039
CGI Group Inc. Rights Performance Share Units
Godin, Serge 3, 4 01/10/2017 56 64.7 632,440 163,773
CGI Group Inc. Rights Performance Share Units
Gorber, Lorne Shawn 5 24/11/2005 00
CGI Group Inc. Rights Performance Share Units
Gorber, Lorne Shawn 5 01/10/2017 56 64.7 2,284 2,284
CGI Group Inc. Rights Performance Share Units
Henderson, Dave 5 19/05/2015 00
CGI Group Inc. Rights Performance Share Units
Henderson, Dave 5 01/10/2017 56 64.7 8,328 8,328
CGI Group Inc. Options Hurlebaus, Timothy 5 01/10/2017 00 61,487
CGI Group Inc. Rights Performance Share Units
Hurlebaus, Timothy 5 01/10/2017 00
CGI Group Inc. Rights Performance Share Units
Hurlebaus, Timothy 5 01/10/2017 56 64.7 6,426 6,426
CGI Group Inc. Subordinate Voting Shares Classe A
Hurlebaus, Timothy 5 01/10/2017 00 7,940
CGI Group Inc. Rights Performance Share Units
Keating, Michael John 5 30/05/2017 00
CGI Group Inc. Rights Performance Share Units
Keating, Michael John 5 01/10/2017 56 64.7 1,922 1,922
CGI Group Inc. Rights Performance Share Units
Linder, Kevin Morris 5 01/10/2014 00
CGI Group Inc. Rights Performance Share Units
Linder, Kevin Morris 5 01/10/2017 56 64.7 1,380 1,380
CGI Group Inc. Options Mattackal, George Jacob 5 01/10/2017 00 39,382
CGI Group Inc. Rights Performance Share Units
Mattackal, George Jacob 5 01/10/2017 00
CGI Group Inc. Rights Performance Share Units
Mattackal, George Jacob 5 01/10/2017 56 64.7 2,689 2,689
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8324
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
CGI Group Inc. Subordinate Voting Shares Classe A
Mattackal, George Jacob 5 01/10/2017 00 836
CGI Group Inc. Rights Performance Share Units
McCuaig, Douglas 5 11/06/2004 00
CGI Group Inc. Rights Performance Share Units
McCuaig, Douglas 5 01/10/2017 56 64.7 7,197 7,197
CGI Group Inc. Rights Performance Share Units
Nikku, Heikki 5 19/05/2015 00
CGI Group Inc. Rights Performance Share Units
Nikku, Heikki 5 01/10/2017 56 64.7 6,881 6,881
CGI Group Inc. Rights Performance Share Units
Perron, Steve 5 01/07/2016 00
CGI Group Inc. Rights Performance Share Units
Perron, Steve 5 01/10/2017 56 64.7 1,170 1,170
CGI Group Inc. Rights Performance Share Units
Rocheleau, Daniel 5 16/01/2003 00
CGI Group Inc. Rights Performance Share Units
Rocheleau, Daniel 5 01/10/2017 56 64.7 2,580 2,580
CGI Group Inc. Rights Performance Share Units
Schindler, George Donald 4, 5 15/09/2004 00
CGI Group Inc. Rights Performance Share Units
Schindler, George Donald 4, 5 01/10/2017 56 64.7 42,016 42,016
CGI Group Inc. Rights Performance Share Units
THORN, STEPHEN MARK 5 01/10/2016 00
CGI Group Inc. Rights Performance Share Units
THORN, STEPHEN MARK 5 01/10/2017 56 64.7 5,979 5,979
CGI Group Inc. Rights Performance Share Units
Vigeant, Guy 5 01/10/2016 00
CGI Group Inc. Rights Performance Share Units
Vigeant, Guy 5 01/10/2017 56 64.7 1,380 1,380
Chartwell Retirement Residences
Deferred Units Bastarache, Lise 4 30/09/2017 46 14.919 69,079 1,874
Chartwell Retirement Residences
Rights Restricted Trust Units
Binions, W. Brent 4, 5 30/09/2017 30 14.961 170,898 1,635
Chartwell Retirement Residences
Rights Restricted Trust Units
Boulakia, Jonathan 5 30/09/2017 30 14.961 41,228 394
Chartwell Retirement Residences
Rights Restricted Trust Units
Chateauvert, Sheri Lynn 5 30/09/2017 30 14.961 42,222 404
Chartwell Retirement Residences
Deferred Units Davis, Virginia Ann 4 30/09/2017 46 14.919 2,300 1,236
Chartwell Retirement Residences
Deferred Units Harris, Michael Deane 4 30/09/2017 46 14.919 250,110 6,209
Chartwell Retirement Residences
Deferred Units Kuzmicki, Andre 7 30/09/2017 46 14.919 151,165 3,890
Chartwell Retirement Residences
Deferred Units Robinson, Sidney P H 4 30/09/2017 46 14.919 190,095 4,463
Chartwell Retirement Residences
Deferred Units Sallows, Sharon 4 30/09/2017 46 14.919 106,520 3,246
Chartwell Retirement Residences
Rights Restricted Trust Units
Sullivan, Karen Leslie 5 30/09/2017 30 14.961 46,268 443
Chartwell Retirement Residences
Deferred Units Thomas, John Huw 4 30/09/2017 46 14.919 79,024 3,401
Chartwell Retirement Residences
Rights Restricted Trust Units
Volodarski, Vlad 5 30/09/2017 30 14.961 46,916 449
Chesswood Group Limited Common Shares Steiner, Frederick William 7 29/09/2017 10 12.05 75,000 -25,000
Choice Properties Real Estate Investment Trust
Rights Deferred Units Adams, Kerry Dawn 4 29/09/2017 30 37,040 512
Choice Properties Real Estate Investment Trust
Rights Deferred Units Adams, Kerry Dawn 4 02/10/2017 56 38,300 1,260
Choice Properties Real Estate Investment Trust
Rights Deferred Units Clark, Christie James Beckett
4, 6 29/09/2017 30 7,026 93
Choice Properties Real Estate Investment Trust
Rights Deferred Units Clark, Christie James Beckett
4, 6 02/10/2017 56 8,163 1,137
Choice Properties Real Estate Investment Trust
Rights Deferred Units Eadie, Graeme McAlilster 4 29/09/2017 30 2,205 26
Choice Properties Real Estate Investment Trust
Rights Deferred Units Eadie, Graeme McAlilster 4 02/10/2017 56 3,351 1,146
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8325
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Choice Properties Real Estate Investment Trust
Rights Deferred Units Felman, Michelle 4 30/09/2017 30 46,140 635
Choice Properties Real Estate Investment Trust
Rights Deferred Units Felman, Michelle 4 02/10/2017 56 48,413 2,273
Choice Properties Real Estate Investment Trust
Rights Deferred Units Graham, Anthony R. 7 30/09/2017 30 1,842 18
Choice Properties Real Estate Investment Trust
Rights Deferred Units Graham, Anthony R. 7 02/10/2017 56 4,456 2,614
Choice Properties Real Estate Investment Trust
Rights Deferred Units Kitt, Michael 4 30/09/2017 30 51,707 711
Choice Properties Real Estate Investment Trust
Rights Deferred Units Kitt, Michael 4 02/10/2017 56 54,227 2,520
Choice Properties Real Estate Investment Trust
Rights Deferred Units Sullivan, Daniel Francis 4 30/09/2017 30 28,958 398
Choice Properties Real Estate Investment Trust
Rights Deferred Units Sullivan, Daniel Francis 4 02/10/2017 56 30,379 1,421
Choice Properties Real Estate Investment Trust
Rights Deferred Units Weiss, Paul Raymond 4 30/09/2017 30 26,885 371
Choice Properties Real Estate Investment Trust
Rights Deferred Units Weiss, Paul Raymond 4 02/10/2017 56 27,833 948
Choice Properties Real Estate Investment Trust
Rights Deferred Units Weston, Willard Galen Garfield
4, 6 30/09/2017 30 51,621 719
Chorus Aviation Inc. Deferred Share Units Collins, Gary 4 30/09/2017 56 8.41 144,257 892
Chorus Aviation Inc. Deferred Share Units Cramm, Karen 4 30/09/2017 56 8.41 79,227 1,427
Chorus Aviation Inc. Deferred Share Units Falconer, Richard Douglas 4 30/09/2017 56 8.41 76,228 2,081
Chorus Aviation Inc. Deferred Share Units Hannahs, R. Stephen 4 30/09/2017 56 8.41 25,988 2,051
Chorus Aviation Inc. Deferred Share Units Isaacs, Sydney John 4, 7 30/09/2017 56 8.41 79,544 892
Chorus Aviation Inc. Deferred Share Units McCoy, Richard H. 4 30/09/2017 56 8.41 213,897 3,864
Chorus Aviation Inc. Deferred Share Units Morin, Marie-Lucie 4, 5 30/09/2017 56 8.41 10,149 1,174
Chorus Aviation Inc. Rights (Ongoing Long-Term Incentive Plan)
Slevin, Una 7 18/09/2017 00 3,382
CI Financial Corp. Common Shares CI Financial Corp. 1 01/09/2017 38 27.364 39,300 39,300
CI Financial Corp. Common Shares CI Financial Corp. 1 01/09/2017 38 0 -39,300
CI Financial Corp. Common Shares CI Financial Corp. 1 05/09/2017 38 27.073 56,000 56,000
CI Financial Corp. Common Shares CI Financial Corp. 1 05/09/2017 38 0 -56,000
CI Financial Corp. Common Shares CI Financial Corp. 1 06/09/2017 38 27.375 292,600 292,600
CI Financial Corp. Common Shares CI Financial Corp. 1 06/09/2017 38 0 -292,600
CI Financial Corp. Common Shares CI Financial Corp. 1 07/09/2017 38 27.282 49,600 49,600
CI Financial Corp. Common Shares CI Financial Corp. 1 07/09/2017 38 0 -49,600
CI Financial Corp. Common Shares CI Financial Corp. 1 08/09/2017 38 27.193 55,600 55,600
CI Financial Corp. Common Shares CI Financial Corp. 1 08/09/2017 38 0 -55,600
CI Financial Corp. Common Shares CI Financial Corp. 1 11/09/2017 38 27.314 55,800 55,800
CI Financial Corp. Common Shares CI Financial Corp. 1 11/09/2017 38 0 -55,800
CI Financial Corp. Common Shares CI Financial Corp. 1 12/09/2017 38 27.47 55,600 55,600
CI Financial Corp. Common Shares CI Financial Corp. 1 12/09/2017 38 0 -55,600
CI Financial Corp. Common Shares CI Financial Corp. 1 13/09/2017 38 27.499 290,700 290,700
CI Financial Corp. Common Shares CI Financial Corp. 1 13/09/2017 38 0 -290,700
CI Financial Corp. Common Shares CI Financial Corp. 1 14/09/2017 38 27.475 52,400 52,400
CI Financial Corp. Common Shares CI Financial Corp. 1 14/09/2017 38 0 -52,400
CI Financial Corp. Common Shares CI Financial Corp. 1 15/09/2017 38 27.499 1,600 1,600
CI Financial Corp. Common Shares CI Financial Corp. 1 15/09/2017 38 0 -1,600
CI Financial Corp. Common Shares CI Financial Corp. 1 18/09/2017 38 26.642 112,903 112,903
CI Financial Corp. Common Shares CI Financial Corp. 1 18/09/2017 38 0 -112,903
CI Financial Corp. Common Shares CI Financial Corp. 1 19/09/2017 38 27.065 50,200 50,200
CI Financial Corp. Common Shares CI Financial Corp. 1 19/09/2017 38 0 -50,200
CI Financial Corp. Common Shares CI Financial Corp. 1 20/09/2017 38 27.092 30,200 30,200
CI Financial Corp. Common Shares CI Financial Corp. 1 20/09/2017 38 0 -30,200
CI Financial Corp. Common Shares CI Financial Corp. 1 21/09/2017 38 27.067 56,000 56,000
CI Financial Corp. Common Shares CI Financial Corp. 1 21/09/2017 38 0 -56,000
CI Financial Corp. Common Shares CI Financial Corp. 1 22/09/2017 38 27.049 55,400 55,400
CI Financial Corp. Common Shares CI Financial Corp. 1 22/09/2017 38 0 -55,400
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8326
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
CI Financial Corp. Common Shares CI Financial Corp. 1 25/09/2017 38 27.071 56,000 56,000
CI Financial Corp. Common Shares CI Financial Corp. 1 25/09/2017 38 0 -56,000
CI Financial Corp. Common Shares CI Financial Corp. 1 26/09/2017 38 26.98 56,000 56,000
CI Financial Corp. Common Shares CI Financial Corp. 1 26/09/2017 38 0 -56,000
CI Financial Corp. Common Shares CI Financial Corp. 1 27/09/2017 38 27.26 56,000 56,000
CI Financial Corp. Common Shares CI Financial Corp. 1 27/09/2017 38 0 -56,000
CI Financial Corp. Common Shares CI Financial Corp. 1 28/09/2017 38 27.236 31,200 31,200
CI Financial Corp. Common Shares CI Financial Corp. 1 28/09/2017 38 0 -31,200
CI Financial Corp. Common Shares CI Financial Corp. 1 29/09/2017 38 27.318 56,000 56,000
CI Financial Corp. Common Shares CI Financial Corp. 1 29/09/2017 38 0 -56,000
CKR Carbon Corporation Common Shares Inwentash, Sheldon 4, 5 29/09/2017 10 0.06 662,000 -338,000
CKR Carbon Corporation Common Shares Inwentash, Sheldon 4, 5 29/09/2017 10 0.055 0 -662,000
Clarke Inc. Common Shares Clarke Inc. 1 12/09/2017 38 9.33 700 700
Clarke Inc. Common Shares Clarke Inc. 1 12/09/2017 38 9.33 700
Clarke Inc. Common Shares Clarke Inc. 1 12/09/2017 38 9.33 700
Clarke Inc. Common Shares Clarke Inc. 1 14/09/2017 38 -700
Clarke Inc. Common Shares Clarke Inc. 1 14/09/2017 38 -700
Clarke Inc. Common Shares Clarke Inc. 1 30/09/2017 38 0 -700
Clarocity Corporation (formerly, Zaio Corporation)
Common Shares StableView Asset Management
3 27/09/2017 16 0.12 28,684,599 1,995,888
Cliffside Capital Ltd. Common Shares Bharucha, Yazdi 5 29/08/2017 90 150,000 -850,000
Cliffside Capital Ltd. Common Shares Bharucha, Yazdi 5 03/02/2015 00
Cliffside Capital Ltd. Common Shares Bharucha, Yazdi 5 29/08/2017 90 850,000 850,000
Co-operators General Insurance Company
Preferred Shares Class A Series B
Daniel, Kevin 7 30/09/2017 30 100 1,722 1
Co-operators General Insurance Company
Preferred Shares Class A Series B
Guglietti, Lisa 5 01/10/2017 30 100 2,183 435
Co-operators General Insurance Company
Preferred Shares Class A Series B
Hanna, Paul 7 30/09/2017 30 100 947 1
Co-operators General Insurance Company
Preferred Shares Class A Series B
McCombie, Richard Allen 7 30/09/2017 30 100 3,392 4
CORAL GOLD RESOURCES LTD.
Common Shares Andrews, Ronald D. 4 04/10/2017 10 0.27 467,500 5,000
CORAL GOLD RESOURCES LTD.
Common Shares Robertson, Gary Ralph 4 05/10/2017 51 0.3 575,000 75,000
CORAL GOLD RESOURCES LTD.
Options Robertson, Gary Ralph 4 05/10/2017 51 0.3 350,000 -75,000
Corby Spirit and Wine Limited (formerly Corby Distilleries Limited)
Common Shares Class A Cote, Stephane 5 25/08/2017 30 21.605 6,779 232
Corby Spirit and Wine Limited (formerly Corby Distilleries Limited)
Common Shares Class A Cote, Stephane 5 22/09/2017 30 21.641 6,899 120
Corby Spirit and Wine Limited (formerly Corby Distilleries Limited)
Common Shares Class A Holub, Paul 5 25/08/2017 30 21.605 21,782 285
Corby Spirit and Wine Limited (formerly Corby Distilleries Limited)
Common Shares Class A Holub, Paul 5 22/09/2017 30 21.641 21,853 71
Corby Spirit and Wine Limited (formerly Corby Distilleries Limited)
Common Shares Class A Llewellyn, Robert 4 22/09/2017 30 21.641 2,995 168
Corby Spirit and Wine Limited (formerly Corby Distilleries Limited)
Common Shares Class A Lussier, Donald Vincent 4 22/09/2017 30 21.641 4,473 168
Corby Spirit and Wine Limited (formerly Corby Distilleries Limited)
Common Shares Class A McCarthy, George 4 22/09/2017 30 21.641 22,568 248
Corby Spirit and Wine Limited (formerly Corby Distilleries Limited)
Common Shares Class A Nielsen, Patricia 4 22/09/2017 30 21.641 21,112 168
Corby Spirit and Wine Limited (formerly Corby Distilleries Limited)
Common Shares Class A O'Driscoll, Roland Patrick 4, 5 25/08/2017 30 21.605 14,078 234
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8327
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Corby Spirit and Wine Limited (formerly Corby Distilleries Limited)
Common Shares Class A O'Driscoll, Roland Patrick 4, 5 22/09/2017 30 21.641 14,193 115
Corby Spirit and Wine Limited (formerly Corby Distilleries Limited)
Common Shares Class A Sanchez Villarreal, Antonio 4, 5 25/08/2017 30 21.605 2,030 166
Corby Spirit and Wine Limited (formerly Corby Distilleries Limited)
Common Shares Class A Sanchez Villarreal, Antonio 4, 5 22/09/2017 30 21.641 2,115 85
Corby Spirit and Wine Limited (formerly Corby Distilleries Limited)
Common Shares Class A Valencia, Marc Andrew 5 25/08/2017 30 21.605 24,477 285
Corby Spirit and Wine Limited (formerly Corby Distilleries Limited)
Common Shares Class A Valencia, Marc Andrew 5 22/09/2017 30 21.641 24,624 147
Corridor Resources Inc. Deferred Share Unit (DSU)
McKee, James Simon 4 30/09/2017 56 199,378 16,481
Corsa Coal Corp. Common Shares Scott, Robert 4 07/12/2016 37 51,880 -985,720
Corsa Coal Corp. Common Shares Scott, Robert 4 31/08/2017 10 46,880 -5,000
Corsa Coal Corp. Common Shares Scott, Robert 4 01/09/2017 10 34,380 -12,500
Corsa Coal Corp. Common Shares Scott, Robert 4 06/09/2017 10 21,880 -12,500
Corsa Coal Corp. Common Shares Scott, Robert 4 08/09/2017 10 4,680 -17,200
Corsa Coal Corp. Common Shares Scott, Robert 4 11/09/2017 10 0 -4,680
Corsa Coal Corp. Common Shares Scott, Robert 4 19/07/2016 10 1,893,000 -7,000
Corsa Coal Corp. Common Shares Scott, Robert 4 07/12/2016 37 94,650 -1,798,350
Corsa Coal Corp. Options Scott, Robert 4 07/12/2015 52 5,285,000 -1,075,000
Corsa Coal Corp. Options Scott, Robert 4 07/12/2016 37 -739,500 -6,374,500
Corsa Coal Corp. Options Scott, Robert 4 07/12/2016 99 281,750 1,021,250
Corus Entertainment Inc. Non-Voting Shares Class B
Shaw, Bradley 3 30/09/2017 30 12.612 813 19
Corus Entertainment Inc. Non-Voting Shares Class B
Shaw, Bradley 3 30/09/2017 30 12.612 308 8
Corus Entertainment Inc. Non-Voting Shares Class B
Shaw, Bradley 3 30/09/2017 30 12.612 308 8
Corus Entertainment Inc. Non-Voting Shares Class B
Shaw, Bradley 3 30/09/2017 30 12.612 308 8
Corus Entertainment Inc. Non-Voting Shares Class B
Shaw, Bradley 3 30/09/2017 30 12.612 308 8
Corus Entertainment Inc. Non-Voting Shares Class B
Shaw, Bradley 3 30/09/2017 30 12.612 154 4
Corus Entertainment Inc. Non-Voting Shares Class B
Shaw, Jim 3 30/09/2017 30 12.612 1,466 11
Corus Entertainment Inc. Non-Voting Shares Class B
Shaw, Jim 3 30/09/2017 30 12.612 88 6
Corus Entertainment Inc. Non-Voting Shares Class B
Shaw, Jim 3 30/09/2017 30 12.612 60 7
Corus Entertainment Inc. Non-Voting Shares Class B
Shaw, JR 3 30/09/2017 30 12.612 9,144 102
Corus Entertainment Inc. Non-Voting Shares Class B
Shaw, Julie Marie 4 30/09/2017 30 12.612 8,779 84
Corus Entertainment Inc. Non-Voting Shares Class B
Shaw, Julie Marie 4 30/09/2017 30 12.612 370 8
Corus Entertainment Inc. Non-Voting Shares Class B
Shaw, Julie Marie 4 30/09/2017 30 12.612 370 8
Corus Entertainment Inc. Non-Voting Shares Class B
Shaw, Julie Marie 4 30/09/2017 30 12.612 481 10
CounterPath Corporation Common Shares Carothers, Todd 5 02/10/2017 30 2.7016 10,627 98
CounterPath Corporation Common Shares Jones, Donovan 4, 5 02/10/2017 30 3.3459 83,720 136
CounterPath Corporation Common Shares Karp, David Lawrence 5 02/10/2017 30 3.3459 26,301 136
Crescent Point Energy Corp. Deferred Share Units Amirault, Rene 4 01/10/2017 56 42,883 7,267
Crescent Point Energy Corp. Common Shares Bannister, Peter 4 01/10/2017 57 566,174 2,936
Crescent Point Energy Corp. Common Shares Bannister, Peter 4 01/10/2017 97 564,763 -1,411
Crescent Point Energy Corp. Deferred Share Units Bannister, Peter 4 01/10/2017 56 41,959 509
Crescent Point Energy Corp. Restricted Share Units Bannister, Peter 4 01/10/2017 56 22,831 7,622
Crescent Point Energy Corp. Restricted Share Units Bannister, Peter 4 01/10/2017 57 19,895 -2,936
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8328
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Crescent Point Energy Corp. Common Shares Cillis, Laura Ann 4 01/10/2017 57 5,408 2,519
Crescent Point Energy Corp. Common Shares Cillis, Laura Ann 4 01/10/2017 97 4,198 -1,210
Crescent Point Energy Corp. Restricted Share Units Cillis, Laura Ann 4 01/10/2017 56 22,800 7,267
Crescent Point Energy Corp. Restricted Share Units Cillis, Laura Ann 4 01/10/2017 57 20,281 -2,519
Crescent Point Energy Corp. Common Shares Eade, Mark Gordon 5 01/10/2017 57 30,062 24,000
Crescent Point Energy Corp. Common Shares Eade, Mark Gordon 5 01/10/2017 97 18,542 -11,520
Crescent Point Energy Corp. Restricted Share Units Eade, Mark Gordon 5 01/10/2017 57 38,000 -24,000
Crescent Point Energy Corp. Common Shares Gillard, D. Hugh 4 01/10/2017 57 54,292 2,936
Crescent Point Energy Corp. Common Shares Gillard, D. Hugh 4 01/10/2017 97 52,881 -1,411
Crescent Point Energy Corp. Deferred Share Units Gillard, D. Hugh 4 01/10/2017 56 37,005 7,267
Crescent Point Energy Corp. Restricted Share Units Gillard, D. Hugh 4 01/10/2017 57 12,028 -2,936
Crescent Point Energy Corp. Deferred Share Units Goldthorpe, Edward 4 01/10/2017 56 10,841 7,266
Crescent Point Energy Corp. Common Shares Heinemann, Robert Frederick
4 01/10/2017 57 12,157 2,456
Crescent Point Energy Corp. Common Shares Heinemann, Robert Frederick
4 01/10/2017 97 10,977 -1,180
Crescent Point Energy Corp. Restricted Share Units Heinemann, Robert Frederick
4 01/10/2017 56 19,991 7,267
Crescent Point Energy Corp. Restricted Share Units Heinemann, Robert Frederick
4 01/10/2017 57 17,535 -2,456
Crescent Point Energy Corp. Deferred Share Units Jackson, Michael Sidney 4 01/10/2017 56 8,535 2,286
Crescent Point Energy Corp. Restricted Share Units Jackson, Michael Sidney 4 01/10/2017 56 12,291 7,267
Crescent Point Energy Corp. Common Shares MacDonald, Tamara 5 01/10/2017 57 391,934 17,411
Crescent Point Energy Corp. Common Shares MacDonald, Tamara 5 01/10/2017 97 383,576 -8,358
Crescent Point Energy Corp. Common Shares MacDonald, Tamara 5 04/10/2017 10 9.9 374,523 -9,053
Crescent Point Energy Corp. Restricted Share Units MacDonald, Tamara 5 01/10/2017 57 59,332 -17,411
Crescent Point Energy Corp. Common Shares Munroe, Barbara Elaine 4 01/10/2017 57 2,062 1,440
Crescent Point Energy Corp. Common Shares Munroe, Barbara Elaine 4 01/10/2017 97 1,370 -692
Crescent Point Energy Corp. Deferred Share Units Munroe, Barbara Elaine 4 01/10/2017 56 14,805 9,451
Crescent Point Energy Corp. Restricted Share Units Munroe, Barbara Elaine 4 01/10/2017 57 10,297 -1,440
Crescent Point Energy Corp. Common Shares ROMANZIN, GERALD A. 4 01/10/2017 57 2,476 2,476
Crescent Point Energy Corp. Common Shares ROMANZIN, GERALD A. 4 01/10/2017 97 1,286 -1,190
Crescent Point Energy Corp. Deferred Share Units ROMANZIN, GERALD A. 4 01/10/2017 56 39,543 5,743
Crescent Point Energy Corp. Restricted Share Units ROMANZIN, GERALD A. 4 01/10/2017 56 12,829 1,525
Crescent Point Energy Corp. Restricted Share Units ROMANZIN, GERALD A. 4 01/10/2017 57 10,353 -2,476
Crescent Point Energy Corp. Common Shares Smith, Clifford Neil 5 01/10/2017 57 389,833 7,592
Crescent Point Energy Corp. Common Shares Smith, Clifford Neil 5 01/10/2017 97 386,188 -3,645
Crescent Point Energy Corp. Restricted Share Units Smith, Clifford Neil 5 01/10/2017 57 70,016 -7,592
Crown Capital Partners Inc. Common Shares Crown Capital Partners Inc. 1 29/09/2017 10 9.82 5,900 5,900
Crown Capital Partners Inc. Common Shares Crown Capital Partners Inc. 1 03/10/2017 38 0 -5,900
CT Real Estate Investment Trust
Deferred Units Hollister, Brenton Vaughn 4 30/09/2017 56 13.785 8,117 453
CT Real Estate Investment Trust
Deferred Units Laidley, David Howard 4 30/09/2017 56 13.785 38,665 1,977
CT Real Estate Investment Trust
Deferred Units Martini, Anna 4 30/09/2017 56 13.785 28,224 1,523
CT Real Estate Investment Trust
Deferred Units O'Bryan, John Charles 4 30/09/2017 56 13.785 20,050 1,433
Currency Exchange International, Corp.
Common Shares Bhavsar, Chirag Jashvantlal 4 27/09/2017 51 7.5 10,200 2,000
Currency Exchange International, Corp.
Options Bhavsar, Chirag Jashvantlal 4 27/09/2017 51 7.5 11,687 -2,000
CWC Energy Services Corp. Common Shares CWC Energy Services Corp.
1 29/09/2017 38 0 -1,441,500
CWC Energy Services Corp. Common Shares CWC Energy Services Corp.
1 03/10/2017 10 0.2 4,000
CWC Energy Services Corp. Common Shares CWC Energy Services Corp.
1 03/10/2017 10 0.2 4,000
CWC Energy Services Corp. Common Shares CWC Energy Services Corp.
1 03/10/2017 10 0.2 4,000 4,000
Delphi Energy Corp. Common Shares Batteke, Hugo 5 30/09/2017 30 1.17 424,826 5,006
Delphi Energy Corp. Common Shares BEHR, John 5 30/09/2017 30 1.17 117,998 4,479
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8329
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Delphi Energy Corp. Common Shares Behrman, Mark Dwayne 5 30/09/2017 30 1.17 29,449 5,826
Delphi Energy Corp. Common Shares Galvin, Michael 5 30/09/2017 30 1.17 138,069 5,245
Delphi Energy Corp. Common Shares Hume, Rod Allan 5 30/09/2017 30 1.17 387,396 5,826
Delphi Energy Corp. Common Shares Reid, David James 4, 5 30/09/2017 30 1.17 924,526 7,283
Diagnos Inc. Common Shares Coffin, Tristram 4 02/10/2017 10 0.11 460,500 10,000
Difference Capital Financial Inc.
Common Shares Difference Capital Financial Inc.
1 28/09/2017 38 3.42 35,620 4,900
Diversified Royalty Corp. Common Shares Haber, Lawrence P. 4, 5 29/06/2011 00
Diversified Royalty Corp. Common Shares Haber, Lawrence P. 4, 5 06/02/2017 90 220,100 220,100
Diversified Royalty Corp. Common Shares Haber, Lawrence P. 4, 5 29/05/2017 90 240,227 20,127
Diversified Royalty Corp. Common Shares Haber, Lawrence P. 4, 5 06/02/2017 90 0 -220,100
Diversified Royalty Corp. Common Shares Haber, Lawrence P. 4, 5 29/05/2017 90 0 -20,127
DNI Metals Inc. Common Shares Carter, John 4 29/08/2017 00 675,000
DNI Metals Inc. Common Shares Carter, John 4 28/09/2017 10 0.08 575,000 -100,000
DNI Metals Inc. Common Shares Carter, John 4 28/09/2017 10 0.081 11,000 -564,000
DNI Metals Inc. Common Shares Carter, John 4 28/09/2017 10 0.08 682,000 671,000
DNI Metals Inc. Common Shares Carter, John 4 28/09/2017 16 0.16 1,353,000 671,000
DNI Metals Inc. Common Shares Carter, John 4 29/09/2017 50 0.16 300,000
DNI Metals Inc. Common Shares Carter, John 4 29/09/2017 50 0.16 300,000
Dollarama Inc. Common Shares Dollarama Inc. 1 13/09/2017 38 135.87 8,000 8,000
Dollarama Inc. Common Shares Dollarama Inc. 1 14/09/2017 38 135.95 16,000 8,000
Dollarama Inc. Common Shares Dollarama Inc. 1 18/09/2017 38 136.68 20,400 4,400
Dollarama Inc. Common Shares Dollarama Inc. 1 19/09/2017 38 137.31 27,800 7,400
Dollarama Inc. Common Shares Dollarama Inc. 1 20/09/2017 38 137 34,200 6,400
Dollarama Inc. Common Shares Dollarama Inc. 1 21/09/2017 38 136.97 36,000 1,800
Dollarama Inc. Common Shares Dollarama Inc. 1 22/09/2017 38 136.97 44,000 8,000
Dollarama Inc. Common Shares Dollarama Inc. 1 25/09/2017 38 136.92 44,800 800
Dollarama Inc. Common Shares Dollarama Inc. 1 25/09/2017 38 132 194,800 150,000
Dollarama Inc. Common Shares Dollarama Inc. 1 26/09/2017 38 135.23 209,800 15,000
Dollarama Inc. Common Shares Dollarama Inc. 1 27/09/2017 38 136.49 218,300 8,500
Dollarama Inc. Common Shares Dollarama Inc. 1 28/09/2017 38 136.72 222,000 3,700
Dollarama Inc. Common Shares Dollarama Inc. 1 29/09/2017 38 137.19 231,000 9,000
Dollarama Inc. Common Shares Dollarama Inc. 1 29/09/2017 38 0 -231,000
Dolly Varden Silver Corporation
Common Shares Hecla Mining Company 3 03/10/2017 11 0.55 5,557,626 79,539
Dorel Industries Inc. Rights Deferred Share Units
Benedetti, Alain 4 18/08/2017 35 30.9 32,106 388
Dorel Industries Inc. Performance Share Units Braunstein, Norman 5 18/08/2017 35 30.73 109
Dorel Industries Inc. Performance Share Units Braunstein, Norman 5 18/08/2017 35 30.73 8,987 109
Dorel Industries Inc. Performance Share Units Braunstein, Norman 5 29/09/2017 97 2,291
Dorel Industries Inc. Performance Share Units Braunstein, Norman 5 29/09/2017 97 11,278 2,291
Dorel Industries Inc. RESTRICTED SHARE UNIT
Braunstein, Norman 5 18/08/2017 35 30.73 1,544 18
Dorel Industries Inc. Rights Executive Deferred Share Units
Braunstein, Norman 5 18/08/2017 35 30.86 11,932 144
Dorel Industries Inc. Rights Deferred Share Units
Cohen, Dian 4 18/08/2017 35 30.9 27,365 330
Dorel Industries Inc. Rights Deferred Share Units
Cohen, Dian 4 29/09/2017 56 29.72 27,661 296
Dorel Industries Inc. Rights Deferred Share Units
CORMIER, MICHELLE ANN
4 18/08/2017 35 30.9 4,663 56
Dorel Industries Inc. Rights Deferred Share Units
CORMIER, MICHELLE ANN
4 29/09/2017 56 29.72 5,350 687
Dorel Industries Inc. Rights Deferred Share Units
Duchesne, Rupert 4 18/08/2017 35 30.9 27,131 327
Dorel Industries Inc. Rights Deferred Share Units
Duchesne, Rupert 4 29/09/2017 56 29.72 28,275 1,144
Dorel Industries Inc. Performance Share Units Rana, Franco 5 18/08/2017 35 30.73 188
Dorel Industries Inc. Performance Share Units Rana, Franco 5 18/08/2017 35 30.73 188
Dorel Industries Inc. Performance Share Units Rana, Franco 5 18/08/2017 35 30.73 15,465 188
Dorel Industries Inc. Performance Share Units Rana, Franco 5 29/09/2017 97 -1,241
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8330
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Dorel Industries Inc. Performance Share Units Rana, Franco 5 29/09/2017 97 14,224 -1,241
Dorel Industries Inc. RESTRICTED SHARE UNIT
Rana, Franco 5 18/08/2017 35 30.73 2,514 31
Dorel Industries Inc. Rights Executive Deferred Share Units
Rana, Franco 5 18/08/2017 35 30.86 10,644 129
Dorel Industries Inc. Performance Share Units Schwartz, Alan 3, 4, 5 18/08/2017 35 30.73 360
Dorel Industries Inc. Performance Share Units Schwartz, Alan 3, 4, 5 18/08/2017 35 30.73 29,657 360
Dorel Industries Inc. Performance Share Units Schwartz, Alan 3, 4, 5 29/09/2017 97 -2,380
Dorel Industries Inc. Performance Share Units Schwartz, Alan 3, 4, 5 29/09/2017 97 27,277 -2,380
Dorel Industries Inc. RESTRICTED SHARE UNIT
Schwartz, Alan 3, 4, 5 18/08/2017 35 30.73 4,820 58
Dorel Industries Inc. Rights Executive Deferred Share Units
Schwartz, Alan 3, 4, 5 18/08/2017 35 30.86 3,249 39
Dorel Industries Inc. Performance Share Units Schwartz, Jeffrey 3, 4, 5 18/08/2017 35 30.73 360
Dorel Industries Inc. Performance Share Units Schwartz, Jeffrey 3, 4, 5 18/08/2017 35 30.73 29,657 360
Dorel Industries Inc. Performance Share Units Schwartz, Jeffrey 3, 4, 5 29/09/2017 97 -2,380
Dorel Industries Inc. Performance Share Units Schwartz, Jeffrey 3, 4, 5 29/09/2017 97 27,277 -2,380
Dorel Industries Inc. RESTRICTED SHARE UNIT
Schwartz, Jeffrey 3, 4, 5 18/08/2017 35 30.73 4,820 58
Dorel Industries Inc. Rights Executive Deferred Share Units
Schwartz, Jeffrey 3, 4, 5 18/08/2017 35 30.86 17,629 213
Dorel Industries Inc. Performance Share Units Schwartz, Martin 3, 4, 5 18/08/2017 35 30.73 360
Dorel Industries Inc. Performance Share Units Schwartz, Martin 3, 4, 5 18/08/2017 35 30.73 360
Dorel Industries Inc. Performance Share Units Schwartz, Martin 3, 4, 5 18/08/2017 35 30.73 29,657 360
Dorel Industries Inc. Performance Share Units Schwartz, Martin 3, 4, 5 29/09/2017 97 -2,380
Dorel Industries Inc. Performance Share Units Schwartz, Martin 3, 4, 5 29/09/2017 97 27,277 -2,380
Dorel Industries Inc. RESTRICTED SHARE UNIT
Schwartz, Martin 3, 4, 5 18/08/2017 35 30.73 4,820 58
Dorel Industries Inc. Performance Share Units Segel, Jeffrey 3, 4, 5 18/08/2017 35 30.73 360
Dorel Industries Inc. Performance Share Units Segel, Jeffrey 3, 4, 5 18/08/2017 35 30.73 29,657 360
Dorel Industries Inc. Performance Share Units Segel, Jeffrey 3, 4, 5 29/09/2017 97 -2,380
Dorel Industries Inc. Performance Share Units Segel, Jeffrey 3, 4, 5 29/09/2017 97 -2,380
Dorel Industries Inc. Performance Share Units Segel, Jeffrey 3, 4, 5 29/09/2017 97 27,277 -2,380
Dorel Industries Inc. RESTRICTED SHARE UNIT
Segel, Jeffrey 3, 4, 5 18/08/2017 35 30.73 4,820 58
Dorel Industries Inc. Rights Executive Deferred Share Units
Segel, Jeffrey 3, 4, 5 18/08/2017 35 30.86 13,893 168
Dorel Industries Inc. Rights Deferred Share Units
Tousson, Maurice 4 18/08/2017 35 30.9 40,492 488
Dorel Industries Inc. Performance Share Units Woods, Peter 5 18/08/2017 35 30.73 117
Dorel Industries Inc. Performance Share Units Woods, Peter 5 18/08/2017 35 30.73 9,626 117
Dorel Industries Inc. Performance Share Units Woods, Peter 5 29/09/2017 97 -6,279
Dorel Industries Inc. Performance Share Units Woods, Peter 5 29/09/2017 97 3,347 -6,279
Dorel Industries Inc. RESTRICTED SHARE UNIT
Woods, Peter 5 18/08/2017 35 30.73 2,042 25
Dorel Industries Inc. Rights Executive Deferred Share Units
Woods, Peter 5 18/08/2017 35 30.86 9,567 116
Dorel Industries Inc. Rights Executive Deferred Share Units
Woods, Peter 5 18/08/2017 97 9,211 -356
Dorel Industries Inc. Performance Share Units Wyse, Edward 5 18/08/2017 35 30.73 62
Dorel Industries Inc. Performance Share Units Wyse, Edward 5 18/08/2017 35 30.73 5,123 62
Dorel Industries Inc. Performance Share Units Wyse, Edward 5 29/09/2017 97 -421
Dorel Industries Inc. Performance Share Units Wyse, Edward 5 29/09/2017 97 4,702 -421
Dorel Industries Inc. RESTRICTED SHARE UNIT
Wyse, Edward 5 18/08/2017 35 30.73 784 9
Dorel Industries Inc. Rights Executive Deferred Share Units
Wyse, Edward 5 18/08/2017 35 30.86 4,199 50
Dream Global Real Estate Investment Trust
Rights Deferred Trust Units
Bhatia, Rajan Sacha 4 30/09/2017 56 11.09 17,845 631
Dream Global Real Estate Investment Trust
Rights Deferred Trust Units
BIERBAUM, DETLEF 4 30/09/2017 56 11.09 72,887 2,254
Dream Global Real Estate Investment Trust
Rights Deferred Trust Units
Jackman, Duncan Newton Rowell
4 30/09/2017 56 11.09 72,155 1,014
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8331
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Dream Global Real Estate Investment Trust
Rights Deferred Trust Units
Koss, Johann Olav 4 30/09/2017 56 11.09 37,042 563
Dream Global Real Estate Investment Trust
Rights Deferred Trust Units
Sullivan, John 4 30/09/2017 56 11.09 57,663 563
Dream Hard Asset Alternatives Trust
Deferred Trust Units Bhalla, Amar 4 30/09/2017 56 6.04 9,633 2,276
Dream Hard Asset Alternatives Trust
Deferred Trust Units Eaton, James George 4 30/09/2017 56 6.04 58,813 3,311
Dream Hard Asset Alternatives Trust
Deferred Trust Units Ferstman, Joanne Shari 7 30/09/2017 56 6.04 53,168 1,862
Dream Industrial Real Estate Investment Trust
Deferred Trust Units Mulroney, Benedict Martin Paul
4 30/09/2017 56 9.15 50,250 820
Dream Industrial Real Estate Investment Trust
Deferred Trust Units Schiff, Vicky Lee 4 30/09/2017 56 9.15 7,154 683
Dream Industrial Real Estate Investment Trust
Deferred Trust Units Segal, Leerom 4 30/09/2017 56 9.15 58,336 683
Dream Industrial Real Estate Investment Trust
Deferred Trust Units Sera, Maria Vincenza 4, 7 30/09/2017 56 9.15 99,569 2,185
Dream Industrial Real Estate Investment Trust
Deferred Trust Units Wiseman, Sheldon 4 30/09/2017 56 9.15 47,081 1,229
Dream Office Real Estate Investment Trust
Rights deferred trust units BIERBAUM, DETLEF 4 30/09/2017 56 21.15 23,091 709
Dream Office Real Estate Investment Trust
Rights deferred trust units Charter, Donald Kinloch 4, 6 30/09/2017 56 21.15 48,475 957
Dream Office Real Estate Investment Trust
Trust Units Series A Cooper, Michael 4, 7, 5 29/09/2017 10 20.994 2,324,447 133,200
Dream Office Real Estate Investment Trust
Trust Units Series A Cooper, Michael 4, 7, 5 06/10/2017 10 21 2,356,747 32,300
Dream Office Real Estate Investment Trust
Trust Units Series A Dream Asset Management Corporation
5 29/09/2017 10 20.994 2,324,447 133,200
Dream Office Real Estate Investment Trust
Trust Units Series A Dream Asset Management Corporation
5 06/10/2017 10 21 2,356,747 32,300
Dream Office Real Estate Investment Trust
Trust Units Series A Dream Office Real Estate Investment Trust
1 13/09/2017 38 20.648 54,249 54,249
Dream Office Real Estate Investment Trust
Trust Units Series A Dream Office Real Estate Investment Trust
1 13/09/2017 38 0 -54,249
Dream Office Real Estate Investment Trust
Trust Units Series A Dream Office Real Estate Investment Trust
1 14/09/2017 38 20.791 54,249 54,249
Dream Office Real Estate Investment Trust
Trust Units Series A Dream Office Real Estate Investment Trust
1 14/09/2017 38 0 -54,249
Dream Office Real Estate Investment Trust
Trust Units Series A Dream Office Real Estate Investment Trust
1 18/09/2017 38 21.08 54,249 54,249
Dream Office Real Estate Investment Trust
Trust Units Series A Dream Office Real Estate Investment Trust
1 18/09/2017 38 0 -54,249
Dream Office Real Estate Investment Trust
Trust Units Series A Dream Office Real Estate Investment Trust
1 20/09/2017 38 21.327 54,249 54,249
Dream Office Real Estate Investment Trust
Trust Units Series A Dream Office Real Estate Investment Trust
1 20/09/2017 38 0 -54,249
Dream Office Real Estate Investment Trust
Trust Units Series A Dream Office Real Estate Investment Trust
1 21/09/2017 38 21.259 921,287 921,287
Dream Office Real Estate Investment Trust
Trust Units Series A Dream Office Real Estate Investment Trust
1 21/09/2017 38 0 -921,287
Dream Office Real Estate Investment Trust
Trust Units Series A Dream Office Real Estate Investment Trust
1 25/09/2017 38 21.392 54,249 54,249
Dream Office Real Estate Investment Trust
Trust Units Series A Dream Office Real Estate Investment Trust
1 25/09/2017 38 0 -54,249
Dream Office Real Estate Investment Trust
Trust Units Series A Dream Office Real Estate Investment Trust
1 26/09/2017 38 21.233 54,249 54,249
Dream Office Real Estate Investment Trust
Trust Units Series A Dream Office Real Estate Investment Trust
1 26/09/2017 38 0 -54,249
Dream Office Real Estate Investment Trust
Rights deferred trust units Ferstman, Joanne Shari 4 30/09/2017 56 21.15 58,161 827
Dream Office Real Estate Investment Trust
Rights deferred trust units GOODALL, ROBERT 4 30/09/2017 56 21.15 56,145 709
Dream Office Real Estate Investment Trust
Rights deferred trust units Koss, Johann Olav 4 30/09/2017 56 21.15 3,999 591
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8332
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Dream Office Real Estate Investment Trust
Rights deferred trust units Leitch, Kellie 4 30/09/2017 56 21.15 13,964 591
Dream Office Real Estate Investment Trust
Rights deferred trust units MacIndoe, Karine 4 30/09/2017 56 21.15 16,796 898
DREAM Unlimited Corp. Deferred Share Units Ferstman, Joanne Shari 4 30/09/2017 56 7.24 51,283 5,004
DREAM Unlimited Corp. Deferred Share Units Gateman, Richard N. 4, 7 30/09/2017 56 7.24 39,267 1,381
DREAM Unlimited Corp. Deferred Share Units Jackman, Duncan Newton Rowell
4 30/09/2017 56 7.24 7,881 1,208
DREAM Unlimited Corp. Deferred Share Units Koss, Jennifer 4 30/09/2017 56 7.24 36,599 1,381
DREAM Unlimited Corp. Deferred Share Units Sera, Maria Vincenza 4, 7 30/09/2017 56 7.24 41,547 1,553
Drone Delivery Canada Corp. (formerly Asher Resources Corporation)
Options Buzbuzian, Richard 3, 4, 5 03/10/2017 50 1,001,250 225,000
Drone Delivery Canada Corp. (formerly Asher Resources Corporation)
Options Colacitti, Gregory 5 03/10/2017 50 875,000 225,000
Drone Delivery Canada Corp. (formerly Asher Resources Corporation)
Options DI BENEDETTO, PAUL 5 03/10/2017 50 875,000 225,000
Drone Delivery Canada Corp. (formerly Asher Resources Corporation)
Options Di Benedetto, Tony 4, 5 03/10/2017 50 875,000 225,000
Dundee Precious Metals Inc. Rights Deferred Share Units
Gillin, Robert Peter Charles 4 29/09/2017 56 2.7 189,342 10,735
Dundee Precious Metals Inc. Rights Deferred Share Units
Goodman, Jonathan Carter 4 29/09/2017 56 2.7 505,200 7,573
Dundee Precious Metals Inc. Rights Deferred Share Units
Kinsman, Jeremy 4 29/09/2017 56 2.7 85,041 4,576
Dundee Precious Metals Inc. Rights Deferred Share Units
Montalvo, Juanita 4 29/09/2017 56 2.7 30,736 10,734
Dundee Precious Metals Inc. Rights Deferred Share Units
Nixon, Peter 4 29/09/2017 56 2.7 105,947 5,808
Dundee Precious Metals Inc. Rights Deferred Share Units
Tawil, Marie-Anne 4 29/09/2017 56 2.7 84,557 10,735
Dundee Precious Metals Inc. Rights Deferred Share Units
Walsh, Anthony P. 3 29/09/2017 56 2.7 119,001 7,655
Dundee Precious Metals Inc. Rights Deferred Share Units
Young, Donald Walter 4 29/09/2017 56 2.7 74,450 4,576
Dynex Power Inc. Common Shares Vacher, Clive Graham 4, 5 28/09/2017 10 0.12 1,282,500 500
Dynex Power Inc. Common Shares Vacher, Clive Graham 4, 5 28/09/2017 10 0.125 1,302,500 20,000
Dynex Power Inc. Common Shares Vacher, Clive Graham 4, 5 29/09/2017 10 0.125 1,307,500 5,000
Echelon Financial Holdings Inc.
Deferred Share Units Falle, James Bernard 4 09/05/2017 00
Echelon Financial Holdings Inc.
Deferred Share Units Falle, James Bernard 4 04/10/2017 56 896 896
Echelon Financial Holdings Inc.
Deferred Share Units Thomson, David Alexander 4 09/05/2017 00
Echelon Financial Holdings Inc.
Deferred Share Units Thomson, David Alexander 4 04/10/2017 56 708 708
Echelon Financial Holdings Inc.
Deferred Share Units Wallace, Murray 4 04/10/2017 56 2,398 2,264
ECN Capital Corp. Common Shares WIMSATT, JOHN 5 29/09/2017 10 3.99 399,000 124,000
eCobalt Solutions Inc. (formerly Formation Metals Inc.)
Common Shares Varley, Floyd D. 5 07/07/2017 00 2,790
eCobalt Solutions Inc. (formerly Formation Metals Inc.)
Common Shares Varley, Floyd D. 5 29/09/2017 10 1.15 17,790 15,000
eCobalt Solutions Inc. (formerly Formation Metals Inc.)
Options Stock Option Plan Varley, Floyd D. 5 07/07/2017 00
eCobalt Solutions Inc. (formerly Formation Metals Inc.)
Options Stock Option Plan Varley, Floyd D. 5 02/10/2017 50 1.17 93,750
eCobalt Solutions Inc. (formerly Formation Metals Inc.)
Options Stock Option Plan Varley, Floyd D. 5 02/10/2017 50 1.17 375,000 375,000
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8333
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Eguana Technologies Inc. Common Shares DHCT II Luxembourg S.a.r.l. 3 28/09/2017 16 0.2 1,250,000
Eguana Technologies Inc. Common Shares DHCT II Luxembourg S.a.r.l. 3 28/09/2017 16 0.2 1,250,000
Eguana Technologies Inc. Common Shares DHCT II Luxembourg S.a.r.l. 3 28/09/2017 16 0.2 58,018,920 1,250,000
Eguana Technologies Inc. Warrants DHCT II Luxembourg S.a.r.l. 3 28/09/2017 16 625,000
Eguana Technologies Inc. Warrants DHCT II Luxembourg S.a.r.l. 3 28/09/2017 16 625,000
Eguana Technologies Inc. Warrants DHCT II Luxembourg S.a.r.l. 3 28/09/2017 16 625,000
Eguana Technologies Inc. Warrants DHCT II Luxembourg S.a.r.l. 3 28/09/2017 16 1,875,000 625,000
Elcora Advanced Materials Corp.
Common Shares Choquette, Denis 4 03/10/2017 10 0.17 102,000 2,000
Element Fleet Management Corp. (formerly Element Financial Corporation)
Common Shares Element Fleet Management Corp.
1 06/09/2017 38 8.9406 517,700 517,700
Element Fleet Management Corp. (formerly Element Financial Corporation)
Common Shares Element Fleet Management Corp.
1 06/09/2017 38 0 -517,700
Element Fleet Management Corp. (formerly Element Financial Corporation)
Common Shares Element Fleet Management Corp.
1 07/09/2017 38 8.9406 466,100 466,100
Element Fleet Management Corp. (formerly Element Financial Corporation)
Common Shares Element Fleet Management Corp.
1 07/09/2017 38 0 -466,100
Element Fleet Management Corp. (formerly Element Financial Corporation)
Common Shares Element Fleet Management Corp.
1 08/09/2017 38 8.9406 517,700 517,700
Element Fleet Management Corp. (formerly Element Financial Corporation)
Common Shares Element Fleet Management Corp.
1 08/09/2017 38 0 -517,700
Element Fleet Management Corp. (formerly Element Financial Corporation)
Common Shares Element Fleet Management Corp.
1 11/09/2017 38 8.9406 432,600 432,600
Element Fleet Management Corp. (formerly Element Financial Corporation)
Common Shares Element Fleet Management Corp.
1 11/09/2017 38 0 -432,600
Element Fleet Management Corp. (formerly Element Financial Corporation)
Common Shares Element Fleet Management Corp.
1 12/09/2017 38 8.9406 3,200 3,200
Element Fleet Management Corp. (formerly Element Financial Corporation)
Common Shares Element Fleet Management Corp.
1 12/09/2017 38 0 -3,200
Element Fleet Management Corp. (formerly Element Financial Corporation)
Common Shares Element Fleet Management Corp.
1 13/09/2017 38 8.9406 308,700 308,700
Element Fleet Management Corp. (formerly Element Financial Corporation)
Common Shares Element Fleet Management Corp.
1 13/09/2017 38 0 -308,700
Element Fleet Management Corp. (formerly Element Financial Corporation)
Common Shares Element Fleet Management Corp.
1 14/09/2017 38 8.9406 1,900 1,900
Element Fleet Management Corp. (formerly Element Financial Corporation)
Common Shares Element Fleet Management Corp.
1 14/09/2017 38 0 -1,900
Element Fleet Management Corp. (formerly Element Financial Corporation)
Common Shares Element Fleet Management Corp.
1 15/09/2017 38 8.9406 29,700 29,700
Element Fleet Management Corp. (formerly Element Financial Corporation)
Common Shares Element Fleet Management Corp.
1 15/09/2017 38 0 -29,700
Element Fleet Management Corp. (formerly Element Financial Corporation)
Common Shares Element Fleet Management Corp.
1 18/09/2017 38 8.9406 416,500 416,500
Element Fleet Management Corp. (formerly Element Financial Corporation)
Common Shares Element Fleet Management Corp.
1 18/09/2017 38 0 -416,500
Element Fleet Management Corp. (formerly Element Financial Corporation)
Common Shares Element Fleet Management Corp.
1 19/09/2017 38 8.9406 271,700 271,700
Element Fleet Management Corp. (formerly Element Financial Corporation)
Common Shares Element Fleet Management Corp.
1 19/09/2017 38 0 -271,700
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8334
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Element Fleet Management Corp. (formerly Element Financial Corporation)
Common Shares Element Fleet Management Corp.
1 20/09/2017 38 8.9406 189,200 189,200
Element Fleet Management Corp. (formerly Element Financial Corporation)
Common Shares Element Fleet Management Corp.
1 20/09/2017 38 0 -189,200
Element Fleet Management Corp. (formerly Element Financial Corporation)
Common Shares Element Fleet Management Corp.
1 21/09/2017 38 8.9406 2,300 2,300
Element Fleet Management Corp. (formerly Element Financial Corporation)
Common Shares Element Fleet Management Corp.
1 21/09/2017 38 0 -2,300
Emera Incorporated Common Shares Bragg, James Lee 4 03/05/2010 00
Emera Incorporated Common Shares Bragg, James Lee 4 04/10/2017 10 47.6 8,200 8,200
Emera Incorporated Common Shares Bragg, James Lee 4 04/10/2017 10 47.595 9,300 1,100
Emera Incorporated Common Shares Bragg, James Lee 4 04/10/2017 10 47.59 12,850 3,550
Emera Incorporated Common Shares Bragg, James Lee 4 04/10/2017 10 47.585 12,950 100
Emera Incorporated Common Shares Bragg, James Lee 4 04/10/2017 10 47.58 14,650 1,700
Emera Incorporated Common Shares Bragg, James Lee 4 04/10/2017 10 47.57 15,650 1,000
Emera Incorporated Common Shares Bragg, James Lee 4 04/10/2017 10 47.565 15,750 100
Emera Incorporated DSU Bragg, James Lee 4 30/09/2017 56 12,043 236
Emera Incorporated DSU Bragg, James Lee 4 30/09/2017 30 12,174 131
Emera Incorporated DSU Chrominska, Sylvia Dolores 4 30/09/2017 56 25,731 1,091
Emera Incorporated DSU Chrominska, Sylvia Dolores 4 30/09/2017 30 26,003 272
Emera Incorporated DSU Demone, Henry 4 30/09/2017 56 12,351 1,154
Emera Incorporated DSU Demone, Henry 4 30/09/2017 30 12,475 124
Emera Incorporated DSU Edgeworth, Allan Leslie 4 30/09/2017 56 47,702 1,271
Emera Incorporated DSU Edgeworth, Allan Leslie 4 30/09/2017 30 48,215 513
Emera Incorporated DSU Eisenhauer, James Daniel 4 30/09/2017 56 41,647 1,187
Emera Incorporated DSU Eisenhauer, James Daniel 4 30/09/2017 30 42,095 448
Emera Incorporated DSU Greer, Sandra 7 30/09/2017 30 6,428 70
Emera Incorporated DSU Greer, Sandra 7 30/09/2017 56 6,900 472
Emera Incorporated DSU Iorio, Pam 7 30/09/2017 56 984 570
Emera Incorporated DSU Iorio, Pam 7 30/09/2017 30 989 5
Emera Incorporated DSU Ivany, Raymond Edmund 7 30/09/2017 56 17,479 511
Emera Incorporated DSU Ivany, Raymond Edmund 7 30/09/2017 30 17,666 187
Emera Incorporated DSU Law, Rhea 7 30/09/2017 56 984 570
Emera Incorporated DSU Law, Rhea 7 30/09/2017 30 989 5
Emera Incorporated DSU Loewen, Lynn 4 30/09/2017 56 19,446 1,232
Emera Incorporated DSU Loewen, Lynn 4 30/09/2017 30 19,647 201
Emera Incorporated DSU McLennan, John T. 7 30/09/2017 56 81,386 1,138
Emera Incorporated DSU McLennan, John T. 7 30/09/2017 30 82,273 887
Emera Incorporated Common Shares Muldoon, Daniel 5 04/10/2017 51 21.58 11,277 8,200
Emera Incorporated Common Shares Muldoon, Daniel 5 04/10/2017 51 21.99 19,777 8,500
Emera Incorporated Common Shares Muldoon, Daniel 5 04/10/2017 10 47.334 3,077 -16,700
Emera Incorporated Options Muldoon, Daniel 5 04/10/2017 51 107,800 -8,200
Emera Incorporated Options Muldoon, Daniel 5 04/10/2017 51 99,300 -8,500
Emera Incorporated Common Shares O'Connor, Wayne David 5 04/10/2017 10 47.36 4,223 -2,121
Emera Incorporated DSU Pether, Donald Allison 4 30/09/2017 56 38,616 1,251
Emera Incorporated DSU Pether, Donald Allison 4 30/09/2017 30 39,029 413
Emera Incorporated DSU Ramil, John 4 30/09/2017 56 5,373 1,328
Emera Incorporated DSU Ramil, John 4 30/09/2017 30 5,418 45
Emera Incorporated DSU Rosen, Andrea Sarah 4 30/09/2017 56 48,799 1,252
Emera Incorporated DSU Rosen, Andrea Sarah 4 30/09/2017 30 49,324 525
Emera Incorporated DSU Rounding, Marie Catherine 7 30/09/2017 56 19,589 153
Emera Incorporated DSU Rounding, Marie Catherine 7 30/09/2017 30 19,804 215
Emera Incorporated DSU Sergel, Richard 4 30/09/2017 56 12,535 694
Emera Incorporated DSU Sergel, Richard 4 30/09/2017 30 12,666 131
Emera Incorporated DSU SHEPPARD, Mary Jacqueline
4 30/09/2017 56 51,166 2,221
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8335
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Emera Incorporated DSU SHEPPARD, Mary Jacqueline
4 30/09/2017 30 51,707 541
Emera Incorporated Common Shares Tower, Nancy Gail 5 27/09/2017 51 21.58 35,149 9,400
Emera Incorporated Options Tower, Nancy Gail 5 27/09/2017 51 248,900 -9,400
Enbridge Inc. Common Shares Gruending, Colin Kenneth 5 02/10/2017 51 24000 24,000
Enbridge Inc. Common Shares Gruending, Colin Kenneth 5 02/10/2017 51 20.21 35,840 24,000
Enbridge Inc. Common Shares Gruending, Colin Kenneth 5 02/10/2017 10 52.22 11,840 -24,000
Enbridge Inc. Options $20.21 ($40.42) - February 19, 2018 Expiry
Gruending, Colin Kenneth 5 02/10/2017 51 20.21 26,000 -24,000
Enbridge Inc. Common Shares Yu, Vernon Dai-Chung 5 02/10/2017 51 20.21 33,930 13,179
Enbridge Inc. Common Shares Yu, Vernon Dai-Chung 5 02/10/2017 10 52.07 20,751 -13,179
Enbridge Inc. Common Shares Yu, Vernon Dai-Chung 5 02/10/2017 51 20.21 30,972 10,221
Enbridge Inc. Options $20.21 ($40.42) - February 19, 2018 Expiry
Yu, Vernon Dai-Chung 5 02/10/2017 51 20.21 46,800 -23,400
Encana Corporation Shareholder Appreciation Rights
Kimmitt, Russell Paul 7 04/10/2017 59 4.06 101,442 -5,169
Endeavour Mining Corporation
Deferred Share Units (Cash payment on Redemption)
Askew, James 4 20/07/2017 00
Endeavour Mining Corporation
Deferred Share Units (Cash payment on Redemption)
Askew, James 4 03/10/2017 56 20 2,125 2,125
Endeavour Mining Corporation
Deferred Share Units (Cash payment on Redemption)
Beckett, Michael E. 4, 5 03/10/2017 56 20.004 64,138 1,750
Endeavour Mining Corporation
Options Carroll, Morgan Denis 5 29/09/2017 59 22.6 58,187 -9,845
Endeavour Mining Corporation
Options Carroll, Morgan Denis 5 04/10/2017 59 10.94 48,847 -9,340
Endeavour Mining Corporation
Deferred Share Units (Cash payment on Redemption)
Cockerill, Ian 4 03/10/2017 56 20 31,410 1,500
Endeavour Mining Corporation
Deferred Share Units (Cash payment on Redemption)
Colom, Olivier Romain Michel
4 03/10/2017 56 20 4,877 1,250
Endeavour Mining Corporation
Common Shares LA MANCHA HOLDING S.A.R.L.
3 27/11/2015 00
Endeavour Mining Corporation
Common Shares LA MANCHA HOLDING S.A.R.L.
3 27/11/2015 00
Endeavour Mining Corporation
Common Shares LA MANCHA HOLDING S.A.R.L.
3 29/09/2017 11 22.58 30,493,201 1,666,897
Endeavour Mining Corporation
Deferred Share Units (Cash payment on Redemption)
Mahler, Livia 4 03/10/2017 56 20 2,556 850
Endeavour Mining Corporation
Deferred Share Units (Cash payment on Redemption)
McManus, Wayne W. 4 03/10/2017 56 20 41,139 1,150
Enercare Inc. (formerly The Consumers' Waterheater Income Fund)
Deferred Share Units Pantelidis, James 4 30/09/2017 56 170,505 1,686
Enercare Inc. (formerly The Consumers' Waterheater Income Fund)
Deferred Share Units Pearce, Roy 4 30/09/2017 56 750
Enercare Inc. (formerly The Consumers' Waterheater Income Fund)
Deferred Share Units Pearce, Roy 4 30/09/2017 56 69,508 751
Enerflex Ltd. Common Shares Boswell, Robert Stephen 4 29/09/2017 30 14.981 37,299 465
Enerflex Ltd. Rights Deferred Share Units (cash settled)
Boswell, Robert Stephen 4 30/09/2017 46 18.7 15,097 468
Enerflex Ltd. Rights Deferred Share Units (cash settled)
Cormier Jackson, Maureen Ellen
4 30/09/2017 46 18.7 1,889 936
Enerflex Ltd. Rights Deferred Share Units (cash settled)
Dunn, William Byron 4 30/09/2017 46 18.7 61,654 2,072
Enerflex Ltd. Rights Deferred Share Units (cash settled)
Marshall, H. Stanley 4 30/09/2017 46 18.7 62,238 2,096
Enerflex Ltd. Rights Deferred Share Units (cash settled)
Reinhart, Kevin Jerome 4 30/09/2017 46 18.7 1,889 936
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8336
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Enerflex Ltd. Rights Deferred Share Units (cash settled)
Savidant, Stephen James 4 30/09/2017 46 18.7 107,336 3,262
Enerflex Ltd. Rights Deferred Share Units (cash settled)
Weill, Michael 4 30/09/2017 46 18.7 34,166 936
Enerflex Ltd. Rights Deferred Share Units (cash settled)
WESLEY, HELEN JUNE 4 30/09/2017 46 18.7 40,583 1,858
Ensign Energy Services Inc. Rights Deferred Share Units (Common Shares)
Howe, James Brian 4 29/09/2017 56 7.2179 3,314 1,108
Ensign Energy Services Inc. Rights Deferred Share Units (Common Shares)
Howe, James Brian 4 05/10/2017 30 6.8773 3,352 38
Ensign Energy Services Inc. Rights Deferred Share Units (Common Shares)
Kangas, Leonard 4 29/09/2017 56 7.2179 41,176 1,108
Ensign Energy Services Inc. Rights Deferred Share Units (Common Shares)
Kangas, Leonard 4 05/10/2017 30 6.8773 41,875 699
Ensign Energy Services Inc. Rights Deferred Share Units (Common Shares)
Moomjian, Jr., Cary A. 4 29/09/2017 56 7.2179 31,558 2,771
Ensign Energy Services Inc. Rights Deferred Share Units (Common Shares)
Moomjian, Jr., Cary A. 4 05/10/2017 30 6.8773 32,060 502
Ensign Energy Services Inc. Rights Deferred Share Units (Common Shares)
Schroeder, John G. 4 29/09/2017 56 7.2179 56,904 2,771
Ensign Energy Services Inc. Rights Deferred Share Units (Common Shares)
Schroeder, John G. 4 05/10/2017 30 6.8773 57,849 945
Ensign Energy Services Inc. Common Shares Skirka, Kenneth John 4 29/09/2017 46 7.2175 65,980 2,768
Ensign Energy Services Inc. Rights Deferred Share Units (Common Shares)
Surkan, Gail Donelda 4 29/09/2017 56 7.2179 13,417 2,771
Ensign Energy Services Inc. Rights Deferred Share Units (Common Shares)
Surkan, Gail Donelda 4 05/10/2017 30 6.8773 13,603 186
Ensign Energy Services Inc. Common Shares Whitham, Barth Edward 4 29/09/2017 46 7.2175 62,670 2,768
Enterprise Group, Inc. Common Shares JAROSZUK, LEONARD 4, 5 04/10/2017 10 0.32 3,629,777 11,500
Enterprise Group, Inc. Common Shares JAROSZUK, LEONARD 4, 5 05/10/2017 10 0.33 3,643,777 14,000
Epsilon Energy Ltd. Common Shares AZVALOR ASSET MANAGEMENT SGIIC
3 04/10/2017 10 5,106,634 1,600
Equitable Group Inc. Common Shares Leland, Brian 7 29/09/2017 51 56.1 1,000
Equitable Group Inc. Common Shares Leland, Brian 7 29/09/2017 51 29.32 1,265 1,000
Equitable Group Inc. Common Shares Leland, Brian 7 29/09/2017 10 56.1 265 -1,000
Equitable Group Inc. Options Options granted Leland, Brian 7 29/09/2017 51 56.1 -1,000
Equitable Group Inc. Options Options granted Leland, Brian 7 29/09/2017 51 29.32 9,386 -1,000
Equitable Group Inc. Common Shares Wilson, Timothy James 5 02/10/2017 51 29.32 2,504 500
Equitable Group Inc. Common Shares Wilson, Timothy James 5 02/10/2017 10 56.94 2,004 -500
Equitable Group Inc. Common Shares Wilson, Timothy James 5 04/10/2017 51 29.32 3,004 1,000
Equitable Group Inc. Common Shares Wilson, Timothy James 5 04/10/2017 10 56.02 2,004 -1,000
Equitable Group Inc. Options Options granted Wilson, Timothy James 5 02/10/2017 51 29.32 72,777 -500
Equitable Group Inc. Options Options granted Wilson, Timothy James 5 04/10/2017 51 29.32 71,777 -1,000
Erdene Resource Development Corporation
Rights Deferred Share Units
Akerley, Peter 4, 5 30/09/2017 56 0.72 788,486 5,000
Erdene Resource Development Corporation
Rights Deferred Share Units
Biolik, Anna 4 30/09/2017 56 0.72 25,123 4,167
Erdene Resource Development Corporation
Rights Deferred Share Units
BURTON, WILLIAM B. 4 30/09/2017 56 0.72 281,189 4,167
Erdene Resource Development Corporation
Rights Deferred Share Units
Byrne, John Philip 4 30/09/2017 56 0.72 281,189 4,167
Erdene Resource Development Corporation
Rights Deferred Share Units
Cowan, John Christopher 4 30/09/2017 56 0.72 520,442 3,472
Erdene Resource Development Corporation
Rights Deferred Share Units
Croft, Thomas Layton 4 30/09/2017 56 0.72 91,600 4,167
Erdene Resource Development Corporation
Rights Deferred Share Units
MacDonald, Kenneth 4 30/09/2017 56 0.72 415,031 3,966
Erdene Resource Development Corporation
Rights Deferred Share Units
Mosher, David Vaughn 4 30/09/2017 46 0.72 25,123 4,167
Erdene Resource Development Corporation
Rights Deferred Share Units
Webster, Philip L. 4 30/09/2017 56 0.72 281,189 4,167
Espial Group Inc. Common Shares Espial Group Inc 1 01/09/2017 38 2.1 124,200 800
Espial Group Inc. Common Shares Espial Group Inc 1 01/09/2017 38 2.12 128,200 4,000
Espial Group Inc. Common Shares Espial Group Inc 1 05/09/2017 38 2.12 128,400 200
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8337
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Espial Group Inc. Common Shares Espial Group Inc 1 06/09/2017 38 2.13 130,800 2,400
Espial Group Inc. Common Shares Espial Group Inc 1 06/09/2017 38 2.09 131,000 200
Espial Group Inc. Common Shares Espial Group Inc 1 07/09/2017 38 2.1 8,500 900
Espial Group Inc. Common Shares Espial Group Inc 1 07/09/2017 38 2.06 11,500 3,000
Espial Group Inc. Common Shares Espial Group Inc 1 08/09/2017 38 2.07 12,100 600
Espial Group Inc. Common Shares Espial Group Inc 1 11/09/2017 38 2.05 12,300 200
Espial Group Inc. Common Shares Espial Group Inc 1 11/09/2017 38 2 12,700 400
Espial Group Inc. Common Shares Espial Group Inc 1 11/09/2017 38 1.95 12,900 200
Espial Group Inc. Common Shares Espial Group Inc 1 11/09/2017 38 1.99 13,200 300
Espial Group Inc. Common Shares Espial Group Inc 1 12/09/2017 38 2 13,500 300
Espial Group Inc. Common Shares Espial Group Inc 1 12/09/2017 38 1.95 15,500 2,000
Espial Group Inc. Common Shares Espial Group Inc 1 12/09/2017 38 1.92 16,000 500
Espial Group Inc. Common Shares Espial Group Inc 1 12/09/2017 38 1.96 16,300 300
Espial Group Inc. Common Shares Espial Group Inc 1 13/09/2017 38 1.92 17,100 800
Espial Group Inc. Common Shares Espial Group Inc 1 13/09/2017 38 1.93 17,400 300
Espial Group Inc. Common Shares Espial Group Inc 1 13/09/2017 38 1.94 17,600 200
Espial Group Inc. Common Shares Espial Group Inc 1 13/09/2017 38 1.95 19,100 1,500
Espial Group Inc. Common Shares Espial Group Inc 1 15/09/2017 38 1.95 19,300 200
Espial Group Inc. Common Shares Espial Group Inc 1 15/09/2017 38 1.94 20,100 800
Espial Group Inc. Common Shares Espial Group Inc 1 15/09/2017 38 1.9 22,300 2,200
Espial Group Inc. Common Shares Espial Group Inc 1 15/09/2017 38 1.89 22,500 200
Espial Group Inc. Common Shares Espial Group Inc 1 15/09/2017 38 1.87 22,900 400
Espial Group Inc. Common Shares Espial Group Inc 1 19/09/2017 38 1.9 24,000 1,100
Espial Group Inc. Common Shares Espial Group Inc 1 19/09/2017 38 1.88 26,500 2,500
Espial Group Inc. Common Shares Espial Group Inc 1 20/09/2017 38 1.87 104,600 78,100
Espial Group Inc. Common Shares Espial Group Inc 1 20/09/2017 38 1.86 105,000 400
Espial Group Inc. Common Shares Espial Group Inc 1 29/09/2017 38 0 -105,000
Esrey Energy Ltd Common Shares Lee, Horng Dih 5 05/10/2017 00 52,917
Esrey Energy Ltd Common Shares Lee, Horng Dih 5 05/10/2017 00 40,590
Esrey Energy Ltd Options Lee, Horng Dih 5 05/10/2017 00 573,000
Esrey Energy Ltd Common Shares Marcet, Pablo 4 05/10/2017 00 6,332
Esrey Energy Ltd Options Marcet, Pablo 4 05/10/2017 00
Esrey Energy Ltd Options Marcet, Pablo 4 05/10/2017 50 0.15 555,000 555,000
Euromax Resources Ltd. Deferred Phantom Units (DPUs)
Konig, Martyn 4, 5 30/09/2017 46 1,657,203 75,854
Euromax Resources Ltd. Deferred Phantom Units (DPUs)
Matkaluk, Randal John 4 03/10/2017 46 1,111,452 50,570
Euromax Resources Ltd. Deferred Phantom Units (DPUs)
Morgan-Wynne, Timothy 4 30/09/2017 46 1,095,061 50,570
Euromax Resources Ltd. Deferred Phantom Units (DPUs)
Threlkeld, Raymond Wesley 4 03/10/2017 46 229,608 50,570
European Dividend Growth Fund
Units European Dividend Growth Fund
1 11/09/2017 38 9.55 2,000 2,000
European Dividend Growth Fund
Units European Dividend Growth Fund
1 11/09/2017 38 9.55 0 -2,000
European Dividend Growth Fund
Units European Dividend Growth Fund
1 14/09/2017 38 9.66 1,600 1,600
European Dividend Growth Fund
Units European Dividend Growth Fund
1 14/09/2017 38 9.66 0 -1,600
European Dividend Growth Fund
Units European Dividend Growth Fund
1 25/09/2017 38 9.67 2,800 2,800
European Dividend Growth Fund
Units European Dividend Growth Fund
1 25/09/2017 38 9.67 0 -2,800
European Dividend Growth Fund
Units European Dividend Growth Fund
1 26/09/2017 38 9.61 3,000 3,000
European Dividend Growth Fund
Units European Dividend Growth Fund
1 26/09/2017 38 9.61 0 -3,000
Evrim Resources Corp. Common Shares Liyanage, Mahesh Nalinda 5 04/10/2017 10 0.25 125,000 8,000
Excellon Resources Inc. Deferred Share Units Curtis, Laurence Wilson 4 04/10/2017 56 2.03 108,119 6,466
Excellon Resources Inc. Deferred Share Units Dimitrov, Daniella Elena 4 04/10/2017 56 113,764 8,128
Excellon Resources Inc. Deferred Share Units Fernandez Mena, Oliver 4 04/10/2017 56 2.03 289,492 5,665
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8338
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Excellon Resources Inc. Deferred Share Units Fortier, André Y. 4 04/10/2017 56 2.03 440,533 4,618
Excellon Resources Inc. Common Shares Sprott, Eric S. 3 27/09/2017 10 1.983 4,464,996 136,200
Excellon Resources Inc. Common Shares Sprott, Eric S. 3 28/09/2017 10 2.0169 4,500,196 35,200
Excellon Resources Inc. Common Shares Sprott, Eric S. 3 29/09/2017 10 2.0247 4,664,796 164,600
Excellon Resources Inc. Common Shares Sprott, Eric S. 3 02/10/2017 10 2.03 4,665,796 1,000
Exchange Income Corporation
Common Shares Exchange Income Corporation
1 29/09/2017 38 34.933 16,500 5,000
Exco Technologies Limited Common Shares Schroers, William Peter 5 29/09/2017 10 9.76 78,400 -1,600
EXPLOR RESOURCES INC. Common Shares Dupont, Chris 4, 5 29/09/2017 10 0.065 2,043,697 58,000
Explorex Resources Inc. Common Shares BELLA, JEROME , MICHAEL
4 04/10/2017 10 0.22 10,000 -60,000
Explorex Resources Inc. Common Shares Schellenberg, Gary David Albert
4 05/10/2017 10 0.22 96,167 -15,500
Explorex Resources Inc. Common Shares Schellenberg, Gary David Albert
4 04/10/2017 10 0.22 102,000 -82,000
Explorex Resources Inc. Common Shares Schellenberg, Gary David Albert
4 04/10/2017 10 0.2 127,500 25,500
Explorex Resources Inc. Common Shares Schellenberg, Gary David Albert
4 05/10/2017 10 0.22 125,000 -2,500
Extendicare Inc. Common Shares Extendicare Inc. 1 05/09/2017 38 9.249 81,500 11,500
Extendicare Inc. Common Shares Extendicare Inc. 1 29/09/2017 38 0 -81,500
Feronia Inc. Common Shares Straight KKM 2 Limited 3 25/09/2017 00
Fiera Capital Corporation (formerly Fiera Sceptre Inc.)
Special Shares Class B Voting
FIERA CAPITAL S.E.C. 3 02/10/2017 36 19,444,490 -304,013
Fiera Capital Corporation (formerly Fiera Sceptre Inc.)
Subordinate Voting Shares Class A
FIERA CAPITAL S.E.C. 3 02/10/2017 36 703,384 304,013
Fiera Capital Corporation (formerly Fiera Sceptre Inc.)
Subordinate Voting Shares Class A
FIERA CAPITAL S.E.C. 3 06/10/2017 10 14.59 695,390 -7,994
Fiera Capital Corporation (formerly Fiera Sceptre Inc.)
Subordinate Voting Shares Class A
FIERA CAPITAL S.E.C. 3 06/10/2017 10 14.6 690,989 -4,401
Finning International Inc. Common Shares Cummings, David William 5 29/09/2017 10 28.5 28,673 9,500
First Quantum Minerals Ltd Units Deferred Share Adams, Andrew Bell 4 02/10/2017 46 18,253 1,015
First Quantum Minerals Ltd Common Shares Brunner, Paul 4 29/09/2017 30 11.237 78,554 1,055
First Quantum Minerals Ltd Units Deferred Share Harding, Robert J 4 02/10/2017 30 13.831 16,831 1,014
First Quantum Minerals Ltd Common Shares Hogenson, Kathleen Applegate
4 29/09/2017 30 13.93 6,830 3,336
First Quantum Minerals Ltd Common Shares Hogenson, Kathleen Applegate
4 29/09/2017 30 13.92 8,581 1,751
First Quantum Minerals Ltd Common Shares Hogenson, Kathleen Applegate
4 29/09/2017 30 13.91 8,640 59
First Quantum Minerals Ltd Units Deferred Share Schady, Martin Guillaume Reitz
4 02/10/2017 30 13.831 48,048 1,014
First Quantum Minerals Ltd Common Shares St. George, Peter 4 29/09/2017 30 13.93 497,064 664
First Quantum Minerals Ltd Common Shares St. George, Peter 4 29/09/2017 30 13.92 497,413 349
First Quantum Minerals Ltd Common Shares St. George, Peter 4 29/09/2017 30 13.91 497,424 11
Five Star Diamonds Limited Common Shares Waraich, Aneel Singh 4 04/10/2017 10 0.265 2,008,599 30,000
Flaherty & Crumrine Investment Grade Fixed Income Fund
Trust Units Flaherty & Crumrine Investment Grade Fixed Income Fund
1 07/09/2017 38 13.05 3,000 3,000
Flaherty & Crumrine Investment Grade Fixed Income Fund
Trust Units Flaherty & Crumrine Investment Grade Fixed Income Fund
1 07/09/2017 38 13.05 0 -3,000
Flaherty & Crumrine Investment Grade Fixed Income Fund
Trust Units Flaherty & Crumrine Investment Grade Fixed Income Fund
1 08/09/2017 38 13.07 2,900 2,900
Flaherty & Crumrine Investment Grade Fixed Income Fund
Trust Units Flaherty & Crumrine Investment Grade Fixed Income Fund
1 08/09/2017 38 13.07 0 -2,900
Flaherty & Crumrine Investment Grade Fixed Income Fund
Trust Units Flaherty & Crumrine Investment Grade Fixed Income Fund
1 25/09/2017 38 13.11 2,200 2,200
Flaherty & Crumrine Investment Grade Fixed Income Fund
Trust Units Flaherty & Crumrine Investment Grade Fixed Income Fund
1 25/09/2017 38 13.11 0 -2,200
Foraco International SA Common Shares Foraco International SA 1 01/09/2017 38 0.38 341,823 1,639
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8339
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Foraco International SA Common Shares Foraco International SA 1 05/09/2017 38 0.38 343,462 1,639
Foraco International SA Common Shares Foraco International SA 1 06/09/2017 38 0.38 344,962 1,500
Foraco International SA Common Shares Foraco International SA 1 07/09/2017 38 0.38 346,601 1,639
Foraco International SA Common Shares Foraco International SA 1 19/09/2017 38 0.38 348,101 1,500
Foraco International SA Common Shares Foraco International SA 1 20/09/2017 38 0.38 349,740 1,639
Foraco International SA Common Shares Foraco International SA 1 21/09/2017 38 0.38 351,379 1,639
Foraco International SA Common Shares Foraco International SA 1 22/09/2017 38 0.38 353,018 1,639
Foraco International SA Common Shares Foraco International SA 1 25/09/2017 38 0.38 354,657 1,639
Foraco International SA Common Shares Foraco International SA 1 26/09/2017 38 0.38 356,296 1,639
Foraco International SA Common Shares Foraco International SA 1 27/09/2017 38 0.38 357,935 1,639
Foraco International SA Common Shares Foraco International SA 1 28/09/2017 38 0.38 359,574 1,639
Foraco International SA Common Shares Foraco International SA 1 29/09/2017 38 0.38 361,213 1,639
Fortuna Silver Mines Inc. Common Shares Ganoza Durant, Jorge A. 4 02/10/2017 10 4.5096 157,800 131,800
Franco-Nevada Corporation Common Shares Harquail, David 4, 5 29/09/2017 90 150,000 50,000
Franco-Nevada Corporation Common Shares Harquail, David 4, 5 29/09/2017 90 977,209 -50,000
Frankly Inc. (formerly WB III Acquisition Corp.)
Common Shares Hyun, Choong Sik 4 02/10/2017 36 882 882
Frankly Inc. (formerly WB III Acquisition Corp.)
Rights RSU Plan Hyun, Choong Sik 4 02/10/2017 36 882 -882
Freehold Royalties Ltd. Deferred Share Units BUGEAUD, GARY RONALD JOSEPH
4 15/09/2017 30 12,853 138
Freehold Royalties Ltd. Common Shares Canadian National Railway Company, Administrator of the CN Trust Funds
3 30/09/2017 46 14.74 5,631,157 55,000
Freehold Royalties Ltd. Deferred Share Units HARRISON, PETER T 4 15/09/2017 30 20,356 219
Freehold Royalties Ltd. Deferred Share Units Kay, J. Douglas 4 15/09/2017 30 8,031 87
Freehold Royalties Ltd. Deferred Share Units Korpach, Arthur Neil 4 15/09/2017 30 22,971 247
Freehold Royalties Ltd. Deferred Share Units MacKenzie, Susan Mary 4 15/09/2017 30 15,955 172
Freehold Royalties Ltd. Deferred Share Units Romanow, Marvin F. 4 15/09/2017 30 16,869 181
Freehold Royalties Ltd. Deferred Share Units Walsh, Aidan Murphy 4 15/09/2017 30 19,202 206
Friday Night Inc. Common Shares Bleackley, Joseph 8 16/08/2017 10 0.25 120,000
Friday Night Inc. Common Shares Bleackley, Joseph 8 16/08/2017 16 0.25 120,000
Friday Night Inc. Common Shares Bleackley, Joseph 8 16/08/2017 16 0.25 120,000
Friday Night Inc. Common Shares Bleackley, Joseph 8 04/10/2017 10 0.25 100,000
Friday Night Inc. Common Shares Bleackley, Joseph 8 04/10/2017 16 0.25 100,000
Friday Night Inc. Common Shares Bleackley, Joseph 8 04/10/2017 16 0.25 100,000
Friday Night Inc. Common Shares Bleackley, Joseph 8 16/08/2017 10 0.25 50,000
Friday Night Inc. Common Shares Bleackley, Joseph 8 16/08/2017 16 0.25 50,000
Friday Night Inc. Common Shares Bleackley, Joseph 8 16/08/2017 16 0.25 50,000
Friday Night Inc. Common Shares Bleackley, Joseph 8 04/10/2017 10 0.25 100,000
Friday Night Inc. Common Shares Bleackley, Joseph 8 04/10/2017 16 0.25 100,000
Friday Night Inc. Common Shares Bleackley, Joseph 8 04/10/2017 16 0.25 100,000
Friday Night Inc. Convertible Debentures 10%, with a maturity date of August 16, 2019
Bleackley, Joseph 8 05/09/2017 00 $30,000
Friday Night Inc. Convertible Debentures 10%, with a maturity date of August 16, 2019
Bleackley, Joseph 8 04/10/2017 16 1000 $55,000 $25,000
Friday Night Inc. Convertible Debentures 10%, with a maturity date of August 16, 2019
Bleackley, Joseph 8 05/09/2017 00 $25,000
Friday Night Inc. Convertible Debentures 10%, with a maturity date of August 16, 2019
Bleackley, Joseph 8 04/10/2017 16 1000 $75,000 $50,000
Friday Night Inc. Warrants exercisable at $0.25 per share until October 4, 2019
Bleackley, Joseph 8 05/09/2017 00
Friday Night Inc. Warrants exercisable at $0.25 per share until October 4, 2019
Bleackley, Joseph 8 04/10/2017 16 1000 100,000
Friday Night Inc. Warrants exercisable at $0.25 per share until October 4, 2019
Bleackley, Joseph 8 04/10/2017 16 1000 100,000 100,000
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8340
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Friday Night Inc. Warrants exercisable at $0.25 per share until October 4, 2019
Bleackley, Joseph 8 05/09/2017 00
Friday Night Inc. Warrants exercisable at $0.25 per share until October 4, 2019
Bleackley, Joseph 8 04/10/2017 16 1000 200,000
Friday Night Inc. Warrants exercisable at $0.25 per share until October 4, 2019
Bleackley, Joseph 8 04/10/2017 16 1000 200,000 200,000
Friday Night Inc. Warrants exercisable at $0.35 per share until August 16, 2019
Bleackley, Joseph 8 05/09/2017 00
Friday Night Inc. Warrants exercisable at $0.35 per share until August 16, 2019
Bleackley, Joseph 8 05/09/2017 00 120,000
Friday Night Inc. Warrants exercisable at $0.35 per share until August 16, 2019
Bleackley, Joseph 8 05/09/2017 00
Friday Night Inc. Warrants exercisable at $0.35 per share until August 16, 2019
Bleackley, Joseph 8 05/09/2017 00 100,000
Friday Night Inc. Convertible Debentures 10%, with a maturity date of August 16, 2019
Sutton, Brayden Robert 4, 5 05/10/2017 15 1000 $52,550 $50
Friday Night Inc. Convertible Debentures 10%, with a maturity date of August 16, 2019
Sutton, Brayden Robert 4, 5 15/05/2017 00
Friday Night Inc. Convertible Debentures 10%, with a maturity date of August 16, 2019
Sutton, Brayden Robert 4, 5 04/10/2017 16 1000 $50,000 $50,000
Friday Night Inc. Convertible Debentures 10%, with a maturity date of August 16, 2019
Sutton, Brayden Robert 4, 5 15/05/2017 00
Friday Night Inc. Convertible Debentures 10%, with a maturity date of August 16, 2019
Sutton, Brayden Robert 4, 5 04/10/2017 16 1000 $25,000 $25,000
Friday Night Inc. Warrants exercisable at $0.25 per share until October 4, 2019
Sutton, Brayden Robert 4, 5 15/05/2017 00 200,000
Friday Night Inc. Warrants exercisable at $0.25 per share until October 4, 2019
Sutton, Brayden Robert 4, 5 15/05/2017 00
Friday Night Inc. Warrants exercisable at $0.25 per share until October 4, 2019
Sutton, Brayden Robert 4, 5 04/10/2017 16 1000 200,000 200,000
Friday Night Inc. Warrants exercisable at $0.25 per share until October 4, 2019
Sutton, Brayden Robert 4, 5 15/05/2017 00
Friday Night Inc. Warrants exercisable at $0.25 per share until October 4, 2019
Sutton, Brayden Robert 4, 5 04/10/2017 16 1000 100,000 100,000
Frontenac Mortgage Investment Corporation
Common Shares Cruickshank, Kevin 5 03/10/2017 15 30 14,421 63
Frontenac Mortgage Investment Corporation
Common Shares REISER, DAWN 5 03/10/2017 15 30 1,219 19
Gabriel Resources Ltd. Rights DSUs Cramer, Dag Lars 4 05/10/2017 56 326,444 13,596
Gabriel Resources Ltd. Rights DSUs Gusenbauer, Alfred 4 05/10/2017 56 326,444 13,596
Gabriel Resources Ltd. Rights DSUs Hulley, Keith Robert 4 05/10/2017 56 373,405 22,659
Gabriel Resources Ltd. Rights DSUs Kirk, Harry Wayne 4 05/10/2017 56 339,771 15,862
Gabriel Resources Ltd. Options Natbony, William 4 05/10/2017 50 370,829 37,779
Gabriel Resources Ltd. Rights DSUs Peat, David W. 4 05/10/2017 56 343,936 16,570
Gabriel Resources Ltd. Options Segsworth, Walter Thomas 4 05/10/2017 50 0.46 595,829 37,779
Gabriel Resources Ltd. Rights DSUs Stairs, Janice Alayne 4 05/10/2017 56 99,027 16,753
Galane Gold Ltd. Options Brodie, Nicholas 4, 5 04/10/2017 52 0.88 2,500,000 -450,000
Gazit-Globe Ltd. Common Shares Gazit-Globe Ltd. 1 28/09/2017 10 33.94 360,544 42,044
Gazit-Globe Ltd. Common Shares Gazit-Globe Ltd. 1 01/10/2017 10 33.8 482,544 122,000
Gazit-Globe Ltd. Common Shares Segal, Dori 4, 6 26/09/2017 10 11.8 811,200 1,200
Gazit-Globe Ltd. Common Shares Segal, Dori 4, 6 28/09/2017 10 12.01 811,600 400
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8341
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Gazit-Globe Ltd. Common Shares Segal, Dori 4, 6 29/09/2017 10 12.01 811,800 200
GDI Integrated Facility Services Inc.
Deferred Share Units Boychuk, Michael T. 4 30/09/2017 56 6,007 701
GDI Integrated Facility Services Inc.
Deferred Share Units GALLOWAY, DAVID ALEXANDER
4 30/09/2017 56 11,249 1,227
GDI Integrated Facility Services Inc.
Deferred Share Units Leimert, Murray 4 30/09/2017 56 6,426 1,163
GDI Integrated Facility Services Inc.
Deferred Share Units Roy, Richard G 4 30/09/2017 56 10,739 1,179
GDI Integrated Facility Services Inc.
Deferred Share Units Youngman, Carl 4 30/09/2017 56 8,316 920
Gear Energy Ltd. Common Shares Olson, Kevin 4 28/09/2017 51 0.71 1,962,650 75,000
Gear Energy Ltd. Common Shares Olson, Kevin 4 28/09/2017 10 0.79 1,887,650 -75,000
Gear Energy Ltd. Options Olson, Kevin 4 28/09/2017 51 0.71 300,000 -75,000
Genius Properties Ltd. Common Shares Goulet, Guy 4, 5 26/09/2017 10 0.158 1,000
Genius Properties Ltd. Common Shares Goulet, Guy 4, 5 26/09/2017 10 0.164 2,669,044 16,000
Genius Properties Ltd. Common Shares Goulet, Guy 4, 5 04/10/2017 10 0.144 2,698,044 26,000
Genworth MI Canada Inc. Common Shares Genworth Financial, Inc. 3 28/09/2017 90 36,878,951 261,400
Genworth MI Canada Inc. Common Shares Genworth Financial, Inc. 3 28/09/2017 90 13,458,911 55,000
Genworth MI Canada Inc. Common Shares Genworth Financial, Inc. 3 01/09/2017 38 36.11 420,485 -10,782
Genworth MI Canada Inc. Common Shares Genworth Financial, Inc. 3 05/09/2017 38 35.59 354,732 -65,753
Genworth MI Canada Inc. Common Shares Genworth Financial, Inc. 3 06/09/2017 38 35.6 316,400 -38,332
Genworth MI Canada Inc. Common Shares Genworth Financial, Inc. 3 28/09/2017 90 55,000 -261,400
Genworth MI Canada Inc. Common Shares Genworth Financial, Inc. 3 28/09/2017 90 0 -55,000
Genworth MI Canada Inc. Common Shares Genworth MI Canada Inc. 1 01/09/2017 38 36.06 18,882 18,882
Genworth MI Canada Inc. Common Shares Genworth MI Canada Inc. 1 01/09/2017 38 0 -18,882
Genworth MI Canada Inc. Common Shares Genworth MI Canada Inc. 1 05/09/2017 38 35.659 115,146 115,146
Genworth MI Canada Inc. Common Shares Genworth MI Canada Inc. 1 05/09/2017 38 0 -115,146
Genworth MI Canada Inc. Common Shares Genworth MI Canada Inc. 1 06/09/2017 38 35.66 67,127 67,127
Genworth MI Canada Inc. Common Shares Genworth MI Canada Inc. 1 06/09/2017 38 0 -67,127
George Weston Limited Common Shares George Weston Limited 1 01/09/2017 38 106.8 25,000 25,000
George Weston Limited Common Shares George Weston Limited 1 15/09/2017 38 0 -25,000
GFG Resources Inc. Common Shares Awde, Jonathan Charles Timothy
4 28/09/2017 10 0.5693 3,394,476 15,000
GFG Resources Inc. Common Shares Awde, Jonathan Charles Timothy
4 29/09/2017 10 0.61 3,420,976 26,500
GFG Resources Inc. Common Shares Awde, Jonathan Charles Timothy
4 03/10/2017 10 0.65 3,425,976 5,000
GFG Resources Inc. Common Shares Awde, Jonathan Charles Timothy
4 03/10/2017 10 0.64 3,430,976 5,000
GFG Resources Inc. Common Shares Awde, Jonathan Charles Timothy
4 04/10/2017 10 0.67 3,450,976 20,000
GFG Resources Inc. Options De Jong, Stephen Edward 4 21/10/2016 00
GFG Resources Inc. Options De Jong, Stephen Edward 4 17/03/2017 50 1.09 150,000 150,000
GFG Resources Inc. Options Downey, Patrick 4 21/10/2016 00
GFG Resources Inc. Options Downey, Patrick 4 17/03/2017 50 1.09 250,000 250,000
Gibson Energy Inc. Common Shares Campbell, Darryl Richard 7 02/10/2017 57 17.76 50,044 11,079
Gibson Energy Inc. Restricted Share Units Campbell, Darryl Richard 7 02/10/2017 57 17.76 33,450 -10,683
GIGA Metals Corporation Options Davis, Lyle Roy 4 04/10/2017 50 0.4 305,000 100,000
GIGA Metals Corporation Warrants Jarvis, Mark Clayton 4, 5 28/08/2017 37 0.1 3,453,226 -2,200,000
GIGA Metals Corporation Common Shares Usher-Jones, Brian 3 29/09/2017 10 0.32 3,044,895 -75,000
Gildan Activewear Inc. Deferred Share Units (DSUs)
Anderson, William D. 4 11/09/2017 35 31.4 48,176 143
Gildan Activewear Inc. Deferred Share Units (DSUs)
Anderson, William D. 4 01/10/2017 56 30.9 49,188 1,012
Gildan Activewear Inc. Deferred Share Units (DSUs)
Berg, Donald 4 11/09/2017 35 31.4 14,470 43
Gildan Activewear Inc. Deferred Share Units (DSUs)
Berg, Donald 4 01/10/2017 56 30.9 15,950 1,480
Gildan Activewear Inc. Common Shares Chamandy, Glenn J. 4, 5 06/10/2017 57 39.52 401,992 47,435
Gildan Activewear Inc. Restricted Share Units Chamandy, Glenn J. 4, 5 06/10/2017 57 39.52 68,381 -101,596
Gildan Activewear Inc. Common Shares Corsano, Anthony Frank 7 06/10/2017 57 39.52 9,437 2,437
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8342
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Gildan Activewear Inc. Restricted Share Units Corsano, Anthony Frank 7 06/10/2017 57 39.52 10,225 -5,034
Gildan Activewear Inc. Deferred Share Units (DSUs)
Cunningham, Shirley Elizabeth
4 11/09/2017 35 31.4 798 2
Gildan Activewear Inc. Deferred Share Units (DSUs)
Cunningham, Shirley Elizabeth
4 01/10/2017 56 30.9 2,012 1,214
Gildan Activewear Inc. Common Shares Gildan Activewear Inc. 1 31/08/2017 38 39.2 131,732
Gildan Activewear Inc. Common Shares Gildan Activewear Inc. 1 31/08/2017 38 39.2 394,596 131,132
Gildan Activewear Inc. Common Shares Gildan Activewear Inc. 1 01/09/2017 38 39.021 526,328 131,732
Gildan Activewear Inc. Common Shares Gildan Activewear Inc. 1 05/09/2017 38 38.563 591,828 65,500
Gildan Activewear Inc. Common Shares Gildan Activewear Inc. 1 06/09/2017 38 38.518 657,328 65,500
Gildan Activewear Inc. Common Shares Gildan Activewear Inc. 1 07/09/2017 38 38.317 722,828 65,500
Gildan Activewear Inc. Common Shares Gildan Activewear Inc. 1 08/09/2017 38 38.139 788,328 65,500
Gildan Activewear Inc. Common Shares Gildan Activewear Inc. 1 11/09/2017 38 38.479 853,828 65,500
Gildan Activewear Inc. Common Shares Gildan Activewear Inc. 1 12/09/2017 38 38.224 919,328 65,500
Gildan Activewear Inc. Common Shares Gildan Activewear Inc. 1 13/09/2017 38 37.902 984,828 65,500
Gildan Activewear Inc. Common Shares Gildan Activewear Inc. 1 14/09/2017 38 37.172 1,050,128 65,300
Gildan Activewear Inc. Common Shares Gildan Activewear Inc. 1 15/09/2017 38 37.502 1,115,628 65,500
Gildan Activewear Inc. Common Shares Gildan Activewear Inc. 1 18/09/2017 38 37.76 1,181,128 65,500
Gildan Activewear Inc. Common Shares Gildan Activewear Inc. 1 19/09/2017 38 37.939 1,246,628 65,500
Gildan Activewear Inc. Common Shares Gildan Activewear Inc. 1 20/09/2017 38 37.958 1,312,128 65,500
Gildan Activewear Inc. Common Shares Gildan Activewear Inc. 1 21/09/2017 38 38.074 1,377,628 65,500
Gildan Activewear Inc. Common Shares Gildan Activewear Inc. 1 22/09/2017 38 37.885 1,443,128 65,500
Gildan Activewear Inc. Common Shares Gildan Activewear Inc. 1 25/09/2017 38 37.858 1,508,628 65,500
Gildan Activewear Inc. Common Shares Gildan Activewear Inc. 1 26/09/2017 38 38.012 1,573,828 65,200
Gildan Activewear Inc. Common Shares Gildan Activewear Inc. 1 27/09/2017 38 38.103 1,639,328 65,500
Gildan Activewear Inc. Common Shares Gildan Activewear Inc. 1 28/09/2017 38 0 -1,639,328
Gildan Activewear Inc. Common Shares Gildan Activewear Inc. 1 28/09/2017 38 38.804 65,500 65,500
Gildan Activewear Inc. Common Shares Gildan Activewear Inc. 1 29/09/2017 38 39.178 131,000 65,500
Gildan Activewear Inc. Deferred Share Units (DSUs)
Goodman, Russell Andrew 4 11/09/2017 35 31.4 27,937 83
Gildan Activewear Inc. Deferred Share Units (DSUs)
Goodman, Russell Andrew 4 01/10/2017 56 30.9 28,730 793
Gildan Activewear Inc. Deferred Share Units (DSUs)
Heller, George Jason 4 11/09/2017 35 31.4 59,894 178
Gildan Activewear Inc. Deferred Share Units (DSUs)
Heller, George Jason 4 01/10/2017 56 30.9 61,253 1,359
Gildan Activewear Inc. Common Shares Hoffman, Michael 7 06/10/2017 57 39.52 54,719 14,968
Gildan Activewear Inc. Restricted Share Units Hoffman, Michael 7 06/10/2017 57 39.52 13,415 -24,782
Gildan Activewear Inc. Common Shares Iliopoulos, Peter 5 06/10/2017 57 39.52 26,782 1,865
Gildan Activewear Inc. Restricted Share Units Iliopoulos, Peter 5 06/10/2017 57 39.52 9,380 -3,995
Gildan Activewear Inc. Common Shares Lavoie, Nicolas 5 06/10/2017 57 39.52 3,188 1,864
Gildan Activewear Inc. Restricted Share Units Lavoie, Nicolas 5 06/10/2017 57 39.52 9,402 -3,993
Gildan Activewear Inc. Common Shares Lehman, Eric Ralph 5 06/10/2017 57 39.52 45,965 12,651
Gildan Activewear Inc. Restricted Share Units Lehman, Eric Ralph 5 06/10/2017 57 39.52 13,415 -24,782
Gildan Activewear Inc. Deferred Share Units (DSUs)
Martin-Vachon, Anne 4 11/09/2017 35 31.4 12,335 37
Gildan Activewear Inc. Deferred Share Units (DSUs)
Martin-Vachon, Anne 4 01/10/2017 56 30.9 13,549 1,214
Gildan Activewear Inc. Common Shares Masi, Benito 5 06/10/2017 57 39.52 152,987 24,710
Gildan Activewear Inc. Restricted Share Units Masi, Benito 5 06/10/2017 57 39.52 13,416 -24,782
Gildan Activewear Inc. Deferred Share Units (DSUs)
O'Brien, Sheila 4 11/09/2017 35 31.4 73,264 218
Gildan Activewear Inc. Deferred Share Units (DSUs)
O'Brien, Sheila 4 01/10/2017 56 30.9 73,870 606
Gildan Activewear Inc. Common Shares Roiter, Jonathan 5 06/10/2017 57 39.52 17,960 1,953
Gildan Activewear Inc. Restricted Share Units Roiter, Jonathan 5 06/10/2017 57 39.52 10,009 -4,184
Gildan Activewear Inc. Deferred Share Units (DSUs)
VALDES-FAULI, Gonzalo 4 11/09/2017 35 31.4 38,219 113
Gildan Activewear Inc. Deferred Share Units (DSUs)
VALDES-FAULI, Gonzalo 4 01/10/2017 56 30.9 38,826 607
Gildan Activewear Inc. Common Shares Ward, Chuckie J. 7 06/10/2017 57 39.52 23,133 2,217
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8343
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Gildan Activewear Inc. Restricted Share Units Ward, Chuckie J. 7 06/10/2017 57 39.52 9,376 -4,227
Glacier Media Inc. Common Shares Smysnuik, Orest 5 27/09/2017 10 0.65 177,478 1,000
Glacier Media Inc. Common Shares Smysnuik, Orest 5 28/09/2017 10 0.65 196,478 19,000
Glacier Media Inc. Common Shares Smysnuik, Orest 5 29/09/2017 10 0.65 216,478 20,000
Glance Technologies Inc. Common Shares Green, Penny Olga 3, 4, 6, 5 28/09/2017 10 0.5 11,400,061 -20,000
Glance Technologies Inc. Common Shares Green, Penny Olga 3, 4, 6, 5 28/09/2017 10 0.495 11,300,061 -100,000
Glance Technologies Inc. Common Shares Green, Penny Olga 3, 4, 6, 5 28/09/2017 10 0.43 11,280,061 -20,000
Glance Technologies Inc. Common Shares Green, Penny Olga 3, 4, 6, 5 28/09/2017 10 0.485 11,260,061 -20,000
Glance Technologies Inc. Common Shares Green, Penny Olga 3, 4, 6, 5 28/09/2017 10 0.49 11,230,061 -30,000
Glance Technologies Inc. Common Shares Green, Penny Olga 3, 4, 6, 5 28/09/2017 10 0.44 11,220,061 -10,000
Glance Technologies Inc. Common Shares Green, Penny Olga 3, 4, 6, 5 28/09/2017 10 0.495 11,200,061 -20,000
Glance Technologies Inc. Common Shares Green, Penny Olga 3, 4, 6, 5 28/09/2017 10 0.495 11,100,061 -100,000
Glance Technologies Inc. Common Shares Green, Penny Olga 3, 4, 6, 5 28/09/2017 10 0.455 11,090,061 -10,000
Glance Technologies Inc. Common Shares Green, Penny Olga 3, 4, 6, 5 28/09/2017 10 0.46 11,080,061 -10,000
Glance Technologies Inc. Common Shares Green, Penny Olga 3, 4, 6, 5 28/09/2017 10 0.495 10,980,061 -100,000
Glance Technologies Inc. Common Shares Green, Penny Olga 3, 4, 6, 5 28/09/2017 10 0.48 10,950,061 -30,000
Glance Technologies Inc. Common Shares Green, Penny Olga 3, 4, 6, 5 28/09/2017 10 0.485 10,975,061 25,000
Glance Technologies Inc. Common Shares Green, Penny Olga 3, 4, 6, 5 28/09/2017 10 0.49 10,978,061 3,000
Glance Technologies Inc. Common Shares Green, Penny Olga 3, 4, 6, 5 28/09/2017 10 0.484 10,990,061 12,000
Glance Technologies Inc. Common Shares Green, Penny Olga 3, 4, 6, 5 28/09/2017 10 0.48 11,000,061 10,000
Glance Technologies Inc. Common Shares Green, Penny Olga 3, 4, 6, 5 28/09/2017 10 0.49 11,002,061 2,000
Glance Technologies Inc. Common Shares Green, Penny Olga 3, 4, 6, 5 28/09/2017 10 0.49 11,022,061 20,000
Glance Technologies Inc. Common Shares Griffin, Desmond 3, 4, 5 04/10/2017 10 0.75 15,185,832 -40,000
Glance Technologies Inc. Common Shares Griffin, Desmond 3, 4, 5 04/10/2017 10 0.79 15,135,332 -50,500
Glance Technologies Inc. Common Shares Griffin, Desmond 3, 4, 5 04/10/2017 10 0.77 15,099,332 -36,000
Glance Technologies Inc. Common Shares Griffin, Desmond 3, 4, 5 04/10/2017 10 0.78 14,974,832 -124,500
Glance Technologies Inc. Common Shares Griffin, Desmond 3, 4, 5 04/10/2017 10 0.83 14,924,832 -50,000
Glance Technologies Inc. Common Shares Griffin, Desmond 3, 4, 5 05/10/2017 10 1.08 14,894,832 -30,000
Glance Technologies Inc. Common Shares Griffin, Desmond 3, 4, 5 05/10/2017 10 1.07 14,860,332 -34,500
Glance Technologies Inc. Common Shares Griffin, Desmond 3, 4, 5 05/10/2017 10 1.06 14,833,832 -26,500
Glance Technologies Inc. Common Shares Griffin, Desmond 3, 4, 5 05/10/2017 10 1.05 14,824,832 -9,000
Glance Technologies Inc. Common Shares Griffin, Desmond 3, 4, 5 05/10/2017 10 1.02 14,824,332 -500
Glance Technologies Inc. Common Shares Timlick, Larry 4 28/09/2017 10 0.48 72,000 -33,000
Glance Technologies Inc. Common Shares Timlick, Larry 4 28/09/2017 10 0.475 71,828 -172
Glenbriar Technologies Inc. Common Shares Matheson, Robert Donald 4, 7, 5 04/10/2017 11 0.02 0 -8,123,782
Glenbriar Technologies Inc. Common Shares Tijman, Brian 4 04/10/2017 11 0.02 0 -8,583,235
Global Blockchain Technologies Corp. (formerly Carrus Capital Corporation)
Common Shares Shynkaryk, Chester 5 04/10/2017 10 1.91 12,000 -3,000
Global Blockchain Technologies Corp. (formerly Carrus Capital Corporation)
Common Shares Shynkaryk, Chester 5 05/10/2017 10 2.07 9,500 -2,500
Global Blockchain Technologies Corp. (formerly Carrus Capital Corporation)
Common Shares Shynkaryk, Chester 5 06/10/2017 10 2.25 7,000 -2,500
Global Blockchain Technologies Corp. (formerly Carrus Capital Corporation)
Common Shares Shynkaryk, Chester 5 04/10/2017 10 1.91 112,000 -28,000
Global Blockchain Technologies Corp. (formerly Carrus Capital Corporation)
Common Shares Shynkaryk, Chester 5 05/10/2017 10 2.07 90,000 -22,000
Global Blockchain Technologies Corp. (formerly Carrus Capital Corporation)
Common Shares Shynkaryk, Chester 5 06/10/2017 10 2.25 70,000 -20,000
Global Healthcare Income & Growth Fund
Units Global Healthcare Income & Growth Fund
1 05/09/2017 38 9.03 3,000 3,000
Global Healthcare Income & Growth Fund
Units Global Healthcare Income & Growth Fund
1 05/09/2017 38 9.03 0 -3,000
Global Healthcare Income & Growth Fund
Units Global Healthcare Income & Growth Fund
1 06/09/2017 38 9.02 3,000 3,000
Global Healthcare Income & Growth Fund
Units Global Healthcare Income & Growth Fund
1 06/09/2017 38 9.02 0 -3,000
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8344
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Global Healthcare Income & Growth Fund
Units Global Healthcare Income & Growth Fund
1 07/09/2017 38 8.96 3,000 3,000
Global Healthcare Income & Growth Fund
Units Global Healthcare Income & Growth Fund
1 07/09/2017 38 8.96 0 -3,000
Global Healthcare Income & Growth Fund
Units Global Healthcare Income & Growth Fund
1 11/09/2017 38 9.06 3,000 3,000
Global Healthcare Income & Growth Fund
Units Global Healthcare Income & Growth Fund
1 11/09/2017 38 9.06 0 -3,000
Global Healthcare Income & Growth Fund
Units Global Healthcare Income & Growth Fund
1 13/09/2017 38 9.08 2,100 2,100
Global Healthcare Income & Growth Fund
Units Global Healthcare Income & Growth Fund
1 13/09/2017 38 9.08 0 -2,100
Global Healthcare Income & Growth Fund
Units Global Healthcare Income & Growth Fund
1 14/09/2017 38 9.1 600 600
Global Healthcare Income & Growth Fund
Units Global Healthcare Income & Growth Fund
1 14/09/2017 38 9.1 0 -600
Global Healthcare Income & Growth Fund
Units Global Healthcare Income & Growth Fund
1 20/09/2017 38 9.05 3,000 3,000
Global Healthcare Income & Growth Fund
Units Global Healthcare Income & Growth Fund
1 20/09/2017 38 9.05 0 -3,000
Global Healthcare Income & Growth Fund
Units Global Healthcare Income & Growth Fund
1 21/09/2017 38 9 3,000 3,000
Global Healthcare Income & Growth Fund
Units Global Healthcare Income & Growth Fund
1 21/09/2017 38 9 0 -3,000
Global Healthcare Income & Growth Fund
Units Global Healthcare Income & Growth Fund
1 27/09/2017 38 8.95 1,100 1,100
Global Healthcare Income & Growth Fund
Units Global Healthcare Income & Growth Fund
1 27/09/2017 38 8.95 0 -1,100
Global Healthcare Income & Growth Fund
Units Global Healthcare Income & Growth Fund
1 28/09/2017 38 8.93 3,000 3,000
Global Healthcare Income & Growth Fund
Units Global Healthcare Income & Growth Fund
1 28/09/2017 38 8.93 0 -3,000
Global Healthcare Income & Growth Fund
Units Global Healthcare Income & Growth Fund
1 29/09/2017 38 8.87 3,000 3,000
Global Healthcare Income & Growth Fund
Units Global Healthcare Income & Growth Fund
1 29/09/2017 38 8.87 0 -3,000
Global Li-Ion Graphite Corp. Common Shares Walsh, Jason 4 27/09/2017 10 0.51 1,165,723 5,000
Global Li-Ion Graphite Corp. Common Shares Walsh, Jason 4 28/09/2017 10 0.52 1,170,723 5,000
Global Li-Ion Graphite Corp. Common Shares Walsh, Jason 4 28/09/2017 10 0.53 1,175,723 5,000
Global Li-Ion Graphite Corp. Common Shares Walsh, Jason 4 28/09/2017 10 0.52 1,182,723 7,000
Global Li-Ion Graphite Corp. Common Shares Walsh, Jason 4 29/09/2017 10 0.54 12,500
Global Li-Ion Graphite Corp. Common Shares Walsh, Jason 4 29/09/2017 10 0.54 1,170,223 -12,500
Global Li-Ion Graphite Corp. Common Shares Walsh, Jason 4 29/09/2017 10 0.53 1,169,223 -1,000
Global Li-Ion Graphite Corp. Common Shares Walsh, Jason 4 29/09/2017 10 0.52 1,056,223 -113,000
Global Real Estate Dividend Growers Corp.
Common Shares Equity Shares
Global Real Estate Dividend Growers Corp.
1 29/09/2017 38 7.9815 3,884,617 2,700
Global UAV Technologies Ltd. (formerly Alta Vista Ventures Ltd.)
Common Shares Rogers, James 4 02/06/2017 00
Global UAV Technologies Ltd. (formerly Alta Vista Ventures Ltd.)
Common Shares Rogers, James 4 04/10/2017 10 0.075 7,000 7,000
Global UAV Technologies Ltd. (formerly Alta Vista Ventures Ltd.)
Common Shares Rogers, James 4 04/10/2017 10 0.08 12,000 5,000
Global UAV Technologies Ltd. (formerly Alta Vista Ventures Ltd.)
Common Shares Rogers, James 4 04/10/2017 10 0.075 24,000 12,000
Global UAV Technologies Ltd. (formerly Alta Vista Ventures Ltd.)
Common Shares Rogers, James 4 05/10/2017 10 0.07 27,000 3,000
Global UAV Technologies Ltd. (formerly Alta Vista Ventures Ltd.)
Common Shares Rogers, James 4 05/10/2017 10 0.08 33,000 6,000
Globalance Dividend Growers Corp.
Common Shares Equity Shares
Globalance Dividend Growers Corp.
1 29/09/2017 38 8.53 3,254,707 800
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8345
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Globex Mining Enterprises Inc.
Common Shares Marrelli, Carmelo 5 21/09/2017 00
Globex Mining Enterprises Inc.
Options Marrelli, Carmelo 5 21/09/2017 00
Globex Mining Enterprises Inc.
Common Shares Newbury, Andrew 5 21/09/2017 00
Globex Mining Enterprises Inc.
Options Newbury, Andrew 5 21/09/2017 00
Glorious Creation Limited Common Shares Kong, Yuk Kan 3, 4, 5 29/09/2017 11 0.2 11,913,745 450,001
Gluskin Sheff + Associates Inc.
Deferred Share Units Beeston, Paul 5 30/09/2017 56 37,453 1,806
Gluskin Sheff + Associates Inc.
Deferred Share Units Davis, Virginia Ann 4 30/09/2017 56 10,531 903
Gluskin Sheff + Associates Inc.
Deferred Share Units Gobert, Wilfred Arthur 4 30/09/2017 56 37,946 1,471
Gluskin Sheff + Associates Inc.
Deferred Share Units Halperin, Stephen 4 30/09/2017 56 19,889 1,471
Gluskin Sheff + Associates Inc.
Deferred Share Units Lockhart, Nancy 4 30/09/2017 56 21,725 1,806
Gluskin Sheff + Associates Inc.
Common Shares Morris, David Roy 5 03/10/2017 97 3,722 -2,837
Gluskin Sheff + Associates Inc.
Common Shares Morris, David Roy 5 03/10/2017 97 17,270 2,837
Gluskin Sheff + Associates Inc.
Deferred Share Units Themens, Pierre-Andre 4 30/09/2017 56 38,711 1,472
goeasy Ltd. (formerly, easyhome Ltd.)
Deferred Share Unit Plan Appel, David Harry 4 30/09/2017 56 54,262 114
goeasy Ltd. (formerly, easyhome Ltd.)
Deferred Share Unit Plan Appel, David Harry 4 30/09/2017 56 54,929 667
goeasy Ltd. (formerly, easyhome Ltd.)
Deferred Share Unit Plan Basian, Karen 4 30/09/2017 56 14,685 114
goeasy Ltd. (formerly, easyhome Ltd.)
Deferred Share Unit Plan Basian, Karen 4 30/09/2017 56 15,352 667
goeasy Ltd. (formerly, easyhome Ltd.)
Deferred Share Unit Plan Doniz, Susan 4 30/09/2017 56 2,310 114
goeasy Ltd. (formerly, easyhome Ltd.)
Deferred Share Unit Plan Johnson, Donald Kenneth 3, 4 30/09/2017 56 61,239 114
goeasy Ltd. (formerly, easyhome Ltd.)
Deferred Share Unit Plan Johnson, Donald Kenneth 3, 4 30/09/2017 56 907
goeasy Ltd. (formerly, easyhome Ltd.)
Deferred Share Unit Plan Johnson, Donald Kenneth 3, 4 30/09/2017 56 62,197 958
goeasy Ltd. (formerly, easyhome Ltd.)
Deferred Share Unit Plan Morrison, Sean 4 30/09/2017 56 4,762 114
goeasy Ltd. (formerly, easyhome Ltd.)
Deferred Share Unit Plan Thomson, David J. 4 30/09/2017 56 20,873 114
goeasy Ltd. (formerly, easyhome Ltd.)
Deferred Share Unit Plan Thomson, David J. 4 30/09/2017 56 21,228 355
Golden Dawn Minerals Inc. Common Shares Wiese, Wolfgang 4, 5 29/09/2017 10 0.28 6,786,074 19,500
Golden Leaf Holdings Ltd. Warrants Yeoman, Gary 4 28/06/2017 00
Golden Leaf Holdings Ltd. Warrants Yeoman, Gary 4 05/09/2017 53 0.28 47,600 47,600
Golden Leaf Holdings Ltd. Common Shares Zipfel, Gary Gene 4 19/07/2017 00 29,552,521
Golden Leaf Holdings Ltd. Warrants Zipfel, Gary Gene 4 19/07/2017 00
Golden Leaf Holdings Ltd. Warrants Zipfel, Gary Gene 4 05/09/2017 53 0.28 714,000 714,000
Golden Predator Mining Corp.
Options Goldfarb, Richard 4 29/09/2017 00 225,000
Golden Predator Mining Corp.
Options Harris, William 4 03/10/2017 00 225,000
Golden Predator Mining Corp.
Options Hayes, Gregory Donald 4, 5 30/09/2017 50 0.91 610,000 150,000
Golden Share Resources Corporation
Options Guilbaud, Christian 4 06/10/2017 52 1.5 410,001 -16,666
Golden Share Resources Corporation
Common Shares Zeng, Nick Nianqing 4, 5 27/09/2017 10 0.115 1,860,000 15,000
Golden Share Resources Corporation
Common Shares Zeng, Nick Nianqing 4, 5 04/10/2017 10 0.115 1,866,000 6,000
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8346
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Goldman Sachs U.S. Income Builder Trust
Units Class A Goldman Sachs U.S. Income Builder Trust
1 05/09/2017 38 7.88 3,000 3,000
Goldman Sachs U.S. Income Builder Trust
Units Class A Goldman Sachs U.S. Income Builder Trust
1 05/09/2017 38 7.88 0 -3,000
Goldman Sachs U.S. Income Builder Trust
Units Class A Goldman Sachs U.S. Income Builder Trust
1 07/09/2017 38 7.86 3,000 3,000
Goldman Sachs U.S. Income Builder Trust
Units Class A Goldman Sachs U.S. Income Builder Trust
1 07/09/2017 38 7.86 0 -3,000
Goldman Sachs U.S. Income Builder Trust
Units Class A Goldman Sachs U.S. Income Builder Trust
1 12/09/2017 38 7.85 3,000 3,000
Goldman Sachs U.S. Income Builder Trust
Units Class A Goldman Sachs U.S. Income Builder Trust
1 12/09/2017 38 7.85 0 -3,000
Goldman Sachs U.S. Income Builder Trust
Units Class A Goldman Sachs U.S. Income Builder Trust
1 14/09/2017 38 7.83 300 300
Goldman Sachs U.S. Income Builder Trust
Units Class A Goldman Sachs U.S. Income Builder Trust
1 14/09/2017 38 7.83 0 -300
Goldman Sachs U.S. Income Builder Trust
Units Class A Goldman Sachs U.S. Income Builder Trust
1 18/09/2017 38 7.83 2,700 2,700
Goldman Sachs U.S. Income Builder Trust
Units Class A Goldman Sachs U.S. Income Builder Trust
1 18/09/2017 38 7.83 0 -2,700
Goldman Sachs U.S. Income Builder Trust
Units Class A Goldman Sachs U.S. Income Builder Trust
1 19/09/2017 38 7.89 3,000 3,000
Goldman Sachs U.S. Income Builder Trust
Units Class A Goldman Sachs U.S. Income Builder Trust
1 19/09/2017 38 7.89 0 -3,000
Goldman Sachs U.S. Income Builder Trust
Units Class A Goldman Sachs U.S. Income Builder Trust
1 20/09/2017 38 7.89 3,000 3,000
Goldman Sachs U.S. Income Builder Trust
Units Class A Goldman Sachs U.S. Income Builder Trust
1 20/09/2017 38 7.89 0 -3,000
Goldman Sachs U.S. Income Builder Trust
Units Class A Goldman Sachs U.S. Income Builder Trust
1 22/09/2017 38 7.88 1,600 1,600
Goldman Sachs U.S. Income Builder Trust
Units Class A Goldman Sachs U.S. Income Builder Trust
1 22/09/2017 38 7.88 0 -1,600
Goldman Sachs U.S. Income Builder Trust
Units Class A Goldman Sachs U.S. Income Builder Trust
1 26/09/2017 38 7.91 900 900
Goldman Sachs U.S. Income Builder Trust
Units Class A Goldman Sachs U.S. Income Builder Trust
1 26/09/2017 38 7.91 0 -900
Goldman Sachs U.S. Income Builder Trust
Units Class A Goldman Sachs U.S. Income Builder Trust
1 27/09/2017 38 7.92 500 500
Goldman Sachs U.S. Income Builder Trust
Units Class A Goldman Sachs U.S. Income Builder Trust
1 27/09/2017 38 7.92 0 -500
Goldman Sachs U.S. Income Builder Trust
Units Class A Goldman Sachs U.S. Income Builder Trust
1 29/09/2017 38 8.03 3,000 3,000
Goldman Sachs U.S. Income Builder Trust
Units Class A Goldman Sachs U.S. Income Builder Trust
1 29/09/2017 38 8.03 0 -3,000
Goldmoney Inc. (formerly BitGold Inc.)
Common Shares Fray, steve 5 25/08/2017 00
Goldmoney Inc. (formerly BitGold Inc.)
Options Fray, steve 5 25/08/2017 00 45,000
Goldmoney Inc. (formerly BitGold Inc.)
Warrants Fray, steve 5 25/08/2017 00
Goldmoney Inc. (formerly BitGold Inc.)
Common Shares Mennega, Paul Michael 5 28/08/2017 00
Goldmoney Inc. (formerly BitGold Inc.)
Options Mennega, Paul Michael 5 28/08/2017 00 69,046
Goldmoney Inc. (formerly BitGold Inc.)
Warrants Mennega, Paul Michael 5 28/08/2017 00
Gran Colombia Gold Corp. 2020 Debentures Gran Colombia Gold Corp. 1 08/09/2017 10 0.875 $12,000
Gran Colombia Gold Corp. 2020 Debentures Gran Colombia Gold Corp. 1 08/09/2017 38 0.875 $12,000 $12,000
Gran Colombia Gold Corp. 2020 Debentures Gran Colombia Gold Corp. 1 15/09/2017 10 0.8796 $12,000
Gran Colombia Gold Corp. 2020 Debentures Gran Colombia Gold Corp. 1 15/09/2017 38 0.8796 $24,000 $12,000
Gran Colombia Gold Corp. 2020 Debentures Gran Colombia Gold Corp. 1 18/09/2017 38 0.8797 $36,000 $12,000
Gran Colombia Gold Corp. 2020 Debentures Gran Colombia Gold Corp. 1 19/09/2017 38 $12,000 -$24,000
Gran Colombia Gold Corp. 2020 Debentures Gran Colombia Gold Corp. 1 25/09/2017 38 $0 -$12,000
Gran Colombia Gold Corp. 2020 Debentures Extended to 2024
Iacono, Serafino 3, 4, 6, 5 06/08/2010 00
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8347
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Gran Colombia Gold Corp. 2020 Debentures Extended to 2024
Iacono, Serafino 3, 4, 6, 5 22/09/2017 90 $6,267,428 $6,267,428
Gran Colombia Gold Corp. 2020 Debentures Extended to 2024
Iacono, Serafino 3, 4, 6, 5 22/09/2017 90 $0 -$6,267,428
Gran Colombia Gold Corp. Common Shares Iacono, Serafino 3, 4, 6, 5 06/08/2010 00
Gran Colombia Gold Corp. Common Shares Iacono, Serafino 3, 4, 6, 5 22/09/2017 90 1,106,733 1,106,733
Gran Colombia Gold Corp. Common Shares Iacono, Serafino 3, 4, 6, 5 22/09/2017 90 0 -1,106,733
Gran Colombia Gold Corp. Warrants Iacono, Serafino 3, 4, 6, 5 06/08/2010 00
Gran Colombia Gold Corp. Warrants Iacono, Serafino 3, 4, 6, 5 22/09/2017 90 50,000 50,000
Gran Colombia Gold Corp. Warrants Iacono, Serafino 3, 4, 6, 5 22/09/2017 90 0 -50,000
Gran Colombia Gold Corp. 2020 Debentures Miller, III, Lloyd I. 3 03/10/2017 10 0.93 $8,121,707 $1,240,000
Gran Colombia Gold Corp. 2020 Debentures Miller, III, Lloyd I. 3 05/10/2017 10 0.94 $8,191,613 $69,906
Gran Colombia Gold Corp. 2020 Debentures Miller, III, Lloyd I. 3 03/10/2017 10 0.928 $69,906 -$1,000,000
Gran Colombia Gold Corp. 2020 Debentures Miller, III, Lloyd I. 3 05/10/2017 10 0.939 $0 -$69,906
Gran Colombia Gold Corp. 2020 Debentures Miller, III, Lloyd I. 3 03/10/2017 10 0.928 $595 -$240,000
Gran Tierra Energy Inc. Options Dey, Peter James 4 01/10/2017 50 2.28 108,184 3,389
Gran Tierra Energy Inc. Rights Deferred Stock Units
Dey, Peter James 4 01/10/2017 56 71,120 13,410
Gran Tierra Energy Inc. Options Hazell, Evan James 4 01/10/2017 50 2.28 108,184 3,389
Gran Tierra Energy Inc. Rights Deferred Stock Units
Hazell, Evan James 4 01/10/2017 56 66,887 9,791
Gran Tierra Energy Inc. Rights Deferred Stock Units
Hodgins, Robert Bruce 4 01/10/2017 56 77,899 11,403
Gran Tierra Energy Inc. Options Royal, Ronald William 4 01/10/2017 50 2.28 108,184 3,389
Gran Tierra Energy Inc. Rights Deferred Stock Units
Royal, Ronald William 4 01/10/2017 56 100,595 14,725
Gran Tierra Energy Inc. Rights Deferred Stock Units
Scott, Sondra 4 19/09/2017 00
Gran Tierra Energy Inc. Rights Deferred Stock Units
Scott, Sondra 4 01/10/2017 56 6,990 6,990
Gran Tierra Energy Inc. Options Smith, David Paul 4 01/10/2017 50 2.28 108,184 3,389
Gran Tierra Energy Inc. Rights Deferred Stock Units
Smith, David Paul 4 01/10/2017 56 31,682 4,638
Gran Tierra Energy Inc. Common Shares Wade, Brooke Nelson 4 24/06/2015 00
Gran Tierra Energy Inc. Common Shares Wade, Brooke Nelson 4 24/06/2015 00
Gran Tierra Energy Inc. Common Shares Wade, Brooke Nelson 4 29/09/2017 10 2.307 242,600 242,600
Gran Tierra Energy Inc. Common Shares Wade, Brooke Nelson 4 29/09/2017 10 2.3 371,300 -121,300
Gran Tierra Energy Inc. Common Shares Wade, Brooke Nelson 4 29/09/2017 10 2.284 250,000 -121,300
Gran Tierra Energy Inc. Options Wade, Brooke Nelson 4 01/10/2017 50 2.28 108,184 3,389
Gran Tierra Energy Inc. Rights Deferred Stock Units
Wade, Brooke Nelson 4 01/10/2017 56 100,595 14,725
Granite Real Estate Investment Trust
Trust Units (traded as a component of stapled units)
Granite Real Estate Investment Trust
1 27/09/2017 38 49.984 24,400 24,400
Granite Real Estate Investment Trust
Trust Units (traded as a component of stapled units)
Granite Real Estate Investment Trust
1 27/09/2017 38 0 -24,400
Granite Real Estate Investment Trust
Trust Units (traded as a component of stapled units)
Granite Real Estate Investment Trust
1 28/09/2017 38 49.961 12,200 12,200
Granite Real Estate Investment Trust
Trust Units (traded as a component of stapled units)
Granite Real Estate Investment Trust
1 28/09/2017 38 0 -12,200
Granite REIT Inc. Deferred Share Units Aghar, Peter 4 15/06/2017 00
Granite REIT Inc. Deferred Share Units Aghar, Peter 4 29/09/2017 56 50.18 598 598
Granite REIT Inc. Deferred Share Units Clow, Donald Everett 4 29/09/2017 56 50.18 2,336 648
Granite REIT Inc. Deferred Share Units Daal, Remco 4 15/06/2017 00
Granite REIT Inc. Deferred Share Units Daal, Remco 4 29/09/2017 56 50.18 548 548
Granite REIT Inc. Common Shares (traded as a component of stapled units)
Granite REIT Inc. 1 27/09/2017 38 49.984 24,400 24,400
Granite REIT Inc. Common Shares (traded as a component of stapled units)
Granite REIT Inc. 1 27/09/2017 38 0 -24,400
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8348
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Granite REIT Inc. Common Shares (traded as a component of stapled units)
Granite REIT Inc. 1 28/09/2017 38 49.961 12,200 12,200
Granite REIT Inc. Common Shares (traded as a component of stapled units)
Granite REIT Inc. 1 28/09/2017 38 0 -12,200
Granite REIT Inc. Deferred Share Units Manji, Samir Aziz 4 15/06/2017 00
Granite REIT Inc. Deferred Share Units Manji, Samir Aziz 4 29/09/2017 56 50.18 548 548
Granite REIT Inc. Deferred Share Units Marshall, Kelly John 4 15/06/2017 00
Granite REIT Inc. Deferred Share Units Marshall, Kelly John 4 29/09/2017 56 50.18 1,046 1,046
Granite REIT Inc. Deferred Share Units Mawani, Al 4 15/06/2017 00
Granite REIT Inc. Deferred Share Units Mawani, Al 4 29/09/2017 56 50.18 697 697
Granite REIT Inc. Deferred Share Units Miller, Gerald 4 29/09/2017 35 50.18 8,162 249
Great-West Lifeco Inc. Deferred Share Units Barrett, Deborah Jean 4 30/09/2017 56 35.562 1,152 923
Great-West Lifeco Inc. Deferred Share Units Bibeau, Marc A. 6 30/09/2017 30 35.91 2,958 30
Great-West Lifeco Inc. Deferred Share Units Coutu, Marcel R. 4 30/09/2017 56 35.631 36,495 1,788
Great-West Lifeco Inc. Deferred Share Units Desmarais, André 4 30/09/2017 56 35.91 153,354 1,550
Great-West Lifeco Inc. Deferred Share Units Desmarais, Olivier 7 30/09/2017 56 35.604 11,622 890
Great-West Lifeco Inc. Deferred Share Units Desmarais, Paul III 7 30/09/2017 56 35.604 10,309 800
Great-West Lifeco Inc. Deferred Share Units Desmarais, Paul Jr. 4 30/09/2017 56 35.714 33,951 775
Great-West Lifeco Inc. Deferred Share Units Doer, Gary Albert 4 30/09/2017 56 35.578 2,071 369
Great-West Lifeco Inc. Deferred Share Units Fuller, David 4 30/09/2017 56 35.562 1,089 860
Great-West Lifeco Inc. Deferred Share Units Généreux, Claude 4 30/09/2017 56 35.588 18,928 2,223
Great-West Lifeco Inc. Common Shares Great-West Lifeco Inc. 1 30/09/2017 38 34.679 130,454 130,454
Great-West Lifeco Inc. Common Shares Great-West Lifeco Inc. 1 30/09/2017 38 0 -130,454
Great-West Lifeco Inc. Common Shares Great-West Lifeco U.S. Holdings, L.P.
2 30/09/2017 10 35.623 81,387 81,387
Great-West Lifeco Inc. Common Shares Great-West Lifeco U.S. Holdings, L.P.
2 30/09/2017 10 35.601 0 -81,387
Great-West Lifeco Inc. Deferred Share Units Hosek, Chaviva Milada 4 30/09/2017 56 35.69 20,606 556
Great-West Lifeco Inc. Deferred Share Units Jackson, John David Allan 4 30/09/2017 56 35.619 7,221 421
Great-West Lifeco Inc. Deferred Share Units Mahon, Paul 5 30/09/2017 56 35.622 70,986 1,873
Great-West Lifeco Inc. Deferred Share Units McArthur, Susan J. 4 30/09/2017 56 35.591 3,625 385
Great-West Lifeco Inc. Deferred Share Units Orr, Robert Jeffrey 4, 6 30/09/2017 56 35.701 167,236 4,168
Great-West Lifeco Inc. Deferred Share Units Plessis-Bélair, Michel 6 30/09/2017 30 35.91 28,408 287
Great-West Lifeco Inc. Deferred Share Units Qureshi, Rima 4 30/09/2017 56 35.578 2,071 369
Great-West Lifeco Inc. Deferred Share Units Raymond, Donald Michael 4 30/09/2017 56 35.564 583 354
Great-West Lifeco Inc. Deferred Share Units Reynolds, Robert Lloyd 7 30/09/2017 56 35.605 6,693 503
Great-West Lifeco Inc. Deferred Share Units Rousseau, Henri-Paul 4, 6 30/09/2017 56 35.676 22,848 691
Great-West Lifeco Inc. Deferred Share Units Royer, Raymond 4 30/09/2017 56 35.704 71,184 1,735
Great-West Lifeco Inc. Deferred Share Units Ryan, Thomas Timothy, Jr. 4 30/09/2017 56 35.602 29,854 2,389
Great-West Lifeco Inc. Deferred Share Units Selitto, Jerome John 4 30/09/2017 56 35.631 11,223 548
Great-West Lifeco Inc. Deferred Share Units Szathmary, Emoke Jolan Erzsebet
6 30/09/2017 30 35.91 33,583 340
Great-West Lifeco Inc. Deferred Share Units Tretiak, Gregory Dennis 4, 6 30/09/2017 56 35.635 14,938 687
Great-West Lifeco Inc. Deferred Share Units Vanaselja, Siim A. 4 30/09/2017 56 35.594 17,463 1,728
Great-West Lifeco Inc. Deferred Share Units Walsh, Brian, E. 4 30/09/2017 56 35.687 74,435 2,045
Greenfields Petroleum Corporation
Common Shares - New Harkins, John Wilfrid Hugh 4, 5 03/10/2017 10 0.122 5,439,674 4,000
Greenfields Petroleum Corporation
Common Shares Perez-Bello, Jose 5 01/06/2017 00 4,209
Greenfields Petroleum Corporation
Options Perez-Bello, Jose 5 01/06/2017 00 45,000
GTA Resources and Mining Inc.
Common Shares Clausi, Peter Michael 4, 5 28/09/2017 10 0.04 325,723 15,000
GTA Resources and Mining Inc.
Common Shares Crawford, Brian Lorne 4, 5 29/09/2017 10 0.04 482,112 50,000
Guyana Goldfields Inc. Common Shares Caldwell, Scott Andrew 4 02/10/2017 10 4.1 489,357 15,000
Hamilton Thorne Ltd. Common Shares Edwards, Keith 5 02/10/2017 51 0.63 12,500 12,500
Hamilton Thorne Ltd. Common Shares Edwards, Keith 5 02/10/2017 51 0.22 37,500 25,000
Hamilton Thorne Ltd. Options Edwards, Keith 5 02/10/2017 50 0.22 225,000 -25,000
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8349
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Hamilton Thorne Ltd. Options Edwards, Keith 5 02/10/2017 50 0.63 237,500 12,500
Hammond Power Solutions Inc.
Rights Deferred Share Units
Baldwin, Douglas 4 29/09/2017 56 2,482 17
Hammond Power Solutions Inc.
Rights Deferred Share Units
FitzGibbon, David Joseph 4 29/09/2017 56 2,482 17
Hammond Power Solutions Inc.
Rights Deferred Share Units
GRANOVSKY, DAHRA 4 29/09/2017 56 4,666 25
Hammond Power Solutions Inc.
Rights Deferred Share Units
HAMMOND, BILL 6 29/09/2017 56 2,482 17
Hammond Power Solutions Inc.
Rights Deferred Share Units
HUETHER, CHRIS 5 29/09/2017 56 2,482 17
Hammond Power Solutions Inc.
Rights Deferred Share Units
Jaques, Frederick Maurice 4 29/09/2017 56 6,851 32
Hammond Power Solutions Inc.
Rights Deferred Share Units
MACADAM, DON 4 29/09/2017 56 2,482 17
Hammond Power Solutions Inc.
Rights Deferred Share Units
Robinson, Grant Cameron 4 29/09/2017 56 2,482 17
Hammond Power Solutions Inc.
Rights Deferred Share Units
Waterman, Richard Stanley 4 29/09/2017 56 17
Hammond Power Solutions Inc.
Rights Deferred Share Units
Waterman, Richard Stanley 4 29/09/2017 56 2,482 17
Heron Resources Limited Common Shares Dennis, Stephen Bruce 4 02/10/2017 10 0.065 1,794,286 230,000
High Arctic Energy Services Inc.
Rights Deferred Share Units
Hodgson, James Robert 4 08/08/2017 00
High Arctic Energy Services Inc.
Rights Deferred Share Units
Hodgson, James Robert 4 30/09/2017 56 5,000 5,000
Holloway Lodging Corporation
Common Shares Holloway Lodging Corporation
1 07/09/2017 30 5.45 100 100
Holloway Lodging Corporation
Common Shares Holloway Lodging Corporation
1 21/09/2017 30 5.35 65,100 65,000
Holloway Lodging Corporation
Common Shares Holloway Lodging Corporation
1 30/09/2017 38 0 -65,100
Holloway Lodging Corporation
Convertible Debentures HLC.DB 6.25% due Feb 28, 2020
Holloway Lodging Corporation
1 05/09/2017 38 $30,000 -$37,000
Holloway Lodging Corporation
Convertible Debentures HLC.DB 6.25% due Feb 28, 2020
Holloway Lodging Corporation
1 07/09/2017 30 0.95 $45,000 $15,000
Holloway Lodging Corporation
Convertible Debentures HLC.DB 6.25% due Feb 28, 2020
Holloway Lodging Corporation
1 08/09/2017 30 0.95 $55,000 $10,000
Holloway Lodging Corporation
Convertible Debentures HLC.DB 6.25% due Feb 28, 2020
Holloway Lodging Corporation
1 22/09/2017 30 0.955 $61,000 $6,000
Holloway Lodging Corporation
Convertible Debentures HLC.DB 6.25% due Feb 28, 2020
Holloway Lodging Corporation
1 25/09/2017 30 0.9644 $76,000 $15,000
Holloway Lodging Corporation
Convertible Debentures HLC.DB 6.25% due Feb 28, 2020
Holloway Lodging Corporation
1 26/09/2017 30 0.95 $82,000 $6,000
Holloway Lodging Corporation
Convertible Debentures HLC.DB 6.25% due Feb 28, 2020
Holloway Lodging Corporation
1 27/09/2017 30 0.9599 $150,000 $68,000
Holloway Lodging Corporation
Convertible Debentures HLC.DB 6.25% due Feb 28, 2020
Holloway Lodging Corporation
1 27/09/2017 30 0.95 $156,000 $6,000
Holloway Lodging Corporation
Convertible Debentures HLC.DB 6.25% due Feb 28, 2020
Holloway Lodging Corporation
1 28/09/2017 30 0.9569 $171,000 $15,000
Holloway Lodging Corporation
Convertible Debentures HLC.DB 6.25% due Feb 28, 2020
Holloway Lodging Corporation
1 30/09/2017 38 $15,000 -$156,000
Holloway Lodging Corporation
Convertible Debentures HLC.DB.A 7.50% due Sep 30, 2018
Holloway Lodging Corporation
1 26/09/2017 30 0.9899 $2,000 $2,000
Holloway Lodging Corporation
Convertible Debentures HLC.DB.A 7.50% due Sep 30, 2018
Holloway Lodging Corporation
1 27/09/2017 30 0.9899 $7,000 $5,000
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8350
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Holloway Lodging Corporation
Convertible Debentures HLC.DB.A 7.50% due Sep 30, 2018
Holloway Lodging Corporation
1 30/09/2017 38 $0 -$7,000
Home Capital Group Inc. Rights Deferred Share Units
Beaurivage, Jacqueline 4 28/09/2017 56 13.9 8,751 899
Home Capital Group Inc. Options Bissada, Yousry 4, 5 28/09/2017 50 48,941 48,941
Home Capital Group Inc. Rights Deferred Share Units
Bissada, Yousry 4, 5 03/08/2017 00
Home Capital Group Inc. Rights Restricted Share Units
Bissada, Yousry 4, 5 03/08/2017 00
Home Capital Group Inc. Rights Restricted Share Units
Bissada, Yousry 4, 5 28/09/2017 56 13.9 14,881 14,881
Home Capital Group Inc. Rights Deferred Share Units
Blowes, Robert 4 28/09/2017 56 13.9 4,068 395
Home Capital Group Inc. Rights Deferred Share Units
Eprile, Brenda 4 28/09/2017 56 13.9 4,818 2,258
Home Capital Group Inc. Rights Deferred Share Units
Haggis, Paul 4 28/09/2017 56 13.9 1,941 1,941
Home Capital Group Inc. Rights Deferred Share Units
Hibben, Alan Roy 4 28/09/2017 56 13.9 1,980 1,980
Home Capital Group Inc. Rights Deferred Share Units
Hibben, Alan Roy 4 28/09/2017 56 13.9 16,368 14,388
Home Capital Group Inc. Options Kotush, Bradley William 5 01/09/2017 00
Home Capital Group Inc. Options Kotush, Bradley William 5 28/09/2017 50 5,606 5,606
Home Capital Group Inc. Rights Restricted Share Units
Kotush, Bradley William 5 01/09/2017 00
Home Capital Group Inc. Rights Restricted Share Units
Kotush, Bradley William 5 28/09/2017 56 13.9 3,406 3,406
Home Capital Group Inc. Rights Deferred Share Units
Lamoureux, Claude 4 28/09/2017 56 13.9 1,265 1,265
Home Capital Group Inc. Rights Deferred Share Units
Lisson, James 4 28/09/2017 56 13.9 889 889
Home Capital Group Inc. Rights Deferred Share Units
Sallows, Sharon 4 28/09/2017 56 13.9 1,301 1,301
Home Capital Group Inc. Rights Deferred Share Units
Then, Bonita Joan 4, 5 28/09/2017 56 13.9 47,683 46,770
Horizonte Minerals PLC Common Shares Fisher, William J. 4 28/09/2017 10 0.01 200,000
Horizonte Minerals PLC Common Shares Fisher, William J. 4 28/09/2017 10 0.01 200,000
Hudbay Minerals Inc. (formerly HudBay Minerals Inc.)
Common Shares Blazo, Adrienne 5 27/09/2017 00
Hudbay Minerals Inc. (formerly HudBay Minerals Inc.)
Rights Share Units Blazo, Adrienne 5 27/09/2017 00
Hudson's Bay Company Common Shares Watros, Donald William 5 28/09/2017 10 10.602 795,672 -71,200
Hudson's Bay Company Common Shares Watros, Donald William 5 29/09/2017 10 10.162 695,672 -100,000
Hudson's Bay Company Common Shares Watros, Donald William 5 29/09/2017 10 10.083 595,672 -100,000
Hydro One Limited Rights (Deferred Share Units)
Hinds, James David 4 29/09/2017 56 13,678 1,761
Hydro One Limited Rights (Deferred Share Units)
Hinds, James David 4 29/09/2017 56 13,794 116
IBC Advanced Alloys Corp. Common Shares Hampson, Christopher Geoffrey
4 09/08/2017 10 0.3625 218,000 -57,000
IBC Advanced Alloys Corp. Special Warrants Hampson, Christopher Geoffrey
4 24/05/2016 11 0.5 275,000 275,000
IBC Advanced Alloys Corp. Special Warrants Hampson, Christopher Geoffrey
4 26/05/2016 00
IBEX TECHNOLOGIES INC. Common Shares Miller, III, Lloyd I. 3 06/08/2004 00
IBEX TECHNOLOGIES INC. Common Shares Miller, III, Lloyd I. 3 29/09/2017 97 712,350 712,350
IBEX TECHNOLOGIES INC. Common Shares Miller, III, Lloyd I. 3 06/08/2004 00
IBEX TECHNOLOGIES INC. Common Shares Miller, III, Lloyd I. 3 29/09/2017 97 712,350 712,350
IBEX TECHNOLOGIES INC. Common Shares Miller, III, Lloyd I. 3 29/09/2017 97 1,589,000 -1,424,700
IBI Group Inc. Rights Deferred Unit Bird, Jane Marie 4 30/09/2017 56 7.39 59,321 3,535
IBI Group Inc. Rights Deferred Unit Nobrega, Michael Joseph 4 30/09/2017 56 7.39 7,599 4,190
IBI Group Inc. Rights Deferred Unit Reid, John Oliver 4 30/09/2017 56 7.39 7,768 4,055
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8351
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
IBI Group Inc. Rights Deferred Unit Richmond, Dale Elson 4 30/09/2017 56 7.39 257,331 6,675
IDM Mining Ltd. (Formerly Revolution Resources Corp.)
Common Shares Horsley, Nigel Alexander 8 05/10/2017 10 0.13 250,000 20,000
IGM Financial Inc. Deferred Share Units Bibeau, Marc A. 4 31/07/2017 30 41.96 27,925 359
IGM Financial Inc. Deferred Share Units Bibeau, Marc A. 4 30/09/2017 56 42.11 623
IGM Financial Inc. Deferred Share Units Bibeau, Marc A. 4 30/09/2017 56 42.11 623
IGM Financial Inc. Deferred Share Units Bibeau, Marc A. 4 30/09/2017 56 42.11 28,548 623
IGM Financial Inc. Deferred Share Units Carney, Jeffrey 4 31/07/2017 30 41.96 11,447 142
IGM Financial Inc. Deferred Share Units Carney, Jeffrey 4 30/09/2017 56 42.11 12,017 570
IGM Financial Inc. Deferred Share Units Coutu, Marcel R. 4 31/07/2017 30 41.96 8,656 104
IGM Financial Inc. Deferred Share Units Coutu, Marcel R. 4 30/09/2017 56 42.11 9,267 611
IGM Financial Inc. Deferred Share Units Desmarais, André 4, 6 31/07/2017 30 41.96 58,473 772
IGM Financial Inc. Deferred Share Units Desmarais, Olivier 7 31/07/2017 30 41.96 6,579 80
IGM Financial Inc. Deferred Share Units Desmarais, Olivier 7 30/09/2017 56 42.11 6,996 417
IGM Financial Inc. Deferred Share Units Desmarais, Paul III 7 31/07/2017 30 41.96 6,592 82
IGM Financial Inc. Deferred Share Units Desmarais, Paul III 7 30/09/2017 56 42.11 7,037 445
IGM Financial Inc. Deferred Share Units Desmarais, Paul Jr. 4 31/07/2017 30 41.96 29,102 382
IGM Financial Inc. Deferred Share Units Desmarais, Paul Jr. 4 30/09/2017 56 42.11 29,408 306
IGM Financial Inc. Deferred Share Units Doer, Gary Albert 4 31/07/2017 30 41.96 1,162 12
IGM Financial Inc. Deferred Share Units Doer, Gary Albert 4 30/09/2017 56 42.11 1,496 334
IGM Financial Inc. Deferred Share Units Doniz, Susan 7 30/09/2017 56 42.11 519 375
IGM Financial Inc. Deferred Share Units Généreux, Claude 4 31/07/2017 30 41.96 2,275 27
IGM Financial Inc. Deferred Share Units Généreux, Claude 4 30/09/2017 56 42.11 2,916 641
IGM Financial Inc. Deferred Share Units Hodgson, Sharon 4 31/07/2017 30 41.96 4,016 47
IGM Financial Inc. Deferred Share Units Hodgson, Sharon 4 30/09/2017 56 42.11 4,412 396
IGM Financial Inc. Deferred Share Units MacLeod, Sharon 7 30/09/2017 56 42.11 755 611
IGM Financial Inc. Deferred Share Units McArthur, Susan J. 4 31/07/2017 30 42.11 16
IGM Financial Inc. Deferred Share Units McArthur, Susan J. 4 31/07/2017 30 42.11 16
IGM Financial Inc. Deferred Share Units McArthur, Susan J. 4 31/07/2017 30 41.96 1,547 16
IGM Financial Inc. Deferred Share Units McArthur, Susan J. 4 30/09/2017 56 42.11 285
IGM Financial Inc. Deferred Share Units McArthur, Susan J. 4 30/09/2017 56 42.11 285
IGM Financial Inc. Deferred Share Units McArthur, Susan J. 4 30/09/2017 56 42.11 1,832 285
IGM Financial Inc. Deferred Share Units McCallum, John S. 4 31/07/2017 30 41.96 42,254 550
IGM Financial Inc. Deferred Share Units McCallum, John S. 4 30/09/2017 56 42.11 42,862 608
IGM Financial Inc. Deferred Share Units Orr, Robert Jeffrey 4, 6 31/07/2017 30 41.96 81,993 1,066
IGM Financial Inc. Deferred Share Units Orr, Robert Jeffrey 4, 6 30/09/2017 56 42.11 83,257 1,264
IGM Financial Inc. Deferred Share Units Parisien, Jacques 4 31/07/2017 30 41.96 126
IGM Financial Inc. Deferred Share Units Parisien, Jacques 4 31/07/2017 30 41.96 126
IGM Financial Inc. Deferred Share Units Parisien, Jacques 4 31/07/2017 30 41.96 10,352 127
IGM Financial Inc. Deferred Share Units Parisien, Jacques 4 30/09/2017 56 42.11 11,017 665
IGM Financial Inc. Deferred Share Units Plessis-Bélair, Michel 4 31/07/2017 30 41.96 12,371 164
IGM Financial Inc. Deferred Share Units Rousseau, Henri-Paul 4, 6 31/07/2017 30 41.96 9,510 123
IGM Financial Inc. Deferred Share Units Rousseau, Henri-Paul 4, 6 30/09/2017 56 42.11 9,733 223
IGM Financial Inc. Deferred Share Units Tretiak, Gregory Dennis 4, 6 31/07/2017 30 41.96 5,243 66
IGM Financial Inc. Deferred Share Units Tretiak, Gregory Dennis 4, 6 30/09/2017 56 42.11 5,702 459
Immunovaccine Inc. Deferred Share Units Dawe, Wade K. 4 30/09/2017 56 1.11 74,476 8,446
Immunovaccine Inc. Deferred Share Units Hall, James Willis 4 30/09/2017 56 1.11 102,216 18,018
Immunovaccine Inc. Deferred Share Units Pisano, Wayne 4 30/09/2017 56 1.11 91,610 14,358
Immunovaccine Inc. Deferred Share Units SCARDINO, ALBERT JAMES
4 30/09/2017 56 1.11 98,952 16,892
Immunovaccine Inc. Deferred Share Units Sheldon, Andrew J. 4 30/09/2017 56 1.11 117,425 14,640
Immunovaccine Inc. Deferred Share Units Smithers, Alfred 4 30/09/2017 56 1.11 72,845 7,883
Imperial Oil Limited Rights Deferred Share Units
Hoeg, Krystyna 4 30/09/2017 56 30,243 879
Imperial Oil Limited Rights Deferred Share Units
MINTZ, JACK MAURICE 4 30/09/2017 56 26,140 862
Imperial Oil Limited Rights Deferred Share Units
Sutherland, David Stewart 4 30/09/2017 56 23,579 852
Imperial Oil Limited Rights Deferred Share Units
Whittaker, Sheelagh 4 30/09/2017 56 52,644 591
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8352
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Imperial Oil Limited Rights Deferred Share Units
Young, Victor Leyland 4 30/09/2017 56 13,137 53
Imvescor Restaurant Group Inc.
Deferred Share Units Forsayeth, Michael Peter 4 04/10/2017 56 3.72 46,322 278
Imvescor Restaurant Group Inc.
Deferred Share Units Hennessey, Frank 4, 5 04/10/2017 56 3.72 50,938 306
Imvescor Restaurant Group Inc.
Deferred Share Units LaBerge, Anne-Marie 4 04/10/2017 56 3.72 9,063 54
Imvescor Restaurant Group Inc.
Deferred Share Units O'Connor, Gary William 4 04/10/2017 56 3.72 16,031 96
Imvescor Restaurant Group Inc.
Deferred Share Units Raymond, Pierre 4 04/10/2017 56 3.72 42,042 252
Imvescor Restaurant Group Inc.
Deferred Share Units Seigneur, François-Xavier 4 04/10/2017 56 3.72 73,984 444
Imvescor Restaurant Group Inc.
Deferred Share Units Sgro, David Daniel 4 04/10/2017 56 3.72 12,993 78
Imvescor Restaurant Group Inc.
Deferred Share Units Sugrue, Patrick Howard 4 04/10/2017 56 3.72 47,452 285
Imvescor Restaurant Group Inc.
Deferred Share Units Zaarour, Roula 4 04/10/2017 56 3.72 10,229 61
Industrial Alliance Insurance and Financial Services inc.
unités d'actions différées (uda)-differed shared units (dsa)
Bourgon, Jocelyne 4, 5 30/09/2017 56 57.03 9,032 1,017
Industrial Alliance Insurance and Financial Services inc.
unités d'actions différées (uda)-differed shared units (dsa)
Chicoyne, Denyse 4 30/09/2017 56 57.03 7,066 534
Industrial Alliance Insurance and Financial Services inc.
unités d'actions différées (uda)-differed shared units (dsa)
Coallier, Robert 4 30/09/2017 56 57.03 1,177 86
Industrial Alliance Insurance and Financial Services inc.
unités d'actions différées (uda)-differed shared units (dsa)
Côté, Agathe 4 30/09/2017 56 57.03 2,177 363
Industrial Alliance Insurance and Financial Services inc.
unités d'actions différées (uda)-differed shared units (dsa)
Griffin, Emma Kate 4 30/09/2017 56 57.03 58 47
Industrial Alliance Insurance and Financial Services inc.
unités d'actions différées (uda)-differed shared units (dsa)
Hanley, Michael 4 30/09/2017 56 57.03 2,600 281
Industrial Alliance Insurance and Financial Services inc.
unités d'actions différées (uda)-differed shared units (dsa)
Lamoureux, Claude 4 30/09/2017 56 57.03 13,175 530
Industrial Alliance Insurance and Financial Services inc.
unités d'actions différées (uda)-differed shared units (dsa)
Têtu, Louis 4 30/09/2017 56 57.03 2,465 373
Innergex Renewable Energy Inc.
Unités d'actions différées (UAD)/Deferred Shares Units (DSU)
Francisci, Nathalie 4 05/10/2017 56 1,810 902
Innergex Renewable Energy Inc.
Unités d'actions différées (UAD)/Deferred Shares Units (DSU)
Gagnon, Richard 4 05/10/2017 56 1,810 902
Innergex Renewable Energy Inc.
Unités d'actions différées (UAD)/Deferred Shares Units (DSU)
McGuinty, Dalton 4 05/10/2017 56 7,345 902
Innergex Renewable Energy Inc.
Unités d'actions différées (UAD)/Deferred Shares Units (DSU)
Mercier, Monique 4 05/10/2017 56 5,889 1,354
Inovalis Real Estate Investment Trust
Exchangeable Securities Inovalis S.A. 3 30/09/2017 46 10.12 2,084,047 92,857
Input Capital Corp. Common Shares Warsaba, Patricia 5 29/09/2017 51 1.62 126,315 100,000
Input Capital Corp. Options Warsaba, Patricia 5 29/09/2017 51 1 0 -100,000
Inter Pipeline Ltd. Rights Restricted Share Units
Neufeld, Cory Wade 5 05/10/2017 57 25.85 18,085 -2,000
Interfor Corporation Rights DSUs HERBERT, PAUL 4 30/09/2017 56 24,954 1,578
Interfor Corporation Rights DSUs HULL, JEANE 4 30/09/2017 56 23,930 1,263
Interfor Corporation Rights DSUs Lynch, Peter Matthew 4 30/09/2017 56 78,842 947
Interfor Corporation Rights DSUs MacDougall, Gordon H 4 30/09/2017 56 78,842 947
Interfor Corporation Rights DSUs McMillan, James Eddie 4 30/09/2017 56 41,654 947
Interfor Corporation Rights DSUs Milroy, Thomas Voysey 4 30/09/2017 56 10,151 1,578
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8353
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Interfor Corporation Rights DSUs Platt, Gillian L. 4 30/09/2017 56 4,310 947
Interfor Corporation Rights DSUs Sauder, E. Lawrence 4, 5 30/09/2017 56 63,545 1,894
Interfor Corporation Rights DSUs Whitehead, Douglas William Geoffrey
4 30/09/2017 56 33,722 947
International Battery Metals Ltd. (formerly, Rheingold Exploration Corp.)
Common Shares Anderson, Logan Bruce 4 06/10/2017 10 1.21 35,000 -50,000
InterRent Real Estate Investment Trust
Deferred Units Amirault, Paul 4 30/09/2017 56 127,516 2,563
InterRent Real Estate Investment Trust
Deferred Units Bouzanis, Paul 4 30/09/2017 56 91,826 3,204
InterRent Real Estate Investment Trust
Deferred Units Clancy, Michael Robert 5 30/09/2017 56 11,189 1,533
InterRent Real Estate Investment Trust
Deferred Units Leslie, Ronald A. 4 30/09/2017 56 113,564 3,191
InterRent Real Estate Investment Trust
Deferred Units Pangborn, Cheryl Anne 4 19/06/2017 00
InterRent Real Estate Investment Trust
Deferred Units Pangborn, Cheryl Anne 4 30/09/2017 56 2,349 2,349
InterRent Real Estate Investment Trust
Deferred Units Stone, Victor Reginald 4 30/09/2017 55 98,699 4,171
Intrinsyc Technologies Corporation
Common Shares Intrinsyc Technologies Corporation
1 02/10/2017 00
Intrinsyc Technologies Corporation
Common Shares Intrinsyc Technologies Corporation
1 04/10/2017 10 1.81 2,000 2,000
Intrinsyc Technologies Corporation
Common Shares Intrinsyc Technologies Corporation
1 04/10/2017 38 1.81 0 -2,000
Intrinsyc Technologies Corporation
Common Shares Intrinsyc Technologies Corporation
1 05/10/2017 10 1.7 5,000 5,000
Intrinsyc Technologies Corporation
Common Shares Intrinsyc Technologies Corporation
1 05/10/2017 38 1.7 0 -5,000
Intrinsyc Technologies Corporation
Common Shares Intrinsyc Technologies Corporation
1 06/10/2017 10 1.8 1,000 1,000
Intrinsyc Technologies Corporation
Common Shares Intrinsyc Technologies Corporation
1 06/10/2017 38 1.8 0 -1,000
Inventronics Limited Common Shares MONETTE, SERGE 3 03/10/2017 10 0.16 187,600 500
Inventus Mining Corp. Common Shares Sprott, Eric S. 3 04/10/2017 10 0.38 3,549,833 -111,500
Invictus MD Strategies Corp. Common Shares The K2 Principal Fund L.P. 3 02/10/2017 10 1.2116 5,615,200 -48,800
Invictus MD Strategies Corp. Common Shares The K2 Principal Fund L.P. 3 03/10/2017 10 1.2131 5,609,700 -5,500
Invictus MD Strategies Corp. Common Shares The K2 Principal Fund L.P. 3 04/10/2017 10 1.1814 5,559,100 -50,600
Invictus MD Strategies Corp. Common Shares The K2 Principal Fund L.P. 3 05/10/2017 10 1.2316 5,320,600 -238,500
Jaguar Mining Inc. Common Shares Sprott, Eric S. 3 27/09/2017 11 0.327 6,545,455 2,000,000
Jamieson Wellness Inc. Options Holtham, Angela Frances 4 01/09/2017 00
Jamieson Wellness Inc. Options Holtham, Angela Frances 4 29/09/2017 50 7,899 7,899
Jamieson Wellness Inc. Options Tafler, Jason 4 26/09/2017 00
Jamieson Wellness Inc. Options Tafler, Jason 4 29/09/2017 50 7,899 7,899
Jericho Oil Corporation (fka Dakar Resource Corp.)
Common Shares Williamson, Brian 7 01/10/2017 46 175,000 25,000
Journey Energy Inc. Common Shares Boklaschuk, Brett 1 01/10/2017 57 71,316 20,669
Journey Energy Inc. Common Shares Boklaschuk, Brett 1 01/10/2017 57 72,376 1,060
Journey Energy Inc. Rights Performance Share Unit
Boklaschuk, Brett 1 01/10/2017 57 40,770 -4,890
Journey Energy Inc. Rights Performance Share Unit
Boklaschuk, Brett 1 01/10/2017 56 69,770 29,000
Journey Energy Inc. Rights Restricted Share Unit
Boklaschuk, Brett 1 01/10/2017 57 38,700 -39,645
Journey Energy Inc. Rights Restricted Share Unit
Boklaschuk, Brett 1 01/10/2017 56 96,700 58,000
Journey Energy Inc. Common Shares Crone, Howard James 4 01/10/2017 57 46,509 4,071
Journey Energy Inc. Rights Restricted Share Unit
Crone, Howard James 4 01/10/2017 57 -5,209
Journey Energy Inc. Rights Restricted Share Unit
Crone, Howard James 4 01/10/2017 57 0 -5,208
Journey Energy Inc. Rights Restricted Share Unit
Crone, Howard James 4 01/10/2017 56 30,000 30,000
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8354
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Journey Energy Inc. Common Shares Gilewicz, Gerald 5 01/10/2017 57 87,456 47,920
Journey Energy Inc. Common Shares Gilewicz, Gerald 5 01/10/2017 57 90,832 3,376
Journey Energy Inc. Rights Performance Share Unit
Gilewicz, Gerald 5 01/10/2017 57 50,845 -8,100
Journey Energy Inc. Rights Performance Share Unit
Gilewicz, Gerald 5 01/10/2017 56 88,845 38,000
Journey Energy Inc. Rights Restricted Share Unit
Gilewicz, Gerald 5 01/10/2017 57 48,200 -47,750
Journey Energy Inc. Rights Restricted Share Unit
Gilewicz, Gerald 5 01/10/2017 56 124,200 76,000
Journey Energy Inc. Rights Restricted Share Unit
Hamilton, Glenn A. 4 20/06/2017 00
Journey Energy Inc. Rights Restricted Share Unit
Hamilton, Glenn A. 4 01/10/2017 56 30,000 30,000
Journey Energy Inc. Common Shares Journey Energy Inc. 1 27/09/2017 38 1.7 1,259,900 1,259,900
Journey Energy Inc. Common Shares Journey Energy Inc. 1 27/09/2017 38 0 -1,259,900
Journey Energy Inc. Rights Restricted Share Unit
Laustsen, Dana Bruce 4 19/06/2014 00
Journey Energy Inc. Rights Restricted Share Unit
Laustsen, Dana Bruce 4 01/10/2017 56 30,000 30,000
Journey Energy Inc. Common Shares Moore, Terry John 5 01/10/2017 57 167,646 24,225
Journey Energy Inc. Common Shares Moore, Terry John 5 01/10/2017 57 169,185 1,539
Journey Energy Inc. Rights Performance Share Unit
Moore, Terry John 5 01/10/2017 57 42,293 -7,100
Journey Energy Inc. Rights Performance Share Unit
Moore, Terry John 5 01/10/2017 56 71,293 29,000
Journey Energy Inc. Rights Restricted Share Unit
Moore, Terry John 5 01/10/2017 57 40,050 -42,100
Journey Energy Inc. Rights Restricted Share Unit
Moore, Terry John 5 01/10/2017 56 98,050 58,000
Journey Energy Inc. Common Shares Polini, Anthony Victor 5 01/10/2017 57 66,944 27,252
Journey Energy Inc. Common Shares Polini, Anthony Victor 5 01/10/2017 57 68,375 1,431
Journey Energy Inc. Rights Performance Share Unit
Polini, Anthony Victor 5 01/10/2017 57 40,770 -6,600
Journey Energy Inc. Rights Performance Share Unit
Polini, Anthony Victor 5 01/10/2017 56 69,770 29,000
Journey Energy Inc. Rights Restricted Share Unit
Polini, Anthony Victor 5 01/10/2017 57 38,700 -40,500
Journey Energy Inc. Rights Restricted Share Unit
Polini, Anthony Victor 5 01/10/2017 56 96,700 58,000
Journey Energy Inc. Rights Restricted Share Unit
Shay, Ryan 4 24/05/2017 00
Journey Energy Inc. Rights Restricted Share Unit
Shay, Ryan 4 01/10/2017 56 30,000 30,000
Journey Energy Inc. Common Shares Verge, Alexander G. 4, 5 27/09/2017 10 1.71 300,000
Journey Energy Inc. Common Shares Verge, Alexander G. 4, 5 27/09/2017 10 1.7 1,844,495 300,000
Journey Energy Inc. Common Shares Verge, Alexander G. 4, 5 01/10/2017 57 1,901,789 57,294
Journey Energy Inc. Common Shares Verge, Alexander G. 4, 5 01/10/2017 57 1,906,624 4,835
Journey Energy Inc. Rights Performance Share Unit
Verge, Alexander G. 4, 5 01/10/2017 57 64,500 -11,600
Journey Energy Inc. Rights Performance Share Unit
Verge, Alexander G. 4, 5 01/10/2017 56 114,500 50,000
Journey Energy Inc. Rights Restricted Share Unit
Verge, Alexander G. 4, 5 01/10/2017 57 58,750 -57,050
Journey Energy Inc. Rights Restricted Share Unit
Verge, Alexander G. 4, 5 01/10/2017 56 158,750 100,000
Karnalyte Resources Inc. Common Shares Matson, Peter David 4 28/09/2017 10 0.62 509,900 5,000
Killam Apartment Real Estate Investment Trust
Trust Units Watson, Wayne 4 04/10/2017 10 13.21 3,686 250
Kinaxis Inc. Common Shares Carreiro, Paul 5 03/10/2017 00
Kinaxis Inc. Options Carreiro, Paul 5 03/10/2017 00
Kinaxis Inc. Options Carreiro, Paul 5 03/10/2017 00
Kinaxis Inc. Options Carreiro, Paul 5 03/10/2017 00
Kingsway Financial Services Inc.
Common Shares Baqar, Hassan Raza 5 29/09/2017 10 6.0886 35,690 162
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8355
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 Fitzgerald, John Taylor Maloney Fitzgerald
4, 5 29/09/2017 10 6.0886 367,279 272
Kingsway Financial Services Inc.
Common Shares Hickey, William A. 5 29/09/2017 10 6.0886 72,574 246
Kingsway Financial Services Inc.
Common Shares Stilwell, Joseph David 4 29/09/2017 10 6.0995 311,053 1,386
Kingsway Financial Services Inc.
Common Shares Stilwell, Joseph David 4 29/09/2017 10 6.0995 2,516,704 8,714
Kingsway Financial Services Inc.
Common Shares Swets, Jr., Larry Gene 3, 4, 5 29/09/2017 10 6.0886 704,416 341
Kinross Gold Corporation Rights Deferred Share Units
Atkinson, Ian 4 30/09/2017 46 5.29 39,592 5,671
Kinross Gold Corporation Rights Deferred Share Units
Brough, John A. 4 30/09/2017 46 5.29 257,963 13,941
Kinross Gold Corporation Common Shares Etter, Gregory Van 5 03/10/2017 10 4.22 4,134 -4,551
Kinross Gold Corporation Rights Deferred Share Units
Huxley, John M.H. 4 30/09/2017 46 5.29 222,449 6,498
Kinross Gold Corporation Rights Deferred Share Units
Lethbridge, Ave Gabriella 4 30/09/2017 46 5.29 117,859 11,578
Kinross Gold Corporation Rights Deferred Share Units
McLeod-Seltzer, Catherine 4 30/09/2017 46 5.29 186,091 6,026
Kinross Gold Corporation Rights Deferred Share Units
Oliver, John Edwin 4, 5 30/09/2017 46 5.29 375,421 10,515
Kinross Gold Corporation Rights Deferred Share Units
Osborne, Kelly 4 30/09/2017 46 5.29 91,365 11,342
Kinross Gold Corporation Rights Deferred Share Units
Power, Una Marie 4 30/09/2017 46 5.29 254,191 5,789
Knight Therapeutics Inc. Common Shares Khouri, Amal 5 15/06/2017 30 9.83 100,172 627
Knight Therapeutics Inc. Common Shares Khouri, Amal 5 15/06/2017 30 100,282 110
Knight Therapeutics Inc. Common Shares Khouri, Amal 5 15/09/2017 30 8.72 100,991 709
Knight Therapeutics Inc. Common Shares Khouri, Amal 5 15/09/2017 30 101,094 103
Knight Therapeutics Inc. Common Shares Sakhia, Samira 4, 5 15/09/2017 30 8.72 19,006 810
Kontrol Energy Corp. Common Shares Del Vasto, Claudio 4 29/09/2017 54 0.3 577,160 100,000
Kontrol Energy Corp. Warrants Del Vasto, Claudio 4 29/09/2017 54 0.3 24,000 -100,000
Kontrol Energy Corp. Common Shares Smith, Steve 4, 5 02/10/2017 16 0.6 921,810 25,000
Kontrol Energy Corp. Warrants Smith, Steve 4, 5 02/10/2017 53 0.8 75,000 25,000
KYC Technology Inc Common Shares Wettreich, Daniel 3 11/09/2017 00
KYC Technology Inc Common Shares Wettreich, Daniel 3 11/09/2017 00 1,296,754
KYC Technology Inc Common Shares Wettreich, Daniel 3 05/10/2017 11 0.04 1,596,754 300,000
LEAGOLD MINING CORPORATION
Deferred Share Units Ball, Russell David 4 03/10/2017 56 2.518 65,843 7,446
LEAGOLD MINING CORPORATION
Deferred Share Units Campbell, Gordon 4 03/10/2017 56 2.518 75,064 7,446
LEAGOLD MINING CORPORATION
Deferred Share Units Clark, Wesley Kanne 4 03/10/2017 56 2.518 77,120 7,446
LEAGOLD MINING CORPORATION
Deferred Share Units Garel-Jones, Tristan William, Armand, Thomas
4 03/10/2017 56 2.518 60,555 7,446
LEAGOLD MINING CORPORATION
Deferred Share Units Giustra, Frank 4 03/10/2017 56 2.518 77,120 7,446
LEAGOLD MINING CORPORATION
Deferred Share Units Rodriguez, Miguel 4 03/10/2017 56 2.518 77,120 7,446
LiCo Energy Metals Inc. Common Shares LOEWEN, RON 3 28/09/2017 10 0.105 9,573,581 -61,000
LiCo Energy Metals Inc. Common Shares LOEWEN, RON 3 29/09/2017 10 0.105 9,473,581 -100,000
LiCo Energy Metals Inc. Common Shares LOEWEN, RON 3 29/09/2017 10 0.085 9,453,581 -20,000
Lightning Ventures Inc. Common Shares Rainwater, Donald 4, 6, 5 28/09/2017 11 7,901,391
Lightning Ventures Inc. Common Shares Rainwater, Donald 4, 6, 5 28/09/2017 11 7,901,391
Linamar Corporation Options Bennett, Ronald Dale 4 03/10/2017 51 14.7 0 -2,400
Linamar Corporation Common Shares McDougall, Kenneth 5 03/10/2017 10 78.74 3,769 -2,500
LIONS GATE ENTERTAINMENT CORP.
Common Shares Class A Voting
Barge, James 5 04/10/2017 46 38,913 3,125
LIONS GATE ENTERTAINMENT CORP.
Common Shares Class A Voting
Barge, James 5 04/10/2017 30 32.2 37,282 -1,631
LIONS GATE ENTERTAINMENT CORP.
Non-Voting Shares Class B
Barge, James 5 30/09/2017 30 31.79 -13,045
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8356
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
LIONS GATE ENTERTAINMENT CORP.
Non-Voting Shares Class B
Barge, James 5 30/09/2017 30 31.79 -13,045
LIONS GATE ENTERTAINMENT CORP.
Non-Voting Shares Class B
Barge, James 5 30/09/2017 30 31.79 122,743 -13,045
LIONS GATE ENTERTAINMENT CORP.
Non-Voting Shares Class B
Barge, James 5 04/10/2017 46 125,868 3,125
LIONS GATE ENTERTAINMENT CORP.
Non-Voting Shares Class B
Barge, James 5 04/10/2017 30 30.85 124,237 -1,631
LIONS GATE ENTERTAINMENT CORP.
Options Barge, James 5 04/10/2017 56 38.76 194,380 21,495
LIONS GATE ENTERTAINMENT CORP.
Options Barge, James 5 04/10/2017 56 37.47 194,380 21,495
LIONS GATE ENTERTAINMENT CORP.
Rights Share Appreciation Barge, James 5 04/10/2017 56 25.22 531,250 106,250
LIONS GATE ENTERTAINMENT CORP.
Common Shares Class A Voting
Crawford, Gordon 4 01/10/2017 46 32.12 171,343 476
LIONS GATE ENTERTAINMENT CORP.
Non-Voting Shares Class B
Crawford, Gordon 4 01/10/2017 46 30.82 206,453 496
LIONS GATE ENTERTAINMENT CORP.
Common Shares Class A Voting
Evrensel, Arthur 4 01/10/2017 46 32.12 23,580 255
LIONS GATE ENTERTAINMENT CORP.
Common Shares Class A Voting
Evrensel, Arthur 4 01/10/2017 30 32.12 23,562 -18
LIONS GATE ENTERTAINMENT CORP.
Non-Voting Shares Class B
Evrensel, Arthur 4 01/10/2017 46 30.82 23,640 266
LIONS GATE ENTERTAINMENT CORP.
Non-Voting Shares Class B
Evrensel, Arthur 4 01/10/2017 30 30.82 23,621 -19
LIONS GATE ENTERTAINMENT CORP.
Common Shares Class A Voting
Fine, Emily 4 01/10/2017 46 32.12 2,591 520
LIONS GATE ENTERTAINMENT CORP.
Non-Voting Shares Class B
Fine, Emily 4 01/10/2017 46 30.82 2,664 542
LIONS GATE ENTERTAINMENT CORP.
Common Shares Class A Voting
Goldsmith, Brian 5 30/09/2017 30 33.45 -4,892
LIONS GATE ENTERTAINMENT CORP.
Common Shares Class A Voting
Goldsmith, Brian 5 30/09/2017 30 33.45 -4,892
LIONS GATE ENTERTAINMENT CORP.
Common Shares Class A Voting
Goldsmith, Brian 5 30/09/2017 30 33.45 74,681 -4,892
LIONS GATE ENTERTAINMENT CORP.
Common Shares Class A Voting
Goldsmith, Brian 5 04/10/2017 46 84,056 9,375
LIONS GATE ENTERTAINMENT CORP.
Common Shares Class A Voting
Goldsmith, Brian 5 04/10/2017 30 32.2 79,164 -4,892
LIONS GATE ENTERTAINMENT CORP.
Non-Voting Shares Class B
Goldsmith, Brian 5 30/09/2017 30 31.79 -4,982
LIONS GATE ENTERTAINMENT CORP.
Non-Voting Shares Class B
Goldsmith, Brian 5 30/09/2017 30 31.79 -4,982
LIONS GATE ENTERTAINMENT CORP.
Non-Voting Shares Class B
Goldsmith, Brian 5 30/09/2017 30 31.79 74,641 -4,892
LIONS GATE ENTERTAINMENT CORP.
Non-Voting Shares Class B
Goldsmith, Brian 5 04/10/2017 46 84,016 9,375
LIONS GATE ENTERTAINMENT CORP.
Non-Voting Shares Class B
Goldsmith, Brian 5 04/10/2017 30 30.85 79,124 -4,892
LIONS GATE ENTERTAINMENT CORP.
Options Goldsmith, Brian 5 04/10/2017 56 39.16 230,310 16,582
LIONS GATE ENTERTAINMENT CORP.
Options Goldsmith, Brian 5 04/10/2017 56 37.86 230,310 16,582
LIONS GATE ENTERTAINMENT CORP.
Options Goldsmith, Brian 5 04/10/2017 56 1
LIONS GATE ENTERTAINMENT CORP.
Options Goldsmith, Brian 5 04/10/2017 56 1
LIONS GATE ENTERTAINMENT CORP.
Common Shares Class A Voting
Paterson, G. Scott 4 01/10/2017 46 32.12 550
LIONS GATE ENTERTAINMENT CORP.
Common Shares Class A Voting
Paterson, G. Scott 4 01/10/2017 46 32.12 550
LIONS GATE ENTERTAINMENT CORP.
Common Shares Class A Voting
Paterson, G. Scott 4 01/10/2017 30 32.12 -138
LIONS GATE ENTERTAINMENT CORP.
Common Shares Class A Voting
Paterson, G. Scott 4 01/10/2017 30 32.12 -138
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8357
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
LIONS GATE ENTERTAINMENT CORP.
Common Shares Class A Voting
Paterson, G. Scott 4 01/10/2017 46 32.12 550
LIONS GATE ENTERTAINMENT CORP.
Common Shares Class A Voting
Paterson, G. Scott 4 01/10/2017 46 32.12 550
LIONS GATE ENTERTAINMENT CORP.
Common Shares Class A Voting
Paterson, G. Scott 4 01/10/2017 30 32.12 -138
LIONS GATE ENTERTAINMENT CORP.
Common Shares Class A Voting
Paterson, G. Scott 4 01/10/2017 30 32.12 -138
LIONS GATE ENTERTAINMENT CORP.
Common Shares Class A Voting
Paterson, G. Scott 4 01/10/2017 46 32.12 121,829 550
LIONS GATE ENTERTAINMENT CORP.
Common Shares Class A Voting
Paterson, G. Scott 4 01/10/2017 30 32.12 121,691 -138
LIONS GATE ENTERTAINMENT CORP.
Non-Voting Shares Class B
Paterson, G. Scott 4 01/10/2017 46 30.82 573
LIONS GATE ENTERTAINMENT CORP.
Non-Voting Shares Class B
Paterson, G. Scott 4 01/10/2017 46 30.82 573
LIONS GATE ENTERTAINMENT CORP.
Non-Voting Shares Class B
Paterson, G. Scott 4 01/10/2017 30 30.82 -143
LIONS GATE ENTERTAINMENT CORP.
Non-Voting Shares Class B
Paterson, G. Scott 4 01/10/2017 30 30.82 -143
LIONS GATE ENTERTAINMENT CORP.
Non-Voting Shares Class B
Paterson, G. Scott 4 01/10/2017 46 30.82 121,918 573
LIONS GATE ENTERTAINMENT CORP.
Non-Voting Shares Class B
Paterson, G. Scott 4 01/10/2017 30 30.82 121,775 -143
LIONS GATE ENTERTAINMENT CORP.
Common Shares Class A Voting
Rachesky, Dr. Mark H. 3, 4, 6 01/10/2017 46 32.12 34,232 564
LIONS GATE ENTERTAINMENT CORP.
Non-Voting Shares Class B
Rachesky, Dr. Mark H. 3, 4, 6 01/10/2017 46 30.82 34,396 587
LIONS GATE ENTERTAINMENT CORP.
Common Shares Class A Voting
Simm, Daryl 4 01/10/2017 46 32.12 38,216 266
LIONS GATE ENTERTAINMENT CORP.
Non-Voting Shares Class B
Simm, Daryl 4 01/10/2017 46 30.82 38,290 277
LIONS GATE ENTERTAINMENT CORP.
Common Shares Class A Voting
SIMMONS, HARDWICK 4 01/10/2017 46 32.12 46,479 299
LIONS GATE ENTERTAINMENT CORP.
Non-Voting Shares Class B
SIMMONS, HARDWICK 4 01/10/2017 46 30.82 46,560 311
Loblaw Companies Limited Common Shares Loblaw Companies Limited 1 05/09/2017 38 65.205 888,200 128,000
Loblaw Companies Limited Common Shares Loblaw Companies Limited 1 06/09/2017 38 65.104 1,016,200 128,000
Loblaw Companies Limited Common Shares Loblaw Companies Limited 1 07/09/2017 38 65.788 1,259,800 243,600
Loblaw Companies Limited Common Shares Loblaw Companies Limited 1 08/09/2017 38 65.058 1,387,800 128,000
Loblaw Companies Limited Common Shares Loblaw Companies Limited 1 11/09/2017 38 65.356 1,515,800 128,000
Loblaw Companies Limited Common Shares Loblaw Companies Limited 1 12/09/2017 38 65.408 1,643,800 128,000
Loblaw Companies Limited Common Shares Loblaw Companies Limited 1 13/09/2017 38 65.354 1,771,800 128,000
Loblaw Companies Limited Common Shares Loblaw Companies Limited 1 14/09/2017 38 65.991 1,899,800 128,000
Loblaw Companies Limited Common Shares Loblaw Companies Limited 1 15/09/2017 38 66.355 2,027,800 128,000
Loblaw Companies Limited Common Shares Loblaw Companies Limited 1 15/09/2017 38 256,000 -1,771,800
Loblaw Companies Limited Common Shares Loblaw Companies Limited 1 18/09/2017 38 66.579 384,000 128,000
Loblaw Companies Limited Common Shares Loblaw Companies Limited 1 19/09/2017 38 66.949 512,000 128,000
Loblaw Companies Limited Common Shares Loblaw Companies Limited 1 20/09/2017 38 66.911 640,000 128,000
Loblaw Companies Limited Common Shares Loblaw Companies Limited 1 21/09/2017 38 66.951 768,000 128,000
Loblaw Companies Limited Common Shares Loblaw Companies Limited 1 22/09/2017 38 67.02 926,000 158,000
Loblaw Companies Limited Common Shares Loblaw Companies Limited 1 25/09/2017 38 66.667 1,054,000 128,000
Loblaw Companies Limited Common Shares Loblaw Companies Limited 1 26/09/2017 38 66.962 1,182,000 128,000
Loblaw Companies Limited Common Shares Loblaw Companies Limited 1 27/09/2017 38 66.833 1,411,950 229,950
Loblaw Companies Limited Common Shares Loblaw Companies Limited 1 28/09/2017 38 67.862 1,539,950 128,000
Loblaw Companies Limited Common Shares Loblaw Companies Limited 1 29/09/2017 38 68.153 1,667,950 128,000
Loblaw Companies Limited Common Shares Loblaw Companies Limited 1 29/09/2017 38 741,950 -926,000
Logistec Corporation Subordinate Voting Shares Class B
LOGISTEC CORPORATION
1 06/09/2017 38 37.26 500 500
Logistec Corporation Subordinate Voting Shares Class B
LOGISTEC CORPORATION
1 21/09/2017 38 38.15 600 100
Logistec Corporation Subordinate Voting Shares Class B
LOGISTEC CORPORATION
1 29/09/2017 38 0 -600
Lotus Ventures Inc. Common Shares Borys Busby, Miriam 3 02/10/2017 10 0.29 4,607,335 -1,500
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8358
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Lotus Ventures Inc. Common Shares Borys Busby, Miriam 3 04/10/2017 10 0.29 4,605,835 -1,500
Lotus Ventures Inc. Common Shares Borys Busby, Miriam 3 05/10/2017 10 0.29 4,603,835 -2,000
LXRandCo, Inc. (formerly Gibraltar Growth Corporation)
Options di PRATA, Camillo 5 25/09/2015 00
LXRandCo, Inc. (formerly Gibraltar Growth Corporation)
Options di PRATA, Camillo 5 25/09/2015 00
LXRandCo, Inc. (formerly Gibraltar Growth Corporation)
Options di PRATA, Camillo 5 09/06/2017 00
LXRandCo, Inc. (formerly Gibraltar Growth Corporation)
Options di PRATA, Camillo 5 09/06/2017 50 3,754 3,754
LXRandCo, Inc. (formerly Gibraltar Growth Corporation)
Options di PRATA, Camillo 5 09/06/2017 50 20,027 16,273
LXRandCo, Inc. (formerly Gibraltar Growth Corporation)
Options di PRATA, Camillo 5 02/10/2017 38 19,751 -276
LXRandCo, Inc. (formerly Gibraltar Growth Corporation)
Class B Shares Gibraltar & Company, Inc. 3 02/10/2017 38 588,642 -8,240
LXRandCo, Inc. (formerly Gibraltar Growth Corporation)
Options Inamura, Masami 4 02/10/2017 38 3,088 -43
LXRandCo, Inc. (formerly Gibraltar Growth Corporation)
Class B Shares Izawa, Kei 4 09/06/2009 00
LXRandCo, Inc. (formerly Gibraltar Growth Corporation)
Class B Shares Izawa, Kei 4 09/06/2017 00 458,408
LXRandCo, Inc. (formerly Gibraltar Growth Corporation)
Class B Shares Izawa, Kei 4 02/10/2017 38 452,078 -6,330
LXRandCo, Inc. (formerly Gibraltar Growth Corporation)
Options Izawa, Kei 4 09/06/2009 00
LXRandCo, Inc. (formerly Gibraltar Growth Corporation)
Options Izawa, Kei 4 09/06/2017 00 20,027
LXRandCo, Inc. (formerly Gibraltar Growth Corporation)
Options Izawa, Kei 4 02/10/2017 38 19,751 -276
LXRandCo, Inc. (formerly Gibraltar Growth Corporation)
Class B Shares Mannella, Frederick 4 02/10/2017 38 3,966,884 -55,623
LXRandCo, Inc. (formerly Gibraltar Growth Corporation)
Options Mannella, Frederick 4 02/10/2017 38 19,751 -276
LXRandCo, Inc. (formerly Gibraltar Growth Corporation)
Class B Shares Mannella, Luc 4 02/10/2017 38 64,278 -897
LXRandCo, Inc. (formerly Gibraltar Growth Corporation)
Options Mannella, Luc 4 02/10/2017 38 16,049 -225
LXRandCo, Inc. (formerly Gibraltar Growth Corporation)
Options San Juan, Javier 4 25/09/2015 00
LXRandCo, Inc. (formerly Gibraltar Growth Corporation)
Options San Juan, Javier 4 25/09/2015 00
LXRandCo, Inc. (formerly Gibraltar Growth Corporation)
Options San Juan, Javier 4 09/06/2017 00
LXRandCo, Inc. (formerly Gibraltar Growth Corporation)
Options San Juan, Javier 4 09/06/2017 50 32,488 32,488
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8359
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
LXRandCo, Inc. (formerly Gibraltar Growth Corporation)
Options San Juan, Javier 4 02/10/2017 38 32,039 -449
LXRandCo, Inc. (formerly Gibraltar Growth Corporation)
Class B Shares Stepak, Jeremy 5 25/09/2015 00
LXRandCo, Inc. (formerly Gibraltar Growth Corporation)
Class B Shares Stepak, Jeremy 5 09/06/2017 00
MacDonald, Dettwiler and Associates Ltd.
(DSUs, DRSUs, SARs) Chookaszian, Dennis 4 30/09/2017 46 17,465 567
MacDonald, Dettwiler and Associates Ltd.
(DSUs, DRSUs, SARs) Garver, Lori 4 30/09/2017 46 3,046 492
MacDonald, Dettwiler and Associates Ltd.
(DSUs, DRSUs, SARs) Kehler, Robert 4 30/09/2017 46 1,923 487
MacDonald, Dettwiler and Associates Ltd.
(DSUs, DRSUs, SARs) Kenning, Brian Graham 4 30/09/2017 46 11,854 539
MacDonald, Dettwiler and Associates Ltd.
(DSUs, DRSUs, SARs) O'Rourke Isham, Joanne 4 30/09/2017 46 1,923 487
MacDonald, Dettwiler and Associates Ltd.
(DSUs, DRSUs, SARs) Phillips, Robert L. 4 30/09/2017 46 27,743 788
MacDonald, Dettwiler and Associates Ltd.
(DSUs, DRSUs, SARs) Zahler, Eric 4 30/09/2017 46 7,011 895
Mag One Products Inc. Common Shares Skalbania, Nelson Mathew 4 28/09/2017 11 0.2 -1,500,000
Mag One Products Inc. Common Shares Skalbania, Nelson Mathew 4 29/09/2017 11 0.2 996,000 -1,500,000
Mag One Products Inc. Common Shares Skalbania, Nelson Mathew 4 02/10/2017 10 0.4 846,000 -150,000
Magna International Inc. Rights Deferred Share Units
Bonham, Scott Barclay 4 10/05/2012 00
Magna International Inc. Rights Deferred Share Units
Bonham, Scott Barclay 4 06/10/2017 99 49,298 49,298
Magna International Inc. Units Deferred Share Units
Bonham, Scott Barclay 4 15/09/2017 35 51.01 47,724 256
Magna International Inc. Units Deferred Share Units
Bonham, Scott Barclay 4 30/09/2017 56 53.38 48,361 637
Magna International Inc. Units Deferred Share Units
Bonham, Scott Barclay 4 01/10/2017 56 53.38 49,298 937
Magna International Inc. Units Deferred Share Units
Bonham, Scott Barclay 4 06/10/2017 99 0 -49,298
Magna International Inc. Rights Deferred Share Units
Bowie, Peter Guy 4 10/05/2012 00
Magna International Inc. Rights Deferred Share Units
Bowie, Peter Guy 4 06/10/2017 99 37,179 37,179
Magna International Inc. Units Deferred Share Units
Bowie, Peter Guy 4 15/09/2017 35 51.01 36,022 193
Magna International Inc. Units Deferred Share Units
Bowie, Peter Guy 4 30/09/2017 56 53.38 36,359 337
Magna International Inc. Units Deferred Share Units
Bowie, Peter Guy 4 01/10/2017 56 53.38 37,179 820
Magna International Inc. Units Deferred Share Units
Bowie, Peter Guy 4 06/10/2017 99 0 -37,179
Magna International Inc. Rights Deferred Share Units
Chan, Mary Shio 4 10/08/2017 00
Magna International Inc. Rights Deferred Share Units
Chan, Mary Shio 4 06/10/2017 99 2,175 2,175
Magna International Inc. Units Deferred Share Units
Chan, Mary Shio 4 15/09/2017 35 51.01 526 3
Magna International Inc. Units Deferred Share Units
Chan, Mary Shio 4 30/09/2017 56 53.38 901 375
Magna International Inc. Units Deferred Share Units
Chan, Mary Shio 4 01/10/2017 56 53.38 2,175 1,274
Magna International Inc. Units Deferred Share Units
Chan, Mary Shio 4 06/10/2017 99 0 -2,175
Magna International Inc. Rights Deferred Share Units
Judge, Barbara Thomas 4 20/09/2007 00
Magna International Inc. Rights Deferred Share Units
Judge, Barbara Thomas 4 06/10/2017 99 120,225 120,225
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8360
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Magna International Inc. Units Deferred Share Units
Judge, Barbara Thomas 4 15/09/2017 35 51.01 118,759 637
Magna International Inc. Units Deferred Share Units
Judge, Barbara Thomas 4 30/09/2017 56 53.38 119,171 412
Magna International Inc. Units Deferred Share Units
Judge, Barbara Thomas 4 01/10/2017 56 53.38 120,225 1,054
Magna International Inc. Units Deferred Share Units
Judge, Barbara Thomas 4 06/10/2017 99 0 -120,225
Magna International Inc. Rights Deferred Share Units
Lauk, Kurt 4 04/05/2011 00
Magna International Inc. Rights Deferred Share Units
Lauk, Kurt 4 06/10/2017 99 27,834 27,834
Magna International Inc. Units Deferred Share Units
Lauk, Kurt 4 15/09/2017 35 51.01 27,413 147
Magna International Inc. Units Deferred Share Units
Lauk, Kurt 4 01/10/2017 56 53.38 27,834 421
Magna International Inc. Units Deferred Share Units
Lauk, Kurt 4 06/10/2017 99 0 -27,834
Magna International Inc. Common Shares Magna International Inc. 1 01/09/2017 38 60.976 759,261 59,500
Magna International Inc. Common Shares Magna International Inc. 1 01/09/2017 38 49.219 812,735 53,474
Magna International Inc. Common Shares Magna International Inc. 1 01/09/2017 38 562,735 -250,000
Magna International Inc. Common Shares Magna International Inc. 1 05/09/2017 38 59.513 672,735 110,000
Magna International Inc. Common Shares Magna International Inc. 1 05/09/2017 38 48.105 782,735 110,000
Magna International Inc. Common Shares Magna International Inc. 1 05/09/2017 38 582,735 -200,000
Magna International Inc. Common Shares Magna International Inc. 1 06/09/2017 38 59.172 687,735 105,000
Magna International Inc. Common Shares Magna International Inc. 1 06/09/2017 38 48.39 792,735 105,000
Magna International Inc. Common Shares Magna International Inc. 1 06/09/2017 38 692,157 -100,578
Magna International Inc. Common Shares Magna International Inc. 1 07/09/2017 38 58.933 797,157 105,000
Magna International Inc. Common Shares Magna International Inc. 1 07/09/2017 38 48.519 902,157 105,000
Magna International Inc. Common Shares Magna International Inc. 1 07/09/2017 38 569,183 -332,974
Magna International Inc. Common Shares Magna International Inc. 1 08/09/2017 38 58.956 674,183 105,000
Magna International Inc. Common Shares Magna International Inc. 1 08/09/2017 38 48.57 779,183 105,000
Magna International Inc. Common Shares Magna International Inc. 1 08/09/2017 38 569,183 -210,000
Magna International Inc. Common Shares Magna International Inc. 1 11/09/2017 38 59.271 674,183 105,000
Magna International Inc. Common Shares Magna International Inc. 1 11/09/2017 38 48.869 779,183 105,000
Magna International Inc. Common Shares Magna International Inc. 1 11/09/2017 38 569,183 -210,000
Magna International Inc. Common Shares Magna International Inc. 1 12/09/2017 38 59.638 674,183 105,000
Magna International Inc. Common Shares Magna International Inc. 1 12/09/2017 38 49.057 779,183 105,000
Magna International Inc. Common Shares Magna International Inc. 1 12/09/2017 38 569,183 -210,000
Magna International Inc. Common Shares Magna International Inc. 1 13/09/2017 38 59.817 674,183 105,000
Magna International Inc. Common Shares Magna International Inc. 1 13/09/2017 38 49.056 779,183 105,000
Magna International Inc. Common Shares Magna International Inc. 1 13/09/2017 38 569,183 -210,000
Magna International Inc. Common Shares Magna International Inc. 1 14/09/2017 38 61.075 573,183 4,000
Magna International Inc. Common Shares Magna International Inc. 1 14/09/2017 38 50.101 577,283 4,100
Magna International Inc. Common Shares Magna International Inc. 1 14/09/2017 38 367,283 -210,000
Magna International Inc. Common Shares Magna International Inc. 1 15/09/2017 38 157,283 -210,000
Magna International Inc. Common Shares Magna International Inc. 1 18/09/2017 38 63.38 232,283 75,000
Magna International Inc. Common Shares Magna International Inc. 1 18/09/2017 38 51.765 307,283 75,000
Magna International Inc. Common Shares Magna International Inc. 1 18/09/2017 38 299,183 -8,100
Magna International Inc. Common Shares Magna International Inc. 1 19/09/2017 38 63.741 374,183 75,000
Magna International Inc. Common Shares Magna International Inc. 1 19/09/2017 38 51.903 449,183 75,000
Magna International Inc. Common Shares Magna International Inc. 1 20/09/2017 38 64.15 524,183 75,000
Magna International Inc. Common Shares Magna International Inc. 1 20/09/2017 38 52.204 599,183 75,000
Magna International Inc. Common Shares Magna International Inc. 1 20/09/2017 38 449,183 -150,000
Magna International Inc. Common Shares Magna International Inc. 1 21/09/2017 38 64.515 528,183 79,000
Magna International Inc. Common Shares Magna International Inc. 1 21/09/2017 38 52.292 592,533 64,350
Magna International Inc. Common Shares Magna International Inc. 1 21/09/2017 38 442,533 -150,000
Magna International Inc. Common Shares Magna International Inc. 1 22/09/2017 38 65.405 542,533 100,000
Magna International Inc. Common Shares Magna International Inc. 1 22/09/2017 38 53.086 642,533 100,000
Magna International Inc. Common Shares Magna International Inc. 1 22/09/2017 38 492,533 -150,000
Magna International Inc. Common Shares Magna International Inc. 1 25/09/2017 38 65.784 592,533 100,000
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8361
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Magna International Inc. Common Shares Magna International Inc. 1 25/09/2017 38 53.316 692,533 100,000
Magna International Inc. Common Shares Magna International Inc. 1 25/09/2017 38 549,183 -143,350
Magna International Inc. Common Shares Magna International Inc. 1 26/09/2017 38 66.071 649,183 100,000
Magna International Inc. Common Shares Magna International Inc. 1 26/09/2017 38 53.414 749,183 100,000
Magna International Inc. Common Shares Magna International Inc. 1 26/09/2017 38 549,183 -200,000
Magna International Inc. Common Shares Magna International Inc. 1 27/09/2017 38 66.324 649,183 100,000
Magna International Inc. Common Shares Magna International Inc. 1 27/09/2017 38 53.475 749,183 100,000
Magna International Inc. Common Shares Magna International Inc. 1 27/09/2017 38 549,183 -200,000
Magna International Inc. Common Shares Magna International Inc. 1 28/09/2017 38 66.464 649,183 100,000
Magna International Inc. Common Shares Magna International Inc. 1 28/09/2017 38 53.376 749,183 100,000
Magna International Inc. Common Shares Magna International Inc. 1 28/09/2017 38 549,183 -200,000
Magna International Inc. Common Shares Magna International Inc. 1 29/09/2017 38 66.758 627,383 78,200
Magna International Inc. Common Shares Magna International Inc. 1 29/09/2017 38 53.465 705,328 77,945
Magna International Inc. Common Shares Magna International Inc. 1 29/09/2017 38 505,328 -200,000
Magna International Inc. Rights Deferred Share Units
Niekamp, Cynthia 4 08/05/2014 00
Magna International Inc. Rights Deferred Share Units
Niekamp, Cynthia 4 06/10/2017 99 7,319 7,319
Magna International Inc. Units Deferred Share Units
Niekamp, Cynthia 4 15/09/2017 35 51.01 6,898 37
Magna International Inc. Units Deferred Share Units
Niekamp, Cynthia 4 01/10/2017 56 53.38 7,319 421
Magna International Inc. Units Deferred Share Units
Niekamp, Cynthia 4 06/10/2017 99 0 -7,319
Magna International Inc. Rights Deferred Share Units
RUH, WILLIAM ANTHONY 4 11/05/2017 00
Magna International Inc. Rights Deferred Share Units
RUH, WILLIAM ANTHONY 4 06/10/2017 99 2,849 2,849
Magna International Inc. Units Deferred Share Units
RUH, WILLIAM ANTHONY 4 15/09/2017 35 51.01 1,917 10
Magna International Inc. Units Deferred Share Units
RUH, WILLIAM ANTHONY 4 30/09/2017 56 53.38 2,030 113
Magna International Inc. Units Deferred Share Units
RUH, WILLIAM ANTHONY 4 01/10/2017 56 53.38 2,849 819
Magna International Inc. Units Deferred Share Units
RUH, WILLIAM ANTHONY 4 06/10/2017 99 0 -2,849
Magna International Inc. Rights Deferred Share Units
Samarasekera, Indira Vasanti
4 08/05/2014 00
Magna International Inc. Rights Deferred Share Units
Samarasekera, Indira Vasanti
4 06/10/2017 99 20,979 20,979
Magna International Inc. Units Deferred Share Units
Samarasekera, Indira Vasanti
4 15/09/2017 35 51.01 19,673 106
Magna International Inc. Units Deferred Share Units
Samarasekera, Indira Vasanti
4 30/09/2017 56 53.38 20,160 487
Magna International Inc. Units Deferred Share Units
Samarasekera, Indira Vasanti
4 01/10/2017 56 53.38 20,979 819
Magna International Inc. Units Deferred Share Units
Samarasekera, Indira Vasanti
4 06/10/2017 99 0 -20,979
Magna International Inc. Rights Deferred Share Units
Worrall, Lawrence 4 07/11/2005 00
Magna International Inc. Rights Deferred Share Units
Worrall, Lawrence 4 06/10/2017 99 52,884 52,884
Magna International Inc. Units Deferred Share Units
Worrall, Lawrence 4 15/09/2017 35 51.01 52,463 281
Magna International Inc. Units Deferred Share Units
Worrall, Lawrence 4 01/10/2017 56 53.38 52,884 421
Magna International Inc. Units Deferred Share Units
Worrall, Lawrence 4 06/10/2017 99 0 -52,884
Magna International Inc. Rights Deferred Share Units
Young, William 4 04/05/2011 00
Magna International Inc. Rights Deferred Share Units
Young, William 4 06/10/2017 99 86,158 86,158
Magna International Inc. Units Deferred Share Units
Young, William 4 15/09/2017 35 51.01 83,816 449
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8362
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Magna International Inc. Units Deferred Share Units
Young, William 4 01/10/2017 56 53.38 86,158 2,342
Magna International Inc. Units Deferred Share Units
Young, William 4 06/10/2017 99 0 -86,158
Magnum Goldcorp Inc. Common Shares Evans, Daniel Bernard 4 10/05/2016 11 2,447,804 917,804
Magnum Goldcorp Inc. Common Shares Evans, Daniel Bernard 4 10/05/2016 11 511,865 511,865
Magnum Goldcorp Inc. Common Shares Evans, David Herbert 4 10/05/2016 11 3,617,385 1,867,385
Magnum Goldcorp Inc. Common Shares Evans, David Herbert 4 02/08/2011 00
Magnum Goldcorp Inc. Common Shares Evans, David Herbert 4 10/05/2016 11 134,559 134,559
Magnum Goldcorp Inc. Common Shares Mason, Douglas Lawrence 4 28/09/2017 10 0.055 2,658,985 50,000
Magnum Goldcorp Inc. Common Shares Mason, Douglas Lawrence 4 02/10/2017 10 0.055 2,708,985 50,000
Magnum Goldcorp Inc. Common Shares Mason, Douglas Lawrence 4 04/10/2017 10 0.05 2,754,985 46,000
Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 01/09/2017 38 37 4,060,802 100
Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 01/09/2017 38 37 4,060,702 -100
Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 05/09/2017 38 37 4,061,761 1,059
Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 05/09/2017 38 37 4,060,702 -1,059
Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 07/09/2017 38 36.989 4,061,761 1,059
Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 07/09/2017 38 36.989 4,060,702 -1,059
Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 08/09/2017 38 37 4,061,761 1,059
Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 08/09/2017 38 37 4,060,702 -1,059
Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 12/09/2017 38 36.91 4,061,402 700
Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 12/09/2017 38 36.91 4,060,702 -700
Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 12/09/2017 38 36.91 4,060,802 100
Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 12/09/2017 38 36.91 4,060,702 -100
Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 12/09/2017 38 36.904 4,060,861 159
Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 12/09/2017 38 36.904 4,060,702 -159
Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 13/09/2017 38 36.761 4,061,402 700
Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 13/09/2017 38 36.761 4,060,702 -700
Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 19/09/2017 38 36.99 4,060,902 200
Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 19/09/2017 38 36.99 4,060,702 -200
Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 20/09/2017 38 37 4,061,761 1,059
Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 20/09/2017 38 37 4,060,702 -1,059
Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 21/09/2017 38 37 4,060,802 100
Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 21/09/2017 38 37 4,060,702 -100
Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 26/09/2017 38 37 4,061,002 300
Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 26/09/2017 38 37 4,060,702 -300
Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 27/09/2017 38 37 4,061,702 1,000
Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 27/09/2017 38 37 4,060,702 -1,000
Mainstreet Health Investments Inc. (formerly, Kingsway Arms Retirement Residences Inc.)
Rights Deferred Share Units
amadori, dan peter 4 30/09/2017 56 8,375 1,746
Mainstreet Health Investments Inc. (formerly, Kingsway Arms Retirement Residences Inc.)
Rights Deferred Share Units
Benbow, Bradley 4 30/09/2017 56 16,176 3,683
Mainstreet Health Investments Inc. (formerly, Kingsway Arms Retirement Residences Inc.)
Rights Deferred Share Units
Hawkins, Shaun 4 30/09/2017 56 21,460 4,408
Mainstreet Health Investments Inc. (formerly, Kingsway Arms Retirement Residences Inc.)
Rights Deferred Share Units
Turner, Thomas Richard 4 30/09/2017 56 6,664 1,431
Manitex Capital Inc. Options Saviuk, Steve 4, 6, 5 05/09/2017 52 0 -500,000
Manitex Capital Inc. Options Saviuk, Steve 4, 6, 5 29/09/2017 50 0.42 600,000 600,000
Manitok Energy Inc. Common Shares Geremia, Massimo Mario 5 03/10/2017 30 0.0652 368,969 27,593
Manitok Energy Inc. Common Shares Jerhoff, Timothy Franklin 5 03/10/2017 30 0.0652 345,909 25,869
Manitok Energy Inc. Common Shares Martin, Donald Robert 5 03/10/2017 30 0.0652 321,946 24,144
Manitok Energy Inc. Common Shares PERRY, RODGER DEAN 5 03/10/2017 30 0.0652 287,101 21,845
Manulife Financial Corporation
Deferred Share Units Ambrose, Ronalee Hope 4 30/09/2017 46 25.22 617 617
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8363
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Manulife Financial Corporation
Deferred Share Units Caron, Joseph Peter 4 30/09/2017 46 25.22 39,403 925
Manulife Financial Corporation
Deferred Share Units Caron, Joseph Peter 4 30/09/2017 30 39,732 329
Manulife Financial Corporation
Deferred Share Units Cassaday, John M. 4 30/09/2017 46 25.22 153,533 1,499
Manulife Financial Corporation
Deferred Share Units Cassaday, John M. 4 30/09/2017 30 154,822 1,289
Manulife Financial Corporation
Deferred Share Units Dabarno, Susan Fay 4 30/09/2017 46 25.22 3,580 382
Manulife Financial Corporation
Deferred Share Units Dabarno, Susan Fay 4 30/09/2017 30 3,609 29
Manulife Financial Corporation
Deferred Share Units DeWolfe, Richard B. 4 30/09/2017 30 138,199 1,158
Manulife Financial Corporation
Deferred Share Units Fraser, Sheila Sarah Margaret
4 30/09/2017 46 25.22 47,721 925
Manulife Financial Corporation
Deferred Share Units Fraser, Sheila Sarah Margaret
4 30/09/2017 30 48,120 399
Manulife Financial Corporation
Deferred Share Units Helms, Luther Sherman 4 30/09/2017 46 25.22 85,965 1,215
Manulife Financial Corporation
Deferred Share Units Helms, Luther Sherman 4 30/09/2017 30 86,686 721
Manulife Financial Corporation
Deferred Share Units Helms, Luther Sherman 4 30/09/2017 46 25.22 2,443
Manulife Financial Corporation
Deferred Share Units Helms, Luther Sherman 4 30/09/2017 46 25.22 2,443
Manulife Financial Corporation
Deferred Share Units Hsieh, Tsun-Yan 4 30/09/2017 46 25.22 71,164 2,443
Manulife Financial Corporation
Deferred Share Units Hsieh, Tsun-Yan 4 30/09/2017 30 71,753 589
Manulife Financial Corporation
Deferred Share Units Jenkins, P. Thomas 4 30/09/2017 46 25.22 34,349 2,542
Manulife Financial Corporation
Deferred Share Units Jenkins, P. Thomas 4 30/09/2017 30 34,626 277
Manulife Financial Corporation
Deferred Share Units Kimmet, Pamela O'Brien 4 30/09/2017 46 25.22 7,298 925
Manulife Financial Corporation
Deferred Share Units Kimmet, Pamela O'Brien 4 30/09/2017 30 7,355 57
Manulife Financial Corporation
Deferred Share Units Lindsay, Donald Richard 4 30/09/2017 46 25.22 51,257 1,184
Manulife Financial Corporation
Deferred Share Units Lindsay, Donald Richard 4 30/09/2017 30 51,684 427
Manulife Financial Corporation
Common Shares Lorentz, Paul 5 01/10/2017 97 5,360 1,240
Manulife Financial Corporation
Common Shares Lorentz, Paul 5 01/10/2017 97 0 -1,148
Manulife Financial Corporation
Options Lorentz, Paul 5 01/10/2017 97 306,843 241,571
Manulife Financial Corporation
Rights Performance Share Units (PSU)
Lorentz, Paul 5 01/03/2006 00 36,351
Manulife Financial Corporation
Rights Restricted Share Units (RSU)
Lorentz, Paul 5 01/03/2006 00 36,351
Manulife Financial Corporation
Deferred Share Units Palmer, John Ralph Vernon 4 30/09/2017 46 25.22 75,583 925
Manulife Financial Corporation
Deferred Share Units Palmer, John Ralph Vernon 4 30/09/2017 30 76,217 634
Manulife Financial Corporation
Deferred Share Units Prieur, Claude. James 4 30/09/2017 46 25.22 63,355 3,159
Manulife Financial Corporation
Deferred Share Units Prieur, Claude. James 4 30/09/2017 30 63,848 493
Manulife Financial Corporation
Deferred Share Units Rosen, Andrea Sarah 4 30/09/2017 46 25.22 79,551 2,431
Manulife Financial Corporation
Deferred Share Units Rosen, Andrea Sarah 4 30/09/2017 30 80,211 660
Manulife Financial Corporation
Common Shares Thomson, Warren A. 5 19/09/2017 30 24.3 38,160 318
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8364
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Manulife Financial Corporation
Common Shares Thomson, Warren A. 5 19/09/2017 30 24.3 10,224 85
Manulife Financial Corporation
Deferred Share Units Webster, Lesley Daniels 4 30/09/2017 46 25.22 40,986 925
Manulife Financial Corporation
Deferred Share Units Webster, Lesley Daniels 4 30/09/2017 30 41,328 342
Maple Leaf Foods Inc. Common Shares Maple Leaf Foods Inc. 1 29/09/2017 38 33.928 29,700 29,700
Maple Leaf Foods Inc. Common Shares Maple Leaf Foods Inc. 1 29/09/2017 38 0 -29,700
Maple Leaf Foods Inc. Common Shares Maple Leaf Foods Inc. 1 02/10/2017 38 34 1,600 1,600
Maple Leaf Foods Inc. Common Shares Maple Leaf Foods Inc. 1 02/10/2017 38 0 -1,600
Maple Leaf Foods Inc. Common Shares McCain, Michael Harrison 4, 5 17/05/2017 90 176,300
Maple Leaf Foods Inc. Common Shares McCain, Michael Harrison 4, 5 17/05/2017 90 46,983,606 176,300
Maple Leaf Foods Inc. Rights PSU - Performance Share Units settled with market shares
Young, Richard 5 01/10/2017 56 22,490 6,100
Marathon Gold Corporation Options Borst, Robbert Hans 7 02/10/2017 00 200,000
Marathon Gold Corporation Common Shares Faught, George D. 4 04/10/2017 10 1.05 847,450 50,000
Maricann Group Inc. Options Langille, Scott 5 02/10/2017 00
Maricann Group Inc. Options Langille, Scott 5 02/10/2017 50 1.52 250,000 250,000
Mason Graphite Inc. Common Shares Marcotte, Simon 5 03/10/2017 10 2.13 1,361,800 1,300
Mason Graphite Inc. Common Shares Neill, Alastair 4 05/10/2017 51 0.6 32,560 10,000
Mason Graphite Inc. Options Neill, Alastair 4 05/10/2017 51 0.6 390,000 -10,000
Matamec Explorations Inc. Options Biron, François 5 28/08/2015 00
Matamec Explorations Inc. Options Biron, François 5 08/09/2017 00
Maxar Technologies Ltd. Common Shares Zahler, Eric 4 05/10/2017 22 73.4 1,313 313
MBN Corporation Units MBN Corporation 1 04/10/2017 38 5.9 300 300
MBN Corporation Units MBN Corporation 1 04/10/2017 38 0 -300
MCAN Mortgage Corporation Common Shares Bouganim, Jeffrey Joseph 5 29/09/2017 30 15.111 6,686 138
MCAN Mortgage Corporation Common Shares Bouganim, Jeffrey Joseph 5 29/09/2017 30 15.111 2,889 59
MCAN Mortgage Corporation Performance Share Units Bouganim, Jeffrey Joseph 5 29/09/2017 30 15.487 14,594 120
MCAN Mortgage Corporation Performance Share Units Bouganim, Jeffrey Joseph 5 29/09/2017 30 15.487 14,773 179
MCAN Mortgage Corporation Restricted Share Units Bouganim, Jeffrey Joseph 5 29/09/2017 30 15.487 7,109 143
MCAN Mortgage Corporation Common Shares Cuthbert, Verna 4 05/10/2017 30 15.111 6,050 125
MCAN Mortgage Corporation Deferred Share Units Jandrisits, William John 4, 7, 5 29/09/2017 30 15.49 1,170
MCAN Mortgage Corporation Deferred Share Units Jandrisits, William John 4, 7, 5 29/09/2017 30 15.49 57,789 1,170
MCAN Mortgage Corporation Deferred Share Units Jandrisits, William John 4, 7, 5 30/09/2017 30 15.49 1,170
MCAN Mortgage Corporation Performance Deferred Share Units
Jandrisits, William John 4, 7, 5 29/09/2017 30 15.487 20,010 203
MCAN Mortgage Corporation Performance Deferred Share Units
Jandrisits, William John 4, 7, 5 29/09/2017 30 15.487 20,216 206
MCAN Mortgage Corporation Performance Share Units Jandrisits, William John 4, 7, 5 29/09/2017 30 15.487 3,036 62
MCAN Mortgage Corporation Restricted Share Units Jandrisits, William John 4, 7, 5 29/09/2017 30 15.487 254
MCAN Mortgage Corporation Restricted Share Units Jandrisits, William John 4, 7, 5 29/09/2017 30 15.487 12,533 254
MCAN Mortgage Corporation Restricted Share Units Jandrisits, William John 4, 7, 5 30/09/2017 30 15.487 254
MCAN Mortgage Corporation Common Shares Lai, Paco 5 29/09/2017 35 15.111 1,360 30
MCAN Mortgage Corporation Common Shares Lai, Paco 5 03/10/2017 30 15.194 1,526 166
MCAN Mortgage Corporation Performance Share Units Lum, Jeffrey 5 29/09/2017 30 15.487 6,886 64
MCAN Mortgage Corporation Performance Share Units Lum, Jeffrey 5 29/09/2017 30 15.487 6,962 76
MCAN Mortgage Corporation Performance Share Units Lum, Jeffrey 5 30/09/2017 30 15.487 65
Mediagrif Interactive Technologies Inc.
Common Shares Anglaret, Stéphane 5 30/09/2017 30 22,085 236
Mediagrif Interactive Technologies Inc.
Common Shares Bourque, Paul 5 30/09/2017 30 24,257 103
Mediagrif Interactive Technologies Inc.
Common Shares Delaney, Eric 5 30/09/2017 30 2,110 71
Mediagrif Interactive Technologies Inc.
Common Shares Hallak, Hélène 5 30/09/2017 30 70,392 136
Mediagrif Interactive Technologies Inc.
Common Shares Moquin, Suzanne 5 30/09/2017 30 1,605 117
Mediagrif Interactive Technologies Inc.
Common Shares Rousseau, Camil 5 30/09/2017 30 13,775 102
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8365
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Mediagrif Interactive Technologies Inc.
Common Shares Roy, Claude 3, 4, 5 30/09/2017 30 44,631 379
Mediagrif Interactive Technologies Inc.
Common Shares Stam, Jean-Michel 5 30/09/2017 30 16,059 348
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 11/09/2017 38 13.45 200 200
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 11/09/2017 38 13.45 0 -200
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 11/09/2017 38 13.44 300 300
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 11/09/2017 38 13.44 0 -300
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 11/09/2017 38 13.11 200 200
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 11/09/2017 38 13.11 0 -200
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 12/09/2017 38 13.22 100 100
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 12/09/2017 38 13.22 0 -100
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 13/09/2017 38 13.39 500 500
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 13/09/2017 38 13.39 0 -500
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 13/09/2017 38 13.5 200 200
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 13/09/2017 38 13.5 0 -200
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 14/09/2017 38 13.44 400 400
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 14/09/2017 38 13.44 0 -400
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 14/09/2017 38 13.49 400 400
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 14/09/2017 38 13.49 0 -400
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 14/09/2017 38 13.5 200 200
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 14/09/2017 38 13.5 0 -200
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 15/09/2017 38 13.43 200 200
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 15/09/2017 38 13.43 0 -200
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 15/09/2017 38 13.45 1,000 1,000
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 15/09/2017 38 13.45 0 -1,000
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 15/09/2017 38 13.5 200 200
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 15/09/2017 38 13.5 0 -200
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 18/09/2017 38 13.3 300 300
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 18/09/2017 38 13.3 0 -300
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 18/09/2017 38 13.34 400 400
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 18/09/2017 38 13.34 0 -400
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 18/09/2017 38 13.4 300 300
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 18/09/2017 38 13.4 0 -300
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 18/09/2017 38 13.45 300 300
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8366
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 18/09/2017 38 13.45 0 -300
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 19/09/2017 38 13.45 600 600
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 19/09/2017 38 13.45 0 -600
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 19/09/2017 38 13.48 100 100
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 19/09/2017 38 13.48 0 -100
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 19/09/2017 38 13.49 700 700
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 19/09/2017 38 13.49 0 -700
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 19/09/2017 38 13.5 400 400
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 19/09/2017 38 13.5 0 -400
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 20/09/2017 38 13.5 25,000 25,000
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 20/09/2017 38 13.5 0 -25,000
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 21/09/2017 38 13.45 300 300
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 21/09/2017 38 13.45 0 -300
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 21/09/2017 38 13.47 400 400
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 21/09/2017 38 13.47 0 -400
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 21/09/2017 38 13.5 300 300
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 21/09/2017 38 13.5 0 -300
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 21/09/2017 38 13.51 300 300
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 21/09/2017 38 13.51 0 -300
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 21/09/2017 38 13.58 100 100
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 21/09/2017 38 13.58 0 -100
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 22/09/2017 38 13.5 300 300
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 22/09/2017 38 13.5 0 -300
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 22/09/2017 38 13.52 100 100
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 22/09/2017 38 13.52 0 -100
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 25/09/2017 38 13.57 400 400
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 25/09/2017 38 13.57 0 -400
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 26/09/2017 38 13.48 500 500
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 26/09/2017 38 13.48 0 -500
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 27/09/2017 38 13.43 1,100 1,100
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 27/09/2017 38 13.43 0 -1,100
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 28/09/2017 38 13.5 300 300
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 28/09/2017 38 13.5 0 -300
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8367
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 28/09/2017 38 13.48 100 100
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 28/09/2017 38 13.48 0 -100
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 28/09/2017 38 13.41 600 600
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 28/09/2017 38 13.41 0 -600
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 28/09/2017 38 13.4 300 300
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 28/09/2017 38 13.4 0 -300
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 28/09/2017 38 13.35 100 100
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 28/09/2017 38 13.35 0 -100
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 29/09/2017 38 13.36 300 300
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 29/09/2017 38 13.36 0 -300
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 29/09/2017 38 13.42 100 100
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 29/09/2017 38 13.42 0 -100
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 29/09/2017 38 13.44 100 100
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 29/09/2017 38 13.44 0 -100
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 29/09/2017 38 13.46 300 300
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 29/09/2017 38 13.46 0 -300
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 29/09/2017 38 13.5 300 300
Mediagrif Interactive Technologies Inc.
Common Shares Technologies Interactives Mediagrif Inc.
1 29/09/2017 38 13.5 0 -300
Memex Inc. Common Shares Chafee, Robert Edward 4 26/09/2017 11 0.16 1,990,601 156,250
Memex Inc. Common Shares Chafee, Robert Edward 4 26/09/2017 53 0.25 78,125
Memex Inc. Common Shares Chafee, Robert Edward 4 26/09/2017 53 0.25 78,125
Memex Inc. Warrants Chafee, Robert Edward 4 21/11/2013 00
Memex Inc. Warrants Chafee, Robert Edward 4 26/09/2017 16 78,125 78,125
Mercer International Inc. Common Shares Lee, Jimmy S.H. 4, 5 02/10/2017 10 11.812 2,105,548 -10,000
Mercer International Inc. Common Shares Lee, Jimmy S.H. 4, 5 03/10/2017 10 11.867 2,095,548 -10,000
Mercer International Inc. Common Shares Lee, Jimmy S.H. 4, 5 04/10/2017 10 11.886 2,090,548 -5,000
Methanex Corporation Rights Deferred Share Units
Arnell, Douglas James 4 30/09/2017 56 2,815 355
Methanex Corporation Common Shares Methanex Corporation 1 01/09/2017 38 63.968 25,000 25,000
Methanex Corporation Common Shares Methanex Corporation 1 05/09/2017 38 62.513 50,000 25,000
Methanex Corporation Common Shares Methanex Corporation 1 06/09/2017 38 61.805 75,000 25,000
Methanex Corporation Common Shares Methanex Corporation 1 07/09/2017 38 61.377 100,000 25,000
Methanex Corporation Common Shares Methanex Corporation 1 08/09/2017 38 60.557 134,700 34,700
Methanex Corporation Common Shares Methanex Corporation 1 11/09/2017 38 61.658 169,700 35,000
Methanex Corporation Common Shares Methanex Corporation 1 12/09/2017 38 63.415 204,700 35,000
Methanex Corporation Common Shares Methanex Corporation 1 13/09/2017 38 64.178 239,700 35,000
Methanex Corporation Common Shares Methanex Corporation 1 14/09/2017 38 63.825 274,700 35,000
Methanex Corporation Common Shares Methanex Corporation 1 15/09/2017 38 62.291 309,700 35,000
Methanex Corporation Common Shares Methanex Corporation 1 18/09/2017 38 63.95 344,700 35,000
Methanex Corporation Common Shares Methanex Corporation 1 19/09/2017 38 64.576 379,700 35,000
Methanex Corporation Common Shares Methanex Corporation 1 20/09/2017 38 64.195 414,700 35,000
Methanex Corporation Common Shares Methanex Corporation 1 21/09/2017 38 64.05 449,700 35,000
Methanex Corporation Common Shares Methanex Corporation 1 22/09/2017 38 63.904 484,400 34,700
Methanex Corporation Common Shares Methanex Corporation 1 25/09/2017 38 63.35 519,400 35,000
Methanex Corporation Common Shares Methanex Corporation 1 26/09/2017 38 63.497 554,400 35,000
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8368
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Methanex Corporation Common Shares Methanex Corporation 1 27/09/2017 38 64.152 589,400 35,000
Methanex Corporation Common Shares Methanex Corporation 1 28/09/2017 38 64.04 642,400 53,000
Methanex Corporation Common Shares Methanex Corporation 1 29/09/2017 38 63.109 695,400 53,000
Methanex Corporation Common Shares Methanex Corporation 1 29/09/2017 38 0 -695,400
Methanex Corporation Rights Deferred Share Units
Poole, Albert Terence 4 30/09/2017 56 62,497 473
Methanex Corporation Rights Deferred Share Units
Warmbold, Benita Marie 4 30/09/2017 56 3,142 473
Metro inc. Unités d'actions différées/Deferred Stock Units
Bertrand, Maryse 4 30/09/2017 56 41.944 5,515 323
Metro inc. Unités d'actions différées/Deferred Stock Units
Bertrand, Maryse 4 30/09/2017 35 40.06 5,536 21
Metro inc. Unités d'actions différées/Deferred Stock Units
Coyles, Stephanie 4 30/09/2017 56 41.944 6,646 619
Metro inc. Unités d'actions différées/Deferred Stock Units
Coyles, Stephanie 4 30/09/2017 35 40.06 6,670 24
Metro inc. Unités d'actions différées/Deferred Stock Units
DESERRES, MARC 4 30/09/2017 56 41.944 40,642 351
Metro inc. Unités d'actions différées/Deferred Stock Units
DESERRES, MARC 4 30/09/2017 35 40.06 40,805 163
Metro inc. Unités d'actions différées/Deferred Stock Units
Dussault, Claude 4 30/09/2017 56 41.944 35,629 316
Metro inc. Unités d'actions différées/Deferred Stock Units
Dussault, Claude 4 30/09/2017 35 40.06 35,772 143
Metro inc. Unités d'actions différées/Deferred Stock Units
Goodman, Russell Andrew 4 30/09/2017 56 41.944 8,147 179
Metro inc. Unités d'actions différées/Deferred Stock Units
Goodman, Russell Andrew 4 30/09/2017 35 40.06 8,179 32
Metro inc. Unités d'actions différées/Deferred Stock Units
GUAY, Marc 4 30/09/2017 56 41.944 3,285 466
Metro inc. Unités d'actions différées/Deferred Stock Units
GUAY, Marc 4 30/09/2017 35 40.06 3,296 11
Metro inc. Unités d'actions différées/Deferred Stock Units
HAUB, Christian W.E. 4 30/09/2017 56 41.944 49,312 605
Metro inc. Unités d'actions différées/Deferred Stock Units
HAUB, Christian W.E. 4 30/09/2017 35 40.06 49,510 198
Metro inc. Unités d'actions différées/Deferred Stock Units
Labonté, Michel 4 30/09/2017 56 41.944 33,334 364
Metro inc. Unités d'actions différées/Deferred Stock Units
Labonté, Michel 4 30/09/2017 35 40.06 33,468 134
Metro inc. Unités d'actions différées/Deferred Stock Units
Magee, Christine 4 30/09/2017 56 41.944 4,070 619
Metro inc. Unités d'actions différées/Deferred Stock Units
Magee, Christine 4 30/09/2017 35 40.06 4,084 14
Metro inc. Unités d'actions différées/Deferred Stock Units
Nadeau, Marie-Jose 4 30/09/2017 56 41.944 35,361 182
Metro inc. Unités d'actions différées/Deferred Stock Units
Nadeau, Marie-Jose 4 30/09/2017 35 40.06 35,504 143
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8369
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Metro inc. Unités d'actions différées/Deferred Stock Units
Raymond, Réal 4 30/09/2017 35 40.06 32,030 129
Metro inc. Unités d'actions différées/Deferred Stock Units
Raymond, Réal 4 30/09/2017 56 41.944 32,715 685
Metro inc. Unités d'actions différées/Deferred Stock Units
Rivard, Line 4 30/09/2017 56 41.944 11,026 619
Metro inc. Unités d'actions différées/Deferred Stock Units
Rivard, Line 4 30/09/2017 35 40.06 11,068 42
Middlefield Healthcare & Life Sciences Dividend Fund
Trust Units Middlefield Healthcare & Life Sciences Dividend Fund
1 29/09/2017 38 9.8025 75,000 8,700
Middlefield Healthcare & Life Sciences Dividend Fund
Trust Units Middlefield Healthcare & Life Sciences Dividend Fund
1 03/10/2017 38 9.8133 76,500 1,500
Middlefield Healthcare & Life Sciences Dividend Fund
Trust Units Middlefield Healthcare & Life Sciences Dividend Fund
1 04/10/2017 38 9.93 76,600 100
Middlefield Healthcare & Wellness Dividend Fund
Trust Units Brasseur, Jeremy 6 02/10/2017 10 9.6967 12,000 3,000
Middlefield Healthcare & Wellness Dividend Fund
Trust Units Brasseur, Jeremy 6 03/10/2017 10 9.675 14,000 2,000
Middlefield Healthcare & Wellness Dividend Fund
Trust Units Middlefield Healthcare & Wellness Dividend Fund
1 29/09/2017 38 9.7418 521,900 3,400
Middlefield Healthcare & Wellness Dividend Fund
Trust Units Middlefield Healthcare & Wellness Dividend Fund
1 02/10/2017 38 9.7016 531,300 9,400
Middlefield Healthcare & Wellness Dividend Fund
Trust Units Middlefield Healthcare & Wellness Dividend Fund
1 03/10/2017 38 9.688 533,800 2,500
Middlefield Healthcare & Wellness Dividend Fund
Trust Units Middlefield Healthcare & Wellness Dividend Fund
1 04/10/2017 38 9.7225 539,800 6,000
Millennial Lithium Corp. Common Shares Abasov, Farhad 5 26/09/2017 15 1.25 186,666 120,000
Millennial Lithium Corp. Options Abasov, Farhad 5 04/10/2017 50 1.41 760,000 260,000
Millennial Lithium Corp. Warrants Abasov, Farhad 5 26/09/2017 15 1.5 80,000 60,000
Millennial Lithium Corp. Options Bowering, Andrew William 4, 5 04/10/2017 50 1.41 732,500 100,000
Millennial Lithium Corp. Options Harris, Graham 4 04/10/2017 50 1.41 662,500 200,000
Millennial Lithium Corp. Options Lacroix, Richard Joseph 4 04/10/2017 50 1.41 200,000 100,000
Minco Gold Corporation Common Shares Cai, Ken 4, 5 04/10/2017 11 1,188,784 983,784
MINCO SILVER CORPORATION
Common Shares Cai, Ken 4, 5 04/10/2017 11 3,885,600 3,885,600
Mineral Mountain Resources Ltd.
Common Shares Baker, Bradley 4 29/09/2017 10 0.2 360,000 10,000
Mineral Mountain Resources Ltd.
Common Shares Baker, Bradley 4 03/10/2017 10 0.193 380,000 20,000
Mineral Mountain Resources Ltd.
Common Shares Baker, Bradley 4 03/10/2017 10 0.193 400,000 20,000
Mineral Mountain Resources Ltd.
Common Shares bertram, marshall 4, 5 02/10/2017 10 0.18 1,374,360 10,000
MINT Income Fund Trust Units MINT Income Fund 1 29/09/2017 38 6.6256 66,107,240 7,800
MINT Income Fund Trust Units MINT Income Fund 1 02/10/2017 10 6.6507 66,101,840 -5,400
MINT Income Fund Trust Units MINT Income Fund 1 03/10/2017 10 6.6418 66,069,040 -32,800
MINT Income Fund Trust Units MINT Income Fund 1 04/10/2017 10 6.659 66,064,040 -5,000
Mitel Networks Corporation Common Shares McBee, Richard 4, 5 02/10/2017 51 5.16 320,397 52,750
Mitel Networks Corporation Common Shares McBee, Richard 4, 5 02/10/2017 10 8.39 267,647 -52,750
Mitel Networks Corporation Options McBee, Richard 4, 5 02/10/2017 51 5.16 897,750 -52,750
Mogo Finance Technology Inc.
Options Feller, David Marshall 3, 4, 5 27/09/2017 50 433,333 50,000
Mogo Finance Technology Inc.
Common Shares Feller, Erin 7 29/09/2017 10 3.99 46,133 1,300
Mogo Finance Technology Inc.
Common Shares Feller, Erin 7 29/09/2017 10 4.02 54,833 8,700
Mogo Finance Technology Inc.
Options Feller, Gregory Dean 4, 5 27/09/2017 50 416,667 50,000
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8370
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Mogo Finance Technology Inc.
Options Groh, Thomas 5 27/09/2017 50 90,417 5,000
Mogo Finance Technology Inc.
Options Liston, Thomas Craig 4 27/09/2017 50 90,000 15,000
Mogo Finance Technology Inc.
Options Mohamed, Minhas 4 27/09/2017 50 90,000 15,000
Mogo Finance Technology Inc.
Options Patterson, Ronald Thomas 4 27/09/2017 50 98,333 15,000
Mogo Finance Technology Inc.
Options Skakun, Lisa 5 27/09/2017 50 156,250 25,000
Mogo Finance Technology Inc.
Options Varshney, Praveen 4 27/09/2017 50 81,667 15,000
Monarques Gold Corporation (formerly know as MONARQUES RESOURCES INC.)
Common Shares Lacoste, Jean-Marc 4, 5 02/10/2017 51 0.25 420,000 400,000
Monarques Gold Corporation (formerly know as MONARQUES RESOURCES INC.)
Options Lacoste, Jean-Marc 4, 5 02/10/2017 51 0.25 1,890,000 -400,000
Monarques Gold Corporation (formerly know as MONARQUES RESOURCES INC.)
Common Shares Lavergne, Marc-André 5 02/10/2017 00 4,000
Monarques Gold Corporation (formerly know as MONARQUES RESOURCES INC.)
Common Shares Mines Richmont inc. 3 02/10/2017 00 40,348,203
Moovly Media Inc. Common Shares Boddy, Brandon 4 26/06/2017 16 0.15 985,667 200,000
Moovly Media Inc. Warrants Boddy, Brandon 4 26/06/2017 16 960,000 200,000
Morguard Corporation Common Shares King, David 4 28/09/2017 10 183 82,056 -200
Morguard Corporation Common Shares King, David 4 02/10/2017 10 184 81,856 -200
Morguard Corporation Common Shares King, David 4 03/10/2017 10 185 81,556 -300
Mountain Lake Minerals Inc. Common Shares Fleming, William James 4 02/10/2017 10 0.065 2,081,000 51,000
Namaste Technologies Inc. (formerly Next Gen Metals Inc.)
Common Shares Dollinger, Sean 4, 5 26/02/2016 00
Namaste Technologies Inc. (formerly Next Gen Metals Inc.)
Common Shares Dollinger, Sean 4, 5 03/10/2017 10 0.025 40,000
Namaste Technologies Inc. (formerly Next Gen Metals Inc.)
Common Shares Dollinger, Sean 4, 5 03/10/2017 10 0.025 40,000
Namaste Technologies Inc. (formerly Next Gen Metals Inc.)
Common Shares Dollinger, Sean 4, 5 03/10/2017 10 0.235 40,000 40,000
Namaste Technologies Inc. (formerly Next Gen Metals Inc.)
Common Shares Dollinger, Sean 4, 5 04/10/2017 10 0.235 82,500 42,500
Nemaska Lithium Inc. Common Shares Biron, François 4 27/09/2017 10 1.42 -125,000
Nemaska Lithium Inc. Common Shares Biron, François 4 27/09/2017 10 1.41 265,000 -35,000
Nemaska Lithium Inc. Common Shares Biron, François 4 28/09/2017 10 1.42 175,000 -90,000
Nevada Zinc Corporation Common Shares Norvista Capital Corporation 3 05/10/2017 10 0.21 9,713,499 10,000
Nevada Zinc Corporation Common Shares Norvista Capital Corporation 3 05/10/2017 10 0.2 9,728,499 15,000
New Age Metals Inc. (formerly Pacific North West Capital Corp.)
Common Shares Barr, Harry 4, 5 28/09/2017 10 0.06 4,245,655 50,000
New Flyer Industries Inc. Deferred Share Units Cochran, Phyllis Elaine 4 02/10/2017 56 8,712 381
New Flyer Industries Inc. Deferred Share Units Edwards, Larry Dean 7 02/10/2017 56 13,831 381
New Flyer Industries Inc. Common Shares Gray, Adam L. 4 02/10/2017 57 51.12 721,785 763
New Flyer Industries Inc. Restricted Share Units Hoeg, Krystyna 4 02/10/2017 56 12,379 763
New Flyer Industries Inc. Deferred Share Units Marinucci, Giovanni (John) 4 02/10/2017 56 13,831 381
New Flyer Industries Inc. Restricted Share Units Nunes, Paulo Cezar 4 02/10/2017 56 4,154 381
New Flyer Industries Inc. Common Shares Sardo, Vincent James 4 02/10/2017 57 18,319 381
New Flyer Industries Inc. Restricted Share Units Sardo, Vincent James 4 02/10/2017 56 381 381
New Flyer Industries Inc. Restricted Share Units Sardo, Vincent James 4 02/10/2017 57 0 -381
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8371
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
New Flyer Industries Inc. Common Shares Smith, Paul Warren Dennis 5 26/09/2017 10 50.25 125,698 -10,000
New Flyer Industries Inc. Common Shares Smith, Paul Warren Dennis 5 28/09/2017 10 51.55 115,698 -10,000
New Flyer Industries Inc. Deferred Share Units Tobin, Brian Vincent 4 02/10/2017 56 21,756 687
New Look Vision Group Inc. (formerly New Look Eyewear Inc.)
Common Shares Class A Amiel, Antoine 4, 6, 5 30/09/2017 35 31.34 110,581 5
New Look Vision Group Inc. (formerly New Look Eyewear Inc.)
Common Shares Class A Amiel, Antoine 4, 6, 5 03/10/2017 90 1,137 -109,444
New Look Vision Group Inc. (formerly New Look Eyewear Inc.)
Common Shares Class A Amiel, Antoine 4, 6, 5 30/09/2017 35 31.34 74,497 354
New Look Vision Group Inc. (formerly New Look Eyewear Inc.)
Common Shares Class A Amiel, Antoine 4, 6, 5 03/10/2017 90 183,941 109,444
New Look Vision Group Inc. (formerly New Look Eyewear Inc.)
Common Shares Class A Bennett, William John 4, 6, 5 30/09/2017 35 31.34 2,181 10
New Look Vision Group Inc. (formerly New Look Eyewear Inc.)
Common Shares Class A Bennett, William John 4, 6, 5 30/09/2017 35 31.34 626,200 2,982
New Look Vision Group Inc. (formerly New Look Eyewear Inc.)
Common Shares Class A Cherney, Richard 4 30/09/2017 30 31.34 14,287 58
New Look Vision Group Inc. (formerly New Look Eyewear Inc.)
Common Shares Class A DeBono, Emanuel J. 5 30/09/2017 35 31.34 4,172 17
New Look Vision Group Inc. (formerly New Look Eyewear Inc.)
Common Shares Class A Pearson, Charles Emmett 4, 6 30/09/2017 35 31.34 150,570 716
New Look Vision Group Inc. (formerly New Look Eyewear Inc.)
Common Shares Class A Pearson, Charles Emmett 4, 6 30/09/2017 35 31.34 150,570 716
New Pacific Metals Corp. (formerly New Pacific Holdings Corp.)
Common Shares Neal, Gordon 6 30/09/2016 00
New Pacific Metals Corp. (formerly New Pacific Holdings Corp.)
Common Shares Neal, Gordon 6 05/10/2017 10 1.4 11,400 11,400
New Pacific Metals Corp. (formerly New Pacific Holdings Corp.)
Common Shares Silvercorp Metals Inc. 3 24/05/2012 10 0.6913 10,554,200 100,000
New Pacific Metals Corp. (formerly New Pacific Holdings Corp.)
Common Shares Silvercorp Metals Inc. 3 02/10/2017 10 1.3 10,805,100 900
New Pacific Metals Corp. (formerly New Pacific Holdings Corp.)
Common Shares Silvercorp Metals Inc. 3 28/09/2017 10 1.3 25,249,500 225,600
Newrange Gold Corp. Common Shares Wang, Paul 4 23/09/2010 00 1,000
Newrange Gold Corp. Common Shares Wang, Paul 4 23/06/2016 50 0.055 106,000 105,000
Newrange Gold Corp. Common Shares Wang, Paul 4 22/09/2017 51 0.05 196,000 90,000
Nexco Resources Inc. Common Shares Coltura, Robert 5 04/10/2017 11 300,000 -900,000
NexgenRx Inc. Options Corcoran, Thomas 4 29/09/2017 50 0.23 924,997 150,000
NexgenRx Inc. Options Corcoran, Thomas 4 29/09/2017 52 0.25 150,000 -774,997
NexgenRx Inc. Common Shares Crossett, Paul Everett 3 04/10/2017 10 0.225 5,505,500 1,500
NexgenRx Inc. Common Shares Crossett, Paul Everett 3 06/10/2017 10 0.2225 5,563,500 58,000
Nexus Real Estate Investment Trust
Trust Units ERA Holdings Limited Partnership
8 03/10/2017 10 2.01 -5,000
Nexus Real Estate Investment Trust
Trust Units ERA Holdings Limited Partnership
8 03/10/2017 10 2.01 -5,000
Nexus Real Estate Investment Trust
Trust Units ERA Holdings Limited Partnership
8 03/10/2017 10 2.01 733,291 -5,000
Nexus Real Estate Investment Trust
Trust Units ERA Holdings Limited Partnership
8 04/10/2017 10 2 -45,000
Nexus Real Estate Investment Trust
Trust Units ERA Holdings Limited Partnership
8 04/10/2017 10 2 -45,000
Nexus Real Estate Investment Trust
Trust Units ERA Holdings Limited Partnership
8 04/10/2017 10 2 688,291 -45,000
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8372
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Nexus Real Estate Investment Trust
Trust Units ERA Holdings Limited Partnership
8 05/10/2017 10 2.01 -5,000
Nexus Real Estate Investment Trust
Trust Units ERA Holdings Limited Partnership
8 05/10/2017 10 2.01 -5,000
Nexus Real Estate Investment Trust
Trust Units ERA Holdings Limited Partnership
8 05/10/2017 10 2.01 683,291 -5,000
Nighthawk Gold Corp. Common Shares Byron, Michael 4, 5 04/10/2017 10 0.71 320,355 32,000
Nighthawk Gold Corp. Common Shares Leskovec, Michael George 5 02/10/2017 10 0.76 11,400 7,800
Nighthawk Gold Corp. Common Shares Prychidny, Morris 4 04/10/2017 10 0.72 551,475 60,000
Nighthawk Gold Corp. Common Shares Ramcharan, Suzette Nadine 5 02/10/2017 10 0.76 73,000 13,000
Noront Resources Ltd. Options common shares Abolins, Uldis 4 06/10/2017 52 0 -200,000
Noront Resources Ltd. Options common shares Diges, Carmen Lydia 5 06/10/2017 52 0 -575,000
Noront Resources Ltd. Options common shares Feeney, Michael Kevin 5 06/10/2017 52 0 -350,000
Noront Resources Ltd. Options common shares Jobin, Joanne 5 06/10/2017 52 0 -280,000
Noront Resources Ltd. Options common shares Niemi, Jeremy Karl 5 06/10/2017 52 0 -495,000
North American Energy Partners Inc.
Convertible Debentures Ferron, Martin Robert 4, 5 04/10/2017 10 97.625 $1,532,000 $200,000
North American Energy Partners Inc.
Deferred Share Units McIntosh, Ronald A 4 30/09/2017 56 225,270 4,970
North American Energy Partners Inc.
Deferred Share Units Oehmig, William C. 4 30/09/2017 56 278,644 6,312
North American Energy Partners Inc.
Deferred Share Units Pinney, Bryan Daniel 4 30/09/2017 56 92,605 6,660
North American Energy Partners Inc.
Deferred Share Units Stan, Thomas Paul 4 30/09/2017 56 17,069 3,405
North American Energy Partners Inc.
Deferred Share Units Thornton, Jay 4 30/09/2017 56 100,686 6,064
Northfield Capital Corporation
Common Shares CLASS A RESTRICTED VOTING
Northfield Capital Corporation
1 25/09/2017 38 25.6 18,400 11,700
Northland Power Inc. Deferred Share Units (DSU)
Gilmour, Barry Kenneth 4 30/09/2017 56 22.03 22,887 1,214
Northland Power Inc. Deferred Share Units (DSU)
Goodman, Russell Andrew 4 30/09/2017 56 22.03 10,382 581
Northland Power Inc. Common Shares Temerty, James C. 3, 4, 5 18/09/2017 30 22.487 98,742 172
Northland Power Inc. Common Shares Temerty, James C. 3, 4, 5 18/09/2017 30 22.487 887,176 3,536
Northland Power Inc. Common Shares Temerty, James C. 3, 4, 5 18/09/2017 30 22.487 11,304 45
Northland Power Inc. Common Shares Temerty, James C. 3, 4, 5 18/09/2017 30 22.487 44,492,750 33,293
NorthWest Healthcare Properties Real Estate Investment Trust
Deferred Units Barkin, Martin 4 30/09/2017 56 11.38 32,566 1,055
NorthWest Healthcare Properties Real Estate Investment Trust
Deferred Units Baron, Robert 4 30/09/2017 56 11.38 110,441 1,758
NorthWest Healthcare Properties Real Estate Investment Trust
Deferred Units Loudon, Colin 4 30/09/2017 56 11.38 24,218 1,758
NorthWest Healthcare Properties Real Estate Investment Trust
Deferred Units Naylor, Christopher David (David)
6 30/09/2017 56 11.38 55,717 1,758
NorthWest Healthcare Properties Real Estate Investment Trust
Deferred Units Petersen, Brian Kenneth 4 30/09/2017 56 11.38 25,616 1,758
Nova Leap Health Corp. Common Shares Dobbin, Christopher Donald 4 06/10/2017 16 0.2 2,375,000 1,000,000
Nova Leap Health Corp. Warrants Dobbin, Christopher Donald 4 06/10/2017 16 0.35 1,187,500 500,000
NOVAGOLD RESOURCES INC.
Common Shares DEISLEY, DAVID LEE 5 10/07/2017 30 4.5 713,768 247
NOVAGOLD RESOURCES INC.
Common Shares DEISLEY, DAVID LEE 5 20/07/2017 30 4.48 714,016 248
NOVAGOLD RESOURCES INC.
Common Shares DEISLEY, DAVID LEE 5 08/08/2017 30 4.35 714,271 255
NOVAGOLD RESOURCES INC.
Common Shares DEISLEY, DAVID LEE 5 22/08/2017 30 4.08 714,543 272
NOVAGOLD RESOURCES INC.
Common Shares DEISLEY, DAVID LEE 5 07/09/2017 30 4.49 714,790 247
NOVAGOLD RESOURCES INC.
Common Shares DEISLEY, DAVID LEE 5 21/09/2017 30 4.09 715,062 272
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8373
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
NOVAGOLD RESOURCES INC.
Common Shares HENNESSEY, MELANIE 5 07/07/2017 30 5.79 331,451 168
NOVAGOLD RESOURCES INC.
Common Shares HENNESSEY, MELANIE 5 20/07/2017 30 5.68 331,622 171
NOVAGOLD RESOURCES INC.
Common Shares HENNESSEY, MELANIE 5 09/08/2017 30 4.28 331,849 227
NOVAGOLD RESOURCES INC.
Common Shares HENNESSEY, MELANIE 5 22/08/2017 30 5.18 332,037 188
NOVAGOLD RESOURCES INC.
Common Shares HENNESSEY, MELANIE 5 07/09/2017 30 5.59 332,211 174
NOVAGOLD RESOURCES INC.
Common Shares HENNESSEY, MELANIE 5 21/09/2017 30 5.59 174
NOVAGOLD RESOURCES INC.
Common Shares HENNESSEY, MELANIE 5 21/09/2017 30 5.04 332,404 193
NOVAGOLD RESOURCES INC.
Common Shares Lang, Gregory Anthony 5 10/07/2017 30 4.5 1,274,236 528
NOVAGOLD RESOURCES INC.
Common Shares Lang, Gregory Anthony 5 20/07/2017 30 4.48 1,274,766 530
NOVAGOLD RESOURCES INC.
Common Shares Lang, Gregory Anthony 5 08/08/2017 30 4.35 1,275,312 546
NOVAGOLD RESOURCES INC.
Common Shares Lang, Gregory Anthony 5 22/08/2017 30 4.08 1,275,894 582
NOVAGOLD RESOURCES INC.
Common Shares Lang, Gregory Anthony 5 07/09/2017 30 4.49 1,276,423 529
NOVAGOLD RESOURCES INC.
Common Shares Lang, Gregory Anthony 5 21/09/2017 30 4.09 1,277,003 580
NOVAGOLD RESOURCES INC.
Common Shares Ottewell, David 5 10/07/2017 30 4.5 488,803 264
NOVAGOLD RESOURCES INC.
Common Shares Ottewell, David 5 20/07/2017 30 4.48 489,068 265
NOVAGOLD RESOURCES INC.
Common Shares Ottewell, David 5 08/08/2017 30 4.35 489,341 273
NOVAGOLD RESOURCES INC.
Common Shares Ottewell, David 5 22/08/2017 30 4.08 489,632 291
NOVAGOLD RESOURCES INC.
Common Shares Ottewell, David 5 07/09/2017 30 4.49 489,897 265
NOVAGOLD RESOURCES INC.
Common Shares Ottewell, David 5 21/09/2017 30 4.09 490,188 291
NOVAGOLD RESOURCES INC.
Common Shares Rimelman, Ronald 5 10/07/2017 30 4.5 89,695 188
NOVAGOLD RESOURCES INC.
Common Shares Rimelman, Ronald 5 20/07/2017 30 4.48 89,884 189
NOVAGOLD RESOURCES INC.
Common Shares Rimelman, Ronald 5 08/08/2017 30 4.35 90,079 195
NOVAGOLD RESOURCES INC.
Common Shares Rimelman, Ronald 5 22/08/2017 30 4.08 90,287 208
NOVAGOLD RESOURCES INC.
Common Shares Rimelman, Ronald 5 07/09/2017 30 4.49 90,476 189
NOVAGOLD RESOURCES INC.
Common Shares Rimelman, Ronald 5 21/09/2017 30 4.09 90,683 207
NOVAGOLD RESOURCES INC.
Common Shares Williams, Richard 5 10/07/2017 30 4.5 230,635 204
NOVAGOLD RESOURCES INC.
Common Shares Williams, Richard 5 20/07/2017 30 4.48 230,840 205
NOVAGOLD RESOURCES INC.
Common Shares Williams, Richard 5 08/08/2017 30 4.35 231,051 211
NOVAGOLD RESOURCES INC.
Common Shares Williams, Richard 5 22/08/2017 30 4.08 231,276 225
NOVAGOLD RESOURCES INC.
Common Shares Williams, Richard 5 07/09/2017 30 4.49 231,481 205
NOVAGOLD RESOURCES INC.
Common Shares Williams, Richard 5 21/09/2017 30 4.09 231,705 224
Novelion Therapeutics Inc. Options Bruhn, Suzanne Louise 4 01/10/2017 00
Novelion Therapeutics Inc. Options Bruhn, Suzanne Louise 4 02/10/2017 50 9,600 9,600
Novo Resources Corp. Common Shares 2176423 Ontario Ltd. 3 29/09/2017 10 6.15 10,162,554 34,700
Novo Resources Corp. Common Shares Sprott, Eric S. 3 29/09/2017 10 6.15 10,162,554 34,700
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8374
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Novra Technologies Inc. Common Shares Wintemute, Peter 4 20/06/2003 00
Novra Technologies Inc. Common Shares Wintemute, Peter 4 29/09/2017 51 0.12 24,000 24,000
Novra Technologies Inc. Options Wintemute, Peter 4 29/09/2017 51 0.12 96,000 -24,000
Nubian Resources Ltd. Common Shares Class A voting
Walter, Martin 3 26/09/2017 10 0.25 2,444,500 29,500
Nubian Resources Ltd. Common Shares Class A voting
Walter, Martin 3 26/09/2017 10 0.24 2,455,000 10,500
Nubian Resources Ltd. Common Shares Class A voting
Walter, Martin 3 26/09/2017 10 0.235 2,465,000 10,000
Nubian Resources Ltd. Common Shares Class A voting
Walter, Martin 3 27/09/2017 10 0.275 2,469,500 4,500
Nubian Resources Ltd. Common Shares Class A voting
Walter, Martin 3 27/09/2017 10 0.28 2,476,500 7,000
NUVISTA ENERGY LTD. Common Shares Deferred Share Units
ECKHARDT, Ronald John 4 29/09/2017 56 24,843 1,882
NUVISTA ENERGY LTD. Common Shares Deferred Share Units
KARKKAINEN, PENTTI OLAVI
4 29/09/2017 56 28,218 2,290
NUVISTA ENERGY LTD. Common Shares Deferred Share Units
MacPhail, Keith A.J. 4, 5 29/09/2017 56 7.73 33,214 3,283
NUVISTA ENERGY LTD. Common Shares Deferred Share Units
Shaw, Brian Gordon 4 29/09/2017 56 21,285 1,378
NUVISTA ENERGY LTD. Common Shares Deferred Share Units
Zawalsky, Grant A. 4 29/09/2017 56 19,328 896
NXGold Ltd. Common Shares McPherson, Travis 5 03/10/2017 10 0.22 155,000 10,000
NXGold Ltd. Common Shares McPherson, Travis 5 03/10/2017 10 0.24 10,000
NXGold Ltd. Common Shares McPherson, Travis 5 03/10/2017 10 0.24 160,000 5,000
NXT Energy Solutions Inc. Rights Liszicasz, George 3, 4, 5 18/05/2005 00
NXT Energy Solutions Inc. Rights Liszicasz, George 3, 4, 5 04/10/2017 56 15,202,490 15,202,490
NXT Energy Solutions Inc. Rights Stewart, Beverly Jayne 5 18/05/2016 00
NXT Energy Solutions Inc. Rights Stewart, Beverly Jayne 5 04/10/2017 56 11,000 11,000
NXT Energy Solutions Inc. Rights Stewart, Beverly Jayne 5 18/05/2016 00
NXT Energy Solutions Inc. Rights Stewart, Beverly Jayne 5 04/10/2017 56 11,000
NXT Energy Solutions Inc. Rights Stewart, Beverly Jayne 5 04/10/2017 56 11,000
NXT Energy Solutions Inc. Rights Tilson, John 4 24/02/2015 00
NXT Energy Solutions Inc. Rights Tilson, John 4 04/10/2017 56 2,833,748 2,833,748
NXT Energy Solutions Inc. Rights Wilcox, Bruce G. 4 08/06/2015 00
NXT Energy Solutions Inc. Rights Wilcox, Bruce G. 4 04/10/2017 56 184,400 184,400
Oceanus Resources Corporation
Common Shares Anaka, Michael T. 4 28/09/2017 00 30,500
Oceanus Resources Corporation
Common Shares Holmes, Glenn 4, 5 28/09/2017 10 0.27 1,639,507 1,000
Oceanus Resources Corporation
Common Shares Holmes, Glenn 4, 5 28/09/2017 10 0.265 1,646,007 6,500
Olympia Financial Group Inc. Common Shares Skauge, Rick 3, 4, 5 02/10/2017 10 34.24 14,801 77
Oncolytics Biotech Inc. Rights Restricted Share Units
Holtham, Angela Frances 4 30/09/2017 56 265,758 10,877
Oncolytics Biotech Inc. Rights Restricted Share Units
Pisano, Wayne 4 30/09/2017 56 391,781 9,562
Oncolytics Biotech Inc. Rights Restricted Share Units
Seizinger, Bernd Robert 4 30/09/2017 56 331,328 17,212
OneCap Investment Corporation
Common Shares Goldcorp Inc. 3 29/09/2017 00
OneCap Investment Corporation
Common Shares Goldcorp Inc. 3 29/09/2017 36 3,478,261 3,478,261
OneCap Investment Corporation
Warrants Goldcorp Inc. 3 29/09/2017 00
OneCap Investment Corporation
Warrants Goldcorp Inc. 3 29/09/2017 36 3,478,261 3,478,261
OneCap Investment Corporation
Common Shares Gosselin, Réjean 4, 5 25/08/2017 00
OneCap Investment Corporation
Common Shares Gosselin, Réjean 4, 5 04/10/2017 10 0.155 50,000 50,000
OneCap Investment Corporation
Common Shares Gosselin, Réjean 4, 5 04/10/2017 10 0.15 75,000 25,000
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8375
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
OneCap Investment Corporation
Common Shares Gosselin, Réjean 4, 5 05/10/2017 10 0.14 124,000 49,000
OneCap Investment Corporation
Common Shares Gosselin, Réjean 4, 5 06/10/2017 10 0.14 163,500 39,500
OneCap Investment Corporation
Common Shares Gosselin, Réjean 4, 5 06/10/2017 10 0.15 174,000 10,500
ONEnergy Inc. Deferred Share Units Letwin, Stephen Joseph James
4, 5 06/10/2017 56 0.375 345,886 30,667
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Cheung, Raymond 4 04/10/2017 22 4.275 0 -4,000
OneREIT (formerly Retrocom Real Estate Investment Trust)
Class B Limited Partnership Units
Goldhar, Mitchell 3 04/10/2017 22 0 -5,176,522
OneREIT (formerly Retrocom Real Estate Investment Trust)
Class B Limited Partnership Units
Goldhar, Mitchell 3 04/10/2017 22 0 -1,765,075
OneREIT (formerly Retrocom Real Estate Investment Trust)
Class B Limited Partnership Units
Goldhar, Mitchell 3 04/10/2017 22 0 -672,410
OneREIT (formerly Retrocom Real Estate Investment Trust)
Class B Limited Partnership Units
Goldhar, Mitchell 3 04/10/2017 22 0 -498,754
OneREIT (formerly Retrocom Real Estate Investment Trust)
Class B Limited Partnership Units
Goldhar, Mitchell 3 04/10/2017 22 0 -498,754
OneREIT (formerly Retrocom Real Estate Investment Trust)
Class B Limited Partnership Units
Goldhar, Mitchell 3 04/10/2017 22 0 -498,754
OneREIT (formerly Retrocom Real Estate Investment Trust)
Class B Units, Series 1 of RMM Limited Partnership I
Goldhar, Mitchell 3 04/10/2017 22 30.51 0 -965,291
OneREIT (formerly Retrocom Real Estate Investment Trust)
Class B Units, Series 2 of RMM Limited Partnership I
Goldhar, Mitchell 3 04/10/2017 22 30.51 0 -996,000
OneREIT (formerly Retrocom Real Estate Investment Trust)
Class C Units, Series 1 of RMM Limited Partnership I
Goldhar, Mitchell 3 04/10/2017 22 0 -274,070
OneREIT (formerly Retrocom Real Estate Investment Trust)
Class C Units, Series 2 of RMM Limited Partnership I
Goldhar, Mitchell 3 04/10/2017 22 4.55 0 -540,000
OneREIT (formerly Retrocom Real Estate Investment Trust)
Special Voting Units Goldhar, Mitchell 3 04/10/2017 22 0 -5,176,522
OneREIT (formerly Retrocom Real Estate Investment Trust)
Special Voting Units Goldhar, Mitchell 3 04/10/2017 22 0 -1,765,075
OneREIT (formerly Retrocom Real Estate Investment Trust)
Special Voting Units Goldhar, Mitchell 3 04/10/2017 22 0 -672,410
OneREIT (formerly Retrocom Real Estate Investment Trust)
Special Voting Units Goldhar, Mitchell 3 04/10/2017 22 0 -498,754
OneREIT (formerly Retrocom Real Estate Investment Trust)
Special Voting Units Goldhar, Mitchell 3 04/10/2017 22 0 -498,754
OneREIT (formerly Retrocom Real Estate Investment Trust)
Special Voting Units Goldhar, Mitchell 3 04/10/2017 22 0 -498,754
OneREIT (formerly Retrocom Real Estate Investment Trust)
Special Voting Units Goldhar, Mitchell 3 04/10/2017 22 0 -1,961,291
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 04/10/2017 22 4.275 0 -4,929,600
ONEX CORPORATION Rights Deferred Share Units (cash settled)
Casey, Daniel C. 4 29/09/2017 56 96.29 87,719 177
ONEX CORPORATION Rights Deferred Share Units (cash settled)
Etherington, William 4 29/09/2017 56 96.29 61,117 177
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8376
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
ONEX CORPORATION Rights Deferred Share Units (cash settled)
Godsoe, Peter Cowperthwaite
4 29/09/2017 56 96.29 89,572 212
ONEX CORPORATION Rights Deferred Share Units (cash settled)
Goldhar, Mitchell 4 29/09/2017 56 96.29 4,727 162
ONEX CORPORATION Rights Deferred Share Units (cash settled)
Gouin, Serge 4 29/09/2017 56 96.29 89,877 212
ONEX CORPORATION Rights Deferred Share Units (cash settled)
Huffington, Arianna 4 29/09/2017 56 96.29 14,879 162
ONEX CORPORATION Rights Deferred Share Units (cash settled)
McCoy, John Bonnet 4 29/09/2017 56 96.29 81,523 211
ONEX CORPORATION Subordinate Voting Shares
Onex Corporation 1 06/09/2017 10 94.98 2,200 2,200
ONEX CORPORATION Subordinate Voting Shares
Onex Corporation 1 06/09/2017 38 0 -2,200
ONEX CORPORATION Subordinate Voting Shares
Onex Corporation 1 07/09/2017 10 94.98 24,900 24,900
ONEX CORPORATION Subordinate Voting Shares
Onex Corporation 1 07/09/2017 10 94.85 26,619 1,719
ONEX CORPORATION Subordinate Voting Shares
Onex Corporation 1 07/09/2017 38 1,719 -24,900
ONEX CORPORATION Subordinate Voting Shares
Onex Corporation 1 07/09/2017 38 0 -1,719
ONEX CORPORATION Subordinate Voting Shares
Onex Corporation 1 08/09/2017 10 94.98 23,200 23,200
ONEX CORPORATION Subordinate Voting Shares
Onex Corporation 1 08/09/2017 10 94.85 26,519 3,319
ONEX CORPORATION Subordinate Voting Shares
Onex Corporation 1 08/09/2017 38 3,319 -23,200
ONEX CORPORATION Subordinate Voting Shares
Onex Corporation 1 08/09/2017 38 0 -3,319
ONEX CORPORATION Rights Deferred Share Units (cash settled)
Prichard, John Robert Stobo 4 29/09/2017 56 96.29 84,181 199
ONEX CORPORATION Rights Deferred Share Units (cash settled)
Reisman, Heather M. 4 29/09/2017 56 96.29 75,778 162
ONEX CORPORATION Rights Deferred Share Units (cash settled)
Thorsteinson, Arni Clayton 4 29/09/2017 56 96.29 110,848 415
Orca Gold Inc. Common Shares Clark, Richard Peter 4, 5 02/10/2017 10 0.5658 6,256,347 98,500
Orca Gold Inc. Common Shares Clark, Richard Peter 4, 5 03/10/2017 10 0.5616 6,369,347 113,000
Orezone Gold Corporation Common Shares Downey, Patrick 4 03/10/2017 10 0.65 1,175,200 40,000
Organic Garage Ltd. Warrants Crupi, Christopher 4 30/09/2017 55 352,000 30,000
Organic Potash Corporation Common Shares Balanovskaya, Olga 5 29/09/2017 10 0.01 396,000 -154,000
Organic Potash Corporation Common Shares Balanovskaya, Olga 5 02/10/2017 10 0.01 246,000 -150,000
Organic Potash Corporation Common Shares Balanovskaya, Olga 5 04/10/2017 10 0.01 66,000 -180,000
Organic Potash Corporation Common Shares Balanovskaya, Olga 5 06/10/2017 10 0.01 0 -66,000
Orla Mining Ltd. Common Shares Lassonde, Pierre 3 02/10/2017 10 1.2 16,874,900 147,800
Orsu Metals Corporation Common Shares Stefanovich, Sergei 4 18/05/2017 00
Orsu Metals Corporation Common Shares Stefanovich, Sergei 4 02/10/2017 11 3,725,809 3,725,809
Orsu Metals Corporation Common Shares Stefanovich, Sergei 4 02/10/2017 11 3,378,067 -3,725,809
ORTHO REGENERATIVE TECHNOLOGIES INC.
Common Shares Wright, Tom ES 4 26/09/2017 00 100,000
ORTHO REGENERATIVE TECHNOLOGIES INC.
Options Wright, Tom ES 4 26/09/2017 00 100,000
ORTHO REGENERATIVE TECHNOLOGIES INC.
Warrants Wright, Tom ES 4 26/09/2017 00 50,000
OSISKO GOLD ROYALTIES LTD
Common Shares Bertrand, Françoise 4 24/11/2014 00
OSISKO GOLD ROYALTIES LTD
Common Shares Bertrand, Françoise 4 02/10/2017 10 16.04 1,200 1,200
Osisko Mining Inc. (formerly Oban Mining Corporation)
Common Shares Burzynski, John Feliks 4, 5 05/10/2017 16 4.2 2,507,467 32,600
Osisko Mining Inc. (formerly Oban Mining Corporation)
Common Shares Coates, Bryan A. 6 05/10/2017 16 4.2 387,780 40,800
Osisko Mining Inc. (formerly Oban Mining Corporation)
Common Shares Gaumond, André 6 05/10/2017 16 4.2 51,650 1,650
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8377
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Osisko Mining Inc. (formerly Oban Mining Corporation)
Common Shares Hayes, John Philip 5 05/10/2017 16 6.14 94,453 4,100
Osisko Mining Inc. (formerly Oban Mining Corporation)
Common Shares OSISKO GOLD ROYALTIES LTD
3 05/10/2017 16 4.2 30,402,034 850,000
Osisko Mining Inc. (formerly Oban Mining Corporation)
Common Shares OSISKO GOLD ROYALTIES LTD
3 05/10/2017 11 4.2 32,302,034 1,900,000
Osisko Mining Inc. (formerly Oban Mining Corporation)
Common Shares Roosen, Sean 3, 4 05/10/2017 16 4.2 1,128,666 48,900
Osisko Mining Inc. (formerly Oban Mining Corporation)
Common Shares Vizquerra, Jose 5 05/10/2017 16 4.2 3,169,941 1,000,000
Osisko Mining Inc. (formerly Oban Mining Corporation)
Common Shares Vizquerra, Jose 5 05/10/2017 16 4.2 160,811 8,000
Osisko Mining Inc. (formerly Oban Mining Corporation)
Common Shares Wares, Robert 4 05/10/2017 16 4.2 828,385 35,000
Otis Gold Corp. Common Shares Lee-Barber, Christopher Geoffrey
3 03/10/2017 10 0.3279 16,900,000 100,000
Otis Gold Corp. Common Shares Lee-Barber, Christopher Geoffrey
3 06/10/2017 10 0.3194 16,950,000 50,000
Otis Gold Corp. Common Shares Ranta, Donald Eli 4 15/09/2008 00 40,000
Otis Gold Corp. Common Shares Ranta, Donald Eli 4 28/09/2017 11 0.15 165,000 125,000
Otis Gold Corp. Common Shares Ranta, Donald Eli 4 28/09/2017 10 0.3 98,000 -67,000
Otis Gold Corp. Options Ranta, Donald Eli 4 28/09/2017 51 0.15 520,000 -125,000
Outrider Energy Corp. Warrants Windt, J. Bradley 3, 4, 5 26/03/2015 37 -1,947,500
Outrider Energy Corp. Warrants Windt, J. Bradley 3, 4, 5 26/03/2015 37 -1,947,500
P2P Info Inc. Common Shares Zhang, Yan 4, 5 05/10/2017 11 0.005 5,626,256 5,308,256
P2P Info Inc. Common Shares Zhou, Ying 3, 4, 5 05/10/2017 11 0.005 23,742,266 21,200,926
Pacific Insight Electronics Corp.
Common Shares McLaughlin, Stuart 4 08/09/2000 00
Pacific Insight Electronics Corp.
Common Shares McLaughlin, Stuart 4 27/09/2017 90 186,500 186,500
Pacific Insight Electronics Corp.
Common Shares McLaughlin, Stuart 4 27/09/2017 90 43,578 -172,422
Pacific Insight Electronics Corp.
Common Shares McLaughlin, Stuart 4 27/09/2017 90 0 -14,078
Pacific Insight Electronics Corp.
Options McLaughlin, Stuart 4 27/09/2017 90 0 -90,000
Pacific Insight Electronics Corp.
Options McLaughlin, Stuart 4 08/09/2000 00
Pacific Insight Electronics Corp.
Options McLaughlin, Stuart 4 27/09/2017 90 90,000 90,000
Pacific Insight Electronics Corp.
Warrants McLaughlin, Stuart 4 08/09/2000 00
Pacific Insight Electronics Corp.
Warrants McLaughlin, Stuart 4 27/09/2017 90 100,000 100,000
Pacific Insight Electronics Corp.
Warrants McLaughlin, Stuart 4 27/09/2017 90 0 -100,000
Painted Pony Energy Ltd. Rights Performance Share Units (Cash Settled)
Aylesworth, William Derek 5 02/10/2017 56 42,000
Painted Pony Energy Ltd. Rights Performance Share Units (Cash Settled)
Aylesworth, William Derek 5 02/10/2017 56 63,000 42,000
Painted Pony Energy Ltd. Rights Deferred Share Units
Beitel, Paul 4, 6 29/09/2017 56 34,007 8,371
Painted Pony Energy Ltd. Common Shares Kessy, Richard 5 01/10/2017 00 20,000
Painted Pony Energy Ltd. Options Kessy, Richard 5 01/10/2017 00
Painted Pony Energy Ltd. Options Kessy, Richard 5 02/10/2017 50 3.52 600,000 600,000
Painted Pony Energy Ltd. Rights Performance Share Units (Cash Settled)
Kessy, Richard 5 01/10/2017 00
Painted Pony Energy Ltd. Rights Performance Share Units (Cash Settled)
Kessy, Richard 5 02/10/2017 56 108,000
Painted Pony Energy Ltd. Rights Performance Share Units (Cash Settled)
Kessy, Richard 5 02/10/2017 56 108,000 108,000
Pan Global Resources Inc. Common Shares Kerzner, brian 4 02/10/2017 10 0.15 1,215,000 51,000
Pan Global Resources Inc. Common Shares Kerzner, brian 4 02/10/2017 10 0.155 1,230,000 15,000
Pan Global Resources Inc. Common Shares Kerzner, brian 4 02/10/2017 10 0.16 1,267,500 37,500
Pan Global Resources Inc. Common Shares Kerzner, brian 4 03/10/2017 10 0.16 1,318,500 51,000
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8378
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Pancontinental Gold Corporation (formerly, Pancontinental Uranium Corporation)
Common Shares Whalen, Donald Alexander 4 04/10/2017 10 0.045 3,727,000 10,000
Pancontinental Gold Corporation (formerly, Pancontinental Uranium Corporation)
Common Shares Whalen, Donald Alexander 4 05/10/2017 10 0.04 3,737,000 10,000
Pancontinental Gold Corporation (formerly, Pancontinental Uranium Corporation)
Common Shares Whalen, Donald Alexander 4 06/10/2017 10 0.04 3,761,000 24,000
Pancontinental Gold Corporation (formerly, Pancontinental Uranium Corporation)
Common Shares Whalen, Donald Alexander 4 06/10/2017 10 0.045 3,762,000 1,000
Panoro Minerals Ltd. Common Shares Boden, William John 4 26/09/2017 10 0.315 12,061,620 3,000
Panoro Minerals Ltd. Common Shares Boden, William John 4 02/10/2017 10 0.32 12,068,620 7,000
Paramount Resources Ltd. Restricted Share Units HAN, MICHAEL S. 5 01/12/2014 00
Paramount Resources Ltd. Restricted Share Units HAN, MICHAEL S. 5 05/10/2017 56 24.439 3,176 3,176
Paramount Resources Ltd. Restricted Share Units Kinvig, Paul Robert 5 01/12/2008 00
Paramount Resources Ltd. Restricted Share Units Kinvig, Paul Robert 5 05/10/2017 56 24.439 1,920 1,920
Paramount Resources Ltd. Restricted Share Units Kohut, Michael G 5 14/09/2017 00
Paramount Resources Ltd. Restricted Share Units Kohut, Michael G 5 05/10/2017 56 24.439 3,520 3,520
Paramount Resources Ltd. Restricted Share Units Lee, Bernard K. 5 26/06/2003 00
Paramount Resources Ltd. Restricted Share Units Lee, Bernard K. 5 05/10/2017 56 24.439 5,244 5,244
Paramount Resources Ltd. Restricted Share Units Ockenden, Matthew G. 5 06/06/2016 00
Paramount Resources Ltd. Restricted Share Units Ockenden, Matthew G. 5 05/10/2017 56 24.439 2,290 2,290
Paramount Resources Ltd. Restricted Share Units Purdy, Darrel S. 5 01/06/2006 00
Paramount Resources Ltd. Restricted Share Units Purdy, Darrel S. 5 05/10/2017 56 24.439 1,908 1,908
Paramount Resources Ltd. Common Shares Class A Riddell, Clayton H. 3, 4, 5 05/10/2017 46 24.439 51,081 50,000
Paramount Resources Ltd. Common Shares Class A Riddell, James H. T. 4, 5 05/10/2017 46 24.439 1,149,990 100,000
Paramount Resources Ltd. Restricted Share Units Shier, E. Mitchell 5 17/01/2009 00
Paramount Resources Ltd. Restricted Share Units Shier, E. Mitchell 5 05/10/2017 56 24.439 4,802 4,802
Paramount Resources Ltd. Restricted Share Units Tahmazian, Phillip G. 5 18/03/2013 00
Paramount Resources Ltd. Restricted Share Units Tahmazian, Phillip G. 5 05/10/2017 56 24.439 2,708 2,708
Paramount Resources Ltd. Restricted Share Units Williams, John B. 5 14/09/2017 00
Paramount Resources Ltd. Restricted Share Units Williams, John B. 5 05/10/2017 56 24.439 3,640 3,640
Paramount Resources Ltd. Restricted Share Units Wittenberg, Joerg 5 01/01/2008 00
Paramount Resources Ltd. Restricted Share Units Wittenberg, Joerg 5 05/10/2017 56 24.439 2,894 2,894
Paramount Resources Ltd. Restricted Share Units Yester, Gail 5 14/09/2017 00
Paramount Resources Ltd. Restricted Share Units Yester, Gail 5 05/10/2017 56 24.439 2,592 2,592
Parex Resources Inc. Common Shares Parex Resources Inc. 1 19/09/2017 38 13.994 355,700 3,300
Parex Resources Inc. Common Shares Parex Resources Inc. 1 19/09/2017 38 14.112 375,700 20,000
Parex Resources Inc. Common Shares Parex Resources Inc. 1 27/09/2017 38 14.989 386,800 11,100
Parex Resources Inc. Common Shares Parex Resources Inc. 1 28/09/2017 38 15 388,000 1,200
Parex Resources Inc. Common Shares Parex Resources Inc. 1 29/09/2017 38 14.953 389,900 1,900
Parkland Fuel Corporation Deferred Share Unit Plan PILLA, DOMENICO 4 01/10/2017 56 25.74 13,961 768
Partners Real Estate Investment Trust
Deferred Units Anthony, Grant 3, 4 29/09/2017 46 17,197 2,338
Partners Real Estate Investment Trust
Deferred Units Domenico, Jane 5 29/09/2017 46 28,313 192
Partners Real Estate Investment Trust
Deferred Units Harrs, Paul Henry 5 29/09/2017 46 28,313 192
Partners Real Estate Investment Trust
Deferred Units Kimberley, Allan Scott 4 29/09/2017 46 29,701 2,686
Partners Real Estate Investment Trust
Deferred Units Nyilassy, Simon 4 29/09/2017 46 29,737 2,441
Partners Real Estate Investment Trust
Deferred Units Ross, Charles Ian 4 29/09/2017 46 29,641 2,309
Partners Real Estate Investment Trust
Deferred Units West, Derrick 5 29/09/2017 46 28,313 192
Pason Systems Inc. DSU Collins, T Jay 4 29/09/2017 56 37,739 338
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8379
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Pason Systems Inc. DSU Collins, T Jay 4 30/09/2017 56 39,151 1,412
Pason Systems Inc. DSU Collins, T Jay 4 30/09/2017 56 39,217 66
Pason Systems Inc. DSU Hess, Judi 4 29/09/2017 56 15,630 140
Pason Systems Inc. DSU Hess, Judi 4 30/09/2017 56 17,042 1,412
Pason Systems Inc. DSU Hess, Judi 4 30/09/2017 56 17,108 66
Pason Systems Inc. DSU Hill, James Douglas 3, 4, 5 29/09/2017 56 37,528 337
Pason Systems Inc. DSU Howe, James Brian 4 29/09/2017 50 6,401 57
Pason Systems Inc. DSU Howe, James Brian 4 30/09/2017 50 7,813 1,412
Pason Systems Inc. DSU Howe, James Brian 4 30/09/2017 50 7,945 132
Pason Systems Inc. common share options Olesen, Lars 5 29/09/2017 51 557 -9,800
Pason Systems Inc. Common Shares Olesen, Lars 5 29/09/2017 51 13,000 9,800
Pason Systems Inc. Common Shares Olesen, Lars 5 29/09/2017 10 18.88 3,200 -9,800
Pason Systems Inc. common share options Smith, Russell 5 28/09/2017 51 203,200 -800
Pason Systems Inc. Common Shares Smith, Russell 5 28/09/2017 51 12,090 800
Pason Systems Inc. Common Shares Smith, Russell 5 28/09/2017 10 19.28 11,290 -800
Pathfinder Income Fund Trust Units Pathfinder Convertible Debenture Fund
1 02/10/2017 10 8.45 10,363,188 -1,200
Peloton Minerals Corporation Common Shares ELLWOOD, EDWARD LEITH
5 31/08/2017 10 0.095 3,718,796 -15,000
Peloton Minerals Corporation Common Shares ELLWOOD, EDWARD LEITH
5 03/10/2017 10 0.095 3,716,796 -2,000
Peloton Minerals Corporation Common Shares ELLWOOD, EDWARD LEITH
5 05/10/2017 10 0.095 3,713,796 -3,000
Pembina Pipeline Corporation
Common Shares Burrows, J. Scott 5 03/10/2017 51 44.086 10,363 5,480
Pembina Pipeline Corporation
Common Shares Burrows, J. Scott 5 03/10/2017 30 44.086 4,883 -5,480
Pembina Pipeline Corporation
Options Burrows, J. Scott 5 03/10/2017 51 126,168 -5,480
Pengrowth Energy Corporation
DSU Poole, Albert Terence 4 29/09/2017 56 1.4071 309,224 6,219
Perpetual Energy Inc. Common Shares Riddell Rose, Susan 4, 5 05/10/2017 10 1.2 1,427,801 2,500
Photon Control Inc. Options Lee, Daniel Chung Man 5 21/08/2017 50 60,000 20,000
PHX Energy Services Corp. Retention Awards (Cash-based Only)
Athaide, Judith 4 30/09/2017 56 2.37 88,330 158
PHX Energy Services Corp. Retention Awards (Cash-based Only)
Athaide, Judith 4 30/09/2017 57 2.37 88,257 -73
PHX Energy Services Corp. Retention Awards (Cash-based Only)
Athaide, Judith 4 30/09/2017 57 2.37 88,131 -126
PHX Energy Services Corp. Common Shares Buker, Michael Leslie 5 29/09/2017 10 2.32 133,000 1,500
PHX Energy Services Corp. Retention Awards (Cash-based Only)
Hibbard, Lawrence M. 4 30/09/2017 56 2.37 93,128 632
PHX Energy Services Corp. Retention Awards (Cash-based Only)
Hibbard, Lawrence M. 4 30/09/2017 57 2.37 93,018 -110
PHX Energy Services Corp. Retention Awards (Cash-based Only)
Hibbard, Lawrence M. 4 30/09/2017 57 2.37 92,367 -651
PHX Energy Services Corp. Common Shares Hooks, John Michael 5 04/10/2017 10 2.3 7,740,300 79,650
PHX Energy Services Corp. Retention Awards (Cash-based Only)
Hooks, John Michael 5 30/09/2017 56 2.37 170,287 632
PHX Energy Services Corp. Retention Awards (Cash-based Only)
Hooks, John Michael 5 30/09/2017 57 2.37 170,250 -37
PHX Energy Services Corp. Retention Awards (Cash-based Only)
Hooks, John Michael 5 30/09/2017 57 2.37 170,124 -126
PHX Energy Services Corp. Retention Awards (Cash-based Only)
Tetreault, Myron Arthur 4 30/09/2017 56 2.37 104,296 632
PHX Energy Services Corp. Retention Awards (Cash-based Only)
Tetreault, Myron Arthur 4 30/09/2017 57 2.37 104,223 -73
PHX Energy Services Corp. Retention Awards (Cash-based Only)
Tetreault, Myron Arthur 4 30/09/2017 57 2.37 104,097 -126
PHX Energy Services Corp. Retention Awards (Cash-based Only)
Thomas, Roger Dale 4 30/09/2017 57 2.37 71,380 -55
PHX Energy Services Corp. Retention Awards (Cash-based Only)
Thomas, Roger Dale 4 30/09/2017 57 2.37 71,286 -94
Pine Cliff Energy Ltd. Common Shares Disbrow, Robert 3 29/09/2017 10 0.64 17,075,276 34,000
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8380
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Pine Cliff Energy Ltd. Common Shares Disbrow, Robert 3 02/10/2017 10 0.6257 17,116,276 41,000
Pine Cliff Energy Ltd. Common Shares Disbrow, Robert 3 03/10/2017 10 0.602 17,241,276 125,000
Pine Cliff Energy Ltd. Common Shares Disbrow, Robert 3 29/09/2017 10 0.64 17,666,500 25,000
Pine Cliff Energy Ltd. Common Shares Disbrow, Robert 3 03/10/2017 10 0.602 17,791,500 125,000
Pine Cliff Energy Ltd. Common Shares Hodge, Philip Blake 4, 5 04/10/2017 10 0.6 6,360,000 5,000
Pioneering Technology Corp. Common Shares Adair, Richard Daniel 4 14/09/2017 54 0.25 1,200,000 200,000
Pioneering Technology Corp. Warrants Adair, Richard Daniel 4 14/09/2017 54 0.25 25,000 -200,000
PJX Resources Inc. Common Shares Crossett, Paul Everett 3 02/10/2017 10 0.12 5,148,500 12,000
PJX Resources Inc. Common Shares Crossett, Paul Everett 3 02/10/2017 10 0.12 1,900,000 35,000
Points International Ltd. Common Shares Lockhard, Peter 5 29/09/2017 10 14.04 0 -2,867
Points International Ltd. Common Shares Points International Ltd. 1 07/09/2017 38 10.17 8,093 93
Points International Ltd. Common Shares Points International Ltd. 1 07/09/2017 38 10.18 8,193 100
Points International Ltd. Common Shares Points International Ltd. 1 07/09/2017 38 10.19 8,293 100
Points International Ltd. Common Shares Points International Ltd. 1 07/09/2017 38 10.2 9,316 1,023
Points International Ltd. Common Shares Points International Ltd. 1 07/09/2017 38 10.21 9,716 400
Points International Ltd. Common Shares Points International Ltd. 1 07/09/2017 38 10.22 9,816 100
Points International Ltd. Common Shares Points International Ltd. 1 07/09/2017 38 10.225 9,916 100
Points International Ltd. Common Shares Points International Ltd. 1 07/09/2017 38 10.23 10,216 300
Points International Ltd. Common Shares Points International Ltd. 1 07/09/2017 38 10.24 11,016 800
Points International Ltd. Common Shares Points International Ltd. 1 07/09/2017 38 10.25 11,516 500
Points International Ltd. Common Shares Points International Ltd. 1 07/09/2017 38 10.26 12,000 484
Points International Ltd. Common Shares Points International Ltd. 1 08/09/2017 38 10.06 12,100 100
Points International Ltd. Common Shares Points International Ltd. 1 08/09/2017 38 10.08 12,200 100
Points International Ltd. Common Shares Points International Ltd. 1 08/09/2017 38 10.09 12,300 100
Points International Ltd. Common Shares Points International Ltd. 1 08/09/2017 38 10.1 12,500 200
Points International Ltd. Common Shares Points International Ltd. 1 08/09/2017 38 10.11 12,805 305
Points International Ltd. Common Shares Points International Ltd. 1 08/09/2017 38 10.12 13,105 300
Points International Ltd. Common Shares Points International Ltd. 1 08/09/2017 38 10.13 13,205 100
Points International Ltd. Common Shares Points International Ltd. 1 08/09/2017 38 10.14 13,305 100
Points International Ltd. Common Shares Points International Ltd. 1 08/09/2017 38 10.18 13,605 300
Points International Ltd. Common Shares Points International Ltd. 1 08/09/2017 38 10.19 13,702 97
Points International Ltd. Common Shares Points International Ltd. 1 08/09/2017 38 10.2 13,802 100
Points International Ltd. Common Shares Points International Ltd. 1 08/09/2017 38 10.21 13,902 100
Points International Ltd. Common Shares Points International Ltd. 1 08/09/2017 38 10.22 14,102 200
Points International Ltd. Common Shares Points International Ltd. 1 08/09/2017 38 10.23 14,300 198
Points International Ltd. Common Shares Points International Ltd. 1 08/09/2017 38 10.24 14,550 250
Points International Ltd. Common Shares Points International Ltd. 1 08/09/2017 38 10.25 15,300 750
Points International Ltd. Common Shares Points International Ltd. 1 08/09/2017 38 10.26 15,400 100
Points International Ltd. Common Shares Points International Ltd. 1 08/09/2017 38 10.27 15,500 100
Points International Ltd. Common Shares Points International Ltd. 1 08/09/2017 38 10.28 15,600 100
Points International Ltd. Common Shares Points International Ltd. 1 08/09/2017 38 10.335 15,700 100
Points International Ltd. Common Shares Points International Ltd. 1 08/09/2017 38 10.35 15,800 100
Points International Ltd. Common Shares Points International Ltd. 1 08/09/2017 38 10.37 15,900 100
Points International Ltd. Common Shares Points International Ltd. 1 08/09/2017 38 10.4 16,000 100
Points International Ltd. Common Shares Points International Ltd. 1 11/09/2017 38 9.77 16,100 100
Points International Ltd. Common Shares Points International Ltd. 1 11/09/2017 38 9.78 16,200 100
Points International Ltd. Common Shares Points International Ltd. 1 11/09/2017 38 9.81 16,300 100
Points International Ltd. Common Shares Points International Ltd. 1 11/09/2017 38 9.82 16,500 200
Points International Ltd. Common Shares Points International Ltd. 1 11/09/2017 38 9.84 16,600 100
Points International Ltd. Common Shares Points International Ltd. 1 11/09/2017 38 9.85 16,900 300
Points International Ltd. Common Shares Points International Ltd. 1 11/09/2017 38 9.86 17,100 200
Points International Ltd. Common Shares Points International Ltd. 1 11/09/2017 38 9.87 17,450 350
Points International Ltd. Common Shares Points International Ltd. 1 11/09/2017 38 9.88 18,500 1,050
Points International Ltd. Common Shares Points International Ltd. 1 11/09/2017 38 9.89 18,700 200
Points International Ltd. Common Shares Points International Ltd. 1 11/09/2017 38 9.9 19,000 300
Points International Ltd. Common Shares Points International Ltd. 1 11/09/2017 38 9.92 19,200 200
Points International Ltd. Common Shares Points International Ltd. 1 11/09/2017 38 10.02 19,300 100
Points International Ltd. Common Shares Points International Ltd. 1 11/09/2017 38 10.11 19,400 100
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8381
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Points International Ltd. Common Shares Points International Ltd. 1 11/09/2017 38 10.18 19,500 100
Points International Ltd. Common Shares Points International Ltd. 1 11/09/2017 38 10.2 19,600 100
Points International Ltd. Common Shares Points International Ltd. 1 11/09/2017 38 10.25 19,800 200
Points International Ltd. Common Shares Points International Ltd. 1 11/09/2017 38 10.26 19,900 100
Points International Ltd. Common Shares Points International Ltd. 1 11/09/2017 38 10.27 20,000 100
Points International Ltd. Common Shares Points International Ltd. 1 12/09/2017 38 9.88 20,200 200
Points International Ltd. Common Shares Points International Ltd. 1 12/09/2017 38 9.9 21,100 900
Points International Ltd. Common Shares Points International Ltd. 1 12/09/2017 38 9.91 21,300 200
Points International Ltd. Common Shares Points International Ltd. 1 12/09/2017 38 9.92 21,450 150
Points International Ltd. Common Shares Points International Ltd. 1 12/09/2017 38 9.95 21,650 200
Points International Ltd. Common Shares Points International Ltd. 1 12/09/2017 38 9.96 21,750 100
Points International Ltd. Common Shares Points International Ltd. 1 12/09/2017 38 9.97 22,050 300
Points International Ltd. Common Shares Points International Ltd. 1 12/09/2017 38 9.98 22,350 300
Points International Ltd. Common Shares Points International Ltd. 1 12/09/2017 38 9.99 22,950 600
Points International Ltd. Common Shares Points International Ltd. 1 12/09/2017 38 10 23,450 500
Points International Ltd. Common Shares Points International Ltd. 1 12/09/2017 38 10.01 23,800 350
Points International Ltd. Common Shares Points International Ltd. 1 12/09/2017 38 10.03 24,000 200
Points International Ltd. Common Shares Points International Ltd. 1 13/09/2017 38 10 24,100 100
Points International Ltd. Common Shares Points International Ltd. 1 13/09/2017 38 10.07 24,300 200
Points International Ltd. Common Shares Points International Ltd. 1 13/09/2017 38 10.18 24,500 200
Points International Ltd. Common Shares Points International Ltd. 1 13/09/2017 38 10.19 24,600 100
Points International Ltd. Common Shares Points International Ltd. 1 13/09/2017 38 10.2 24,700 100
Points International Ltd. Common Shares Points International Ltd. 1 13/09/2017 38 10.25 24,905 205
Points International Ltd. Common Shares Points International Ltd. 1 13/09/2017 38 10.26 25,017 112
Points International Ltd. Common Shares Points International Ltd. 1 13/09/2017 38 10.28 25,522 505
Points International Ltd. Common Shares Points International Ltd. 1 13/09/2017 38 10.29 25,822 300
Points International Ltd. Common Shares Points International Ltd. 1 13/09/2017 38 10.3 26,526 704
Points International Ltd. Common Shares Points International Ltd. 1 13/09/2017 38 10.31 26,679 153
Points International Ltd. Common Shares Points International Ltd. 1 13/09/2017 38 10.32 27,279 600
Points International Ltd. Common Shares Points International Ltd. 1 13/09/2017 38 10.33 27,600 321
Points International Ltd. Common Shares Points International Ltd. 1 13/09/2017 38 10.34 27,700 100
Points International Ltd. Common Shares Points International Ltd. 1 13/09/2017 38 10.35 27,900 200
Points International Ltd. Common Shares Points International Ltd. 1 13/09/2017 38 10.4 28,000 100
Points International Ltd. Common Shares Points International Ltd. 1 14/09/2017 38 10.31 28,200 200
Points International Ltd. Common Shares Points International Ltd. 1 14/09/2017 38 10.32 28,400 200
Points International Ltd. Common Shares Points International Ltd. 1 14/09/2017 38 10.33 28,500 100
Points International Ltd. Common Shares Points International Ltd. 1 14/09/2017 38 10.35 29,200 700
Points International Ltd. Common Shares Points International Ltd. 1 14/09/2017 38 10.36 29,300 100
Points International Ltd. Common Shares Points International Ltd. 1 14/09/2017 38 10.37 29,800 500
Points International Ltd. Common Shares Points International Ltd. 1 14/09/2017 38 10.38 30,100 300
Points International Ltd. Common Shares Points International Ltd. 1 14/09/2017 38 10.39 30,200 100
Points International Ltd. Common Shares Points International Ltd. 1 14/09/2017 38 10.4 31,100 900
Points International Ltd. Common Shares Points International Ltd. 1 14/09/2017 38 10.45 31,200 100
Points International Ltd. Common Shares Points International Ltd. 1 14/09/2017 38 10.46 31,350 150
Points International Ltd. Common Shares Points International Ltd. 1 14/09/2017 38 10.47 31,400 50
Points International Ltd. Common Shares Points International Ltd. 1 14/09/2017 38 10.48 31,800 400
Points International Ltd. Common Shares Points International Ltd. 1 14/09/2017 38 10.49 31,900 100
Points International Ltd. Common Shares Points International Ltd. 1 14/09/2017 38 10.5 32,000 100
Points International Ltd. Common Shares Points International Ltd. 1 15/09/2017 38 10.26 32,100 100
Points International Ltd. Common Shares Points International Ltd. 1 15/09/2017 38 10.3 32,200 100
Points International Ltd. Common Shares Points International Ltd. 1 15/09/2017 38 10.31 32,300 100
Points International Ltd. Common Shares Points International Ltd. 1 15/09/2017 38 10.315 32,400 100
Points International Ltd. Common Shares Points International Ltd. 1 15/09/2017 38 10.32 32,600 200
Points International Ltd. Common Shares Points International Ltd. 1 15/09/2017 38 10.325 32,700 100
Points International Ltd. Common Shares Points International Ltd. 1 15/09/2017 38 10.33 33,100 400
Points International Ltd. Common Shares Points International Ltd. 1 15/09/2017 38 10.34 33,203 103
Points International Ltd. Common Shares Points International Ltd. 1 15/09/2017 38 10.35 33,403 200
Points International Ltd. Common Shares Points International Ltd. 1 15/09/2017 38 10.36 33,453 50
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8382
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Points International Ltd. Common Shares Points International Ltd. 1 15/09/2017 38 10.37 33,697 244
Points International Ltd. Common Shares Points International Ltd. 1 15/09/2017 38 10.38 34,305 608
Points International Ltd. Common Shares Points International Ltd. 1 15/09/2017 38 10.39 34,407 102
Points International Ltd. Common Shares Points International Ltd. 1 15/09/2017 38 10.4 35,380 973
Points International Ltd. Common Shares Points International Ltd. 1 15/09/2017 38 10.41 35,800 420
Points International Ltd. Common Shares Points International Ltd. 1 15/09/2017 38 10.42 36,000 200
Points International Ltd. Common Shares Points International Ltd. 1 18/09/2017 38 10.29 36,100 100
Points International Ltd. Common Shares Points International Ltd. 1 18/09/2017 38 10.3 36,182 82
Points International Ltd. Common Shares Points International Ltd. 1 18/09/2017 38 10.31 36,267 85
Points International Ltd. Common Shares Points International Ltd. 1 18/09/2017 38 10.33 36,467 200
Points International Ltd. Common Shares Points International Ltd. 1 18/09/2017 38 10.34 36,700 233
Points International Ltd. Common Shares Points International Ltd. 1 18/09/2017 38 10.35 36,800 100
Points International Ltd. Common Shares Points International Ltd. 1 18/09/2017 38 10.36 37,250 450
Points International Ltd. Common Shares Points International Ltd. 1 18/09/2017 38 10.37 37,764 514
Points International Ltd. Common Shares Points International Ltd. 1 18/09/2017 38 10.38 38,764 1,000
Points International Ltd. Common Shares Points International Ltd. 1 18/09/2017 38 10.39 39,150 386
Points International Ltd. Common Shares Points International Ltd. 1 18/09/2017 38 10.395 39,200 50
Points International Ltd. Common Shares Points International Ltd. 1 18/09/2017 38 10.4 40,500 1,300
Points International Ltd. Common Shares Points International Ltd. 1 18/09/2017 38 10.41 40,700 200
Points International Ltd. Common Shares Points International Ltd. 1 18/09/2017 38 10.42 40,800 100
Points International Ltd. Common Shares Points International Ltd. 1 18/09/2017 38 10.45 41,000 200
Points International Ltd. Common Shares Points International Ltd. 1 19/09/2017 38 10.4 41,200 200
Points International Ltd. Common Shares Points International Ltd. 1 19/09/2017 38 10.45 41,600 400
Points International Ltd. Common Shares Points International Ltd. 1 19/09/2017 38 10.48 41,700 100
Points International Ltd. Common Shares Points International Ltd. 1 19/09/2017 38 10.49 41,800 100
Points International Ltd. Common Shares Points International Ltd. 1 19/09/2017 38 10.5 41,900 100
Points International Ltd. Common Shares Points International Ltd. 1 19/09/2017 38 10.52 41,950 50
Points International Ltd. Common Shares Points International Ltd. 1 19/09/2017 38 10.53 42,100 150
Points International Ltd. Common Shares Points International Ltd. 1 19/09/2017 38 10.58 42,200 100
Points International Ltd. Common Shares Points International Ltd. 1 19/09/2017 38 10.59 42,300 100
Points International Ltd. Common Shares Points International Ltd. 1 19/09/2017 38 10.61 42,500 200
Points International Ltd. Common Shares Points International Ltd. 1 19/09/2017 38 10.62 42,637 137
Points International Ltd. Common Shares Points International Ltd. 1 19/09/2017 38 10.63 42,737 100
Points International Ltd. Common Shares Points International Ltd. 1 19/09/2017 38 10.64 43,137 400
Points International Ltd. Common Shares Points International Ltd. 1 19/09/2017 38 10.655 43,237 100
Points International Ltd. Common Shares Points International Ltd. 1 19/09/2017 38 10.66 43,537 300
Points International Ltd. Common Shares Points International Ltd. 1 19/09/2017 38 10.68 43,837 300
Points International Ltd. Common Shares Points International Ltd. 1 19/09/2017 38 10.69 43,937 100
Points International Ltd. Common Shares Points International Ltd. 1 19/09/2017 38 10.78 44,137 200
Points International Ltd. Common Shares Points International Ltd. 1 19/09/2017 38 10.8 44,437 300
Points International Ltd. Common Shares Points International Ltd. 1 19/09/2017 38 10.82 44,537 100
Points International Ltd. Common Shares Points International Ltd. 1 19/09/2017 38 10.9 44,937 400
Points International Ltd. Common Shares Points International Ltd. 1 19/09/2017 38 10.93 45,600 663
Points International Ltd. Common Shares Points International Ltd. 1 19/09/2017 38 10.94 46,000 400
Points International Ltd. Common Shares Points International Ltd. 1 20/09/2017 38 10.41 46,100 100
Points International Ltd. Common Shares Points International Ltd. 1 20/09/2017 38 10.44 46,200 100
Points International Ltd. Common Shares Points International Ltd. 1 20/09/2017 38 10.45 46,400 200
Points International Ltd. Common Shares Points International Ltd. 1 20/09/2017 38 10.48 46,600 200
Points International Ltd. Common Shares Points International Ltd. 1 20/09/2017 38 10.5 46,800 200
Points International Ltd. Common Shares Points International Ltd. 1 20/09/2017 38 10.51 47,100 300
Points International Ltd. Common Shares Points International Ltd. 1 20/09/2017 38 10.53 47,300 200
Points International Ltd. Common Shares Points International Ltd. 1 20/09/2017 38 10.54 47,600 300
Points International Ltd. Common Shares Points International Ltd. 1 20/09/2017 38 10.55 48,000 400
Points International Ltd. Common Shares Points International Ltd. 1 20/09/2017 38 10.56 48,100 100
Points International Ltd. Common Shares Points International Ltd. 1 20/09/2017 38 10.57 48,200 100
Points International Ltd. Common Shares Points International Ltd. 1 20/09/2017 38 10.59 48,400 200
Points International Ltd. Common Shares Points International Ltd. 1 20/09/2017 38 10.6 49,100 700
Points International Ltd. Common Shares Points International Ltd. 1 20/09/2017 38 10.61 49,600 500
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8383
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Points International Ltd. Common Shares Points International Ltd. 1 20/09/2017 38 10.63 49,900 300
Points International Ltd. Common Shares Points International Ltd. 1 20/09/2017 38 10.65 50,100 200
Points International Ltd. Common Shares Points International Ltd. 1 20/09/2017 38 10.67 50,200 100
Points International Ltd. Common Shares Points International Ltd. 1 20/09/2017 38 10.68 50,400 200
Points International Ltd. Common Shares Points International Ltd. 1 20/09/2017 38 10.69 50,500 100
Points International Ltd. Common Shares Points International Ltd. 1 20/09/2017 38 10.7 50,600 100
Points International Ltd. Common Shares Points International Ltd. 1 20/09/2017 38 10.74 50,700 100
Points International Ltd. Common Shares Points International Ltd. 1 20/09/2017 38 10.84 50,800 100
Points International Ltd. Common Shares Points International Ltd. 1 20/09/2017 38 10.92 50,900 100
Points International Ltd. Common Shares Points International Ltd. 1 20/09/2017 38 11 51,000 100
Points International Ltd. Common Shares Points International Ltd. 1 21/09/2017 38 10.46 51,100 100
Points International Ltd. Common Shares Points International Ltd. 1 21/09/2017 38 10.48 51,300 200
Points International Ltd. Common Shares Points International Ltd. 1 21/09/2017 38 10.5 52,600 1,300
Points International Ltd. Common Shares Points International Ltd. 1 21/09/2017 38 10.505 52,700 100
Points International Ltd. Common Shares Points International Ltd. 1 21/09/2017 38 10.51 53,100 400
Points International Ltd. Common Shares Points International Ltd. 1 21/09/2017 38 10.52 53,643 543
Points International Ltd. Common Shares Points International Ltd. 1 21/09/2017 38 10.53 54,043 400
Points International Ltd. Common Shares Points International Ltd. 1 21/09/2017 38 10.54 54,648 605
Points International Ltd. Common Shares Points International Ltd. 1 21/09/2017 38 10.55 54,748 100
Points International Ltd. Common Shares Points International Ltd. 1 21/09/2017 38 10.57 54,848 100
Points International Ltd. Common Shares Points International Ltd. 1 21/09/2017 38 10.58 54,948 100
Points International Ltd. Common Shares Points International Ltd. 1 21/09/2017 38 10.59 55,048 100
Points International Ltd. Common Shares Points International Ltd. 1 21/09/2017 38 10.6 55,348 300
Points International Ltd. Common Shares Points International Ltd. 1 21/09/2017 38 10.61 55,548 200
Points International Ltd. Common Shares Points International Ltd. 1 21/09/2017 38 10.62 55,900 352
Points International Ltd. Common Shares Points International Ltd. 1 21/09/2017 38 10.63 56,000 100
Points International Ltd. Common Shares Points International Ltd. 1 22/09/2017 38 10.55 56,071 71
Points International Ltd. Common Shares Points International Ltd. 1 22/09/2017 38 10.58 56,171 100
Points International Ltd. Common Shares Points International Ltd. 1 22/09/2017 38 10.59 56,771 600
Points International Ltd. Common Shares Points International Ltd. 1 22/09/2017 38 10.6 58,521 1,750
Points International Ltd. Common Shares Points International Ltd. 1 22/09/2017 38 10.61 59,571 1,050
Points International Ltd. Common Shares Points International Ltd. 1 22/09/2017 38 10.62 60,271 700
Points International Ltd. Common Shares Points International Ltd. 1 22/09/2017 38 10.625 60,371 100
Points International Ltd. Common Shares Points International Ltd. 1 22/09/2017 38 10.63 60,600 229
Points International Ltd. Common Shares Points International Ltd. 1 22/09/2017 38 10.64 60,800 200
Points International Ltd. Common Shares Points International Ltd. 1 22/09/2017 38 10.65 61,000 200
Points International Ltd. Common Shares Points International Ltd. 1 25/09/2017 38 10.53 61,100 100
Points International Ltd. Common Shares Points International Ltd. 1 25/09/2017 38 10.54 61,300 200
Points International Ltd. Common Shares Points International Ltd. 1 25/09/2017 38 10.55 61,500 200
Points International Ltd. Common Shares Points International Ltd. 1 25/09/2017 38 10.56 62,000 500
Points International Ltd. Common Shares Points International Ltd. 1 25/09/2017 38 10.57 62,100 100
Points International Ltd. Common Shares Points International Ltd. 1 25/09/2017 38 10.58 62,500 400
Points International Ltd. Common Shares Points International Ltd. 1 25/09/2017 38 10.59 62,800 300
Points International Ltd. Common Shares Points International Ltd. 1 25/09/2017 38 10.6 63,820 1,020
Points International Ltd. Common Shares Points International Ltd. 1 25/09/2017 38 10.61 64,120 300
Points International Ltd. Common Shares Points International Ltd. 1 25/09/2017 38 10.62 64,320 200
Points International Ltd. Common Shares Points International Ltd. 1 25/09/2017 38 10.625 64,420 100
Points International Ltd. Common Shares Points International Ltd. 1 25/09/2017 38 10.63 64,820 400
Points International Ltd. Common Shares Points International Ltd. 1 25/09/2017 38 10.64 64,920 100
Points International Ltd. Common Shares Points International Ltd. 1 25/09/2017 38 10.66 65,020 100
Points International Ltd. Common Shares Points International Ltd. 1 25/09/2017 38 10.67 65,220 200
Points International Ltd. Common Shares Points International Ltd. 1 25/09/2017 38 10.68 65,485 265
Points International Ltd. Common Shares Points International Ltd. 1 25/09/2017 38 10.69 65,585 100
Points International Ltd. Common Shares Points International Ltd. 1 25/09/2017 38 10.7 65,685 100
Points International Ltd. Common Shares Points International Ltd. 1 25/09/2017 38 10.71 65,785 100
Points International Ltd. Common Shares Points International Ltd. 1 26/09/2017 38 10.69 65,885 100
Points International Ltd. Common Shares Points International Ltd. 1 26/09/2017 38 10.92 65,985 100
Points International Ltd. Common Shares Points International Ltd. 1 26/09/2017 38 10.93 66,085 100
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8384
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Points International Ltd. Common Shares Points International Ltd. 1 26/09/2017 38 11 67,685 1,600
Points International Ltd. Common Shares Points International Ltd. 1 29/09/2017 38 0 -67,685
Potash Corporation of Saskatchewan Inc.
Rights Deferred Share Units
Burley, Christopher Michael 4 01/08/2017 30 22.21 23,099 134
Potash Corporation of Saskatchewan Inc.
Rights Deferred Share Units
Burley, Christopher Michael 4 30/09/2017 56 24.02 24,575 1,476
Potash Corporation of Saskatchewan Inc.
Rights Deferred Share Units
CHYNOWETH, Donald 4 01/08/2017 30 22.21 26,356 153
Potash Corporation of Saskatchewan Inc.
Rights Deferred Share Units
CHYNOWETH, Donald 4 30/09/2017 56 24.02 27,733 1,377
Potash Corporation of Saskatchewan Inc.
Rights Deferred Share Units
Estey, John W. 4 01/08/2017 30 17.72 110,498 620
Potash Corporation of Saskatchewan Inc.
Rights Deferred Share Units
Estey, John W. 4 30/09/2017 56 19.24 113,097 2,599
Potash Corporation of Saskatchewan Inc.
Rights Deferred Share Units
Grandey, Gerald Wayne 4 01/08/2017 30 22.21 37,230 216
Potash Corporation of Saskatchewan Inc.
Rights Deferred Share Units
Grandey, Gerald Wayne 4 30/09/2017 56 24.02 40,116 2,886
Potash Corporation of Saskatchewan Inc.
Rights Deferred Share Units
Hoffman, C. Steven 4 01/08/2017 30 17.72 47,822 268
Potash Corporation of Saskatchewan Inc.
Rights Deferred Share Units
Laberge, Alice D. 4 01/08/2017 30 22.21 82,569 480
Potash Corporation of Saskatchewan Inc.
Rights Deferred Share Units
Laberge, Alice D. 4 30/09/2017 56 24.02 83,533 964
Potash Corporation of Saskatchewan Inc.
Rights Deferred Share Units
Madere, Consuelo 4 01/08/2017 30 17.72 14,630 82
Potash Corporation of Saskatchewan Inc.
Rights Deferred Share Units
Martell, Keith 4 01/08/2017 30 22.21 45,987 267
Potash Corporation of Saskatchewan Inc.
Rights Deferred Share Units
Martell, Keith 4 30/09/2017 56 24.02 47,463 1,476
Potash Corporation of Saskatchewan Inc.
Rights Deferred Share Units
Regent, Aaron William 4 01/08/2017 30 22.21 22,491 131
Potash Corporation of Saskatchewan Inc.
Rights Deferred Share Units
Regent, Aaron William 4 30/09/2017 56 24.02 25,246 2,755
Potash Corporation of Saskatchewan Inc.
Rights Deferred Share Units
Yujnovich, Zoe 4 01/08/2017 30 22.21 10,414 61
Potash Corporation of Saskatchewan Inc.
Rights Deferred Share Units
Yujnovich, Zoe 4 30/09/2017 56 24.02 13,169 2,755
Power Corporation of Canada
Deferred Share Units Beaudoin, Pierre 4 30/09/2017 56 33.23 1,465
Power Corporation of Canada
Deferred Share Units Beaudoin, Pierre 4 30/09/2017 56 31.45 58,492 1,547
Power Corporation of Canada
Deferred Share Units Coutu, Marcel R. 4 30/09/2017 56 33.76 1,387
Power Corporation of Canada
Deferred Share Units Coutu, Marcel R. 4 30/09/2017 56 31.471 36,162 1,487
Power Corporation of Canada
Deferred Share Units Desmarais, André 4, 5 30/09/2017 56 31.37 85,352 965
Power Corporation of Canada
Deferred Share Units Desmarais, Paul Jr. 4, 5 30/09/2017 56 32.97 1,301
Power Corporation of Canada
Deferred Share Units Desmarais, Paul Jr. 4, 5 30/09/2017 56 31.439 60,695 1,365
Power Corporation of Canada
Deferred Share Units Doer, Gary Albert 4 30/09/2017 56 34.5 385
Power Corporation of Canada
Deferred Share Units Doer, Gary Albert 4 30/09/2017 56 31.5 2,613 422
Power Corporation of Canada
Deferred Share Units Graham, Anthony R. 4 30/09/2017 56 33.16 1,687
Power Corporation of Canada
Deferred Share Units Graham, Anthony R. 4 30/09/2017 56 31.447 70,629 1,779
Power Corporation of Canada
Deferred Share Units Jackson, John David Allan 4 30/09/2017 56 34.02 600
Power Corporation of Canada
Deferred Share Units Jackson, John David Allan 4 30/09/2017 56 31.481 11,630 649
Power Corporation of Canada
Options Lemay, Stéphane 5 04/10/2017 51 29.89 166,107 -25,975
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8385
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Power Corporation of Canada
Subordinate Voting Shares
Lemay, Stéphane 5 04/10/2017 51 29.89 25,975 25,975
Power Corporation of Canada
Subordinate Voting Shares
Lemay, Stéphane 5 04/10/2017 10 31.9 0 -25,975
Power Corporation of Canada
Deferred Share Units Marcoux, Isabelle 4 30/09/2017 56 33.63 1,352
Power Corporation of Canada
Deferred Share Units Marcoux, Isabelle 4 30/09/2017 56 31.466 39,674 1,445
Power Corporation of Canada
Deferred Share Units Noyer, Christian 4 30/09/2017 56 34.48 874
Power Corporation of Canada
Deferred Share Units Noyer, Christian 4 30/09/2017 56 31.499 6,244 957
Power Corporation of Canada
Deferred Share Units Orr, Robert Jeffrey 4 30/09/2017 56 33.19 1,433
Power Corporation of Canada
Deferred Share Units Orr, Robert Jeffrey 4 30/09/2017 56 31.448 58,847 1,512
Power Corporation of Canada
Deferred Share Units Plessis-Bélair, Michel 5 30/09/2017 56 31.37 28,015 316
Power Corporation of Canada
Equity Forward Contract Power Corporation of Canada
1 02/10/2017 70 31.439 41 1
Power Corporation of Canada
Equity Swap - Long Position PCC 2014-05
Power Corporation of Canada
1 29/09/2017 70 31.57 12 1
Power Corporation of Canada
Equity Swap - Long Position PCC 2015-03
Power Corporation of Canada
1 29/09/2017 70 31.57 8 1
Power Corporation of Canada
Equity Swap - Long Position PCC 2015-08
Power Corporation of Canada
1 29/09/2017 70 31.57 10 1
Power Corporation of Canada
Equity Swap - Long Position PCC 2016-03
Power Corporation of Canada
1 29/09/2017 70 31.57 6 1
Power Corporation of Canada
Equity Swap - Long Position PCC 2017-03
Power Corporation of Canada
1 29/09/2017 70 31.57 3 1
Power Corporation of Canada
Equity Swap - Long Position PCC1
Power Corporation of Canada
1 29/09/2017 70 31.57 15 1
Power Corporation of Canada
Deferred Share Units Rousseau, Henri-Paul 5 30/09/2017 56 31.37 8,182 93
Power Corporation of Canada
Deferred Share Units Szathmary, Emoke Jolan Erzsebet
4 30/09/2017 56 32.78 855
Power Corporation of Canada
Deferred Share Units Szathmary, Emoke Jolan Erzsebet
4 30/09/2017 56 31.431 44,154 891
Power Financial Corporation Deferred Share Units Bibeau, Marc A. 4 30/09/2017 56 34.312 42,681 1,396
Power Financial Corporation Deferred Share Units Desmarais, André 4, 5 30/09/2017 56 33.604 82,442 1,000
Power Financial Corporation Deferred Share Units Desmarais, Paul Jr. 4, 6, 5 30/09/2017 56 34.131 57,563 1,313
Power Financial Corporation Deferred Share Units Doer, Gary Albert 4 30/09/2017 56 34.646 2,358 384
Power Financial Corporation Deferred Share Units Frère, Gérald 4 30/09/2017 56 34.016 50,750 971
Power Financial Corporation Deferred Share Units Graham, Anthony R. 4 30/09/2017 56 34.186 57,650 1,446
Power Financial Corporation Deferred Share Units Jackson, John David Allan 4 30/09/2017 56 34.492 9,131 523
Power Financial Corporation Deferred Share Units Orr, Robert Jeffrey 4, 6, 7, 5 30/09/2017 56 34.195 57,247 1,463
Power Financial Corporation Deferred Share Units Plessis-Bélair, Michel 5 30/09/2017 56 33.604 27,753 337
Power Financial Corporation Equity Forward Contract POWER FINANCIAL CORPORATION
1 02/10/2017 70 34.716 57 1
Power Financial Corporation Deferred Share Units Rousseau, Henri-Paul 5 30/09/2017 56 33.604 7,715 94
Power Financial Corporation Deferred Share Units roy, louise 4 30/09/2017 56 34.348 32,535 1,163
Power Financial Corporation Deferred Share Units Royer, Raymond 4 30/09/2017 56 34.132 122,391 2,793
Power Financial Corporation Deferred Share Units Szathmary, Emoke Jolan Erzsebet
4 30/09/2017 56 34.097 37,662 812
Prairie Provident Resources Inc.
Deferred Share Units Fitzpatrick, David Michael 4 29/09/2017 56 27,686 12,711
Prairie Provident Resources Inc.
Deferred Share Units Flynn, Terence 4 29/09/2017 56 27,686 12,711
Prairie Provident Resources Inc.
Common Shares Granger, Timothy S. 4, 5 20/07/2017 30 0.5 551,101 3,315
Prairie Provident Resources Inc.
Common Shares Granger, Timothy S. 4, 5 02/08/2017 30 0.5 554,416 3,315
Prairie Provident Resources Inc.
Common Shares Granger, Timothy S. 4, 5 17/08/2017 30 0.47 557,943 3,527
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8386
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Prairie Provident Resources Inc.
Common Shares Granger, Timothy S. 4, 5 07/09/2017 30 0.41 561,992 4,049
Prairie Provident Resources Inc.
Common Shares Granger, Timothy S. 4, 5 19/09/2017 30 0.38 566,412 4,420
Prairie Provident Resources Inc.
Deferred Share Units McDonald, Patrick 4 29/09/2017 56 27,686 12,711
Prairie Provident Resources Inc.
Deferred Share Units Petrie, Derek 4 29/09/2017 56 27,686 12,711
Prairie Provident Resources Inc.
Deferred Share Units Sabherwal, Ajay 4 29/09/2017 56 27,686 12,711
Prairie Provident Resources Inc.
Deferred Share Units Wonnacott, Robert 4 29/09/2017 56 27,686 12,711
Precious Metals Bullion Trust Units Precious Metals Bullion Trust
1 18/09/2017 38 9.72 1,000 1,000
Precious Metals Bullion Trust Units Precious Metals Bullion Trust
1 18/09/2017 38 9.72 0 -1,000
Precious Metals Bullion Trust Units Precious Metals Bullion Trust
1 29/09/2017 38 9.39 200 200
Precious Metals Bullion Trust Units Precious Metals Bullion Trust
1 29/09/2017 38 9.39 0 -200
Precision Drilling Corporation Deferred Share Units - effective January 1, 2012
Donovan, William T. 4 01/10/2017 56 93,090 9,185
Precision Drilling Corporation Deferred Share Units - effective January 1, 2012
Hagerman, Allen R. 4 01/10/2017 56 117,912 9,185
Precision Drilling Corporation Deferred Share Units - effective January 1, 2012
Hughes, Catherine Jeanne 4 01/10/2017 56 129,087 15,575
Precision Drilling Corporation Deferred Share Units - effective January 1, 2012
Krablin, Steven Wayne 4 01/10/2017 56 99,677 23,562
Precision Drilling Corporation Deferred Share Units - effective January 1, 2012
Letwin, Stephen Joseph James
4 01/10/2017 56 103,948 9,185
Precision Drilling Corporation Deferred Share Units - effective January 1, 2012
MacKenzie, Susan Mary 4 01/10/2017 56 1,211 1,211
Precision Drilling Corporation Deferred Share Units - effective January 1, 2012
Meyers, Kevin Omar 4 01/10/2017 56 96,026 9,185
Premier Diversified Holdings Inc.
Common Shares Tusar, Denis 3, 7 03/10/2017 10 0.0714 9,206,857 -92,000
Premier Diversified Holdings Inc.
Common Shares Tusar, Denis 3, 7 04/10/2017 10 0.08 9,191,857 -15,000
Premier Diversified Holdings Inc.
Common Shares Tusar, Denis 3, 7 06/10/2017 10 0.08 9,076,857 -115,000
Primeline Energy Holdings Inc.
Common Shares GEMS Investment Management Limited
3 05/10/2017 11 0.115 12,942,791 1,193,283
Primeline Energy Holdings Inc.
Common Shares GRF Prime Limited 3 05/10/2017 11 0.115 12,942,791 1,193,283
ProMetic Life Sciences Inc. Common Shares Wendel, Bruce 4 03/10/2017 10 1.2823 65,984 450
PUF Ventures Inc. Common Shares Cherry, Christopher 5 03/10/2017 51 0.265 75,000 25,000
PUF Ventures Inc. Common Shares Cherry, Christopher 5 03/10/2017 10 0.56 50,000 -25,000
PUF Ventures Inc. Options Cherry, Christopher 5 03/10/2017 51 0.265 0 -25,000
Pulse Seismic Inc. Common Shares Pulse Seismic Inc. 1 03/10/2017 38 0 -30,900
Pure Industrial Real Estate Trust
Deferred Units Evans, Steve 4, 5 29/09/2017 56 6.487 3,200 1,542
Pure Industrial Real Estate Trust
Deferred Units Haggis, Paul 4 29/09/2017 56 6.487 4,645 1,542
Pure Industrial Real Estate Trust
Deferred Units King, Robert William 4 29/09/2017 56 6.487 4,645 1,542
Pure Industrial Real Estate Trust
Deferred Units Turner, Thomas Richard 4 29/09/2017 56 6.487 7,547 2,506
Pure Industrial Real Estate Trust
Deferred Units Wigmore, Elisabeth Shirley 4 29/09/2017 56 6.487 3,411 1,542
Pure Technologies Ltd. Rights Deferred Share Units
Crossley, Raymond 4 02/10/2017 56 5.14 47,266 2,189
Pure Technologies Ltd. Rights Deferred Share Units
Elford, Sara 4 02/10/2017 56 5.14 16,983 2,189
Pure Technologies Ltd. Rights Deferred Share Units
Fischer, Charles Wayne 4 02/10/2017 56 5.14 23,044 2,189
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8387
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Pure Technologies Ltd. Rights Deferred Share Units
Kanovsky, Michael Manuel 4 02/10/2017 56 23,036 2,189
Pure Technologies Ltd. Rights Deferred Share Units
McDermid, David Hugh 4 02/10/2017 56 5.14 40,967 3,891
PYROGENESIS CANADA INC.
Common Shares Radin, Robert Michael 4 02/10/2017 51 0.18 350,000 200,000
PYROGENESIS CANADA INC.
Options Radin, Robert Michael 4 02/10/2017 51 0.18 275,000 -200,000
Quebecor Inc. Subordinate Voting Shares Catégorie B
Pruneau, Jean-François 5 29/09/2017 10 46.802 2,700 -5,000
Quebecor Inc. Subordinate Voting Shares Catégorie B
Pruneau, Jean-François 5 29/09/2017 10 46.8 300 -2,400
Quebecor Inc. Subordinate Voting Shares Catégorie B
Quebecor inc. 1 01/09/2017 38 47.93 15,000 15,000
Quebecor Inc. Subordinate Voting Shares Catégorie B
Quebecor inc. 1 05/09/2017 38 47.701 30,000 15,000
Quebecor Inc. Subordinate Voting Shares Catégorie B
Quebecor inc. 1 06/09/2017 38 47.484 45,000 15,000
Quebecor Inc. Subordinate Voting Shares Catégorie B
Quebecor inc. 1 07/09/2017 38 47.773 60,000 15,000
Quebecor Inc. Subordinate Voting Shares Catégorie B
Quebecor inc. 1 08/09/2017 38 46.976 75,000 15,000
Quebecor Inc. Subordinate Voting Shares Catégorie B
Quebecor inc. 1 11/09/2017 38 46.721 90,000 15,000
Quebecor Inc. Subordinate Voting Shares Catégorie B
Quebecor inc. 1 12/09/2017 38 46.634 105,000 15,000
Quebecor Inc. Subordinate Voting Shares Catégorie B
Quebecor inc. 1 13/09/2017 38 46.643 120,000 15,000
Quebecor Inc. Subordinate Voting Shares Catégorie B
Quebecor inc. 1 14/09/2017 38 46.706 135,000 15,000
Quebecor Inc. Subordinate Voting Shares Catégorie B
Quebecor inc. 1 15/09/2017 38 46.822 150,000 15,000
Quebecor Inc. Subordinate Voting Shares Catégorie B
Quebecor inc. 1 18/09/2017 38 46.744 165,000 15,000
Quebecor Inc. Subordinate Voting Shares Catégorie B
Quebecor inc. 1 19/09/2017 38 46.914 180,000 15,000
Quebecor Inc. Subordinate Voting Shares Catégorie B
Quebecor inc. 1 20/09/2017 38 46.971 195,000 15,000
Quebecor Inc. Subordinate Voting Shares Catégorie B
Quebecor inc. 1 21/09/2017 38 47.176 210,000 15,000
Quebecor Inc. Subordinate Voting Shares Catégorie B
Quebecor inc. 1 22/09/2017 38 47.039 225,000 15,000
Quebecor Inc. Subordinate Voting Shares Catégorie B
Quebecor inc. 1 25/09/2017 38 46.564 240,000 15,000
Quebecor Inc. Subordinate Voting Shares Catégorie B
Quebecor inc. 1 26/09/2017 38 46.707 255,000 15,000
Quebecor Inc. Subordinate Voting Shares Catégorie B
Quebecor inc. 1 27/09/2017 38 46.633 270,000 15,000
Quebecor Inc. Subordinate Voting Shares Catégorie B
Quebecor inc. 1 28/09/2017 38 46.707 285,000 15,000
Quebecor Inc. Subordinate Voting Shares Catégorie B
Quebecor inc. 1 29/09/2017 38 46.823 298,800 13,800
Quebecor Inc. Subordinate Voting Shares Catégorie B
Quebecor inc. 1 30/09/2017 38 0 -298,800
R&R Real Estate Investment Trust
Special Voting Units Klingher, Michael 5 25/08/2014 00
R&R Real Estate Investment Trust
Special Voting Units Klingher, Michael 5 03/10/2017 11 0.2 7,531,857 7,531,857
R&R Real Estate Investment Trust
Special Voting Units Mangalji, Majid 4 25/08/2014 00
R&R Real Estate Investment Trust
Special Voting Units Mangalji, Majid 4 03/10/2017 11 0.2 50,503,793 50,503,793
Raging River Exploration Inc. Units Deferred Share Units
BUGEAUD, GARY RONALD JOSEPH
4 29/09/2017 56 7.87 27,183 2,382
Raging River Exploration Inc. Units Deferred Share Units
Fink, George Frederick 4 29/09/2017 56 25,340 2,064
Raging River Exploration Inc. Common Shares Grimwood, Jonathan L. 5 02/10/2017 00
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8388
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Raging River Exploration Inc. Options Grimwood, Jonathan L. 5 02/10/2017 00
Raging River Exploration Inc. Options Grimwood, Jonathan L. 5 02/10/2017 50 7.87 150,000 150,000
Raging River Exploration Inc. Units Performance Share Units
Grimwood, Jonathan L. 5 02/10/2017 00
Raging River Exploration Inc. Units Performance Share Units
Grimwood, Jonathan L. 5 02/10/2017 56 25,000 25,000
Raging River Exploration Inc. Units Restricted Share Units
Grimwood, Jonathan L. 5 02/10/2017 00
Raging River Exploration Inc. Units Restricted Share Units
Grimwood, Jonathan L. 5 02/10/2017 56 45,000 45,000
Raging River Exploration Inc. Common Shares Lundberg, Chad 5 03/10/2017 57 7.7 21,050 15,000
Raging River Exploration Inc. Units Restricted Share Units
Lundberg, Chad 5 03/10/2017 57 7.7 30,000 -15,000
Raging River Exploration Inc. Units Deferred Share Units
Olson, Kevin 4 29/09/2017 56 7.87 29,944 2,858
Raging River Exploration Inc. Units Deferred Share Units
Pearce, David Lawrence 4 29/09/2017 56 7.87 26,722 2,303
Rainy Mountain Royalty Corp. (formerly East West Resource Corporation)
Common Shares Mason, Douglas Lawrence 4, 5 02/10/2017 10 0.08 1,050,000 -200,000
RavenQuest Biomed Inc. Common Shares Avila, Leovigildo 7 29/09/2017 00 286,031
RavenQuest Biomed Inc. Common Shares Avila, Noel 7 29/09/2017 00 2,860,310
RavenQuest Biomed Inc. Warrants Bechtel, Chris 4 06/09/2017 00 400,000
RavenQuest Biomed Inc. Warrants BONET, JORGE 4 06/09/2017 00 400,000
Razor Energy Corp. Common Shares Bailey, Douglas George 4, 5 29/09/2017 30 1.52 1,077,981 229
Razor Energy Corp. Common Shares Braun, Kevin Edward 5 29/09/2017 30 1.52 127,369 178
Razor Energy Corp. Common Shares Gill, Sanjib Singh 4 29/09/2017 30 1.52 40,750 102
Razor Energy Corp. Common Shares Mottahed, Shahin (Sonny) 4 29/09/2017 30 1.52 407,789 102
Razor Energy Corp. Common Shares Mueller, Lisa Ann 5 29/09/2017 30 1.52 48,382 178
Razor Energy Corp. Common Shares Muller, Frank Peter 4, 5 29/09/2017 10 1.52 856,772 204
Razor Energy Corp. Common Shares Razor Energy Corp. 1 14/09/2017 00
Razor Energy Corp. Common Shares Razor Energy Corp. 1 14/09/2017 38 1.6 50,000 50,000
Razor Energy Corp. Common Shares Razor Energy Corp. 1 15/09/2017 38 1.58 82,800 32,800
Razor Energy Corp. Common Shares Razor Energy Corp. 1 19/09/2017 38 1.69 98,400 15,600
Razor Energy Corp. Common Shares Razor Energy Corp. 1 21/09/2017 38 48,400 -50,000
Razor Energy Corp. Common Shares Razor Energy Corp. 1 25/09/2017 38 1.64 65,900 17,500
Razor Energy Corp. Common Shares Razor Energy Corp. 1 28/09/2017 38 0 -65,900
Razor Energy Corp. Common Shares Saxon, Vick 4 29/09/2017 30 1.52 389,789 102
Razor Energy Corp. Common Shares Smith, Stanley Thomas 4 29/09/2017 30 1.52 199,436 102
Razor Energy Corp. Common Shares Sundstrom, Devin Kent 5 29/09/2017 30 1.52 163,002 178
Razor Energy Corp. Common Shares Sych, Stephen George 5 29/09/2017 30 1.52 154,669 178
Real Matters Inc. Common Shares Pawelek, Mark 7 28/09/2017 90 44,086 -914
Real Matters Inc. Common Shares Pawelek, Mark 7 05/05/2017 00
Real Matters Inc. Common Shares Pawelek, Mark 7 28/09/2017 90 914 914
Redknee Solutions Inc. Subordinate Voting Shares (Common shares redesignated-Apr/17)
Kothari, Vishal 5 12/09/2017 30 0.7 66,695 9,639
Redline Communications Group Inc.
Options Demirian, Eric 4 27/09/2017 50 1.47 50,000 6,250
Redline Communications Group Inc.
Rights Deferred Share Units - Cash Settled
Demirian, Eric 4 26/06/2013 00
Redline Communications Group Inc.
Rights Deferred Share Units - Cash Settled
Demirian, Eric 4 27/09/2017 56 80,620 80,620
Redline Communications Group Inc.
Options Gould, Jeffrey Paul 5 01/10/2015 00
Redline Communications Group Inc.
Options Gould, Jeffrey Paul 5 27/09/2017 50 1.47 12,500 12,500
Redline Communications Group Inc.
Options Ritchie, Joan Marie 5 27/09/2017 50 1.47 20,000 13,750
Redline Communications Group Inc.
Options Roberts, David John 4 27/09/2017 50 1.47 37,500 6,250
Redline Communications Group Inc.
Rights Deferred Share Units - Cash Settled
Roberts, David John 4 07/03/2016 00
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8389
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Redline Communications Group Inc.
Rights Deferred Share Units - Cash Settled
Roberts, David John 4 27/09/2017 56 80,620 80,620
Redline Communications Group Inc.
Options Somji, Nizar Jaffer 4 27/09/2017 50 1.47 50,000 6,250
Redline Communications Group Inc.
Rights Deferred Share Units - Cash Settled
Somji, Nizar Jaffer 4 19/12/2013 00
Redline Communications Group Inc.
Rights Deferred Share Units - Cash Settled
Somji, Nizar Jaffer 4 27/09/2017 56 80,620 80,620
Redline Communications Group Inc.
Options Williams, Robert Lloyd 5 27/09/2017 50 1.47 454,500 29,500
REIT INDEXPLUS Income Fund
Trust Units REIT INDEXPLUS Income Fund
1 29/09/2017 38 12.23 9,669,079 700
REIT INDEXPLUS Income Fund
Trust Units REIT INDEXPLUS Income Fund
1 03/10/2017 38 12.1 9,669,279 200
Renforth Resources Inc. Options Appleby, Kyle Michael 5 05/10/2017 50 1,650,000 300,000
Renforth Resources Inc. Options Wahl, David George 4 05/10/2017 50 1,075,000 250,000
Restaurant Brands International Inc.
Common Shares Cil, José E. 5 28/09/2017 51 3.54 174,631 79,750
Restaurant Brands International Inc.
Common Shares Cil, José E. 5 28/09/2017 10 64 138,592 -36,039
Restaurant Brands International Inc.
Common Shares Cil, José E. 5 29/09/2017 51 3.54 352,959 214,367
Restaurant Brands International Inc.
Common Shares Cil, José E. 5 29/09/2017 10 63.68 256,087 -96,872
Restaurant Brands International Inc.
Options Cil, José E. 5 28/09/2017 51 3.54 1,436,254 -79,750
Restaurant Brands International Inc.
Options Cil, José E. 5 29/09/2017 51 3.54 -214,967
Restaurant Brands International Inc.
Options Cil, José E. 5 29/09/2017 51 3.54 1,221,887 -214,367
Restaurant Brands International Inc.
Units Restricted Shares Cil, José E. 5 03/10/2017 35 53,349 166
Restaurant Brands International Inc.
Units Restricted Shares Domanko, Jonathan 7 03/10/2017 35 940 3
Restaurant Brands International Inc.
Units Restricted Shares Friesner, Jacqueline 5 03/10/2017 35 13,684 42
Restaurant Brands International Inc.
Units Restricted Shares Giles-Klein, Lisa 7 03/10/2017 35 11,854 37
Restaurant Brands International Inc.
Units Restricted Shares Goncalves, Heitor 5 03/10/2017 35 44,742 139
Restaurant Brands International Inc.
Units Restricted Shares Granat, Jill 5 03/10/2017 35 30,061 94
Restaurant Brands International Inc.
Units Restricted Shares John, Andrea 7 03/10/2017 35 34,815 108
Restaurant Brands International Inc.
Units Restricted Shares Kobza, Joshua 5 03/10/2017 35 406,107 1,260
Restaurant Brands International Inc.
Units Restricted Shares McGrade, Patrick Michael 7 03/10/2017 35 10,259 32
Restaurant Brands International Inc.
Units Restricted Shares Santoro, Alexandre 7 03/10/2017 35 109,090 340
Restaurant Brands International Inc.
Units Restricted Shares Schwartz, Daniel S. 4, 6, 5 03/10/2017 35 86,412 268
Restaurant Brands International Inc.
Units Restricted Shares Siddiqui, Sami 7 03/10/2017 35 173,623 539
Restaurant Brands International Inc.
Units Restricted Shares Tome, Vicente 7 03/10/2017 35 4,710 15
Richards Packaging Income Fund
Exchangeable Shares of Richards Packaging Holdings Inc.
Glynn, Gerard Walter 3, 4, 7 28/09/2017 99 20.5 0 -10,700
Richards Packaging Income Fund
Exchangeable Shares of Richards Packaging Holdings Inc.
Glynn, Gerard Walter 3, 4, 7 28/09/2017 10 28.45 13,787 13,787
Richards Packaging Income Fund
Exchangeable Shares of Richards Packaging Holdings Inc.
Glynn, Gerard Walter 3, 4, 7 28/09/2017 36 28.45 0 -13,787
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8390
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Richards Packaging Income Fund
Exchangeable Shares of Richards Packaging Holdings Inc.
Glynn, Gerard Walter 3, 4, 7 28/09/2017 10 28.45 81,421 -500
Richards Packaging Income Fund
Exchangeable Shares of Richards Packaging Holdings Inc.
Glynn, Gerard Walter 3, 4, 7 28/09/2017 10 28.45 6,787 500
Richards Packaging Income Fund
Exchangeable Shares of Richards Packaging Holdings Inc.
Glynn, Gerard Walter 3, 4, 7 28/09/2017 99 20.5 13,787 7,000
Richards Packaging Income Fund
Exchangeable Shares of Richards Packaging Holdings Inc.
Glynn, Gerard Walter 3, 4, 7 28/09/2017 10 28.45 0 -13,787
Richards Packaging Income Fund
Special Voting Units Glynn, Gerard Walter 3, 4, 7 28/09/2017 99 20.5 0 -10,700
Richards Packaging Income Fund
Special Voting Units Glynn, Gerard Walter 3, 4, 7 28/09/2017 10 28.45 13,787 13,787
Richards Packaging Income Fund
Special Voting Units Glynn, Gerard Walter 3, 4, 7 28/09/2017 36 28.45 0 -13,787
Richards Packaging Income Fund
Special Voting Units Glynn, Gerard Walter 3, 4, 7 28/09/2017 10 28.45 81,421 -500
Richards Packaging Income Fund
Special Voting Units Glynn, Gerard Walter 3, 4, 7 28/09/2017 10 28.45 6,787 500
Richards Packaging Income Fund
Special Voting Units Glynn, Gerard Walter 3, 4, 7 28/09/2017 10 20.5 13,787 7,000
Richards Packaging Income Fund
Special Voting Units Glynn, Gerard Walter 3, 4, 7 28/09/2017 10 28.45 0 -13,787
Ridgewood Canadian Investment Grade Bond Fund
Units Ridgewood Capital Asset Management
3 29/09/2017 10 14.98 6,625,622 2,366
Ridgewood Canadian Investment Grade Bond Fund
Units Ridgewood Capital Asset Management
3 29/09/2017 10 14.98 6,624,454 -1,168
Ridgewood Canadian Investment Grade Bond Fund
Units Ridgewood Capital Asset Management
3 02/10/2017 10 14.98 6,624,503 49
Ridgewood Canadian Investment Grade Bond Fund
Units Ridgewood Capital Asset Management
3 02/10/2017 10 14.98 6,624,450 -53
Ridgewood Canadian Investment Grade Bond Fund
Units Ridgewood Capital Asset Management
3 04/10/2017 10 14.98 6,625,560 1,110
Ridgewood Canadian Investment Grade Bond Fund
Units Ridgewood Capital Asset Management
3 04/10/2017 10 14.98 6,624,352 -1,208
Ridgewood Canadian Investment Grade Bond Fund
Units Ridgewood Capital Asset Management
3 05/10/2017 10 14.98 6,624,152 -200
Ridgewood Canadian Investment Grade Bond Fund
Units Ridgewood Capital Asset Management
3 05/10/2017 10 14.98 6,624,502 350
Ridgewood Canadian Investment Grade Bond Fund
Units Simpson, John H. 5 29/09/2017 10 14.98 32,147 -107
Ridgewood Canadian Investment Grade Bond Fund
Units Simpson, John H. 5 02/10/2017 10 14.98 32,127 -20
Rockhaven Resources Ltd. Common Shares Eaton, William Douglas 6 02/10/2017 10 11,707,500 1,500
Rocky Mountain Dealerships Inc.
Rights DSU Crawford, Cameron Walter 4 29/09/2017 56 8,652 90
Rocky Mountain Dealerships Inc.
Rights DSU Crawford, Cameron Walter 4 01/10/2017 56 9,681 1,029
Rocky Mountain Dealerships Inc.
Rights DSU DeJong, William 4 29/09/2017 56 8,652 90
Rocky Mountain Dealerships Inc.
Rights DSU DeJong, William 4 01/10/2017 56 9,681 1,029
Rocky Mountain Dealerships Inc.
Rights DSU Herdman, Robert 4 29/09/2017 56 2,308 24
Rocky Mountain Dealerships Inc.
Rights DSU Herdman, Robert 4 01/10/2017 56 3,337 1,029
Rocky Mountain Dealerships Inc.
Rights DSU Mackay, Robert King 4 29/09/2017 56 20,496 213
Rocky Mountain Dealerships Inc.
Rights DSU Mackay, Robert King 4 01/10/2017 56 21,525 1,029
Rocky Mountain Dealerships Inc.
Rights DSU Tannas, Scott 4 29/09/2017 56 14,411 150
Rocky Mountain Dealerships Inc.
Rights DSU Tannas, Scott 4 01/10/2017 56 15,440 1,029
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8391
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Rogers Communications Inc. Deferred Share Units Berner, Robert F. 7, 5 30/09/2017 38 7,749 -997
Rogers Communications Inc. Performance Deferred Share Units
Berner, Robert F. 7, 5 30/09/2017 38 21,780 -8,908
Rogers Communications Inc. Deferred Share Units Brooks, Bonnie 4 30/09/2017 56 6,943 189
Rogers Communications Inc. Deferred Share Units Burgess, Robert Kenneth 4 30/09/2017 56 4,217 395
Rogers Communications Inc. Deferred Share Units Marcoux, Isabelle 4 30/09/2017 56 34,980 508
Rogers Communications Inc. Deferred Share Units Peterson, David Robert 4 30/09/2017 56 101,678 375
Rogers Communications Inc. Deferred Share Units Sirois, Charles 4 30/09/2017 56 63.987 28,566 625
Roxgold Inc. Common Shares Dorward, John Andrew 4, 5 03/10/2017 51 0.96 910,500 200,000
Roxgold Inc. Common Shares Dorward, John Andrew 4, 5 03/10/2017 10 1.2368 710,500 -200,000
Roxgold Inc. Options Dorward, John Andrew 4, 5 03/10/2017 51 0.96 3,025,000 -200,000
Royal Bank of Canada Common Shares Royal Bank of Canada 1 14/09/2017 38 92.162 212,000 212,000
Royal Bank of Canada Common Shares Royal Bank of Canada 1 15/09/2017 38 91.926 412,000 200,000
Royal Bank of Canada Common Shares Royal Bank of Canada 1 18/09/2017 38 92.054 603,900 191,900
Royal Bank of Canada Common Shares Royal Bank of Canada 1 18/09/2017 38 391,900 -212,000
Royal Bank of Canada Common Shares Royal Bank of Canada 1 19/09/2017 38 92.522 440,000 48,100
Royal Bank of Canada Common Shares Royal Bank of Canada 1 19/09/2017 38 240,000 -200,000
Royal Bank of Canada Common Shares Royal Bank of Canada 1 20/09/2017 38 48,100 -191,900
Royal Bank of Canada Common Shares Royal Bank of Canada 1 21/09/2017 38 0 -48,100
Royal Nickel Corporation Rights Restricted Share Units
Goudie, Peter James 4 29/09/2017 56 567,513 65,445
Royal Nickel Corporation Rights Restricted Share Units
Hand, Scott McKee 4, 5 29/09/2017 56 1,329,676 163,613
Royal Nickel Corporation Rights Restricted Share Units
Jones, Peter Clark 4 29/09/2017 56 605,063 65,445
Royal Nickel Corporation Rights Restricted Share Units
Marzoli, Frank 4 29/09/2017 56 446,529 45,812
Royal Nickel Corporation Rights Restricted Share Units
Masson, Gilles 4 29/09/2017 56 620,702 71,990
Royal Nickel Corporation Rights Restricted Share Units
McInnes, Donald Arthur 4 03/10/2017 56 0.191 478,948 52,356
Royal Road Minerals Limited Ordinary Shares Coughlin, Timothy James 4, 5 05/10/2017 10 0.09 3,687,958 10,000
Royal Road Minerals Limited Ordinary Shares Coughlin, Timothy James 4, 5 05/10/2017 10 0.09 3,697,958 10,000
Royalty North Partners Ltd. Common Shares BUSS, CHRISTOPHER A. 4, 5 29/09/2017 37 128,186 -1,153,675
Royalty North Partners Ltd. Convertible Debentures September 2017
BUSS, CHRISTOPHER A. 4, 5 08/09/2017 16 $15,000
Royalty North Partners Ltd. Convertible Debentures September 2017
BUSS, CHRISTOPHER A. 4, 5 08/09/2017 16 $50,000
Royalty North Partners Ltd. Convertible Debentures September 2017
BUSS, CHRISTOPHER A. 4, 5 08/09/2017 16 $50,000 $50,000
Royalty North Partners Ltd. Options BUSS, CHRISTOPHER A. 4, 5 29/09/2017 37 127,500 -247,500
Royalty North Partners Ltd. Options BUSS, CHRISTOPHER A. 4, 5 29/09/2017 37 37,500 -90,000
Royalty North Partners Ltd. Warrants BUSS, CHRISTOPHER A. 4, 5 19/06/2017 55 792,100 -85,741
Royalty North Partners Ltd. Warrants BUSS, CHRISTOPHER A. 4, 5 19/06/2017 55 592,100 -200,000
Royalty North Partners Ltd. Warrants BUSS, CHRISTOPHER A. 4, 5 29/09/2017 38 300,000 -292,100
Royalty North Partners Ltd. Warrants BUSS, CHRISTOPHER A. 4, 5 29/09/2017 38 0 -300,000
Royalty North Partners Ltd. Warrants BUSS, CHRISTOPHER A. 4, 5 29/09/2017 37 292,100 292,100
Royalty North Partners Ltd. Warrants BUSS, CHRISTOPHER A. 4, 5 29/09/2017 37 592,100 300,000
Royalty North Partners Ltd. Common Shares CURRIE, JUSTIN LENNOX 4, 5 29/09/2017 37 99,000 -891,000
Royalty North Partners Ltd. Common Shares CURRIE, JUSTIN LENNOX 4, 5 29/09/2017 37 59,333 -534,000
Royalty North Partners Ltd. Convertible Debentures September 2017
CURRIE, JUSTIN LENNOX 4, 5 08/09/2017 16 $100,000
Royalty North Partners Ltd. Convertible Debentures September 2017
CURRIE, JUSTIN LENNOX 4, 5 08/09/2017 16 $100,000 $100,000
Royalty North Partners Ltd. Options CURRIE, JUSTIN LENNOX 4, 5 29/09/2017 37 32,500 -292,500
Royalty North Partners Ltd. Warrants CURRIE, JUSTIN LENNOX 4, 5 29/09/2017 38 75,000 -840,000
Royalty North Partners Ltd. Warrants CURRIE, JUSTIN LENNOX 4, 5 29/09/2017 38 0 -75,000
Royalty North Partners Ltd. Warrants CURRIE, JUSTIN LENNOX 4, 5 29/09/2017 37 840,000 840,000
Royalty North Partners Ltd. Warrants CURRIE, JUSTIN LENNOX 4, 5 29/09/2017 37 915,000 75,000
Royalty North Partners Ltd. Warrants CURRIE, JUSTIN LENNOX 4, 5 19/06/2017 55 0 -364,000
Royalty North Partners Ltd. Common Shares HOLLANDS, H. CLARK 4 29/09/2017 37 82,500 -742,500
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8392
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Royalty North Partners Ltd. Common Shares HOLLANDS, H. CLARK 4 29/09/2017 37 519,866 -4,678,795
Royalty North Partners Ltd. Convertible Debentures September 2017
HOLLANDS, H. CLARK 4 08/09/2017 16 $800,000
Royalty North Partners Ltd. Convertible Debentures September 2017
HOLLANDS, H. CLARK 4 08/09/2017 16 $800,000 $800,000
Royalty North Partners Ltd. Options HOLLANDS, H. CLARK 4 29/09/2017 37 15,000 -135,000
Royalty North Partners Ltd. Warrants HOLLANDS, H. CLARK 4 29/09/2017 38 0 -300,000
Royalty North Partners Ltd. Warrants HOLLANDS, H. CLARK 4 29/09/2017 37 300,000 300,000
Royalty North Partners Ltd. Warrants HOLLANDS, H. CLARK 4 19/06/2017 55 2,867,917 -352,625
Royalty North Partners Ltd. Warrants HOLLANDS, H. CLARK 4 29/09/2017 38 1,666,667 -1,201,250
Royalty North Partners Ltd. Warrants HOLLANDS, H. CLARK 4 29/09/2017 38 0 -1,666,667
Royalty North Partners Ltd. Warrants HOLLANDS, H. CLARK 4 29/09/2017 37 1,201,250 1,201,250
Royalty North Partners Ltd. Warrants HOLLANDS, H. CLARK 4 29/09/2017 37 2,867,917 1,666,667
Royalty North Partners Ltd. Common Shares SCHELLENBERG, DAVID ALFRED
4 29/09/2017 37 266,667 -2,399,999
Royalty North Partners Ltd. Common Shares SCHELLENBERG, DAVID ALFRED
4 29/09/2017 37 183,333 -1,650,000
Royalty North Partners Ltd. Options SCHELLENBERG, DAVID ALFRED
4 29/09/2017 37 15,000 -135,000
Royalty North Partners Ltd. Warrants SCHELLENBERG, DAVID ALFRED
4 29/09/2017 38 0 -1,333,333
Royalty North Partners Ltd. Warrants SCHELLENBERG, DAVID ALFRED
4 29/09/2017 37 1,333,333 1,333,333
Royalty North Partners Ltd. Warrants SCHELLENBERG, DAVID ALFRED
4 19/06/2017 55 1,240,000 -364,000
Royalty North Partners Ltd. Warrants SCHELLENBERG, DAVID ALFRED
4 29/09/2017 38 0 -1,240,000
Royalty North Partners Ltd. Warrants SCHELLENBERG, DAVID ALFRED
4 29/09/2017 37 1,240,000 1,240,000
Royalty North Partners Ltd. Common Shares Smith, Gregory 4 29/09/2017 37 59,292 -533,625
Royalty North Partners Ltd. Options Smith, Gregory 4 29/09/2017 37 15,000 -135,000
Royalty North Partners Ltd. Warrants Smith, Gregory 4 19/06/2017 55 387,500 -113,750
Royalty North Partners Ltd. Warrants Smith, Gregory 4 29/09/2017 38 0 -387,500
Royalty North Partners Ltd. Warrants Smith, Gregory 4 29/09/2017 37 387,500 387,500
Royalty North Partners Ltd. Common Shares Watson, Nolan Allan 4 29/09/2017 37 762,771 -6,864,937
Royalty North Partners Ltd. Options Watson, Nolan Allan 4 29/09/2017 37 15,000 -135,000
Royalty North Partners Ltd. Warrants Watson, Nolan Allan 4 19/06/2017 55 4,038,750 -534,625
Royalty North Partners Ltd. Warrants Watson, Nolan Allan 4 29/09/2017 38 2,217,500 -1,821,250
Royalty North Partners Ltd. Warrants Watson, Nolan Allan 4 29/09/2017 38 0 -2,217,500
Royalty North Partners Ltd. Warrants Watson, Nolan Allan 4 29/09/2017 37 1,821,250 1,821,250
Royalty North Partners Ltd. Warrants Watson, Nolan Allan 4 29/09/2017 37 4,038,750 2,217,500
Rupert Resources Ltd. Common Shares Brimacombe, Alan Douglas 3 03/10/2017 10 0.965 18,997,800 5,000
Rupert Resources Ltd. Common Shares Brimacombe, Alan Douglas 3 03/10/2017 10 0.97 19,002,300 4,500
Rupert Resources Ltd. Common Shares Brimacombe, Alan Douglas 3 03/10/2017 10 0.98 19,012,300 10,000
Rupert Resources Ltd. Common Shares Brimacombe, Alan Douglas 3 03/10/2017 10 0.99 19,022,800 10,500
Russel Metals Inc. Rights Deferred Share Units (cash settled)
Benedetti, Alain 4 30/09/2017 56 46,309 656
Russel Metals Inc. Rights Deferred Share Units (cash settled)
Clark, John 4 30/09/2017 56 32,126 1,475
Russel Metals Inc. Rights Deferred Share Units (cash settled)
Dinning, James Francis 4 30/09/2017 56 31,298 656
Russel Metals Inc. Rights Deferred Share Units (cash settled)
Hanna, John 4 30/09/2017 56 31,970 1,347
Russel Metals Inc. Rights Deferred Share Units (cash settled)
Jeremiah, Barbara 4 30/09/2017 56 4,226 656
Russel Metals Inc. Rights Deferred Share Units (cash settled)
Laberge, Alice D. 4 30/09/2017 56 24,153 656
Russel Metals Inc. Rights Deferred Share Units (cash settled)
Lachapelle, Lise 4 30/09/2017 56 31,298 656
Russel Metals Inc. Rights Deferred Share Units (cash settled)
O'Reilly, William Michael 5 30/09/2017 56 25,712 655
Russel Metals Inc. Rights Deferred Share Units (cash settled)
Tulloch, John Russell 4 30/09/2017 56 12,719 656
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8393
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Sanatana Resources Inc. Options Doyle, Buddy James 5 05/10/2017 50 0.06 1,800,000 1,000,000
Sanatana Resources Inc. Options Doyle, Buddy James 5 05/10/2017 52 1,000,000 -800,000
Sanatana Resources Inc. Options Miles, Peter Leighton 4, 5 17/02/2016 52 0.3 1,300,000 -1,000,000
Sanatana Resources Inc. Options Miles, Peter Leighton 4, 5 25/06/2017 52 0.35 800,000 -500,000
Sanatana Resources Inc. Options Miles, Peter Leighton 4, 5 28/09/2017 50 0.06 2,300,000 1,500,000
Sanatana Resources Inc. Options WILL, DARCY 4 31/07/2014 00
Sanatana Resources Inc. Options WILL, DARCY 4 28/09/2017 50 0.06 1,000,000 1,000,000
Savary Gold Corp. Common Shares Olesinski, Thomas 4 14/07/2017 00
Savary Gold Corp. Common Shares Olesinski, Thomas 4 13/09/2017 10 0.065 200,000 200,000
Savary Gold Corp. Options Olesinski, Thomas 4 31/03/2015 50 250,000 150,000
Savary Gold Corp. Options Olesinski, Thomas 4 16/02/2016 50 400,000 150,000
Savary Gold Corp. Options Olesinski, Thomas 4 20/01/2017 50 600,000 200,000
Savary Gold Corp. Options Olesinski, Thomas 4 14/07/2017 00 100,000
Scorpion Resources Inc. Common Shares Lichtenwald, Konstantin 5 29/06/2016 00
Scorpion Resources Inc. Common Shares Lichtenwald, Konstantin 5 31/01/2017 10 0.25 20,000 20,000
ScoZinc Mining Ltd. (formerly Selwyn Resources Ltd.)
Common Shares Lazarovici, Victor 4 02/08/2017 10 1.5272 8,100
ScoZinc Mining Ltd. (formerly Selwyn Resources Ltd.)
Common Shares Lazarovici, Victor 4 02/08/2017 10 1.5272 8,100
ScoZinc Mining Ltd. (formerly Selwyn Resources Ltd.)
Common Shares Lazarovici, Victor 4 03/08/2017 10 1.55 2,300
ScoZinc Mining Ltd. (formerly Selwyn Resources Ltd.)
Common Shares Lazarovici, Victor 4 03/08/2017 10 1.55 2,300
ScoZinc Mining Ltd. (formerly Selwyn Resources Ltd.)
Common Shares RCF Management LLC 8 06/07/2017 99 0 -400,005
ScoZinc Mining Ltd. (formerly Selwyn Resources Ltd.)
Common Shares Resource Capital Fund IV LP
3 06/07/2017 99 0 -66,787,329
ScoZinc Mining Ltd. (formerly Selwyn Resources Ltd.)
Warrants Resource Capital Fund IV LP
3 23/07/2012 55 12,878,933 -165,846
ScoZinc Mining Ltd. (formerly Selwyn Resources Ltd.)
Warrants Resource Capital Fund IV LP
3 25/08/2013 55 2,028,933 -10,850,000
ScoZinc Mining Ltd. (formerly Selwyn Resources Ltd.)
Warrants Resource Capital Fund IV LP
3 01/09/2013 55 1,875,000 -153,933
ScoZinc Mining Ltd. (formerly Selwyn Resources Ltd.)
Warrants Resource Capital Fund IV LP
3 31/12/2014 55 0 -1,875,000
Seahawk Ventures Inc. Common Shares Ekholm, Ian Jack 3 30/09/2017 55 0.6 50,000
Seahawk Ventures Inc. Common Shares Ekholm, Ian Jack 3 30/09/2017 55 0.6 1,278,200 -50,000
Seahawk Ventures Inc. Common Shares Ekholm, Ian Jack 3 30/09/2017 55 0.6 2,759,000 -950,000
SEMAFO INC. Common Shares Desormeaux, Benoit 4, 5 29/09/2017 10 3.33 252,400 10,000
SEMAFO INC. Common Shares Milette, Martin 5 28/09/2017 10 3.345 29,900 29,900
Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 05/09/2017 10 212 400
Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 05/09/2017 38 212 400 400
Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 07/09/2017 10 212 100
Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 07/09/2017 38 212 500 100
Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 14/09/2017 10 217.98 1,000
Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 14/09/2017 38 217.98 1,500 1,000
Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 15/09/2017 10 218 200
Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 15/09/2017 38 218 1,700 200
Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 20/09/2017 10 218.98 1,000
Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 20/09/2017 38 218.98 2,700 1,000
Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 21/09/2017 10 220 200
Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 21/09/2017 38 220 2,900 200
Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 25/09/2017 10 220 100
Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 25/09/2017 38 220 3,000 100
Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 27/09/2017 10 231.99 1,000
Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 27/09/2017 38 231.99 4,000 1,000
Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 28/09/2017 10 230 100
Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 28/09/2017 38 230 4,100 100
Serabi Gold plc Options ALEGRIA OLATE, HECTOR AQUILES
4 29/09/2017 52 0.055 3,000,000 -1,000,000
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8394
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Serabi Gold plc Options Banados Lyon, Nicolas Ramon
4 29/09/2017 52 0.055 3,000,000 -1,200,000
Serabi Gold plc Options Swett, Felipe 4 29/09/2017 52 0.055 3,000,000 -1,000,000
Seven Generations Energy Ltd.
Rights Deferred Share Units
Brown, Kevin Jack 4 29/09/2017 56 20,040 2,788
Seven Generations Energy Ltd.
17,640 common shares (short position)
Canada Pension Plan Investment Board
3 03/10/2017 72 derivative 0 -12,490
Seven Generations Energy Ltd.
Common Shares Class A Canada Pension Plan Investment Board
3 03/10/2017 10 20.08 10,219,990 744,690
Seven Generations Energy Ltd.
Common Shares Class A Canada Pension Plan Investment Board
3 03/10/2017 72 derivative 10,207,500 -12,490
Seven Generations Energy Ltd.
Common Shares Class A Canada Pension Plan Investment Board
3 04/10/2017 10 20.227 10,511,400 303,900
Seven Generations Energy Ltd.
Rights Deferred Share Units
Canada Pension Plan Investment Board
3 29/09/2017 56 9,900 1,504
Seven Generations Energy Ltd.
Rights Deferred Share Units
Carlson, Patrick Beverley 4 29/10/2014 00
Seven Generations Energy Ltd.
Rights Deferred Share Units
Carlson, Patrick Beverley 4 29/09/2017 56 2,694 2,694
Seven Generations Energy Ltd.
Rights Deferred Share Units
DOERR, Harvey 4 29/09/2017 56 11,149 2,569
Seven Generations Energy Ltd.
Rights Deferred Share Units
Hand, Paul Warren 4 29/09/2017 56 6,099 2,569
Seven Generations Energy Ltd.
Rights Deferred Share Units
Hohm, Dale Jonathan 4 29/09/2017 56 15,402 1,504
Seven Generations Energy Ltd.
Rights Deferred Share Units
Jespersen, Kent 4 29/09/2017 56 13,058 2,339
Seven Generations Energy Ltd.
Rights Deferred Share Units
McAdam, William 4 29/09/2017 56 19,422 2,694
Seven Generations Energy Ltd.
Rights Deferred Share Units
Rakhit, Kaushik 4 29/09/2017 56 15,402 1,504
Seven Generations Energy Ltd.
Rights Deferred Share Units
SHEPPARD, Mary Jacqueline
4 29/09/2017 56 11,254 2,600
Seven Generations Energy Ltd.
Rights Deferred Share Units
van Steenbergen, Jeff 4 29/09/2017 56 15,402 1,504
SHAW COMMUNICATIONS INC.
Directors' Deferred Share Units (DDSU)
Keating, Gregory John 4 31/07/2017 56 27.64 430
SHAW COMMUNICATIONS INC.
Directors' Deferred Share Units (DDSU)
Keating, Gregory John 4 31/07/2017 56 27.64 60,842 484
SHAW COMMUNICATIONS INC.
Directors' Deferred Share Units (DDSU)
Keating, Gregory John 4 30/09/2017 56 28.73 61,686 416
SHAW COMMUNICATIONS INC.
Directors' Deferred Share Units (DDSU)
Pew, Paul Kenneth 4 30/09/2017 56 28.72 94,323 841
SHAW COMMUNICATIONS INC.
Directors' Deferred Share Units (DDSU)
Royer, Jeffrey 4 30/09/2017 56 28.74 88,544 508
SHAW COMMUNICATIONS INC.
Non-Voting Shares Class “B”
Shaw, Bradley 4, 5 28/09/2017 30 27.948 3,879 34
SHAW COMMUNICATIONS INC.
Non-Voting Shares Class “B”
Shaw, Bradley 4, 5 28/09/2017 30 27.948 2,249 43
SHAW COMMUNICATIONS INC.
Non-Voting Shares Class “B”
Shaw, Bradley 4, 5 28/09/2017 30 27.948 2,249 43
SHAW COMMUNICATIONS INC.
Non-Voting Shares Class “B”
Shaw, Bradley 4, 5 28/09/2017 30 27.948 2,249 43
SHAW COMMUNICATIONS INC.
Non-Voting Shares Class “B”
Shaw, Bradley 4, 5 28/09/2017 30 27.948 2,249 43
SHAW COMMUNICATIONS INC.
Non-Voting Shares Class “B”
Shaw, Bradley 4, 5 28/09/2017 30 27.948 90 2
SHAW COMMUNICATIONS INC.
Non-Voting Shares Class “B”
Shaw, Heather Ann 3 28/09/2017 30 27.948 2,348 44
SHAW COMMUNICATIONS INC.
Non-Voting Shares Class “B”
Shaw, Jim 4 28/09/2017 30 27.948 202 7
SHAW COMMUNICATIONS INC.
Non-Voting Shares Class “B”
Shaw, Jim 4 28/09/2017 30 27.948 1,568 4
SHAW COMMUNICATIONS INC.
Non-Voting Shares Class “B”
Shaw, Jim 4 28/09/2017 30 27.948 23,120 81
SHAW COMMUNICATIONS INC.
Non-Voting Shares Class “B”
Shaw, Jim 4 28/09/2017 30 27.948 1,568 4
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8395
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
SHAW COMMUNICATIONS INC.
Non-Voting Shares Class “B”
Shaw, Jim 4 28/09/2017 30 27.948 1,039 3
SHAW COMMUNICATIONS INC.
Non-Voting Shares Class “B”
Shaw, Jim 4 28/09/2017 30 27.948 1,568 4
SHAW COMMUNICATIONS INC.
Non-Voting Shares Class “B”
Shaw, Jim 4 28/09/2017 30 27.948 885 38
SHAW COMMUNICATIONS INC.
Non-Voting Shares Class “B”
Shaw, JR 3, 4, 5 28/09/2017 30 27.948 2,548,241 9,150
SHAW COMMUNICATIONS INC.
Non-Voting Shares Class “B”
Shaw, JR 3, 4, 5 28/09/2017 30 27.948 54,714 288
SHAW COMMUNICATIONS INC.
Non-Voting Shares Class “B”
Shaw, JR 3, 4, 5 28/09/2017 30 27.948 18,449 64
SHAW COMMUNICATIONS INC.
Non-Voting Shares Class “B”
Shaw, Julie 5 28/09/2017 30 27.948 27,220 104
SHAW COMMUNICATIONS INC.
Non-Voting Shares Class “B”
Shaw, Julie 5 28/09/2017 30 27.948 3,911 48
SHAW COMMUNICATIONS INC.
Non-Voting Shares Class “B”
Shaw, Julie 5 28/09/2017 30 27.948 3,911 48
SHAW COMMUNICATIONS INC.
Non-Voting Shares Class “B”
Shaw, Julie 5 28/09/2017 30 27.948 4,531 50
SHAW COMMUNICATIONS INC.
Directors' Deferred Share Units (DDSU)
Vogel, Carl E. 4 30/09/2017 56 23.03 32,253 271
SHAW COMMUNICATIONS INC.
Directors' Deferred Share Units (DDSU)
Weatherill, Sheila Christine 4 30/09/2017 56 28.72 53,521 441
SHAW COMMUNICATIONS INC.
Non-Voting Shares Class “B”
Yuill, Willard 4 05/10/2017 51 26.2 1,043,555 50,000
SHAW COMMUNICATIONS INC.
Non-Voting Shares Class “B”
Yuill, Willard 4 08/12/2015 99 16,135 -1,311
SHAW COMMUNICATIONS INC.
Options Yuill, Willard 4 05/10/2017 51 26.2 0 -50,000
Shopify Inc. Subordinate Voting Shares Class A Subordinate Voting Shares
Lemieux, Jean-Michel 5 02/10/2017 30 119.22 4,774 -3,128
Shopify Inc. Subordinate Voting Shares Class A Subordinate Voting Shares
Lutke, Tobias Albin 4, 5 02/10/2017 30 118.67 108,000 -9,000
Sienna Senior Living Inc. (formerly Leisureworld Senior Care Corporation)
Deferred Share Units Chiesa, Dino 4, 5 30/09/2017 56 137,229 2,213
Sienna Senior Living Inc. (formerly Leisureworld Senior Care Corporation)
Deferred Share Units Graham, Janet 4 30/09/2017 56 32,281 1,176
Sienna Senior Living Inc. (formerly Leisureworld Senior Care Corporation)
Deferred Share Units Jourdain Coleman, Paula 4 30/09/2017 56 13,193 830
Sienna Senior Living Inc. (formerly Leisureworld Senior Care Corporation)
Deferred Share Units MacDonald, Jack C. 4 30/09/2017 56 25,293 1,037
Sienna Senior Living Inc. (formerly Leisureworld Senior Care Corporation)
Deferred Share Units McLaughlin, John Gordon 4 30/09/2017 56 41,756 830
Sienna Senior Living Inc. (formerly Leisureworld Senior Care Corporation)
Deferred Share Units Sender, Stephen 4 30/09/2017 56 1,185 830
Silver Mountain Mines Inc. Common Shares Konopelky, Stephen Garry 4, 5 03/10/2017 10 0.02 2,063,175 -250,000
Silver Mountain Mines Inc. Common Shares Konopelky, Stephen Garry 4, 5 05/10/2017 10 0.02 2,040,175 -23,000
Silver Viper Minerals Corp. Common Shares Cope, Gary Gordon 4 03/10/2017 10 0.25 1,050,000 50,000
SILVERCORP METALS INC. Options Feng, Rui 4, 5 03/10/2017 50 3.36 2,932,500 140,000
SILVERCORP METALS INC. Options Katusa, Marina 4 29/09/2017 00
SILVERCORP METALS INC. Options Katusa, Marina 4 02/10/2017 50 3.36 100,000 100,000
SILVERCORP METALS INC. Options Kong, David TokPay 4 03/10/2017 50 3.36 526,750 50,000
SILVERCORP METALS INC. Options Liu, Derek Zhihua 5 03/10/2017 50 380,000 50,000
SILVERCORP METALS INC. Options Liu, Yikang 4 03/10/2017 50 3.36 216,270 50,000
SILVERCORP METALS INC. Options Liu, Yuzhou 5 03/10/2017 50 3.36 244,796 40,000
SILVERCORP METALS INC. Options Neal, Gordon 5 03/10/2017 50 3.36 160,000 20,000
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8396
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
SILVERCORP METALS INC. Options Simpson, Stephen Paul 4 03/10/2017 50 3.36 526,750 50,000
SILVERCORP METALS INC. Options Waldman, Lorne 5 03/10/2017 50 3.36 492,376 40,000
SILVERCORP METALS INC. Options ZHANG, YONGMING 5 03/10/2017 50 3.36 372,000 10,000
Skyline Investments Inc. Options Mondell, Paul Lucien 5 24/11/2014 00
Skyline Investments Inc. Options Mondell, Paul Lucien 5 14/11/2016 50 80,000 80,000
Slate Retail REIT Trust Units Class U Units Stevenson, Gregory 5 03/10/2017 10 13.64 26,308 205
Smart Real Estate Investment Trust
Class B Series 1 Units of ONR Limited Partnership I
Goldhar, Mitchell 3 31/10/2003 00
Smart Real Estate Investment Trust
Class B Series 1 Units of ONR Limited Partnership I
Goldhar, Mitchell 3 04/10/2017 22 30.51 132,881 132,881
Smart Real Estate Investment Trust
Class B Series 2 Units of ONR Limited Partnership I
Goldhar, Mitchell 3 31/10/2003 00
Smart Real Estate Investment Trust
Class B Series 2 Units of ONR Limited Partnership I
Goldhar, Mitchell 3 04/10/2017 22 30.51 137,109 137,109
Smart Real Estate Investment Trust
Class C Series 2 Units of ONR Limited Partership I
Goldhar, Mitchell 3 31/10/2003 00
Smart Real Estate Investment Trust
Class C Series 2 Units of ONR Limited Partership I
Goldhar, Mitchell 3 04/10/2017 22 540,000 540,000
Smart Real Estate Investment Trust
Special Voting Units Goldhar, Mitchell 3 04/10/2017 11 6,219,693 677,069
Smart Real Estate Investment Trust
Special Voting Units Goldhar, Mitchell 3 04/10/2017 22 7,569,913 132,881
Smart Real Estate Investment Trust
Special Voting Units Goldhar, Mitchell 3 04/10/2017 22 7,707,022 137,109
SNC-Lavalin Group Inc. Unités d'actions différées (administrateurs)
Bougie, Jacques 4 30/09/2017 56 56.486 13,459 862
SNC-Lavalin Group Inc. Unités d'actions différées (administrateurs)
Courville, Isabelle 4 30/09/2017 56 56.486 1,315 800
SNC-Lavalin Group Inc. Unités d'actions différées (administrateurs)
Hughes, Catherine Jeanne 4 30/09/2017 56 56.486 2,980 809
SNC-Lavalin Group Inc. Unités d'actions différées (administrateurs)
Lynch, Kevin Gordon 4 30/09/2017 56 56.486 2,188 1,333
SNC-Lavalin Group Inc. Unités d'actions différées (administrateurs)
Newman, Steven Leon 4 30/09/2017 56 56.486 6,933 829
SNC-Lavalin Group Inc. Unités d'actions différées (administrateurs)
Raby, Jean 4 30/09/2017 56 56.486 4,338 507
SNC-Lavalin Group Inc. Unités d'actions différées (administrateurs)
Rheaume, Alain 4 30/09/2017 56 56.486 10,699 539
SNC-Lavalin Group Inc. Unités d'actions différées (administrateurs)
SIEGEL, Eric 4 30/09/2017 56 56.486 18,446 887
SNC-Lavalin Group Inc. Unités d'actions différées (administrateurs)
Smati, Zine Edine 4 30/09/2017 56 56.486 4,663 817
SNC-Lavalin Group Inc. Unités d'actions différées (administrateurs)
STEVENSON, Lawrence N. 4 30/09/2017 56 56.486 31,765 1,120
SNC-Lavalin Group Inc. Unités d'actions différées (administrateurs)
Warmbold, Benita Marie 4 30/09/2017 56 56.486 1,315 800
Solegear Bioplastic Technologies Inc. (formerly Rodeo Capital III Corp.)
Common Shares Labonte, Michel 5 05/10/2017 16 0.1 229,402 100,000
Solegear Bioplastic Technologies Inc. (formerly Rodeo Capital III Corp.)
Warrants Labonte, Michel 5 05/10/2017 53 0.15 166,902 100,000
Solegear Bioplastic Technologies Inc. (formerly Rodeo Capital III Corp.)
Common Shares Yaletown Ventures II GP Inc.
3 29/09/2017 11 0.1 23,161,130 4,013,165
Solegear Bioplastic Technologies Inc. (formerly Rodeo Capital III Corp.)
OTC Puts (including Private Options to Sell)
Yaletown Ventures II GP Inc.
3 30/09/2015 70 0.3 -2,880,000
Solegear Bioplastic Technologies Inc. (formerly Rodeo Capital III Corp.)
OTC Puts (including Private Options to Sell)
Yaletown Ventures II GP Inc.
3 30/09/2015 70 0.3 2,880,000 2,880,000
Solegear Bioplastic Technologies Inc. (formerly Rodeo Capital III Corp.)
OTC Puts (including Private Options to Sell)
Yaletown Ventures II GP Inc.
3 30/09/2017 38 0 -2,880,000
Solegear Bioplastic Technologies Inc. (formerly Rodeo Capital III Corp.)
Warrants Yaletown Ventures II GP Inc.
3 03/10/2017 55 4,716,110 -239,792
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8397
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Sonoro Energy Ltd. Common Shares Robinson, David 4 02/02/2015 00
Sonoro Energy Ltd. Common Shares Robinson, David 4 27/09/2017 10 0.04 60,000 60,000
Sonoro Energy Ltd. Common Shares Robinson, David 4 27/09/2017 10 0.04 548,000 50,000
Southern Arc Minerals Inc. Common Shares Miller, III, Lloyd I. 3 05/10/2017 10 0.5724 894,900 6,500
Southern Arc Minerals Inc. Common Shares Southern Arc Minerals Inc. 1 08/09/2017 38 0.73 0 -31,000
Southern Arc Minerals Inc. Common Shares Southern Arc Minerals Inc. 1 18/09/2017 38 0.72 0 -12,000
Southern Arc Minerals Inc. Common Shares Southern Arc Minerals Inc. 1 20/09/2017 38 0.72 0 -5,000
Southern Arc Minerals Inc. Common Shares Southern Arc Minerals Inc. 1 22/09/2017 38 0.72 0 -3,000
Southern Arc Minerals Inc. Common Shares Southern Arc Minerals Inc. 1 26/09/2017 38 0.72 0 -2,000
Southern Arc Minerals Inc. Common Shares Southern Arc Minerals Inc. 1 28/09/2017 38 0.72 0 -9,500
Southern Arc Minerals Inc. Common Shares Southern Arc Minerals Inc. 1 02/10/2017 38 0.72 2,000 2,000
Southern Arc Minerals Inc. Common Shares Southern Arc Minerals Inc. 1 04/10/2017 38 0.72 33,000 31,000
Southern Arc Minerals Inc. Common Shares Southern Arc Minerals Inc. 1 05/10/2017 38 0.72 52,500 19,500
Spanish Mountain Gold Ltd. Common Shares Coxe, Donald Gordon Maxwell
4 28/09/2017 16 0.13 1,116,666 200,000
Spanish Mountain Gold Ltd. Warrants Coxe, Donald Gordon Maxwell
4 28/09/2017 16 866,666 200,000
Spanish Mountain Gold Ltd. Common Shares Lattanzi, Christopher 4 28/09/2017 16 0.13 866,667 200,000
Spanish Mountain Gold Ltd. Warrants Lattanzi, Christopher 4 28/09/2017 16 866,667 200,000
Spanish Mountain Gold Ltd. Common Shares Yau, Larry 5 28/09/2017 16 0.13 4,538,737 1,024,193
Spanish Mountain Gold Ltd. Warrants Yau, Larry 5 28/09/2017 16 4,475,404 1,024,193
Sphere 3D Corp. Common Shares Kalbfleisch, Kurt 5 11/07/2017 37 -234,360
Sphere 3D Corp. Common Shares Kalbfleisch, Kurt 5 11/07/2017 37 9,764 -234,361
Sphere 3D Corp. Common Shares Kalbfleisch, Kurt 5 11/09/2017 10 4.55 10,491 -250
Sphere 3D Corp. Restricted Stock Unit Kalbfleisch, Kurt 5 10/07/2017 56 152,000 32,000
Sphere 3D Corp. Common Shares kelly, eric 4, 5 11/07/2017 37 -1,214,805
Sphere 3D Corp. Common Shares kelly, eric 4, 5 11/07/2017 37 50,615 -1,214,807
Sphere 3D Corp. Restricted Stock Unit kelly, eric 4, 5 10/07/2017 56 216,000 48,000
Spot Coffee (Canada) Ltd. Common Shares AYOUB, ANTON MICHEL 4, 5 28/09/2017 10 0.17 1,684,958 4,000
Spot Coffee (Canada) Ltd. Common Shares AYOUB, ANTON MICHEL 4, 5 29/09/2017 10 0.17 1,686,958 2,000
Spot Coffee (Canada) Ltd. Common Shares AYOUB, ANTON MICHEL 4, 5 05/10/2017 10 0.175 1,691,458 4,500
Spot Coffee (Canada) Ltd. Common Shares AYOUB, ANTON MICHEL 4, 5 06/10/2017 10 0.17 1,692,458 1,000
Spot Coffee (Canada) Ltd. Common Shares Lorenzo, John Michael 4 29/09/2017 10 0.17 6,681,857 28,500
Spot Coffee (Canada) Ltd. Common Shares Lorenzo, John Michael 4 02/10/2017 10 0.18 6,686,857 5,000
Spot Coffee (Canada) Ltd. Common Shares Lorenzo, John Michael 4 04/10/2017 10 0.17 6,691,857 5,000
Spot Coffee (Canada) Ltd. Common Shares Lorenzo, John Michael 4 05/10/2017 10 0.172 6,701,857 10,000
Sprott Resource Holdings Inc. (formerly Adriana Resources Inc. )
EPSP Designation Yuzpe, Stephen Mark 4, 5 29/09/2017 56 0.15 2,393,582 25,106
SQI Diagnostics Inc. Common Shares Connor, Gerald R. 4 02/10/2017 97 3,687,003 -8,300
SSR Mining Inc. (Silver Standard Resources Inc.)
Deferred Share Unit Anglin, Mike Arthur E. 4 01/10/2017 56 13.26 113,032 4,713
SSR Mining Inc. (Silver Standard Resources Inc.)
Deferred Share Unit Booth, Brian 4 01/10/2017 56 13.26 11,375 2,073
SSR Mining Inc. (Silver Standard Resources Inc.)
Options Gilligan, Jonathan 5 29/09/2017 10 7.37 177,734 -56,500
SSR Mining Inc. (Silver Standard Resources Inc.)
Options Gilligan, Jonathan 5 29/09/2017 10 5.83 132,334 -45,400
SSR Mining Inc. (Silver Standard Resources Inc.)
Deferred Share Unit Herrero, Gustavo Adolfo 4 01/10/2017 56 13.26 79,359 2,639
SSR Mining Inc. (Silver Standard Resources Inc.)
Deferred Share Unit Park, Beverlee Faye 4 01/10/2017 56 13.26 49,991 2,639
SSR Mining Inc. (Silver Standard Resources Inc.)
Deferred Share Unit Paterson, Richard 4 01/10/2017 56 13.26 113,150 2,828
SSR Mining Inc. (Silver Standard Resources Inc.)
Deferred Share Unit Reid, Steven Paul 4 01/10/2017 56 13.26 59,471 2,121
St-Georges Platinum & Base Metals Ltd.
Common Shares Dumas, Francois 3, 4, 5 27/09/2017 10 0.03 5,125,541 130,000
Stantec Inc. Common Shares Ammerman, Douglas Keith 4 02/10/2017 10 34.76 27,796 380
Stantec Inc. Common Shares Franceschini, Anthony P. 4 02/10/2017 10 34.66 303,901 372
Stantec Inc. Common Shares Hartman, Susan Elaine 4 02/10/2017 10 34.76 12,431 370
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8398
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Stingray Digital Group Inc. Actions qui suivent indirectem les actions de l'émetteur
Sirois, François-Charles 4 05/10/2017 38 1.3997 93,505 -6,495
Strad Energy Services Ltd. Common Shares Wood, Lyle 3, 4 26/09/2017 11 -213,387
Strad Energy Services Ltd. Common Shares Wood, Lyle 3, 4 26/09/2017 11 64,016 -149,371
Strad Energy Services Ltd. Common Shares Wood, Lyle 3, 4 26/09/2017 11 -298,742
Strad Energy Services Ltd. Common Shares Wood, Lyle 3, 4 26/09/2017 11 -56,613
Strad Energy Services Ltd. Common Shares Wood, Lyle 3, 4 26/09/2017 11 92,758 -120,629
Street Capital Group Inc. Common Shares Levy, Robert Adam 7 28/09/2017 51 0.65 922,494 110,000
Street Capital Group Inc. Options Levy, Robert Adam 7 28/09/2017 51 0.65 0 -110,000
Strongco Corporation Common Shares Forbes, Christopher 5 29/09/2017 10 1.4705 17,179 -1,494
Stuart Olson Inc. Rights Deferred Share Units (DSUs)
Ballantyne, Richard Thomas 4 30/09/2017 56 5.28 54,305 2,604
Stuart Olson Inc. Rights Deferred Share Units (DSUs)
Bellstedt, Albrecht Wilhelm Albert
4 30/09/2017 56 5.28 110,947 3,314
Stuart Olson Inc. Rights Deferred Share Units (DSUs)
Danard, Chad 4 30/09/2017 56 5.28 69,920 2,367
Stuart Olson Inc. Rights Deferred Share Units (DSUs)
Graham, Roderick William 4 30/09/2017 56 5.28 53,831 2,367
Stuart Olson Inc. Rights Deferred Share Units (DSUs)
Hanrahan, Wendy 4 30/09/2017 56 5.28 102,110 3,078
Stuart Olson Inc. Rights Deferred Share Units (DSUs)
Loberg, Carmen Richard 4 30/09/2017 56 5.28 109,225 3,078
Stuart Olson Inc. Rights Deferred Share Units (DSUs)
Reid, Ian MacNevin 4 30/09/2017 56 5.28 120,636 3,788
Student Transportation Inc. (formerly, Student Transportation of America Ltd.)
Performance Share Grant Units
Altieri, Paula 5 01/07/2015 00
Student Transportation Inc. (formerly, Student Transportation of America Ltd.)
Performance Share Grant Units
Altieri, Paula 5 02/10/2017 56 20,270 20,270
Student Transportation Inc. (formerly, Student Transportation of America Ltd.)
Performance Share Grant Units
DiMaiolo, John 5 03/10/2012 00
Student Transportation Inc. (formerly, Student Transportation of America Ltd.)
Performance Share Grant Units
DiMaiolo, John 5 02/10/2017 56 20,270 20,270
Student Transportation Inc. (formerly, Student Transportation of America Ltd.)
Performance Share Grant Units
Gallagher, Denis Joseph 4, 5 13/12/2004 00
Student Transportation Inc. (formerly, Student Transportation of America Ltd.)
Performance Share Grant Units
Gallagher, Denis Joseph 4, 5 02/10/2017 56 101,351 101,351
Student Transportation Inc. (formerly, Student Transportation of America Ltd.)
Performance Share Grant Units
Vaughan, Patrick 5 03/10/2012 00
Student Transportation Inc. (formerly, Student Transportation of America Ltd.)
Performance Share Grant Units
Vaughan, Patrick 5 02/10/2017 56 50,676 50,676
Student Transportation Inc. (formerly, Student Transportation of America Ltd.)
Performance Share Grant Units
Walker, Patrick John 5 18/12/2008 00
Student Transportation Inc. (formerly, Student Transportation of America Ltd.)
Performance Share Grant Units
Walker, Patrick John 5 02/10/2017 56 50,676 50,676
Subscribe Technologies Inc. Common Shares Munsie, Wesley Ward 4 05/10/2017 10 0.04 228,000 5,000
Summit Industrial Income REIT
Trust Units Dykeman, Paul 4, 5 19/07/2017 30 7.01 15,992 73
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8399
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Summit Industrial Income REIT
Trust Units Dykeman, Paul 4, 5 17/08/2017 30 7.02 16,065 73
Summit Industrial Income REIT
Trust Units Dykeman, Paul 4, 5 19/09/2017 30 7.41 16,134 69
Summit Industrial Income REIT
Trust Units Dykeman, Paul 4, 5 19/07/2017 30 7.01 261,542 696
Summit Industrial Income REIT
Trust Units Dykeman, Paul 4, 5 17/08/2017 30 7.02 262,242 700
Summit Industrial Income REIT
Trust Units Dykeman, Paul 4, 5 19/09/2017 30 7.41 262,909 667
Summit Industrial Income REIT
Trust Units Dykeman, Paul 4, 5 19/07/2017 30 7.01 63,671 1,454
Summit Industrial Income REIT
Trust Units Dykeman, Paul 4, 5 17/08/2017 30 7.02 65,133 1,462
Summit Industrial Income REIT
Trust Units Dykeman, Paul 4, 5 19/09/2017 30 7.41 66,527 1,394
Summit Industrial Income REIT
Trust Units Dykeman, Paul 4, 5 19/07/2017 30 7.01 21,346 219
Summit Industrial Income REIT
Trust Units Dykeman, Paul 4, 5 17/08/2017 30 7.02 21,566 220
Summit Industrial Income REIT
Trust Units Dykeman, Paul 4, 5 19/09/2017 30 7.41 21,776 210
Summit Industrial Income REIT
Trust Units Dykeman, Paul 4, 5 19/07/2017 30 7.01 1,988 45
Summit Industrial Income REIT
Trust Units Dykeman, Paul 4, 5 17/08/2017 30 7.02 2,034 46
Summit Industrial Income REIT
Trust Units Dykeman, Paul 4, 5 19/09/2017 30 7.41 2,077 43
Summit Industrial Income REIT
Trust Units Dykeman, Paul 4, 5 19/07/2017 30 7.01 2,520 58
Summit Industrial Income REIT
Trust Units Dykeman, Paul 4, 5 17/08/2017 30 7.02 2,578 58
Summit Industrial Income REIT
Trust Units Dykeman, Paul 4, 5 19/09/2017 30 7.41 2,633 55
Sun Life Financial Inc. Deferred Share Units Accum, Claude 5 29/09/2017 30 49.05 20,549 181
Sun Life Financial Inc. Units Sun Shares Accum, Claude 5 29/09/2017 30 49.05 58,265 512
Sun Life Financial Inc. Deferred Share Units Anderson, William D. 4 29/09/2017 30 49.05 16,667 1,177
Sun Life Financial Inc. Deferred Share Units Blair, Carolyn Diane 5 29/09/2017 30 49.05 15,460 136
Sun Life Financial Inc. Units Sun Shares Blair, Carolyn Diane 5 29/09/2017 30 49.05 39,414 347
Sun Life Financial Inc. Deferred Share Units Brown, Randolph 5 29/09/2017 30 49.05 36,204 319
Sun Life Financial Inc. Units Sun Shares Brown, Randolph 5 29/09/2017 30 49.05 148,942 1,309
Sun Life Financial Inc. Deferred Share Units Connor, Dean 4, 5 29/09/2017 30 49.05 129,223 1,136
Sun Life Financial Inc. Units Sun Shares Connor, Dean 4, 5 29/09/2017 30 49.05 291,317 2,561
Sun Life Financial Inc. Deferred Share Units Coyles, Stephanie 4 29/09/2017 30 49.05 1,947 548
Sun Life Financial Inc. Deferred Share Units Dougherty, Kevin 5 29/09/2017 30 49.05 17,042 150
Sun Life Financial Inc. Units Sun Shares Dougherty, Kevin 5 29/09/2017 30 49.05 87,858 773
Sun Life Financial Inc. Deferred Share Units Dougherty, Linda 5 29/09/2017 30 49.05 7,276 64
Sun Life Financial Inc. Units Sun Shares Dougherty, Linda 5 29/09/2017 30 49.05 20,410 180
Sun Life Financial Inc. Units Sun Shares Fishbein, Daniel 5 29/09/2017 30 49.05 81,165 714
Sun Life Financial Inc. Deferred Share Units Freyne, Colm Joseph 5 29/09/2017 30 49.05 57,209 503
Sun Life Financial Inc. Units Sun Shares Freyne, Colm Joseph 5 29/09/2017 30 49.05 65,376 575
Sun Life Financial Inc. Deferred Share Units Glynn, Martin John Gardner 4 29/09/2017 30 49.05 15,251 1,195
Sun Life Financial Inc. Common Shares Harris, M. Marianne 4 29/09/2017 30 49.236 5,484 48
Sun Life Financial Inc. Deferred Share Units Harris, M. Marianne 4 29/09/2017 30 49.05 20,343 1,492
Sun Life Financial Inc. Deferred Share Units Kennedy, Melissa Jane 5 29/09/2017 30 49.05 6,791 60
Sun Life Financial Inc. Units Sun Shares Kennedy, Melissa Jane 5 29/09/2017 30 49.05 36,578 322
Sun Life Financial Inc. Deferred Share Units Lewis, Sara 4 29/09/2017 30 49.05 13,388 1,553
Sun Life Financial Inc. Deferred Share Units McCormick, Christopher 4 29/09/2017 30 49.05 821 538
Sun Life Financial Inc. Deferred Share Units Morrissey, Kevin 5 29/09/2017 30 49.05 2,728 24
Sun Life Financial Inc. Units Sun Shares Morrissey, Kevin 5 29/09/2017 30 49.05 19,527 172
Sun Life Financial Inc. Deferred Share Units Peacher, Stephen 5 29/09/2017 30 49.05 26,620 234
Sun Life Financial Inc. Units Sun Shares Peacher, Stephen 5 29/09/2017 30 49.05 134,128 1,180
Sun Life Financial Inc. Deferred Share Units Powers, Scott F. 4 29/09/2017 30 49.05 6,070 1,217
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8400
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Sun Life Financial Inc. Deferred Share Units Raymond, Réal 4 29/09/2017 30 49.05 15,100 714
Sun Life Financial Inc. Units Sun Shares Saunders, Mark 5 29/09/2017 30 49.05 40,469 355
Sun Life Financial Inc. Deferred Share Units Segal, Hugh David 4 29/09/2017 30 49.05 19,373 701
Sun Life Financial Inc. Units Sun Shares Strain, Kevin 5 29/09/2017 30 49.05 68,936 606
Sun Life Financial Inc. Deferred Share Units Stymiest, Barbara Gayle 4 29/09/2017 30 49.05 27,394 1,397
Sun Life Financial Inc. Common Shares Sun Life Financial 1 01/09/2017 38 48.153 423,144 105,144
Sun Life Financial Inc. Common Shares Sun Life Financial 1 01/09/2017 38 317,144 -106,000
Sun Life Financial Inc. Common Shares Sun Life Financial 1 05/09/2017 38 47.323 416,144 99,000
Sun Life Financial Inc. Common Shares Sun Life Financial 1 06/09/2017 38 47.152 515,144 99,000
Sun Life Financial Inc. Common Shares Sun Life Financial 1 07/09/2017 38 46.354 614,144 99,000
Sun Life Financial Inc. Common Shares Sun Life Financial 1 08/09/2017 38 46.465 718,144 104,000
Sun Life Financial Inc. Common Shares Sun Life Financial 1 08/09/2017 38 203,000 -515,144
Sun Life Financial Inc. Common Shares Sun Life Financial 1 11/09/2017 38 47.003 308,854 105,854
Sun Life Financial Inc. Common Shares Sun Life Financial 1 15/09/2017 38 0 -308,854
Sun Life Financial Inc. Units Sun Shares Van den Hoogen, Marlene 5 29/09/2017 30 49.05 10,915 96
Suncor Energy Inc. Deferred Share Units Bedient, Patricia Margaret 4 25/09/2017 30 41.89 17,830 135
Suncor Energy Inc. Deferred Share Units Bedient, Patricia Margaret 4 30/09/2017 30 43.02 19,756 1,926
Suncor Energy Inc. Deferred Share Units Benson, Mel Edward 4 25/09/2017 30 41.89 93,788 711
Suncor Energy Inc. Deferred Share Units Benson, Mel Edward 4 30/09/2017 30 43.02 95,083 1,295
Suncor Energy Inc. Deferred Share Units Cote, Jacynthe 4 25/09/2017 30 41.89 27,540 208
Suncor Energy Inc. Deferred Share Units Cote, Jacynthe 4 30/09/2017 30 43.02 29,364 1,824
Suncor Energy Inc. Deferred Share Units D'Alessandro, Dominic 4 25/09/2017 30 41.89 77,440 587
Suncor Energy Inc. Deferred Share Units D'Alessandro, Dominic 4 30/09/2017 30 43.02 79,293 1,853
Suncor Energy Inc. Deferred Share Units Gass, John Donald 4 25/09/2017 30 41.89 32,415 245
Suncor Energy Inc. Deferred Share Units Gass, John Donald 4 30/09/2017 30 43.02 33,996 1,581
Suncor Energy Inc. Deferred Share Units Huff, John Rossman 4 25/09/2017 30 41.89 142,986 1,084
Suncor Energy Inc. Deferred Share Units Huff, John Rossman 4 30/09/2017 30 43.02 144,796 1,810
Suncor Energy Inc. Common Shares McCaw, Maureen 4 25/09/2017 30 43.48 5,399 40
Suncor Energy Inc. Deferred Share Units McCaw, Maureen 4 25/09/2017 30 41.89 62,537 474
Suncor Energy Inc. Deferred Share Units McCaw, Maureen 4 30/09/2017 30 43.02 64,097 1,560
Suncor Energy Inc. PC Deferred Shares Units (Directors only)
McCaw, Maureen 4 25/09/2017 30 41.97 16,688 126
Suncor Energy Inc. Deferred Share Units O'Brien, Michael Wilfrid 4 25/09/2017 30 41.89 86,078 653
Suncor Energy Inc. Deferred Share Units O'Brien, Michael Wilfrid 4 30/09/2017 30 43.02 87,373 1,295
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 01/09/2017 38 31.705 75,031 75,031
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 01/09/2017 38 0 -75,031
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 05/09/2017 38 31.723 91,712 91,712
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 05/09/2017 38 0 -91,712
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 06/09/2017 38 32.33 90,116 90,116
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 06/09/2017 38 0 -90,116
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 07/09/2017 38 32.718 180,197 180,197
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 07/09/2017 38 0 -180,197
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 08/09/2017 38 32.707 181,433 181,433
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 08/09/2017 38 0 -181,433
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 11/09/2017 38 32.932 180,211 180,211
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 11/09/2017 38 0 -180,211
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/09/2017 38 33.267 89,168 89,168
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/09/2017 38 0 -89,168
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 13/09/2017 38 33.604 88,129 88,129
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 13/09/2017 38 0 -88,129
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 14/09/2017 38 34.003 86,831 86,831
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 14/09/2017 38 0 -86,831
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 15/09/2017 38 34.03 86,666 86,666
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 15/09/2017 38 0 -86,666
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 18/09/2017 38 33.948 87,050 87,050
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 18/09/2017 38 0 -87,050
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 19/09/2017 38 33.997 86,562 86,562
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 19/09/2017 38 0 -86,562
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8401
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 20/09/2017 38 34.155 85,964 85,964
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 20/09/2017 38 0 -85,964
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 21/09/2017 38 34.165 85,884 85,884
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 21/09/2017 38 0 -85,884
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 22/09/2017 38 34.115 42,804 42,804
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 22/09/2017 38 0 -42,804
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 25/09/2017 38 34.568 42,308 42,308
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 25/09/2017 38 0 -42,308
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 26/09/2017 38 34.571 42,163 42,163
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 26/09/2017 38 0 -42,163
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 27/09/2017 38 34.653 167,837 167,837
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 27/09/2017 38 0 -167,837
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 28/09/2017 38 34.777 166,857 166,857
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 28/09/2017 38 0 -166,857
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 29/09/2017 38 34.98 165,035 165,035
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 29/09/2017 38 0 -165,035
Suncor Energy Inc. Deferred Share Units Thomas, Eira Margaret 4 25/09/2017 30 41.89 82,210 623
Suncor Energy Inc. Deferred Share Units Thomas, Eira Margaret 4 30/09/2017 30 43.02 83,777 1,567
Suncor Energy Inc. Deferred Share Units Wilson, Michael M. 4 25/09/2017 30 41.89 37,171 282
Suncor Energy Inc. Deferred Share Units Wilson, Michael M. 4 30/09/2017 30 43.02 40,327 3,156
Super Nova Minerals Corp. Warrants Wiese, Wolfgang 4, 6, 5 21/01/2014 11 -373,333
Super Nova Minerals Corp. Warrants Wiese, Wolfgang 4, 6, 5 21/01/2014 11 500,000 -732,066
Super Nova Minerals Corp. Warrants Wiese, Wolfgang 4, 6, 5 15/04/2014 11 0.075 1,000,000
Super Nova Minerals Corp. Warrants Wiese, Wolfgang 4, 6, 5 15/04/2014 55 0.075 -1,000,000
Super Nova Minerals Corp. Warrants Wiese, Wolfgang 4, 6, 5 15/04/2014 55 0.075 1,000,000
Super Nova Minerals Corp. Warrants Wiese, Wolfgang 4, 6, 5 15/04/2014 55 0.075 1,000,000
Super Nova Petroleum Corp. Common Shares Wiese, Wolfgang 4, 6, 5 29/08/2017 10 0.16 100,000
Super Nova Petroleum Corp. Common Shares Wiese, Wolfgang 4, 6, 5 29/08/2017 10 0.16 681,205 100,000
Super Nova Petroleum Corp. Common Shares Wiese, Wolfgang 4, 6, 5 29/09/2017 10 0.37 320,205 -6,000
Super Nova Petroleum Corp. Common Shares Wiese, Wolfgang 4, 6, 5 29/09/2017 10 0.36 316,205 -4,000
Super Nova Petroleum Corp. Common Shares Wiese, Wolfgang 4, 6, 5 04/10/2017 10 0.548 313,705 -2,500
Super Nova Petroleum Corp. Common Shares Wiese, Wolfgang 4, 6, 5 04/10/2017 10 0.55 311,205 -2,500
Super Nova Petroleum Corp. Common Shares Wiese, Wolfgang 4, 6, 5 04/10/2017 10 0.5425 309,205 -2,000
Super Nova Petroleum Corp. Common Shares Wiese, Wolfgang 4, 6, 5 05/10/2017 10 0.55 306,205 -3,000
Super Nova Petroleum Corp. Common Shares Wiese, Wolfgang 4, 6, 5 05/10/2017 10 0.54 302,705 -3,500
Super Nova Petroleum Corp. Common Shares Wiese, Wolfgang 4, 6, 5 05/10/2017 10 0.55 307,705 5,000
Super Nova Petroleum Corp. Common Shares Wiese, Wolfgang 4, 6, 5 05/10/2017 10 0.549 312,705 5,000
Super Nova Petroleum Corp. Common Shares Wiese, Wolfgang 4, 6, 5 06/10/2017 10 0.55 308,705 -4,000
Super Nova Petroleum Corp. Common Shares Wiese, Wolfgang 4, 6, 5 06/10/2017 10 0.56 305,705 -3,000
Super Nova Petroleum Corp. Options Wiese, Wolfgang 4, 6, 5 02/10/2017 37 0.07 62,500 -562,500
Super Nova Petroleum Corp. Warrants Wiese, Wolfgang 4, 6, 5 21/07/2014 11 0.075 500,000
Super Nova Petroleum Corp. Warrants Wiese, Wolfgang 4, 6, 5 19/07/2017 11 0.1 3,753,204 703,204
Super Nova Petroleum Corp. Warrants Wiese, Wolfgang 4, 6, 5 21/07/2017 55 0.075 3,253,204 -500,000
Super Nova Petroleum Corp. Warrants Wiese, Wolfgang 4, 6, 5 02/10/2017 55 0.075 -500,000
Super Nova Petroleum Corp. Warrants Wiese, Wolfgang 4, 6, 5 04/10/2017 55 0.075 500,000
Surge Energy Inc. Common Shares de Leeuw, Gerard A. 5 15/08/2017 30 2.03 331,740 563
Surge Energy Inc. Common Shares de Leeuw, Gerard A. 5 01/09/2017 30 1.99 332,079 339
Surge Energy Inc. Common Shares de Leeuw, Gerard A. 5 15/09/2017 30 2.08 332,631 552
Surge Energy Inc. Common Shares de Leeuw, Gerard A. 5 03/10/2017 30 2.22 332,935 304
Surge Energy Inc. Common Shares Elekes, Margaret Ann 5 15/09/2017 30 2.08 35,636 480
Surge Energy Inc. Common Shares Elekes, Margaret Ann 5 03/10/2017 30 2.22 36,087 451
Surge Energy Inc. Common Shares Ferguson, Gordon Paul 5 15/08/2017 30 2.03 10,083 310
Surge Energy Inc. Common Shares Ferguson, Gordon Paul 5 01/09/2017 30 1.99 10,360 277
Surge Energy Inc. Common Shares Ferguson, Gordon Paul 5 15/09/2017 30 2.08 10,664 304
Surge Energy Inc. Common Shares Ferguson, Gordon Paul 5 03/10/2017 30 2.22 10,913 249
Surge Energy Inc. Common Shares Ferguson, Gordon Paul 5 15/08/2017 30 2.03 10,821 312
Surge Energy Inc. Common Shares Ferguson, Gordon Paul 5 01/09/2017 30 1.99 11,099 278
Surge Energy Inc. Common Shares Ferguson, Gordon Paul 5 15/09/2017 30 2.08 11,405 306
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8402
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Surge Energy Inc. Common Shares Ferguson, Gordon Paul 5 03/10/2017 30 2.22 11,654 249
Symphony Floating Rate Senior Loan Fund
Units Class A Symphony Floating Rate Senior Loan Fund
1 01/09/2017 38 8.89 500 500
Symphony Floating Rate Senior Loan Fund
Units Class A Symphony Floating Rate Senior Loan Fund
1 01/09/2017 38 8.89 0 -500
Symphony Floating Rate Senior Loan Fund
Units Class A Symphony Floating Rate Senior Loan Fund
1 05/09/2017 38 8.89 200 200
Symphony Floating Rate Senior Loan Fund
Units Class A Symphony Floating Rate Senior Loan Fund
1 05/09/2017 38 8.89 0 -200
Symphony Floating Rate Senior Loan Fund
Units Class A Symphony Floating Rate Senior Loan Fund
1 26/09/2017 38 8.85 700 700
Symphony Floating Rate Senior Loan Fund
Units Class A Symphony Floating Rate Senior Loan Fund
1 26/09/2017 38 8.85 0 -700
Symphony Floating Rate Senior Loan Fund
Units Class A Symphony Floating Rate Senior Loan Fund
1 29/09/2017 38 8.91 3,000 3,000
Symphony Floating Rate Senior Loan Fund
Units Class A Symphony Floating Rate Senior Loan Fund
1 29/09/2017 38 8.91 0 -3,000
Synex International Inc. Common Shares Stephens, Mark Alfred 4 25/09/2017 00
Synex International Inc. Options Stephens, Mark Alfred 4 25/09/2017 00
Taku Gold Corp. Options Smith, Steve 4 02/10/2017 50 0.2 1,116,666 200,000
Talmora Diamond Inc. Common Shares Davies, Raymond 3, 4, 5 05/10/2017 51 0.05 22,720,866 680,000
Talmora Diamond Inc. Options Davies, Raymond 3, 4, 5 05/10/2017 51 0.05 800,000 -680,000
Tanzanian Royalty Exploration Corporation
Common Shares Archibald, Jo-Anne 5 02/10/2017 00
Tanzanian Royalty Exploration Corporation
Options Archibald, Jo-Anne 5 02/10/2017 00 50,000
Tanzanian Royalty Exploration Corporation
Options Betts, Norman Murray 4 29/09/2017 50 350,000 250,000
Tanzanian Royalty Exploration Corporation
Options Duval, Jeffrey Robert 5 29/09/2017 50 2,000,000 1,000,000
Tanzanian Royalty Exploration Corporation
Options Guidi, Marco 5 29/09/2017 50 160,000 100,000
Tanzanian Royalty Exploration Corporation
Options Harvey, William 4 29/09/2017 50 350,000 250,000
Tanzanian Royalty Exploration Corporation
Options Morrow, Rosalind 4 29/09/2017 50 350,000 250,000
Tanzanian Royalty Exploration Corporation
Options Rath, Ulrich 4 29/09/2017 50 1,500,000 500,000
Tanzanian Royalty Exploration Corporation
Options Sinclair, James E. 4, 5 29/09/2017 50 767,000 467,000
Tartisan Resources Corp. Common Shares Palisade Global Investments Ltd.
3 29/09/2017 10 0.13 11,165,000 10,000
Taseko Mines Limited Common Shares Battison, Brian 5 03/10/2017 51 2.27 219,420 20,000
Taseko Mines Limited Common Shares Battison, Brian 5 03/10/2017 10 2.597 199,420 -20,000
Taseko Mines Limited Common Shares Battison, Brian 5 03/10/2017 51 0.98 209,420 10,000
Taseko Mines Limited Common Shares Battison, Brian 5 03/10/2017 10 2.597 199,420 -10,000
Taseko Mines Limited Common Shares Battison, Brian 5 03/10/2017 51 0.38 209,420 10,000
Taseko Mines Limited Common Shares Battison, Brian 5 03/10/2017 10 2.597 199,420 -10,000
Taseko Mines Limited Options Battison, Brian 5 03/10/2017 51 2.27 611,200 -20,000
Taseko Mines Limited Options Battison, Brian 5 03/10/2017 51 0.98 601,200 -10,000
Taseko Mines Limited Options Battison, Brian 5 03/10/2017 51 0.38 591,200 -10,000
Taseko Mines Limited Common Shares Jones, Scott 5 03/10/2017 51 0.98 91,668 25,000
Taseko Mines Limited Common Shares Jones, Scott 5 03/10/2017 10 2.55 66,668 -25,000
Taseko Mines Limited Common Shares Jones, Scott 5 04/10/2017 51 0.38 78,668 12,000
Taseko Mines Limited Common Shares Jones, Scott 5 04/10/2017 10 2.7 66,668 -12,000
Taseko Mines Limited Options Jones, Scott 5 03/10/2017 51 0.98 661,000 -25,000
Taseko Mines Limited Options Jones, Scott 5 04/10/2017 51 0.38 649,000 -12,000
Taseko Mines Limited Common Shares McManus, John 5 05/10/2017 51 0.38 210,930 54,000
Taseko Mines Limited Common Shares McManus, John 5 05/10/2017 10 2.75 156,930 -54,000
Taseko Mines Limited Options McManus, John 5 05/10/2017 51 0.38 1,053,000 -54,000
Taylor North American Equity Opportunities Fund
Units Taylor North American Equity Opportunities Fund
1 07/09/2017 38 11.9 3,000 3,000
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8403
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Taylor North American Equity Opportunities Fund
Units Taylor North American Equity Opportunities Fund
1 07/09/2017 38 11.9 0 -3,000
Taylor North American Equity Opportunities Fund
Units Taylor North American Equity Opportunities Fund
1 11/09/2017 38 11.9 200 200
Taylor North American Equity Opportunities Fund
Units Taylor North American Equity Opportunities Fund
1 11/09/2017 38 11.9 0 -200
Taylor North American Equity Opportunities Fund
Units Taylor North American Equity Opportunities Fund
1 12/09/2017 38 11.9 1,500 1,500
Taylor North American Equity Opportunities Fund
Units Taylor North American Equity Opportunities Fund
1 12/09/2017 38 11.9 0 -1,500
Taylor North American Equity Opportunities Fund
Units Taylor North American Equity Opportunities Fund
1 19/09/2017 38 12.2 3,000 3,000
Taylor North American Equity Opportunities Fund
Units Taylor North American Equity Opportunities Fund
1 19/09/2017 38 12.2 0 -3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 05/09/2017 38 10.14 3,000 3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 05/09/2017 38 10.14 0 -3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 07/09/2017 38 10.14 300 300
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 07/09/2017 38 10.14 0 -300
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 13/09/2017 38 10.31 3,000 3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 13/09/2017 38 10.31 0 -3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 14/09/2017 38 10.25 2,300 2,300
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 14/09/2017 38 10.25 0 -2,300
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 15/09/2017 38 10.28 3,000 3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 15/09/2017 38 10.28 0 -3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 19/09/2017 38 10.29 3,000 3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 19/09/2017 38 10.29 0 -3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 20/09/2017 38 10.28 3,000 3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 20/09/2017 38 10.28 0 -3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 21/09/2017 38 10.2 3,000 3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 21/09/2017 38 10.2 0 -3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 22/09/2017 38 10.15 400 400
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 22/09/2017 38 10.15 0 -400
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 25/09/2017 38 10.15 3,000 3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 25/09/2017 38 10.15 0 -3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 26/09/2017 38 10.05 2,400 2,400
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 26/09/2017 38 10.05 0 -2,400
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 29/09/2017 38 10.27 3,000 3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 29/09/2017 38 10.27 0 -3,000
Teck Resources Limited Deferred Share Units Andres, Dale Edwin 5 29/09/2017 56 27.646 25,915 46
Teck Resources Limited Performance Share Units Andres, Dale Edwin 5 29/09/2017 56 27.646 89,772 161
Teck Resources Limited Restricted Share Units Andres, Dale Edwin 5 29/09/2017 56 27.646 43,225 77
Teck Resources Limited Deferred Share Units Ashar, Mayank Mulraj 4 29/09/2017 56 27.646 73,058 127
Teck Resources Limited Deferred Share Units Ashar, Mayank Mulraj 4 30/09/2017 56 27.646 74,079 1,021
Teck Resources Limited Performance Share Units Christopher, Alexander 5 29/09/2017 56 27.646 71,980 129
Teck Resources Limited Restricted Share Units Christopher, Alexander 5 29/09/2017 56 27.646 51,350 92
Teck Resources Limited Deferred Performance Share Units
Davey, Larry 5 29/09/2017 56 27.646 4,025 7
Teck Resources Limited Deferred Share Units Davey, Larry 5 29/09/2017 56 27.646 8,325 14
Teck Resources Limited Performance Share Units Davey, Larry 5 29/09/2017 56 27.646 21,560 37
Teck Resources Limited Restricted Share Units Davey, Larry 5 29/09/2017 56 27.646 9,203 15
Teck Resources Limited Deferred Share Units Dottori-Attanasio, Laura Lee 4 29/09/2017 56 27.646 32,185 57
Teck Resources Limited Deferred Share Units Dottori-Attanasio, Laura Lee 4 30/09/2017 56 27.646 33,206 1,021
Teck Resources Limited Deferred Share Units Dowling, Edward Camp 4 29/09/2017 56 27.646 46,433 80
Teck Resources Limited Deferred Share Units Dowling, Edward Camp 4 30/09/2017 56 27.646 47,034 601
Teck Resources Limited Restricted Share Units Dowling, Edward Camp 4 29/09/2017 56 27.646 2,824 5
Teck Resources Limited Performance Share Units Foley, Real 7 29/09/2017 56 27.646 49,198 87
Teck Resources Limited Restricted Share Units Foley, Real 7 29/09/2017 56 27.646 38,129 68
Teck Resources Limited Deferred Share Units Fukuda, Eiichi 4 29/09/2017 56 27.646 15,511 27
Teck Resources Limited Deferred Share Units Fukuda, Eiichi 4 30/09/2017 56 27.646 16,424 913
Teck Resources Limited Deferred Share Units Golding, Andrew 5 29/09/2017 56 27.646 46,351 81
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8404
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Teck Resources Limited Performance Share Units Golding, Andrew 5 29/09/2017 56 27.646 89,772 161
Teck Resources Limited Restricted Share Units Golding, Andrew 5 29/09/2017 56 27.646 33,937 60
Teck Resources Limited Performance Share Units Joudrie, Colin 5 29/09/2017 56 27.646 22,566 39
Teck Resources Limited Restricted Share Units Joudrie, Colin 5 29/09/2017 56 27.646 17,535 30
Teck Resources Limited Deferred Share Units Keevil III, Norman 4 29/09/2017 56 27.646 41,383 70
Teck Resources Limited Deferred Share Units Keevil, Norman Bell 3, 4 29/09/2017 56 27.646 6,025 10
Teck Resources Limited Restricted Share Units Keevil, Norman Bell 3, 4 29/09/2017 56 27.646 51,572 91
Teck Resources Limited Deferred Share Units Kubota, Takeshi 4 29/09/2017 56 27.646 50,185 87
Teck Resources Limited Deferred Share Units Kubota, Takeshi 4 30/09/2017 56 27.646 51,152 967
Teck Resources Limited Deferred Share Units Lindsay, Donald Richard 5 29/09/2017 56 27.646 938,283 1,691
Teck Resources Limited Performance Share Units Lindsay, Donald Richard 5 29/09/2017 56 27.646 414,660 747
Teck Resources Limited Restricted Share Units Lindsay, Donald Richard 5 29/09/2017 56 27.646 80,363 145
Teck Resources Limited Deferred Share Units McVicar, Tracey 4 29/09/2017 56 27.646 35,252 62
Teck Resources Limited Deferred Share Units McVicar, Tracey 4 30/09/2017 56 27.646 36,400 1,148
Teck Resources Limited Deferred Share Units Millos, Ronald Allen 7 29/09/2017 56 27.646 232,230 413
Teck Resources Limited Performance Share Units Millos, Ronald Allen 7 29/09/2017 56 27.646 108,034 193
Teck Resources Limited Restricted Share Units Millos, Ronald Allen 7 29/09/2017 56 27.646 27,706 49
Teck Resources Limited Performance Share Units Phillips, Harold Fraser 5 29/09/2017 56 27.646 8,050 14
Teck Resources Limited Deferred Share Units Pickering, Kenneth William 4 29/09/2017 56 27.646 29,248 51
Teck Resources Limited Deferred Share Units Pickering, Kenneth William 4 30/09/2017 56 27.646 29,768 520
Teck Resources Limited Restricted Share Units Pickering, Kenneth William 4 29/09/2017 56 27.646 2,021 3
Teck Resources Limited Deferred Share Units Power, Una Marie 4 29/09/2017 56 27.646 4,629 8
Teck Resources Limited Deferred Share Units Power, Una Marie 4 30/09/2017 56 27.646 5,596 967
Teck Resources Limited Deferred Performance Share Units
Powrie, Douglas 5 29/09/2017 56 27.646 6,540 11
Teck Resources Limited Deferred Share Units Powrie, Douglas 5 29/09/2017 56 27.646 55,723 98
Teck Resources Limited Performance Share Units Powrie, Douglas 5 29/09/2017 56 27.646 52,290 93
Teck Resources Limited Restricted Share Units Powrie, Douglas 5 29/09/2017 56 27.646 14,277 25
Teck Resources Limited Deferred Share Units Reipas, Ray 5 29/09/2017 56 27.646 150,505 270
Teck Resources Limited Performance Share Units Reipas, Ray 5 29/09/2017 56 27.646 60,407 108
Teck Resources Limited Deferred Performance Share Units
Rozee, Peter Charles 5 29/09/2017 56 27.646 4,528 8
Teck Resources Limited Deferred Share Units Rozee, Peter Charles 5 29/09/2017 56 27.646 221,654 394
Teck Resources Limited Performance Share Units Rozee, Peter Charles 5 29/09/2017 56 27.646 103,506 185
Teck Resources Limited Restricted Share Units Rozee, Peter Charles 5 29/09/2017 56 27.646 56,874 102
Teck Resources Limited Deferred Share Units Seyffert, Warren S. R. 4 29/09/2017 56 27.646 91,358 157
Teck Resources Limited Deferred Share Units Sheremeta, Robin 5 29/09/2017 56 27.646 33,347 59
Teck Resources Limited Performance Share Units Sheremeta, Robin 5 29/09/2017 56 27.646 63,086 113
Teck Resources Limited Restricted Share Units Sheremeta, Robin 5 29/09/2017 56 27.646 14,636 25
Teck Resources Limited Deferred Performance Share Units
Smith, Marcia 5 29/09/2017 56 27.646 15,095 27
Teck Resources Limited Deferred Share Units Smith, Marcia 5 29/09/2017 56 27.646 49,561 88
Teck Resources Limited Performance Share Units Smith, Marcia 5 29/09/2017 56 27.646 74,676 133
Teck Resources Limited Restricted Share Units Smith, Marcia 5 29/09/2017 56 27.646 32,859 59
Teck Resources Limited Deferred Share Units Snider, Timothy Roy 4 29/09/2017 56 27.646 31,405 56
Teck Resources Limited Deferred Share Units Snider, Timothy Roy 4 30/09/2017 56 27.646 32,426 1,021
Teck Resources Limited Deferred Performance Share Units
Stonkus, Andrew 5 29/09/2017 56 27.646 15,095 27
Teck Resources Limited Deferred Share Units Stonkus, Andrew 5 29/09/2017 56 27.646 69,027 123
Teck Resources Limited Performance Share Units Stonkus, Andrew 5 29/09/2017 56 27.646 51,350 92
Teck Resources Limited Deferred Share Units Watson, Tim 5 29/09/2017 56 27.646 25,915 46
Teck Resources Limited Performance Share Units Watson, Tim 5 29/09/2017 56 27.646 81,520 146
Teck Resources Limited Restricted Share Units Watson, Tim 5 29/09/2017 56 27.646 43,225 77
TECSYS Inc. Common Shares Brereton, David 3, 4, 5 05/10/2017 47 2,108,502 -120,000
TECSYS Inc. Common Shares Brereton, David 3, 4, 5 05/10/2017 47 226,136 -15,000
TECSYS Inc. Common Shares BRERETON, KATHRYN 3 05/10/2017 47 1,059,102 -15,000
TECSYS Inc. Common Shares Lobo, Vernon 4 29/09/2017 10 15.95 58,400 -1,500
TELUS Corporation Deferred Share Units de Wilde, Lisa 4 30/09/2017 30 13,657 147
TELUS Corporation Deferred Share Units de Wilde, Lisa 4 30/09/2017 30 44.93 13,924 267
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8405
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
TELUS Corporation Deferred Share Units Haddad, Mary Jo 4 30/09/2017 30 20,396 216
TELUS Corporation Deferred Share Units Haddad, Mary Jo 4 30/09/2017 30 44.93 20,986 590
TELUS Corporation Deferred Share Units Kinloch, Katherine 4 30/09/2017 30 3,187 31
TELUS Corporation Deferred Share Units Kinloch, Katherine 4 30/09/2017 30 44.93 3,688 501
TELUS Corporation Deferred Share Units Lacey, John Stewart 4 30/09/2017 30 120,997 1,315
TELUS Corporation Deferred Share Units Lacey, John Stewart 4 30/09/2017 30 44.93 121,264 267
TELUS Corporation Deferred Share Units Manley, John Paul 4 30/09/2017 30 33,506 360
TELUS Corporation Deferred Share Units Manley, John Paul 4 30/09/2017 30 44.93 34,035 529
TELUS Corporation Deferred Share Units Marwah, Sarabjit 4 30/09/2017 30 12,283 129
TELUS Corporation Deferred Share Units Marwah, Sarabjit 4 30/09/2017 30 44.93 12,817 534
TELUS Corporation Deferred Share Units Mongeau, Claude 4 30/09/2017 30 3,154 31
TELUS Corporation Deferred Share Units Mongeau, Claude 4 30/09/2017 30 44.93 3,688 534
TELUS Corporation Deferred Share Units Mowat, David Lawrence 4 30/09/2017 30 8,782 90
TELUS Corporation Deferred Share Units Mowat, David Lawrence 4 30/09/2017 30 44.93 9,283 501
Temple Hotels Inc. Deferred Shares Cahill, Chris J. 4 29/09/2017 56 26,529 4,171
Temple Hotels Inc. Deferred Shares McLean, Brent John 4 29/09/2017 56 9,301 1,146
Temple Hotels Inc. Deferred Shares Nunn, David John 4 29/09/2017 56 31,481 4,219
Terra Firma Capital Corporation
Deferred Share Units Bart, Christopher Kenneth 4 30/09/2017 56 275,376 19,531
Terra Firma Capital Corporation
Deferred Share Units Patava, Miroslav Jerry 4 21/08/2017 00
Terra Firma Capital Corporation
Deferred Share Units Patava, Miroslav Jerry 4 30/09/2017 56 10,851 10,851
Terra Firma Capital Corporation
Deferred Share Units Reichmann, Philip 4 30/09/2017 56 237,991 17,361
Terra Firma Capital Corporation
Deferred Share Units Rosenblatt, Reuben Maurice
4 30/09/2017 56 275,423 10,851
Terra Firma Capital Corporation
Deferred Share Units Temkin, Seymour 4 30/09/2017 56 313,797 21,701
Terra Firma Capital Corporation
Common Shares Terra Firma Capital Corporation
1 01/09/2017 10 0.64 1,000 1,000
Terra Firma Capital Corporation
Common Shares Terra Firma Capital Corporation
1 01/09/2017 38 0.64 0 -1,000
Terra Firma Capital Corporation
Common Shares Terra Firma Capital Corporation
1 05/09/2017 10 0.64 5,000 5,000
Terra Firma Capital Corporation
Common Shares Terra Firma Capital Corporation
1 05/09/2017 38 0.64 0 -5,000
Terra Firma Capital Corporation
Common Shares Terra Firma Capital Corporation
1 06/09/2017 10 0.648 10,000 10,000
Terra Firma Capital Corporation
Common Shares Terra Firma Capital Corporation
1 06/09/2017 38 0.648 0 -10,000
Terra Firma Capital Corporation
Common Shares Terra Firma Capital Corporation
1 07/09/2017 10 0.65 140,000 140,000
Terra Firma Capital Corporation
Common Shares Terra Firma Capital Corporation
1 07/09/2017 38 0.65 0 -140,000
Terra Firma Capital Corporation
Common Shares Terra Firma Capital Corporation
1 08/09/2017 10 0.63 4,000 4,000
Terra Firma Capital Corporation
Common Shares Terra Firma Capital Corporation
1 08/09/2017 38 0.63 0 -4,000
Terra Firma Capital Corporation
Common Shares Terra Firma Capital Corporation
1 11/09/2017 10 0.65 7,500 7,500
Terra Firma Capital Corporation
Common Shares Terra Firma Capital Corporation
1 11/09/2017 38 0.65 0 -7,500
Terra Firma Capital Corporation
Common Shares Terra Firma Capital Corporation
1 12/09/2017 10 0.68 10,000 10,000
Terra Firma Capital Corporation
Common Shares Terra Firma Capital Corporation
1 12/09/2017 38 0.68 0 -10,000
Terra Firma Capital Corporation
Common Shares Terra Firma Capital Corporation
1 13/09/2017 10 0.67 1,000 1,000
Terra Firma Capital Corporation
Common Shares Terra Firma Capital Corporation
1 13/09/2017 38 0.67 0 -1,000
Terra Firma Capital Corporation
Common Shares Terra Firma Capital Corporation
1 15/09/2017 10 0.67 1,000
Terra Firma Capital Corporation
Common Shares Terra Firma Capital Corporation
1 15/09/2017 10 0.67 10,000 10,000
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8406
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Terra Firma Capital Corporation
Common Shares Terra Firma Capital Corporation
1 15/09/2017 38 0.67 0 -10,000
Terra Firma Capital Corporation
Common Shares Terra Firma Capital Corporation
1 20/09/2017 10 0.69 130,000 130,000
Terra Firma Capital Corporation
Common Shares Terra Firma Capital Corporation
1 20/09/2017 38 0.69 0 -130,000
Terra Firma Capital Corporation
Common Shares Terra Firma Capital Corporation
1 22/09/2017 10 0.68 10,000 10,000
Terra Firma Capital Corporation
Common Shares Terra Firma Capital Corporation
1 22/09/2017 38 0.68 0 -10,000
Terra Firma Capital Corporation
Common Shares Terra Firma Capital Corporation
1 25/09/2017 10 0.68 10,000 10,000
Terra Firma Capital Corporation
Common Shares Terra Firma Capital Corporation
1 25/09/2017 38 0.68 0 -10,000
Terra Firma Capital Corporation
Common Shares Terra Firma Capital Corporation
1 26/09/2017 10 0.68 10,000 10,000
Terra Firma Capital Corporation
Common Shares Terra Firma Capital Corporation
1 26/09/2017 38 0.68 0 -10,000
TFI International Inc. Deferred Share Units Saputo, Joey 4 29/09/2017 56 31.28 12,754 893
TFI International Inc. Common Shares TFI International Inc. 1 01/09/2017 38 0 -2,426
The Mint Corporation Common Shares Liabotis, Peter 6 03/10/2017 00 25,000
The Stars Group Inc. Common Shares Goldstein, Marlon 5 02/10/2017 51 7.95 20,000 20,000
The Stars Group Inc. Common Shares Goldstein, Marlon 5 02/10/2017 10 20.225 15,800 -4,200
The Stars Group Inc. Common Shares Goldstein, Marlon 5 02/10/2017 10 20.125 13,300 -2,500
The Stars Group Inc. Common Shares Goldstein, Marlon 5 02/10/2017 10 20.25 9,552 -3,748
The Stars Group Inc. Common Shares Goldstein, Marlon 5 02/10/2017 10 20.4 7,900 -1,652
The Stars Group Inc. Common Shares Goldstein, Marlon 5 02/10/2017 10 20.2 4,000 -3,900
The Stars Group Inc. Common Shares Goldstein, Marlon 5 02/10/2017 10 20.15 2,100 -1,900
The Stars Group Inc. Common Shares Goldstein, Marlon 5 02/10/2017 10 20.1 1,300 -800
The Stars Group Inc. Common Shares Goldstein, Marlon 5 02/10/2017 10 20.175 500 -800
The Stars Group Inc. Common Shares Goldstein, Marlon 5 02/10/2017 10 20.3 100 -400
The Stars Group Inc. Common Shares Goldstein, Marlon 5 02/10/2017 10 20.275 0 -100
The Stars Group Inc. Options Goldstein, Marlon 5 02/10/2017 51 7.95 540,000 -20,000
The Westaim Corporation Deferred Share Units Cole, Stephen 4 30/09/2017 46 121,247 10,907
The Westaim Corporation Deferred Share Units Gildner, John William 4 30/09/2017 56 161,719 7,970
The Westaim Corporation Deferred Share Units Walter, Bruce V. 4 30/09/2017 46 65,446 6,292
The Western Investment Company of Canada Limited
Common Shares Tannas, Scott 4, 7, 5 29/09/2017 10 0.64 604,808 500
The Western Investment Company of Canada Limited
Common Shares Tannas, Scott 4, 7, 5 29/09/2017 10 0.64 1,500 500
The Western Investment Company of Canada Limited
Common Shares The Western Investment Company of Canada Limited
1 06/09/2017 38 0.6 2,000 2,000
The Western Investment Company of Canada Limited
Common Shares The Western Investment Company of Canada Limited
1 19/09/2017 38 0.6 4,000 2,000
The Western Investment Company of Canada Limited
Common Shares The Western Investment Company of Canada Limited
1 22/09/2017 38 0.64 5,000 1,000
The Western Investment Company of Canada Limited
Common Shares The Western Investment Company of Canada Limited
1 25/09/2017 38 0.64 7,000 2,000
The Western Investment Company of Canada Limited
Common Shares The Western Investment Company of Canada Limited
1 27/09/2017 38 0.64 9,000 2,000
The Western Investment Company of Canada Limited
Common Shares The Western Investment Company of Canada Limited
1 29/09/2017 38 0 -9,000
ThreeD Capital Inc.(formerly Brownstone Energy Inc.)
Common Shares 1313366 Ontario Inc. 3 29/09/2017 10 0.061 3,827,000 -698,000
ThreeD Capital Inc.(formerly Brownstone Energy Inc.)
Common Shares Kopman, Jeff 6 29/09/2017 10 0.061 3,827,000 -698,000
Titanium Corporation Inc. Common Shares Kadey, Moss 4 05/10/2017 54 1.35 6,419,167 500,000
Titanium Corporation Inc. Warrants Kadey, Moss 4 05/10/2017 54 1,000,000 -500,000
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8407
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Titanium Corporation Inc. Common Shares Macdonald, David Charles Wray
4 05/10/2017 54 1.35 3,916,612 250,000
Titanium Corporation Inc. Warrants Macdonald, David Charles Wray
4 05/10/2017 54 500,000 -250,000
TitanStar Properties Inc. (formerly DPVC Inc.)
Common Shares Yuel, Gregory 4 05/10/2017 10 0.04 -1,999,000
TitanStar Properties Inc. (formerly DPVC Inc.)
Common Shares Yuel, Gregory 4 05/10/2017 10 0.04 7,460,543 -2,000,000
Tornado Global Hydrovacs Ltd.
Common Shares Class “A” Common Shares
Li, Shiyan 7 06/10/2017 00 1,111,111
Tornado Global Hydrovacs Ltd.
Warrants Li, Shiyan 7 06/10/2017 00 1,111,111
Toromont Industries Ltd. Rights Deferred Share Units (cash settled)
Casson, Randall 7, 2 02/10/2017 56 22,537 75
Toromont Industries Ltd. Rights Deferred Share Units (cash settled)
Chisholm, Jeffrey Scott 4 30/09/2017 56 16,261 121
Toromont Industries Ltd. Rights Deferred Share Units (cash settled)
Chisholm, Jeffrey Scott 4 02/10/2017 56 16,315 54
Toromont Industries Ltd. Rights Deferred Share Units (cash settled)
Cochrane, Jennifer 5 02/10/2017 56 6,627 22
Toromont Industries Ltd. Rights Deferred Share Units (cash settled)
Cranston, Cathryn Elizabeth 4 30/09/2017 56 18,113 405
Toromont Industries Ltd. Rights Deferred Share Units (cash settled)
Cranston, Cathryn Elizabeth 4 02/10/2017 56 18,172 59
Toromont Industries Ltd. Rights Deferred Share Units (cash settled)
Cuddy, Mike 7 02/10/2017 56 11,146 37
Toromont Industries Ltd. Rights Deferred Share Units (cash settled)
Franklin, Robert 4 30/09/2017 56 39,707 235
Toromont Industries Ltd. Rights Deferred Share Units (cash settled)
Franklin, Robert 4 02/10/2017 56 39,838 131
Toromont Industries Ltd. Rights Deferred Share Units (cash settled)
GALLOWAY, DAVID ALEXANDER
4 30/09/2017 56 64,777 462
Toromont Industries Ltd. Rights Deferred Share Units (cash settled)
GALLOWAY, DAVID ALEXANDER
4 02/10/2017 56 64,991 214
Toromont Industries Ltd. Rights Deferred Share Units (cash settled)
Gill, James Wendell 4 30/09/2017 56 7,362 440
Toromont Industries Ltd. Rights Deferred Share Units (cash settled)
Gill, James Wendell 4 02/10/2017 56 7,385 23
Toromont Industries Ltd. Rights Deferred Share Units (cash settled)
Hill, Wayne S. 4, 5 02/10/2017 56 10,536 35
Toromont Industries Ltd. Rights Deferred Share Units (cash settled)
Jewer, Paul Randolph 5 02/10/2017 56 38,730 129
Toromont Industries Ltd. Rights Deferred Share Units (cash settled)
Malinauskas, David Allan 5 02/10/2017 56 5,067 17
Toromont Industries Ltd. Rights Deferred Share Units (cash settled)
McCallum, John S. 4 02/10/2017 56 10,536 35
Toromont Industries Ltd. Rights Deferred Share Units (cash settled)
Medhurst, Scott 4, 5 02/10/2017 56 14,817 49
Toromont Industries Ltd. Rights Deferred Share Units (cash settled)
Ogilvie, Robert M. 4, 5 02/10/2017 56 46,791 156
Toromont Industries Ltd. Rights Deferred Share Units (cash settled)
Rethy, Katherine Anne 4 30/09/2017 56 15,108 322
Toromont Industries Ltd. Rights Deferred Share Units (cash settled)
Rethy, Katherine Anne 4 02/10/2017 56 15,157 49
Toromont Industries Ltd. Rights Deferred Share Units (cash settled)
Wetherald, David 5 02/10/2017 56 13,670 45
Torstar Corporation Rights Deferred Share Units
Aitken, Daryl Denice 4 30/09/2017 56 53,904 8,601
Torstar Corporation Rights Restricted Share Units
Barber, Jennifer 5 30/09/2017 56 73,051 1,337
Torstar Corporation Rights Deferred Share Units
Berger, Elaine Margaret Ellen
4 30/09/2017 56 90,607 7,441
Torstar Corporation Rights Restricted Share Units
Beyette, Marie Elizabeth 5 30/09/2017 56 75,079 1,374
Torstar Corporation Rights Restricted Share Units
Boynton, John 4 30/09/2017 56 306,434 5,612
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8408
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Torstar Corporation Rights Restricted Share Units
DeMarchi, Lorenzo John David
5 30/09/2017 56 177,975 3,258
Torstar Corporation Rights Restricted Share Units
Fleming, Derek John 7 30/09/2017 56 30,839 563
Torstar Corporation Rights Deferred Share Units
Harvey, Campbell Russell 3, 4 30/09/2017 56 101,352 7,638
Torstar Corporation Rights Deferred Share Units
Honderich, John Allen 3, 4 30/09/2017 56 97,284 7,564
Torstar Corporation Rights Deferred Share Units
Hughes, Linda 4 30/09/2017 56 81,234 7,270
Torstar Corporation Rights Deferred Share Units
Jauernig, Daniel 4 30/09/2017 56 176,267 12,949
Torstar Corporation Rights Deferred Share Units
Oliver, Ian Alan 7 30/09/2017 56 20,727 379
Torstar Corporation Rights Restricted Share Units
Oliver, Ian Alan 7 30/09/2017 56 166,855 3,055
Torstar Corporation Rights Deferred Share Units
Samji, Alnasir Hussein Habib
4 30/09/2017 56 112,346 7,840
Torstar Corporation Rights Deferred Share Units
Strachan, Dorothy Ann Regina
4 30/09/2017 56 71,178 7,086
Torstar Corporation Rights Deferred Share Units
Thall, Martin 4 30/09/2017 56 101,352 7,638
Torstar Corporation Rights Deferred Share Units
Weiss, Paul Raymond 4 30/09/2017 56 95,565 7,532
Tourmaline Oil Corp. Common Shares Rose, Mike 5 04/10/2017 10 24.73 10,217,326 2,000
Tourmaline Oil Corp. Common Shares Rose, Mike 5 06/10/2017 10 23.9 10,218,326 1,000
Tourmaline Oil Corp. Common Shares Rose, Mike 5 06/10/2017 10 23.901 10,219,326 1,000
Tower One Wireless Corp Common Shares Gusko, Brian 4 22/09/2017 30 0.25 1,877,299 -4,000
Tower One Wireless Corp Common Shares Gusko, Brian 4 05/10/2017 30 0.28 1,881,299 4,000
Trakopolis IoT Corp. Common Shares Burchell, Christopher James 4 05/10/2017 10 0.9 249,742 3,500
Trakopolis IoT Corp. Retention Shares Duffield, Edward Logan 5 29/09/2017 46 0.92 46,759 15,741
Trakopolis IoT Corp. Retention Shares Hotte, Laine Blair 5 29/09/2017 46 0.92 65,742 21,914
Trakopolis IoT Corp. Common Shares Olson, Cameron Blaine 4 29/09/2017 46 30,176 10
Trakopolis IoT Corp. Common Shares Olson, Cameron Blaine 4 29/09/2017 36 124,358 94,182
Trakopolis IoT Corp. Options Olson, Cameron Blaine 4 29/09/2017 38 65,000 -5,000
Trakopolis IoT Corp. Restricted Share Units Olson, Cameron Blaine 4 29/09/2017 57 0 -94,182
Trakopolis IoT Corp. Common Shares Sonnenberg, Gilbert Ryan 4 29/09/2017 46 148,008 11
Trakopolis IoT Corp. Common Shares Sonnenberg, Gilbert Ryan 4 29/09/2017 36 242,190 94,182
Trakopolis IoT Corp. Options Sonnenberg, Gilbert Ryan 4 29/09/2017 38 65,000 -5,000
Trakopolis IoT Corp. Restricted Share Units Sonnenberg, Gilbert Ryan 4 29/09/2017 57 0 -94,182
Trakopolis IoT Corp. Common Shares Turner, Francis John 4 29/09/2017 46 56,676 10
Trakopolis IoT Corp. Common Shares Turner, Francis John 4 29/09/2017 36 150,858 94,182
Trakopolis IoT Corp. Options Turner, Francis John 4 29/09/2017 38 65,000 -5,000
Trakopolis IoT Corp. Restricted Share Units Turner, Francis John 4 29/09/2017 36 0 -94,182
Traverse Energy Ltd. Common Shares Erickson, David Henry 3, 4, 5 04/10/2017 10 0.435 3,342,889 1,500
Traverse Energy Ltd. Common Shares Erickson, David Henry 3, 4, 5 04/10/2017 10 0.44 3,361,389 18,500
Traverse Energy Ltd. Common Shares Erickson, David Henry 3, 4, 5 03/10/2017 10 0.44 736,000 20,000
Tree Island Steel Ltd. Common Shares Tree Island Steel Ltd. (formerly known as Tree Island Wire Income Fund)
1 21/09/2017 38 3.2357 5,400 5,400
Tree Island Steel Ltd. Common Shares Tree Island Steel Ltd. (formerly known as Tree Island Wire Income Fund)
1 22/09/2017 38 3.1575 10,969 5,569
Tree Island Steel Ltd. Common Shares Tree Island Steel Ltd. (formerly known as Tree Island Wire Income Fund)
1 25/09/2017 38 3.0753 13,569 2,600
Tree Island Steel Ltd. Common Shares Tree Island Steel Ltd. (formerly known as Tree Island Wire Income Fund)
1 26/09/2017 38 3.0292 18,769 5,200
Tree Island Steel Ltd. Common Shares Tree Island Steel Ltd. (formerly known as Tree Island Wire Income Fund)
1 27/09/2017 38 2.8849 24,069 5,300
Tree Island Steel Ltd. Common Shares Tree Island Steel Ltd. (formerly known as Tree Island Wire Income Fund)
1 28/09/2017 38 2.874 26,269 2,200
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8409
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Tree Island Steel Ltd. Common Shares Tree Island Steel Ltd. (formerly known as Tree Island Wire Income Fund)
1 29/09/2017 38 2,200 -24,069
Tree Island Steel Ltd. Common Shares Tree Island Steel Ltd. (formerly known as Tree Island Wire Income Fund)
1 29/09/2017 38 2.8001 153,900 151,700
Tree Island Steel Ltd. Common Shares Tree Island Steel Ltd. (formerly known as Tree Island Wire Income Fund)
1 03/10/2017 38 0 -153,900
Trevali Mining Corporation Common Shares Keller, Paul David 5 28/09/2017 51 0.77 985,727 151,000
Trevali Mining Corporation Common Shares Keller, Paul David 5 28/09/2017 51 0.62 1,110,727 125,000
Trevali Mining Corporation Options Keller, Paul David 5 28/09/2017 51 0.77 1,702,510 -151,000
Trevali Mining Corporation Options Keller, Paul David 5 28/09/2017 51 0.62 1,577,510 -125,000
Trevali Mining Corporation Common Shares Ladd, Anna Man-Yue 5 02/10/2017 10 1.5 784,460 -50,000
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 01/09/2017 38 4.92 880 90
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 01/09/2017 38 4.92 5,480 4,600
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 05/09/2017 38 5.07 10,170 4,690
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 06/09/2017 38 5.03 14,770 4,600
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 06/09/2017 38 5.04 14,860 90
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 07/09/2017 38 4.98 14,960 100
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 07/09/2017 38 4.98 15,960 1,000
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 07/09/2017 38 4.98 16,060 100
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 07/09/2017 38 4.99 16,150 90
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 08/09/2017 38 5 20,050 3,900
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 11/09/2017 38 5 20,550 500
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 12/09/2017 38 5 25,150 4,600
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 12/09/2017 38 5 25,240 90
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 13/09/2017 38 5 28,140 2,900
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 14/09/2017 38 5.03 28,740 600
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 14/09/2017 38 5.03 29,140 400
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 14/09/2017 38 5.03 30,540 1,400
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 14/09/2017 38 5.03 30,740 200
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 14/09/2017 38 5.03 31,340 600
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 14/09/2017 38 5.03 32,740 1,400
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 14/09/2017 38 5.03 32,830 90
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 15/09/2017 38 5 37,230 4,400
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 15/09/2017 38 5 37,430 200
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 15/09/2017 38 5 37,520 90
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 18/09/2017 38 4.99 42,120 4,600
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 18/09/2017 38 5 42,210 90
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8410
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 19/09/2017 38 5 46,810 4,600
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 19/09/2017 38 5 46,900 90
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 20/09/2017 38 5.03 47,100 200
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 20/09/2017 38 5.03 47,500 400
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 20/09/2017 38 5.03 48,500 1,000
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 20/09/2017 38 5.03 48,900 400
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 20/09/2017 38 5.03 49,900 1,000
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 20/09/2017 38 5.03 51,500 1,600
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 20/09/2017 38 5.03 51,590 90
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 21/09/2017 38 5 54,190 2,600
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 22/09/2017 38 5 58,790 4,600
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 22/09/2017 38 5 58,880 90
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 25/09/2017 38 5.02 60,780 1,900
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 25/09/2017 38 5.03 61,280 500
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 25/09/2017 38 5.03 61,980 700
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 25/09/2017 38 5.03 62,480 500
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 25/09/2017 38 5.03 62,880 400
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 25/09/2017 38 5.03 63,480 600
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 25/09/2017 38 5.03 63,570 90
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 26/09/2017 38 4.99 67,170 3,600
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 26/09/2017 38 5 67,270 100
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 26/09/2017 38 5 67,370 100
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 26/09/2017 38 5 68,170 800
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 26/09/2017 38 5 68,260 90
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 27/09/2017 38 4.98 72,060 3,800
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 27/09/2017 38 5 72,160 100
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 27/09/2017 38 5 72,860 700
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 27/09/2017 38 5 72,950 90
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 28/09/2017 38 4.99 73,450 500
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 28/09/2017 38 4.99 74,850 1,400
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 28/09/2017 38 4.99 76,350 1,500
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 28/09/2017 38 4.99 77,550 1,200
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 28/09/2017 38 4.99 77,640 90
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8411
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 29/09/2017 38 4.99 82,240 4,600
Trez Capital Mortgage Investment Corporation
Class A Shares Trez Capital Mortgage Investment Corporation
1 29/09/2017 38 4.99 82,330 90
Trez Capital Senior Mortgage Investment Corporation
Class A Shares Trez Capital Senior Mortgage Investment Corporation
1 05/09/2017 38 2.96 4,360 100
Trez Capital Senior Mortgage Investment Corporation
Class A Shares Trez Capital Senior Mortgage Investment Corporation
1 06/09/2017 38 3 5,560 1,200
Trez Capital Senior Mortgage Investment Corporation
Class A Shares Trez Capital Senior Mortgage Investment Corporation
1 12/09/2017 38 3 8,790 3,230
Trez Capital Senior Mortgage Investment Corporation
Class A Shares Trez Capital Senior Mortgage Investment Corporation
1 13/09/2017 38 3 11,990 3,200
Trez Capital Senior Mortgage Investment Corporation
Class A Shares Trez Capital Senior Mortgage Investment Corporation
1 13/09/2017 38 3 12,020 30
Trez Capital Senior Mortgage Investment Corporation
Class A Shares Trez Capital Senior Mortgage Investment Corporation
1 15/09/2017 38 3 12,250 230
Trez Capital Senior Mortgage Investment Corporation
Class A Shares Trez Capital Senior Mortgage Investment Corporation
1 18/09/2017 38 3 15,450 3,200
Trez Capital Senior Mortgage Investment Corporation
Class A Shares Trez Capital Senior Mortgage Investment Corporation
1 21/09/2017 38 3 18,680 3,230
Trez Capital Senior Mortgage Investment Corporation
Class A Shares Trez Capital Senior Mortgage Investment Corporation
1 29/09/2017 38 9,660 -9,020
Trican Well Service Ltd. Common Shares Jones, David R. 5 05/10/2017 51 0.82 50,000 50,000
Trican Well Service Ltd. Common Shares Jones, David R. 5 05/10/2017 10 4.59 0 -50,000
Trican Well Service Ltd. Options Employee Stock Options
Jones, David R. 5 05/10/2017 51 0.82 239,600 -50,000
Trican Well Service Ltd. Rights Deferred Share Units (DSUs)
Pourbaix, Alex 4 30/09/2017 56 314,207 3,395
Trican Well Service Ltd. Options Employee Stock Options
Skilnick, Robert 5 02/10/2017 50 4.57 150,000 100,000
Trican Well Service Ltd. Performance Unit Awards (PSUs)
Skilnick, Robert 5 02/06/2017 00
Trican Well Service Ltd. Performance Unit Awards (PSUs)
Skilnick, Robert 5 02/10/2017 56 41,100 41,100
Trilogy International Partners Inc.
Redeemable Units of Trilogy International Partners LLC
Kroloff, Mark 4 07/02/2017 00
Trilogy International Partners Inc.
Redeemable Units of Trilogy International Partners LLC
Kroloff, Mark 4 20/09/2017 11 166,454 166,454
Trilogy International Partners Inc.
Redeemable Units of Trilogy International Partners LLC
Kroloff, Mark 4 20/09/2017 11 0 -2,790,587
Trilogy International Partners Inc.
Rights (Deferred Share Units)
Lacavera, Anthony 4 30/09/2017 56 8,497 3,450
Trilogy International Partners Inc.
Rights (Deferred Share Units)
Mohamed, Nadir 4 30/09/2017 56 8,497 3,450
TriMetals Mining Inc. Common Shares Herrero, Matias 5 02/10/2017 10 377,745 -65,000
TriStar Gold Inc. Options Brunsdon, Scott Murdo 5 28/09/2017 50 0.25 1,100,000 200,000
TriStar Gold Inc. Options Garrett, Diane Renee 4 28/09/2017 50 0.25 800,000 150,000
Trisura Group Ltd. Deferred Share Units Gallagher, Paul Joseph 4 15/05/2017 00
Trisura Group Ltd. Deferred Share Units Gallagher, Paul Joseph 4 02/10/2017 56 563 563
Trisura Group Ltd. Rights Deferred Share Units
Hedges, Barton Walter 4 15/05/2017 00
Trisura Group Ltd. Rights Deferred Share Units
Hedges, Barton Walter 4 02/10/2017 56 470 470
Triumph Gold Corp. Common Shares Palisade Global Investments Ltd.
3 03/10/2017 10 0.3732 8,053,000 10,000
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8412
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Triumph Gold Corp. Common Shares Palisade Global Investments Ltd.
3 03/10/2017 10 0.38 8,063,000 10,000
True North Commercial Real Estate Investment Trust
Trust Units Baryshnik, Jeff Matthew 4 29/09/2017 30 6.4475 25,386 559
True North Commercial Real Estate Investment Trust
Trust Units Biggar, William John 4 29/09/2017 30 6.4475 39,966 929
True North Commercial Real Estate Investment Trust
Trust Units Cardy, Roland 4 29/09/2017 30 6.4475 26,270 750
True North Commercial Real Estate Investment Trust
Trust Units Ossip, Alon Samuel 4 29/09/2017 30 6.4475 4,297 650
True North Commercial Real Estate Investment Trust
Trust Units Poklar, Sandy Ivan 4 29/09/2017 30 6.4475 16,627 600
TSO3 inc. Common Shares Précourt, Karine 5 29/09/2017 30 2.6 425 288
TSO3 inc. Common Shares Tessman, Harold Robert 5 29/09/2017 30 2.6 22,812 855
Tsodilo Resources Limited Common Shares Cushing, David James 4 02/10/2017 11 0.56 4,388,568 -350,000
U.S. Financials Income Fund Trust Units Class A (CAD $)
World Financial Split Corp. 8 28/09/2017 10 8.0995 6,000 6,000
U.S. Financials Income Fund Trust Units Class A (CAD $)
World Financial Split Corp. 8 29/09/2017 10 8.184 16,000 10,000
U.S. Financials Income Fund Trust Units Class A (CAD $)
World Financial Split Corp. 8 03/10/2017 10 8.1922 22,500 6,500
U.S. Financials Income Fund Trust Units Class A (CAD $)
World Financial Split Corp. 8 04/10/2017 10 8.1458 24,900 2,400
U3O8 Corp. Common Shares Barron, Keith Michael 4 11/09/2017 37 -963,999 -25,384,036
U3O8 Corp. Common Shares Barron, Keith Michael 4 11/09/2017 37 111,250 -2,113,750
U3O8 Corp. Common Shares Barron, Keith Michael 4 04/10/2017 10 0.32 1,356,001 20,000
U3O8 Corp. Options Barron, Keith Michael 4 09/05/2016 52 1,695,000 -5,000
U3O8 Corp. Options Barron, Keith Michael 4 23/05/2017 52 2,040,000 -5,000
U3O8 Corp. Options Barron, Keith Michael 4 11/09/2017 37 92,500 -1,947,500
U3O8 Corp. Warrants Barron, Keith Michael 4 11/09/2017 37 2,528,500 -4,341,500
U3O8 Corp. Common Shares Bastias, Gabriel Enrique 5 11/09/2017 37 56,875 -1,080,625
U3O8 Corp. Options Bastias, Gabriel Enrique 5 09/05/2016 52 0.5 796,000 -4,000
U3O8 Corp. Options Bastias, Gabriel Enrique 5 24/08/2016 52 0.26 790,000 -6,000
U3O8 Corp. Options Bastias, Gabriel Enrique 5 23/05/2017 52 1,182,500 -7,500
U3O8 Corp. Options Bastias, Gabriel Enrique 5 11/09/2017 37 42,500 -1,140,000
U3O8 Corp. Common Shares Bastias, Hugo 5 11/09/2017 37 57,250 -1,087,751
U3O8 Corp. Options Bastias, Hugo 5 09/05/2016 52 0.5 745,000 -5,000
U3O8 Corp. Options Bastias, Hugo 5 23/05/2017 52 1,087,500 -7,500
U3O8 Corp. Options Bastias, Hugo 5 11/09/2017 37 42,500 -1,045,000
U3O8 Corp. Options Constable, David Wayne 4 09/05/2016 52 995,000 -5,000
U3O8 Corp. Options Constable, David Wayne 4 23/05/2017 52 1,590,000 -5,000
U3O8 Corp. Options Constable, David Wayne 4 11/09/2017 37 70,000 -1,520,000
U3O8 Corp. Warrants Constable, David Wayne 4 11/09/2017 37 1,250 -23,750
U3O8 Corp. Options Franklin, David Kitchen 4 11/09/2017 37 8,330 -158,270
U3O8 Corp. Options Franklin, David Kitchen 4 11/09/2017 37 57,500 -1,092,500
U3O8 Corp. Common Shares Marcet, Pablo 4 11/09/2017 37 8,973 -170,497
U3O8 Corp. Options Marcet, Pablo 4 23/05/2017 52 1,245,000 -5,000
U3O8 Corp. Options Marcet, Pablo 4 11/09/2017 37 57,500 -1,187,500
U3O8 Corp. Options Reis, Elpidio dos 5 23/05/2017 52 782,500 -17,500
U3O8 Corp. Options Reis, Elpidio dos 5 11/09/2017 37 22,500 -760,000
U3O8 Corp. Common Shares Ross, John Charles 5 11/09/2017 37 1,850 -35,150
U3O8 Corp. Common Shares Ross, John Charles 5 11/09/2017 37 49,059 -932,121
U3O8 Corp. Options Ross, John Charles 5 23/05/2017 52 1,292,500 -7,500
U3O8 Corp. Options Ross, John Charles 5 11/09/2017 37 57,500 -1,235,000
U3O8 Corp. Warrants Ross, John Charles 5 11/09/2017 37 10,000 -190,000
U3O8 Corp. Common Shares Spencer, Richard Mark 4, 5 11/09/2017 37 68,155 -1,294,945
U3O8 Corp. Options Spencer, Richard Mark 4, 5 09/05/2016 52 1,695,000 -5,000
U3O8 Corp. Options Spencer, Richard Mark 4, 5 23/05/2017 52 2,032,500 -12,500
U3O8 Corp. Options Spencer, Richard Mark 4, 5 11/09/2017 37 85,000 -1,947,500
U3O8 Corp. Warrants Spencer, Richard Mark 4, 5 11/09/2017 37 2,500 -47,500
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8413
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Uni-Sélect Inc. Unités d'actions différées (UAD) / Deferred Share Unit Plan
CORMIER, MICHELLE ANN
4 30/09/2017 56 27.052 4,513 899
Uni-Sélect Inc. Unités d'actions différées (UAD) / Deferred Share Unit Plan
Courville, André 4 30/09/2017 56 27.052 10,403 998
Uni-Sélect Inc. Unités d'actions différées (UAD) / Deferred Share Unit Plan
Curadeau-Grou, Patricia 4 30/09/2017 56 27.052 22,700 998
Uni-Sélect Inc. Unités d'actions différées (UAD) / Deferred Share Unit Plan
Hall, Jeffrey 4 30/09/2017 56 27.052 4,437 647
Uni-Sélect Inc. Unités d'actions différées (UAD) / Deferred Share Unit Plan
Heath, George Edmund 4 26/07/2017 00
Uni-Sélect Inc. Unités d'actions différées (UAD) / Deferred Share Unit Plan
Heath, George Edmund 4 30/09/2017 56 27.052 657 657
Uni-Sélect Inc. Unités d'actions différées (UAD) / Deferred Share Unit Plan
Keister, Richard Lewis 4 30/09/2017 56 27.052 14,748 230
Uni-Sélect Inc. Unités d'actions différées (UAD) / Deferred Share Unit Plan
Molenaar, Robert 4 30/09/2017 56 27.052 2,417 1,244
Uni-Sélect Inc. Unités d'actions différées (UAD) / Deferred Share Unit Plan
Roy, Richard G 4 30/09/2017 56 27.052 1,872 185
Uni-Sélect Inc. Unités d'actions différées (UAD) / Deferred Share Unit Plan
Welvaert, Dennis 4 30/09/2017 56 27.052 12,305 657
Uniserve Communications Corporation
Common Shares Matheson, Robert Donald 4, 7 04/10/2017 11 0.25 823,900 649,900
Uniserve Communications Corporation
Common Shares Tijman, Brian 7 04/10/2017 11 0.25 895,658 686,658
UNISYNC Corp. Common Shares Class B Voting Shares
Bottoms, Bobby James 7 02/10/2017 99 21,200 -12,100
UNISYNC Corp. Options Incentive Stock Options
Bottoms, Bobby James 7 02/10/2017 99 0 -150,000
Uranium Energy Corp. Common Shares ABRAHAM, Edward Spencer
4 02/10/2017 46 1.38 73,935 2,355
Uranium Energy Corp. Common Shares Melbye, Scott Eric 5 02/10/2017 46 1.38 181,264 2,858
Uranium Energy Corp. Common Shares Obara, Pat 5 02/10/2017 46 1.38 234,522 1,422
US Cobalt Inc. Common Shares Tisdale, Wayne 4 06/10/2017 54 0.4 2,923,615 260,870
US Cobalt Inc. Warrants Tisdale, Wayne 4 06/10/2017 54 0.4 1,083,500 -260,870
Valeant Pharmaceuticals International, Inc.
Rights Restricted Share Units (RSUs)
DE SCHUTTER, Richard Urbain
4 29/09/2017 56 14.33 31,517 2,180
Valeant Pharmaceuticals International, Inc.
Rights Restricted Share Units (RSUs)
Robertson, Russel Clark 4 29/09/2017 56 14.33 54,054 2,616
Valeant Pharmaceuticals International, Inc.
Rights Restricted Share Units (RSUs)
Wechsler, Amy 4 29/09/2017 56 14.33 51,542 2,180
Vecima Networks Inc. Common Shares Kumar, Surinder Ghai 3, 4 03/10/2017 47 107,680 -1,000
Velan Inc. Multiple Voting Shares Estate of A. K. Velan 3 29/09/2017 00 15,566,567
Velan Inc. Subordinate Voting Shares
Estate of A. K. Velan 3 29/09/2017 00 10,000
Velan Inc. Subordinate Voting Shares
Estate of A. K. Velan 3 29/09/2017 00 1
Velan Inc. Multiple Voting Shares Velan, A.K. 3 29/09/2017 97 0 -15,566,567
Velan Inc. Subordinate Voting Shares
Velan, A.K. 3 29/09/2017 97 0 -10,000
Velan Inc. Subordinate Voting Shares
Velan, A.K. 3 29/09/2017 97 0 -1
VersaBank Common Shares Duggan, Ross P. 5 05/10/2017 10 5.85 8,558 100
VersaBank Common Shares Duggan, Ross P. 5 05/10/2017 10 5.9 10,258 1,700
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 28/09/2017 90 0 -186,000
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 20/08/2013 00
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 28/09/2017 90 186,000 186,000
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 02/10/2017 10 5.71 186,900 900
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8414
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 02/10/2017 10 5.83 187,400 500
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 02/10/2017 10 5.72 187,600 200
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 02/10/2017 10 5.73 187,900 300
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 02/10/2017 10 5.75 188,000 100
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 02/10/2017 10 5.77 188,100 100
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 02/10/2017 10 5.84 188,500 400
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 02/10/2017 10 5.72 188,600 100
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 02/10/2017 10 5.9 188,700 100
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 02/10/2017 10 5.87 190,100 1,400
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 02/10/2017 10 5.85 190,200 100
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 02/10/2017 10 5.95 192,300 2,100
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 02/10/2017 10 5.87 192,800 500
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 03/10/2017 10 5.88 193,200 400
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 03/10/2017 10 5.88 193,300 100
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 03/10/2017 10 5.9 194,700 1,400
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 03/10/2017 10 5.91 195,700 1,000
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 03/10/2017 10 5.87 196,700 1,000
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 03/10/2017 10 5.9 197,600 900
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 04/10/2017 10 5.97 198,300 700
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 04/10/2017 10 5.98 199,600 1,300
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 04/10/2017 10 5.99 204,800 5,200
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 04/10/2017 10 6 211,000 6,200
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 05/10/2017 10 5.98 211,600 600
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 05/10/2017 10 5.99 213,200 1,600
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 05/10/2017 10 6 219,800 6,600
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 05/10/2017 10 6.02 220,000 200
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 04/10/2017 10 6 2,950 500
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 04/10/2017 10 6.05 3,000 50
VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 04/10/2017 10 6 55,000 3,700
VersaPay Corporation Common Shares Chiu, Eleanor Pui Fong 4 21/09/2017 47 843,874 -110,000
Vigil Health Solutions Inc. Common Shares Griffiths, Troy 5 13/09/2017 10 0.87 -5,000
Vigil Health Solutions Inc. Common Shares Griffiths, Troy 5 13/09/2017 10 0.87 76,000 -4,000
VIQ Solutions Inc. Options Kessel, Michael 4 12/09/2017 00
VIQ Solutions Inc. Options Kessel, Michael 4 03/10/2017 50 500,000 500,000
VIQ Solutions Inc. Common Shares Taylor, Larry Douglas 4 02/10/2017 10 0.3 6,427,700 1,000
VIQ Solutions Inc. Common Shares Taylor, Larry Douglas 4 03/10/2017 10 0.3 6,430,700 3,000
VIQ Solutions Inc. Common Shares Taylor, Larry Douglas 4 05/10/2017 10 0.3 6,432,700 2,000
Wajax Corporation Rights Directors' Deferred Share Unit Plan
Alford, Thomas Malcolm 4 30/09/2017 56 19.21 17,151 1,406
Wajax Corporation Rights Directors' Deferred Share Unit Plan
Alford, Thomas Malcolm 4 03/10/2017 56 19.68 17,369 218
Wajax Corporation 2017 Deferred Share Units
Auld, Stuart Harrison 5 03/10/2017 56 19.68 3,073 39
Wajax Corporation 2017 Performance Share Units
Auld, Stuart Harrison 5 03/10/2017 56 19.68 6,144 77
Wajax Corporation 2017 Restricted Share Units
Auld, Stuart Harrison 5 03/10/2017 56 19.68 3,073 39
Wajax Corporation 2017 Performance Share Units
Baratto, Donna Jean 5 03/10/2017 56 19.68 1,032 13
Wajax Corporation 2017 Restricted Share Units
Baratto, Donna Jean 5 03/10/2017 56 19.68 3,098 39
Wajax Corporation Rights Directors' Deferred Share Unit Plan
Barrett, Edward Malcolm 4 30/09/2017 56 19.21 36,442 586
Wajax Corporation Rights Directors' Deferred Share Unit Plan
Barrett, Edward Malcolm 4 03/10/2017 56 19.68 36,905 463
Wajax Corporation Rights Directors' Deferred Share Unit Plan
Bourne, Ian Alexander 4 30/09/2017 56 19.21 24,573 586
Wajax Corporation Rights Directors' Deferred Share Unit Plan
Bourne, Ian Alexander 4 03/10/2017 56 19.68 24,885 312
Wajax Corporation Rights Directors' Deferred Share Unit Plan
Carty, Douglas 4 30/09/2017 56 19.21 19,808 852
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8415
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Wajax Corporation Rights Directors' Deferred Share Unit Plan
Carty, Douglas 4 03/10/2017 56 19.68 20,060 252
Wajax Corporation Rights Directors' Deferred Share Unit Plan
Chrominska, Sylvia Dolores 4 30/09/2017 56 19.21 6,471 732
Wajax Corporation Rights Directors' Deferred Share Unit Plan
Chrominska, Sylvia Dolores 4 03/10/2017 56 19.68 6,553 82
Wajax Corporation 2017 Performance Share Units
Deck, Steven 5 03/10/2017 56 19.68 7,023 88
Wajax Corporation 2017 Restricted Share Units
Deck, Steven 5 03/10/2017 56 19.68 7,023 88
Wajax Corporation Rights Directors' Deferred Share Unit Plan
Dexter, Robert P. 4 30/09/2017 56 19.21 86,801 1,464
Wajax Corporation Rights Directors' Deferred Share Unit Plan
Dexter, Robert P. 4 03/10/2017 56 19.68 87,904 1,103
Wajax Corporation Rights Directors' Deferred Share Unit Plan
Eby, John Clifford 4 30/09/2017 56 19.21 30,792 1,061
Wajax Corporation Rights Directors' Deferred Share Unit Plan
Eby, John Clifford 4 03/10/2017 56 19.68 31,182 390
Wajax Corporation 2017 Performance Share Units
Foote, Alan Mark 4 03/10/2017 56 19.68 27,057 339
Wajax Corporation 2017 Restricted Share Units
Foote, Alan Mark 4 03/10/2017 56 19.68 27,057 339
Wajax Corporation Rights Share Ownership Plan
Foote, Alan Mark 4 03/10/2017 56 19.68 20,037 251
Wajax Corporation 2017 Deferred Share Units
Gross, Michael 5 03/10/2017 56 19.68 3,083 39
Wajax Corporation 2017 Performance Share Units
Gross, Michael 5 03/10/2017 56 19.68 6,165 77
Wajax Corporation 2017 Restricted Share Units
Gross, Michael 5 03/10/2017 56 19.68 3,082 39
Wajax Corporation 2017 Deferred Share Units
Plain, Thomas Hayward Sanders
5 03/10/2017 56 19.68 3,219 40
Wajax Corporation 2017 Performance Share Units
Plain, Thomas Hayward Sanders
5 03/10/2017 56 19.68 6,438 81
Wajax Corporation 2017 Restricted Share Units
Plain, Thomas Hayward Sanders
5 03/10/2017 56 19.68 3,218 40
Wajax Corporation 2017 Performance Share Units
Tam, Andrew 5 03/10/2017 56 19.68 1,291 16
Wajax Corporation 2017 Restricted Share Units
Tam, Andrew 5 03/10/2017 56 19.68 3,873 49
Wajax Corporation Rights Share Ownership Plan
Tam, Andrew 5 03/10/2017 56 19.68 2,266 28
Wajax Corporation Rights Directors' Deferred Share Unit Plan
Taylor, Alexander S. 4 30/09/2017 56 19.21 16,687 585
Wajax Corporation Rights Directors' Deferred Share Unit Plan
Taylor, Alexander S. 4 03/10/2017 56 19.68 16,899 212
Wajax Corporation 2017 Deferred Share Units
Yaworsky, Darren Julian 5 03/10/2017 56 19.68 9,681 121
Wajax Corporation 2017 Performance Share Units
Yaworsky, Darren Julian 5 03/10/2017 56 19.68 12,909 162
Wajax Corporation 2017 Restricted Share Units
Yaworsky, Darren Julian 5 03/10/2017 56 19.68 3,227 40
Wallbridge Mining Company Limited
Rights DSU Day, Shawn 4 10/08/2017 00
Wallbridge Mining Company Limited
Rights DSU Day, Shawn 4 02/10/2017 56 23,374 23,374
Wallbridge Mining Company Limited
Rights DSU Ellingham, Elaine 4 02/10/2017 56 1,145,370 48,077
Wallbridge Mining Company Limited
Rights DSU Farsangi, Parviz 4 02/10/2017 56 1,348,995 48,077
Wallbridge Mining Company Limited
Rights DSU Galipeau, René Réal 4 02/10/2017 56 1,736,888 61,813
Wallbridge Mining Company Limited
Rights DSU HOLMES, WILLIAM WARREN
4 02/10/2017 56 2,062,913 75,549
Wallbridge Mining Company Limited
Rights DSU Sittler, Darryl 4 02/10/2017 56 1,469,735 41,209
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8416
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Wellgreen Platinum Ltd. Rights (Deferred Share Units)
Darling, Michèle 4 31/03/2017 56 0.29 16,810 16,810
Wellgreen Platinum Ltd. Rights (Deferred Share Units)
Darling, Michèle 4 30/09/2017 56 0.29 16,810
Wellgreen Platinum Ltd. Rights (Deferred Share Units)
Darling, Michèle 4 30/09/2017 56 0.31 15,726
Wellgreen Platinum Ltd. Rights (Deferred Share Units)
Darling, Michèle 4 30/09/2017 56 0.31 49,061 15,726
Wellgreen Platinum Ltd. Rights (Deferred Share Units)
FIELDS, MARK 4 30/09/2017 56 0.31 52,335 18,145
Wellgreen Platinum Ltd. Rights (Deferred Share Units)
Leathley, Gillyeard(Gil) James
4 29/09/2017 56 0.31 13,306
Wellgreen Platinum Ltd. Rights (Deferred Share Units)
Leathley, Gillyeard(Gil) James
4 30/09/2017 56 0.31 41,513 13,306
Wellgreen Platinum Ltd. Rights (Deferred Share Units)
Sylvestre, Michel 4 30/09/2017 56 0.31 75,480 24,194
West Fraser Timber Co. Ltd. Deferred Share Unit Carter, Reid Ewart 4 30/09/2017 56 2,243 269
West Fraser Timber Co. Ltd. Deferred Share Unit Floren, John 4 30/09/2017 56 2,243 269
West Fraser Timber Co. Ltd. Deferred Share Unit Kenning, Brian Graham 4 30/09/2017 56 518 269
West Fraser Timber Co. Ltd. Deferred Share Unit Ketcham, John Kendall 4 30/09/2017 56 3,692 269
West Fraser Timber Co. Ltd. Deferred Share Unit Miller, Gerald 4 30/09/2017 56 8,906 269
West Fraser Timber Co. Ltd. Deferred Share Unit Phillips, Robert L. 4 30/09/2017 56 10,948 269
West Fraser Timber Co. Ltd. Common Shares West Fraser Timber Co. Ltd. 1 05/10/2017 38 0 -85,094
West Fraser Timber Co. Ltd. Deferred Share Unit Winckler, Gillian 4 30/09/2017 56 518 269
Westcore Energy Ltd. Options Davidson, Andrew 4, 6, 5 28/09/2017 50 500,000 100,000
Westcore Energy Ltd. Options MacNeill, Tom 3, 4 28/09/2017 50 500,000 100,000
Westcore Energy Ltd. Options Sheppard, Jeff 5 27/09/2017 50 0.22 500,000 100,000
Western Forest Products Inc. Deferred Share Units (Cash Settled)
Bird, Jane Marie 4 05/10/2017 56 2.64 49,886 6,960
Western Forest Products Inc. Deferred Share Units (Cash Settled)
Nocente, Daniel Louis 4 05/10/2017 56 2.64 90,483 5,919
Western Forest Products Inc. Deferred Share Units (Cash Settled)
Shineton, Barrie 4 05/10/2017 56 2.64 15,946 4,735
Western Forest Products Inc. Deferred Share Units (Cash Settled)
Waites, Michael T. 4 05/10/2017 56 2.64 130,966 9,943
WestJet Airlines Ltd. Rights Deferred Share Units
Beddoe, Clive 5 29/09/2017 56 6,023 373
WestJet Airlines Ltd. Rights Deferred Share Units
Beddoe, Clive 5 29/09/2017 56 6,053 30
WestJet Airlines Ltd. Rights Deferred Share Units
Bolton, Hugh John 4 29/09/2017 56 27,519 535
WestJet Airlines Ltd. Rights Deferred Share Units
Bolton, Hugh John 4 29/09/2017 56 27,660 141
WestJet Airlines Ltd. Rights Deferred Share Units
Brenneman, Ron A. 4 29/09/2017 56 8,830 535
WestJet Airlines Ltd. Rights Deferred Share Units
Brenneman, Ron A. 4 29/09/2017 56 8,874 44
WestJet Airlines Ltd. Rights Deferred Share Units
Burley, Christopher Michael 4 29/09/2017 56 535
WestJet Airlines Ltd. Rights Deferred Share Units
Burley, Christopher Michael 4 29/09/2017 56 1,303
WestJet Airlines Ltd. Rights Deferred Share Units
Burley, Christopher Michael 4 29/09/2017 56 1,303
WestJet Airlines Ltd. Rights Deferred Share Units
Burley, Christopher Michael 4 29/09/2017 56 53
WestJet Airlines Ltd. Rights Deferred Share Units
Burley, Christopher Michael 4 29/09/2017 56 53
WestJet Airlines Ltd. Rights Deferred Share Units
Burley, Christopher Michael 4 29/09/2017 56 1,303
WestJet Airlines Ltd. Rights Deferred Share Units
Burley, Christopher Michael 4 29/09/2017 56 1,303
WestJet Airlines Ltd. Rights Deferred Share Units
Burley, Christopher Michael 4 29/09/2017 56 11,407 1,303
WestJet Airlines Ltd. Rights Deferred Share Units
Burley, Christopher Michael 4 29/09/2017 56 11,460 53
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8417
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
WestJet Airlines Ltd. Rights Deferred Share Units
Godfrey, Brett Alan 4 29/09/2017 56 10,475 535
WestJet Airlines Ltd. Rights Deferred Share Units
Godfrey, Brett Alan 4 29/09/2017 56 10,527 52
WestJet Airlines Ltd. Rights Deferred Share Units
Jackson, Allan William 4 29/09/2017 56 55,487 1,349
WestJet Airlines Ltd. Rights Deferred Share Units
Jackson, Allan William 4 29/09/2017 56 55,769 282
WestJet Airlines Ltd. Rights Deferred Share Units
Jackson, Steven Barry 4 29/09/2017 56 39,850 1,256
WestJet Airlines Ltd. Rights Deferred Share Units
Jackson, Steven Barry 4 29/09/2017 56 40,052 202
WestJet Airlines Ltd. Rights Deferred Share Units
Menard, L. Jacques 4 29/09/2017 56 17,875 1,256
WestJet Airlines Ltd. Rights Deferred Share Units
Menard, L. Jacques 4 29/09/2017 56 17,962 87
WestJet Airlines Ltd. Rights Deferred Share Units
Rennie, Janice Gaye 4 29/09/2017 56 21,186 535
WestJet Airlines Ltd. Rights Deferred Share Units
Rennie, Janice Gaye 4 29/09/2017 56 21,294 108
WestJet Airlines Ltd. Rights Deferred Share Units
Sheriff, Karen 4 29/09/2017 56 9,581 1,182
WestJet Airlines Ltd. Rights Deferred Share Units
Sheriff, Karen 4 29/09/2017 56 9,625 44
WestJet Airlines Ltd. Common Shares - Voting WestJet Airlines Ltd 1 01/09/2017 38 26.362 785,208 76,477
WestJet Airlines Ltd. Common Shares - Voting WestJet Airlines Ltd 1 08/09/2017 38 0 -785,208
Westshore Terminals Investment Corporation
Common Shares Westshore Terminals Investment Corporation
1 07/09/2017 38 24.748 5,000 5,000
Westshore Terminals Investment Corporation
Common Shares Westshore Terminals Investment Corporation
1 07/09/2017 38 0 -5,000
Westshore Terminals Investment Corporation
Common Shares Westshore Terminals Investment Corporation
1 08/09/2017 38 24.692 24,400 24,400
Westshore Terminals Investment Corporation
Common Shares Westshore Terminals Investment Corporation
1 08/09/2017 38 0 -24,400
Westshore Terminals Investment Corporation
Common Shares Westshore Terminals Investment Corporation
1 21/09/2017 38 24.459 27,700 27,700
Westshore Terminals Investment Corporation
Common Shares Westshore Terminals Investment Corporation
1 21/09/2017 38 0 -27,700
Westshore Terminals Investment Corporation
Common Shares Westshore Terminals Investment Corporation
1 22/09/2017 38 24.663 104,741 104,741
Westshore Terminals Investment Corporation
Common Shares Westshore Terminals Investment Corporation
1 22/09/2017 38 0 -104,741
Westshore Terminals Investment Corporation
Common Shares Westshore Terminals Investment Corporation
1 25/09/2017 38 24.228 25,600 25,600
Westshore Terminals Investment Corporation
Common Shares Westshore Terminals Investment Corporation
1 25/09/2017 38 0 -25,600
Westshore Terminals Investment Corporation
Common Shares Westshore Terminals Investment Corporation
1 26/09/2017 38 24.14 27,700 27,700
Westshore Terminals Investment Corporation
Common Shares Westshore Terminals Investment Corporation
1 26/09/2017 38 0 -27,700
Westshore Terminals Investment Corporation
Common Shares Westshore Terminals Investment Corporation
1 27/09/2017 38 24.147 27,700 27,700
Westshore Terminals Investment Corporation
Common Shares Westshore Terminals Investment Corporation
1 27/09/2017 38 0 -27,700
Westshore Terminals Investment Corporation
Common Shares Westshore Terminals Investment Corporation
1 28/09/2017 38 24.18 27,700 27,700
Westshore Terminals Investment Corporation
Common Shares Westshore Terminals Investment Corporation
1 28/09/2017 38 0 -27,700
Westshore Terminals Investment Corporation
Common Shares Westshore Terminals Investment Corporation
1 29/09/2017 38 24.044 27,700 27,700
Westshore Terminals Investment Corporation
Common Shares Westshore Terminals Investment Corporation
1 29/09/2017 38 0 -27,700
Whitecap Resources Inc. Common Shares Whitecap Resources Inc. 1 30/09/2017 38 8.788 10,900 10,900
Whitecap Resources Inc. Common Shares Whitecap Resources Inc. 1 30/09/2017 38 8.788 0 -10,900
WPT Industrial Real Estate Investment Trust
Deferred Unit Arkema, Milo Dwight 4 29/09/2017 46 36,614 1,949
Insider Reporting
October 12, 2017
(2017), 40 OSCB 8418
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
WPT Industrial Real Estate Investment Trust
Deferred Unit DiNunzio, Luigi Rosario 4 29/09/2017 46 8,802 1,598
WPT Industrial Real Estate Investment Trust
Deferred Unit Kavanagh, Sarah Baldwin 4 29/09/2017 46 35,891 1,767
WPT Industrial Real Estate Investment Trust
Deferred Unit Smith, Stuart H.B. 4 29/09/2017 46 9,518 1,318
WPT Industrial Real Estate Investment Trust
Deferred Unit Spackman, Pamela Jean 4 29/09/2017 46 2,234 1,360
WPT Industrial Real Estate Investment Trust
Deferred Unit Wolf, Robert Thomas 4 29/09/2017 46 46,365 1,669
WSP Global Inc. DSUs / UADs Carrière, Louis-Philippe 4 29/09/2017 56 51.54 1,471 945
WSP Global Inc. DSUs / UADs Fitzgibbon, Pierre 4 29/09/2017 56 51.54 904 305
WSP Global Inc. DSUs / UADs Shoiry, Pierre 4, 5 29/09/2017 56 51.54 3,702 1,212
Ximen Mining Corp. Common Shares Warthe-Anderson, Wesley 4 29/09/2017 10 0.045 1,455,500 185,000
Ximen Mining Corp. Common Shares Warthe-Anderson, Wesley 4 29/09/2017 10 0.05 1,470,500 15,000
Yangaroo Inc. Common Shares Boone, Horace Shepard 3 02/10/2017 10 0.275 6,866,196 -491,421
Zargon Oil & Gas Ltd. Common Shares Hansen, Craig Henry 4, 5 02/10/2017 10 0.514 1,281,736 -20,000
Zargon Oil & Gas Ltd. Common Shares Hansen, Craig Henry 4, 5 04/10/2017 10 0.485 1,211,736 -70,000
Zargon Oil & Gas Ltd. Common Shares Hansen, Craig Henry 4, 5 05/10/2017 10 0.46 1,191,736 -20,000
Zargon Oil & Gas Ltd. Common Shares Peplinski, James 4 02/10/2017 10 0.515 267,089 267,088
ZCL Composites Inc. Common Shares Morris, Darcy 7 04/10/2017 10 13.1 994,700 -2,600
ZCL Composites Inc. Common Shares Morris, Darcy 7 05/10/2017 10 13.1 984,700 -10,000
Zedcor Energy Inc. Common Shares Olson, Kenneth 5 02/10/2017 10 0.18 1,500 1,500
Zedcor Energy Inc. Common Shares Olson, Kenneth 5 03/10/2017 10 0.18 2,000 500
Zedcor Energy Inc. Common Shares Olson, Kenneth 5 03/10/2017 10 0.19 6,000 4,000
Zedcor Energy Inc. Common Shares Olson, Kenneth 5 04/10/2017 10 0.19 133,500 127,500
Zedcor Energy Inc. Common Shares Swanberg, Dean Sylvan 3, 4 02/10/2017 11 0.1812 11,021,166 34,485
Zenith Capital Corp. Options Cann, Aaron Bradley 5 02/10/2017 50 132,600 22,000
Zenith Capital Corp. Units Restricted Share Units
Cann, Aaron Bradley 5 02/10/2017 56 87,900 17,700
Zenith Capital Corp. Options Hansen, Henrik Claus 5 02/10/2017 50 332,800 87,600
Zenith Capital Corp. Units Restricted Share Units
Hansen, Henrik Claus 5 02/10/2017 56 478,855 70,200
Zenith Capital Corp. Options Lakhotia, Sanjay 5 02/10/2017 50 903,700 163,700
Zenith Capital Corp. Units Restricted Share Units
Lakhotia, Sanjay 5 02/10/2017 56 345,650 131,300
Zenith Capital Corp. Common Shares MCCAFFREY, DONALD J. 4 04/10/2017 51 0.13 4,062,189 115,600
Zenith Capital Corp. Options MCCAFFREY, DONALD J. 4 02/10/2017 50 463,000 79,900
Zenith Capital Corp. Options MCCAFFREY, DONALD J. 4 04/10/2017 51 347,400 -115,600
Zenith Capital Corp. Units Restricted Share Units
MCCAFFREY, DONALD J. 4 02/10/2017 56 579,636 64,100
Zenith Capital Corp. Units Restricted Share Units
McNeill, Kelly Bret 4 02/10/2017 46 273,589 9,391
Zenith Capital Corp. Units Restricted Share Units
Smith, Eldon 4 02/10/2017 46 299,511 22,185
Zenith Capital Corp. Units Restricted Share Units
WONG, NORMAN C.W. 4 02/10/2017 46 67,931 12,068
Zenith Capital Corp. Units Restricted Share Units
Zuerblis, Kenneth 4 02/10/2017 46 84,337 8,756
Zephyr Minerals Ltd. Common Shares Felderhof, G. William 4 02/10/2017 10 0.27 297,833 7,000
Zephyr Minerals Ltd. Common Shares Felderhof, G. William 4 03/10/2017 10 0.28 300,833 3,000
Zephyr Minerals Ltd. Common Shares Felderhof, G. William 4 03/10/2017 10 0.27 301,833 1,000
October 12, 2017
(2017), 40 OSCB 8419
Chapter 11
IPOs, New Issues and Secondary Financings
INVESTMENT FUNDS
Issuer Name: RBC Emerging Markets Equity Class Principal Regulator – Ontario Type and Date: Amendment #1 to Final Simplified Prospectus dated October 6, 2017 Received on October 6, 2017 Offering Price and Description: - Underwriter(s) or Distributor(s): RBC Global Asset Management Inc. Promoter(s): N/A Project #2534654 _______________________________________________ Issuer Name: RBC Emerging Markets Dividend Fund RBC Emerging Markets Equity Fund RBC Emerging Markets Small-Cap Equity Fund Principal Regulator – Ontario Type and Date: Amendment #1 to Final Simplified Prospectus dated October 6, 2017 Received on October 6, 2017 Offering Price and Description: - Underwriter(s) or Distributor(s): Royal Mutual Funds Inc. RBC Global Asset Management Inc. RBC Direct Investing Inc. Phillips, Hager & North Investment Funds Ltd. The Royal Trust Company RBC Dominion Securities Inc. Promoter(s): RBC Global Asset Management Inc. Project #2628996 _______________________________________________
Issuer Name: FDP Short Term Fixed Income Portfolio FDP Canadian Equity Portfolio FDP Canadian Dividend Equity Portfolio Principal Regulator – Quebec Type and Date: Amendment #3 to Final Simplified Prospectus dated October 6, 2017 Received on October 6, 2017 Offering Price and Description: - Underwriter(s) or Distributor(s): Professionals' Financial – Mutual Funds Inc. Promoter(s): Professionals' Financial – Mutual Funds Inc. Project #2602347 _______________________________________________ Issuer Name: FT Balanced Growth Pool FT Balanced Income Pool FT Growth Pool Principal Regulator – Ontario Type and Date: Amendment #1 to Final Simplified Prospectus dated October 4, 2017 Received on October 4, 2017 Offering Price and Description: - Underwriter(s) or Distributor(s): Franklin Templeton Investments Corp. FTC Investor Services Inc. Promoter(s): Franklin Templeton Investments Corp. Project #2594453 _______________________________________________
IPOs, New Issues and Secondary Financings
October 12, 2017
(2017), 40 OSCB 8420
Issuer Name: North American Financial 15 Split Corp. Principal Regulator – Ontario Type and Date: Preliminary Short Form Prospectus (NI 44-101) dated October 4, 2017 NP 11-202 Preliminary Receipt dated October 4, 2017 Offering Price and Description: * Preferred Shares and * Class A Shares Price: $* per Preferred Share and $* per Class A Share Underwriter(s) or Distributor(s): National Bank Financial Inc. CIBC World Markets Inc. Scotia Capital Inc. RBC Dominion Securities Inc. BMO Nesbitt Burns Inc. TD Securities Inc. Canaccord Genuity Corp. GMP Securities L.P. Raymond James Ltd. Desjardins Securities Inc. Echelon Wealth Partners Inc. Industrial Alliance Securities Inc. Mackie Research Capital Corporation Manulife Securities Incorporated Promoter(s): N/A Project #2681013 _______________________________________________ Issuer Name: North American Financial 15 Split Corp. Principal Regulator – Ontario Type and Date: Amended and restate to Preliminary Short Form Prospectus dated October 5, 2017 NP 11-202 Preliminary Receipt dated October 5, 2017 Offering Price and Description: Offering: $69,249,600 3,664,000 Preferred Shares and 3,664,000 Class A Shares Price: $9.90 per Preferred Share and $9.00 per Class A Share Underwriter(s) or Distributor(s): National Bank Financial Inc. CIBC World Markets Inc. Scotia Capital Inc. RBC Dominion Securities Inc. BMO Nesbitt Burns Inc. TD Securities Inc. Canaccord Genuity Corp. GMP Securities L.P. Raymond James Ltd. Desjardins Securities Inc. Echelon Wealth Partners Inc. Industrial Alliance Securities Inc. Mackie Research Capital Corporation Manulife Securities Incorporated Promoter(s): N/A Project #2681013 _______________________________________________
Issuer Name: Phillips, Hager & North Overseas Equity Pension Trust Principal Regulator – Ontario Type and Date: Amendment #1 to Final Simplified Prospectus dated October 6, 2017 and Amendment #2 to AIF dated October 6, 2017 Received on October 6, 2017 Offering Price and Description: - Underwriter(s) or Distributor(s): N/A Promoter(s): N/A Project #2628023 _______________________________________________ Issuer Name: Phillips, Hager & North Overseas Equity Fund Phillips, Hager & North Currency-Hedged Overseas Equity Fund Phillips, Hager & North Global Equity Fund Principal Regulator – Ontario Type and Date: Amendment #2 to Final Simplified Prospectus dated October 6, 2017 Received on October 6, 2017 Offering Price and Description: - Underwriter(s) or Distributor(s): Phillips, Hager & North Investment Funds Ltd. Promoter(s): RBC Global Asset Management Inc. Project #2628011 _______________________________________________
IPOs, New Issues and Secondary Financings
October 12, 2017
(2017), 40 OSCB 8421
Issuer Name: Pinnacle Balanced Portfolio Pinnacle Growth Portfolio Pinnacle Income Portfolio Scotia Aria Conservative Build Portfolio Scotia Aria Conservative Core Portfolio Scotia Aria Conservative Pay Portfolio Scotia Aria Moderate Build Portfolio Scotia Aria Moderate Core Portfolio Scotia Aria Moderate Pay Portfolio Scotia Aria Progressive Build Portfolio Scotia Aria Progressive Core Portfolio Scotia Aria Progressive Pay Portfolio Scotia Balanced Opportunities Fund Scotia Bond Fund Scotia Canadian Balanced Fund Scotia Canadian Blue Chip Fund Scotia Canadian Bond Index Fund Scotia Canadian Dividend Fund Scotia Canadian Growth Fund Scotia Canadian Income Fund Scotia Canadian Index Fund Scotia Canadian Small Cap Fund Scotia Conservative Income Fund Scotia Diversified Monthly Income Fund Scotia Dividend Balanced Fund Scotia European Fund Scotia Floating Rate Income Fund Scotia Global Balanced Fund Scotia Global Bond Fund Scotia Global Dividend Fund Scotia Global Growth Fund Scotia Global Opportunities Fund Scotia Global Small Cap Fund Scotia Income Advantage Fund Scotia INNOVA Balanced Growth Portfolio Scotia INNOVA Balanced Income Portfolio Scotia INNOVA Growth Portfolio Scotia INNOVA Income Portfolio Scotia INNOVA Maximum Growth Portfolio Scotia International Index Fund Scotia International Value Fund Scotia Latin American Fund Scotia Money Market Fund Scotia Mortgage Income Fund Scotia Nasdaq Index Fund Scotia Pacific Rim Fund Scotia Partners Balanced Growth Portfolio Scotia Partners Balanced Income Portfolio Scotia Partners Growth Portfolio Scotia Partners Income Portfolio Scotia Partners Maximum Growth Portfolio Scotia Private American Core-Plus Bond Pool Scotia Private Canadian All Cap Equity Pool Scotia Private Canadian Corporate Bond Pool Scotia Private Canadian Equity Pool Scotia Private Canadian Growth Pool Scotia Private Canadian Mid Cap Pool Scotia Private Canadian Preferred Share Pool Scotia Private Canadian Small Cap Pool Scotia Private Canadian Value Pool Scotia Private Emerging Markets Pool Scotia Private Fundamental Canadian Equity Pool
Scotia Private Global Credit Pool Scotia Private Global Equity Pool Scotia Private Global High Yield Pool Scotia Private Global Infrastructure Pool Scotia Private Global Low Volatility Equity Pool Scotia Private Global Real Estate Pool Scotia Private High Yield Income Pool Scotia Private Income Pool Scotia Private International Core Equity Pool Scotia Private International Equity Pool Scotia Private International Small to Mid Cap Value Pool Scotia Private North American Dividend Pool Scotia Private Options Income Pool Scotia Private Real Estate Income Pool Scotia Private Short Term Income Pool Scotia Private Short-Mid Government Bond Pool Scotia Private Strategic Balanced Pool Scotia Private Total Return Bond Pool Scotia Private U.S. Dividend Pool Scotia Private U.S. Large Cap Growth Pool Scotia Private U.S. Mid Cap Value Pool Scotia Private U.S. Value Pool Scotia Resource Fund Scotia Selected Balanced Growth Portfolio Scotia Selected Balanced Income Portfolio Scotia Selected Growth Portfolio Scotia Selected Income Portfolio Scotia Selected Maximum Growth Portfolio Scotia Short Term Bond Fund Scotia T-Bill Fund Scotia U.S. $ Balanced Fund Scotia U.S. $ Bond Fund Scotia U.S. $ Money Market Fund Scotia U.S. Blue Chip Fund Scotia U.S. Dividend Fund Scotia U.S. Index Fund Scotia U.S. Opportunities Fund Principal Regulator – Ontario Type and Date: Combined Preliminary and Pro Forma Simplified Prospectus dated September 29, 2017 NP 11-202 Preliminary Receipt dated October 3, 2017 Offering Price and Description: Pinnacle Series and Series M units Underwriter(s) or Distributor(s): Scotia Capital Inc. Scotia Securities Inc. 1832 Asset Management L.P. Scotia Securities Inc. Promoter(s): 1832 Asset Management L.P. Project #2680356 _______________________________________________
IPOs, New Issues and Secondary Financings
October 12, 2017
(2017), 40 OSCB 8422
Issuer Name: Mackenzie Canadian Balanced Fund Mackenzie Emerging Markets Class Principal Regulator – Ontario Type and Date: Amendment #1 to Final Simplified Prospectus dated September 29, 2017 NP 11-202 Receipt dated October 4, 2017 Offering Price and Description: Quadrus series, D5 series, D8 series, H series, H5 series, H8 series, L series, L5 series, L8 series, N series, N5 series, N8 series, QF series and QF5 series securities @ Net Asset Value Underwriter(s) or Distributor(s): Quadrus Investment Services Ltd. Quadrus Investment Services Inc. Promoter(s): Mackenzie Financial Corporation Project #2621242 _______________________________________________ Issuer Name: Alignvest Top 20 Fund Principal Regulator – Ontario Type and Date: Final Simplified Prospectus dated October 4, 2017 NP 11-202 Receipt dated October 5, 2017 Offering Price and Description: Class A and Class F Units @ net asset value Underwriter(s) or Distributor(s): N/A Promoter(s): Alignvest Capital Management Inc. Project #2661588 _______________________________________________ Issuer Name: BMO High Yield US Corporate Bond Index ETF BMO MSCI Canada Value Index ETF BMO MSCI EAFE Value Index ETF BMO MSCI USA Value Index ETF BMO Shiller Select US Index ETF Principal Regulator – Ontario Type and Date: Final Long Form Prospectus dated October 2, 2017 NP 11-202 Receipt dated October 3, 2017 Offering Price and Description: Units Underwriter(s) or Distributor(s): N/A Promoter(s): BMO Asset Management Inc. Project #2670204 _______________________________________________
Issuer Name: Educators U.S. Equity Fund Principal Regulator – Ontario Type and Date: Amendment #2 dated to Final Simplified Prospectus September 15, 2017 NP 11-202 Receipt dated October 5, 2017 Offering Price and Description: Class A and Class I Units @ Net Asset Value Underwriter(s) or Distributor(s): Educators Financial Group Inc. Promoter(s): Educators Financial Group Inc. Project #2609937 _______________________________________________ Issuer Name: Educators Balanced Fund Educators Bond Fund Educators Dividend Fund Educators Growth Fund Educators Money Market Fund Educators Monthly Income Fund Educators Mortgage & Income Fund Principal Regulator – Ontario Type and Date: Amendment #3 to Final Simplified Prospectus dated September 15, 2017 NP 11-202 Receipt dated October 5, 2017 Offering Price and Description: Class I Units @ Net Asset Value Underwriter(s) or Distributor(s): Educators Financial Group Inc. Promoter(s): Educators Financial Group Inc. Project #2609937 _______________________________________________
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Issuer Name: Fidelity American High Yield Currency Neutral Investment Trust Fidelity American High Yield Investment Trust Fidelity Asset Allocation Currency Neutral Private Pool Fidelity Asset Allocation Private Pool Fidelity Balanced Currency Neutral Private Pool Fidelity Balanced Income Currency Neutral Private Pool Fidelity Balanced Income Private Pool Fidelity Balanced Private Pool Fidelity Canadian Equity Investment Trust Fidelity Canadian Equity Private Pool Fidelity Canadian Real Return Bond Index Investment Trust Fidelity Canadian Short Term Fixed Income Investment Trust Fidelity Concentrated Canadian Equity Investment Trust Fidelity Concentrated Canadian Equity Private Pool Fidelity Concentrated Value Investment Trust Fidelity Concentrated Value Private Pool Fidelity Conservative Income Private Pool Fidelity Convertible Securities Investment Trust Fidelity Emerging Markets Debt Investment Trust Fidelity Emerging Markets Equity Investment Trust Fidelity Emerging Markets Investment Trust Fidelity Floating Rate High Income Investment Trust Fidelity Global Bond Currency Neutral Investment Trust Fidelity Global Bond Investment Trust Fidelity Global Credit Investment Trust Fidelity Global Equity Currency Neutral Private Pool Fidelity Global Equity Investment Trust Fidelity Global Equity Private Pool Fidelity Global High Yield Investment Trust Fidelity Global Real Estate Investment Trust Fidelity High Income Commercial Real Estate Investment Trust Fidelity Insights Investment Trust Fidelity International Disciplined Equity Investment Trust Fidelity International Equity Currency Neutral Private Pool Fidelity International Equity Investment Trust Fidelity International Equity Private Pool Fidelity International Growth Investment Trust Fidelity Premium Fixed Income Private Pool Fidelity Premium Fixed Income Private Pool Class Fidelity Premium Money Market Private Pool Fidelity Premium Tactical Fixed Income Private Pool Fidelity U.S. Bond Investment Trust Fidelity U.S. Dividend Private Pool Fidelity U.S. Equity Currency Neutral Private Pool Fidelity U.S. Equity Investment Trust Fidelity U.S. Equity Private Pool Fidelity U.S. Growth and Income Private Pool Fidelity U.S. Money Market Investment Trust Fidelity U.S. Multi-Cap Investment Trust Fidelity U.S. Small/Mid Cap Equity Investment Trust Principal Regulator – Ontario Type and Date: Final Simplified Prospectus dated September 29, 2017 NP 11-202 Receipt dated October 5, 2017 Offering Price and Description: Series B, D, F, I, S5, S8, I, I5, I8, F, F5, F8 and O securities Underwriter(s) or Distributor(s): Fidelity Investments Canada ULC
Promoter(s): Fidelity Investments Canada ULC Project #2661253 _______________________________________________ Issuer Name: LOGiQ MLP and Infrastructure Income Class LOGiQ Resource Growth and Income Class LOGiQ Balanced Monthly Income Class LOGiQ Growth Class LOGiQ Special Opportunities Class LOGiQ Global Opportunities Class LOGiQ Tactical Equity Class LOGiQ Money Market Class LOGiQ Tactical Bond Class LOGiQ Global Balanced Income Class LOGiQ Tactical Bond Fund Principal Regulator – Ontario Type and Date: Amendment #1 to Final Simplified Prospectus dated September 21, 2017 NP 11-202 Receipt dated October 5, 2017 Offering Price and Description: Series A, B, F, I, X, UB, UF and UI shares Underwriter(s) or Distributor(s): N/A Promoter(s): LOGiQ Capital 2016 Project #2633183 _______________________________________________ Issuer Name: LOGiQ Global Resource Fund LOGiQ High Income Fund LOGiQ Millennium Fund LOGiQ Strategic Yield Fund LOGiQ Total Return Fund Principal Regulator – Ontario Type and Date: Amendment #1 to Final Simplified Prospectus dated September 21, 2017 NP 11-202 Receipt dated October 5, 2017 Offering Price and Description: Series A, B, TA6, F, UF, TF6 and I units Underwriter(s) or Distributor(s): Aston Hill Asset Management Inc. Promoter(s): LOGiQ Asset Management Ltd. Project #2611300 _______________________________________________
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Issuer Name: LOGiQ Growth Fund Principal Regulator – Ontario Type and Date: Amendment #1 to Final Simplified Prospectus dated September 21, 2017 NP 11-202 Receipt dated October 5, 2017 Offering Price and Description: Series A, B and F units Underwriter(s) or Distributor(s): N/A Promoter(s): LOGiQ Capital 2016 Project #2633187 _______________________________________________ Issuer Name: Mackenzie All China Equity Fund Mackenzie Canadian All Cap Balanced Class Mackenzie Canadian All Cap Balanced Fund Mackenzie Canadian All Cap Dividend Class Mackenzie Canadian All Cap Dividend Fund Mackenzie Canadian All Cap Value Class Mackenzie Canadian All Cap Value Fund Mackenzie Canadian Bond Fund Mackenzie Canadian Growth Balanced Class Mackenzie Canadian Growth Balanced Fund Mackenzie Canadian Growth Class Mackenzie Canadian Growth Fund Mackenzie Canadian Balanced Fund Mackenzie Canadian All Cap Dividend Growth Fund Mackenzie Canadian Large Cap Dividend Class Mackenzie Canadian Large Cap Dividend Fund Mackenzie Canadian Large Cap Growth Fund Mackenzie Canadian Money Market Class Mackenzie Canadian Money Market Fund Mackenzie Canadian Resource Fund Mackenzie Canadian Short Term Income Fund Mackenzie Canadian Small Cap Class Mackenzie Canadian Small Cap Fund Mackenzie Corporate Bond Fund Mackenzie Cundill Canadian Balanced Fund Mackenzie Cundill Canadian Security Class Mackenzie Cundill Canadian Security Fund Mackenzie Cundill Recovery Class Mackenzie Cundill Recovery Fund Mackenzie Cundill US Class Mackenzie Cundill Value Class Mackenzie Cundill Value Fund Mackenzie Diversified Alternatives Fund Mackenzie Emerging Markets Class Mackenzie Emerging Markets Opportunities Class Mackenzie Floating Rate Income Fund Mackenzie Global Equity Fund Mackenzie Global Credit Opportunities Fund Mackenzie Global Dividend Fund Mackenzie Global Growth Class Mackenzie Global Low Volatility Fund Mackenzie Global Resource Class Mackenzie Global Small Cap Class Mackenzie Global Small Cap Fund Mackenzie Global Sustainability and Impact Balanced Fund Mackenzie Global Strategic Income Fund
Mackenzie Global Tactical Bond Fund Mackenzie Global Tactical Investment Grade Bond Fund Mackenzie Global Leadership Impact Fund Mackenzie Gold Bullion Class Mackenzie Growth Fund Mackenzie High Diversification Canadian Equity Class Mackenzie High Diversification Emerging Markets Equity Fund Mackenzie High Diversification European Equity Fund Mackenzie High Diversification Global Equity Fund Mackenzie High Diversification International Equity Fund Mackenzie High Diversification US Equity Fund Mackenzie Income Fund Mackenzie Ivy International Class Mackenzie Ivy International Fund Mackenzie Investment Grade Floating Rate Fund Mackenzie Ivy Canadian Balanced Class Mackenzie Ivy Canadian Balanced Fund Mackenzie Ivy Canadian Fund Mackenzie Ivy European Class Mackenzie Ivy Foreign Equity Class Mackenzie Ivy Foreign Equity Currency Neutral Class Mackenzie Ivy Foreign Equity Fund Mackenzie Ivy Global Balanced Class Mackenzie Ivy Global Balanced Fund Mackenzie Ivy International Equity Fund Mackenzie Monthly Income Balanced Portfolio Mackenzie Monthly Income Conservative Portfolio Mackenzie North American Corporate Bond Fund Mackenzie Precious Metals Class Mackenzie Private Canadian Focused Equity Pool Mackenzie Private Canadian Focused Equity Pool Class Mackenzie Private Canadian Money Market Pool Mackenzie Private Global Conservative Income Balanced Pool Mackenzie Private Global Equity Pool Mackenzie Private Global Equity Pool Class Mackenzie Private Global Fixed Income Pool Mackenzie Private Global Income Balanced Pool Mackenzie Private Income Balanced Pool Mackenzie Private Income Balanced Pool Class Mackenzie Private US Equity Pool Mackenzie Private US Equity Pool Class Mackenzie Strategic Bond Fund Mackenzie Strategic Income Fund Mackenzie Unconstrained Fixed Income Fund Mackenzie US All Cap Growth Fund Mackenzie US Dividend Fund Mackenzie US Dividend Registered Fund Mackenzie US Growth Class Mackenzie US Large Cap Class Mackenzie US Low Volatility Fund Mackenzie US Mid Cap Growth Class Mackenzie US Mid Cap Growth Currency Neutral Class Mackenzie US Strategic Income Fund Mackenzie USD Global Strategic Income Fund Mackenzie USD Global Tactical Bond Fund Mackenzie USD Ultra Short Duration Income Fund Symmetry Balanced Portfolio Symmetry Balanced Portfolio Class Symmetry Conservative Income Portfolio Symmetry Conservative Income Portfolio Class Symmetry Conservative Portfolio
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Symmetry Conservative Portfolio Class Symmetry Equity Portfolio Class Symmetry Fixed Income Portfolio Symmetry Growth Portfolio Symmetry Growth Portfolio Class Symmetry Moderate Growth Portfolio Symmetry Moderate Growth Portfolio Class Principal Regulator – Ontario Type and Date: Final Simplified Prospectus dated September 29, 2017 NP 11-202 Receipt dated October 4, 2017 Offering Price and Description: Investor Series, Series A, Series AR, Series D, Series F, Series F5, Series F8, Series FB, Series FB5, Series O, Series PW, Series PWF, Series PWF5, Series PWF8, Series PWFB, Series PWFB5, Series PWT5, Series PWT8,
Series PWX, Series PWX5, Series PWX8, Series S5, Series S8, Series SC, Series T5 and Series T8 Underwriter(s) or Distributor(s): Quadrus Investment Services Ltd. LBC Financial Services Inc. Promoter(s): Mackenzie Financial Corporation Project #2656987 _______________________________________________
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NON-INVESTMENT FUNDS
Issuer Name: Atrium Mortgage Investment Corporation Principal Regulator – Ontario Type and Date: Preliminary Shelf Prospectus dated October 3, 2017 NP 11-202 Preliminary Receipt dated October 3, 2017 Offering Price and Description: $250,000,000.00 – Common Shares, Debt Securities, Subscription Receipts, Warrants, Units Underwriter(s) or Distributor(s): - Promoter(s): - Project #2680697 _______________________________________________ Issuer Name: Jamieson Wellness Inc. Principal Regulator – Ontario Type and Date: Preliminary Short Form Prospectus dated October 3, 2017 NP 11-202 Preliminary Receipt dated October 3, 2017 Offering Price and Description: $240,870,000.00 – 13,020,000 Common Shares Price: $18.50 per Common Share Underwriter(s) or Distributor(s): BMO Nesbitt Burns Inc. RBC Dominion Securities Inc. CIBC World Markets Inc. Scotia Capital Inc. National Bank Financial Inc. TD Securities Inc. Canaccord Genuity Corp. Cormark Securities Inc. Promoter(s): - Project #2680545 _______________________________________________ Issuer Name: Brookfield Asset Management Inc. Brookfield Finance Inc. Brookfield Finance LLC Principal Regulator – Ontario Type and Date: Amendment #1 dated September 29, 2017 to Final Shelf Prospectus dated February 17, 2017 NP 11-202 Receipt dated October 4, 2017 Offering Price and Description: Debt Securities Class A Preference Shares Class A Limited Voting Shares Underwriter(s) or Distributor(s): - Promoter(s): - Project #2582877 _______________________________________________
Issuer Name: Brookfield Finance Inc. Brookfield Finance LLC Brookfield Asset Management Inc. Principal Regulator – Ontario Type and Date: Amendment #1 dated September 29, 2017 to Final Shelf Prospectus dated February 17, 2017 NP 11-202 Receipt dated October 4, 2017 Offering Price and Description: - Underwriter(s) or Distributor(s): - Promoter(s): - Project #2582878 _______________________________________________ Issuer Name: Brookfield Finance LLC Brookfield Asset Management Inc. Brookfield Finance Inc. Principal Regulator – Ontario Type and Date: Amendment #1 dated September 29, 2017 to Final Shelf Prospectus dated February 17, 2017 NP 11-202 Receipt dated October 4, 2017 Offering Price and Description: - Underwriter(s) or Distributor(s): - Promoter(s): - Project #2582880 _______________________________________________ Issuer Name: Paramount Gold Nevada Corp. Principal Regulator – Ontario Type and Date: Final Short Form Prospectus dated October 3, 2017 NP 11-202 Receipt dated October 4, 2017 Offering Price and Description: US$4,480,000.00 – 3,200,000 Shares of Common Stock Underwriter(s) or Distributor(s): Canaccord Genuity Corp. Cantor Fitzgerald Canada Corporation Promoter(s): - Project #2680376 _______________________________________________
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Issuer Name: Sherpa Holdings Corp. Principal Regulator – British Columbia Type and Date: Final CPC Prospectus (TSX-V) dated October 2, 2017 NP 11-202 Receipt dated October 5, 2017 Offering Price and Description: $250,000.00 – 2,500,000 Common Shares Price: $0.10 per Common Share Underwriter(s) or Distributor(s): PI FINANCIAL CORP. Promoter(s): - Project #2640722 _______________________________________________ Issuer Name: Val-d'Or Mining Corporation (formerly Nunavik Nickel Mines Ltd.) Principal Regulator – Quebec Type and Date: Final Short Form Prospectus dated October 3, 2017 NP 11-202 Receipt dated October 5, 2017 Offering Price and Description: C$1,200,000.00 – 12,000,000 Units Price: C$0.10 per Unit Underwriter(s) or Distributor(s): Canaccord Genuity Corp. Promoter(s): - Project #2672411 _______________________________________________ Issuer Name: Western Energy Services Corp. Principal Regulator – Alberta (ASC) Type and Date: Final Short Form Prospectus dated October 5, 2017 NP 11-202 Receipt dated October 5, 2017 Offering Price and Description: $11,375,000.00 – 9,100,000 Common Shares Price: $1.25 per Common Share Underwriter(s) or Distributor(s): Peters & Co. Limited Promoter(s): - Project #2677400 _______________________________________________
Issuer Name: Wow Unlimited Media Inc. (formerly, Rainmaker Entertainment Inc.) Principal Regulator – British Columbia Type and Date: Final Shelf Prospectus dated October 5, 2017 NP 11-202 Receipt dated October 5, 2017 Offering Price and Description: $150,000,000.00 – Common Voting Shares, Variable Voting Shares, Preferred Shares, Debt Securities, Subscription Receipts, Warrants, Units Underwriter(s) or Distributor(s): - Promoter(s): - Project #2678998 _______________________________________________
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Chapter 12
Registrations 12.1.1 Registrants
Type Company Category of Registration Effective Date
Change in Registration Category
Equiton Capital Inc. From: Exempt Market Dealer To: Exempt Market Dealer, Investment Fund Manager and Portfolio Manager
October 4, 2017
Change in Registration Category
NS Partners Ltd. From: Portfolio Manager To: Portfolio Manager, Exempt Market Dealer and Investment Fund Manager
October 5, 2017
Change in Registration Category
ReSolve Asset Management Inc.
From: Portfolio Manager, Exempt Market Dealer and Investment Fund Manager To: Portfolio Manager, Exempt Market Dealer, Investment Fund Manager and Commodity Trading Manager
October 5, 2017
Name Change From: Bullion Marketing Services Inc. To: BMG Marketing Services Inc.
Exempt Market Dealer September 20, 2017
Change in Registration Category
ETF Capital Management From: Investment Fund Manager and Portfolio Manager To: Investment Fund Manager, Portfolio Manager and Exempt Market Dealer
October 3, 2017
Registrations
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Chapter 13
SROs, Marketplaces, Clearing Agencies and Trade Repositories
13.2 Marketplaces 13.2.1 Nasdaq CXC Limited and Ensoleillement Inc. – Application for Recognition as Exchanges – Notice and
Request for Comment
NASDAQ CXC LIMITED AND ENSOLEILLEMENT INC.
APPLICATION FOR RECOGNITION AS EXCHANGES
NOTICE AND REQUEST FOR COMMENT
I. INTRODUCTION Nasdaq CXC Limited (Nasdaq Canada) and Ensoleillement Inc. (CXCH) have applied to the Ontario Securities Commission (Commission) for recognition as exchanges under section 21 of the Securities Act (Ontario). Nasdaq Canada is a wholly-owned subsidiary of CXCH, which is in turn wholly-owned by Nasdaq, Inc. (Nasdaq). Nasdaq Canada currently carries on business in Ontario as an alternative trading system (ATS), operating three equity trading facilities – Nasdaq CXC, Nasdaq CX2, and Nasdaq CXD. Nasdaq Canada also operates NFI, a fixed income facility that allows permitted clients to trade US treasuries on a US based ATS. In the event the Commission recognises Nasdaq Canada and CXCH as exchanges, the trading facilities operated by Nasdaq Canada will become trading facilities of the exchanges. Staff of the Commission is publishing this Notice and Request for Comment, together with the following documentation, for a 30-day public comment period:
• Appendix A – Application by Nasdaq Canada and CXCH for recognition as exchanges (Application); • Appendix B – Draft order, with terms and conditions, recognizing Nasdaq Canada and CXCH as exchanges.
The comment period for this Notice and Request for Comment will close on November 13, 2017. Please see Part IV of this Notice for information on how to provide comment. II. APPLICATION In the Application, Nasdaq Canada and CXCH have made representations regarding how each applicant proposes to meet the criteria for recognition as an exchange. In particular, Nasdaq Canada and CXCH have made representations in respect of the recognition criteria related to: governance, fees, access, rules and rulemaking, regulation of participants, due process, systems and technology, financial viability, clearing and settlement, information sharing and regulatory cooperation. The recognition criteria can be found at Appendix A to the Application. As proposed, the market structure for Nasdaq Canada is unchanged from that of the trading facilities presently operated by Nasdaq CXC Limited under its registration as an ATS. As indicated, in the event of recognition, the trading facilities currently operated by Nasdaq CXC Limited will become trading facilities of the exchanges, with no changes to functionality. We note as well that Nasdaq Canada is not, at this point, proposing to list issuers’ securities. Consequently, the proposed terms and conditions of recognition include a provision that no securities are to be listed on Nasdaq Canada except with the prior approval of the Commission. If and when Nasdaq Canada proposes to list securities, the listing rules will go through the process of being reviewed, published for comment and presented to the Commission. III. TERMS AND CONDITIONS OF RECOGNITION As indicated, Nasdaq Canada and CXCH have made representations in respect of complying with the criteria for recognition. The following sections of the notice discuss the general approach to the terms and conditions of recognition and specifically discuss the application of some of the terms and conditions.
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Recognition of Nasdaq We note that, as proposed, Nasdaq will not be recognized as an exchange. Generally, the Commission’s approach to the recognition of exchanges is that the Commission will seek to recognize any entity that carries on exchange-like functions, whether or not the entity actually operates an exchange. The consequence to this approach is that in some cases, the Commission has recognized an ultimate parent company of an exchange operator as an exchange because the entity carried out exchange functions. These functions included establishing the strategic direction for the exchange and nominating directors to the board. Based on Staff’s review of the Application and the representations of Nasdaq and Nasdaq Canada, Nasdaq does not carry out exchange activities in respect of Nasdaq Canada and CXCH that would warrant recognition as an exchange. We note in particular that Nasdaq maintains a separate and distinct board of directors from both Nasdaq Canada and CXCH and that Nasdaq Canada is responsible for establishing its own strategic direction. Staff has proposed that even though Nasdaq would not be recognized, it would be subject to certain terms and conditions in areas where it has a degree of influence over the business and operations of Nasdaq Canada. In particular, Nasdaq would be required to take reasonable steps to ensure that each director and officer of Nasdaq Canada would be a fit and proper person and to allocate sufficient financial and other resources to Nasdaq Canada to ensure that Nasdaq Canada can carry out its functions in a manner that is consistent with the public interest and in compliance with Ontario securities law. Nasdaq would also be subject to the requirements to establish policies and procedures to identify and manage conflicts of interest, restrictions in respect of the routing of order flow to Nasdaq Canada, and restrictions regarding the bundling of its products and services with those of Nasdaq Canada. The proposed terms and conditions that would apply to Nasdaq may be found at Schedule 4 to the draft recognition order. Significant Shareholders of Nasdaq As with the recognition of ultimate parent companies as exchanges, the Commission has also, in appropriate circumstances, imposed terms and conditions on the significant shareholders1 of these parent companies. The purpose of these terms and conditions is to establish requirements in areas where significant shareholders may be able to exercise influence over the business and operations of the recognized exchange. Examples of such terms and conditions include restrictions on the routing of order flow to the recognized exchange and disclosure to clients of the significant shareholders that they have an ownership interest in the recognized exchange. Nasdaq has several shareholders that would constitute significant shareholders.2 Staff is proposing a limited number of terms and conditions that would apply to these significant shareholders. These terms and conditions relate primarily to restrictions on the routing of order flow to Nasdaq Canada, the management of conflicts of interest, restrictions on the ability of significant shareholders to incent their employees to preference Nasdaq Canada as a marketplace, and requirements for the significant shareholders to disclose their relationship with Nasdaq Canada to clients whose orders may be routed to Nasdaq Canada. We note that, based on the Application and the representations of Nasdaq Canada and Nasdaq, the significant shareholders of Nasdaq have a limited ability and opportunity to influence the business and operations of Nasdaq Canada. The significant shareholders have no rights to nominate individuals to the boards of CXCH and Nasdaq Canada and are restricted generally in their ability to vote their shares of Nasdaq. As such, in Staff’s view, the approach to impose these limited terms and conditions being proposed for significant shareholders is appropriately tied to their limited ability to influence the business and operations of Nasdaq Canada. The proposed terms and conditions that would apply to the significant shareholders of Nasdaq may be found at Schedule 4 to the draft recognition order. Nasdaq Canada and CXCH Terms and Conditions Additional terms and conditions have been proposed for Nasdaq Canada and CXCH. In addition to terms and conditions that would require Nasdaq Canada and CXCH to establish policies and procedures to identify and manage conflicts of interest together with financial reporting and financial viability monitoring, specific terms and conditions have been proposed in order to limit Nasdaq Canada’s ability to provide discounts on its fees conditional on the purchase of products and services offered by Nasdaq. The terms and conditions would also limit Nasdaq Canada’s ability to incent or encourage Nasdaq affiliates or significant shareholders from coordinating the routing of order flow to Nasdaq Canada.
1 The Commission has typically established significant shareholders as the owners of more than 5% of the issued and outstanding securities
of the parent company. 2 The following entities own more than 5% of the issued and outstanding shares of Nasdaq: Borse Dubai (17.9%), Investor AB (11.7%), MFS
Institutional Advisors (9.2%), BlackRock (5.6%), Vanguard Group (6.5%).
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The proposed terms and conditions that would apply to Nasdaq Canada may be found at Schedule 2 to the draft recognition order. The proposed terms and conditions that would apply to CXCH may be found at Schedule 3 to the draft recognition order. IV. REQUEST FOR COMMENTS Staff is seeking comment on all aspects of the Application and the draft terms and conditions of recognition. Documentation pertaining to the operations of the proposed exchanges can be found on the Commission’s website. Comments should be in writing and submitted by November 13, 2017, to:
Market Regulation Branch Ontario Securities Commission
20 Queen Street West, 20th Floor Toronto, ON, M5H 3S8
Fax: 416.595.8940 email: [email protected]
Comments received will be made public on the Commission’s website. Questions on the content of this Notice and the draft recognition order may be directed to: Tracey Stern Manager, Market Regulation [email protected] Christopher Byers Senior Legal Counsel, Market Regulation [email protected] Barb Majerski Legal Counsel, Market Regulation [email protected] Questions on the content of the Application may be directed to: Matthew Thompson Nasdaq CXC Chief Compliance Officer [email protected]
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APPENDIX A
NASDAQ CXC LIMITED
25 York Street, Suite 900 Toronto, Ontario M5J 2V5
●, 2017 Ontario Securities Commission 20 Queen Street West, 22nd Floor Toronto, Ontario M5H 3S8 Attention: Susan Greenglass, Director of Market Regulation Dear Sirs/Mesdames, Re: Application for Recognition as exchanges of Nasdaq CXC Limited (“Nasdaq Canada”) and its parent holding
company, Ensoleillement Inc. (“CXCH”) I. Application for Recognition of Nasdaq Canada and CXCH (a) Application for recognition of Nasdaq Canada This letter (the “Application”) sets out the application of Nasdaq Canada to the Ontario Securities Commission (the “Commission”) for recognition of Nasdaq Canada as an exchange in accordance with section 21(2) of the Securities Act (Ontario), R.S.O. 1990, c. S.5 (the “Act”) and in accordance with the terms and conditions set out in the draft exchange recognition order published by the Commission on October 12, 2017 (the “Recognition Order”). (b) Application for recognition of CXCH This letter also sets out the application of CXCH, the holding company of Nasdaq Canada, to the Commission for recognition of CXCH as an exchange in accordance with section 21(2) of the Act and in accordance with the terms of the Recognition Order. (c) Application for Exemptive Relief in Canadian Jurisdictions other than Ontario Nasdaq Canada will be operating as an exchange across Canada. It has applied1 for an exemption from exchange recognition for Nasdaq Canada and CXCH in each jurisdiction in Canada, other than Ontario, on the basis of the Lead Regulator Model. The Lead Regulator Model is set out in a Memorandum of Understanding (“MOU”) among certain members of the Canadian Securities Administrators about the oversight of exchanges2. The underlying principles of the Lead Regulator Model are based upon each recognized exchange (“Exchange”) having a lead regulator (“Lead Regulator”) responsible for its oversight, and one or more exempting regulators (“Exempting Regulators”). The Exempting Regulators exempt the Exchange from recognition on the basis that:
(A) the Exchange is and will continue to be recognized by the Lead Regulator as an Exchange; (B) the Lead Regulator is responsible for conducting the regulatory oversight of the Exchange; and (C) the Lead Regulator will inform the Exempting Regulators of its oversight activities and the Exempting
Regulators will have the opportunity to raise issues concerning the oversight of the Exchange with the Lead Regulator in accordance with the MOU.
1 The exemption application will be published by the Autorité des marchés financiers. 2 The current MOU became effective on January 1, 2010 and is available online here:
http://www.osc.gov.on.ca/documents/en/Securities/mou_20091002_nca-amd-mou-qtrs.pdf
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II. Background and Introduction to the Nasdaq Canada Application Current Operations Since the acquisition by Nasdaq, Inc. in February of 2016, Nasdaq CXC Limited (“Nasdaq ATS”) has continued operating the CXC alternative trading system (“CXC”) for the trading of securities listed on the Toronto Stock Exchange (“TSX”) and TSX Venture Exchange (“TSXV”). Nasdaq ATS commenced operations on February 20, 2008 and is a corporation incorporated under the Canada Business Corporations Act (“CBCA”). It currently has 66 subscribers and offers trading in over 4100 securities. Nasdaq ATS subscribers must be members in good standing of the Investment Industry Regulatory Organization of Canada (“IIROC”) with the ability to clear trades on a continuous net settlement basis with the Canadian Depository for Securities. Nasdaq ATS operates a second trading facility, Nasdaq CX2 (“CX2”), which offers trading in the same listed securities as that of CXC. CX2 is available to registered investment dealers who are members in good standing of IIROC. CX2 operates as a separate marketplace using the same trading platform as CXC. Key features of the CX2 platform are described in the Trading section of this Application letter. There is no requirement for CX2 subscribers to also become subscribers of CXC. Nasdaq ATS also operates a third Canadian trading facility, Nasdaq CXD (“CXD”), which is a dark trading book. CXD is available to registered investment dealers who are members in good standing of IIROC. CXD operates as a separate marketplace using the same trading platform as CX2. Key features of the CXD platform are described in the Trading section of this Application letter. There is no requirement for CXD subscribers to also become subscribers of CXC or CX2. Nasdaq ATS also provides Canadian “permitted clients” as defined in National Instrument 31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations (“NI 31-103”) access to the Nasdaq Fixed Income trading system (“NFI”) operated by its U.S. affiliate Execution Access, LLC (“EA”) for purposes of trading non-Canadian fixed income securities (“U.S. Treasury securities” or “UST”). Key features of the NFI platform are described in the Trading section of this Application letter. On the effective date of the Recognition Order issued pursuant to this Application (the “Recognition Date”), Nasdaq ATS will cease operations as an ATS and Nasdaq Canada will commence operations as an exchange. CXCH is a corporation incorporated under the New Brunswick Business Corporations Act on December 9, 2015. CXCH is currently and will continue to be the sole shareholder of Nasdaq Canada on the Recognition Date. Participants / Membership Nasdaq Canada will operate an electronic automated marketplace for participating IIROC members (“Members”) to trade securities listed on TSX, TSXV and Canadian Securities Exchange (“CSE”), on substantially the same basis as Nasdaq ATS has been operating. The Nasdaq Canada market structure will include three separate trading books (each, a “Trading Book”): the Nasdaq CXC Book (CXC Book), the Nasdaq CX2 Book (CX2 Book) and the Nasdaq CXD Book (CXD Book). Effective on the Recognition Date, the CXC Book, CX2 Book and CXD Book will provide substantially the same services to Members as the three trading platforms of Nasdaq ATS provide to Subscribers today. It is expected that existing CXC, CX2 and CXD subscribers will execute the proposed Nasdaq Canada Member Agreement. As part of the proposed Nasdaq Canada Member Agreement, Nasdaq Canada Members will agree to be bound by the Exchange Requirements, as more fully described further on in this Application. A copy of the proposed Nasdaq Canada Member Agreement is published with this Application and a version will be available on Nasdaq Canada’s website from the Recognition Date. Effective on the Recognition Date, Nasdaq Canada will continue to provide Canadian “permitted clients” as defined in NI 31-103 access to the NFI system operated by EA for purposes of trading U.S. Treasury securities. Trading Policies Nasdaq Canada will adopt the Trading Rules and Policies published with this application and a version will be available on Nasdaq Canada’s website from the Recognition Date. III. Recognition Criteria for Nasdaq Canada The following sets out the recognition criteria that will be applicable to Nasdaq Canada and how Nasdaq Canada proposes to address those criteria. The criteria cover the following topics:
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• Governance • Access • Regulation of Participants and Issuers • Rules and Rulemaking • Due Process • Clearing and Settlement • Systems and Technology • Financial Viability • Fees • Information Sharing and Regulatory Cooperation.
A. Governance
Governance Criteria (i) The governance structure and governance arrangements of Nasdaq Canada and CXCH must ensure: (a)
effective oversight of the Exchange; (b) that business and regulatory decisions are in keeping with their public interest mandate; (c) fair, meaningful and diverse representation on the board of directors and any board committees; (d) policies and procedures are in place to appropriately identify and manage conflicts of interest; and (e) there are appropriate qualifications, remuneration, limitation of liability and indemnity provisions for directors; and
(ii) Nasdaq Canada and CXCH must have policies and procedures under which it will take reasonable steps, and
must take such reasonable steps, to ensure that each director and officer is a fit and proper person. 1. Ownership of Nasdaq Canada and CXCH Nasdaq ATS commenced operations on February 20, 2008 and is a corporation incorporated under the CBCA. On the Recognition Date, Nasdaq ATS will cease operations as an ATS and Nasdaq Canada will commence operations as an exchange. CXCH is a corporation incorporated under the New Brunswick Business Corporations Act on December 9, 2015. CXCH is currently and will continue to be the sole shareholder of Nasdaq Canada on the Recognition Date. Nasdaq, Inc. (“Nasdaq”) is a Delaware USA corporation incorporated on January 12, 1976. Nasdaq is the sole shareholder of CXCH. Nasdaq, Inc. is a leading provider of trading, clearing, exchange technology, regulatory, securities listing, information and public company services across six continents. Nasdaq’s global offerings are diverse and include trading and clearing across multiple asset classes, access services, data products, financial indexes, capital formation solutions, corporate solutions and market technology products and services. Nasdaq is a publicly traded company and is owned by various shareholders. Other than the shareholders set out in the Form 21-101F13 separately filed with the Commission concurrently with this Application, and as disclosed in Nasdaq’s 2017 Proxy Statement, which was filed with the U.S. Securities and Exchange Commission on March 29, 2017, no known shareholders hold a material percentage of Nasdaq’s securities. 2. Objectives of the Governance Structure The governance structure of Nasdaq Canada and CXCH is designed to ensure:
3 See Exhibit B – Ownership to the Form 21-101F1.
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• That Nasdaq Canada’s business and regulatory decisions are in keeping with its public interest mandate; • Fair, meaningful and diverse representation on the board of directors and any board committees, including
independent director representation; • Proper consideration and representation of the interests of the persons or companies accessing the facilities
and/or services of Nasdaq Canada; • That Nasdaq Canada and CXCH have policies and procedures to appropriately identify and manage conflicts
of interest; • That each director and officer of Nasdaq Canada and CXCH is a fit and proper person; and • That there are appropriate qualifications, remuneration, limitations of liability and indemnity provisions for
directors and officers. 3. CXCH and Nasdaq Canada Board Structure a. CXCH Board and Committee CXCH is a holding company. The board of directors (“Board”) of CXCH is expected to be comprised of 6 directors, 3 of whom will be independent. The Chair of the CXCH Board will be an independent director. A quorum of the CXCH Board will consist of a majority of directors, at least 50% of whom shall be independent directors. Independence criteria are addressed below. The CXCH Board will establish and maintain a Nominating Committee as further described below. The Chair of the CXCH Nominating Committee will be an independent director. The initial CXCH and Nasdaq Canada Boards are expected to be mirror boards consisting of the same independent and non-independent directors. b. The Nasdaq Canada Board and Committee The Nasdaq Canada Board is expected to be comprised of 6 directors, 3 of whom will be independent. The non-independent directors are expected to be Dan Kessous (the CEO of Nasdaq Canada), Thomas Wittman, Executive Vice President, Global Head of Equities of Nasdaq (a current director of both CXCH and Nasdaq Canada) and Tal Cohen, Senior Vice President, Head of North American Equities of Nasdaq. The three independent directors of Nasdaq Canada are expected to be Canadian residents with excellent experience in financial services, market risk management and governance who will meet the independence criteria further described below. A quorum of the Nasdaq Canada Board will consist of a majority of directors, at least 50% of whom shall be independent directors. The Chair of the Nasdaq Canada Board will be an independent director. The Nasdaq Canada Board will establish and maintain a Regulatory Oversight Committee as further described below. 4. CXCH Board Committee Structure a. CXCH Nominating Committee The CXCH Board will have a Nominating Committee comprised of no fewer than 3 members, a majority of whom will be independent directors, and one of the members of the Nominating Committee will be the Chairman of the CXCH Board. The Chair of the CXCH Nominating Committee will be an independent director. The role of the Nominating Committee will be to identify and put forward for nomination qualified directors to act on the CXCH Board and the Nasdaq Canada Board. A quorum of the Nominating Committee consists of a majority of the members, a majority of whom shall be independent directors.
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5. The Nasdaq Canada Board Committee Structure a. The Nasdaq Canada Regulatory Oversight Committee The Nasdaq Canada Board will have a Regulatory Oversight Committee, comprised of no fewer than 3 directors, a majority of whom shall be independent directors. A quorum of the Regulatory Oversight Committee will consist of a majority of the members, a majority of whom shall be independent directors. The Regulatory Oversight Committee’s mandate is to oversee the performance of Nasdaq Canada’s regulatory responsibilities, the management of conflicts of interest, and, among other duties:
• reviews and decides, or makes recommendations to the Nasdaq Canada Board, on proposed regulations and rules that must be submitted to the Commission for review and approval under Schedule 5 of the Recognition Order;
• considers real or perceived conflicts of interest that may arise, including but not limited to the following
contexts: • Nasdaq Canada marketplace participant’s representation on the CXCH Board or the Nasdaq Canada
Board; • significant changes in ownership of Nasdaq Canada and CXCH; and • the profit-making objective and the public interest responsibilities of Nasdaq Canada, including
general oversight of the management of the regulatory and public interest responsibilities of Nasdaq Canada;
• oversees the establishment of mechanisms to avoid and appropriately manage conflicts of interest or potential
conflicts of interest, perceived or real, including any policies and procedures that are developed by Nasdaq Canada and CXCH;
• monitors the operation of mechanisms that deal with conflicts of interest, including oversight of reporting of
conflicts of interest by Nasdaq Canada and CXCH; • reviews regularly, and at least annually, the effectiveness of the policies and procedures regarding conflicts of
interest; • annually prepares a written report examining the avoidance and management of conflicts of interest, the
mechanisms used and the effectiveness of those mechanisms and provides the report to the Nasdaq Canada Board promptly, and to the Commission within 30 days of providing it to the Nasdaq Canada Board; and
• reports in writing directly to the Commission on any matter that the Regulatory Oversight Committee deems
appropriate or that is required by the Commission without first requiring the Nasdaq Canada Board approval for such reporting.
Nasdaq Canada will obtain prior approval of the Commission before implementing amendments to the mandate of the Regulatory Oversight Committee and the mandate will be publicly available on the Nasdaq Canada website. 6. Nasdaq Canada and CXCH Independence Standards Nasdaq Canada and CXCH have established the following standards to determine whether a director is independent (the “Independence Standards”). An independent director is one who does not have a direct or indirect material relationship with Nasdaq Canada or CXCH, where the term “material relationship” is a relationship that could, in the view of the Nasdaq Canada Board or the CXCH Board, respectively, be reasonably expected to interfere with the exercise of the director’s independent judgment. A director is independent if the director is “independent” within the meaning of section 1.4 of National Instrument 52-110 – Audit Committees (“NI 52-110”), as amended from time, but is not independent if the director:
• is a partner, officer4, director or employee of a Nasdaq Canada marketplace participant, or of an affiliated entity5 of a Nasdaq Canada marketplace participant, who is responsible for or is actively engaged in the day- to-day operations or activities of that Nasdaq Canada marketplace participant;
4 “officer” has the meaning ascribed to it in subsection 1(1) of the Act. 5 “affiliated entity” has the meaning ascribed to it in section 1.3 of National Instrument 21-101 Marketplace Operation.
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• is an officer or an employee of CXCH or any of its affiliated entities; • is a partner, officer or employee of Nasdaq or an associate6 of that partner, officer or employee; • is a director of Nasdaq or an associate of that director; • is a person who owns or controls, or is the officer or employee of a person or company that owns or controls,
directly or indirectly, more than 5% of the shares of CXCH; • is a director of a person or company that beneficially owns or controls, directly or indirectly, more than 5% of
any class or series of voting shares of Nasdaq; or • has any relationship with Nasdaq or a person or company that owns or controls, directly or indirectly, more
than 5% of the shares of CXCH, that could, in the view of the Nominating Committee, having regard to all relevant circumstances, be reasonably perceived to interfere with the exercise of his or her independent judgment as a director of CXCH or Nasdaq Canada.
The Recognition Order permits the Nominating Committee of CXCH to waive specific restrictions set out above where it has determined that independence is not compromised, and the Commission does not object. This allows otherwise qualified independent persons to be considered as an independent director on the Board of Nasdaq Canada or CXCH. The objective of the Independence Standards is to remove anyone who has a material relationship with CXCH or its affiliated entities from qualifying as an independent director. The Nominating Committee of CXCH is charged with making recommendations to the Nasdaq Canada Board and CXCH Board, as applicable, on the interpretation and application of the Independence Standards to the Nasdaq Canada directors and CXCH directors, as applicable. 7. Director and Officer Fitness Requirements Nasdaq Canada and CXCH will ensure that each of its respective directors and officers is a fit and proper person so that there are reasonable grounds to believe that the business of Nasdaq Canada and CXCH, respectively, will be conducted with integrity and in a manner that is consistent with the public interest. The names and qualifications of nominee directors will be provided to the CXCH Nominating Committee to consider and determine whether the person is both fit and proper, as well as qualified. The officers will be reviewed and confirmed as fit and proper by the Nasdaq Canada Board or the CXCH Board, as applicable. 8. Managing potential conflicts of interest within Nasdaq Canada and CXCH Nasdaq Canada and CXCH, respectively, will adopt a conflicts of interest policy applicable to the members of the respective Board which will set out the obligations and expectations imposed upon directors in dealing with conflicts of interest and matters of confidentiality. This policy will, among other things, provide that every director of Nasdaq Canada or CXCH, respectively, shall, in acting in such capacity, act honestly and in good faith with a view to the best interests of Nasdaq Canada or CXCH, respectively, and shall exercise the care, diligence and skill that a reasonably prudent person would exercise in comparable circumstances. In addition, the policy will provide that directors must ensure that their personal interests and their duty to Nasdaq Canada or CXCH, respectively, are not brought into conflict, and that they do not receive or obtain, directly or indirectly, a personal profit, gain or benefit (other than any fees paid as a result of acting as a director) as a result of their relationship with Nasdaq Canada or CXCH, respectively. The conflicts of interest policy will also contain provisions requiring a director to disclose the nature and extent of any interest that he or she has in a material contract or material transaction with Nasdaq Canada or CXCH, respectively. In addition, Nasdaq Canada and CXCH will establish policies and procedures that address the conflict of interest matters addressed in the Recognition Order, including conflicts arising from the interactions between Nasdaq Canada and CXCH and its shareholders, and arising between the regulation functions and business activities of Nasdaq Canada. In addition, the Recognition Order requires that Nasdaq also establish policies and procedures to manage conflicts of interest resulting from its interactions with Nasdaq Canada and CXCH, and to maintain confidentiality.
6 “associate” has the meaning ascribed to it in subsection 1(1) of the Act.
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B. Access
Fair Access Criteria Nasdaq Canada must establish appropriate written standards for access to its services including requirements to ensure participants are appropriately registered under Ontario securities laws, or exempted from these requirements, and such access standards and the process for obtaining, limiting and denying access must be fair, transparent and applied reasonably. Nasdaq Canada has established appropriate written standards for access to its trading and related services. The requirement is that Nasdaq Canada Members are appropriately registered under securities laws and are dealer members of the Investment Industry Regulatory Organization of Canada (“IIROC”), except with respect to separately provided access to NFI by Canadian permitted clients, as defined in National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations. The access standards and the process for obtaining, limiting and denying access are set out in Chapter 4 of the Trading Rules and Policies and are fair, transparent and can be applied reasonably. Nasdaq Canada may refuse to approve an applicant based on past or present misconduct by the applicant or any related person, or if the applicant refuses to comply with Nasdaq Canada requirements or is not qualified by reason of integrity, solvency, training or experience. Any dealer who is refused approval will have a right of appeal. Dealers who are eligible for membership must complete an application process and ultimately must sign the Nasdaq Canada Member Agreement. Once approved, a Member must comply with all Exchange Requirements as set out in the Member Agreement and the Trading Rules and Policies and as notified to Members from time to time. Copies of the proposed Member Agreement and the Trading Policies have been filed with this Application. C. Regulation of Participants
Regulation of Participants Criteria Nasdaq Canada must have the authority, resources, capabilities, systems and processes to allow it to perform its regulation functions, whether directly or indirectly through a regulation services provider, including setting requirements governing the conduct of participants, monitoring their conduct, and appropriately disciplining them for violations of exchange requirement. Nasdaq Canada has the authority, capacity, systems and processes to undertake directly or indirectly through a regulatory services provider, its regulation functions by:
• Setting requirements governing the conduct of its Members; • Monitoring conduct of its Members and, if and when applicable, at such future time as Nasdaq Canada may
engage in a listings business, its listed issuers; and • Appropriately disciplining Members for violations of the Exchange Requirements.
Nasdaq Canada will enter into a Regulatory Services Agreement with IIROC so that IIROC will perform on its behalf market regulation services. Nasdaq ATS currently has in place a Regulatory Services Agreement with IIROC whereby IIROC performs on its behalf market regulation services in respect of the Nasdaq ATS. 1. Trading a. Summary of Features and Functions of the Trading Platform Nasdaq Canada will transition its market operations from those of an ATS to those of an Exchange, with no substantial changes to its current trading platform or operations. Functionality currently in place to support the Nasdaq ATS trading platform will continue to be available after the Recognition Date. The specific policies associated with the trading operations are described in the Nasdaq Canada Trading Rules and Policies, a copy of which has been filed with this Application. Nasdaq Canada will operate a continuous auction market Monday through Friday, excluding Canadian banking holidays. It will offer trading on securities listed on TSX, TSXV and CSE, through three separate Trading Books: CXC, CX2 and CXD. Trading sessions for CXC and CX2 are from 8:30 a.m. to 5:00 p.m. (EST). Trading sessions for CXD are from 9:30 a.m. to 4:00 p.m.
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The CXC Book will offer matching based on price/time priority, with visible orders having a higher priority over hidden orders that are at the same price. The default attribution for the CXC Book is that orders are anonymous. CXC will support round lot and odd lot orders. The CX2 Book will offer matching based on price/broker/time priority, with visible broker orders having a higher priority over visible non-broker orders at the same price. Anonymous and jitney orders are not eligible for broker preferencing. The default attribution for the CX2 Book is that orders are attributed. CX2 will support round lot and odd lot orders. The CXD Book is a dark book with matching based on price/broker/time priority. Orders entered on CXD that do not meet the minimum size requirements as defined by Universal Market Integrity Rules (UMIR) must provide incoming orders with minimum price improvement. CXD orders are attributed by default and are automatically eligible for broker preferencing. Members may not opt-out of broker preferencing for attributed orders. Anonymous orders and jitney orders are not eligible for broker preferencing. CXD will support round lot and odd lot orders. Orders that are not immediately matched will be posted into the Trading Books. The Nasdaq Canada trading platform will support the following order types:
• Limit • Market
It will also support the following types of order attributes:
• Time in force (Day, IOC, FOK) • Quantity (Minimum, Minimum Acceptable, All or None) • Attribution (Anonymous/Attributed) • Pegged orders (Primary, Mid-Point and Market) • Minimum Price Improvement Order • Visibility (Hidden, Iceberg/Reserve and X-berg orders) • Self-Trade Prevention • Post only
Nasdaq Canada will also provide Members with the ability to enter intentional crosses, including specialty crosses. Members will be required to enter crosses in compliance with regulatory provisions for crosses. Nasdaq Canada will continue to provide Canadian “permitted clients” as defined in NI 31-103 access to the NFI system operated by EA for purposes of trading USTs. Nasdaq Canada will be the “client-facing” entity for Canadian fixed income customers. Such Canadian customers have entered into a supplemental agreement with Nasdaq Canada that provides for the routing of Canadian client orders to NFI. EA will continue to be responsible for the execution of trades in USTs on the NFI platform. An intercompany agreement was entered into between Nasdaq Canada and EA in respect of the routing arrangement. Orders transmitted by a customer located in Canada for a fixed income security traded in the United States will be routed and executed in accordance with the terms of the intercompany agreement. Nasdaq Canada will not execute UST trades. Nasdaq Canada will receive orders from Canadian fixed income customers and will route them to NFI in accordance with the terms of the intercompany agreement. The NFI graphical user interface provides Canadian fixed income customers with a trading application that enables users to create customizable order placement, and real-time monitoring and management of orders, positions and profit & loss. The NFI application program interface (API) provides Canadian customers with access to order entry and straight through processing. Canadian customers using the NFI API can also access real-time market data and historical data. The NFI FIX protocol provides Canadian customers with access to order entry and straight through processing. Canadian customers may also connect by using a third-party vendor’s order management system. NFI accepts limit orders only. Limit orders may have a time-in-force of Day (“DAY”), Immediate or Cancel (“IOC”), Good ‘til Bettered (“GTB”), or Only-At-Best (“OAB”). A limit order will only execute at prices equal to or better than its specified price. A
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limit order can be matched in part or in its entirety. If not fully executed, the unexecuted remaining quantity is posted in the order book, unless the order’s time-in-force value is IOC. b. Access Nasdaq Canada will use a FIX interface for access to the trading systems. Specifications will be published on the Nasdaq Canada website. Nasdaq Canada will provide operational support and access to a test environment for development and certification of Members’ interfaces. Members can access the Exchange directly or via certified third party services providers. c. Operational Controls Nasdaq Canada will provide several operational controls in support of its mandate to operate a fair and orderly market:
• Trading Halts: Trading may be halted on a security, or group of securities, on any Trading Book by the Exchange (“Business Halt”) or the Regulation Services Provider (“Regulatory Halt”). Halting a security is considered a significant act and generally will be done by IIROC or in consultation with IIROC. However, the maintenance of fair markets and certain market events suggest that other options need to be available in the rare circumstances where the harm is obvious and immediate, and there may not be sufficient time to get a response from IIROC. In that event, Nasdaq Canada may announce a trading halt. There will be clear accountability and oversight if such action is taken. If Nasdaq Canada takes action to halt trading, a report will be prepared and submitted to IIROC and the Commission for their review and follow up;
• Marketplace Thresholds: Nasdaq Canada will support marketplace thresholds in accordance with
requirements established under National Instrument 23-101 – Trading Rules (“NI 23-101”) and guidance issued by IIROC. These thresholds will be operative between the hours of 9:30 a.m. and 5:00 p.m. (EST) on CXC and CX2 and between 9:30 a.m. and 4:00 p.m. (EST) on CXD;
• Order Protection: in accordance with NI 23-101, Nasdaq Canada will offer the following:
o Repricing: Members may elect to have orders that would cross the NBBO and would trade-through a better priced order on a protected market be automatically re-priced as the NBBO updates to prevent a trade-through or crossed market from occurring.
o Cancellation: Members may elect to have their orders cancelled (in addition to the option to reprice)
to prevent a trade-through from occurring. o Directed Action Order (“DAO”) orders: Members may indicate an order as a DAO and by-pass the
repricing mechanism. d. Nasdaq Canada Trading Rules and Policies Rules for membership and policies related to trading activities are published in the Nasdaq Canada Trading Rules and Policies. This document is organized into the following chapters:
Chapter 1: Definitions and Interpretation Chapter 2: Policies and Authority of the Exchange Chapter 3: Membership Chapter 4: Access to Trading Chapter 5: Trading Chapter 6: Provisions Regarding Odd Lot Dealers Chapter 7: Clearing and Settlement Chapter 8: Appeals Policy Chapter 9 General
e. The Nasdaq Canada Trading Policies Chapter 5 of the Trading Rules and Policies sets out key features and policies of Nasdaq Canada’s trading. It covers the following topics:
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• Trading Books • Trading Sessions • Trading Halts • Marketplace Thresholds • Trade Amendments and Cancellations • Order Types and Attributes • Order Processing • Crossing • Order Protection Rule Compliance • Order and Trade Reporting • Nasdaq Canada Odd Lot Facility
Nasdaq Canada has also adopted a Trading Functionality Guide that is meant to serve as a companion guide to Nasdaq Canada’s Trading Rules and Policies. The Trading Functionality Guide provides various illustrations and covers the following topics:
• Trading Operations • Trading Books • Order Matching Priority • Order Types • Summary of Trading Book Orders • Nasdaq Canada Odd Lot Facility • Non-Display Order Handling • Order Handling Compliance with the Order Protection Rule • Risk Management Tools
2. Data Currently, subscribers of CXC, CX2 and CXD, as well as other third parties, may purchase any of a variety of data products for internal consumption or redistribution by entering into either a Data Use Agreement or Data Distribution Agreement with Nasdaq ATS. Nasdaq Canada will continue to offer data products on a basis consistent with the manner in which such products are currently offered by Nasdaq ATS, with such changes as may be necessary to reflect Nasdaq Canada’s exchange status and related considerations. 3. Listing Nasdaq Canada does not intend to engage in a listings business at the present time.
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D. Rules and Rulemaking
Rules and Rulemaking Criteria Nasdaq Canada must have rules, policies, and other similar instruments that are designed to (i) appropriately govern and regulate the operations and activities of participants and, at such future time as Nasdaq Canada may engage in a listings business, issuers, (ii) ensure a fair and orderly market, and (iii) provide a framework for disciplinary and enforcement actions. Nasdaq Canada will establish, rules, policies and other similar instruments (“Rules”) designed to govern the operations and activities of Members and, at any future time as Nasdaq Canada may engage in a listings business, Issuers and designed to:
• Ensure compliance with securities legislation; • Prevent fraudulent and manipulative acts and practices; • Promote just and equitable principles of trade; • Provide for appropriate sanctions for violations of Nasdaq Canada Rules; • Ensure a fair and orderly market; and • Provide a framework for disciplinary and enforcement actions.
Nasdaq Canada will be executing a Regulatory Services Agreement with IIROC regarding oversight of UMIR requirements. Nasdaq Canada will comply with the process for review and approval of Rules and the information contained in Form 21-101F1 and the exhibits thereto as set out in the Recognition Order. The Regulatory Oversight Committee is responsible for reviewing and deciding, or making recommendations to the Nasdaq Canada Board, on proposed regulations and rules that must be submitted to the Commission for review and approval under Schedule 5 of the Recognition Order, and to periodically, and at least annually, prepare a written report providing details of the Regulatory Oversight Committee’s review of any regulation rules and in particular any issues or concerns that arose with respect to Significant Changes, and provide the report to the Nasdaq Canada Board promptly, and to the Commission within 30 days of providing it to the Nasdaq Canada Board. E. Due Process
Due Process Criteria For any decision made by Nasdaq Canada that affects a participant or, at such future time as Nasdaq Canada may engage in a listings business, an issuer, or an applicant to be a participant or issuer, including a decision in relation to access, listing, exemptions, or discipline, Nasdaq Canada must ensure that: (i) parties are given an opportunity to be heard or make representations, and (ii) it keeps a record of, gives reasons for and provides for appeals or reviews of its decisions. Nasdaq Canada’s requirements relating to access, listing (at such as time as this may be appropriate), exemptions and discipline will be fair and reasonable. For all decisions made by Nasdaq Canada in the administration of the Trading Rules and Policies that affect a Member or applicant for Member, Nasdaq Canada will keep a record of and provide its reasons, and a party adversely affected by a decision or proposed decision of Nasdaq Canada will be given an opportunity to be heard by the Regulatory Oversight Committee. In addition, if the affected party wishes to appeal the decision of the Regulatory Oversight Committee, it has the right to pursue either arbitration (if applicable) or its other rights under securities law, including requesting review of the decision by the Commission. F. Clearing and Settlement
Clearing and Settlement Criteria Nasdaq Canada must have appropriate arrangements for the clearing and settlement of trades. Nasdaq Canada will require all Members to have appropriate clearing arrangements with the Clearing Corporation (currently CDS) in place. Nasdaq Canada will provide a daily file of trades executed on the Exchange to CDS.
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G. Systems and Technology
Systems and Technology, and Information Risk Management Criteria Nasdaq Canada must have appropriate risk management procedures in place including those that handle trading errors, trading halts and circuit breakers. Nasdaq Canada will be adopting the current Nasdaq ATS trading platform, which has in place appropriate risk management procedures, including those that handle trading errors, trading halts and circuit breakers. Functionality currently in place to support the Nasdaq ATS trading platform will continue to be available after the Recognition Date. H. Financial Viability and Reporting
Financial Viability Criteria Nasdaq Canada must have sufficient financial resources for the proper performance of its functions and to meet its responsibilities. Nasdaq Canada currently has, and will maintain, sufficient financial resources for the proper performance of its functions and to meet its responsibilities. On a quarterly basis, Nasdaq Canada will provide the Commission with unaudited financial statements and a calculation of certain liquidity, debt coverage and financial leverage measures as set out in the Recognition Order. Nasdaq Canada will file with the Commission annual audited financial statements within 90 days after the end of each financial year. In addition, Nasdaq Canada will file with the Commission its financial budget for the year, together with underlying assumptions, as approved by the Nasdaq Canada Board, within 30 days of the commencement of each financial year. Nasdaq shall, subject to the terms of the Recognition Order, facilitate the allocation of sufficient financial and non-financial resources to ensure Nasdaq Canada and CXCH can carry out their functions in a manner that is consistent with the public interest and in compliance with Ontario securities law. I. Fees
Fees Criteria (i) All fees imposed by Nasdaq Canada must be reasonable and equitably allocated and consistent with the
requirements in Ontario securities laws, and (ii) the process for setting fees must be fair and appropriate, and the fee model transparent.
All fees imposed by Nasdaq Canada will be equitably allocated and will not have the effect of creating unreasonable barriers to access. Nasdaq Canada’s process for setting fees will be fair, appropriate and its fees will be fully transparent. In addition, with respect to the execution of an order, Nasdaq Canada will not impose terms that have the effect of discriminating between orders that are routed to Nasdaq Canada from other marketplaces and orders that are entered on Nasdaq Canada. 1. Trading Fees Trading fees for Nasdaq Canada will be the same as those currently in effect for CXC, CX2 and CXD, respectively, and are available on the Nasdaq ATS website. The fee structure is:
• Membership fees based on the current subscriber fees; and • Per share fees based on the type and price of the security.
2. Data Fees The fees charged for data will vary depending on the type of data feed subscribed for and the intended use of such feed. All such fees will be publicly available on the Nasdaq Canada website.
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J. Information Sharing and Regulatory Cooperation
Information Sharing and Regulatory Cooperation Nasdaq Canada must have mechanisms in place to enable it to share information and otherwise cooperate with the Commission, recognized self-regulatory organizations, other recognized or exempt exchanges, clearing agencies, investor protection funds, and other appropriate regulatory bodies. Nasdaq Canada will continue the mechanisms already in place at Nasdaq ATS to ensure that it is able to cooperate, by sharing information or otherwise, with the Commission, recognized self-regulatory organizations, other recognized or exempt exchanges, clearing agencies, investor protection funds, and other appropriate regulatory bodies. IV. Conclusion Nasdaq Canada respectfully submits that, subject to the terms and conditions imposed by the Commission, that Nasdaq Canada meets the criteria for recognition so that recognition will not be contrary to the public interest. Sincerely, _____________________________________ Nasdaq CXC Limited Cc: Rene Sorell, McCarthy Tétrault Cristian O. Blidariu, McCarthy Tétrault
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APPENDIX B
IN THE MATTER OF THE SECURITIES ACT,
R.S.O. 1990, CHAPTER S.5, AS AMENDED (the “Act”)
AND
IN THE MATTER OF
ENSOLEILLEMENT INC. AND NASDAQ CXC LIMITED
AND
IN THE MATTER OF NASDAQ, INC.
ORDER (Section 21 of the Act)
WHEREAS Ensoleillement Inc. (CXCH) and Nasdaq CXC Limited (Nasdaq Canada) (collectively, the Applicants) have filed an application requesting recognition of CXCH and Nasdaq Canada as exchanges pursuant to section 21 of the Act (Application); AND WHEREAS at the time of granting this order, CXCH is the sole shareholder of Nasdaq Canada, and Nasdaq, Inc. (Nasdaq) is the sole shareholder of CXCH; AND WHEREAS Nasdaq Canada operates Nasdaq CXC, Nasdaq CX2 and Nasdaq CXD that are facilities of the exchange that trade Canadian exchange-traded securities; AND WHEREAS Nasdaq Canada separately provides access to a fixed income trading system, Nasdaq Fixed Income, that facilitates trading in U.S. fixed income securities by Canadian permitted clients; AND WHEREAS on or about the effective date of this order Nasdaq Canada will continue operations as an exchange under the terms and conditions of this order; AND WHEREAS the Commission has received certain representations and undertakings from the Applicants in connection with the Application; AND WHEREAS the Commission considers the proper operation of CXCH and Nasdaq Canada as essential to investor protection and maintaining a fair and efficient capital market, and therefore requires that any conflicts of interest in the operation of CXCH and Nasdaq Canada be dealt with appropriately, the fairness and efficiency of the market not be impaired by any anti-competitive activity, and that systemic risks are monitored and controlled; AND WHEREAS the Applicants represent that CXCH and Nasdaq Canada satisfy the criteria for recognition as an exchange in Schedule 1 of this order; AND WHEREAS the Commission has determined that it is in the public interest to recognize each of CXCH and Nasdaq Canada as an exchange pursuant to section 21 of the Act; AND WHEREAS CXCH, Nasdaq Canada and Nasdaq have agreed to the applicable terms and conditions set out in Schedule 2 to Schedule 4 to the Order; IT IS ORDERED that:
(a) pursuant to section 21 of the Act, CXCH is recognized as an exchange, and (b) pursuant to section 21 of the Act, Nasdaq Canada is recognized as an exchange, provided that the Applicants and Nasdaq comply with the terms and conditions set out in Schedule 2, 3 and Schedule 4 to the Order, as applicable.
Dated this ______ day of ______________, 2017. “●” “●”
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SCHEDULE 1 CRITERIA FOR RECOGNITION
PART 1 COMPLIANCE WITH NI 21-101 AND NI 23-101 1.1 Compliance with NI 21-101 and NI 23-101 The exchange complies with the requirements set out in National Instrument 21-101 Marketplace Operation (NI 21-101) and in National Instrument 23-101 Trading Rules, each as amended from time to time, which include requirements relating to: (a) access; (b) marketplace operations; (c) exchange rules, policies and other similar instruments; (d) order and trade transparency; (e) transparency of marketplace operations; (f) record keeping; (g) marketplace systems and business continuity planning; (h) confidentiality of information; (i) outsourcing; (j) clearing and settlement; (k) fair and orderly markets; (l) the management of conflicts of interest; and (m) filing of financial statements. PART 2 GOVERNANCE 2.1 Governance The governance structure and governance arrangements of the exchange ensure: (a) effective oversight of the exchange; (b) that business and regulatory decisions are in keeping with the exchange’s public interest mandate; (c) fair, meaningful and diverse representation on the board of directors (Board) and any committees of the Board,
including:
(i) appropriate representation of independent directors, and (ii) a proper balance among the interests of the different persons or companies using the services and facilities of
the exchange; (d) the exchange has policies and procedures to appropriately identify and manage conflicts of interest; and (e) there are appropriate qualifications, remuneration, limitation of liability and indemnity provisions for directors, officers
and employees of the exchange. 2.2 Fitness The exchange has policies and procedures under which it will take reasonable steps, and has taken such reasonable steps, to ensure that each director and officer is a fit and proper person.
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PART 3 ACCESS 3.1 Fair Access (a) The exchange has established appropriate written standards for access to its services including requirements to ensure
participants are appropriately registered under Ontario securities laws, or exempted from these requirements. (b) The access standards and the process for obtaining, limiting and denying access are fair, transparent and applied
reasonably. PART 4 REGULATION OF PARTICIPANTS ON THE EXCHANGE 4.1 Regulation The exchange has the authority, resources, capabilities, systems and processes to allow it to perform its regulation functions, whether directly or indirectly through a regulation services provider, including setting requirements governing the conduct of participants, monitoring their conduct, and appropriately disciplining them for violations of exchange requirements. PART 5 RULES AND RULEMAKING 5.1 Rules and Rulemaking (a) The exchange has rules, policies, and other similar instruments (Rules) that are designed to appropriately govern and
regulate the operations and activities of participants. (b) In addition to meeting the requirements of NI 21-101 relating to market operations and exchange rules, policies and
other similar instruments as referred to in paragraphs 1.1(b) and (c) of this Schedule, respectively, the Rules are also designed to
(i) ensure a fair and orderly market; and (ii) provide a framework for disciplinary and enforcement actions.
PART 6 DUE PROCESS 6.1 Due Process For any decision made by the exchange that affects a participant, or an applicant to be a participant, including a decision in relation to access, exemptions, or discipline, the exchange ensures that: (a) parties are given an opportunity to be heard or make representations, and (b) it keeps a record of, gives reasons for and provides for appeals or reviews of its decisions. PART 7 CLEARING AND SETTLEMENT 7.1 Clearing and Settlement The exchange has appropriate arrangements for the clearing and settlement of trades. PART 8 SYSTEMS AND TECHNOLOGY 8.1 Information Technology Risk Management Procedures The exchange has appropriate risk management procedures in place including those that handle trading errors, trading halts and circuit breakers. PART 9 FINANCIAL VIABILITY 9.1 Financial Viability The exchange has sufficient financial resources for the proper performance of its functions and to meet its responsibilities.
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PART 10 FEES 10.1 Fees (a) All fees imposed by the exchange are reasonable and equitably allocated and are consistent with the requirements in
Ontario securities laws, including those requirements listed in paragraphs 1.1(a) and (e) of this Schedule. (b) The process for setting fees is fair and appropriate, and the fee model is transparent. PART 11 INFORMATION SHARING AND REGULATORY COOPERATION 11.1 Information Sharing and Regulatory Cooperation The exchange has mechanisms in place to enable it to share information and otherwise co-operate with the Commission, recognized self-regulatory organizations, other recognized or exempt exchanges, clearing agencies, investor protection funds, and other appropriate regulatory bodies.
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SCHEDULE 2 TERMS AND CONDITIONS APPLICABLE TO NASDAQ CANADA
1. Definitions and Interpretation (a) For the purposes of this Schedule: “accounting principles” means accounting principles as defined in National Instrument 52-107 Acceptable Accounting Principles and Auditing Standards; “Nasdaq Canada dealer” means a dealer that is also a significant shareholder; “Nasdaq Canada marketplace participant” means a marketplace participant of Nasdaq Canada; “affiliated entity” has the meaning ascribed to it in section 1.3 of National Instrument 21-101 Marketplace Operation; “associate” has the meaning ascribed to it in subsection 1(1) of the Act; “Board” means the board of directors of CXCH or Nasdaq Canada, as the context requires; “criteria for recognition” means all the criteria for recognition set out in Schedule 1 to the Order; “Competitor” means a person whose consolidated business, operations or disclosed business plans are in competition, to a significant extent, with the trading functions, market data services or other material lines of business of Nasdaq Canada or its affiliated entities; “dealer” means “investment dealer”, as that term is defined in section 1.1 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registration Obligations; “IIROC” means the Investment Industry Regulatory Organization of Canada; “marketplace” has the meaning ascribed to it in subsection 1(1) of the Act; “marketplace participant” has the meaning ascribed to it in section 1.1 of NI 21-101; “Nominating Committee” means the committee established by CXCH pursuant to section 28 of Schedule 3; “officer” has the meaning ascribed to it in subsection 1(1) of the Act; “Regulatory Oversight Committee” means the committee established by Nasdaq Canada pursuant to section 7 of this Schedule; “Rule” means a rule, policy, or other similar instrument of Nasdaq Canada; “significant shareholder” means a person or company that beneficially owns or controls directly more than 5% of any class or series of voting shares of Nasdaq. “unaudited consolidated financial statements” means financial statements that are prepared in the same manner as audited consolidated financial statements except that they are not audited; and “unaudited non-consolidated financial statements” means financial statements that are prepared in the same manner as audited consolidated financial statements, except that
(i) they are not audited; and (ii) investments in subsidiary entities, jointly controlled entities and associates are accounted for as specified for
separate financial statements in International Accounting Standard 27 Separate Financial Statements.
(b) For the purposes of this Schedule, an individual is independent if the individual is “independent” within the meaning of section 1.4 of National Instrument 52-110 Audit Committees, as amended from time to time, but is not independent if the individual:
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(i) is a partner, officer, director or employee of a Nasdaq Canada marketplace participant, or of an affiliated entity of a Nasdaq Canada marketplace participant, who is responsible for or is actively engaged in the day- to-day operations or activities of that Nasdaq Canada marketplace participant;
(ii) is an officer or an employee of CXCH or any of its affiliated entities; (iii) is a partner, officer or employee of Nasdaq, Inc. or an associate of that partner, officer or employee; (iv) is a director of Nasdaq or an associate of that director; (v) is a person who owns or controls, or is the officer or employee of a person or company that owns or controls,
directly or indirectly, more than 5% of the shares of CXCH; (vi) is a director of a person or company that beneficially owns or controls, directly or indirectly, more than 5% of
any class or series of voting shares of Nasdaq; or (vii) has any relationship with Nasdaq or a person or company that owns or controls, directly or indirectly, more
than 5% of the shares of CXCH, that could, in the view of the Nominating Committee, having regard to all relevant circumstances, be reasonably perceived to interfere with the exercise of his or her independent judgment as a director of CXCH or Nasdaq Canada.
(c) For the purposes of paragraph (b), the Nominating Committee may waive the restrictions set out in subparagraphs
(b)(iv) and (b)(vi) provided that:
(i) the individual being considered does not have, and has not had, any relationship with Nasdaq, Inc. that could, in the view of the Nominating Committee, having regard to all relevant circumstances, be reasonably perceived to interfere with the exercise of his or her independent judgement as a director of Nasdaq Canada or CXCH;
(ii) Nasdaq Canada publicly discloses the use of the waiver with reasons why the particular candidate was
selected; (iii) Nasdaq Canada provides advance notice to the Commission, at least 15 business days before the public
disclosure in sub-paragraph (c)(ii) is made, and (iv) the Commission does not object within 15 business days of its receipt of the notice provided under sub-
paragraph (c)(iii) above.
2. Public Interest Responsibilities (a) Nasdaq Canada shall conduct its business and operations in a manner that is consistent with the public interest. (b) The mandate of the Board shall expressly include regulatory and public interest responsibilities of Nasdaq Canada. 3. Share Ownership Restrictions (a) Without the prior approval of the Commission, and subject to terms and conditions considered appropriate by the
Commission, no person or company and no combination of persons or companies acting jointly or in concert shall beneficially own or exercise control or direction over more than 10% or more than 50% respectively of any class or series of voting shares of Nasdaq Canada.
(b) The articles of Nasdaq Canada shall contain the share ownership restrictions and provisions respecting the
enforcement of such restrictions which, without limiting the foregoing, may provide for the filing of declarations, the suspension of voting rights, the forfeiture of dividends, the refusal of the issue or registration of voting shares and the sale or redemption of voting shares held contrary to the restrictions and payment of net proceeds of the sale or redemption to the person entitled thereto.
4. Recognition Criteria Nasdaq Canada shall continue to meet the criteria for recognition set out in Schedule 1 to the Order.
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5. Fitness In order to ensure that Nasdaq Canada operates with integrity and in the public interest, Nasdaq Canada will take reasonable steps to ensure that each person or company that is a director or officer of Nasdaq Canada, is a fit and proper person and the past conduct of each person or company that is a director or officer of Nasdaq Canada affords reasonable grounds for belief that the business of Nasdaq Canada will be conducted with integrity. Each director and officer of Nasdaq Canada must be a fit and proper person. 6. Board of Directors (a) Nasdaq Canada shall ensure that at least 50% of its Board members are independent. (b) The Chair of the Board shall be independent. (c) In the event that Nasdaq Canada fails to meet the requirement in paragraph (a) of this section, it shall immediately
advise the Commission and take appropriate measures to promptly remedy such failure. (d) Nasdaq Canada shall ensure that its Board is subject to requirements that the quorum for the Board consists of a
majority of the Board members, at least 50% of whom shall be independent directors. 7. Regulatory Oversight Committee (a) Nasdaq Canada shall establish and maintain a Regulatory Oversight Committee that, at a minimum:
(i) is made up of at least three directors, a majority of whom shall be independent; (ii) reviews and decides, or makes recommendations to the Board, on proposed regulations and rules that must
be submitted to the Commission for review and approval under Schedule 5 Process for the Review and Approval of Rules and the Information Contained in Form 21-101F1 and the Exhibits Thereto of this Order;
(iii) considers real or perceived conflicts of interest that may arise, including but not limited to the following
contexts:
(A) ownership interests in CXCH by any Nasdaq Canada marketplace participant with representation on the Board of CXCH or the Board of Nasdaq Canada,
(B) significant changes in ownership of Nasdaq Canada and CXCH, and (C) the profit-making objective and the public interest responsibilities of Nasdaq Canada, including
general oversight of the management of the regulatory and public interest responsibilities of Nasdaq Canada.
(iv) oversees the establishment of mechanisms to avoid and appropriately manage conflicts of interest or potential
conflicts of interest, perceived or real, including any policies and procedures that are developed by Nasdaq Canada and CXCH, including those that are required to be established pursuant to the Schedules of the Order;
(v) monitors the operation of mechanisms that deal with conflicts of interest, including oversight of reporting of
conflicts of interest by Nasdaq Canada and CXCH; (vi) reviews regularly, and at least annually, the effectiveness of the policies and procedures regarding conflicts of
interest; (vii) annually prepares a written report examining the avoidance and management of conflicts of interest, the
mechanisms used and the effectiveness of those mechanisms and provides the report to the Board promptly, and to the Commission within 30 days of providing it to its Board;
(viii) reports in writing directly to the Commission on any matter that the Regulatory Oversight Committee deems
appropriate or that is required by the Commission without first requiring Board approval for such reporting; (ix) has a requirement that the quorum consist of a majority of the Regulatory Oversight Committee members, a
majority of whom shall be independent.
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(b) The mandate of the Regulatory Oversight Committee shall be publicly available on the website of Nasdaq Canada. (c) The Regulatory Oversight Committee shall provide to the Commission meeting materials provided to the Regulatory
Oversight Committee members in conjunction with each meeting, within 30 days after any meeting it held, and will include a list of the matters considered and a detailed summary of the Regulatory Oversight Committee’s considerations, how those matters were addressed and any other information required by the Commission.
(d) The Regulatory Oversight Committee shall provide such information as may be required by the Commission from time
to time. 8. Conflicts of Interest and Confidentiality Procedures (a) Nasdaq Canada shall establish, maintain and require compliance with policies and procedures that:
(i) identify and manage any conflicts of interest or potential conflicts of interest, real or perceived, arising from the operation of the marketplace or the services it provides including, but not limited to, the following:
(A) conflicts of interest or potential conflicts of interest that arise from the involvement of any partner,
director, officer or employee of a significant shareholder in the management or oversight of the exchange operations or regulation functions of Nasdaq Canada and the services or products it provides;
(B) conflicts of interest or potential conflicts of interest that arise from any interactions between Nasdaq
Canada and a significant shareholder where Nasdaq Canada may be exercising discretion that involves or affects the significant shareholder either directly or indirectly, and
(C) conflicts of interest or potential conflicts of interest that arise between the regulation functions and the
business activities of Nasdaq Canada; and (ii) require that confidential information regarding marketplace operations, regulation functions, or a Nasdaq
Canada marketplace participant that is obtained by a partner, director, officer or employee of a significant shareholder through that individual’s involvement in the management or oversight of marketplace operations or regulation functions of Nasdaq Canada:
(A) be kept separate and confidential from the business or other operations of the significant shareholder
and its affiliated entities, except with respect to information regarding marketplace operations where disclosure is necessary to carry out the individual’s responsibilities for the management or oversight of marketplace operations and the individual can and does exercise due care in his or her disclosure of the information, and
(B) not be used to provide an advantage to the significant shareholder or its affiliated entities.
(b) The policies established in accordance with paragraph 8(a) shall be made publicly available on the website of Nasdaq
Canada. (c) Nasdaq Canada shall regularly review compliance with the policies and procedures established in accordance with
paragraph 8(a) and shall document each review, and any deficiencies, and how those deficiencies were remedied. A report detailing review(s) conducted shall be provided to the Commission on an annual basis.
9. Access Nasdaq Canada’s requirements shall provide access to the facilities of Nasdaq Canada only to properly registered investment dealers that are members of IIROC and satisfy reasonable access requirements established by Nasdaq Canada, except with respect to access to Nasdaq Fixed Income by Canadian permitted clients, as defined in National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations. 10. Regulation of Nasdaq Canada Marketplace Participants (a) Nasdaq Canada shall establish, maintain and require compliance with policies and procedures that effectively monitor
and enforce the Rules against Nasdaq Canada marketplace participants, either directly or indirectly through a regulation services provider.
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(b) Nasdaq Canada has retained and shall continue to retain IIROC as a regulation services provider to provide, as agent for Nasdaq Canada, certain regulation services that have been approved by the Commission. Nasdaq Canada shall obtain approval of the Commission before amending the listed services provided by IIROC. Nasdaq Canada shall annually provide the Commission with a list of the regulation functions performed by Nasdaq Canada and the regulation functions performed by IIROC.
(c) Nasdaq Canada shall perform all other regulation functions not performed by IIROC, and shall maintain adequate
staffing, systems and other resources in support of those functions. Nasdaq Canada shall obtain prior Commission approval before outsourcing such regulation functions to any party, including affiliated entities or associates of Nasdaq Canada.
(d) Nasdaq Canada shall notify the Commission of any violations of Ontario securities law of which it becomes aware in
the ordinary course of its business or otherwise. 11. Rules, Rulemaking and Form 21-101F1 Nasdaq Canada shall comply with the process for review and approval of Rules and the information contained in Form 21-101F1 and the exhibits thereto, as set out in Schedule 5, as amended from time to time. 12. Due Process (a) Nasdaq Canada shall ensure that the requirements of Nasdaq Canada relating to access to the trading facilities of
Nasdaq Canada, the imposition of limitations or conditions on access, and denial of access are fair and reasonable, including in respect of notice, an opportunity to be heard or make representations, the keeping of a record, the giving of reasons and the provisions of appeals.
13. Fees, Fee Models And Incentives (a) Nasdaq Canada shall not, through any fee schedule, any fee model or any contract, agreement or other arrangement
with any marketplace participant or any other person or company, provide: (i) any discount, rebate, allowance, price concession or other similar arrangement that is accessible only to,
whether as designed or by implication, a particular marketplace participant or any other particular person or company, or
(ii) any discount, rebate, allowance, price concession or other similar arrangement for any service or product
offered by Nasdaq Canada or Nasdaq and its affiliated entities and significant shareholders that is conditional upon:
(A) the requirement to have Nasdaq Canada be set as the default or first marketplace a marketplace
participant routes orders to, or (B) the router of Nasdaq Canada being used as the marketplace participant’s primary order router.
(b) Except with the prior approval of the Commission, Nasdaq Canada shall not, through any fee schedule, any fee model
or any contract, agreement or other arrangement with any marketplace participant or any other person or company, provide: (i) any discount, rebate, allowance, price concession or other similar arrangement on any services or products
offered by Nasdaq Canada or Nasdaq and its affiliated entities and significant shareholders that is conditional upon the purchase of any other service or product provided by Nasdaq Canada or Nasdaq or any affiliated entity, or
(ii) any discount, rebate, allowance, price concession or other similar arrangement that is accessible only to,
whether as designed or by implication, a class of marketplace participants or of any other persons or companies.
(c) Except with the prior approval of the Commission, Nasdaq Canada shall not require another person or company to
purchase or otherwise obtain products or services from Nasdaq Canada or Nasdaq and its affiliated entities and significant shareholders as a condition of Nasdaq Canada supplying or continuing to supply a product or service.
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(d) If the Commission considers that it would be in the public interest, the Commission may require Nasdaq Canada to submit for approval by the Commission a fee, fee model or incentive that has previously been filed with and/or approved by the Commission.
(e) Where the Commission decides not to approve the fee, fee model or incentive submitted under paragraph (d), any
previous approval for the fee, fee model or incentive shall be revoked, if applicable, and Nasdaq Canada shall no longer be permitted to offer the fee, fee model or incentive.
(f) Any fee, fee model or incentive, or amendment thereto, shall be filed in accordance with the Rule and Form 21-101F1
Filing Protocol attached as Schedule 5. 14. Order Routing Nasdaq Canada shall not support, encourage or incent, either through fee incentives or otherwise, Nasdaq Canada marketplace participants, Nasdaq affiliated entities or significant shareholders to coordinate the routing of their orders to Nasdaq Canada. 15. Financial Reporting (a) Within 90 days of its financial year end, Nasdaq Canada shall deliver to the Commission audited consolidated financial
statements and unaudited non-consolidated financial statements without notes for its latest financial year. (b) Within 60 days of each quarter end, Nasdaq Canada shall deliver to the Commission unaudited consolidated financial
statements and unaudited non-consolidated financial statements without notes for its latest financial quarter. (c) Nasdaq Canada shall deliver to the Commission its annual financial budget, together with the underlying assumptions,
that has been approved by its Board, within 30 days from the commencement of each fiscal year. 16. Financial Viability Monitoring And Reporting (a) Nasdaq Canada shall calculate the following financial ratios monthly:
(i) a current ratio, being the ratio of current assets to current liabilities; (ii) a debt to cash flow ratio, being the ratio of total debt (including any line of credit draw downs, and the current
and long-term portions of any loans, but excluding accounts payable, accrued expenses and other liabilities) to EBITDA (earnings before interest, taxes, stock-based compensation, depreciation and amortization) for the most recent 12 months; and
(iii) a financial leverage ratio, being the ratio of total assets to shareholders’ equity, in each case following the same accounting principles as those used for the unaudited non-consolidated financial statements of Nasdaq Canada.
(b) Nasdaq Canada shall report quarterly in writing to the Commission, along with the financial statements required to be
delivered pursuant to this Schedule, the monthly calculations for the previous quarter of the financial ratios as required to be calculated under paragraph (a).
(c) If Nasdaq Canada determines that it does not have, or anticipates that, in the next twelve months, it will not have:
(i) a current ratio of greater than or equal to 1.1/1, (ii) a debt to cash flow ratio of less than or equal to 4.0/1, or (iii) a financial leverage ratio of less than or equal to 4.0/1, it will immediately notify Commission staff of the above ratio(s) that it is not maintaining, the reasons, along with an estimate of the length of time before the ratio(s) will be met.
(d) Upon receipt of a notification made by Nasdaq Canada under paragraph (c), the Commission may, as determined
appropriate, impose any of the terms and conditions set out in paragraph (e) below. (e) If Nasdaq Canada’s current ratio, debt to cash flow ratio or financial leverage ratio falls below the levels outlined in
subparagraphs 16(c)(i), 16(c)(ii) and 16(c)(iii) above for a period of more than three months, Nasdaq Canada will:
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(i) immediately deliver a letter advising the Commission staff of the reasons for the continued ratio deficiencies and the steps being taken to rectify the situation;
(ii) deliver to Commission staff, on a monthly basis, within 30 days of the end of each month:
(A) unaudited monthly financial statements and a status update on any pending capital raising
transaction(s) including the amount, terms and name(s) of individuals/entities that have committed to providing funding and their commitment,
(B) a comparison of the monthly revenues and expenses incurred by Nasdaq Canada against the
projected monthly revenues and expenses included in Nasdaq Canada’s most recently updated budget for that fiscal year,
(C) for each revenue item whose actual amount was significantly lower than its projected amount, and for
each expense item whose actual amount was significantly higher than its projected amount, the reasons for the variance, and
(D) a calculation of the current ratio, debt to cash flow ratio and financial leverage ratio for the month;
(iii) prior to making any type of payment to any director, officer, affiliated entity or shareholder that is in excess of the amount included in the most recent annual financial budget delivered to Commission staff, demonstrate to the satisfaction of the Commission staff that it will have sufficient financial resources to continue its operations after the payment; and
(iv) adhere to any additional terms and conditions imposed by the Commission or its staff, as determined
appropriate, on Nasdaq Canada, until such time as Nasdaq Canada has maintained each of its current ratio, debt to cash flow ratio and financial leverage ratio at the levels set out in subparagraphs 16(c)(i), 16(c)(ii) and 16(c)(iii) for a period of at least 6 consecutive months.
17. Additional Information (a) Nasdaq Canada shall provide the Commission with:
(i) the information set out in Appendix A to this Schedule, as amended from time to time; and (ii) any information required to be provided by Nasdaq Canada to IIROC, including all order and trade
information, as required by the Commission. 18. Compliance Nasdaq Canada shall carry out its activities as an exchange recognized under section 21 of the Act and in compliance with Ontario securities law. 19. Provision Of Information (a) Nasdaq Canada shall, and shall cause its affiliated entities, to promptly provide to the Commission, on request, any
and all data, information and analyses in the custody or control of Nasdaq Canada or any of its affiliated entities, without limitations, redactions, restrictions or conditions, including, without limiting the generality of the foregoing: (i) data, information and analyses relating to all of its or their businesses; and (ii) data, information and analyses of third parties in its or their custody or control.
(b) Nasdaq Canada shall share information and otherwise cooperate with other recognized or exempt exchanges, recognized self-regulatory organizations, recognized or exempt clearing agencies, investor protection funds, and other appropriate regulatory bodies.
20. Compliance With Terms And Conditions (a) Nasdaq Canada shall certify in writing to the Commission, in a certificate signed by its CEO and either its general
counsel or chief compliance officer, within one year of the effective date of its recognition as an exchange pursuant to
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this Order and every year subsequent to that date, or at any times required by the Commission, that it is in compliance with the terms and conditions applicable to it in the Order and describe in detail: (i) the steps taken to require compliance; (ii) the controls in place to verify compliance; (iii) the names and titles of employees who have oversight of compliance.
(b) If Nasdaq Canada or any of its directors, officers or employees become aware of a breach or a possible breach of any of the terms and conditions applicable to Nasdaq Canada under the Schedules to the Order, such person shall, within five business days after becoming aware of the breach or possible breach (or within two business days in the case of a breach or possible breach of the financial ratios required by section 16(c)), notify the Regulatory Oversight Committee of the breach or possible breach. The director, officer or employee of the recognized exchange shall provide to the Regulatory Oversight Committee details sufficient to describe the nature, date and effect (actual and anticipated) of the breach or possible breach.
(c) The Regulatory Oversight Committee shall, within five business days after being notified of the breach or possible
breach (or within two business days in the case of a breach or possible breach of the financial ratios required by section 16(c)), notify the Commission and confirm that the breach or possible breach is under investigation as required by section 20(d).
(d) The Regulatory Oversight Committee shall promptly cause to be conducted an investigation of the breach or possible
breach reported under section 20(b). Once the Regulatory Oversight Committee has made a determination as to whether there has been a breach, or that there is an impending breach, of any terms and conditions applicable to Nasdaq Canada under the Schedules to the Order, the Regulatory Oversight Committee shall, within five business days of such determination (or within two business days in the case of a determination involving a breach or possible breach of the financial ratios required by section 16(c)), notify the Commission of its determination and shall provide details sufficient to describe the nature, date and effect (actual and anticipated) of the breach or impending breach, and any actions that will be taken to address it.
21. Listings Except with the prior approval of the Commission, no securities shall be listed on Nasdaq Canada.
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APPENDIX A ADDITIONAL REPORTING OBLIGATIONS
1. Ad Hoc (a) Immediate notification of a decision to enter into a definitive agreement (including a binding letter of intent),
memorandum of understanding or other similar agreement with any governmental or regulatory body, self-regulatory organization, clearing agency, stock exchange, other marketplace or market, except in the case where the agreement or arrangement: (i) is primarily intended to restrict the use or disclosure of confidential information, (ii) is primarily for the purpose of facilitating discussions in connection with a possible definitive agreement, (iii) is necessary to support the provision of the existing exchange services, (iv) relates to the provision of the existing exchange services and is also subject to the standard form agreements of the exchange (for example, data subscription agreements, etc.), or (v) relates to a business line other than exchange services.
(b) Any plans by Nasdaq Canada to enter into new businesses (directly or indirectly, including joint ventures) or to cease
existing businesses, promptly after the Board has made the decision to implement those plans. (c) Immediate notification of:
(i) the appointment of any new director or officer of Nasdaq Canada, including a description of the individual’s
employment history; and (ii) the receipt of notice of resignation from, or the resignation of, a director or officer or the auditor of Nasdaq
Canada, including a statement of the reasons for the resignation.
(d) Any minutes of the meetings of Board and Board committees of Nasdaq Canada, promptly after their approval. (e) Immediate notification if Nasdaq Canada:
(i) becomes the subject of any order, directive or similar action of a governmental or regulatory authority; (ii) becomes aware that it is the subject of a criminal or regulatory investigation; or (iii) becomes, or it is notified in writing that it will become, the subject of a material lawsuit.
(f) Any strategic plan for Nasdaq Canada, within 30 days of approval by the Board. (g) Any filings made by Nasdaq Canada with a Canadian securities regulatory authority pursuant to a recognition order,
exemption order or NI 21-101, filed concurrently. (h) Copies of all notices, bulletins and similar forms of communication that Nasdaq Canada sends to the Nasdaq Canada
marketplace participants. (i) Prompt notification of any application for exemption or waiver from Nasdaq Canada requirements received from a
significant shareholder or any of its affiliated entities. 2. Quarterly Reporting (a) A list of the internal audit reports and risk management reports issued in the previous quarter that relate to the
operations and business of Nasdaq Canada, if such reports are produced. (b) A quarterly report summarizing all exemptions or waivers granted during the period pursuant to the Rules to any
Nasdaq Canada marketplace participant, which shall include the following information: (i) the name of the Nasdaq Canada marketplace participant; (ii) the type of exemption or waiver granted during the period; (iii) the date of the exemption or waiver; and (iv) a description of the recognized exchange’s reason for the decision to grant the exemption or waiver.
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(c) A quarterly report summarizing instances where conflicts of interest or potential conflicts of interest with respect to Competitors have been identified by Nasdaq Canada and how such conflicts were addressed.
3. Annual Reporting At least annually, an assessment of the risks, including business risks, facing Nasdaq Canada and the plan for addressing such risks.
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SCHEDULE 3 TERMS AND CONDITIONS APPLICABLE TO CXCH
22. Definitions and Interpretation Terms used in this Schedule have the same meanings and interpretation as in section 1 of Schedule 2. In addition: 23. Public Interest Responsibilities (a) CXCH shall conduct its business and operations in a manner that is consistent with the public interest. (b) The mandate of the Board shall expressly include CXCH’s regulatory and public interest responsibilities. 24. Share Ownership Restrictions (a) Without the prior approval of the Commission, and subject to terms and conditions considered appropriate by the
Commission, no person or company and no combination of persons or companies acting jointly or in concert shall beneficially own or exercise control or direction over more than 10% or more than 50% respectively of any class or series of voting shares of CXCH.
(b) The articles of CXCH shall contain the share ownership restrictions and provisions respecting the enforcement of such
restrictions which, without limiting the foregoing, may provide for the filing of declarations, the suspension of voting rights, the forfeiture of dividends, the refusal of the issue or registration of voting shares and the sale or redemption of voting shares held contrary to the restrictions and payment of net proceeds of the sale or redemption to the person entitled thereto.
25. Recognition Criteria CXCH shall continue to meet the criteria for recognition set out in Schedule 1 to the Order. 26. Fitness In order to ensure that CXCH and Nasdaq Canada operate with integrity and in the public interest, CXCH will take reasonable steps to ensure that each person or company that is a director or officer of CXCH is a fit and proper person and the past conduct of each person or company that is a director or officer of CXCH affords reasonable grounds for belief that the business of CXCH and Nasdaq Canada will be conducted with integrity. Each director and officer of CXCH must be a fit and proper person. 27. Board of Directors (a) CXCH shall ensure that at least 50% of its Board members are independent. (b) The Chair of the Board shall be independent. (c) In the event that CXCH fails to meet the requirement in paragraph (a) of this section, it shall immediately advise the
Commission and take appropriate measures to remedy such failure. (d) CXCH shall ensure that its Board is subject to requirements that the quorum for the Board consists of a majority of the
Board members, at least 50% of whom shall be independent. 28. Nominating Committee CXCH shall maintain a Nominating Committee that, at a minimum: (a) is made up of at least three directors, a majority of whom shall be independent, and has an independent Chair; (b) confirms the status of a nominee to the Board as independent before the name of the individual is submitted to
shareholders as a nominee for election to the Board; (c) confirms, on an annual basis, that the status of the directors that are independent has not changed; (d) assesses and approves all nominees of management to the Board; and
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(e) has a requirement that the quorum consist of a majority of the Nominating Committee members, a majority of whom shall be independent.
29. Conflicts of Interest and Confidentiality Procedures (a) CXCH shall establish, maintain and require compliance with policies and procedures that:
(i) identify and manage any conflicts of interest or potential conflicts of interest, perceived or real, arising from its
ownership interest in Nasdaq Canada, and (ii) require that confidential information regarding marketplace operations, regulation functions, or a Nasdaq
Canada marketplace participant that is obtained by a partner, director, officer or employee of CXCH or Nasdaq through that individual’s involvement in the management or oversight of the marketplace operations or regulation functions of Nasdaq Canada: (A) be kept separate and confidential from the business or other operations of the partner, director,
officer or employee of CXCH or Nasdaq, except with respect to information regarding marketplace operations where disclosure is necessary to carry out the individual’s responsibilities for the management or oversight of marketplace operations and the individual can and does exercise due care in his or her disclosure of the information, and
(B) not be used to provide an advantage to the partner, director, officer or employee of CXCH or Nasdaq
or Nasdaq’s affiliated entities, provided that nothing in this section 29(a)(ii) shall be construed to limit CXCH or Nasdaq Canada from providing to Nasdaq necessary information. CXCH shall cause Nasdaq Canada to mandate that each Nasdaq Canada dealer and affiliated entity of a Nasdaq Canada dealer carrying on a securities business in Canada in reliance on a securities registration or exemption therefrom disclose its relationship with Nasdaq Canada to clients whose orders might be, and clients whose orders have been, routed to Nasdaq Canada.
(b) CXCH shall regularly review compliance with the policies and procedures established in accordance with section 29(a)
and shall document each review and any deficiencies and how those deficiencies were remedied. A report detailing the review(s) conducted shall be provided to the Commission on an annual basis.
(c) The policies established in accordance with section 29(a) shall be made publicly available on the website of CXCH or
Nasdaq Canada. 30. Allocation of Resources (a) CXCH shall, for so long as Nasdaq Canada carries on business as an exchange, allocate sufficient financial and other
resources to Nasdaq Canada to ensure that Nasdaq Canada can carry out its functions in a manner that is consistent with the public interest and in compliance with Ontario securities law.
(b) CXCH shall notify the Commission immediately upon being aware that it is or will be unable to allocate sufficient
financial and other resources, as required under paragraph (a), to Nasdaq Canada. 31. Fees, Fee Models and Incentives (a) CXCH shall ensure that its affiliated entities, including Nasdaq Canada, do not, through any fee schedule, any fee
model or any contract, agreement or other arrangement with any marketplace participant or any other person, significant shareholder or company, provide:
(i) any discount, rebate, allowance, price concession or other similar arrangement on any services or products
offered by Nasdaq Canada or Nasdaq and its affiliated entities and significant shareholders that is conditional upon the purchase of any other service or product provided by the affiliated entity; or
(ii) any discount, rebate, allowance, price concession or other similar arrangement that is accessible only to,
whether as designed or by implication, a class of marketplace participants or of any other persons or companies,
unless prior approval has been granted by the Commission.
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(b) CXCH shall ensure that Nasdaq Canada does not require a person or company to purchase or otherwise obtain products or services from Nasdaq Canada or Nasdaq and its affiliated entities and significant shareholders as a condition of Nasdaq Canada supplying or continuing to supply a product or service unless prior approval has been granted by the Commission.
(c) CXCH shall ensure that Nasdaq Canada or Nasdaq and its affiliated entities and significant shareholders do not require
another person, significant shareholder or company to obtain products or services from Nasdaq Canada as a condition of the affiliated entity supplying or continuing to supply a product or service.
32. Order Routing CXCH shall not support, encourage or incent, either through fee incentives or otherwise, Nasdaq Canada marketplace participants, Nasdaq affiliated entities or significant shareholders to coordinate the routing of their order to Nasdaq Canada. 33. Financial Reporting
(a) Within 90 days of its financial year end, CXCH shall deliver to the Commission audited consolidated financial statements and unaudited non-consolidated financial statements without notes for its latest financial year.
(b) Within 60 days of each quarter end, CXCH shall deliver to the Commission unaudited consolidated financial statements
and unaudited non-consolidated financial statements without notes for its latest financial quarter. (c) CXCH shall deliver to the Commission its annual financial budget, together with the underlying assumptions, that has
been approved by its Board, within 30 days from the commencement of each fiscal year. 34. Prior Commission Approval CXCH shall obtain prior Commission approval of any changes to any agreement between CXCH and its significant shareholders. 35. Reporting Requirements CXCH shall provide the Commission with the information set out in Appendix B to this Schedule, as amended from time to time. 36. Compliance With Terms and Conditions (a) CXCH shall certify in writing to the Commission, in a certificate signed by its CEO and either its Chairman of the Board,
general counsel or chief compliance officer, within one year of the effective date of its recognition as an exchange pursuant to this Order and every year subsequent to that date, or at any times required by the Commission, that it is in compliance with the terms and conditions applicable to it in the Order and describe in detail: (i) the steps taken to require compliance; (ii) the controls in place to verify compliance; and (iii) the names and titles of employees who have oversight of compliance.
(b) If CXCH or any of its directors, officers or employees become aware of a breach or a possible breach of any of the terms and conditions applicable to CXCH under the Schedules to the Order, such person shall, within five business days after becoming aware of the breach or possible breach, notify the Board or committee designated by the Board and approved by the Commission of the breach or possible breach. The director, officer or employee of the recognized exchange shall provide to the Board or committee designated by the Board details sufficient to describe the nature, date and effect (actual and anticipated) of the breach or possible breach.
(c) The Board or committee designated by the Board shall, within five business days after being notified of the breach or
possible breach, notify the Commission and confirm that the breach or possible breach is under investigation as required by section 36(d).
(d) The Board or committee designated by the Board shall promptly cause to be conducted an investigation of the breach
or possible breach reported under section 36(b). Once the Board or committee designated by the Board has made a determination as to whether there has been a breach, or that there is an impending breach, of any terms and conditions applicable to CXCH under the Schedules to the Order, the Board or committee designated by the Board shall, within five business days of such determination, notify the Commission of its determination and shall provide details sufficient to describe the nature, date and effect (actual and anticipated) of the breach or impending breach, and any actions that will be taken to address it.
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APPENDIX B ADDITIONAL REPORTING OBLIGATIONS
1. Ad Hoc (a) Immediate notification of a decision to enter into a definitive agreement (including a binding letter of intent),
memorandum of understanding or other similar agreement with any governmental or regulatory body, self-regulatory organization, clearing agency, stock exchange, other marketplace or market, except in the case where the agreement or arrangement: (i) is primarily intended to restrict the use or disclosure of confidential information, (ii) is primarily for the purpose of facilitating discussions in connection with a possible definitive agreement, (iii) is necessary to support the provision of the existing exchange services, (iv) relates to the provision of the existing exchange services and is also subject to the standard form agreements of the exchange (for example, data subscription agreements, etc.), or (v) relates to a business line other than exchange services.
(b) Any plans by CXCH to enter into new businesses (directly or indirectly, including joint ventures) or to cease existing
businesses, promptly after the Board has made the decision to implement those plans. (c) Immediate notification of:
(i) the appointment of any new director or officer of CXCH, including a description of the individual’s employment
history; and (ii) the receipt of notice of resignation from, or the resignation of, a director or officer or the auditor of CXCH,
including a statement of the reasons for the resignation.
(d) Any minutes of the meetings of Board and Board committees of CXCH, promptly after their approval. (e) Immediate notification if CXCH:
(i) becomes the subject of any order, directive or similar action of a governmental or regulatory authority; (ii) becomes aware that it is the subject of a criminal or regulatory investigation; or (iii) becomes, or it is notified in writing that it will become, the subject of a material lawsuit.
(f) Immediate notification if Nasdaq becomes, or it is notified in writing that it will become, the subject of a criminal, administrative or regulatory proceeding.
(g) Any strategic plan for CXCH, within 30 days of approval by the Board. (h) Any filings made by CXCH with a Canadian securities regulatory authority pursuant to a recognition order, exemption
order or NI 21-101, filed concurrently. 2. Quarterly Reporting A list of the internal audit reports and risk management reports issued in the previous quarter that relate to the operations and business of CXCH and Nasdaq Canada, if such reports are produced. 3. Annual Reporting At least annually, or more frequently if required by the Commission, an assessment of the risks, including business risks, facing CXCH and Nasdaq Canada and the plan for addressing such risks.
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SCHEDULE 4 TERMS AND CONDITIONS APPLICABLE TO NASDAQ AND SIGNIFICANT SHAREHOLDERS
37. Definitions and Interpretation Terms used in this Schedule have the same meanings and interpretation as in section 1 of Schedule 2. 38. Public Interest Responsibilities Nasdaq shall ensure that Nasdaq Canada and CXCH conduct the business and operations of recognized exchanges in a manner that is consistent with the public interest. 39. Fitness Nasdaq shall take reasonable steps to ensure that each director and officer of Nasdaq Canada and CXCH is a fit and proper person. As part of those steps, Nasdaq shall consider whether the past conduct of each director or officer affords reasonable grounds for belief that the business of Nasdaq Canada and CXCH will be conducted with integrity and in a manner that is consistent with the public interest responsibilities of Nasdaq Canada and CXCH. 40. Conflicts of Interest and Confidentiality Procedures (a) Nasdaq shall establish, maintain and require compliance with policies and procedures that:
(i) identify and manage any conflicts of interest or potential conflicts of interest, real or perceived, arising from the
involvement of a nominee of Nasdaq or a significant shareholder of Nasdaq on the Board of CXCH or Nasdaq Canada in the management or oversight of the marketplace operations or regulation functions of Nasdaq Canada, and
(ii) require that confidential information regarding marketplace operations or regulation functions, or regarding a
Nasdaq Canada marketplace participant that is obtained by such nominee on the Board of Nasdaq Canada or CXCH:
(A) be kept separate and confidential from the business or other operations of such significant
shareholder, except with respect to where disclosure is necessary to carry out the individual’s responsibilities for the management or oversight of exchange operations and the individual can and does exercise due care in his or her disclosure of the information, and
(B) not be used to provide an advantage to Nasdaq, its significant shareholder or affiliated entities, provided that nothing in this section 40(a)(ii) shall be construed to limit CXCH or Nasdaq Canada from providing to Nasdaq necessary information.
(b) Nasdaq shall establish, maintain and require compliance, or ensure that its affiliated entities that are dealers, if any,
establish, maintain or require compliance with policies and procedures that identify and manage any conflicts of interest or potential conflicts of interest, real or perceived, arising from its ownership interest in CXCH, and indirectly in Nasdaq Canada, including, but not limited to, conflicts of interest or potential conflicts of interest that arise from any interactions between either of Nasdaq Canada and Nasdaq, Nasdaq Canada or significant shareholders or between Nasdaq Canada and the affiliated entities of Nasdaq that are dealer where Nasdaq Canada may be exercising discretion in the application of its Rules that involves or affects Nasdaq or its affiliated entities either directly and indirectly.
(c) Nasdaq shall regularly review compliance with the policies and procedures established in accordance with paragraphs
(a) and (b), as applicable, and shall document each review of compliance. 41. Allocation of Resources (a) To ensure Nasdaq Canada and CXCH can carry out their functions in a manner that is consistent with the public
interest and in compliance with Ontario securities law, Nasdaq shall, for so long as Nasdaq Canada and CXCH carry on business as exchanges, facilitate the allocation of sufficient financial and non-financial resources for the operations of these exchanges.
(b) Nasdaq shall notify the Commission immediately upon being aware that it is or will be unable to allocate sufficient
financial or other resources to Nasdaq Canada or CXCH, as required under paragraph (a).
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42. Routing and Other Operational Decisions (a) Nasdaq shall not enter into, and shall not cause any of its affiliated entities that are dealers to enter into, any
arrangements, undertakings, commitments, understandings or agreements with CXCH, Nasdaq Canada, or any marketplace participant with respect to coordination of the routing of orders to Nasdaq Canada except with respect to activities that are permitted by the requirements of Nasdaq Canada or IIROC.
(b) Each significant shareholder shall not enter into, and shall not cause any of its affiliated entities that are dealers to
enter into, any arrangements, undertakings, commitments, understandings or agreements with Nasdaq, CXCH, Nasdaq Canada or any marketplace participant with respect to coordination of the routing of orders to Nasdaq Canada, except with respect to activities that are permitted by the requirements of Nasdaq Canada or IIROC.
(c) For greater certainty, paragraph (a) is not intended to prohibit any temporary agreements or coordination between
Nasdaq or affiliated entities of Nasdaq that is a dealer and any other shareholder or affiliated entities of a shareholder that is a dealer or any other person in the event of any failure, malfunction or material delay of the systems or equipment of a marketplace if and to the extent reasonably necessary to protect the integrity and liquidity of capital markets, provided that prior notice of the temporary agreement or coordination is provided to the Commission.
(d) Nasdaq shall not cause any of its affiliated entities to offer or pay any benefit, financial or otherwise to its traders that
would incent such traders to direct their orders to Nasdaq Canada in preference to any other marketplace. (e) No significant shareholder shall cause any of its affiliated entities to offer or pay any benefit, financial or otherwise, to
its traders, if applicable, that would incent such traders to direct their orders to Nasdaq Canada in preference to any other marketplace.
(f) Significant shareholders shall provide a written directive to their traders, if applicable, that they shall not cause routing
decisions to be made based on Nasdaq’s ownership interest in CXCH and Nasdaq Canada. 43. Disclosure To Clients (a) A significant shareholder shall ensure that any affiliated entity that is a Nasdaq Canada marketplace participant shall
disclose its relationship with Nasdaq Canada and CXCH and its affiliated entities to clients whose orders might be, and clients whose orders have been, routed to Nasdaq Canada.
44. Conditional Provision of Products or Services (a) A Nasdaq Canada dealer shall not require another person or company to obtain products or services from Nasdaq
Canada or any of its affiliated entities as a condition of the Nasdaq Canada dealer supplying or continuing to supply a product or service.
(b) Nasdaq shall not cause its dealer affiliated entities to require another person or company to obtain products or services
from Nasdaq Canada or any of its affiliated entities as a condition of the significant shareholder supplying or continuing to supply a product or service.
45. Notification of New Dealer Affiliated Entities Nasdaq shall promptly notify the Commission if it creates or acquires an affiliated entity that is a dealer. 46. Provision of Information Nasdaq shall promptly provide to the Commission, on request, any and all data, information, and analyses in its custody or control related to the business and operations of Nasdaq Canada or CXCH without limitations, redactions, restrictions, or conditions. 47. Certifications (a) Nasdaq shall certify in writing to the Commission, in a certificate signed by its CEO and either its general counsel or
chief compliance officer, within ten days of the date that is one year from the effective date of the recognition of CXCH and Nasdaq Canada as exchanges pursuant to this Order and every year subsequent to that date, or at other times required by the Commission that, based on their knowledge, having exercised reasonable diligence, Nasdaq is in compliance with the terms and conditions applicable to it in this Schedule and describe the steps taken to require compliance.
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(b) Nasdaq shall certify in writing to the Commission, in a certificate signed by its CEO and either its general counsel or chief compliance officer, within ten days of the date that is one year from the effective date of the recognition of CXCH and Nasdaq Canada as exchanges pursuant to this Order and every year subsequent to that date, or at other times required by the Commission, that, based on their knowledge, having exercised reasonable diligence:
(i) Nasdaq is not acting jointly or in concert with any other significant shareholder, or any affiliated entity or
associated thereof, with respect to any voting shares of CXCH; (ii) despite subparagraph (b)(i), Nasdaq may act jointly or in concert with any other shareholders under
arrangements to nominate a director to the board of CXCH or Nasdaq Canada; (iii) Nasdaq has no agreement, commitment or understanding, written or otherwise, with any other significant
shareholder, or any affiliated entity or associate thereof, with respect to the acquisition or disposition of voting shares of CXCH, the exercise of any voting rights attached to any voting shares of CXCH or the coordination of decisions or voting by its nominee director of CXCH (if any) with the decisions or voting by the nominee of any other significant shareholder, other than what is included in the CXCH shareholders’ agreement; and
(iv) since the last certification, Nasdaq has not acted jointly or in concert with any other significant shareholder, or
any affiliated entity or associate thereof, with respect to any voting shares of CXCH, including with respect to the acquisition or disposition of any voting shares of CXCH or the exercise of any voting rights attached to any voting shares of CXCH.
48. Compliance with Terms and Conditions (a) If Nasdaq or its partners, officers, directors or employees becomes aware that there has been a breach or possible
breach of any of the terms and conditions applicable to it under this schedule of the Order, such person shall, promptly after becoming aware of the breach or possible breach, notify the Designated Recipient (as defined below) of the breach or possible breach. The partner, director, officer or employee of Nasdaq shall provide to the Designated Recipient details sufficient to describe the nature, date and effect (actual and anticipated) of the breach or possible breach.
(b) “Designated Recipient” means the person or body that Nasdaq designates as having the responsibilities described in
this section, which may be its Board, audit committee, governance committee (or chairperson of any of the foregoing), General Counsel, Chief Compliance Officer, an ombudsperson specifically designated by Nasdaq to review compliance with corporate policies under Nasdaq’s established whistle-blowing procedures, or, with the approval of the Commission, such other person or committee designated by Nasdaq .
(c) The Designated Recipient shall promptly cause an investigation to be conducted of the breach or possible breach
reported under paragraph (a) and shall promptly provide a report to the Commission and to Nasdaq Canada after concluding such investigation if the Designated Recipient determines that a breach has occurred or that there is an impending breach. Any such report to the Commission by the Designated Recipient shall include details sufficient to describe the nature, date and effect (actual and anticipated) of the breach or impending breach, and any actions that will be taken to address it.
49. Expiry of Terms and Conditions The obligations of Nasdaq to comply with the terms and conditions of this Schedule expire on the later of: (a) the date on which, for a consecutive six month period, Nasdaq owns less than 10% of the number of voting shares of
CXCH that it had beneficially owned or exercised control or direction over at the launch of the recognized exchange, and
(b) the date on which the nominee or partner, officer, director or employee of Nasdaq has ceased to be a director on the
board of CXCH or Nasdaq Canada.
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SCHEDULE 5 PROCESS FOR THE REVIEW AND APPROVAL OF RULES AND
THE INFORMATION CONTAINED IN FORM 21-101F1 AND THE EXHIBITS THERETO 50. Purpose This Protocol sets out the procedures a recognized exchange (Exchange) must follow for any Rule or Change, both as defined in section 51 below, and describes the procedures for their review by Commission Staff (Staff) and approval by the Commission or the Director. 51. Definitions For the purposes of this Protocol: (a) Change means a Fee Change, a Housekeeping Change or a Significant Change. (b) Fee Change means any new fee or fee model of the Exchange and any amendment to a fee or fee model. (c) Housekeeping Change means an amendment to the information in Form 21-101F1 that
(i) does not have an impact on the Exchange’s market structure, members, issuers, investors or the capital
markets, or (ii) is of a housekeeping or administrative nature and is comparable to the types of housekeeping changes listed
in subsection 6.1(5)(b) of Companion Policy 21-101CP.
(d) Housekeeping Rule means a new Rule or an amendment to a Rule that (i) does not have an impact on the Exchange’s market structure, members, issuers, investors or the capital
markets, or (ii) is of a housekeeping or administrative nature and is comparable to the types of housekeeping changes listed
in subsection 6.1(5)(b) of Companion Policy 21-101CP.
(e) Public Interest Rule means a Rule or an amendment to a Rule that is not a Housekeeping Rule. (f) Rule includes a rule, policy and other similar instrument of the Exchange. (g) Significant Change means an amendment to the information in Form 21-101F1 other than
(i) a Housekeeping Change, (ii) a Fee Change, or (iii) a Rule, and for greater certainty includes the matters listed in subsection 6.1(4) of Companion Policy 21-101 CP.
(h) Significant Change subject to Public Comment means a Significant Change that
(i) is listed in paragraphs 6.1(4)(a), (b), (c) or (d) of Companion Policy 21-101 CP, or (ii) in Staff’s view, has an impact on the Exchange’s market structure or members, or on issuers, investors or the
capital markets or otherwise raises public interest concerns and should be subject to public comment. 52. Scope (a) The Exchange and Staff will follow the process for review and approval set out in this Protocol for all Changes, new
Rules and Rule amendments.
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53. Board Approval (a) The Exchange’s board of directors, or a duly authorized committee of the board, must approve all Rules prior to their
submission under this Protocol. 54. Waiving or Varying the Protocol (a) The Exchange may file a written request with Staff to waive or vary any part of this Protocol. The request must provide
reasons why granting the waiver is appropriate in the circumstances. (b) Staff will use their best efforts to provide to the Exchange within five business days of receipt of its request either:
(i) written notice that Staff object to granting the waiver or variation; or (ii) written notice that the waiver or variation has been granted by Staff.
55. Materials to be Filed and Timelines (a) Prior to the implementation of a Fee Change, Public Interest Rule or Significant Change, the Exchange will file with
Staff the following materials: (i) a cover letter that, together with the notice for publication filed under paragraph 55(a)(ii), if applicable, fully
describes: (A) the proposed Fee Change, Public Interest Rule or Significant Change; (B) the expected date of implementation of the proposed Fee Change, Public Interest Rule or Significant
Change; (C) the rationale for the proposal and any relevant supporting analysis; (D) the expected impact of the proposed Fee Change, Public Interest Rule or Significant Change on the
market structure, members and, if applicable, on investors, issuers and the capital markets; (E) whether a proposed Public Interest Rule or Significant Change would increase or decrease systemic
risk in the Canadian financial system and how any increase would be mitigated, if applicable; (F) a discussion of the expected impact of the Fee Change, Public Interest Rule or Significant Change
on the Exchange’s compliance with Ontario securities law and in particular on requirements for fair access and maintenance of fair and orderly markets;
(G) details of any consultations undertaken in formulating the Fee Change, Public Interest Rule or
Significant Change, including the internal governance process followed to approve the Rule or Change;
(H) if the Public Interest Rule or Significant Change will require members and service vendors to modify
their own systems after implementation of the Rule or Change, a reasonable estimate of the amount of time needed to perform the necessary work, or an explanation as to why a reasonable estimate was not provided;
(I) a discussion of any alternatives considered; and (J) if applicable, whether the proposed Fee Change, Significant Change or Public Interest Rule would
introduce a fee model, feature or Rule that currently exists in other markets or jurisdictions; (ii) for a proposed Public Interest Rule or Significant Change subject to Public Comment, a notice for publication
that includes the information required under paragraph 55(a)(i) above, except that the following may be excluded from the notice: (A) supporting analysis required under subparagraph 55(a)(i)(C) above that, if included in the notice,
would result in the public disclosure of intimate financial, commercial or technical information; (B) the information on systemic risk required under subparagraph 55(a)(i)(E) above;
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(C) the information on the internal governance processes followed required under subparagraph 55(a)(i)(G) above;
(D) the reasonable estimate of time needed for members and service vendors to modify their own
systems, or the explanation as to why a reasonable estimate was not provided, required under subparagraph 55(a)(i)(H), so long as the notice for publication contains a statement that the Exchange did not or could not make a reasonable estimate; and
(E) the discussion of alternatives required under subparagraph 55(a)(i)(I) above.
(iii) for a proposed Public Interest Rule, the text of the Rule and a blacklined version of the Rule indicating changes to any existing Rules, and if supplementary material relating to the Rule is contained in Form 21- 101F1, blacklined and clean copies of Form 21-101F1; and
(iv) for a proposed Fee Change or Significant Change, blacklined and clean copies of Form 21-101F1 showing the
proposed Change.
(b) The Exchange will file the materials set out in subsection 55(a) (i) at least 45 days prior to the expected implementation date of a proposed Public Interest Rule or Significant
Change; and (ii) at least seven business days prior to the expected implementation date of a proposed Fee Change.
(c) For a Housekeeping Rule, the Exchange will file with Staff the following materials:
(i) a cover letter that fully describes the Rule and indicates that it was classified as a Housekeeping Rule and provides an analysis of the rationale for the classification, and the date or proposed date of implementation of the Rule;
(ii) the text of the Rule and a blacklined version of the Rule indicating changes to any existing Rules; (iii) if supplementary material relating to the Rule is contained in Form 21-101F1, blacklined and clean copies of
Form 21-101F1; and (iv) a notice for publication on the OSC website and in the OSC Bulletin that contains the information in paragraph
(ii) above as well as the implementation date for the Rule, and indicates that the Rule has been classified as a Housekeeping Rule and was not published for comment.
(d) For a Housekeeping Change, the Exchange will file with Staff the following materials:
(i) a cover letter that indicates that the Change was classified as a Housekeeping Change and provides an
analysis of the rationale for the classification and the expected or actual date of implementation of the Change; and
(ii) blacklined and clean copies of Form 21-101F1 showing the Change.
(e) The Exchange will file the materials set out in subsection 55(d) by the earlier of
(i) the Exchange’s close of business on the 10th calendar day after the end of the month in which the Housekeeping Change was implemented; and
(ii) the date on which the Exchange publicly announces a Housekeeping Change, if applicable.
56. Review by Staff of notice and materials to be published for comment (a) Within 5 business days of the receipt of the notice and materials filed by the Exchange relating to a Public Interest Rule
or Significant Change subject to Public Comment in accordance with subsection 55(a), Staff will review the notice and materials to ensure that they contain an adequate level of detail, analysis and discussion to elicit meaningful public comment, and will promptly notify the Exchange of any deficiency requiring a re-filing of the notice and materials.
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(b) Where the notice and materials are considered by Staff to be deficient, the Exchange will amend and resubmit the notice and materials accordingly, and the date of resubmission will serve as the filing date for the purposes of this Protocol.
(c) Where the notice and materials are considered by Staff to be adequate for publication, Staff will proceed with the
processes set out in section 57. 57. Publication of a Public Interest Rule or Significant Change Subject to Public Comment (a) As soon as practicable after the receipt of the notice and materials filed by the Exchange relating to a Public Interest
Rule or Significant Change subject to Public Comment in accordance with subsection 55(a), Staff will publish in the OSC Bulletin and on the OSC website the notice prepared by the Exchange, along with a notice prepared by Staff, if necessary, that provides market participants with an opportunity to provide comments to Staff and to the Exchange within 30 days from the date the notice appears in the OSC Bulletin or on the OSC website, whichever comes first.
(b) If public comments are received
(i) the Exchange will forward copies of the comments promptly to Staff; and (ii) the Exchange will prepare a summary of the public comments and a response to those comments and provide
them to Staff promptly after the end of the comment period. 58. Review and Approval Process for Proposed Fee Changes, Public Interest Rules and Significant Changes (a) Staff will use their best efforts to complete their review of a proposed Fee Change, Public Interest Rule or Significant
Change within
(i) 45 days from the date of filing of a proposed Public Interest Rule or Significant Change; and (ii) seven business days from the date of filing of a proposed Fee Change.
(b) Staff will notify the Exchange if they anticipate that their review of the proposed Fee Change, Public Interest Rule or
Significant Change will exceed the timelines in subsection 58(a). (c) If Staff have material comments or require additional information to complete their review of a proposed Fee Change,
Public Interest Rule or Significant Change, Staff will use best efforts to provide the Exchange with a comment letter promptly by the end of the public comment period for a Public Interest Rule or Significant Change subject to Public Comment, and promptly after the receipt of the materials filed under section 55 for all other Changes.
(d) The Exchange will respond to any comments received from Staff in writing. (e) Unless Staff agree to an extension of time, if the Exchange fails to respond to Staff’s comments within 120 days after
the receipt of Staff’s comment letter, the Exchange will be deemed to have withdrawn the proposed Fee Change, Public Interest Rule or Significant Change. If the Exchange wishes to proceed with the Fee Change, Public Interest Rule or Significant Change after it has been deemed withdrawn, the Exchange will have to be re-submit it for review and approval in accordance with this Protocol.
(f) Upon completion of Staff’s review of a Fee Change, Public Interest Rule or Significant Change, Staff will submit the
Change or Rule to the Director or, in the circumstances described in subsection 58(g), to the Commission, for a decision within the following timelines:
(i) for a Public Interest Rule or a Significant Change subject to Public Comment, the later of 45 days from the
date that the related materials were published for comment and the date that Staff’s comments and public comments, including any concerns identified, have been adequately addressed by the Exchange;
(ii) for any other Significant Change, the later of 45 days from the date of filing of the Change and the date that
Staff’s comments and any concerns identified have been adequately addressed by the Exchange; or (iii) for a Fee Change, the later of seven business days from the date of filing of the change and the date that
Staff’s comments and any concerns identified have been adequately addressed by the Exchange. (g) A Fee Change, Public Interest Rule or Significant Change may be submitted to the Commission for a decision, within
the timelines in subsection 58(f),
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(i) if the proposed Fee Change, Public Interest Rule or Significant Change is complex or introduces a novel feature to the Exchange or the capital markets;
(ii) if comments received through the public comment process raise significant public interest concerns; or (iii) in any other situation where, in Staff’s view, Commission approval is appropriate.
(h) Staff will promptly notify the Exchange of the decision. (i) If a Public Interest Rule or Significant Change subject to Public Comment is approved, Staff will publish the following
documents in the OSC Bulletin and on the OSC website promptly after the approval:
(i) a notice indicating that the proposed Rule or Change is approved; (ii) the summary of public comments and responses prepared by the Exchange, if applicable; and (iii) if non-material changes were made to the version published for public comment, a brief description of these
changes prepared by the Exchange and a blacklined copy of the revised Rule or Change highlighting the revisions made.
59. Review Criteria for a Fee Change, Public Interest Rule and Significant Change (a) Staff will review a proposed Fee Change, Public Interest Rule or Significant Change in order to assess whether it is in
the public interest for the Director or the Commission to approve the Rule or Change. In making this determination, Staff will have regard to the mandate of the Commission as set out section 1.1 of the Securities Act (Ontario). The factors that Staff will consider in making their determination also include whether:
(i) the Rule or Change would impact the Exchange’s compliance with Ontario securities law; (ii) the Exchange followed its established internal governance practices in approving the proposed Rule or
Change; (iii) the Exchange followed the requirements of this Protocol and has provided sufficient analysis of the nature,
purpose and effect of the Rule or Change; and (iv) the Exchange adequately addressed any comments received.
60. Effective Date of a Fee Change, Public Interest Rule or Significant Change (a) A Fee Change, Public Interest Rule or Significant Change will be effective on the later of:
(i) the date that the Exchange is notified that the Change or Rule is approved; (ii) if applicable, the date of publication of the notice of approval on the OSC website; and (iii) the date designated by the Exchange.
61. Significant Revisions and Republication (a) If, subsequent to its publication for comment, the Exchange revises a Public Interest Rule or a Significant Change
subject to Public Comment in a manner that results in a material change to the proposed substance or effect of the Rule or Change, Staff will, in consultation with the Exchange, determine whether or not the revised Rule or Change should be published for an additional 30-day comment period.
(b) If a Public Interest Rule or Significant Change subject to Public Comment is republished under subsection 61(a), the
request for comments will include a blacklined version marked to the originally published version, a summary of comments and responses prepared by the Exchange, and an explanation of the revisions and the supporting rationale for the revisions.
62. Withdrawal of a Fee Change, Public Interest Rule or Significant Change (a) If the Exchange withdraws a Fee Change, Public Interest Rule or a Significant Change that was previously submitted, it
will provide a written notice of withdrawal to Staff.
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(b) If the notice of withdrawal relates to a Public Interest Rule or Significant Change subject to Public Comment, Staff will publish the notice of withdrawal in the OSC Bulletin and OSC website as soon as practicable.
(c) If a Public Interest Rule or Significant Change subject to Public Comment is deemed to have been withdrawn as
provided in subsection 58(e), Staff will prepare and publish a notice informing market participants that the Exchange did not proceed with the Rule or Change.
63. Effective Date of a Housekeeping Rule or Housekeeping Change (a) Subject to subsections 63(c) and 63(d), a Housekeeping Rule will be effective on the later of
(i) the date of the publication of the notice to be published on the OSC website in accordance with subsection 63(e), and
(ii) the date designated by the Exchange.
(b) Subject to subsections 63(c) and 63(d), a Housekeeping Change will be effective on the date designated by the
Exchange. (c) Staff will review the materials filed by the Exchange for a Housekeeping Change or Housekeeping Rule to assess the
appropriateness of the categorization of the Rule or Change as housekeeping within five business days from the date that the Exchange filed the documents in accordance with subsections 55(c) and 55(d). The Exchange will be notified in writing if there is disagreement with respect to the categorization of the Rule or Change as housekeeping.
(d) If Staff disagree with the categorization of the Rule or Change as housekeeping, the Exchange will immediately repeal
the Change, if applicable, file the proposed Rule as a Public Interest Rule or the proposed Change as a Significant Change, and follow the review and approval processes described in this Protocol as applying to a Public Interest Rule or Significant Change, including those processes applicable to a Significant Change subject to Public Comment if applicable.
(e) If Staff do not disagree with the categorization of the Rule, Staff will publish a notice to that effect in the OSC Bulletin
and on the OSC website as soon as is practicable. 64. Immediate Implementation of a Public Interest Rule or Significant Change (a) The Exchange may need to make a Public Interest Rule or Significant Change effective immediately where the
Exchange determines that there is an urgent need to implement the Rule or Change to maintain fair and orderly markets, or because of a substantial and imminent risk of material harm to the Exchange, its members, other market participants, issuers or investors.
(b) When the Exchange determines that immediate implementation is necessary, it will advise Staff in writing as soon as
possible but in any event at least five business days prior to the proposed implementation of the Public Interest Rule or Significant Change. The written notice will include the expected effective date of the Public Interest Rule or Significant Change and an analysis to support the need for immediate implementation. An application for an exemption from the 45-day advance filing requirements in National Instrument 21-101 must also be included as part of the written notice.
(c) If Staff do not agree that immediate implementation is necessary, Staff will promptly notify the Exchange, in writing, of
the disagreement no later than the end of the third business day following filing of the notice under subsection 64(b). If the disagreement is not resolved, the Exchange will file the Public Interest Rule or Significant Change in accordance with the timelines in section 55.
65. Review of a Public Interest Rule or Significant Change Implemented Immediately A Public Interest Rule or Significant Change that has been implemented immediately in accordance with section 64 will be published, if applicable, and reviewed and approved by the Director or by the Commission in accordance with the procedures set out in section 58, with necessary modifications. If the Director or the Commission does not approve the Public Interest Rule or Significant Change, the Exchange will immediately repeal the Rule or Change and inform its members of the decision. 66. Application of Section 21 of the Securities Act (Ontario) The Commission’s powers under subsection 21(5) of the Securities Act (Ontario) are not constrained in any way, notwithstanding a Rule or Change having been approved under this Protocol.
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13.2.2 TSX – Housekeeping Amendments to Form 5 – Dividend/Distribution Declaration – Notice of Housekeeping Rule Amendments to the TSX Company Manual
TORONTO STOCK EXCHANGE
NOTICE OF HOUSEKEEPING RULE AMENDMENTS TO THE TSX COMPANY MANUAL
Introduction In accordance with the Process for the Review and Approval of Rules and the Information Contained in Form 21-101F1 (the “Protocol”), Toronto Stock Exchange (“TSX”) has adopted, and the Ontario Securities Commission has approved, certain housekeeping amendments (the “Amendments”) to Form 5 – Dividend/Distribution Declaration (“Form 5”) of the TSX Company Manual (the “Manual”). The Amendments are Housekeeping Rules under the Protocol and therefore have not been published for comment. The Ontario Securities Commission has not disagreed with the categorization of the Amendments as Housekeeping Rules. Reasons for the Amendments TSX is proposing to make changes to the Form 5 to clarify the information required of issuers when completing the Form 5 and to provide TSX with the information it requires to process the Form 5 efficiently. These changes will reduce the need for issuers to re-file the Form 5 with TSX when they either have not completed it correctly or have not provided all information TSX requires. Summary of the Non-Public Interest Amendments Under the current Form 5, an issuer is required to provide the following information when submitting a Form 5 to TSX:
• security symbol; • amount per share; • currency of the dividend; • declaration date; • record date of the dividend; • payable date of the dividend; • indication whether the amount per share exceeds 25% of the share value as at the declaration date; and • other details, as applicable.
TSX is proposing to amend the Form 5 to require issuers to provide TSX with the following information:
• security symbol; • the type of dividend/distribution (i.e., regular, occasional, special/extra, omitted, deferred or resumption); • frequency and type of dividend to be resumed (for resumption dividends); • decision date and first affected payment date (for omitted and deferred dividends); • initial affected period (for deferred dividends); • declaration date; • the payment date; • the record date for the dividend/distribution; • whether such dividend/distribution is the first time it is being declared on the security with TSX;
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• where a dividend is a change from a previous regular dividend, specifying the amount per share changed from the previous declaration;
• whether the dividend/distribution amount is estimated, final or unknown; • the cash amount per security; • currency of dividend; • Canadian Dollar equivalent per security; • whether there are Due Bills attached to the dividend; • whether there is a security portion as part of the dividend, and if so, the applicable details; • whether the security is also listed on certain other exchanges (i.e. New York Stock Exchange, NYSE MKT, or
NASDAQ); • whether TSX may notify the market of the dividend immediately, and if not, the reasons for the delay, and the
date and time when TSX may publish the dividend bulletin; • additional details, as applicable; and • contact information of officer.
Effective Date The Amendments become effective on November 4, 2017.
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13.3 Clearing Agencies 13.3.1 The Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc. – Application
to Vary the Recognition Order – Request for Comment
REQUEST FOR COMMENT
APPLICATION TO VARY THE RECOGNITION ORDER FOR THE CANADIAN DEPOSITORY FOR SECURITIES LIMITED
AND CDS CLEARING AND DEPOSITORY SERVICES INC.
A. Background The Ontario Securities Commission (Commission) issued an order dated July 4, 2012, as varied and restated, pursuant to section 21.2 of the Securities Act (Ontario) (Act) continuing the recognition of The Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc. (collectively, CDS) as clearing agencies (Recognition Order). CDS has filed an application (Application) with the Commission requesting that an order be granted varying the definition of an “independent director” in the Recognition Order (Draft Order) pursuant to section 144 of the Act for the limited purpose of permitting the same individuals to be considered “independent” for the boards of directors (Boards) of CDS and the Canadian Derivatives Clearing Corporation (CDCC), an affiliate of CDS. This would have the effect of enabling CDS and CDCC to have a mirror Board and, consequently, mirror Board committees. B. Draft Variation Order The Draft Order would vary the independence definition in section 4.3(a) of Schedule “B” of the Recognition Order to provide that notwithstanding paragraphs 4.3(a) (ii), (iii) and (iv) of such definition, a director of CDCC is not considered to be non-independent solely on the ground that he or she is a director, or in the case of the chair of the Board only, an officer, of CDCC, or in the case of the chair of the Board only, an officer of CDS1. Subject to comments received, staff propose to recommend to the Commission that it grant CDS an order in the form of the proposed Draft Order attached at Appendix A. C. Comment Process The Commission is publishing for public comment the Application and Draft Order. We are seeking comment on the Application and Draft Order. You are asked to provide your comments in writing, via e-mail and delivered on or before November 11, 2017 addressed to the attention of the Secretary to the Commission, Ontario Securities Commission, 20 Queen Street West, Toronto, Ontario, M5H 3S8, e-mail: [email protected]. The confidentiality of submissions cannot be maintained as comments received during the comment period will be published. Questions may be referred to: Aaron Ferguson Manager, Market Regulation Tel: 416-593-3676 [email protected] Emily Sutlic Senior Legal Counsel, Market Regulation Tel: 416-593-2362 [email protected]
1 CDS is defined as a recognized clearing agency in the Recognition Order.
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APPENDIX “A”
IN THE MATTER OF THE SECURITIES ACT,
R.S.O. 1990, c. S.5, AS AMENDED (Act)
AND
IN THE MATTER OF
THE CANADIAN DEPOSITORY FOR SECURITIES LIMITED AND
CDS CLEARING AND DEPOSITORY SERVICES INC.
VARIATION ORDER (Section 144 of the Act)
WHEREAS the Ontario Securities Commissions (Commission) issued an order dated July 4, 2012, as varied and restated on December 21, 2012 and as varied on December 7, 2012, May 1, 2013, June 25, 2013, June 24, 2014, January 27, 2015, March 27, 2015 and December 20, 2016, pursuant to section 21.2 of the Act continuing the recognition of The Canadian Depository for Securities Limited (CDS Ltd.) and CDS Clearing and Depository Services Inc. (together with CDS Ltd., CDS) as clearing agencies (the Clearing Agency Recognition Order); AND WHEREAS CDS has filed an application (Application) with the Commission to vary the Clearing Agency Recognition Order pursuant to section 144 of the Act to replace the definition of “independent” in section 4.3(a) of Schedule “B” of the Clearing Agency Recognition Order (the Independence Definition) for the limited purpose of permitting the same individuals to be considered “independent” for the boards of directors of both CDS and the Canadian Derivatives Clearing Association (CDCC); AND WHEREAS the Application requests that the Commission vary the Independence Definition to provide that notwithstanding paragraphs (ii), (iii) and (iv) of such definition, a director of CDCC is not considered to be non-independent solely on the ground that he or she is (v) a director, or in the case of the chair of the board of directors only, an officer, of CDCC, or (vi) in the case of the chair of the board of directors only, an officer of CDS, a recognized clearing agency; AND WHEREAS the Commission has determined based on the Application and representations made by CDS that it is not prejudicial to the public interest to vary the Clearing Agency Recognition Order to replace the Independence Definition; IT IS HEREBY ORDERED that, pursuant to section 144 of the Act, section 4.3(a) of Schedule “B” of the Clearing Agency Recognition Order is deleted and replaced with the following:
(a) a director is independent, if the director is not: (i) an associate, partner, director, officer or employee of a significant Maple shareholder; (ii) an associate, partner, director, officer or employee of a Participant of the recognized clearing agency
or such Participant’s affiliated entities or an associate of such director, partner, officer or employee; or
(iii) an associate, partner, director, officer or employee of a marketplace or such marketplace’s affiliated
entities or an associate of such partner, director, officer or employee, or (iv) an officer or employee of the recognized clearing agency or its affiliated entities or an associate of
such officer or employee, notwithstanding paragraphs (ii), (iii) and (iv) above: (v) a director of the Canadian Derivatives Clearing Corporation (CDCC) is not considered to be non-
independent solely on the ground that he or she is a director, or in the case of the chair of the board of directors only, an officer, of CDCC; and
(vi) the chair of the board of directors of the recognized clearing agency is not considered non-
independent solely on the ground that he or she is an officer of the recognized clearing agency; and
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DATED at Toronto this _____ day of ___________________, 2017. _______________________________ _______________________________ [Editor’s Note: CDS’ application for an order varying the recognition order for The Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc. follows on separately numbered pages. Bulletin pagination resumes with the index for this issue.]
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Deanna DobrowskyVice President, Regulatory
TMX GroupThe Exchange Tower130 King Street West
Toronto, Ontario M5X 1J2
T (416) 365-8130F (416) 365-1984
[email protected] 14, 2017
VIA OSC ELECTRONIC PORTAL
Ontario Securities Commission20 Queen Street West, 22nd FloorToronto, Ontario M5H 3S8
Attention: Secretary to the Commission
Dear Sirs/Mesdames:
Re: Application for an order varying the recognition order for The Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc.
The Canadian Depository for Securities Limited (“CDS Limited”) and CDS Clearing and Depository Services Inc. (“CDS Clearing”, and collectively with CDS Limited, “CDS”) are hereby applying to the Ontario Securities Commission (“OSC”) for an order varying the CDS recognition order. The variation order would revise the definition of an “independent” director to enable an individual to be an independent director of CDS, notwithstanding that the individual is also a director of the Canadian Derivatives Clearing Corporation (“CDCC”), so long as the individual meets all other director independence criteria in the CDS recognition order (the “Requested Variation Order”).1
CDS and CDCC are applying to the Autorité des marchés financiers (“AMF”) for similar variation orders. These variations to the CDS and CDCC recognition orders would have the effect of enabling CDS and CDCC to have mirror boards of directors and, consequently, mirror board committees.
TMX Group Limited (“TMX”), CDS and CDCC have embarked on a business initiative to bring CDS and CDCC closer together. This initiative is part of a vision that is designed to advance TMX’s evolution as a client-driven solutions provider to the Canadian and global capital markets.This vision includes an organizational emphasis on increasing efficiencies across the TMX enterprise. One phase of this initiative included a realignment that resulted in one individual, Glenn Goucher, becoming President and Chief Clearing Officer of CDS while retaining his position
1 We note that revised definition will also clarify that the chair of the board of directors of CDCC and CDS will not be considered non-independent solely on the grounds that he or she is an officer of CDCC and CDS. Pursuant to the Canada Business Corporations Act, which is CDS and CDCC’s incorporating statute, the chair of the board of directors is an officer of the corporation.
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of President and Chief Clearing Officer of CDCC, and one individual, George Kormas, becoming the Chief Risk Officer of both clearing houses.
Bringing CDS and CDCC together under one leader has harmonized our efforts to bring efficiencies across the risk, operations, systems and business development areas of the clearing houses. Consistent with this, CDS and CDCC have determined that creating mirror boards of directors to oversee the activities of the President and the risk operations of CDS and CDCC is an appropriate next step in this evolution. For the purposes of this application, “mirror boards” means that each of CDS and CDCC will continue to have its own, separate board of directors, but that each board will be populated with the same individuals. Similarly, “mirror board committees” means that each of CDS and CDCC will continue to have its own separate board committees, but that the same committee of each board will be populated with the same individuals.
Recognition order provisions
The OSC’s varied and restated order recognizing CDS as a clearing agency dated December 21, 2012, as amended (the “OSC CDS Recognition Order”), the AMF’s Decision No. 2012-PDG-0142 recognizing CDS as a clearing house, as amended (the “AMF CDS Recognition Order”, and together with the OSC CDS Recognition Order, the “CDS Recognition Orders”), and the AMF’s Decision No. 2012-PDG-0078 recognizing CDCC as a clearing house, as amended (the “CDCC Recognition Order”),2 contain provisions that have the effect of preventing CDS and CDCC from realizing the benefit of mirror boards of directors, as the definition of “independence” in these orders prevents CDS and CDCC from cross-appointing independent directors.
The CDS Recognition Orders require that 33% of the members of the CDS board of directors be independent, as that term is defined in the CDS Recognition Orders. The definition of the term “independent” states:
a director is independent, if the director is not;
(i) an associate, partner, director, officer or employee of a significant Maple shareholder,
(ii) an associate, partner, director, officer or employee of a Participant of the recognized clearing agency or such Participant's affiliated entities or an associate of such director, partner, officer or employee,
(iii) an associate, partner, director, officer or employee of a marketplace or such marketplace's affiliated entities or an associate of such partner, director, officer or employee, or
(iv) an officer or employee of the recognized clearing agency or its affiliated entities or an associate of such officer or employee.3
2 We note that the OSC CDCC recognition order dated April 8, 2014 incorporates the CDCC Recognition Order as an appendix and therefore indirectly contains provisions that have the effect of preventing CDS and CDCC from having mirror boards of directors. Further, TMX Group Limited’s undertakings to the AMF dated April 30, 2012 incorporate by reference the definition of “independent” in the CDCC Recognition Order. 3 See s. 4.2 and s. 4.3 of the OSC CDS Recognition Order and s. 23.2 and 23.3 of the AMF CDS Recognition Order. Capitalized terms in this definition have the meaning ascribed to them in the CDS Recognition Orders.
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The CDCC Recognition Order, similarly, requires that 33% of the members of the CDCC board of directors be independent, as that term is defined in the CDCC Recognition Order.4
The combined effect of paragraphs (iii) of the definition of “independent” in the CDS Recognition Orders and the CDCC Recognition Order is to preclude cross-appointments of independent directors between the CDS and CDCC boards. Paragraph (iii) of the CDS Recognition Orders excludes directors of an affiliated entity of a marketplace from being considered independent directors of CDS. CDCC is an affiliate of TSX Inc., Montréal Exchange Inc., TSX Venture Exchange Inc. and Alpha Exchange Inc., which are all marketplaces. Therefore, none of the independent directors of CDCC are independent for the purposes of the CDS Recognition Orders.Similarly, paragraph (iii) of the CDCC Recognition Order excludes directors of an affiliate of a marketplace that clears through CDCC from being considered independent directors of CDCC. Montréal Exchange Inc. clears through CDCC and is also an affiliate of CDS. Therefore, none of the independent directors of CDS are independent for the purposes of the CDCC Recognition Order. This is ultimately because CDS, CDCC and the marketplaces that clear through CDS and CDCC are under common control.
Additionally, paragraph (ii) of the definition of independence in the CDS Recognition Orders excludes directors of CDS participants from being considered independent directors of CDS. CDCC is technically a participant of CDS. As a result, none of the independent directors of CDCC are independent for the purposes of the CDS board.
In order for CDS and CDCC to have mirror boards of directors, CDS is requesting an order varying the definition of “independent” in the OSC CDS Recognition Order for the limited purpose of permitting the same individuals to be considered “independent” for both the CDS and CDCC boards of directors.5 In particular, CDS is requesting that the revised definition of “independent” read as follows (the new text is underlined):
a director is independent, if the director is not;
(i) an associate, partner, director, officer or employee of a significant Maple shareholder;
(ii) an associate, partner, director, officer or employee of a Participant of the recognized clearing agency or such Participant’s affiliated entities or an associate of such director, partner, officer or employee; or
4 The definition of the term “independent” in the CDCC Recognition order states:an independent director means a person who is not:(i) a partner, director, officer or employee of a Significant Maple Shareholder;(ii) a partner, director, officer or employee of a CDCC member or of an affiliate of such member, or an
associate of such partner, director, officer or employee;(iii) a partner, director, officer or employee of a marketplace that clears through CDCC or of an affiliate
of such marketplace, or an associate of such partner, director, officer or employee; or(iv) an officer or employee of CDCC or of a CDCC affiliate, or an associate of such officer or
employee;(v) notwithstanding subparagraphs (i) to (iv) above and the definition of “officer” in section 3 of the
Derivatives Act, the Chair of the Board of Directors is not considered to be non-independent solely on the ground that he or she is, or has been within the last three years, Chair of the Board of Directors of CDCC on a part-time basis.
5 The independent directors of the CDS and CDCC mirror boards of directors will not be members of the board of directors of another TMX entity.
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(iii) an associate, partner, director, officer or employee of a marketplace or such marketplace’s affiliated entities or an associate of such partner, director, officer or employee, or
(iv) an officer or employee of the recognized clearing agency or its affiliated entities or an associate of such officer or employee,
notwithstanding paragraphs (ii), (iii) and (iv) above:
(v) a director of the Canadian Derivatives Clearing Corporation (“CDCC”) is not considered to be non-independent solely on the ground that he or she is a director, or in the case of the chair of the board of directors only, an officer, of CDCC, and
(vi) the chair of the board of directors of CDS6 is not considered non-independent solely on the ground that he or she is an officer of CDS.
Rationale for mirror boards of directors
Having mirror boards of directors is an extension of the initiative that CDS and CDCC are currently undertaking to work more closely together. This initiative is part of the TMX vision to increasecollaboration among entities and focus on increasing efficiencies across the TMX enterprise. This broad vision includes a strategy to achieve a number of very important goals. While each clearing house will continue to manage a separate risk pool, with its own rule book and processes, we have undertaken a project to form a common technology platform to support the two clearing houses. In addition, as part of the CDS and CDCC initiative to work more closely together, we effected an organizational redesign to allow one individual, Glenn Goucher, to be the President and Chief Clearing Officer of both clearing houses.
Management of CDS and CDCC believe that it is in the public interest for CDS and CDCC to have mirror boards of directors due to the level of interaction between CDS and CDCC (interaction that can result in efficiencies for participants and other stakeholders). This is particularly true given the relatively small size of the Canadian market as compared to the markets that are served by our global clearing house peers. In the case of all nominees to the boards of directors, the respective Governance Committees7 must assess nominees to ensure that they each possess the appropriate competencies, skills, expertise and experience, when complemented by the other directors, to guide the strategies and business operations of the clearing house. The respective Governance Committees will continue to consider the independence, professional or board expertise, and other relevant expertise and experience of nominees. In particular, the selection criteria will continue to focus on identifying knowledgeable persons who understand the industry and have subject matter expertise in derivatives clearing and equities clearing. The objective will continue to be to ensure that the board’s composition provides an appropriate mix of skills and experience. Using mirror boards will not diminish in any way the broad skills and qualifications that the clearing houses seek in their board members. We acknowledge that the effect of the mirror boards is that every director will be a director of two clearing houses. CDS and CDCC are mindful that each director must be in a position to commit sufficient time to these directorships in order to successfully fulfil his or her director roles. The
6 CDS is defined as the “recognized clearing agency” in the CDS Recognition Orders.7 As discussed above, we note that the CDS and CDCC Governance Committees will be populated by the same individuals.
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clearing houses will ensure that each director is aware of the time commitment related to these directorships by clearly communicating expectations regarding directors’ responsibilities and workload before nominating an individual to the board. The clearing houses will schedule board and committee meetings in a manner that provides directors with sufficient time to fulfil their obligations to each clearing house. Given improved coordination among the clearing houses, as well as some of the dual CDS-CDCC oversight roles that are now undertaken by CDS and CDCC management, we are confident that the clearing house directors will be in a position to dedicate appropriate time to their director roles for both clearing houses.
We believe that using mirror boards at CDS and CDCC has the potential to enhance the ability ofsenior management at CDS and CDCC to manage risk, particularly by having the common President and a common Chief Risk Officer overseen by a common board of directors. We also believe that using mirror boards of directors has the potential to broaden the oversight capabilities of the CDS and CDCC board members. We discuss these opportunities in more detail below.
Enhanced risk management
A mirror board structure has the potential to improve the board’s oversight of the overall risk profile of CDS and CDCC. CDS and CDCC intend to integrate risk management operations across the two clearing houses,8 which will enable CDS and CDCC to manage risk effectively andconsistently across both entities.9 The integrated risk management operations, as well as improved coordination between the two clearing houses, will afford CDS and CDCC the opportunity to be more effective in certain scenarios, such as managing defaults. As the management of a clearing agency’s risk profile is a significant oversight topic for its board of directors, having mirror boards of directors will ensure that each board has a holistic view of the overall risk profile of CDS and CDCC. As CDS and CDCC move toward integrating risk management operations across the two clearing houses, a mirror board structure will enhance the board’s oversight of the overall risk profile of the two entities.
We note that the Companion Policy to National Instrument 24-102 Clearing Agency Requirements(the “Companion Policy”) emphasizes the importance of a consolidated entity managing risk appropriately across the entity. The Companion Policy states that a consolidated entity should have an appropriate risk management framework that considers the risks of each subsidiary and the additional risks related to their interdependencies. Further, consolidated entities should identify and manage the risks they pose to one another as a result of their interdependencies.10
CDS and CDCC believe that a mirror board structure aligns with this guidance and complies with the requirements in National Instrument 24-102 Clearing Agency Requirements (“NI 24-102”).
The Committee on Payments and Market Infrastructures of the International Organization of Securities Commissions (“CPMI IOSCO”) recently articulated that the board of a clearing house has ultimate responsibility for establishing a risk management framework and for the effectiveness of its implementation. In carrying out this responsibility, the board is not expected to itselfimplement the risk management framework or to carry out the day-to-day management of risks. Rather, the board, in discharging its ultimate responsibility over risk management matters, should work closely with the clearing house’s management.11 At each committee meeting, the Chief Risk
8 Certain integrations between the two clearing houses, including integration of risk management operations, may be subject to regulatory approval. We are not seeking regulatory approval for such integrations in this application.9 CDCC and CDS will continue to be separate legal entities with separate clearing funds. They will continue to have separate rule books and separate risk procedures for default management. 10 See Box 2.2 of Annex I to the Company Policy. 11 See Section 2.2 of the Final Report on the Resilience of Central Counterparties: Further Guidance on the PFMI
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Officer provides each entity’s Risk Management and Audit Committee (“RMAC”) with an update regarding the clearing house’s program for compliance with the Principles for Financial Market Infrastructures (“PFMIs”), including an update on the clearing house’s gap assessment and closure program. These activities will continue under the mirror board structure. Therefore, compliance with the PFMIs will continue to be a key area of focus for the boards of CDS and CDCC.
Enhanced operational oversight
A mirror board structure will enhance the board of directors’ oversight over the operations of each entity. The CDCC and CDS boards currently have four board members in common.12 Each board has found that these directors are able to provide the board with important insight into the operations of the clearing agency due to these dual roles. We expect that there will be strengthened cross-organizational oversight from a board structure that results in all directors having insight into the operations of both clearing houses. Additionally, since CDS and CDCC now have one President and one Chief Risk Officer, reporting to mirror boards of directors will ensure that the board has a comprehensive view of all aspects of these roles. Therefore, the mirror board construct will allow for consistency in operational decision-making across both clearing houses, with all board members having the benefit of all relevant information.
The recognized exchanges within TMX – TMX Group Limited, TMX Group Inc., TSX Inc., TSX Venture Exchange Inc., Montréal Exchange Inc. and Alpha Exchange Inc. – have mirror boards. TMX Group Limited’s undertakings to the AMF, the Alberta Securities Commission and the British Columbia Securities Commission require Montréal Exchange Inc. and TSX Venture Exchange Inc. to have mirror boards with TMX Group Limited. In this regard, one group of individuals is empowered with the oversight, including oversight of strategic development, of these entities. This construct enables the board members to ensure that they are provided with the appropriate level of information from each exchange, which gives the board members the knowledge to effectively oversee strategic decision-making for the organization. These strategic decisions can then be implemented in a consistent manner across the organization. Furthermore, we note that TMX’sdirectors are able to devote the amount of time required to fulfil their fiduciary obligations to six separate entities, including an entity that is a reporting issuer and publicly traded company.13 CDS and CDCC believe that a mirror board structure at the clearing house level will have similar benefits for these entities. CDS and CDCC believe that their directors will similarly be able to manage the time commitment associated with being members of the board of directors of more than one entity.14
Alignment of interests between CDS and CDCC
CDS and CDCC are aligned in terms of their risk management practices (including related to each entity’s designation as a systemically important clearing house) and as regulated entities that operate in the public interest. Due to their systemic importance, their public interest responsibilities, the interdependence of their operations discussed above, and the overlap with respect to their key stakeholders, CDS and CDCC’s interests are aligned. Each clearing house is under the common control of TMX Group Limited, which is ultimately accountable to regulators and the public. As noted above, CDCC is technically a participant of CDS. The board of directors
published in July 2017 by CPMI IOSCO.12 Jean Desgagné, Glenn Goucher, Pat Cronin and Lloyd Costley.13 We note that many of TMX’s directors are also members of the board of directors of other publicly traded companies. 14 For greater certainty, we note that CDS and CDCC are not proposing that CDS or CDCC have mirror boards with the recognized exchanges.
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of CDS may, therefore, consider the impact of corporate decisions on particular stakeholders, including CDCC, when considering what is in the best interests of the corporation. The reverse is also true for the board of directors of CDCC. CDS and CDCC believe that it is appropriate for the board of directors to consider such impacts, as long as the board of directors also considers the best interests of each corporation. The boards of directors would also need to be mindful of any potential conflicts of interest that could arise in the event of any related party transactions between CDS and CDCC. CDS and CDCC believe that it is unlikely that a circumstance will arise that would result in a potential conflict of interest between CDS and CDCC that would lead to board members being unable to fulfill their fiduciary obligations and public interest responsibilities with respect to each entity.
The governance arrangement we are proposing does not, apart from the potential dealings between CDS and CDCC resulting from CDCC's status as a participant of CDS, or a related party transaction, give rise to an inherent risk of a conflict of interest. The PFMIs lay out a number of specific board responsibilities, such as overseeing risk management, overseeing internal audit and ensuring compliance. CDS and CDCC do not believe that being a director of both entities will create a conflict for the director in carrying out his/her duties, since the approach of both CDS and CDCC to such issues is consistent. CDS and CDCC will ensure that their board members understand the PFMIs by providing training on these requirements, including the requirements regarding risk management. The PFMIs indicate that the key characteristic of independence is the ability to exercise objective, independent judgment after fair consideration of all relevant information and views and without undue influence from executives or from inappropriate external parties or interests. The mirror board structure proposed by CDS and CDCC fulfills these requirements.
The mirror board structure discussed above for TMX’s recognized exchanges permits independent directors on one board to qualify and count towards the necessary independence requirements on the affiliated board, and vice versa. Similarly, directors that are independent for the purposes of the TMX Group Limited board of directors are also considered independent for the purpose of the board of directors of Natural Gas Exchange Inc. In developing NI 24-102,regulators put in place governance requirements, including guidance with respect to independence requirements, which apply to all Canadian-recognized clearing agencies. NI 24-102 does not prevent independent directors of affiliated entities or participants from serving as independent directors on a clearing agency’s board even though it is common for clearing agencies to be part of a larger conglomerate that consists of other clearing agencies and exchanges. We note that other exchange/clearing conglomerates operating in Canada are not subject to restrictions imposed by Canadian securities regulators that are equivalent to paragraph (iii) of the definition of “independent” in the CDS Recognition Orders and the CDCC Recognition Order.
CDS submits that since the same individuals are considered independent directors for the purposes of the boards of directors of TMX Group Limited’s recognized exchanges and Natural Gas Exchange Inc., Canadian securities regulators have recognized that such an arrangement does not by itself create a conflict. Similarly, CDS submits that NI 24-102 and the guidance in Companion Policy do not appear to presume that a conflict of interest exists for a similar governance arrangement among clearing agencies.15 Therefore, CDS and CDCC believe that the Requested Variation Order complies with the regulatory standards applicable to Canadian clearing houses set out in NI 24-102 and the Companion Policy.
15 See Box 2.2 of Annex I to the Company Policy.
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Rationale for mirror board committees
As discussed above, having mirror boards of directors is an extension of the initiative that CDS and CDCC are currently undertaking to work more closely together. Having mirror board committees is the natural extension of the mirror board structure. Management of CDS and CDCC believe that it is in the public interest for CDS and CDCC to have their board committees operate on a mirror basis due to the level of overlap in the responsibilities and expertise required for the corresponding committees. Further, we believe that the alternative, having the correspondingcommittees of CDS and CDCC composed of different directors, would be unworkable.
Alignment of committee responsibilities
The responsibilities and expertise required of members of the CDS and CDCC RMACs are substantially similar. Similarly, the responsibilities and expertise required of members of the CDS and CDCC Governance Committees are the same. CDS and CDCC have worked together to make the charters for their respective Governance Committees and RMACs as similar as possible to the charters for the corresponding board committee of the other clearing house.16 There is consistency in the responsibilities and expertise required for the same committees of each board. Therefore, CDS and CDCC believe that the most efficient committee structure is the mirror board committee structure.
Both RMACs are charged with, among other things, assisting the board in fulfilling its risk management responsibilities, including assessing the clearing house’s risk management policies and procedures and the adequacy of and the adequacy of the implementation of appropriate procedures to mitigate and manage such risks. Members of each RMAC are required to possess experience or expertise in one or more of the following areas: internal risk controls, risk assessments and reporting, legal matters, government and public policy, accounting, risk management and corporate governance. As discussed above, risk management is a significant oversight topic for each of the CDS and CDCC boards. Therefore, having mirror RMACs will ensure that the same individuals have a detailed holistic view of the overall risk profile of CDS and CDCC. In contrast, not having mirror RMACs would fail to realize this significant benefit.
Similarly, both Governance Committees are charged with, among other things, assisting the board on matters related to corporate governance, including candidate selection and nomination,orientation of new board members and oversight of policies and procedures for the identification and resolution of conflicts of interest. Each Governance Committee reviews on an ongoing basis the composition of the board and is charged with identifying any gaps in the board’s composition and seeking to fill those gaps. Having mirror Governance Committees will ensure that these committees are engaging in coordinated reviews of the mirror board’s composition and are providing consistent recommendations in respect thereof to the board. Not having mirror Governance Committees would be less efficient and may result in inconsistent recommendations to the board.
Therefore, CDS and CDCC management have determined that having mirror board committees is the natural extension of having mirror boards of directors. The mirror board committee structure will facilitate the enhanced risk management and operational oversight of each clearing house.
16 The charters of the CDS and CDCC RMACs are the same except for a few matters specific to CDS that the CDS Recognition Orders require to be included in the CDS RMAC’s charter.
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Efficient use of time and expertise
The mirror board committee structure is the most efficient use of directors’ time and expertisegiven the mirror board structure that CDS and CDCC are proposing. CDS and CDCC are currently considering a board of directors composed of 12 individuals. As a group of 12 individuals will have to populate four board committees, many directors will be members of more than one board committee. It is the most efficient use of such directors’ time to be on the same board committee for each of CDS and CDCC. A mirror board committee structure will enable the same groups of directors to do in depth reviews of similar issues for each clearing house. Therefore, having mirror board committees, composed of the directors with the most relevant expertise to fulfil the responsibilities of the applicable committee, is the most efficient arrangement for a mirror board structure.
A mirror board committee structure will ensure that the directors with the most relevant expertise for each committee are members of the applicable committee of both the CDS and CDCC boards.A mirror board committee structure will enable the board to appoint the directors with the most relevant risk operations oversight expertise to the RMACs of both clearing houses, instead of having to divide such directors across two separate RMACs. The board will similarly be able to appoint the directors with the most relevant corporate governance expertise to both Governance Committees. Therefore, a mirror board committee structure is the most practical and effective manner to populate committees given the mirror board structure.
We note that the recognized exchanges within TMX have a mirror board committee structure for their Audit Committees, which enables the same groups of individuals to oversee similar issues at each exchange. This results in each committee member being a member of six Audit Committees. Due to the alignment of the responsibilities of each exchange’s Audit Committee and the expertise of the members of the Audit Committee, this is the most efficient and effective arrangement for each exchange. CDS and CDCC believe the same benefits will accrue to each clearing house from a mirror board committee structure.
Finally, CDS and CDCC will ensure that the composition of the RMACs of CDS and CDCC continues to comply with the independence requirements set out in NI 24-102 and the guidance in the Companion Policy.
Pro forma board composition
If the OSC grants the Requested Variation Order and the AMF provides similar relief, the mirror board of directors for CDS and CDCC will continue to meet the composition requirements in the CDS Recognition Orders and the CDCC Recognition Order. Based on the requirements applicable to the boards of CDS and CDCC, the composition of the mirror board of directors will be as follows:
33% of directors who are independent, where the term “independent” means a personwho is not:
o an associate, partner, director, officer or employee of a significant Mapleshareholder,
o an associate, partner, director, officer or employee of a participant of CDS or suchparticipant’s affiliated entities or an associate of such director, partner, officer oremployee,
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o an associate, partner, director, officer or employee of a marketplace or suchmarketplace's affiliated entities (other than CDS and CDCC) or an associate ofsuch partner, director, officer or employee, or
o an officer or employee of the CDS or CDCC or its affiliated entities or an associateof such officer or employee,
provided that a director shall not be considered to be non-independent solely on the ground that he or she is a director, or in the case of the chair of the board of directors only, an officer, of both CDS and CDCC;
o 33% of directors who are representatives of participants of CDS, of which:
o one who is a nominee of the Investment Industry Regulatory Organization ofCanada;
o one who is a nominee of TMX Group Limited selected from one of the five largestparticipants of CDS (with the participant and its affiliated entities aggregated forthis purpose);
o one who is a nominee of TMX Group Limited that, for so long as a Maplenomination agreement is in effect, is that is unrelated to original Mapleshareholders (as the terms “Maple nomination agreement” and “unrelated tooriginal Maple shareholders” are defined in the CDS Recognition Orders);
33% directors who are partners, directors, officers or employees of clearing members ofCDCC or affiliates of such members, be financially literate within the meaning of NationalInstrument 52-110 Audit Committees and have expertise in derivatives clearing, including:
o the chief executive officer of Montreal Exchange Inc., or such other officer oremployee of Montreal Exchange Inc. as is appointed by Montreal Exchange Inc.,notwithstanding that such person is not a partner, director, officer or employee ofa clearing member of CDCC or an affiliate of such member;
o two directors who are not partners, directors, officers or employees of a SignificantMaple shareholder (as defined in the CDCC Recognition Order) and who are, foras long as a Maple Nomination Agreement is in effect, unrelated to Original MapleShareholders (as the terms “Maple Nomination Agreement” and “Unrelated toOriginal Maple Shareholders” are defined in the CDCC Recognition Order);
the chief executive officer (i.e., President) of CDCC;
one director who is a representative of a marketplace unaffiliated with TMX Group Limitedand nominated by the marketplaces unaffiliated with TMX Group Limited;
25% of directors who are residents of Québec;
50% of directors who have expertise in derivatives clearing;
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50% of directors who have expertise in clearing and settlement; and
two directors who represent investment dealers that are independent of a bank and thathave a significant amount of their dealer activity in trading, clearing and settling securitieslisted on a venture exchange in Canada.
Conclusion
In conclusion, CDS submits that a mirror board structure will be beneficial to CDS and CDCC’s operations and the Canadian capital markets. We attach at Appendix A a draft variation order forthe Requested Variation Order.
Yours truly,
Deanna DobrowskyVice President, Regulatory
cc: Susan Greenglass, Ontario Securities CommissionÉlaine Lanouette, Autorité des marchés financiersDoug MacKay, British Columbia Securities Commission
October 12, 2017
(2017), 40 OSCB 8479
Index
Asiamet Resources Limited Order ......................................................................... 8263 Avnel Gold Mining Limited Order ......................................................................... 8262 Bank of Nova Scotia Order – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids ................................................................ 8250 BMG Marketing Services Inc. Name Change ........................................................... 8429 BMO Nesbitt Burns Inc. Order – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids ................................................................ 8256 Bullion Marketing Services Inc. Name Change ........................................................... 8429 Canada House Wellness Group Inc. Cease Trading Order ................................................ 8267 Canadian Depository for Securities Limited Clearing Agencies – Application to Vary the Recognition Order – Request for Comment .............. 8476 Canadian Imperial Bank of Commerce Order – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids ................................................................ 8244 CDS Clearing and Depository Services Inc. Clearing Agencies – Application to Vary the Recognition Order – Request for Comment .............. 8476 CDS Clearing Agencies – Application to Vary the Recognition Order – Request for Comment .............. 8476 Companion Policy 94-101 Mandatory Central Counterparty Clearing of Derivatives Request for Comments ............................................. 8269 Easy Technologies Inc. Cease Trading Order ................................................ 8267 Ensoleillement Inc. Marketplaces – Application for Recognition as Exchanges – Notice and Request for Comment ....... 8431 Equiton Capital Inc. Change in Registration Category .............................. 8429 ETF Capital Management Change in Registration Category ............................. 8429
Jawhari, Khalid Walid Notice from the Office of the Secretary .................... 8229 Katanga Mining Limited Cease Trading Order ................................................ 8267 Kerr Mines Inc. Cease Trading Order ................................................ 8267 Nasdaq CXC Limited Marketplaces – Application for Recognition as Exchanges – Notice and Request for Comment ....... 8431 National Bank of Canada Order – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids ................................................................ 8244 National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives Request for Comments............................................. 8269 NS Partners Ltd. Change in Registration Category ............................ 8429 OSC Staff Notice 11-739 (Revised) – Policy Reformulation Table of Concordance and List of New Instruments Notice ....................................................................... 8227 Paladin Energy Ltd. Cease Trading Order ................................................ 8267 Performance Sports Group Ltd. Cease Trading Order ................................................ 8267 ReSolve Asset Management Inc. Change in Registration Category ............................ 8429 Samco Gold Limited Decision .................................................................... 8238 Sandvine Corporation Order ........................................................................ 8243 Order – s. 1(6) of the OBCA ..................................... 8266 Sears Canada Inc. Cease Trading Order ................................................ 8267 Taiga Building Products Ltd. Decision .................................................................... 8235 Toronto-Dominion Bank Order – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids ................................................................ 8250 Order – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids ................................................................ 8256
Index
October 12, 2017
(2017), 40 OSCB 8480
TSX Marketplaces – Housekeeping Amendments to Form 5 – Dividend/Distribution Declaration – Notice of Housekeeping Rule Amendments to the TSX Company Manual ........................................ 8474 VM Holding S.A. Decision .................................................................... 8231 ZoomMed Inc. Cease Trading Order ................................................ 8267