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The Ontario Securities Commission
OSC Bulletin
September 3, 2015
Volume 38, Issue 35
(2015), 38 OSCB
The Ontario Securities Commission administers the Securities Act of Ontario (R.S.O. 1990, c. S.5) and the
Commodity Futures Act of Ontario (R.S.O. 1990, c. C.20)
The Ontario Securities Commission Published under the authority of the Commission by: Cadillac Fairview Tower Carswell, a Thomson Reuters business 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
The OSC Bulletin is published weekly by Carswell, a Thomson Reuters business, under the authority of the Ontario Securities Commission. Subscriptions are available from Carswell at the price of $827 per year. Subscription prices include first class postage to Canadian addresses. Outside Canada, these airmail postage charges apply on a current subscription:
U.S. $8 per issue Outside North America $12 per issue
Single issues of the printed Bulletin are available at $20 per copy as long as supplies are available. Carswell also offers every issue of the Bulletin, from 1994 onwards, fully searchable on SecuritiesSource™, Canada’s pre-eminent web-based securities resource. SecuritiesSource™ also features comprehensive securities legislation, expert analysis, precedents and a weekly Newsletter. For more information on SecuritiesSource™, as well as ordering information, please go to:
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or call Carswell Customer Relations at 1-800-387-5164 (416-609-3800 Toronto & Outside of Canada). Claims from bona fide subscribers for missing issues will be honoured by Carswell up to one month from publication date. Space is available in the Ontario Securities Commission Bulletin for advertisements. The publisher will accept advertising aimed at the securities industry or financial community in Canada. Advertisements are limited to tombstone announcements and professional business card announcements by members of, and suppliers to, the financial services industry.
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The publisher is not engaged in rendering legal, accounting or other professional advice. If legal advice or other expert assistance is required, the services of a competent professional should be sought. © Copyright 2015 Ontario Securities Commission ISSN 0226-9325 Except Chapter 7 ©CDS INC.
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September 3, 2015 (2015), 38 OSCB
Table of Contents
Chapter 1 Notices / News Releases ...................... 7495 1.1 Notices .......................................................... 7495 1.1.1 1415409 Ontario Inc. et al. ............................. 7495 1.1.2 Notice of Ministerial Approval of Amendments to NI 33-105 Underwriting Conflicts, NI 45-106 Prospectus Exemptions and OSC Rule 45-501 Ontario Prospectus and Registration Exemptions ..................................................... 7496 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 ............................................ 7497 1.5.1 1415409 Ontario Inc. et al. ............................. 7497 1.5.2 1415409 Ontario Inc. et al. ............................. 7497 1.5.3 Richvale Resource Corporation et al. ............. 7498 1.5.4 Andre Lewis .................................................... 7498 1.6 Notices from the Office of the Secretary with Related Statements of Allegations ............................ (nil) Chapter 2 Decisions, Orders and Rulings ............ 7499 2.1 Decisions ...................................................... 7499 2.1.1 PetroNova Inc. – s. 1(10)(a)(ii) ....................... 7499 2.1.2 Alder Resources Ltd. – s. 1(10)(a)(ii) ............. 7500 2.1.3 Excel Funds Management Inc. et al. .............. 7501 2.1.4 Sintana Holdings Corp. – s. 1(10) .................. 7504 2.1.5 Horizons ETFs Management (Canada) Inc. .................................................. 7505 2.2 Orders............................................................ 7508 2.2.1 Magna International Inc. – s. 104(2)(c) ........... 7508 2.2.2 Thomson Reuters Corporation – s. 104(2)(c) ................................................. 7512 2.2.3 Thomson Reuters Corporation – s. 104(2)(c) ................................................. 7516 2.2.4 Thomson Reuters Corporation – s. 104(2)(c) ................................................. 7520 2.2.5 Alder Resources Ltd. – s. 1(6) of the OBCA .................................... 7524 2.2.6 Richvale Resource Corporation et al. – ss. 17, 153 of the Act and Rule 11 of the OSC Rules of Procedure .......................... 7525 2.2.7 Andre Lewis – ss. 127(1), 127(10) ................. 7527 2.3 Orders with Related Settlement Agreements ................................................... 7528 2.3.1 1415409 Ontario Inc. et al. – ss. 127(1), 127.1 ........................................ 7528 2.4 Rulings ........................................................... (nil) Chapter 3 Reasons: Decisions, Orders and Rulings ................................................... 7541 3.1 OSC Decisions .............................................. 7541 3.1.1 Andre Lewis – ss. 127(1), 127(10) ................. 7541 3.2 Director’s Decisions ..................................... 7545 3.2.1 Eva-Christine Missullis .................................. 7545
3.3 Court Decisions ............................................. (nil) Chapter 4 Cease Trading Orders .......................... 7549 4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders ......................... 7549 4.2.1 Temporary, Permanent & Rescinding Management Cease Trading Orders ............. 7549 4.2.2 Outstanding Management & Insider Cease Trading Orders ................................... 7549 Chapter 5 Rules and Policies ................................ 7551 5.1.1 CSA Notice of Amendments Related to the Recognition of Aequitas NEO Exchange Inc. ................................................ 7551 5.1.2 Amendments to NI 33-105 Underwriting Conflicts ......................................................... 7569 5.1.3 Amendments to OSC Rule 45-501 Ontario Prospectus and Registration Exemptions ...... 7571 5.1.4 Amendments to NI 45-106 Prospectus Exemptions .................................................... 7573 Chapter 6 Request for Comments .......................... (nil) Chapter 7 Insider Reporting .................................. 7575 Chapter 8 Notice of Exempt Financings............... 7659
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 .............. 7659
Chapter 9 Legislation ............................................... (nil) Chapter 11 IPOs, New Issues and Secondary Financings ............................................. 7661 Chapter 12 Registrations ......................................... 7669 12.1.1 Registrants ..................................................... 7669 Chapter 13 SROs, Marketplaces,
Clearing Agencies and Trade Repositories ............................... 7671
13.1 SROs ............................................................. 7671 13.1.1 IIROC – Amendment to Dealer Member Rule 100.10(f)(vi) Box Spread – Notice of Commission Approval .................................... 7671 13.1.2 IIROC – Proposed Amendments to Dealer Member Rules 8.7 and Corollary Amendments to Dealer Member Rule 8.3A Relating to the Requirement to Pay IIROC Membership Fees – Notice of Commission Approval ......... 7672 13.2 Marketplaces .................................................. (nil) 13.3 Clearing Agencies ......................................... (nil) 13.4 Trade Repositories ........................................ (nil) Chapter 25 Other Information ................................... (nil) Index ............................................................................ 7673
September 3, 2015
(2015), 38 OSCB 7495
Chapter 1
Notices / News Releases 1.1 Notices 1.1.1 1415409 Ontario Inc. et al.
IN THE MATTER OF
THE SECURITIES ACT, R.S.O. 1990, c. S.5, AS AMENDED
AND
IN THE MATTER OF
1415409 ONTARIO INC., TITLE ONE CLOSING INC., RAVINDRA DAVE, CHANDRAMATTIE DAVE, and AMETRA DAVE
NOTICE OF WITHDRAWAL
WHEREAS: 1. On March 17, 2015, the Ontario Securities Commission (the “Commission”) issued a Notice of Hearing pursuant to
sections 127 and 127.1 of the Securities Act, R.S.O. 1990 c.S.5, as amended (the “Act”) in connection with a Statement of Allegations filed by Staff of the Commission (“Staff”) on March 17, 2015 with respect to Chandramattie Dave, Ravindra Dave, Ametra Dave, 1415409 Ontario Inc., and Title One Closing Inc. (collectively, the “Respondents”);
2. The Notice of Hearing set April 15, 2015, as the hearing date in this matter; 3. The First Appearance in this matter was held on April 15, 2015, and Staff and some of the Respondents appeared; 4. The First Appearance in this matter was continued on June 17, 2015, at 3:30 p.m. and Staff and Ravindra Dave and
Chandramattie Dave appeared and made submissions; 5. The First Appearance that continued on June 17, 2015, was further adjourned until July 16, 2015, at 1:00 p.m., at
which time Staff and Ravindra Dave and Chandramattie Dave appeared and made submissions; 6. The Second Appearance in this matter was held on August 19, 2015 at 10 a.m., and Staff and Ravindra Dave and
Chandramattie Dave appeared and made submissions; 7. A Settlement Hearing was held on August 27, 2015, at which time the Commission approved a Settlement Agreement
between Staff and Chandramattie Dave, Ravindra Dave, 1415409 Ontario Inc., and Title One Closing Inc; TAKE NOTICE that Staff withdraw the allegations made in the Statement of Allegations against Ametra Dave. August 27, 2015 Staff of the Ontario Securities Commission 20 Queen Street West, 20th Floor Toronto, ON M5H 3S8 Keir Wilmut Tel. (416) 593-8243 Email: [email protected]
Notices / News Releases
September 3, 2015
(2015), 38 OSCB 7496
1.1.2 Notice of Ministerial Approval of Amendments to NI 33-105 Underwriting Conflicts, NI 45-106 Prospectus Exemptions and OSC Rule 45-501 Ontario Prospectus and Registration Exemptions
NOTICE OF MINISTERIAL APPROVAL OF AMENDMENTS TO
NATIONAL INSTRUMENT 33-105 UNDERWRITING CONFLICTS
AND
NATIONAL INSTRUMENT 45-106 PROSPECTUS EXEMPTIONS
AND
ONTARIO SECURITIES COMMISSION RULE 45-501 ONTARIO PROSPECTUS AND REGISTRATION EXEMPTIONS
September 3, 2015 On July 30, 2015, the Minister of Finance approved amendments to National Instrument 33-105 Underwriting Conflicts (the NI 33-105 Amendments), National Instrument 45-106 Prospectus Exemptions (the NI 45-106 Amendments) and Ontario Securities Commission Rule 45-501 Ontario Prospectus and Registration Exemptions (the OSC Rule 45-501 Amendments) made by the Ontario Securities Commission (OSC or Commission). The NI 33-105 Amendments, the NI 45-106 Amendments and the OSC Rule 45-501 Amendments are referred to collectively as the Rule Amendments. The Rule Amendments were made by the Commission on June 16, 2015. They were published on the OSC website at http://www.osc.gov.on.ca and in the OSC Bulletin in (2015), 38 OSCB 5773 on June 25, 2015. The Rule Amendments come into force on September 8, 2015. The text of the Rule Amendments approved by the Minister of Finance is set out in Chapter 5 of this Bulletin.
Notices / News Releases
September 3, 2015
(2015), 38 OSCB 7497
1.5 Notices from the Office of the Secretary 1.5.1 1415409 Ontario Inc. et al.
FOR IMMEDIATE RELEASE August 27, 2015
IN THE MATTER OF
THE SECURITIES ACT, R.S.O. 1990, c. S.5, AS AMENDED
AND
IN THE MATTER OF
1415409 ONTARIO INC., TITLE ONE CLOSING INC., RAVINDRA DAVE, CHANDRAMATTIE DAVE,
and AMETRA DAVE
AND
IN THE MATTER OF A SETTLEMENT AGREEMENT BETWEEN
STAFF OF THE ONTARIO SECURITIES COMMISSION and 1415409 ONTARIO INC., TITLE ONE CLOSING INC.,
RAVINDRA DAVE, and CHANDRAMATTIE DAVE TORONTO – Following a hearing held today, the Commission issued an Order in the above named matter approving the Settlement Agreement reached between Staff of the Commission and 1415409 Ontario Inc., Title One Closing Inc., Ravindra Dave and Chandramattie Dave. A copy of the Order dated August 27, 2015 and Settlement Agreement dated August 27, 2015 are available at www.osc.gov.on.ca. OFFICE OF THE SECRETARY JOSÉE TURCOTTE SECRETARY For media inquiries: [email protected] For investor inquiries: OSC Contact Centre 416-593-8314 1-877-785-1555 (Toll Free)
1.5.2 1415409 Ontario Inc. et al.
FOR IMMEDIATE RELEASE August 27, 2015
IN THE MATTER OF
THE SECURITIES ACT, R.S.O. 1990, c. S.5, AS AMENDED
AND
IN THE MATTER OF
1415409 ONTARIO INC., TITLE ONE CLOSING INC., RAVINDRA DAVE, CHANDRAMATTIE DAVE,
and AMETRA DAVE TORONTO – Staff of the Ontario Securities Commission filed a Notice of Withdrawal against the Respondent, Ametra Dave as of August 27, 2015 in the above noted matter. A copy of the Notice of Withdrawal dated August 27, 2015 is available at www.osc.gov.on.ca. OFFICE OF THE SECRETARY JOSÉE TURCOTTE SECRETARY For media inquiries: [email protected] For investor inquiries: OSC Contact Centre 416-593-8314 1-877-785-1555 (Toll Free)
Notices / News Releases
September 3, 2015
(2015), 38 OSCB 7498
1.5.3 Richvale Resource Corporation et al.
FOR IMMEDIATE RELEASE August 28, 2015
IN THE MATTER OF
THE SECURITIES ACT, R.S.O. 1990, c. S.5, AS AMENDED
AND
IN THE MATTER OF
RICHVALE RESOURCE CORPORATION, MARVIN WINICK, HOWARD BLUMENFELD, JOHN COLONNA, PASQUALE SCHIAVONE,
and SHAFI KHAN TORONTO – The Commission issued an Order in the above named matter which provides that
(1) Staff’s application to proceed by way of written hearing, pursuant to Rule 11 of the Commission’s Rules of Procedure (2014), 37 O.S.C.B. 4168, is granted; and
(2) pursuant to subsections 17(1)(b) and
17(2.1), and section 153 of the Act, Staff may provide CRIA with copies of the Richvale Account Records and the Richvale Investor List.
A copy of the Order dated August 28, 2015 is available at www.osc.gov.on.ca. OFFICE OF THE SECRETARY JOSEE TURCOTTE SECRETARY For media inquiries: [email protected] For investor inquiries: OSC Contact Centre 416-593-8314 1-877-785-1555 (Toll Free)
1.5.4 Andre Lewis
FOR IMMEDIATE RELEASE September 1, 2015
IN THE MATTER OF
THE SECURITIES ACT, R.S.O. 1990, c. S.5, AS AMENDED
AND
IN THE MATTER OF
ANDRE LEWIS TORONTO – The Commission issued its Reasons and Decision and an Order pursuant to Subsections 127(1) and 127(10) of the Securities Act in the above noted matter. A copy of the Reasons and Decision dated August 31, 2015 and the Order dated August 31, 2015 are available at www.osc.gov.on.ca. OFFICE OF THE SECRETARY JOSÉE TURCOTTE SECRETARY For media inquiries: [email protected] For investor inquiries: OSC Contact Centre 416-593-8314 1-877-785-1555 (Toll Free)
September 3, 2015
(2015), 38 OSCB 7499
Chapter 2
Decisions, Orders and Rulings 2.1 Decisions 2.1.1 PetroNova Inc. – s. 1(10)(a)(ii) Headnote National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – Issuer deemed to no longer 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). Citation: Re PetroNova Inc., 2015 ABASC 843 August 25, 2015 Dentons Canada LLP 15th Floor, Bankers Court 850 - 2nd Street SW Calgary, AB T2P 0R8 Attention: Peter Yates Dear Sir: Re: PetroNova Inc. (the Applicant) – Application
for a decision under the securities legislation of Alberta, Saskatchewan, Manitoba, Ontario, Nova Scotia, New Brunswick, Prince Edward Island and Newfoundland and Labrador (the Jurisdictions) that the Applicant is not a reporting issuer
The Applicant has applied to the local securities regulatory authority or regulator (the Decision Maker) in each of the Jurisdictions for a decision under the securities legislation (the Legislation) of the Jurisdictions that the Applicant is not a reporting issuer. In this decision, “securityholder” means, for a security, the beneficial owner of the security. The Applicant has represented to the Decision Makers that:
(a) the outstanding securities of the Applicant, including debt securities, are beneficially owned, directly or indirectly, by fewer than 15 securityholders in each of the jurisdictions of Canada and fewer than 51 securityholders in total worldwide;
(b) no securities of the Applicant, including
debt securities, are traded in Canada or another country on a marketplace as
defined in National Instrument 21-101 Marketplace Operation or any other facility for bringing together buyers and sellers of securities where trading data is publicly reported;
(c) the Applicant is applying for a decision
that it is not a reporting issuer in all of the jurisdictions of Canada in which it is currently a reporting issuer; and
(d) the Applicant is not in default of any of its
obligations under the Legislation as a reporting issuer.
Each of the Decision Makers is satisfied that the test contained in the Legislation that provides the Decision Maker with the jurisdiction to make the decision has been met and orders that the Applicant is deemed to have ceased to be a reporting issuer. "Denise Weeres" Manager, Legal Corporate Finance
Decisions, Orders and Rulings
September 3, 2015
(2015), 38 OSCB 7500
2.1.2 Alder Resources Ltd. – s. 1(10)(a)(ii) Headnote National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – Issuer deemed to no longer 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). August 25, 2015 Alder Resources Ltd. 2400 – 120 Adelaide Street West Toronto, ON M5H 1T1 Attn.: Craig Pearman and Cassels Brock & Blackwell LLP 2200 HSBC Building, 885 West Georgia Street Vancouver, BC V6C 3E8 Dear Sir: Re: Alder Resources Ltd. (the Applicant) –
Application for a decision under the securities legislation of Ontario and Alberta (the Jurisdictions) that the Applicant is not a reporting issuer
The Applicant has applied to the local securities regulatory authority or regulator (the Decision Maker) in each of the Jurisdictions for a decision under the securities legislation (the Legislation) of the Jurisdictions that the Applicant is not a reporting issuer. In this decision, “securityholder” means, for a security, the beneficial owner of the security. The Applicant has represented to the Decision Makers that:
(a) the outstanding securities of the Applicant, including debt securities, are beneficially owned, directly or indirectly, by fewer than 15 securityholders in each of the jurisdictions of Canada and fewer than 51 securityholders in total worldwide;
(b) no securities of the Applicant, including
debt securities, are traded in Canada or another country on a marketplace as defined in National Instrument 21-101 Marketplace Operation or any other facility for bringing together buyers and sellers of securities where trading data is publicly reported;
(c) the Applicant is applying for a decision
that it is not a reporting issuer in all of the
jurisdictions of Canada in which it is currently a reporting issuer; and
(d) the Applicant is not in default of any of its
obligations under the Legislation as a reporting issuer.
Each of the Decision Makers is satisfied that the test contained in the Legislation that provides the Decision Maker with the jurisdiction to make the decision has been met and orders that the Applicant is not a reporting issuer. “Shannon O’Hearn” Manager, Corporate Finance Ontario Securities Commission
Decisions, Orders and Rulings
September 3, 2015
(2015), 38 OSCB 7501
2.1.3 Excel Funds Management Inc. et al. Headnote National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – approval granted under NI 81-102 for reorganization of non-redeemable investment funds that will result in securityholders becoming securityholders of a different mutual fund – approval needed because pre-approval conditions for mergers won’t be met because investment objectives, fee structure not substantially similar, and terminating funds will not offer special redemption right at net asset value prior to the merger date – continuing fund larger with a more diversified portfolio than terminating funds – mergers will result in comparable or lower MERs for terminating fund securityholders – mergers to otherwise comply with pre-approval criteria, including securityholder, IRC approval. Applicable Legislative Provisions National Instrument 81-102 Investment Funds, ss.
5.5(1)(b), 5.7(1)(b).
August 27, 2015
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
EXCEL FUNDS MANAGEMENT INC. (the Filer)
AND
EXCEL LATIN AMERICA BOND FUND
AND
EXCEL LATIN AMERICA BOND FUND II
(each a Terminating Fund and collectively the Terminating Funds)
DECISION
Background The principal regulator in the Jurisdiction has received an application from the Filer on behalf of the Terminating Funds for a decision under the securities legislation of the Jurisdiction of the principal regulator (the Legislation) for approval (the Approval Sought) under subsection 5.5(1)(b) of National Instrument 81-102 Investment Funds
(NI 81-102) to merge (the Mergers) each Terminating Fund into Excel High Income Fund (the Continuing Fund, and together with each Terminating Fund, the Funds). Under the Process for Exemptive Relief Applications in Multiple Jurisdictions (for a passport application):
(i) the Ontario Securities Commission is the principal regulator (the Principal Regulator) for this application; and
(ii) the Filer has provided notice that section
4.7(1) of Multilateral Instrument 11-102 Passport System (MI 11-102) is to be relied upon in British Columbia, Alberta, Saskatchewan, Manitoba, Québec, New Brunswick, Nova Scotia, Prince Edward Island, Newfoundland and Labrador, Yukon, Northwest Territories and Nuna-vut (the Other Jurisdictions and together with the Jurisdiction, the Jurisdictions).
Interpretation Defined terms contained in NI 81-102, National Instrument 14-101 Definitions and MI 11-102 have the same meaning in this decision unless they are defined in this decision. Representations This Decision is based on the following facts represented by the Filer: The Filer 1. The Filer is a corporation governed by the laws of
the Province of Ontario with its head office in Mississauga, Ontario.
2. The Filer is the investment fund manager of the
Funds and is registered as an investment fund manager in the Provinces of Newfoundland and Labrador, Ontario and Quebec.
3. The Filer is not in default of the securities
legislation of any of the Jurisdictions. The Terminating Funds 4. Each Terminating Fund is a non-redeemable
investment fund trust established under the laws of the Province of Ontario. Each Terminating Fund is a reporting issuer in the Jurisdictions. The Terminating Funds are not in default of the securities legislation of any of the Jurisdictions.
5. Excel Latin America Bond Fund offers two classes
of securities, initially distributed pursuant to a prospectus dated May 30, 2012 – Class A units and Class F units. Excel Latin America Bond Fund II offers three classes of securities initially distributed pursuant to a prospectus dated April
Decisions, Orders and Rulings
September 3, 2015
(2015), 38 OSCB 7502
23, 2013 – Class A units, Class F units and Class U units.
6. The Class A units of each Terminating Fund are
listed for trading on the Toronto Stock Exchange. The Class F units of each Terminating Fund are designed for fee-based accounts. The Class U units of Excel Latin America Bond Fund II are designed for investors who wished to make their investment in U.S. dollars. Since its respective initial public offering, neither Terminating Fund has issued any additional securities.
The Continuing Fund 7. The Continuing Fund is an open-ended mutual
fund trust established under the laws of the Province of Ontario. The Continuing Fund is a reporting issuer in each of the Jurisdictions. The Continuing Fund is not in default of the securities legislation in any of the Jurisdictions.
8. Units of the Continuing Fund are in continuous
distribution pursuant to a simplified prospectus dated September 30, 2014. The Continuing Fund offers two classes of securities – Series A and Series F.
The Funds 9. Other than circumstances in which the securities
regulatory authority of a province or territory of Canada has expressly exempted a Fund therefrom, each of the Funds follows the standard investment restrictions and practices established under NI 81-102.
10. The net asset value for each series of the Funds
is calculated on a daily basis in accordance with the Funds’ valuation policy and as described in their respective offering documents.
The Merger 11. A press release announcing each proposed
Merger was issued on June 18, 2015 and subsequently filed via SEDAR. A material change report with respect to each Terminating Fund regarding the proposed Mergers was filed via SEDAR on the same date.
12. As required by National Instrument 81-107
Independent Review Committee for Investment Funds (NI 81-107), an Independent Review Committee (the IRC) has been appointed for the Funds. The Manager presented the potential conflict of interest matters related to the proposed Mergers to the IRC for a recommendation on June 9, 2015, in order for the IRC to determine that the proposed Mergers, if implemented, would achieve a fair and reasonable result for each of the Funds.
13. The Filer has determined that the proposed Mergers will not be a material change for the Continuing Fund.
14. Approval of the Mergers is required because the
Mergers do not satisfy all of the criteria for pre-approved reorganizations and transfers as set out in section 5.6 of NI 81-102, namely because: (i) a reasonable person may not consider the fundamental investment objectives of the Terminating Funds and that of the Continuing Fund to be “substantially similar”; (ii) a reasonable person may not consider the fee structure of the Terminating Funds and that of the Continuing Fund to be “substantially similar”; and (iii) unitholders of the Terminating Funds will not be provided with a right to redeem their units at a price equal to their net asset value per unit prior to the date of the Mergers.
15. Each Merger will be effected as a “qualifying
exchange” or a tax deferred transaction under the Income Tax Act (Canada) (the Tax Act).
16. A notice of meeting, management information
circular and proxies in connection with each Merger were mailed to unitholders of each Terminating Fund on July 24, 2015 and were subsequently filed on SEDAR. The most recently-filed fund facts documents of the Continuing Fund were also included in the meeting materials sent to unitholders of the Terminating Funds.
17. The Filer will pay all costs and reasonable
expenses relating to the solicitation of proxies and holding the unitholder meetings in connection with the Mergers as well as the costs of implementing the Mergers.
18. The Class A and Class F unitholders of Excel
Latin America Bond Fund and the Class A, Class F and Class U unitholders of Excel Latin America Bond Fund II separately approved each respective Merger at special meetings of each Terminating Fund held on August 24, 2015.
19. If the Approval Sought is obtained, it is anticipated
that the Mergers will each be implemented on or about September 3, 2015 (the Merger Date). Following the Mergers, the Continuing Fund will continue as a publicly-offered open end mutual fund trust and each Terminating Fund will be wound up as soon as reasonably practicable and in any case within 60 days of the Merger Date.
20. If the Approval Sought is obtained, the following
steps will be carried out to effect the Mergers: (a) On or about August 31, 2015, each
Terminating Fund will de-list its Class A units from the Toronto Stock Exchange.
Decisions, Orders and Rulings
September 3, 2015
(2015), 38 OSCB 7503
(b) Prior to effecting its Merger, Excel Latin America Bond Fund will settle (the Settlement) the share basket forward agreement (the Forward Agreement) it has in place with a Schedule I Canadian chartered bank (the Counterparty) and in connection with the Settlement will receive a portfolio of Canadian publicly traded securities (the Equity Basket). Excel Latin America Bond Fund will then sell the securities comprising the Equity Basket such that prior to the Merger it will only hold cash.
(c) Prior to effecting its Merger, Excel Latin
America Bond Fund II will sell all of the securities in its portfolio such that prior to the Merger it will only hold cash.
(d) As a result, each Terminating Fund will
temporarily hold cash and will not be fully invested in accordance with its invest-ment objectives for a brief period of time prior to its respective Merger being effected.
(e) The respective declaration of trust of
each Terminating Fund will be amended to the extent necessary to give effect to the Mergers.
(f) With respect to the Merger of Excel Latin
America Bond Fund, the Settlement will trigger a capital loss inherent under the Forward Agreement for the Fund.
(g) The Continuing Fund will not assume any
liabilities of the Terminating Funds and each Terminating Fund will retain sufficient cash to satisfy its estimated liabilities, if any, as of the Merger Date.
(h) Each Terminating Fund will determine
the amount of income and net taxable gains (if any) it has realized during the taxation year including the Merger Date. If applicable, each Terminating Fund will distribute sufficient net income and net capital gains to its unitholders to ensure that the Terminating Fund will not be subject to tax under the Tax Act.
(i) On the Merger Date, each Terminating
Fund will use the remaining cash to acquire units of the Continuing Fund at their applicable series net asset value per unit as of the close of business on the effective date of the Merger. The Series A units and Series F units of the Continuing Fund acquired by each Terminating Fund will have an aggregate net asset value equal to the value of the applicable Terminating Fund’s net assets
as of the close of business on the last valuation date for the Terminating Fund immediately preceding the Merger Date.
(j) Each Terminating Fund will cause all of
its outstanding units to be redeemed and will distribute the units of the Continuing Fund held in its portfolio as a payment “in kind” of the redemption price of the redeemed units, so that following the distribution, unitholders of each Terminating Fund will become direct unitholders of the Continuing Fund.
(k) This will result in each unitholder of the
Terminating Funds receiving units of the applicable series of the Continuing Fund with a value equal to the net asset value of the units of the Terminating Fund the unitholder held of the relevant class of the Terminating Fund. Class A and Class F unitholders of each Terminating Fund will receive the equivalent number of Series A and Series F units respectively, of the Continuing Fund. Class U unitholders of Excel Latin America Bond Fund II will receive the equivalent number of Series A units of the Continuing Fund issued under the U.S. dollar purchase option.
(l) The Funds will jointly file an election to
have each Merger effected as a “qualifying exchange” under the Tax Act.
(m) Following the Mergers, and in any case
within 60 days thereof, each Terminating Fund will be wound up.
21. The Filer believes that the Merger will be
beneficial to unitholders of each of the Terminating Funds for the following reasons: (a) The investment objective of the Con-
tinuing Fund offers more diversification and exposure to a portfolio with higher credit quality and less historical volatility than the investment objectives of the Terminating Funds. Unitholders of the Terminating Funds will also be able to benefit from the portfolio advisory and sub-advisory services of Amundi S.A. and Amundi Canada Inc. Based on its historical standard deviation, the Con-tinuing Fund is rated low-medium risk compared to the Terminating Funds which are each rated as high risk;
(b) The units of the Continuing Fund are
redeemable daily at a price based on NAV per unit;
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September 3, 2015
(2015), 38 OSCB 7504
(c) The Continuing Fund has a larger portfolio and will have the potential to have an even larger portfolio, as the Continuing Fund will be in continuous distribution, and is expected to offer up the potential for enhanced portfolio diversification to unitholders;
(d) Unitholders of each of the Terminating
Funds will exchange their respective units for units of the Continuing Fund on a tax-deferred rollover basis. The Merger of the Terminating Funds with the Continuing Fund will occur on a tax-deferred basis; and
(e) In the case of the Merger between Excel
Latin America Bond Fund and the Continuing Fund, unitholders of Excel Latin America Bond Fund who will continue as unitholders of the Continuing Fund will benefit from the lower management expense ratio of the Continuing Fund as compared to that of the Terminating Fund.
22. The unitholders of the Terminating Fund will not
be provided with a right to redeem their units prior to the Merger Date because, as the Continuing Fund is an open-end mutual fund, the Continuing Fund will provide the unitholders of each of the Terminating Funds with a right to redeem their units at the net asset value per unit on the business day immediately following the completion of the Merger.
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 Approval Sought is granted. “Raymond Chan” Manager Investment Funds and Structured Products Branch Ontario Securities Commission
2.1.4 Sintana Holdings Corp. – s. 1(10) Headnote National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – application for an order that the issuer is not a reporting issuer. Ontario Statutes Securities Act, R.S.O. 1990, c. S.5, as am., s. 1(10). August 31, 2015 Sintana Holdings Corp. c/o Andra Enescu Cassels Brock & Blackwell LLP 40 King Street West Scotia Plaza, Suite 2100 Toronto, Ontario M4H 3C2 Dear Madam: Re: Sintana Holdings Corp. (the "Applicant") –
Application to Cease to be a Reporting Issuer under the securities legislation of each of Ontario, Alberta, Saskatchewan, Manitoba, New Brunswick, Newfoundland and Labrador, Prince Edward Island and Nova Scotia (the "Jurisdictions")
The Applicant has applied to the local securities regulatory authority or regulator (the “Decision Maker”) in each of the Jurisdictions for a decision under the securities legislation (the “Legislation”) of the Jurisdictions that it is not a reporting issuer. In this decision, “securityholder” means, for a security, the beneficial owner of the security. The Applicant has represented to the Decision Makers that:
(a) the outstanding securities of the Applicant, including debt securities, are beneficially owned, directly or indirectly, by fewer than 15 securityholders in each of the jurisdictions of Canada and fewer than 51 securityholders in total worldwide;
(b) no securities of the Applicant, including
debt securities, are traded in Canada or another country on a marketplace as defined in National Instrument 21-101 – Marketplace Operation or any other facility for bringing together buyers and sellers of securities where trading data is publicly reported;
(c) the Applicant is applying for a decision
that it is not a reporting issuer in all of the jurisdictions of Canada in which it is currently a reporting issuer; and
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(2015), 38 OSCB 7505
(d) the Applicant is not in default of any of its obligations under the Legislation as a reporting issuer,
each of the Decision Makers is satisfied that the test contained in the Legislation that provides the Decision Maker with the jurisdiction to make the decision has been met and orders that the Applicant is not a reporting issuer. “Shannon O’Hearn” Manager, Corporate Finance Ontario Securities Commission
2.1.5 Horizons ETFs Management (Canada) Inc. Headnote National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – Exemption granted to permit a Canadian exchange-traded mutual fund to invest in an underlying fund based in Hong Kong whose securities would meet the definition of index participation unit in NI 81-102, but for the fact that they are listed on the Stock Exchange of Hong Kong – relief is subject to certain conditions and requirements including the underlying fund is not a synthetic ETF – National Instrument 81-102 Investment Funds. Applicable Legislative Provisions National Instrument 81-102 Investment Funds, ss. 2.1(1),
2.5(2)(a), (c) and (f), 19.1.
July 24, 2015
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
HORIZONS ETFS MANAGEMENT (CANADA) INC. (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) in connection with the proposed initial public offering of a class or series of units of an exchange traded fund (the Proposed ETF) to be established by the Filer, to exempt the Proposed ETF from subsection 2.1(1) and paragraphs 2.5(2)(a), 2.5(2)(c) and 2.5(2)(e) of National Instrument 81-102 Investment Funds (NI 81-102) to permit the Proposed ETF to purchase securities of the Underlying ETF (as defined below) (the Requested Relief). 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
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September 3, 2015
(2015), 38 OSCB 7506
(b) the Filer has provided notice that sub-section 4.7(1) of Multilateral Instrument 11-102 Passport System (MI 11-102) is intended to be relied upon in British Columbia, Alberta, Manitoba, Saskatch-ewan, Québec, Nova Scotia, New Brunswick, Newfoundland and Labrador, Prince Edward Island, the Northwest Territories, Nunavut and the Yukon Territory (together with Ontario, the Jurisdictions).
Interpretation Terms defined in National Instrument 14-101 Definitions and MI 11-102 have the same meaning if used in this decision, unless otherwise defined. Representations This decision is based on the following facts represented by the Filer: 1. The Filer is a corporation incorporated under the
federal laws of Canada with its head office located in Toronto, Ontario, and is registered under the securities legislation of Ontario as an investment fund manager.
2. The Filer is a subsidiary of Mirae Asset Global
Investments Co., Ltd., the Korea-based asset management entity of Mirae Asset Financial Group.
3. The Filer will act as trustee and manager of the
Proposed ETF. 4. The Proposed ETF will be (i) an open-ended
mutual fund trust governed by the laws of the province of Ontario, (ii) a reporting issuer under the laws of all of the Jurisdictions, and (iii) governed by NI 81-102, subject to exemptive relief granted by the securities regulatory authorities.
5. The securities of the Proposed ETF will be
qualified for distribution in each of the Jurisdictions under a long form prospectus filed in accordance with NI 41-101 and receipted by the securities regulatory authorities in each of the Jurisdictions.
6. The investment objective of the Proposed ETF will
be substantially similar to the following: to seek to replicate, to the extent possible, the performance (Total Return) of the Hang Seng High Dividend Yield Index (the Index), net of expenses, by investing directly in the constituent securities of the Index or indirectly through the Horizons Hang Seng High Dividend Yield ETF (the Underlying ETF).
The Underlying ETF 7. The Underlying ETF is a sub-fund of the Horizons
Exchange Traded Funds Series, an umbrella unit trust established under Hong Kong law by a trust deed between Mirae Asset Global Investments (Hong Kong) Limited, as manager, and Cititrust Limited, as trustee.
8. Mirae Asset Global Investments (Hong Kong)
Limited (the Underlying Manager), the manager of the Underlying ETF, was incorporated in 2003 under the laws of Hong Kong and licensed by the Hong Kong Securities and Futures Commission (the HK Commission) and is an affiliate of Mirae Asset Global Investments Co., Ltd.
9. The Underlying Manager is licensed by the HK
Commission to carry on three regulated activities under the Securities and Futures Ordinance: (i) dealing in securities, (ii) advising on securities, and (iii) asset management.
10. The Underlying ETF was established on June 11,
2013 and currently lists its securities on the Stock Exchange of Hong Kong Limited (the SEHK) pursuant to a prospectus dated September 19, 2014.
11. The Underlying ETF is a “mutual fund” within the
meaning of applicable Canadian securities legislation.
12. The investment objective of the Underlying ETF is
to seek to provide investment results that, before deduction of fees and expenses, closely correspond to the performance of the Index. The Underlying Manager seeks to achieve its investment objective by primarily investing in securities comprising the Index.
13. The Underlying ETF employs a passive invest-
ment strategy. The Index 14. The Index was launched on December 10, 2012,
and is calculated and maintained by Hang Seng Indexes Company Limited.
15. The Filer and the Underlying Manager are
independent of Hang Seng Indexes Company Limited.
16. The Index methodology includes the top 50 large-
capitalization and mid-capitalization constituents from the HSCI (capped at 10% in any single constituent according to the index methodology), each of which have their primary listing on the SEHK.
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September 3, 2015
(2015), 38 OSCB 7507
17. The methodology for the selection and weighting of the Index constituents, including the names of the issuers included in the Index, is publicly available and updated from time to time.
Reasons for the Requested Relief 18. But for the requirement in the definition of “index
participation unit” that a security be traded on a stock exchange in Canada or the United States, securities of the Underlying ETF would be “index participation units”.
19. The Proposed ETF seeks to obtain indirect
exposure to the securities of the Index, including through the Underlying ETF, on the same basis as would be permitted under subsection 2.1(1) and paragraphs 2.5(2)(a), 2.5(2)(c) and 2.5(2)(e) of NI 81-102, as if the securities of the Underlying ETF were listed on a stock exchange in Canada or the United States and were, as a result, index participation units.
20. The regulatory regime, administration, operation,
investment objectives and restrictions applicable to the Underlying ETF are as rigorous as those applicable to the Proposed ETF and therefore make securities of the Underlying ETF an appropriate investment for the Proposed ETF.
21. In particular, the Underlying ETF is subject to the
following regulatory requirements:
(a) The Underlying ETF is required to prepare a prospectus that discloses material facts similar to the disclosure requirements under Form 41-101F2 Information Required in an Investment Fund Prospectus.
(b) The Underlying ETF prepares fact sheets
and/or key investor information docu-ments which, taken together, provide disclosure that is substantially similar to ETF summary documents currently prepared by Canadian ETF managers.
(c) The Underlying ETF is subject to con-
tinuous disclosure obligations which are substantially similar to the disclosure obligations under National Instrument 81-106 Investment Fund Continuous Dis-closure.
(d) The Underlying ETF is required to update
information of material significance in the prospectus and to prepare semi-annual (unaudited) and annual financial state-ments (audited).
(e) The Underlying ETF is subject to
investment restrictions concerning the Underlying ETF’s portfolio concentration,
ability to control issuers in its portfolio, the liquidity of its portfolio securities, investments in other investment funds, investments in real estate, short selling, writing of call options, and securities lending.
(f) The Underlying ETF is not permitted to
hold more than 10% of a class of securities of any single issuer.
(g) The Underlying ETF is not permitted to
invest more than 10% of its net asset value in securities of any single issuer.
(h) The Underlying ETF does not invest in
financial derivatives instruments (and has not adopted a synthetic replication strategy) and does not intend to engage in securities lending or repurchase transactions in respect of its portfolio.
22. As the Underlying Manager is subject to the laws
of Hong Kong and licensed carry on three regulated activities: (i) to deal in securities, (ii) advise in securities, and (iii) asset management, by the HK Commission, the Underlying Manager is subject to equivalent regulatory oversight as the Filer, which is primarily regulated by the Principal Regulator.
23. The SEHK is subject to similar regulatory
oversight to securities exchanges in Canada and the United States and therefore the listing requirements and regulatory oversight of the SEHK should be recognized as providing an appropriate trading platform for securities purchased, directly or indirectly, by the Proposed ETF on an equivalent basis to the way in which the listing requirements and regulatory oversight of securities exchanges in Canada and the United States are so recognized.
24. No management fees or incentive fees will be
payable by the Proposed ETF that, to a reasonable person, would duplicate a fee payable by such Underlying ETF for the same service.
25. In the absence of the Requested Relief:
(a) the Proposed ETF would not be able to rely on the exemption available for “index participation units” in paragraph 2.1(2) because index participation units are currently defined to be securities that are traded in Canada or the United States only, and accordingly, the Proposed ETF would be prohibited from purchasing or holding units of the Underlying ETF if, immediately after any such purchase, more than 10% of the net asset value Proposed ETF would be invested in units of the Underlying ETF.
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September 3, 2015
(2015), 38 OSCB 7508
(b) The Proposed ETF would not be able to rely on the exemptions available for “index participation units” in paragraphs 2.5(3) and 2.5(5) because index participation units are currently defined to be securities that are traded in Canada or the United States only, and accordingly, the Proposed ETF would be prohibited from purchasing or holding units of the Underlying ETF.
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 Requested Relief is granted provided that:
(a) the Underlying ETF is not a “synthetic ETF”, meaning that the Underlying ETF will not principally rely on an investment strategy that makes use of swaps or other derivatives to gain an indirect financial exposure to the return of the Index;
(b) the relief from paragraph 2.5(2)(e) of NI
81-102 will only apply to brokerage fees incurred for the purchase or sale of the Underlying ETF;
(c) each prospectus of the Proposed ETF
discloses the fact that the Proposed ETF has obtained relief to invest in the Underlying ETF;
(d) the investment objective of the Proposed
ETF names the Underlying ETF; and (e) in the event that the regulatory regime
applicable to the Underlying ETF is changed in any material way, the Proposed ETF does not acquire any additional securities of the Underlying ETF, and disposes of any securities of the Underlying ETF then held, within six months.
The Requested Relief will terminate six months after the coming into force of any amendments to paragraphs 2.5(a), (c) or (e) of NI 81-102 that restrict or regulate the Proposed ETF’s ability to invest in the Underlying ETF. “Raymond Chan” Manager, Investment Funds and Structured Products Ontario Securities Commission
2.2 Orders 2.2.1 Magna International Inc. – s. 104(2)(c) Headnote Subsection 104(2)(c) of the Act – Issuer bid – relief from issuer bid requirements in sections 94 to 94.8 and 97 to 98.7 of the Act – Issuer proposes to purchase, at a discounted purchase price, up to 1,360,000 of its common shares from one of its shareholders – due to the discounted purchase price, proposed purchases cannot be made through the TSX trading system – but for the fact that the proposed purchases cannot be made through the TSX trading system, the Issuer could otherwise acquire the subject shares in reliance upon the issuer bid exemption available under section 101.2 of the Act and in accordance with the TSX rules governing normal course issuer bid purchases – the selling shareholder did not purchase the subject shares in anticipation or contemplation of resale to the Issuer and has not, for a minimum of 30 days prior to the date of the application seeking the requested relief, purchased common shares of the Issuer in anticipation or contemplation of a sale of common shares to the Issuer – no adverse economic impact on, or prejudice to, the Issuer or public shareholders – proposed purchases exempt from the issuer bid requirements in sections 94 to 94.8 and 97 to 98.7 of the Act, subject to conditions, including that the Issuer not purchase, in the aggregate, more than one-third of the maximum number of shares to be purchased under its normal course issuer bid by way of off-exchange block purchases, and that the Issuer not make any proposed purchase unless it has first obtained written confirmation from the selling shareholder that between the date of the order and the date on which the proposed purchase is completed, the selling shareholder has not purchased, had purchased on its behalf, or otherwise accumulated, any common shares of the Issuer to re-establish its holdings of common shares which will have been reduced as a result of the sale of the subject shares pursuant to the proposed purchases. Statutes Cited Securities Act, R.S.O. 1990, c. S.5, as am., ss. 94 to 94.8,
97 to 98.7, 104(2)(c).
IN THE MATTER OF THE SECURITIES ACT,
R.S.O. 1990, c.S.5, AS AMENDED
AND
IN THE MATTER OF MAGNA INTERNATIONAL INC.
ORDER
(Clause 104(2)(c)) UPON the application (the “Application”) of Magna International Inc. (the “Issuer”) to the Ontario Securities Commission (the “Commission”) for an order pursuant to clause 104(2)(c) of the Securities Act (Ontario)
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September 3, 2015
(2015), 38 OSCB 7509
(the “Act”) exempting the Issuer from the requirements of sections 94 to 94.8, inclusive, and sections 97 to 98.7, inclusive, of the Act (the “Issuer Bid Requirements”) in connection with the proposed purchases by the Issuer of up to 1,360,000 common shares of the Issuer (collectively, the “Subject Shares”) in one or more tranches, from Royal Bank of Canada (the “Selling Shareholder”); AND UPON considering the Application and the recommendation of staff of the Commission; AND UPON the Issuer (and the Selling Shareholder in respect of paragraphs 5, 6, 7, 8, 9, 10, 13, 24 and 26 as they relate to the Selling Shareholder) having represented to the Commission that: 1. The Issuer is a corporation governed by the
Business Corporations Act (Ontario). 2. The registered and head office of the Issuer is
located at 337 Magna Drive, Aurora, Ontario, L4G 7K1.
3. The Issuer is a reporting issuer in each of the
provinces of Canada and its common shares (the “Common Shares”) are listed for trading on the Toronto Stock Exchange (the “TSX”) and the New York Stock Exchange (“NYSE”) under the symbols “MG” and “MGA”, respectively. The Issuer is not in default of any requirement of the securities legislation in the jurisdictions in which it is a reporting issuer.
4. The authorized share capital of the Issuer consists
of an unlimited number of Common Shares and 99,760,000 preference shares (the “Preference Shares”) issuable in series. As at August 12, 2015, 411,507,025 Common Shares and no Preference Shares were issued and outstanding.
5. The corporate headquarters of the Selling
Shareholder are located in the Province of Ontario. Each Proposed Purchase (as defined below) under this Order will be executed and settled in the Province of Ontario.
6. The Selling Shareholder does not, directly or
indirectly, own more than 5% of the issued and outstanding Common Shares.
7. The Selling Shareholder is the beneficial owner of
at least 1,360,000 Common Shares. None of the Subject Shares were acquired by, or on behalf of, the Selling Shareholder in anticipation or contemplation of resale to the Issuer.
8. No Common Shares were purchased by, or on
behalf of, the Selling Shareholder on or after July 15, 2015, being the date that was 30 days prior to the date of the Application, in anticipation or contemplation of a sale of Common Shares to the Issuer.
9. The Subject Shares are held by the Selling Shareholder in connection with arrangements to hedge client transactions in respect of the Common Shares. Between the date of this Order and the date on which a Proposed Purchase is to be completed, the Selling Shareholder will not purchase, have purchased on its behalf, or otherwise accumulate, any Common Shares to re-establish its holdings of Common Shares which will have been reduced as a result of the sale of Subject Shares pursuant to the Proposed Purchases.
10. The Selling Shareholder is at arm’s length to the
Issuer and is not an “insider” of the Issuer or an “associate” of an “insider” of the Issuer, or an “associate” or “affiliate” of the Issuer, as such terms are defined in the Act. The Selling Shareholder is an “accredited investor” within the meaning of National Instrument 45-106 Prospectus Exemptions.
11. Pursuant to the terms of a “Notice of Intention to
Make a Normal Course Issuer Bid” (the “Notice”) that was submitted to, and accepted by, the TSX effective November 11, 2014, the Issuer was permitted to make a normal course issuer bid (the “Normal Course Issuer Bid”) to purchase up to 20,000,000 Common Shares, representing approximately 9.7% of the Issuer’s public float of Common Shares as of the date specified in the Notice, during the 12-month period beginning on November 13, 2014 and ending on November 12, 2015. The Notice specifies that purchases under the Normal Course Issuer Bid will be conducted through the facilities of the TSX and purchases may also be made on the NYSE or through other published markets 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 NCIB Rules”), including by private agreements pursuant to issuer bid exemption orders issued by a securities regulatory authority (each, an “Off-Exchange Block Purchase”).
12. On March 25, 2015, the Issuer completed a two-
for-one stock split (the “Stock Split”), which was implemented by way of a stock dividend, whereby shareholders received an additional Common Share for each Common Share held. Accordingly, to reflect the issuance of additional Common Shares in connection with the Stock Split, up to 40,000,000 Common Shares may be purchased by the Issuer under the Normal Course Issuer Bid.
13. The Issuer and the Selling Shareholder intend to
enter into one or more agreements of purchase and sale (each, an “Agreement”), pursuant to which the Issuer will, subject to market conditions, agree to acquire some or all of the Subject Shares from the Selling Shareholder in one or more tranches, such tranches occurring prior to
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September 3, 2015
(2015), 38 OSCB 7510
November 12, 2015 and not more than once per calendar week (each such purchase, a “Proposed Purchase”) for a purchase price (each such price, a “Purchase Price” in respect of such Proposed Purchase) that will be negotiated at arm’s length between the Issuer and the Selling Shareholder. The Purchase Price, in each case, will be at a discount to the prevailing market price and below the prevailing bid-ask price for the Common Shares on the TSX at the time of the relevant Proposed Purchase.
14. The Subject Shares acquired under each
Proposed Purchase will constitute a “block”, as that term is defined in section 628 of the TSX NCIB Rules.
15. The purchase of any of the Subject Shares by the
Issuer pursuant to an Agreement will constitute an “issuer bid” for the purposes of the Act, to which the Issuer Bid Requirements would apply.
16. Because the Purchase Price, in each case, will be
at a discount to the prevailing market price and below the prevailing bid-ask price for the Common Shares on the TSX at the time of the relevant Proposed Purchase, none of the Proposed Purchases can be made through the TSX trading system and, therefore, will not occur “through the facilities” of the TSX. As a result, the Issuer will be unable to acquire Subject Shares from the Selling Shareholder in reliance upon the exemption from the Issuer Bid Requirements that is available pursuant to subsection 101.2(1) of the Act.
17. But for the fact that the Purchase Price will be at a
discount to the prevailing market price and below the prevailing bid-ask price for the Common Shares on the TSX, at the time of the relevant Proposed Purchase, the Issuer could otherwise acquire the applicable Subject Shares through the facilities of the TSX as a “block purchase” (a “Block Purchase”) in accordance with the block purchase exception in clause 629(l)7 of the TSX NCIB Rules and the exemption from the Issuer Bid Requirements that is available pursuant to subsection 101.2(1) of the Act.
18. The sale of any of the Subject Shares to the
Issuer will not be a “distribution” (as defined in the Act).
19. For each Proposed Purchase, the Issuer will be
able to acquire the applicable Subject Shares from the Selling Shareholder without the Issuer being subject to the dealer registration requirements of the Act.
20. Management of the Issuer is of the view that: (a)
the Issuer will be able to purchase the Subject Shares at a lower price than the price at which it would otherwise be able to purchase Common Shares under the Normal Course Issuer Bid in
accordance with the TSX NCIB Rules and the exemption from the Issuer Bid Requirements available pursuant to subsection 101.2(1) of the Act; and (b) the Proposed Purchases are an appropriate use of the Issuer’s funds.
21. The purchase of the Subject Shares will not
adversely affect the Issuer or the rights of any of the Issuer’s security holders and it will not materially affect the control of the Issuer. To the knowledge of the Issuer, the Proposed Purchases will not prejudice the ability of other security holders of the Issuer to otherwise sell Common Shares in the open market at the then prevailing market price. The Proposed Purchases will be carried out at minimal cost to the Issuer.
22. To the best of the Issuer’s knowledge, as of
August 12, 2015, the “public float” for the Issuer’s Common Shares represented approximately 99.4% of all of the issued and outstanding Common Shares for the purposes of the TSX NCIB Rules.
23. The Common Shares are “highly-liquid securities”
within the meaning of section 1.1 of OSC Rule 48-501 Trading during Distributions, Formal Bids and Share Exchange Transactions and section 1.1 of the Universal Market Integrity Rules.
24. Other than the Purchase Price, no fee or other
consideration will be paid by the Issuer in connection with the Proposed Purchases.
25. The Issuer will not make any Proposed Purchase
until it has first obtained confirmation in writing from the Selling Shareholder that between the date of this Order and the date on which a Proposed Purchase is to be completed, the Selling Shareholder has not purchased, had purchased on its behalf, or otherwise accumulated, any Common Shares to re-establish its holdings of Common Shares which will have been reduced as a result of the sale of Subject Shares pursuant to the Proposed Purchases.
26. At the time that each Agreement is entered into by
the Issuer and the Selling Shareholder and at the time of each Proposed Purchase, neither the Issuer, nor any member of the Equity Finance Canada group of the Selling Shareholder, nor any personnel of, the Selling Shareholder that negotiated the Agreement or made, participated in the making of, or provided advice in connection with, the decision to enter into the Agreement and sell the Subject Shares, will be aware of any “material change” or “material fact” (each as defined in the Act) in respect of the Issuer that has not been generally disclosed.
27. The Commission granted the Issuer three orders
on November 25, 2014 pursuant to clause 104(2)(c) of the Act exempting the Issuer from the
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September 3, 2015
(2015), 38 OSCB 7511
Issuer Bid Requirements in connection with purchases by the Issuer pursuant to private agreements of up to 430,000 Common Shares from the Bank of Montreal (the “BMO Order”), up to 450,000 Common Shares from The Bank of Nova Scotia (the “BNS Order”), and up 1,780,000 Common Shares from BMO Nesbitt Burns Inc. (the “BMO NB Order”, and together with the BMO Order and the BNS Order, the “Existing Orders”). Prior to the Stock Split, the Issuer acquired 2,380,000 Common Shares (or 4,760,000 Common Shares, adjusted to reflect the Stock Split) under the Existing Orders. Subsequent to the Stock Split, the Issuer acquired the remaining 560,000 Common Shares available for purchase under the BMO NB Order. As at August 18, 2015 (and all figures adjusted to reflect the Stock Split), the Issuer has purchased an aggregate of 5,996,163 Common Shares pursuant to the Normal Course Issuer Bid, including 5,320,000 Common Shares under the Existing Orders.
28. The Issuer will not purchase, pursuant to Off-
Exchange Block Purchases, in aggregate, more than one-third of the maximum number of Common Shares that the Issuer can purchase under the Normal Course Issuer Bid, such one-third being equal to 13,333,333 Common Shares as of the date of this Order.
29. Assuming completion of the purchase of the
maximum number of Subject Shares, being 1,360,000 Subject Shares, and the maximum number of Common Shares that are the subject of the Existing Orders, being 5,320,000 Common Shares, the Issuer will have purchased under the Normal Course Issuer Bid an aggregate of 6,680,000 Common Shares pursuant to Off-Exchange Block Purchases, representing 16.7% of the maximum 40,000,000 Common Shares authorized to be purchased under the Normal Course Issuer Bid.
AND UPON the Commission being satisfied to do so would not be prejudicial to the public interest; IT IS ORDERED pursuant to clause 104(2)(c) of the Act that the Issuer be exempt from the Issuer Bid Requirements in connection with the Proposed Purchases, provided that:
(a) the Proposed Purchases will be taken into account by the Issuer when calculating the maximum annual aggregate limit that is imposed upon the Issuer’s Normal Course Issuer Bid in accordance with the TSX NCIB Rules;
(b) the Issuer will refrain from conducting
either a Block Purchase in accordance with the TSX NCIB Rules or another Off-Exchange Block Purchase during the calendar week in which it completes a
Proposed Purchase and will not make any further purchases under its Normal Course Issuer Bid for the remainder of the calendar day on which it completes a Proposed Purchase;
(c) the Purchase Price in respect of each
Proposed Purchase will be at a discount to the last “independent trade” (as that term is used in paragraph 629(l)1 of the TSX NCIB Rules) of a board lot of Common Shares immediately prior to the execution of such Proposed Purchase;
(d) the Issuer will otherwise acquire any
additional Common Shares pursuant to the Issuer’s Normal Course Issuer Bid in accordance with the Notice and the TSX NCIB Rules, including by means of open market transactions and by such other means as may be permitted by the TSX, and, subject to condition (i) below, by Off-Exchange Block Purchases;
(e) immediately following each Proposed
Purchase of Subject Shares from the Selling Shareholder, the Issuer will report the purchase of Subject Shares to the TSX;
(f) at the time that each Agreement is
entered into by the Issuer and the Selling Shareholder and at the time of each Proposed Purchase, neither the Issuer, nor any member of the Equity Finance Canada group of the Selling Shareholder, nor any personnel of the Selling Shareholder that negotiated the Agreement or made, participated in the making of, or provided advice in connection with, the decision to enter into the Agreement and sell the Subject Shares, will be aware of any “material change” or “material fact” (each as defined in the Act) in respect of the Issuer that has not been generally disclosed;
(g) in advance of the first Proposed
Purchase, the Issuer will issue a press release disclosing (i) its intention to make the Proposed Purchases, and (ii) that information regarding each Proposed Purchase, including the number of Subject Shares purchased and the aggregate Purchase Price, will be available on the System for Electronic Document Analysis and Retrieval (“SEDAR”) following the completion of each Proposed Purchase;
(h) the Issuer will report information
regarding each Proposed Purchase,
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(2015), 38 OSCB 7512
including the number of Subject Shares purchased and the aggregate Purchase Price, on SEDAR before 5:00 p.m. (Toronto time) on the business day following such purchase;
(i) the Issuer does not purchase, pursuant
to Off-Exchange Block Purchases, in the aggregate more than one-third of the maximum number of Common Shares the Issuer can purchase under its Normal Course Issuer Bid, such one-third being equal to, as of the date of this Order, 13,333,333 Common Shares; and
(j) the Issuer will not make any Proposed
Purchase unless it has first obtained confirmation in writing from the Selling Shareholder that between the date of this Order and the date on which a Proposed Purchase is to be completed, the Selling Shareholder has not purchased, had purchased on its behalf, or otherwise accumulated, any Common Shares to re-establish its holdings of Common Shares which will have been reduced as a result of the sale of Subject Shares pursuant to the Proposed Purchases.
DATED at Toronto this 25th day of August, 2015. “Edward P. Kerwin” Commissioner Ontario Securities Commission “William Furlong” Commissioner Ontario Securities Commission
2.2.2 Thomson Reuters Corporation – s. 104(2)(c) Headnote Subsection 104(2)(c) of the Act – Issuer bid – relief from issuer bid requirements in sections 94 to 94.8 and 97 to 98.7 of the Act – Issuer proposes to purchase, at a discounted purchase price, from two of its shareholders an aggregate of up to 3,080,000 of its common shares – due to the discounted purchase price, proposed purchases cannot be made through the TSX trading system – but for the fact that the proposed purchases cannot be made through the TSX trading system, the Issuer could otherwise acquire the subject shares in reliance upon the issuer bid exemption available under section 101.2 of the Act and in accordance with the TSX rules governing normal course issuer bid purchases – the selling shareholders did not purchase the subject shares in anticipation or contemplation of resale to the Issuer and has not, for a minimum of 30 days prior to the date of the application seeking the requested relief, purchased common shares of the Issuer in anticipation or contemplation of a sale of common shares to the Issuer – no adverse economic impact on, or prejudice to, the Issuer or public shareholders – proposed purchases exempt from the issuer bid requirements in sections 94 to 94.8 and 97 to 98.7 of the Act, subject to conditions, including that the Issuer not purchase, in the aggregate, more than one-third of the maximum number of shares to be purchased under its normal course issuer bid by way of off-exchange block purchases, and that the Issuer not make any proposed purchase unless it has first obtained written confirmation from each selling shareholder that between the date of the order and the date on which the proposed purchase is completed, neither selling shareholder has purchased, had purchased on its behalf, or otherwise accumulated, any common shares of the Issuer to re-establish its, or the other selling shareholder's, holdings of common shares which will have been reduced as a result of the sale of the subject shares pursuant to the proposed purchases. Statutes Cited Securities Act, R.S.O. 1990, c. S.5, as am., ss. 94 to 94.8,
97 to 98.7, 104(2)(c).
IN THE MATTER OF THE SECURITIES ACT,
R.S.O. 1990, c.S.5, AS AMENDED
AND
IN THE MATTER OF THOMSON REUTERS CORPORATION
ORDER
(Clause 104(2)(c)) UPON the application (the “Application”) of Thomson Reuters Corporation (the “Issuer”) to the Ontario Securities Commission (the “Commission”) for an order of the Commission pursuant to clause 104(2)(c) of the Securities Act (Ontario) exempting the Issuer from the
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September 3, 2015
(2015), 38 OSCB 7513
requirements of sections 94 to 94.8, inclusive, and 97 to 98.7, inclusive, of the Act (the “Issuer Bid Requirements”) in connection with the proposed purchases by the Issuer of up to 3,080,000 of the Issuer’s common shares (collectively, the “Subject Shares”) in one or more trades with Bank of Montreal and/or BMO Nesbitt Burns Inc. (each, a “Selling Shareholder” and together, the “Selling Shareholders”); AND UPON considering the Application and the recommendation of staff of the Commission; AND UPON the Issuer (and each Selling Shareholder in respect of paragraphs 5, 6, 7, 8, 9, 10, 12, 23 and 24 as they relate to such Selling Shareholder) having represented to the Commission that: 1. The Issuer is a corporation governed by the
Business Corporations Act (Ontario). 2. The head office of the Issuer is located at 3 Times
Square, New York, New York 10036 and its registered office is located at 333 Bay Street, Suite 400, Toronto, Ontario M5H 2R2.
3. The Issuer is a reporting issuer in each of the
provinces of Canada and the common shares of the Issuer (the “Shares”) are listed for trading on the Toronto Stock Exchange (the “TSX”) and the New York Stock Exchange (the “NYSE”) under the symbol “TRI”. The Issuer is not in default of any requirement of the securities legislation in the jurisdictions in which it is a reporting issuer.
4. The Issuer’s authorized share capital consists of
an unlimited number of Shares, an unlimited number of preference shares, issuable in series, and one Thomson Reuters Founders Share, of which 780,356,806 Shares, 6,000,000 series II preference shares and one Thomson Reuters Founders Share were issued and outstanding as of July 28, 2015.
5. The corporate headquarters of each of the Selling
Shareholders is located in the Province of Ontario. The Selling Shareholders are affiliates of each other.
6. Neither Selling Shareholder, directly or indirectly,
owns more than 5% of the issued and outstanding Shares.
7. Bank of Montreal is the beneficial owner of at least
560,000 Shares and BMO Nesbitt Burns Inc. is the beneficial owner of at least 2,520,000 Shares. None of the Subject Shares were acquired by, or on behalf of, either of the Selling Shareholders in anticipation or contemplation of resale by either of the Selling Shareholders to the Issuer.
8. The Subject Shares are held by the Selling
Shareholders in connection with arrangements to hedge client transactions in respect of the Shares.
Between the date of this Order and the date on which a Proposed Purchase (as defined below) is to be completed, neither Selling Shareholder will purchase, have purchased on its behalf, or otherwise accumulate, any Shares to re-establish its, or the other Selling Shareholder’s, holdings of Shares which will have been reduced as a result of the sale of the Subject Shares pursuant to the Proposed Purchases.
9. No Shares were purchased by, or on behalf of,
either Selling Shareholder on or after July 8, 2015, being the date that was 30 days prior to the date of the Application, in anticipation or contemplation of a sale of Shares by either of the Selling Shareholders to the Issuer.
10. Each Selling Shareholder 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 Act. In addition, each Selling Shareholder 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” filed with, and accepted by, the TSX, dated May 22, 2015 (the “Notice”), the Issuer is permitted to make purchases pursuant to a normal course issuer bid (the “Normal Course Issuer Bid”) during the 12-month period beginning on May 28, 2015 and ending on May 27, 2016 to a maximum of 30,000,000 Shares, representing approximately 3.8% of the issued and outstanding Shares as at the date specified in the Notice. In accordance with the Notice, the Normal Course Issuer Bid is being conducted through the facilities of the TSX, the NYSE and/or other exchanges and alternative trading systems, if eligible, or by such other means as may be permitted by the TSX and/or the NYSE or under applicable law by a registered investment dealer (or an affiliate of the dealer) in accordance with sections 628 to 629.3 of Part VI of the TSX Company Manual (the “TSX NCIB Rules”), including private agreements under an issuer bid exemption order issued by a securities regulatory authority (each, an “Off-Exchange Block Purchase”).
12. The Issuer and each Selling Shareholder intend to
enter into one or more agreements of purchase and sale (each, an “Agreement”), pursuant to which the Issuer will agree to acquire some or all of the Subject Shares from the applicable Selling Shareholder by way of one or more purchases, each occurring before May 27, 2016 (each such purchase, a “Proposed Purchase”) for a purchase price (each such price, a “Purchase Price” in respect of such Proposed Purchase) that will be negotiated at arm’s length between the Issuer and the applicable Selling Shareholder.
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(2015), 38 OSCB 7514
The Purchase Price, in each case, will be at a discount to the prevailing market price and below the prevailing bid-ask price for the Shares on the TSX at the time of each Proposed Purchase.
13. The Subject Shares acquired under each
Proposed Purchase will constitute a “block” as that term is defined in section 628 of the TSX NCIB Rules.
14. The purchase of any of the Subject Shares by the
Issuer pursuant to an Agreement will constitute an “issuer bid” for the purposes of the Act to which the Issuer Bid Requirements would apply.
15. Because the Purchase Price will, in each case, be
at a discount to the prevailing market price and below the prevailing bid-ask price for the Shares on the TSX at the time of each Proposed Purchase, none of the Proposed Purchases can be made through the TSX trading system and therefore, will not occur “through the facilities” of the TSX. As a result, the Issuer will be unable to acquire Subject Shares from the Selling Shareholders in reliance upon the exemption from the Issuer Bid Requirements that is available pursuant to subsection 101.2(1) of the Act.
16. But for the fact that the Purchase Price will be at a
discount to the prevailing market price and below the prevailing bid-ask price for the Shares on the TSX at the time of each Proposed Purchase, the Issuer could otherwise acquire the applicable Subject Shares through the facilities of the TSX as a “block purchase” (a “Block Purchase”) in accordance with the block purchase exception in clause 629(l)7 of the TSX NCIB Rules and the exemption from the Issuer Bid Requirements that is available pursuant to subsection 101.2(1) of the Act.
17. The sale of any of the Subject Shares to the
Issuer will not be a “distribution” (as defined in the Act).
18. For each Proposed Purchase, the Issuer will be
able to acquire the applicable Subject Shares from the Selling Shareholders without the Issuer being subject to the dealer registration requirements of the Act.
19. Management of the Issuer is of the view that: (a)
the Issuer will be able to purchase the Subject Shares at a lower price than the price at which the Issuer would otherwise be able to purchase Shares under the Normal Course Issuer Bid in accordance with the TSX NCIB Rules and the exemption from the Issuer Bid Requirements available pursuant to subsection 101.2(1) of the Act; and (b) the Proposed Purchases are an appropriate use of the Issuer’s funds.
20. The purchase of Subject Shares 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. To the knowledge of the Issuer, the Proposed Purchases will not prejudice the ability of other security holders of the Issuer to otherwise sell Shares in the open market at the then-prevailing market price. The Proposed Purchases will be carried out at minimal cost to the Issuer.
21. To the best of the Issuer’s knowledge, as of July
28, 2015, the “public float” for the Shares represented approximately 42% of all issued and outstanding Shares for the purposes of the TSX NCIB Rules.
22. The Shares are “highly-liquid securities” within the
meaning of section 1.1 of OSC Rule 48-501 Trading during Distributions, Formal Bids and Share Exchange Transactions and section 1.1 of the Universal Market Integrity Rules.
23. Other than the Purchase Price, no fee or other
consideration will be paid in connection with the Proposed Purchases.
24. At the time that each Agreement is entered into by
the Issuer and the applicable Selling Shareholder and at the time of each Proposed Purchase, neither the Issuer, nor any member of the Trading Products Group of either Selling Shareholder, nor any personnel of the Selling Shareholders that negotiated the Agreement or made, participated in the making of, or provided any advice in connection with, the decision to enter into the Agreement and sell the Subject Shares, will be aware of any "material change" or any "material fact" (each as defined in the Act) in respect of the Issuer that has not been generally disclosed.
25. The Issuer will not make any Proposed Purchase
unless it has first obtained confirmation in writing from each Selling Shareholder that, between the date of this Order and the date on which a Proposed Purchase is to be completed, neither Selling Shareholder has purchased, had purchased on its behalf, or otherwise accumulated any Shares to re-establish its, or the other Selling Shareholder’s, holdings of Shares which will have been reduced as a result of the sale of the Subject Shares pursuant to the Proposed Purchases.
26. The Issuer has made two other applications to the
Commission for exemptive relief from the Issuer Bid Requirements in connection with the proposed purchase by the Issuer of up to 4,120,000 Shares from one holder of Shares and up to 2,800,000 Shares from another holder of Shares, each pursuant to one or more private agreements (the “Concurrent Applications”).
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27. The Issuer will not purchase, pursuant to Off-Exchange Block Purchases, in aggregate, more than one-third of the maximum number of Shares that the Issuer can purchase under its Normal Course Issuer Bid, such one-third being equal to 10,000,000 Shares as of the date of this Order, taking into account, for greater certainty, the Subject Shares and Shares which are the subject of the Concurrent Applications.
28. The Issuer has established a form of automatic
share repurchase plan (the “Plan”) that would permit the Issuer to make purchases under its Normal Course Issuer Bid during internal trading blackout periods, including regularly scheduled quarterly blackout periods, when the Issuer would not be permitted to trade in its Shares. The Plan is not in place as of the date of this Order. The form of Plan was approved by the TSX and is in compliance with the TSX NCIB Rules, applicable securities laws and this Order. If the Issuer implements the Plan, the terms of the Plan provide that the Issuer may, but will not be required to, instruct its designated broker to make purchases under the Normal Course Issuer Bid in accordance with the terms of the Plan at times when the Issuer is not subject to blackout restrictions. Such purchases under the Plan will be determined by the designated broker in its sole discretion based on parameters established by the Issuer prior to any blackout period in accordance with the TSX NCIB Rules, applicable securities laws (including this Order) and the terms of the agreement between the designated broker and the Issuer. In the event the Issuer implements the Plan prior to completing the Proposed Purchases, the Issuer will ensure that the Plan contains provisions restricting the Issuer from conducting any Block Purchases during any calendar week in which the Issuer completes a Proposed Purchase. No Subject Shares will be acquired under the Plan or otherwise during designated blackout periods administered in accordance with the Issuer’s corporate policies.
29. Assuming completion of the purchase of the
maximum number of Subject Shares, being 3,080,000 Shares, and the maximum number of Shares that are the subject of the Concurrent Applications, being 6,920,000 Shares, the Issuer will have purchased under the Normal Course Issuer Bid an aggregate of 10,000,000 Shares pursuant to Off-Exchange Block Purchases, representing approximately 33.3% of the maximum of 30,000,000 Shares authorized to be purchased under the Normal Course Issuer Bid.
AND UPON the Commission being satisfied that to do so would not be prejudicial to the public interest; IT IS ORDERED pursuant to clause 104(2)(c) of the Act that the Issuer be exempt from the Issuer Bid
Requirements in connection with the Proposed Purchases, provided that:
(a) the Proposed Purchases will be taken into account by the Issuer when calculating the maximum annual aggregate limit that is imposed upon the Issuer’s Normal Course Issuer Bid in accordance with the TSX NCIB Rules;
(b) the Issuer will refrain from conducting
either a Block Purchase in accordance with the TSX NCIB Rules, or another Off-Exchange Block Purchase, during the calendar week in which it completes a Proposed Purchase and will not make any further purchases under the Normal Course Issuer Bid for the remainder of the calendar day on which it completes a Proposed Purchase;
(c) the Purchase Price in respect of each
Proposed Purchase will be at a discount to the last “independent trade” (as that term is used in paragraph 629(l)1 of the TSX NCIB Rules) of a board lot of Shares immediately prior to the execution of such Proposed Purchase;
(d) the Issuer will otherwise acquire any
additional Shares pursuant to the Normal Course Issuer Bid in accordance with the Notice and the TSX NCIB Rules, including by means of open market transactions and by other means as may be permitted by the TSX and, subject to condition (i) below, by Off-Exchange Block Purchases;
(e) immediately following each Proposed
Purchase of Subject Shares from a Selling Shareholder, the Issuer will report the purchase of such Subject Shares to the TSX;
(f) at the time that each Agreement is
entered into by the Issuer and the applicable Selling Shareholder and at the time of each Proposed Purchase, neither the Issuer, nor any member of the Trading Products Group of either Selling Shareholder, nor any personnel of the Selling Shareholders that negotiated the Agreement or made, participated in the making of, or provided any advice in connection with, the decision to enter into the Agreement and sell the Subject Shares, will be aware of any “material change” or “material fact” (each as defined in the Act) in respect of the Issuer that has not been generally disclosed;
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(2015), 38 OSCB 7516
(g) in advance of the first Proposed Purchase, the Issuer will issue a press release disclosing (i) its intention to make the Proposed Purchases, and (ii) that information regarding each Proposed Purchase, including the number of Subject Shares purchased and the aggregate Purchase Price, will be available on the System for Electronic Document Analysis and Retrieval (SEDAR) following the completion of each such Proposed Purchase;
(h) the Issuer will report information
regarding each Proposed Purchase, including the number of Subject Shares purchased and the aggregate Purchase Price, on SEDAR before 5:00 p.m. (Toronto time) on the business day following such purchase;
(i) the Issuer does not purchase, pursuant
to Off-Exchange Block Purchases, in the aggregate, more than one-third of the maximum number of Shares the Issuer can purchase under the Normal Course Issuer Bid, such one-third being equal to, as of the date of this Order, 10,000,000 Shares; and
(j) the Issuer will not make any Proposed
Purchase unless it has first obtained confirmation in writing from each Selling Shareholder that, between the date of this Order and the date on which a Proposed Purchase is to be completed, neither Selling Shareholder has purchased, had purchased on its behalf, or otherwise accumulated, any Shares to re-establish its, or the other Selling Shareholder’s, holdings of Shares which will have been reduced as a result of the sale of the Subject Shares pursuant to the Proposed Purchases.
DATED at Toronto this 25th day of August, 2015. “Edward P. Kerwin” Commissioner Ontario Securities Commission “William Furlong” Commissioner Ontario Securities Commission
2.2.3 Thomson Reuters Corporation – s. 104(2)(c) Headnote Subsection 104(2)(c) of the Act – Issuer bid – relief from issuer bid requirements in sections 94 to 94.8 and 97 to 98.7 of the Act – Issuer proposes to purchase, at a discounted purchase price, up to 4,120,000 of its common shares from one of its shareholders – due to the discounted purchase price, proposed purchases cannot be made through the TSX trading system – but for the fact that the proposed purchases cannot be made through the TSX trading system, the Issuer could otherwise acquire the subject shares in reliance upon the issuer bid exemption available under section 101.2 of the Act and in accordance with the TSX rules governing normal course issuer bid purchases – the selling shareholder did not purchase the subject shares in anticipation or contemplation of resale to the Issuer and has not, for a minimum of 30 days prior to the date of the application seeking the requested relief, purchased common shares of the Issuer in anticipation or contemplation of a sale of common shares to the Issuer – no adverse economic impact on, or prejudice to, the Issuer or public shareholders – proposed purchases exempt from the issuer bid requirements in sections 94 to 94.8 and 97 to 98.7 of the Act, subject to conditions, including that the Issuer not purchase, in the aggregate, more than one-third of the maximum number of shares to be purchased under its normal course issuer bid by way of off-exchange block purchases, and that the Issuer not make any proposed purchase unless it has first obtained written confirmation from the selling shareholder that between the date of the order and the date on which the proposed purchase is completed, the selling shareholder has not purchased, had purchased on its behalf, or otherwise accumulated, any common shares of the Issuer to re-establish its holdings of common shares which will have been reduced as a result of the sale of the subject shares pursuant to the proposed purchases. Statutes Cited Securities Act, R.S.O. 1990, c. S.5, as am., ss. 94 to 94.8,
97 to 98.7, 104(2)(c).
IN THE MATTER OF THE SECURITIES ACT,
R.S.O. 1990, c.S.5, AS AMENDED
AND
IN THE MATTER OF THOMSON REUTERS CORPORATION
ORDER
(Clause 104(2)(c)) UPON the application (the “Application”) of Thomson Reuters Corporation (the “Issuer”) to the Ontario Securities Commission (the “Commission”) for an order of the Commission pursuant to clause 104(2)(c) of the Securities Act (Ontario) exempting the Issuer from the requirements of sections 94 to 94.8, inclusive, and 97 to
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September 3, 2015
(2015), 38 OSCB 7517
98.7, inclusive, of the Act (the “Issuer Bid Requirements”) in connection with the proposed purchases by the Issuer of up to 4,120,000 of the Issuer’s common shares (collectively, the “Subject Shares”) in one or more trades with Royal Bank of Canada (the “Selling Shareholder”); AND UPON considering the Application and the recommendation of staff of the Commission; AND UPON the Issuer (and the Selling Shareholder in respect of paragraphs 5, 6, 7, 8, 9, 10, 12, 23 and 24 as they relate to the Selling Shareholder) having represented to the Commission that: 1. The Issuer is a corporation governed by the
Business Corporations Act (Ontario). 2. The head office of the Issuer is located at 3 Times
Square, New York, New York 10036 and its registered office is located at 333 Bay Street, Suite 400, Toronto, Ontario M5H 2R2.
3. The Issuer is a reporting issuer in each of the
provinces of Canada and the common shares of the Issuer (the “Shares”) are listed for trading on the Toronto Stock Exchange (the “TSX”) and the New York Stock Exchange (the “NYSE”) under the symbol “TRI”. The Issuer is not in default of any requirement of the securities legislation in the jurisdictions in which it is a reporting issuer.
4. The Issuer’s authorized share capital consists of
an unlimited number of Shares, an unlimited number of preference shares, issuable in series, and one Thomson Reuters Founders Share, of which 780,356,806 Shares, 6,000,000 series II preference shares and one Thomson Reuters Founders Share were issued and outstanding as of July 28, 2015.
5. The corporate headquarters of the Selling
Shareholder is located in the Province of Ontario. 6. The Selling Shareholder does not, directly or
indirectly, own more than 5% of the issued and outstanding Shares.
7. The Selling Shareholder is the beneficial owner of
at least 4,120,000 Shares. None of the Subject Shares were acquired by, or on behalf of, the Selling Shareholder in anticipation or contemplation of resale to the Issuer.
8. The Subject Shares are held by the Selling
Shareholder in connection with arrangements to hedge client transactions in respect of the Shares. Between the date of this Order and the date on which a Proposed Purchase (as defined below) is to be completed, the Selling Shareholder will not purchase, have purchased on its behalf, or otherwise accumulate, any Shares to re-establish its holdings of Shares which will have been
reduced as a result of the sale of the Subject Shares pursuant to the Proposed Purchases.
9. No Shares were purchased by, or on behalf of, the
Selling Shareholder on or after July 8, 2015, being the date that was 30 days prior to the date of the Application, in anticipation or contemplation of a sale of Shares to the Issuer.
10. The Selling Shareholder 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 Act. In addition, the Selling Shareholder 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” filed with, and accepted by, the TSX, dated May 22, 2015 (the “Notice”), the Issuer is permitted to make purchases pursuant to a normal course issuer bid (the “Normal Course Issuer Bid”) during the 12-month period beginning on May 28, 2015 and ending on May 27, 2016 to a maximum of 30,000,000 Shares, representing approximately 3.8% of the issued and outstanding Shares as at the date specified in the Notice. In accordance with the Notice, the Normal Course Issuer Bid is being conducted through the facilities of the TSX, the NYSE and/or other exchanges and alternative trading systems, if eligible, or by such other means as may be permitted by the TSX and/or the NYSE or under applicable law by a registered investment dealer (or an affiliate of the dealer) in accordance with sections 628 to 629.3 of Part VI of the TSX Company Manual (the “TSX NCIB Rules”), including private agreements under an issuer bid exemption order issued by a securities regulatory authority (each, an “Off-Exchange Block Purchase”).
12. The Issuer and the Selling Shareholder intend to
enter into one or more agreements of purchase and sale (each, an “Agreement”), pursuant to which the Issuer will agree to acquire some or all of the Subject Shares from the Selling Shareholder by way of one or more purchases, each occurring before May 27, 2016 (each such purchase, a “Proposed Purchase”) for a purchase price (each such price, a “Purchase Price” in respect of such Proposed Purchase) that will be negotiated at arm’s length between the Issuer and the Selling Shareholder. The Purchase Price, in each case, will be at a discount to the prevailing market price and below the prevailing bid-ask price for the Shares on the TSX at the time of each Proposed Purchase.
13. The Subject Shares acquired under each
Proposed Purchase will constitute a “block” as that
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(2015), 38 OSCB 7518
term is defined in section 628 of the TSX NCIB Rules.
14. The purchase of any of the Subject Shares by the
Issuer pursuant to an Agreement will constitute an “issuer bid” for the purposes of the Act to which the Issuer Bid Requirements would apply.
15. Because the Purchase Price will, in each case, be
at a discount to the prevailing market price and below the prevailing bid-ask price for the Shares on the TSX at the time of each Proposed Purchase, none of the Proposed Purchases can be made through the TSX trading system and therefore, will not occur “through the facilities” of the TSX. As a result, the Issuer will be unable to acquire Subject Shares from the Selling Shareholder in reliance upon the exemption from the Issuer Bid Requirements that is available pursuant to subsection 101.2(1) of the Act.
16. But for the fact that the Purchase Price will be at a
discount to the prevailing market price and below the prevailing bid-ask price for the Shares on the TSX at the time of each Proposed Purchase, the Issuer could otherwise acquire the applicable Subject Shares through the facilities of the TSX as a “block purchase” (a “Block Purchase”) in accordance with the block purchase exception in clause 629(l)7 of the TSX NCIB Rules and the exemption from the Issuer Bid Requirements that is available pursuant to subsection 101.2(1) of the Act.
17. The sale of any of the Subject Shares to the
Issuer will not be a “distribution” (as defined in the Act).
18. For each Proposed Purchase, the Issuer will be
able to acquire the applicable Subject Shares from the Selling Shareholder without the Issuer being subject to the dealer registration requirements of the Act.
19. Management of the Issuer is of the view that: (a)
the Issuer will be able to purchase the Subject Shares at a lower price than the price at which the Issuer would otherwise be able to purchase Shares under the Normal Course Issuer Bid in accordance with the TSX NCIB Rules and the exemption from the Issuer Bid Requirements available pursuant to subsection 101.2(1) of the Act; and (b) the Proposed Purchases are an appropriate use of the Issuer’s funds.
20. The purchase of Subject Shares 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. To the knowledge of the Issuer, the Proposed Purchases will not prejudice the ability of other security holders of the Issuer to otherwise sell Shares in the open market at the then-prevailing market price. The Proposed
Purchases will be carried out at minimal cost to the Issuer.
21. To the best of the Issuer’s knowledge, as of July
28, 2015, the “public float” for the Shares represented approximately 42% of all issued and outstanding Shares for the purposes of the TSX NCIB Rules.
22. The Shares are “highly-liquid securities” within the
meaning of section 1.1 of OSC Rule 48-501 Trading during Distributions, Formal Bids and Share Exchange Transactions and section 1.1 of the Universal Market Integrity Rules.
23. Other than the Purchase Price, no fee or other
consideration will be paid in connection with the Proposed Purchases.
24. At the time that each Agreement is entered into by
the Issuer and the Selling Shareholder and at the time of each Proposed Purchase, neither the Issuer, nor any member of the Equity Finance Canada group of the Selling Shareholder, nor any personnel of the Selling Shareholder that negotiated the Agreement or made, participated in the making of, or provided any advice in connection with, the decision to enter into the Agreement and sell the Subject Shares, will be aware of any “material change” or “material fact” (each as defined in the Act) in respect of the Issuer that has not been generally disclosed.
25. The Issuer will not make any Proposed Purchase
unless it has first obtained confirmation in writing from the Selling Shareholder that, between the date of this Order and the date on which a Proposed Purchase is to be completed, the Selling Shareholder has not purchased, had purchased on its behalf, or otherwise accumulated any Shares to re-establish its holdings of Shares which will have been reduced as a result of the sale of the Subject Shares pursuant to the Proposed Purchases.
26. The Issuer has made two other applications to the
Commission for exemptive relief from the Issuer Bid Requirements in connection with the proposed purchase by the Issuer of up to 3,080,000 Shares from two affiliated holders of Shares and up to 2,800,000 Shares from another holder of Shares, each pursuant to one or more private agreements (the “Concurrent Applications”).
27. The Issuer will not purchase, pursuant to Off-
Exchange Block Purchases, in aggregate, more than one-third of the maximum number of Shares that the Issuer can purchase under its Normal Course Issuer Bid, such one-third being equal to 10,000,000 Shares as of the date of this Order, taking into account, for greater certainty, the Subject Shares and Shares which are the subject of the Concurrent Applications.
Decisions, Orders and Rulings
September 3, 2015
(2015), 38 OSCB 7519
28. The Issuer has established a form of automatic share repurchase plan (the “Plan”) that would permit the Issuer to make purchases under its Normal Course Issuer Bid during internal trading blackout periods, including regularly scheduled quarterly blackout periods, when the Issuer would not be permitted to trade in its Shares. The Plan is not in place as of the date of this Order. The form of Plan was approved by the TSX and is in compliance with the TSX NCIB Rules, applicable securities laws and this Order. If the Issuer implements the Plan, the terms of the Plan provide that the Issuer may, but will not be required to, instruct its designated broker to make purchases under the Normal Course Issuer Bid in accordance with the terms of the Plan at times when the Issuer is not subject to blackout restrictions. Such purchases under the Plan will be determined by the designated broker in its sole discretion based on parameters established by the Issuer prior to any blackout period in accordance with the TSX NCIB Rules, applicable securities laws (including this Order) and the terms of the agreement between the designated broker and the Issuer. In the event the Issuer implements the Plan prior to completing the Proposed Purchases, the Issuer will ensure that the Plan contains provisions restricting the Issuer from conducting any Block Purchases during any calendar week in which the Issuer completes a Proposed Purchase. No Subject Shares will be acquired under the Plan or otherwise during designated blackout periods administered in accordance with the Issuer’s corporate policies.
29. Assuming completion of the purchase of the
maximum number of Subject Shares, being 4,120,000 Shares, and the maximum number of Shares that are the subject of the Concurrent Applications, being 5,880,000 Shares, the Issuer will have purchased under the Normal Course Issuer Bid an aggregate of 10,000,000 Shares pursuant to Off-Exchange Block Purchases, representing approximately 33.3% of the maximum of 30,000,000 Shares authorized to be purchased under the Normal Course Issuer Bid.
AND UPON the Commission being satisfied that to do so would not be prejudicial to the public interest; IT IS ORDERED pursuant to clause 104(2)(c) of the Act that the Issuer be exempt from the Issuer Bid Requirements in connection with the Proposed Purchases, provided that:
(a) the Proposed Purchases will be taken into account by the Issuer when calculating the maximum annual aggregate limit that is imposed upon the Issuer’s Normal Course Issuer Bid in accordance with the TSX NCIB Rules;
(b) the Issuer will refrain from conducting either a Block Purchase in accordance with the TSX NCIB Rules, or another Off-Exchange Block Purchase, during the calendar week in which it completes a Proposed Purchase and will not make any further purchases under the Normal Course Issuer Bid for the remainder of the calendar day on which it completes a Proposed Purchase;
(c) the Purchase Price in respect of each
Proposed Purchase will be at a discount to the last “independent trade” (as that term is used in paragraph 629(l)1 of the TSX NCIB Rules) of a board lot of Shares immediately prior to the execution of such Proposed Purchase;
(d) the Issuer will otherwise acquire any
additional Shares pursuant to the Normal Course Issuer Bid in accordance with the Notice and the TSX NCIB Rules, including by means of open market transactions and by other means as may be permitted by the TSX and, subject to condition (i) below, by Off-Exchange Block Purchases;
(e) immediately following each Proposed
Purchase of Subject Shares from the Selling Shareholder, the Issuer will report the purchase of such Subject Shares to the TSX;
(f) at the time that each Agreement is
entered into by the Issuer and the Selling Shareholder and at the time of each Proposed Purchase, neither the Issuer, nor any member of the Equity Finance Canada group of the Selling Shareholder, nor any personnel of the Selling Shareholder that negotiated the Agreement or made, participated in the making of, or provided any advice in connection with, the decision to enter into the Agreement and sell the Subject Shares, will be aware of any “material change” or “material fact” (each as defined in the Act) in respect of the Issuer that has not been generally disclosed;
(g) in advance of the first Proposed
Purchase, the Issuer will issue a press release disclosing (i) its intention to make the Proposed Purchases, and (ii) that information regarding each Proposed Purchase, including the number of Subject Shares purchased and the aggregate Purchase Price, will be available on the System for Electronic Document Analysis and Retrieval
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September 3, 2015
(2015), 38 OSCB 7520
(SEDAR) following the completion of each such Proposed Purchase;
(h) the Issuer will report information
regarding each Proposed Purchase, including the number of Subject Shares purchased and the aggregate Purchase Price, on SEDAR before 5:00 p.m. (Toronto time) on the business day following such purchase;
(i) the Issuer does not purchase, pursuant
to Off-Exchange Block Purchases, in the aggregate, more than one-third of the maximum number of Shares the Issuer can purchase under the Normal Course Issuer Bid, such one-third being equal to, as of the date of this Order, 10,000,000 Shares; and
(j) the Issuer will not make any Proposed
Purchase unless it has first obtained confirmation in writing from the Selling Shareholder that, between the date of this Order and the date on which a Proposed Purchase is to be completed, the Selling Shareholder has not purchased, had purchased on its behalf, or otherwise accumulated, any Shares to re-establish its holdings of Shares which will have been reduced as a result of the sale of the Subject Shares pursuant to the Proposed Purchases.
DATED at Toronto this 25th day of August, 2015. “Edward P. Kerwin” Commissioner Ontario Securities Commission “William Furlong” Commissioner Ontario Securities Commission
2.2.4 Thomson Reuters Corporation – s. 104(2)(c) Headnote Subsection 104(2)(c) of the Act – Issuer bid – relief from issuer bid requirements in sections 94 to 94.8 and 97 to 98.7 of the Act – Issuer proposes to purchase, at a discounted purchase price, up to 2,800,000 of its common shares from one of its shareholders – due to the discounted purchase price, proposed purchases cannot be made through the TSX trading system – but for the fact that the proposed purchases cannot be made through the TSX trading system, the Issuer could otherwise acquire the subject shares in reliance upon the issuer bid exemption available under section 101.2 of the Act and in accordance with the TSX rules governing normal course issuer bid purchases – the selling shareholder did not purchase the subject shares in anticipation or contemplation of resale to the Issuer and has not, for a minimum of 30 days prior to the date of the application seeking the requested relief, purchased common shares of the Issuer in anticipation or contemplation of a sale of common shares to the Issuer – no adverse economic impact on, or prejudice to, the Issuer or public shareholders – proposed purchases exempt from the issuer bid requirements in sections 94 to 94.8 and 97 to 98.7 of the Act, subject to conditions, including that the Issuer not purchase, in the aggregate, more than one-third of the maximum number of shares to be purchased under its normal course issuer bid by way of off-exchange block purchases, and that the Issuer not make any proposed purchase unless it has first obtained written confirmation from the selling shareholder that between the date of the order and the date on which the proposed purchase is completed, the selling shareholder has not purchased, had purchased on its behalf, or otherwise accumulated, any common shares of the Issuer to re-establish its holdings of common shares which will have been reduced as a result of the sale of the subject shares pursuant to the proposed purchases. Statutes Cited Securities Act, R.S.O. 1990, c. S.5, as am., ss. 94 to 94.8,
97 to 98.7, 104(2)(c).
IN THE MATTER OF THE SECURITIES ACT,
R.S.O. 1990, c. S.5, AS AMENDED
AND
IN THE MATTER OF THOMSON REUTERS CORPORATION
ORDER
(Clause 104(2)(c)) UPON the application (the “Application”) of Thomson Reuters Corporation (the “Issuer”) to the Ontario Securities Commission (the “Commission”) for an order of the Commission pursuant to clause 104(2)(c) of the Securities Act (Ontario) exempting the Issuer from the requirements of sections 94 to 94.8, inclusive, and 97 to
Decisions, Orders and Rulings
September 3, 2015
(2015), 38 OSCB 7521
98.7, inclusive, of the Act (the “Issuer Bid Requirements”) in connection with the proposed purchases by the Issuer of up to 2,800,000 of the Issuer’s common shares (collectively, the “Subject Shares”) in one or more trades with The Toronto-Dominion Bank (the “Selling Shareholder”); AND UPON considering the Application and the recommendation of staff of the Commission; AND UPON the Issuer (and the Selling Shareholder in respect of paragraphs 5, 6, 7, 8, 9, 10, 12, 23 and 24 as they relate to the Selling Shareholder) having represented to the Commission that: 1. The Issuer is a corporation governed by the
Business Corporations Act (Ontario). 2. The head office of the Issuer is located at 3 Times
Square, New York, New York 10036 and its registered office is located at 333 Bay Street, Suite 400, Toronto, Ontario M5H 2R2.
3. The Issuer is a reporting issuer in each of the
provinces of Canada and the common shares of the Issuer (the “Shares”) are listed for trading on the Toronto Stock Exchange (the “TSX”) and the New York Stock Exchange (the “NYSE”) under the symbol “TRI”. The Issuer is not in default of any requirement of the securities legislation in the jurisdictions in which it is a reporting issuer.
4. The Issuer’s authorized share capital consists of
an unlimited number of Shares, an unlimited number of preference shares, issuable in series, and one Thomson Reuters Founders Share, of which 780,356,806 Shares, 6,000,000 series II preference shares and one Thomson Reuters Founders Share were issued and outstanding as of July 28, 2015.
5. The corporate headquarters of the Selling
Shareholder is located in the Province of Ontario. 6. The Selling Shareholder does not, directly or
indirectly, own more than 5% of the issued and outstanding Shares.
7. The Selling Shareholder is the beneficial owner of
at least 2,800,000 Shares. None of the Subject Shares were acquired by, or on behalf of, the Selling Shareholder in anticipation or contemplation of resale to the Issuer.
8. The Subject Shares are held by the Selling
Shareholder in connection with arrangements to hedge client transactions in respect of the Shares. Between the date of this Order and the date on which a Proposed Purchase (as defined below) is to be completed, the Selling Shareholder will not purchase, have purchased on its behalf, or otherwise accumulate, any Shares to re-establish its holdings of Shares which will have been
reduced as a result of the sale of the Subject Shares pursuant to the Proposed Purchases.
9. No Shares were purchased by, or on behalf of, the
Selling Shareholder on or after July 8, 2015, being the date that was 30 days prior to the date of the Application, in anticipation or contemplation of a sale of Shares to the Issuer.
10. The Selling Shareholder 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 Act. In addition, the Selling Shareholder 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” filed with, and accepted by, the TSX, dated May 22, 2015 (the “Notice”), the Issuer is permitted to make purchases pursuant to a normal course issuer bid (the “Normal Course Issuer Bid”) during the 12-month period beginning on May 28, 2015 and ending on May 27, 2016 to a maximum of 30,000,000 Shares, representing approximately 3.8% of the issued and outstanding Shares as at the date specified in the Notice. In accordance with the Notice, the Normal Course Issuer Bid is being conducted through the facilities of the TSX, the NYSE and/or other exchanges and alternative trading systems, if eligible, or by such other means as may be permitted by the TSX and/or the NYSE or under applicable law by a registered investment dealer (or an affiliate of the dealer) in accordance with sections 628 to 629.3 of Part VI of the TSX Company Manual (the “TSX NCIB Rules”), including private agreements under an issuer bid exemption order issued by a securities regulatory authority (each, an “Off-Exchange Block Purchase”).
12. The Issuer and the Selling Shareholder intend to
enter into one or more agreements of purchase and sale (each, an “Agreement”), pursuant to which the Issuer will agree to acquire some or all of the Subject Shares from the Selling Shareholder by way of one or more purchases, each occurring before May 27, 2016 (each such purchase, a “Proposed Purchase”) for a purchase price (each such price, a “Purchase Price” in respect of such Proposed Purchase) that will be negotiated at arm’s length between the Issuer and the Selling Shareholder. The Purchase Price, in each case, will be at a discount to the prevailing market price and below the prevailing bid-ask price for the Shares on the TSX at the time of each Proposed Purchase.
13. The Subject Shares acquired under each
Proposed Purchase will constitute a “block” as that
Decisions, Orders and Rulings
September 3, 2015
(2015), 38 OSCB 7522
term is defined in section 628 of the TSX NCIB Rules.
14. The purchase of any of the Subject Shares by the
Issuer pursuant to an Agreement will constitute an “issuer bid” for the purposes of the Act to which the Issuer Bid Requirements would apply.
15. Because the Purchase Price will, in each case, be
at a discount to the prevailing market price and below the prevailing bid-ask price for the Shares on the TSX at the time of each Proposed Purchase, none of the Proposed Purchases can be made through the TSX trading system and therefore, will not occur “through the facilities” of the TSX. As a result, the Issuer will be unable to acquire Subject Shares from the Selling Shareholder in reliance upon the exemption from the Issuer Bid Requirements that is available pursuant to subsection 101.2(1) of the Act.
16. But for the fact that the Purchase Price will be at a
discount to the prevailing market price and below the prevailing bid-ask price for the Shares on the TSX at the time of each Proposed Purchase, the Issuer could otherwise acquire the applicable Subject Shares through the facilities of the TSX as a “block purchase” (a “Block Purchase”) in accordance with the block purchase exception in clause 629(l)7 of the TSX NCIB Rules and the exemption from the Issuer Bid Requirements that is available pursuant to subsection 101.2(1) of the Act.
17. The sale of any of the Subject Shares to the
Issuer will not be a “distribution” (as defined in the Act).
18. For each Proposed Purchase, the Issuer will be
able to acquire the applicable Subject Shares from the Selling Shareholder without the Issuer being subject to the dealer registration requirements of the Act.
19. Management of the Issuer is of the view that: (a)
the Issuer will be able to purchase the Subject Shares at a lower price than the price at which the Issuer would otherwise be able to purchase Shares under the Normal Course Issuer Bid in accordance with the TSX NCIB Rules and the exemption from the Issuer Bid Requirements available pursuant to subsection 101.2(1) of the Act; and (b) the Proposed Purchases are an appropriate use of the Issuer’s funds.
20. The purchase of Subject Shares 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. To the knowledge of the Issuer, the Proposed Purchases will not prejudice the ability of other security holders of the Issuer to otherwise sell Shares in the open market at the then-prevailing market price. The Proposed
Purchases will be carried out at minimal cost to the Issuer.
21. To the best of the Issuer’s knowledge, as of July
28, 2015, the “public float” for the Shares represented approximately 42% of all issued and outstanding Shares for the purposes of the TSX NCIB Rules.
22. The Shares are “highly-liquid securities” within the
meaning of section 1.1 of OSC Rule 48-501 Trading during Distributions, Formal Bids and Share Exchange Transactions and section 1.1 of the Universal Market Integrity Rules.
23. Other than the Purchase Price, no fee or other
consideration will be paid in connection with the Proposed Purchases.
24. At the time that each Agreement is entered into by
the Issuer and the Selling Shareholder and at the time of each Proposed Purchase, neither the Issuer, nor any member of the Equity Derivatives Group of the Selling Shareholder, nor any personnel of the Selling Shareholder that negotiated the Agreement or made, participated in the making of, or provided any advice in connection with, the decision to enter into the Agreement and sell the Subject Shares, will be aware of any “material change” or “material fact” (each as defined in the Act) in respect of the Issuer that has not been generally disclosed.
25. The Issuer will not make any Proposed Purchase
unless it has first obtained confirmation in writing from the Selling Shareholder that, between the date of this Order and the date on which a Proposed Purchase is to be completed, the Selling Shareholder has not purchased, had purchased on its behalf, or otherwise accumulated any Shares to re-establish its holdings of Shares which will have been reduced as a result of the sale of the Subject Shares pursuant to the Proposed Purchases.
26. The Issuer has made two other applications to the
Commission for exemptive relief from the Issuer Bid Requirements in connection with the proposed purchase by the Issuer of up to 3,080,000 Shares from two affiliated holders of Shares and up to 4,120,000 Shares from another holder of Shares, each pursuant to one or more private agreements (the “Concurrent Applications”).
27. The Issuer will not purchase, pursuant to Off-
Exchange Block Purchases, in aggregate, more than one-third of the maximum number of Shares that the Issuer can purchase under its Normal Course Issuer Bid, such one-third being equal to 10,000,000 Shares as of the date of this Order, taking into account, for greater certainty, the Subject Shares and Shares which are the subject of the Concurrent Applications.
Decisions, Orders and Rulings
September 3, 2015
(2015), 38 OSCB 7523
28. The Issuer has established a form of automatic share repurchase plan (the “Plan”) that would permit the Issuer to make purchases under its Normal Course Issuer Bid during internal trading blackout periods, including regularly scheduled quarterly blackout periods, when the Issuer would not be permitted to trade in its Shares. The Plan is not in place as of the date of this Order. The form of Plan was approved by the TSX and is in compliance with the TSX NCIB Rules, applicable securities laws and this Order. If the Issuer implements the Plan, the terms of the Plan provide that the Issuer may, but will not be required to, instruct its designated broker to make purchases under the Normal Course Issuer Bid in accordance with the terms of the Plan at times when the Issuer is not subject to blackout restrictions. Such purchases under the Plan will be determined by the designated broker in its sole discretion based on parameters established by the Issuer prior to any blackout period in accordance with the TSX NCIB Rules, applicable securities laws (including this Order) and the terms of the agreement between the designated broker and the Issuer. In the event the Issuer implements the Plan prior to completing the Proposed Purchases, the Issuer will ensure that the Plan contains provisions restricting the Issuer from conducting any Block Purchases during any calendar week in which the Issuer completes a Proposed Purchase. No Subject Shares will be acquired under the Plan or otherwise during designated blackout periods administered in accordance with the Issuer’s corporate policies.
29. Assuming completion of the purchase of the
maximum number of Subject Shares, being 2,800,000 Shares, and the maximum number of Shares that are the subject of the Concurrent Applications, being 7,200,000 Shares, the Issuer will have purchased under the Normal Course Issuer Bid an aggregate of 10,000,000 Shares pursuant to Off-Exchange Block Purchases, representing approximately 33.3% of the maximum of 30,000,000 Shares authorized to be purchased under the Normal Course Issuer Bid.
AND UPON the Commission being satisfied that to do so would not be prejudicial to the public interest; IT IS ORDERED pursuant to clause 104(2)(c) of the Act that the Issuer be exempt from the Issuer Bid Requirements in connection with the Proposed Purchases, provided that:
(a) the Proposed Purchases will be taken into account by the Issuer when calculating the maximum annual aggregate limit that is imposed upon the Issuer’s Normal Course Issuer Bid in accordance with the TSX NCIB Rules;
(b) the Issuer will refrain from conducting either a Block Purchase in accordance with the TSX NCIB Rules, or another Off-Exchange Block Purchase, during the calendar week in which it completes a Proposed Purchase and will not make any further purchases under the Normal Course Issuer Bid for the remainder of the calendar day on which it completes a Proposed Purchase;
(c) the Purchase Price in respect of each
Proposed Purchase will be at a discount to the last “independent trade” (as that term is used in paragraph 629(l)1 of the TSX NCIB Rules) of a board lot of Shares immediately prior to the execution of such Proposed Purchase;
(d) the Issuer will otherwise acquire any
additional Shares pursuant to the Normal Course Issuer Bid in accordance with the Notice and the TSX NCIB Rules, including by means of open market transactions and by other means as may be permitted by the TSX and, subject to condition (i) below, by Off-Exchange Block Purchases;
(e) immediately following each Proposed
Purchase of Subject Shares from the Selling Shareholder, the Issuer will report the purchase of such Subject Shares to the TSX;
(f) at the time that each Agreement is
entered into by the Issuer and the Selling Shareholder and at the time of each Proposed Purchase, neither the Issuer, nor any member of the Equity Derivatives Group of the Selling Shareholder, nor any personnel of the Selling Shareholder that negotiated the Agreement or made, participated in the making of, or provided any advice in connection with, the decision to enter into the Agreement and sell the Subject Shares, will be aware of any “material change” or “material fact” (each as defined in the Act) in respect of the Issuer that has not been generally disclosed;
(g) in advance of the first Proposed
Purchase, the Issuer will issue a press release disclosing (i) its intention to make the Proposed Purchases, and (ii) that information regarding each Proposed Purchase, including the number of Subject Shares purchased and the aggregate Purchase Price, will be available on the System for Electronic Document Analysis and Retrieval
Decisions, Orders and Rulings
September 3, 2015
(2015), 38 OSCB 7524
(SEDAR) following the completion of each such Proposed Purchase;
(h) the Issuer will report information
regarding each Proposed Purchase, including the number of Subject Shares purchased and the aggregate Purchase Price, on SEDAR before 5:00 p.m. (Toronto time) on the business day following such purchase;
(i) the Issuer does not purchase, pursuant
to Off-Exchange Block Purchases, in the aggregate, more than one-third of the maximum number of Shares the Issuer can purchase under the Normal Course Issuer Bid, such one-third being equal to, as of the date of this Order, 10,000,000 Shares; and
(j) the Issuer will not make any Proposed
Purchase unless it has first obtained confirmation in writing from the Selling Shareholder that, between the date of this Order and the date on which a Proposed Purchase is to be completed, the Selling Shareholder has not purchased, had purchased on its behalf, or otherwise accumulated, any Shares to re-establish its holdings of Shares which will have been reduced as a result of the sale of the Subject Shares pursuant to the Proposed Purchases.
DATED at Toronto this 25th day of August, 2015. “Edward P. Kerwin” Commissioner Ontario Securities Commission “William Furlong” Commissioner Ontario Securities Commission
2.2.5 Alder Resources Ltd. – s. 1(6) of the OBCA Headnote Applicant deemed to have ceased to be offering its securities to the public under the OBCA. 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
ALDER RESOURCES LTD. (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 (the “Common Shares”).
2. The head office of the Applicant is located at 120
Adelaide Street West, Suite 2400, Toronto, ON M5H 1T1.
3. On July 24, 2015, by way of plan of arrangement
under section 182 of the OBCA, Midlands Minerals Corporation (now Rosita Mining Corporation) (“Midlands”) acquired all of the issued and outstanding Common Shares, for consideration of 1.81 of a common share of Midlands per Common Share, calculated on a pre-consolidation basis.
4. As of the date of this decision, all of the issued
and outstanding securities of the Applicant, including debt securities, are beneficially owned, directly or indirectly, by a sole securityholder, Midlands.
5. The Common Shares were delisted from the TSX
Venture Exchange on July 27, 2015.
Decisions, Orders and Rulings
September 3, 2015
(2015), 38 OSCB 7525
6. No securities of the Applicant, including debt securities, are traded in Canada or in 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.
7. Pursuant to BC Instrument 11-502 Voluntary
Surrender of Reporting Issuer Status, the British Columbia Securities Commission confirmed the Applicant’s non-reporting issuer status in British Columbia effective August 17, 2015.
8. The Applicant is a reporting issuer, or the
equivalent, in the provinces of Alberta and Ontario (the “Jurisdictions”) and is not currently in default of any applicable requirements of the securities legislation in any of the Jurisdictions.
9. The Applicant has no intention to seek public
financing by way of an offering of securities. 10. On August 14, 2015, the Applicant made an
application to the Ontario Securities Commission, as principal regulator on behalf of the securities regulatory authorities in the Jurisdictions, for a decision that the Applicant is not a reporting issuer in the Jurisdictions (the “Reporting Issuer Relief Requested”).
11. Upon the grant of the Reporting Issuer Relief
Requested, the Applicant will not be a reporting issuer or equivalent in any jurisdiction of Canada.
AND UPON the Commission being satisfied that 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 for the purpose of the OBCA. DATED at Toronto on this 25th day of August, 2015. “Edward P. Kerwin” Ontario Securities Commission “William Furlong” Ontario Securities Commission
2.2.6 Richvale Resource Corporation et al. – ss. 17, 153 of the Act and Rule 11 of the OSC Rules of Procedure
IN THE MATTER OF
THE SECURITIES ACT, R.S.O. 1990, c. S.5, AS AMENDED
AND
IN THE MATTER OF
RICHVALE RESOURCE CORPORATION, MARVIN WINICK, HOWARD BLUMENFELD, JOHN COLONNA, PASQUALE SCHIAVONE,
and SHAFI KHAN
ORDER (Sections 17 and 153 of the Securities Act and
Rule 11 of the Commission’s Rules of Procedure (2014), 37 O.S.C.B. 4168)
WHEREAS: 1. on January 26, 2010, the Ontario Securities
Commission (the “Commission”) made an Order pursuant to subsection 11(1)(a) of the Securities Act, R.S.O. 1990. c.S.5, as amended (the “Act”) appointing certain members of Commission Staff (“Staff”) to investigate and to inquire into the matters described therein;
2. on March 19, 2010, the Commission issued freeze
directions in respect of a total of approximately $239,000 in the following accounts in the name of Shafi Khan (“Khan”) at the following institutions (the “Freeze Directions”; the “Frozen Funds”): • Royal Bank of Canada (“RBC”), account
number: 01302-5040092 (account balance: $95,846.20), 108 Garafraxa Street, Durham, ON;
• RBC, account number: 01302-5041025
(account balance: $446.06), 443 University Avenue, Toronto, ON;
• RBC Direct Investing, account number:
681-48040 (account balance: $56,555.96), 155 Wellington Street West, 15th Floor, Toronto, ON;
• Toronto Dominion Bank, account
number: 1020-6272956 (account balance $10,211.66), 55 King Street West, Toronto, ON;
• TD Waterhouse, account number:
610060 (account balance: CDN $30,513.70; USD $5,389.79) 55 King Street West, Concourse Level One, Toronto, ON.
Decisions, Orders and Rulings
September 3, 2015
(2015), 38 OSCB 7526
3. on March 26, 2010, and April 14, 2010, the Superior Court of Justice continued the Freeze Directions;
4. on November 10, 2010, Staff commenced
proceedings under s. 127 of the Act against Richvale Resource Corporation (“Richvale”), Marvin Winick (“Winick”), Howard Blumenfeld (“Blumenfeld”), John Colonna (“Colonna”), Pasquale Schiavone (“Schiavone”) and Khan (the “Respondents”) for fraud and other breaches of the Act related to a distribution of the shares of Richvale to the public (the “Richvale Proceeding”);
5. on October 14, 2011, the Commission approved
settlement agreements between Staff and Winick, Blumenfeld, Colonna and Khan (the “Settlements”) and issued orders against Winick, Blumenfeld, Colonna and Khan requiring them to disgorge certain funds and pay administrative penalties;
6. the Settlements contained admissions that the
distribution of Richvale’s securities to the public was a fraud, contrary to the Act, and that Richvale deposited into its accounts at RBC and Bank of Nova Scotia (“BNS”; the “Richvale Accounts”) approximately $753,000 that it obtained from investors solicited by Khan (the “Investor Funds”);
7. Khan admitted in his Settlement that he and
corporations controlled by him received at least $239,000 of the Investor Funds from Richvale in payment for his role in conducting the sale of Richvale securities;
8. as a result of his Settlement, the Commission
ordered Khan to disgorge $239,000; 9. on April 25, 2012, following a hearing on the
merits in the Richvale Proceeding, the Commission confirmed, in its reasons and decision, the fraudulent nature of the Richvale distribution;
10. the Respondents have paid $38,000 (the
“Disgorgement Funds”); 11. on March 16, 2015, following an application by the
Civil Remedies for Illicit Activities office of the Ministry of the Attorney General (“CRIA”), the Superior Court of Justice ordered that the Frozen Funds and Disgorgement Funds be forfeit to the Attorney General of Ontario;
12. Staff obtained copies of the records of the
Richvale Accounts from RBC and BNS by way of summons issued pursuant to s. 13 of the Act (the “Richvale Account Records”);
13. Staff obtained a list of Richvale Investors from
Blumenfeld in response to a summons issued
pursuant to s. 13 of the Act (the “Richvale Investor List”);
14. CRIA requires the information contained in the
Richvale Account Records and the Richvale Investor List in order to distribute the Frozen Funds and the Disgorgement Funds;
15. Staff have requested an Order under subsections
17(1)(b) and (2.1) of the Act authorizing the disclosure to CRIA of the Richvale Account Records and the Richvale Investor List;
16. the Commission considers it to be in the public
interest to make this Order; and 17. by Authorization Order dated August 21, 2015,
pursuant to subsection 3.5(3) of the Act, each of HOWARD I. WETSTON, MONICA KOWAL, D. GRANT VINGOE, MARY G. CONDON, EDWARD P. KERWIN, JANET LEIPER, ALAN J. LENCZNER, TIMOTHY MOSELEY, and CHRISTOPHER PORTNER acting alone, to exercise, subject to subsection 3.5(4) of the Act, the powers of the Commission to grant adjournments and set dates for hearings, to hear and determine procedural matters, and to make and give any orders, directions, appointments, applications and consents under sections 5, 11, 12, 17, 19, 20, 122, 126, 127, 128, 129, 144, 146 and 152 of the Act that the Commission is authorized to make and give, including the power to conduct contested hearings on the merits;
IT IS ORDERED that:
1. Staff’s application to proceed by way of written hearing, pursuant to Rule 11 of the Commission’s Rules of Procedure (2014), 37 O.S.C.B. 4168, is granted; and
2. pursuant to subsections 17(1)(b) and
17(2.1), and section 153 of the Act, Staff may provide CRIA with copies of the Richvale Account Records and the Richvale Investor List.
DATED at Toronto, this 28th day of August, 2015. “Timothy Moseley”
Decisions, Orders and Rulings
September 3, 2015
(2015), 38 OSCB 7527
2.2.7 Andre Lewis – ss. 127(1), 127(10)
IN THE MATTER OF THE SECURITIES ACT,
R.S.O. 1990, c. S.5, AS AMENDED
AND
IN THE MATTER OF ANDRE LEWIS
ORDER
(Subsections 127(1) and 127(10) of the Securities Act) WHEREAS: 1. on April 1, 2015, the Ontario Securities
Commission (the “Commission”) issued a Notice of Hearing pursuant to sections 127(1) and 127(10) of the Securities Act, R.S.O. 1990, c. S.5, as amended in respect of Andre Lewis (“Mr. Lewis”);
2. on April 1, 2015, Staff of the Conomission (“Staff”)
filed a Statement of Allegations in respect of the same matter;
3. on May 21, 2015, the Commission granted Staffs
application to proceed by way of written hearing, pursuant to Rule 11 of the Rules of Procedure and set down a schedule for the submission of materials by the parties;
4. on May 28, 2015, Staff filed written submissions, a
brief of authorities, a hearing brief and affidavits of service;
5. on July 31, 2015, the Commission received Mr.
Lewis’s responding materials; 6. on June 18, 2014, Mr. Lewis was found guilty in
the Superior Court of Justice of one count of defrauding the public of an amount exceeding $5,000, contrary to section 380(l)(a) of the Criminal Code, R.S.C. 1985, c. C-46;
7. the offence for which Mr. Lewis was convicted
arose from transactions, business or a course of conduct related to securities; and
8. the Panel is of the view that it is in the public
interest to make the following order; IT IS ORDERED THAT:
i. pursuant to paragraph 2 of subsection 127(1) of the Act, trading in any securities by Mr. Lewis shall cease permanently;
ii. pursuant to paragraph 2.1 of subsection
127(1) of the Act, acquisition of any
securities by Mr. Lewis shall be prohibited permanently;
iii. pursuant to paragraph 3 of subsection
127(1) of the Act, any exemptions contained in Ontario securities law shall not apply to Mr. Lewis permanently;
iv. pursuant to paragraphs 7, 8.1 and 8.3 of
subsection 127(1) of the Act, Mr. Lewis shall resign any positions that he holds as director or officer of any issuer, registrant or investment fund manager;
v. pursuant to paragraphs 8, 8.2 and 8.4 of
subsection 127(1) of the Act, Mr. Lewis shall be prohibited permanently from becoming or acting as an officer or director of any issuer, registrant or investment fund manager; and
vi. pursuant to paragraph 8.5 of subsection
127(1) of the Act, Mr. Lewis shall be prohibited permanently from becoming or acting as a registrant, as an investment fund manager or as a promoter.
DATED at Toronto, Ontario this 31st day of August, 2015. “Alan J. Lenczner” “Timothy Moseley”
Decisions, Orders and Rulings
September 3, 2015
(2015), 38 OSCB 7528
2.3 Orders with Related Settlement Agreements 2.3.1 1415409 Ontario Inc. et al. – ss. 127(1), 127.1
IN THE MATTER OF THE SECURITIES ACT,
R.S.O. 1990, c. S.5, AS AMENDED
AND
IN THE MATTER OF 1415409 ONTARIO INC., TITLE ONE CLOSING INC.,
RAVINDRA DAVE, CHANDRAMATTIE DAVE, and AMETRA DAVE
AND
IN THE MATTER OF A SETTLEMENT AGREEMENT BETWEEN
STAFF OF THE ONTARIO SECURITIES COMMISSION AND 1415409 ONTARIO INC., TITLE ONE CLOSING INC.,
RAVINDRA DAVE, and CHANDRAMATTIE DAVE
ORDER (Subsections 127(1) and 127.1)
WHEREAS: 1. on March 17, 2015, the Ontario Securities Commission (the “Commission”) issued a Notice of Hearing pursuant to
subsections 127(1) and 127.1 of the Securities Act, R.S.O. 1990, c. S.5, as amended (the “Act”) to consider whether it is in the public interest to make orders, as specified therein, against and in respect of Chandramattie Dave (also known as Rita Bahadur) (“Chandramattie”), Ravindra Dave (also known as Dave Ravindra) (“Ravindra”), 1415409 Ontario Inc. (“1415409”), and Title One Closing Inc. (“TOC”) (the “Settling Respondents”). The Notice of Hearing was issued in connection with the allegations as set out in the Statement of Allegations of Staff of the Commission (“Staff”) dated March 17, 2015;
2. the Settling Respondents entered into a Settlement Agreement with Staff dated August 27, 2015 (the “Settlement
Agreement”) in which the Settling Respondents agreed to a proposed settlement of the proceeding commenced by the Notice of Hearing, subject to the approval of the Commission;
3. the Commission issued a Notice of Hearing pursuant to section 127 of the Act to announce that it proposed to hold a
hearing to consider whether it is in the public interest to approve a settlement agreement entered into between Staff and the Settling Respondents;
4. the Settling Respondents acknowledge that failure to pay in full any monetary sanctions and/or costs ordered will result
in the Settling Respondents’ names being added to the list of “Respondents Delinquent in Payment of Commission Orders” published on the OSC website.
5. the Settling Respondents acknowledge that this Order may form the basis for parallel orders in other jurisdictions in
Canada. The securities laws of some other Canadian jurisdictions may allow orders made in this matter to take effect in those other jurisdictions automatically, without further notice to the Settling Respondents. The Settling Respondents should contact the securities regulator of any other jurisdiction in which he or she may intend to engage in any securities related activities, prior to undertaking such activities.
6. the Commission is of the opinion that it is in the public interest to make this Order; AND UPON reviewing the Settlement Agreement, the Notices of Hearing, and the Statement of Allegations of Staff, and upon hearing submissions the Settling Respondents and from Staff; IT IS HEREBY ORDERED THAT: 1. the Settlement Agreement is approved;
Decisions, Orders and Rulings
September 3, 2015
(2015), 38 OSCB 7529
2. trading in any securities or derivatives by 1415409 and TOC cease permanently, pursuant to paragraph 2 of subsection 127(1) of the Act;
3. trading in any securities or derivatives by Chandramattie cease permanently, pursuant to paragraph 2 of subsection
127(1) of the Act; 4. trading in any securities or derivatives by Ravindra cease for a period of 20 years, pursuant to paragraph 2 of
subsection 127(1) of the Act; 5. the acquisition of any securities by 1415409 and TOC is prohibited permanently, pursuant to paragraph 2.1 of
subsection 127(1) of the Act; 6. the acquisition of any securities by Chandramattie is prohibited permanently, pursuant to paragraph 2.1 of subsection
127(1) of the Act; 7. the acquisition of any securities by Ravindra is prohibited for a period of 20 years, pursuant to paragraph 2.1 of
subsection 127(1) of the Act; 8. any exemptions contained in Ontario securities law do not apply to 1415409 and TOC permanently, pursuant to
paragraph 3 of subsection 127(1) of the Act; 9. any exemptions contained in Ontario securities law do not apply to Chandramattie permanently, pursuant to paragraph
3 of subsection 127(1) of the Act; 10. any exemptions contained in Ontario securities law do not apply to Ravindra for a period of 20 years, pursuant to
paragraph 3 of subsection 127(1) of the Act; 11. each of the Settling Respondents are reprimanded, pursuant to paragraph 6 of subsection 127(1) of the Act; 12. Chandramattie shall resign any positions that she holds as a director or officer of an issuer, pursuant to paragraph 7 of
section 127(1); 13. Ravindra shall resign any positions that he holds as a director or officer of an issuer, pursuant to paragraph 7 of section
127(1); 14. Chandramattie is prohibited from becoming or acting as a director or officer of any issuer permanently, pursuant to
paragraph 8 of section 127(1) of the Act; 15. Ravindra is prohibited from becoming or acting as a director or officer of any issuer for a period of 20 years, pursuant to
paragraph 8 of section 127(1) of the Act; 16. Chandramattie shall resign any positions that she holds as a director or officer of a registrant, pursuant to paragraph
8.1 of section 127(1); 17. Ravindra shall resign any positions that he holds as a director or officer of a registrant, pursuant to paragraph 8.1 of
section 127(1); 18. Chandramattie is prohibited from becoming or acting as a director or officer of any registrant permanently, pursuant to
paragraph 8.2 of section 127(1) of the Act; 19. Ravindra is prohibited from becoming or acting as a director or officer of any registrant for a period of 20 years,
pursuant to paragraph 8.2 of section 127(1) of the Act; 20. Chandramattie shall resign any positions that she holds as a director or officer of an investment fund manager,
pursuant to paragraph 8.3 of section 127(1); 21. Ravindra shall resign any positions that he holds as a director or officer of an investment fund manager, pursuant to
paragraph 8.3 of section 127(1); 22. Chandramattie is prohibited from becoming or acting as a director or officer of an investment fund manager
permanently, pursuant to paragraph 8.4 of section 127(1) of the Act;
Decisions, Orders and Rulings
September 3, 2015
(2015), 38 OSCB 7530
23. Ravindra is prohibited from becoming or acting as a director or officer of an investment fund manager for a period of 20 years, pursuant to paragraph 8.4 of section 127(1) of the Act;
24. Chandramattie is prohibited from becoming or acting as a registrant, as an investment fund manager, or as a promoter
permanently, pursuant to paragraph 8.5 of section 127(1) of the Act; 25. Ravindra is prohibited from becoming or acting as a registrant, as an investment fund manager, or as a promoter for a
period of 20 years, pursuant to paragraph 8.5 of section 127(1) of the Act; 26. The Settling Respondents pay to the Commission an administrative penalty in the aggregate amount of $300,000
(jointly and severally), which shall be designated for allocation or for use by the Commission in accordance with subsections 3.4(2)(b)(i) or (ii) of the Act, pursuant to paragraph 9 of section 127(1) of the Act;
27. the Settling Respondents disgorge to the Commission the amount of $3,300,000 on a joint and several basis, which
shall be designated for allocation or for use by the Commission in accordance with subsections 3.4(2)(b)(i) or (ii) of the Act, pursuant to paragraph 10 of section 127(1) of the Act;
28. the Settling Respondents shall pay costs in the amount of $25,000 on a joint and several basis, pursuant to section
127.1 of the Act; and 29. until the entire amount of the payments set out in paragraphs 26, 27, and 28 are paid in full, the provisions of
paragraphs 4, 7, 10, 15, 19, 23, and 25 shall continue in force without any limitation as to time period. DATED at Toronto, this 27th day of August, 2015. “Mary G. Condon”
Decisions, Orders and Rulings
September 3, 2015
(2015), 38 OSCB 7531
IN THE MATTER OF THE SECURITIES ACT,
R.S.O. 1990, c. S.5, AS AMENDED
AND
IN THE MATTER OF 1415409 ONTARIO INC., TITLE ONE CLOSING INC.,
RAVINDRA DAVE, CHANDRAMATTIE DAVE, and AMETRA DAVE
AND
IN THE MATTER OF A SETTLEMENT AGREEMENT BETWEEN
STAFF OF THE ONTARIO SECURITIES COMMISSION and 1415409 ONTARIO INC., TITLE ONE CLOSING INC.,
RAVINDRA DAVE, and CHANDRAMATTIE DAVE
SETTLEMENT AGREEMENT PART I – INTRODUCTION 1. The Ontario Securities Commission (the “Commission”) will issue a Notice of Hearing to announce that it will hold a hearing to consider whether, pursuant to sections 127 and 127.1 of the Securities Act, R.S.O. 1990, c. S-5, as amended (the “Act”), it is in the public interest for the Commission to make certain orders in respect of Chandramattie Dave (also known as Rita Bahadur) (“Chandramattie”), Ravindra Dave (also known as Dave Ravindra) (“Ravindra”), 1415409 Ontario Inc. (“1415409”), and Title One Closing Inc. (“TOC”) (collectively, the “Settling Respondents”). PART II – JOINT SETTLEMENT RECOMMENDATION 2. Staff of the Commission (“Staff”) agree to recommend settlement of the proceeding commenced by Notice of Hearing dated March 17, 2015, (the “Proceeding”) against the Settling Respondents according to the terms and conditions set out in Part V of this Settlement Agreement (the “Settlement Agreement”). The Settling Respondents agree to the making of an order in the form attached as Schedule “A”, based on the facts set out below. 3. For the purposes of this proceeding, and any other regulatory proceeding commenced by a securities regulatory authority, the Settling Respondents agree with the facts as set out in Part III and the conclusion in Part IV of this Settlement Agreement. PART III – AGREED FACTS A. OVERVIEW 4. During the period of about January 1, 2009, to December 31, 2012 (the “Material Time”), the Settling Respondents engaged in unregistered trading and illegal distribution through the sale of securities to approximately 34 Ontario investors, from whom the Settling Respondents raised approximately $5.4 million in investor funds. 5. Furthermore, Chandramattie and Ravindra engaged in fraudulent conduct by making misleading or untrue statements to investors regarding the use of investor funds, and used investor funds for other business purposes, and for personal benefit. 6. The Settling Respondents have acted in a manner contrary to Ontario securities law and contrary to the public interest. B. BACKGROUND 7. 1415409 was incorporated as an Ontario corporation in April of 2000 (its corporate registration was cancelled on December 8, 2012). Its registered office address was in Mississauga, Ontario. 1415409 has never been registered with the Commission in any capacity. 8. TOC was incorporated as an Ontario corporation in December of 2001. Its registered office address is in Mississauga, Ontario. TOC has never been registered with the Commission in any capacity. 9. 1415409 and TOC are not reporting issuers in Ontario. Neither company has ever filed a prospectus or preliminary prospectus with the Commission.
Decisions, Orders and Rulings
September 3, 2015
(2015), 38 OSCB 7532
10. Ravindra is a resident of Mississauga, Ontario. He was one of the founding directors of TOC, and is one of the directing minds of TOC. He has never been registered with the Commission in any capacity. 11. Chandramattie is a resident of Mississauga, Ontario, and is the former spouse of Ravindra. She was the President, the Secretary, and a Director of 1415409. 12. Chandramattie was previously registered with the Commission as a salesperson in the category of “mutual fund dealer” and “limited market dealer” from February 21, 2000, to January 30, 2006. She has not been registered with the Commission in any capacity since that time. 13. During the Material Time, Ravindra and Chandramattie presented predominantly paid seminars to the public in Ontario, Alberta, and British Columbia that purported to provide education and information regarding real estate related investments, including but not limited to loans, mortgages, and real estate projects or development. 14. At many of these seminars, Ravindra and Chandramattie promoted membership in their organization Canada Real Estate Investment Group (“CANREIG”). Individuals who purchased membership in CANREIG received access to these seminars. 15. In addition to providing seminars and promoting CANREIG, Ravindra and Chandramattie facilitated the investment of funds from the public with corporations owned or controlled by them. C. VIOLATIONS OF THE ACT 16. During the Material Time, Ravindra and Chandramattie sold promissory notes totalling approximately $5.4 million to at least 34 Ontario investors (the “Promissory Notes”). Investors understood that their funds were being loaned to other individuals or companies through CANREIG or related companies, and that investors would receive a fixed return of 10% to 20% per year. 17. The majority of the Promissory Notes were issued by 1415409 and/or Chandramattie. 18. Each Promissory Note evidenced indebtedness and/or was an “investment contract” and therefore a “security” as defined in subsection 1(1) of the Act. 19. Ravindra and Chandramattie facilitated Ontario residents entering into the Promissory Notes by meeting with potential investors and making representations regarding the purported rate of return they would earn by entering into the investment. 20. Funds from investors were transferred or deposited into a bank account in the name of TOC. 21. As noted above, none of the Settling Respondents were registered with the Commission during the Material Time. No exemptions from registration were available to them under the Act. 22. The sales of the Promissory Notes were trades in securities not previously issued and were therefore distributions. The Settling Respondents had never filed a preliminary prospectus or a prospectus with the Commission, and no prospectus receipt has ever been issued to qualify the sale of the Promissory Notes. 23. Many of the investors did not qualify as accredited investors or meet applicable exemptions from prospectus requirements. 24. By engaging in the conduct described above, the Settling Respondents traded and engaged in, or held themselves out as engaging in, the business of trading in securities and participated in acts, solicitations, conduct, or negotiations directly or indirectly in furtherance of the sale or disposition of securities for valuable consideration, in circumstances where there were no exemptions available to the Settling Respondents under the Act, contrary to sections 25 and 53 of the Act. 25. Chandramattie and Ravindra represented to investors that their funds would be loaned to other individuals or companies, and that investors would receive a fixed return based on the profits generated from these loans. These statements were untrue or misleading and perpetrated a fraud on investors. 26. As noted above, during the Material Time the Settling Respondents received approximately $5.4 million from at least 34 Ontario investors. These investors received Promissory Notes in return. Approximately $2.1 million was paid back to these investors to partially satisfy investment return and redemption payments. 27. Also during the Material Time, the Settling Respondents received an additional approximately $3.1 million from approximately 34 other individuals and companies, who did not receive Promissory Notes. These funds were used to invest in
Decisions, Orders and Rulings
September 3, 2015
(2015), 38 OSCB 7533
specific real estate projects to which investors received title. In cases where the transaction was not completed, investors received a return of their investment (a total of approximately $875,000). 28. All of the funds received by the Settling Respondents for the above-noted activities were deposited into a single bank account held in the name of TOC. 29. Certain of the funds deposited to the TOC bank account from the issuance of Promissory Notes were used to satisfy investment returns and redemption payments in respect of Promissory Notes issued to other investors. 30. Approximately $2 million of investor funds were used as follows:
(i) approximately $1 million was used in the operations of companies owned or controlled by Ravindra and/or Chandramattie or related parties;
(ii) approximately $750,000 was paid to family members or related parties of Ravindra and/or Chandramattie, a
portion of which was in relation to the return of funds previously invested with the Settling Respondents; (iii) approximately $150,000 was paid to personal credit cards in the names of Ravindra and related parties, some
of which was in respect of business expenses; (iv) approximately $90,000 was used to make payments to mortgages on properties owned by parties related to
the Settling Respondents, a portion of which was in relation to the return of funds previously invested with the Settling Respondents; and
(v) approximately $15,000 was used for medical expenditures for the personal benefit of Ravindra.
31. Approximately $2.0 million was paid to other individuals, some of which was in respect of fees for services, and some of which was repayment of loans made to the Settling Respondents prior to the Material Period. 32. Approximately $1.5 million was paid to other corporations, some of which was in respect of fees for services, and some of which was transfers to associated companies conducting business in other provinces. 33. By engaging in the conduct described above, Chandramattie and Ravindra engaged in or participated in acts, practices, or courses of conduct relating to securities that they knew or reasonably ought to have known perpetrated a fraud on persons or companies contrary to paragraph 126.1(b) of the Act. 34. During the Material Time Chandramattie, as a Director and Officer of 1415409, authorized, permitted, or acquiesced in 1415409’s non-compliance with Ontario securities law. E. MITIGATING FACTORS 35. None of the Settling Respondents have previously been found to have breached the Act. 36. Ravindra has never been registered with the Commission in any capacity. 37. Other than their use of investor funds for personal use, as detailed above, the Settling Respondents did not receive a salary from investor funds. 38. The Settling Respondents invested significant personal funds in the operation of their various businesses. They are now impecunious. 39. The Settling Respondents cooperated during Staff’s investigation, and have voluntarily agreed to enter into this Settlement Agreement. PART IV – CONDUCT CONTRARY TO ONTARIO SECURITIES LAW AND THE PUBLIC INTEREST 40. By engaging in the conduct described above, the Settling Respondents admit and acknowledge that they have breached Ontario securities law by contravening sections 25(1)(a), 53(1), and 126.1(b) of the Act and acknowledge that they have acted contrary to the public interest, and Chandramattie additionally admits and acknowledges that she breached Ontario securities law by contravening section 129.2 of the Act, in that:
(a) They engaged in or held themselves out as engaging in the business of trading in securities without being registered to do so in circumstances where there were no exemptions available to them under the Act,
Decisions, Orders and Rulings
September 3, 2015
(2015), 38 OSCB 7534
contrary to paragraph 25(1)(a) of the Act as that section existed at the time the conduct at issue commenced on January 1, 2009, and contrary to section 25(1) of the Act as subsequently amended on September 28, 2009;
(b) They traded securities when a preliminary prospectus and a prospectus had not been filed and receipts had
not been issued for them by the Director, contrary to subsection 53(1) of the Act; (c) Chandramattie and Ravindra engaged in or participated in acts, practices, or courses of conduct relating to
securities that they knew or reasonably ought to have known perpetrated a fraud on persons or companies contrary to paragraph 126.1(b) of the Act;
(d) Chandramattie, being an officer and director of 1415409, authorized, permitted or acquiesced in 1415409’s
non-compliance with Ontario securities law and accordingly failed to comply with Ontario securities law, contrary to section 129.2 of the Act; and
(e) The Settling Respondents’ conduct was contrary to the public interest and harmful to the integrity of the capital
markets in Ontario. PART V – TERMS OF SETTLEMENT 41. The Settling Respondents agree to the terms of settlement listed below and to the Order attached hereto, made pursuant to subsection 127(1) and section 127.1 of the Act that:
(a) the Settlement Agreement is approved; (b) trading in any securities or derivatives by 1415409 and TOC cease permanently, pursuant to paragraph 2 of
subsection 127(1) of the Act; (c) trading in any securities or derivatives by Chandramattie cease permanently, pursuant to paragraph 2 of
subsection 127(1) of the Act; (d) trading in any securities or derivatives by Ravindra cease for a period of 20 years, pursuant to paragraph 2 of
subsection 127(1) of the Act; (e) the acquisition of any securities by 1415409 and TOC is prohibited permanently, pursuant to paragraph 2.1 of
subsection 127(1) of the Act; (f) the acquisition of any securities by Chandramattie is prohibited permanently, pursuant to paragraph 2.1 of
subsection 127(1) of the Act; (g) the acquisition of any securities by Ravindra is prohibited for a period of 20 years, pursuant to paragraph 2.1
of subsection 127(1) of the Act; (h) any exemptions contained in Ontario securities law do not apply to 1415409 and TOC permanently, pursuant
to paragraph 3 of subsection 127(1) of the Act; (i) any exemptions contained in Ontario securities law do not apply to Chandramattie permanently, pursuant to
paragraph 3 of subsection 127(1) of the Act; (j) any exemptions contained in Ontario securities law do not apply to Ravindra for a period of 20 years, pursuant
to paragraph 3 of subsection 127(1) of the Act; (k) each of the Settling Respondents are reprimanded, pursuant to paragraph 6 of subsection 127(1) of the Act; (l) Chandramattie shall resign any positions that she holds as a director or officer of an issuer, pursuant to
paragraph 7 of section 127(1); (m) Ravindra shall resign any positions that he holds as a director or officer of an issuer, pursuant to paragraph 7
of section 127(1); (n) Chandramattie is prohibited from becoming or acting as a director or officer of any issuer permanently,
pursuant to paragraph 8 of section 127(1) of the Act;
Decisions, Orders and Rulings
September 3, 2015
(2015), 38 OSCB 7535
(o) Ravindra is prohibited from becoming or acting as a director or officer of any issuer for a period of 20 years, pursuant to paragraph 8 of section 127(1) of the Act;
(p) Chandramattie shall resign any positions that she holds as a director or officer of a registrant, pursuant to
paragraph 8.1 of section 127(1); (q) Ravindra shall resign any positions that he holds as a director or officer of a registrant, pursuant to paragraph
8.1 of section 127(1); (r) Chandramattie is prohibited from becoming or acting as a director or officer of any registrant permanently,
pursuant to paragraph 8.2 of section 127(1) of the Act; (s) Ravindra is prohibited from becoming or acting as a director or officer of any registrant for a period of 20
years, pursuant to paragraph 8.2 of section 127(1) of the Act; (t) Chandramattie shall resign any positions that she holds as a director or officer of an investment fund
manager, pursuant to paragraph 8.3 of section 127(1); (u) Ravindra shall resign any positions that he holds as a director or officer of an investment fund manager,
pursuant to paragraph 8.3 of section 127(1); (v) Chandramattie is prohibited from becoming or acting as a director or officer of an investment fund manager
permanently, pursuant to paragraph 8.4 of section 127(1) of the Act; (w) Ravindra is prohibited from becoming or acting as a director or officer of an investment fund manager for a
period of 20 years, pursuant to paragraph 8.4 of section 127(1) of the Act; (x) Chandramattie is prohibited from becoming or acting as a registrant, as an investment fund manager, or as a
promoter permanently, pursuant to paragraph 8.5 of section 127(1) of the Act; (y) Ravindra is prohibited from becoming or acting as a registrant, as an investment fund manager, or as a
promoter for a period of 20 years, pursuant to paragraph 8.5 of section 127(1) of the Act; (z) The Settling Respondents pay to the Commission an administrative penalty in the aggregate amount of
$300,000 (jointly and severally), which shall be designated for allocation or for use by the Commission in accordance with subsections 3.4(2)(b)(i) or (ii) of the Act, pursuant to paragraph 9 of section 127(1) of the Act;
(aa) the Settling Respondents disgorge to the Commission the amount of $3,300,000 on a joint and several basis,
which shall be designated for allocation or for use by the Commission in accordance with subsections 3.4(2)(b)(i) or (ii) of the Act, pursuant to paragraph 10 of section 127(1) of the Act;
(bb) the Settling Respondents shall pay costs in the amount of $25,000 on a joint and several basis, pursuant to
section 127.1 of the Act; and (cc) until the entire amount of the payments set out in paragraphs 41(z), (aa), and (bb) is paid in full, the provisions
of paragraphs 41(d), (g), (j), (o), (s), (w), and (y) shall continue in force without any limitation as to time period.
42. The Settling Respondents agree to attend in person at the hearing before the Commission to consider the proposed settlement. 43. The Settling Respondents acknowledge that failure to pay in full any monetary sanctions and/or costs ordered will result in their name being added to the list of “Respondents Delinquent in Payment of Commission Orders” published on the OSC website. 44. The Settling Respondents acknowledge that this Settlement Agreement and proposed Order may form the basis for parallel orders in other jurisdictions in Canada. The securities laws of some other Canadian jurisdictions may allow orders made in this matter to take effect in those other jurisdictions automatically, without further notice to the Settling Respondents. The Settling Respondents should contact the securities regulator of any other jurisdiction in which he or she may intend to engage in any securities related activities, prior to undertaking such activities.
Decisions, Orders and Rulings
September 3, 2015
(2015), 38 OSCB 7536
PART VI – STAFF COMMITMENT 45. If the Commission approves this Settlement Agreement, Staff will not commence any proceeding under Ontario securities law in relation to the facts set out in Part III of this Settlement Agreement, subject to the provisions of paragraph 31 below. 46. If the Commission approves this Settlement Agreement and the Settling Respondents fail to comply with any of the terms of the Settlement Agreement, Staff may bring proceedings under Ontario securities law against any of the Settling Respondents. These proceedings may be based on, but are not limited to, the facts set out in Part III of this Settlement Agreement as well as the breach of the Settlement Agreement. In addition, if this Settlement Agreement is approved by the Commission, and any of the Settling Respondents fail to comply with the terms of the Settlement Agreement, the Commission is entitled to bring any proceedings necessary to recover the amounts set out in paragraphs 41(z), (aa), and (bb) above. PART VIII – PROCEDURE FOR APPROVAL OF SETTLEMENT 47. The parties will seek approval of this Settlement Agreement at a public hearing before the Commission on a date to be scheduled according to the procedures set out in this Settlement Agreement and the Commission’s Rules of Procedure. 48. Staff and the Settling Respondents agree that this Settlement Agreement will form all of the agreed facts that will be submitted at the settlement hearing on the Settling Respondents’ conduct, unless the parties agree that additional facts should be submitted at the settlement hearing. 49. If the Commission approves this Settlement Agreement, the Settling Respondents agree to waive all rights to a full hearing, judicial review or appeal of this matter under the Act. 50. If the Commission approves this Settlement Agreement, neither party will make any public statement that is inconsistent with this Settlement Agreement or with any additional agreed facts submitted at the settlement hearing. 51. Whether or not the Commission approves this Settlement Agreement, the Settling Respondents will not use, in any proceeding, this Settlement Agreement or the negotiation or process of approval of this agreement as the basis for any attack on the Commission’s jurisdiction, alleged bias, alleged unfairness, or any other remedies or challenges that may otherwise be available. PART IX – DISCLOSURE OF SETTLEMENT AGREEMENT 52. If the Commission does not approve this Settlement Agreement or does not make the order attached as Schedule “A” to this Settlement Agreement:
(a) this Settlement Agreement and all discussions and negotiations between Staff and the Settling Respondents before the settlement hearing takes place will be without prejudice to Staff and the Settling Respondents; and
(b) Staff and the Settling Respondents will each be entitled to all available proceedings, remedies and challenges,
including proceeding to a hearing of the allegations contained in the Statement of Allegations. Any proceedings, remedies and challenges will not be affected by this Settlement Agreement, or by any discussions or negotiations relating to this agreement.
53. Both parties will keep the terms of the Settlement Agreement confidential until the Commission approves the Settlement Agreement. Any obligations of confidentiality shall terminate upon the commencement of the public settlement hearing. If, for whatever reason, the Commission does not approve the Settlement Agreement, the terms of the Settlement Agreement remain confidential indefinitely, unless Staff and the Settling Respondents otherwise agree or if required by law. PART X – EXECUTION OF SETTLEMENT AGREEMENT 54. This agreement may be signed in one or more counterparts which, together, constitute a binding agreement. 55. A facsimile copy or other electronic copy of any signature will be as effective as an original signature.
Decisions, Orders and Rulings
September 3, 2015
(2015), 38 OSCB 7537
Dated at Toronto this 27th day of August, 2015. “Chandramattie Dave” “Keir Wilmut” Chandramattie Dave Witness “Ravindra Dave” “Keir Wilmut” Ravindra Dave Witness “Chandramattie Dave” “Keir Wilmut” For 1415409 Ontario Inc. Witness “Ravindra Dave” “Keir Wilmut” For Title One Closing Inc. Witness “Tom Atkinson” Tom Atkinson Director, Enforcement Branch
Decisions, Orders and Rulings
September 3, 2015
(2015), 38 OSCB 7538
Schedule “A”
IN THE MATTER OF THE SECURITIES ACT,
R.S.O. 1990, c. S.5, AS AMENDED
AND
IN THE MATTER OF 1415409 ONTARIO INC., TITLE ONE CLOSING INC.,
RAVINDRA DAVE, CHANDRAMATTIE DAVE, and AMETRA DAVE
AND
IN THE MATTER OF A SETTLEMENT AGREEMENT BETWEEN
STAFF OF THE ONTARIO SECURITIES COMMISSION AND 1415409 ONTARIO INC., TITLE ONE CLOSING INC.,
RAVINDRA DAVE, and CHANDRAMATTIE DAVE
ORDER (Subsections 127(1) and 127.1)
WHEREAS: 1. on March 17, 2015, the Ontario Securities Commission (the “Commission”) issued a Notice of Hearing pursuant to
subsections 127(1) and 127.1 of the Securities Act, R.S.O. 1990, c. S.5, as amended (the “Act”) to consider whether it is in the public interest to make orders, as specified therein, against and in respect of Chandramattie Dave (also known as Rita Bahadur) (“Chandramattie”), Ravindra Dave (also known as Dave Ravindra) (“Ravindra”), 1415409 Ontario Inc. (“1415409”), and Title One Closing Inc. (“TOC”) (the “Settling Respondents”). The Notice of Hearing was issued in connection with the allegations as set out in the Statement of Allegations of Staff of the Commission (“Staff”) dated March 17, 2015;
2. the Settling Respondents entered into a Settlement Agreement with Staff dated August 27, 2015 (the “Settlement
Agreement”) in which the Settling Respondents agreed to a proposed settlement of the proceeding commenced by the Notice of Hearing, subject to the approval of the Commission;
3. the Commission issued a Notice of Hearing pursuant to section 127 of the Act to announce that it proposed to hold a
hearing to consider whether it is in the public interest to approve a settlement agreement entered into between Staff and the Settling Respondents;
4. the Settling Respondents acknowledge that failure to pay in full any monetary sanctions and/or costs ordered will result
in the Settling Respondents’ names being added to the list of “Respondents Delinquent in Payment of Commission Orders” published on the OSC website.
5. the Settling Respondents acknowledge that this Order may form the basis for parallel orders in other jurisdictions in
Canada. The securities laws of some other Canadian jurisdictions may allow orders made in this matter to take effect in those other jurisdictions automatically, without further notice to the Settling Respondents. The Settling Respondents should contact the securities regulator of any other jurisdiction in which he or she may intend to engage in any securities related activities, prior to undertaking such activities.
6. the Commission is of the opinion that it is in the public interest to make this Order; AND UPON reviewing the Settlement Agreement, the Notices of Hearing, and the Statement of Allegations of Staff, and upon hearing submissions the Settling Respondents and from Staff; IT IS HEREBY ORDERED THAT: 1. the Settlement Agreement is approved; 2. trading in any securities or derivatives by 1415409 and TOC cease permanently, pursuant to paragraph 2 of subsection
127(1) of the Act;
Decisions, Orders and Rulings
September 3, 2015
(2015), 38 OSCB 7539
3. trading in any securities or derivatives by Chandramattie cease permanently, pursuant to paragraph 2 of subsection 127(1) of the Act;
4. trading in any securities or derivatives by Ravindra cease for a period of 20 years, pursuant to paragraph 2 of
subsection 127(1) of the Act; 5. the acquisition of any securities by 1415409 and TOC is prohibited permanently, pursuant to paragraph 2.1 of
subsection 127(1) of the Act; 6. the acquisition of any securities by Chandramattie is prohibited permanently, pursuant to paragraph 2.1 of subsection
127(1) of the Act; 7. the acquisition of any securities by Ravindra is prohibited for a period of 20 years, pursuant to paragraph 2.1 of
subsection 127(1) of the Act; 8. any exemptions contained in Ontario securities law do not apply to 1415409 and TOC permanently, pursuant to
paragraph 3 of subsection 127(1) of the Act; 9. any exemptions contained in Ontario securities law do not apply to Chandramattie permanently, pursuant to paragraph
3 of subsection 127(1) of the Act; 10. any exemptions contained in Ontario securities law do not apply to Ravindra for a period of 20 years, pursuant to
paragraph 3 of subsection 127(1) of the Act; 11. each of the Settling Respondents are reprimanded, pursuant to paragraph 6 of subsection 127(1) of the Act; 12. Chandramattie shall resign any positions that she holds as a director or officer of an issuer, pursuant to paragraph 7 of
section 127(1); 13. Ravindra shall resign any positions that he holds as a director or officer of an issuer, pursuant to paragraph 7 of section
127(1); 14. Chandramattie is prohibited from becoming or acting as a director or officer of any issuer permanently, pursuant to
paragraph 8 of section 127(1) of the Act; 15. Ravindra is prohibited from becoming or acting as a director or officer of any issuer for a period of 20 years, pursuant to
paragraph 8 of section 127(1) of the Act; 16. Chandramattie shall resign any positions that she holds as a director or officer of a registrant, pursuant to paragraph
8.1 of section 127(1); 17. Ravindra shall resign any positions that he holds as a director or officer of a registrant, pursuant to paragraph 8.1 of
section 127(1); 18. Chandramattie is prohibited from becoming or acting as a director or officer of any registrant permanently, pursuant to
paragraph 8.2 of section 127(1) of the Act; 19. Ravindra is prohibited from becoming or acting as a director or officer of any registrant for a period of 20 years,
pursuant to paragraph 8.2 of section 127(1) of the Act; 20. Chandramattie shall resign any positions that she holds as a director or officer of an investment fund manager,
pursuant to paragraph 8.3 of section 127(1); 21. Ravindra shall resign any positions that he holds as a director or officer of an investment fund manager, pursuant to
paragraph 8.3 of section 127(1); 22. Chandramattie is prohibited from becoming or acting as a director or officer of an investment fund manager
permanently, pursuant to paragraph 8.4 of section 127(1) of the Act; 23. Ravindra is prohibited from becoming or acting as a director or officer of an investment fund manager for a period of 20
years, pursuant to paragraph 8.4 of section 127(1) of the Act;
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September 3, 2015
(2015), 38 OSCB 7540
24. Chandramattie is prohibited from becoming or acting as a registrant, as an investment fund manager, or as a promoter permanently, pursuant to paragraph 8.5 of section 127(1) of the Act;
25. Ravindra is prohibited from becoming or acting as a registrant, as an investment fund manager, or as a promoter for a
period of 20 years, pursuant to paragraph 8.5 of section 127(1) of the Act; 26. The Settling Respondents pay to the Commission an administrative penalty in the aggregate amount of $300,000
(jointly and severally), which shall be designated for allocation or for use by the Commission in accordance with subsections 3.4(2)(b)(i) or (ii) of the Act, pursuant to paragraph 9 of section 127(1) of the Act;
27. the Settling Respondents disgorge to the Commission the amount of $3,300,000 on a joint and several basis, which
shall be designated for allocation or for use by the Commission in accordance with subsections 3.4(2)(b)(i) or (ii) of the Act, pursuant to paragraph 10 of section 127(1) of the Act;
28. the Settling Respondents shall pay costs in the amount of $25,000 on a joint and several basis, pursuant to section
127.1 of the Act; and 29. until the entire amount of the payments set out in paragraphs 26, 27, and 28 are paid in full, the provisions of
paragraphs 4, 7, 10, 15, 19, 23, and 25 shall continue in force without any limitation as to time period. DATED at Toronto, this 27th day of August, 2015. _________________________________
September 3, 2015
(2015), 38 OSCB 7541
Chapter 3
Reasons: Decisions, Orders and Rulings 3.1 OSC Decisions 3.1.1 Andre Lewis – ss. 127(1), 127(10)
IN THE MATTER OF THE SECURITIES ACT,
R.S.O. 1990, c. S.5, AS AMENDED
AND
IN THE MATTER OF ANDRE LEWIS
REASONS AND DECISION
(Subsections 127(1) and (10) of the Act)
Hearing: In writing
Decision: August 31, 2015
Panel: Alan J. Lenczner, Q.C. Timothy Moseley
– –
Chair of the Panel Commissioner
Submissions by: Keir D. Wilmut – For Staff of the Commission
Andre Lewis – For himself
TABLE OF CONTENTS
I. Staff’s Request II. The Ontario Criminal Conviction and Sentence III. Staff’s Position IV. Mr. Lewis’s Position V. Decision
REASONS AND DECISION I. STAFF’S REQUEST [1] The Ontario Securities Commission (the “Commission”) must consider whether Andre Lewis (“Mr. Lewis”), convicted in
Ontario under subsection 380(1)(a) of the Criminal Code, R.S.C. 1985, c. C-46 (the “Criminal Code”) of one count of defrauding the public in an amount exceeding $5,000 and sentenced to seven years in prison, should be made subject to sanctions, pursuant to paragraph 1 of subsection 127(10) and subsection 127(1) of the Securities Act, R.S.O. 1990, c. S.5, as amended (the “Act”).
II. THE ONTARIO CRIMINAL CONVICTION AND SENTENCE [2] Mr. Lewis’s misconduct took place between January 1, 2004 and October 27, 2011 (the “Material Time”). [3] On June 18, 2014, following a 39-day trial held between April and June 2014 (the “Trial”), a jury found Mr. Lewis guilty
of one count of defrauding the public of an amount exceeding $5,000.
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September 3, 2015
(2015), 38 OSCB 7542
[4] It was found that during the Material Time, Mr. Lewis defrauded 33 investors of $7,527,630 in an elaborate mortgage investment scam in the nature of a Ponzi scheme. He solicited investors by offering an attractive rate of interest of 10% and through slick promotional ads which advertised that the investment was safe and secure. He backed up this claim with a promissory note he gave investors promising the return of their principal at the end of the term.
[5] The evidence at Trial established that Mr. Lewis used investor funds as follows:
Mr. Lewis did invest a small portion of the money he received from investors in mortgages that did not turn out to be as safe and secure as he advertised. Most of the properties were sold under power of sale at a loss to the investors. The bulk of the money however, was deposited into various bank accounts held by Mr. Lewis and his wife. The bank records demonstrate that most of the investors’ money was used to pay “interest” to other investors, pay company and personal expenses, make point of sale purchases and make cash withdrawals. … The evidence at trial showed that Mr. Lewis used the funds to support a lifestyle that included sending his children to private school, being driven around to meet potential investors in a white stretch limousine, taking his staff to Trinidad to celebrate Carnival and finally finishing and furnishing his corporate office. (R. v. Lewis, Transcript of Oral Reasons of J. Corrick, dated July 11, 2014 at page 1 line 32 to page 2 line 21)
[6] 33 investors testified that they had all lost funds and were harmed. Some of these investors gave Mr. Lewis all of their savings and others mortgaged their homes to invest with him. Mr. Lewis also targeted vulnerable individuals. Specifically, Justice Corrick emphasized the following in her oral reasons:
Many of the victims were retired or near retirement, and invested the money they were using to finance their retirements with Mr. Lewis. Nine victims invested a total of $1,149,339 in self-directed registered savings plans with Mr. Lewis. Ten of the victims were more than 70 years old at the time of the trial, six of them were more than 80 years old. Victim Impact Statements were filed on behalf of 17 of the victims. They speak of the financial and emotional devastation Mr. Lewis’s crime has caused in their lives. Many people wrote that they endure sleepless nights, stress, anxiety and lack of trust. Some have had suicidal thoughts. Many expressed dismay that they are now unable to pass on an inheritance to their children. Some victims who were retired have been forced to seek employment to avoid losing their homes. (R. v. Lewis, Transcript of Oral Reasons of J. Corrick, dated July 11, 2014 at page 2 line 29 to page 3 line 16)
[7] Justice Corrick sentenced Mr. Lewis on July 11, 2014 to a term of imprisonment of seven years. Mr. Lewis was given credit for four years of pre-sentence custody and as a result is serving three years in prison from the date of sentencing. Restitution orders were also made in favor of each of the individual victims. In addition, Mr. Lewis was ordered to pay a fine in the amount of $7,527,630 within 10 years of his release from prison, in default of which he is sentenced to five years in prison consecutive to the three years presently being served. He is also prohibited from communicating with the victims in this matter.
[8] In support of her sentence, Justice Corrick explained that “… convictions for large scale, long-term frauds involving a
breach of trust that have devastating consequences for the victims will attract a substantial penitentiary term” (R. v. Lewis, Transcript of Oral Reasons of J. Corrick, dated July 11, 2014 at page 8 lines 7 to 11).
III. STAFF’S POSITION [9] Staff, in written submissions, seeks an order that:
• trading in any securities by Mr. Lewis cease permanently; • Mr. Lewis be permanently prohibited from acquiring any securities; • any exemptions contained in Ontario securities law not apply to Mr. Lewis permanently; • Mr. Lewis resign any positions he holds as director or officer of any issuer, registrant or investment fund
manager;
Reasons: Decisions, Orders and Rulings
September 3, 2015
(2015), 38 OSCB 7543
• Mr. Lewis be prohibited permanently from becoming or acting as an officer or director of any issuer, registrant or investment fund manager; and
• Mr. Lewis be prohibited permanently from becoming or acting as a registrant, an investment fund manager or
a promoter.
IV. MR. LEWIS’S POSITION [10] Mr. Lewis provided correspondence, received by the Commission on July 31, 2015, stating the following:
… please be advised that I will concede to the conditions of the Order as stated in the Written Submissions of STAFF OF The ONTARIO SECURITIES COMMISSION …
V. DECISION [11] In our view, it is in the public interest to sanction Mr. Lewis. The criminal conviction and reasons for sentencing
imposed by Justice Corrick meet the threshold requirements of paragraph 1 of subsection 127(10) of the Act. Mr. Lewis has been convicted in Ontario of one count of defrauding the public of an amount exceeding $5,000, contrary to section 380(1)(a) of the Criminal Code. This conviction arose from transactions, business or course of conduct related to securities. Specifically, Mr. Lewis was found to have defrauded 33 investors of $7,527,630 in a large-scale, sophisticated mortgage investment scam. He issued promissory notes to investors in exchange for their investments, which Mr. Lewis led investors to believe would be in private mortgages.
[12] Mr. Lewis has provided correspondence stating that he concedes to the conditions of the order requested by Staff. Mr.
Lewis has not provided us with any information that would persuade us that Staff’s requested order is not appropriate in the circumstances.
[13] Our mandate is to consider the public interest in providing protection to investors from unfair and fraudulent practices,
and to foster fair and efficient capital markets. [14] We have considered the following:
a. This matter involves very serious misconduct. As described in Justice Corrick’s oral reasons:
… this was a large-scale sophisticated fraud that was perpetrated over several years. Thirty-three victims lost a total of $7,527,630. Mr. Lewis created slick promotional material, including DVDs, brochures, radio and television ads were designed to lure and deceive investors. (R. v. Lewis, Transcript of Oral Reasons of J. Corrick, dated July 11, 2014 at page 9 lines 6 to 11)
b. Mr. Lewis took advantage of investors (many of whom were vulnerable and elderly), manipulated them and breached their trust. For example, to influence investors he would shower them with gifts or use religion as a means to gain their trust. Justice Corrick considered it an aggravating factor, and we agree that:
… Mr. Lewis breached the trust of the people who entrusted their money to him. He was their advisor. He was licensed and regulated by FSCO. He abused that status to take advantage of people. His guile had no limits. He used any and all means to develop a rapport with his victims to extract their money. (R. v. Lewis, Transcript of Oral Reasons of J. Corrick, dated July 11, 2014 at page 9 lines 13 to 19)
c. The impact on the victims in this matter has been devastating, and financial losses are only part of the losses they have suffered. Many investors now suffer from depression, anxiety, loss of joy and loss of trust. As noted by Justice Corrick, “Mr. Lewis was indiscriminate about who he preyed upon. He took money from people who he knew could not afford to lose it” (R. v. Lewis, Transcript of Oral Reasons of J. Corrick, dated July 11, 2014 at page 10 lines 7 to 9).
Reasons: Decisions, Orders and Rulings
September 3, 2015
(2015), 38 OSCB 7544
[15] We find it telling that Mr. Lewis’s crime was driven by pure greed. As described by Justice Corrick in her oral reasons: Mr. Lewis used his victims’ money for his personal benefit. He did not stop on his own accord, but persisted even when things began to unravel. Mr. Lewis continued to lure victims knowing that their money was in jeopardy. (R. v. Lewis, Transcript of Oral Reasons of J. Corrick, dated July 11, 2014 at page 10 lines 10 to 16)
[16] It was also a finding in the criminal proceeding that Mr. Lewis has not acknowledged that what he did was criminal. Justice Corrick found that:
[Mr. Lewis] does not appear to understand or acknowledge that taking people’s money on the understanding that the money would be invested in mortgages is fraud if he does not invest it in mortgages, whether or not he intended to lose the victims’ money. His statement to the court prior to sentencing focused on his desire to grow his business and make money for his clients. This refusal to recognize his criminality increases his risk of reoffending. (R. v. Lewis, Transcript of Oral Reasons of J. Corrick, dated July 11, 2014 at page 10 lines 18 to 28)
[17] In such circumstances, when large scale fraud is involved and investors have suffered severe harm, permanent bans for cease trading and market prohibitions are necessary to provide both specific and general deterrence. Such sanctions are prospective to protect Ontario investors in the future. We rely on the principle articulated in Committee for Equal Treatment of Asbestos Minority Shareholders v. Ontario (Securities Commission), [2001] 2 S.C.R. 132 at para. 43 that “The role of the OSC under s. 127 is to protect the public interest by removing from the capital markets those whose past conduct is so abusive as to warrant apprehension of future conduct detrimental to the integrity of the capital markets”.
[18] We order the following:
i. pursuant to paragraph 2 of subsection 127(1) of the Act, trading in any securities by Mr. Lewis shall cease permanently;
ii. pursuant to paragraph 2.1 of subsection 127(1) of the Act, acquisition of any securities by Mr. Lewis shall be
prohibited permanently; iii. pursuant to paragraph 3 of subsection 127(1) of the Act, any exemptions contained in Ontario securities law
shall not apply to Mr. Lewis permanently; iv. pursuant to paragraphs 7, 8.1 and 8.3 of subsection 127(1) of the Act, Mr. Lewis shall resign any positions
that he holds as director or officer of any issuer, registrant or investment fund manager; v. pursuant to paragraphs 8, 8.2 and 8.4 of subsection 127(1) of the Act, Mr. Lewis shall be prohibited
permanently from becoming or acting as an officer or director of any issuer, registrant or investment fund manager; and
vi. pursuant to paragraph 8.5 of subsection 127(1) of the Act, Mr. Lewis shall be prohibited permanently from
becoming or acting as a registrant, as an investment fund manager or as a promoter. Dated at Toronto this 31st day of August, 2015. “Alan J. Lenczner” “Timothy Moseley” Alan J. Lenczner, Q.C. Timothy Moseley
Reasons: Decisions, Orders and Rulings
September 3, 2015
(2015), 38 OSCB 7545
3.2 Director’s Decisions 3.2.1 Eva-Christine Missullis
IN THE MATTER OF THE SECURITIES ACT,
R.S.O. 1990, c. S.5 AS AMENDED
AND
IN THE MATTER OF AN APPLICATION FOR REACTIVATION OF REGISTRATION BY
EVA-CHRISTINE MISSULLIS
1. Prior to this application for reactivation of registration (the “Application” ), Eva-Christine Missullis (“Missullis”) was registered under the Securities Act (Ontario) (the “Act”) as follows: (a) February 2002 – March 2004: Primerica Financial Services, mutual fund dealing representative; (b) March 2004 – September 2010: Investors Group Financial Services Inc. (“IG”), mutual fund dealing
representative and limited market dealing representative; and (c) September 2010 – January 2012: IG, mutual fund dealing representative.
2. On January 20, 2012, Missullis was terminated for cause by IG. The Form 33-109F1 Notice of Termination (the “Notice of Termination”) delivered in connection with Missullis’s termination stated that she was terminated due to her inappropriate handling of funds and servicing of clients. More particularly, the Notice of Termination stated that Missullis did not have evidence that she advised a particular client about the existence of deferred sales charges (“DSCs”) when the client transferred their investments. In addition, the Notice of Termination stated that Missullis had admitted to forging a client’s signature on an account application.
3. On November 25, 2013, Missullis applied to reactivate her registration under the Act with 3i Financial Investment
Services Inc. (“3i”) (i.e., the Application). 4. Staff reviewed the Application and on June 8, 2015, sent a letter to Missullis (the “Letter”) informing her that Staff had
recommended to the Director that the Application be granted subject to terms and conditions requiring the following (the “Terms and Conditions”): (a) within six months of the date Missullis’s registration was reactivated, she must successfully complete the
Conduct and Practices Handbook Course; (b) Missullis was to be subject to strict supervision by 3i for a period of at least one year; (c) for a period of at least one year, if Missullis processes a transaction for a client using a document which is
signed or initialled by a client and which is not the original version of the document, she is required to deliver the original document to 3i within one week of the transaction to permit the firm to verify the authenticity of the copied document;
(d) for a period of at least one year, Missullis may not carry out any securities transactions for clients using a
limited trading authorization (i.e., she must have written instructions from her clients before she may carry out a securities transaction); and
(e) Missullis shall not be designated as a branch manager for the purposes of the Rules of the Mutual Fund
Dealers Association of Canada.
5. The Letter stated that Staff’s recommendation was based on the following facts which had been identified by Staff during the course of its review of the Application: (a) HP and RP had been clients of Missullis. (b) On May 30, 2011, HP and RP sent a written complaint to IG regarding Missullis. (c) On June 8, 2011, IG wrote to the Ps to request particulars of their complaint.
Reasons: Decisions, Orders and Rulings
September 3, 2015
(2015), 38 OSCB 7546
(d) On June 23, 2011, the Ps sent IG a list of issues they requested be reviewed. This list included their concern that high-risk investments Missullis made in HP’s account were inconsistent with HP’s risk tolerance, and that Missullis did not disclose to the Ps the existence of DSCs associated with their investments. In their letter, the Ps sought compensation for investment losses and a rebate of their DSCs.
(e) On or around November 14, 2011, IG completed a review of the Ps’ complaint. This review found that the
investments Missullis made for HP were suitable for her as they were consistent with HP’s risk tolerance as stated in the know-your-client (“KYC”) information found in her account application, although IG did find that Missullis had not properly disclosed the DSCs to the Ps.
(f) In a letter dated November 21, 2011, IG informed the Ps of the results of the firm’s review of their complaint. (g) IG’s November 21, 2011 letter enclosed HP’s account application form, and according to the KYC information
contained in the form, HP’s risk profile was “moderate aggressive to aggressive”. On the basis of this KYC information, IG determined that the funds sold to HP by Missullis, which ranged from low to high risk, were suitable for HP. In the result, IG declined the Ps’ request to compensate them for investment losses in HP’s account, although it did offer to refund her DSCs.
(h) On November 28, 2011, the Ps responded to IG’s November 21, 2011 letter. In their response, the Ps noted
that HP’s signature on the application for HP’s account was not signed by her. The Ps alleged that HP’s signature had been forged.
(i) On January 6, 2012, IG questioned Missullis about the signature on HP’s account application, and Missullis
denied that she had signed HP’s signature to the document. (j) On January 13, 2012, Missullis provided IG with a written statement in which she admitted that she had, in
fact, signed HP’s signature to the account application. (k) In her January 13, 2012 written statement, Missullis said that due to a delay in the opening of HP’s account, a
new account application form was required. Rather than contact HP to have her complete a new application, Missullis copied the KYC information from the original application to a new one, and signed HP’s name to the new document. During this process, Missullis changed HP’s risk tolerance to “high”, and her investment profile to “moderate aggressive to aggressive”.
(l) Missullis provided Staff with a written statement in which she stated that the change to HP’s KYC information
was inadvertent, but Missullis’s statement contained no information as to what could have caused this very significant inadvertence.
(m) On January 16, 2012, Missullis was suspended by IG, and on January 20, 2012 she was terminated for
cause. (n) On or around January 20, 2012, IG completed a further review of the Ps’ complaint in light of the new
information received regarding Missullis’s falsification of HP’s account application form. (o) IG’s further review of the Ps’ complaint found that on the basis of HP’s actual risk tolerance, certain of HP’s
investments that had been sold to her by Missullis were in fact unsuitable for her, and accordingly IG offered to reimburse HP for investment losses in her account.
(p) On February 3, 2012, HP signed a full and final release in favour of IG in consideration for the payment to her
of approximately $1,700 for DSCs and $2,300 for investment losses. (q) Subsequent to Missullis’s termination, IG conducted a further investigation of her practice, which included
reviewing a sample of 22 client files. The findings from this internal investigation included the following:
(i) Seven of the 22 files reviewed had documents that appeared to have been altered in various ways. The alterations included the use of white out to change dates and dollar amounts, and signatures and initials that did not appear to belong to the client.
(ii) One file had a pre-signed form.
(r) Documents identified by IG as having been altered or pre-signed were from the period 2006 to 2011, however
during this period Missullis also signed annual “Consultant Certificates” attesting that, among other things, she
Reasons: Decisions, Orders and Rulings
September 3, 2015
(2015), 38 OSCB 7547
had “not arranged for any client to pre-sign any form(s) and do not maintain any pre-signed form(s) in any client file” or “forged a client’s signature”.
(s) One of the clients for whom irregular documentation was found by IG was SJ. It appears that SJ’s signatures
on two transfer authorization forms from 2011 did not match. Staff spoke with SJ’s mother, EJ, who advised that she signed her daughter’s signature to an investment document in Missullis’ presence because SJ had been unable to attend the meeting.
(t) On December 11, 2014, Missullis attended an interview with Staff regarding this matter. When Staff asked
Missullis why she changed HP’s KYC information from “medium” risk to “high” risk, and from “moderate conservative to conservative” to “moderate aggressive to aggressive”, Missullis answered “I don’t remember”. When Missullis was asked why she had originally denied falsifying HP’s signature to IG, Missullis replied “I have no recollection”, “I don’t remember why I denied it in the first place”, and “I don’t remember why I denied it. I guess it was a defense.” Staff was of the view that these answers represented a lack of candour on the part of Missullis, which was a signal to Staff that Missullis did not understand or appreciate the severity of her misconduct.
6. Pursuant to section 27 of the Act, in considering whether to accept an application for registration, the Director is
required to consider whether the applicant possesses the requisite proficiency, solvency, and integrity for registration, and whether the applicant’s registration would otherwise be objectionable. In addition, section 27 permits the Director to impose terms and conditions on a registrant’s registration. In the case of Missullis, Staff was of the view that the facts described in paragraph 5 above indicated that Missullis lacked the requisite proficiency and integrity for unconditional registration, and accordingly Staff recommended to the Director that the Application be granted subject to the Terms and Conditions.
7. The fact that Missullis was terminated for cause for the conduct in question and had not been registered since January
20, 2012 (i.e., a period of approximately 3.5 years from the date of the Letter) was fundamental to Staff’s recommendation. The Letter specifically informed Missullis that had IG not terminated her employment, Staff likely would have recommended to the Director that her registration be suspended for a period of at least one year.
8. The Letter informed Missullis that she could accept the Terms and Conditions or request an opportunity to be heard
regarding Staff’s recommendation pursuant to section 31 of the Act. Missullis accepted the Terms and Conditions on June 16, 2015, and accordingly Missullis’s registration was reinstated effective June 17, 2015, subject to the Terms and Conditions.
June 17, 2015
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(2015), 38 OSCB 7548
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(2015), 38 OSCB 7549
Chapter 4
Cease Trading Orders 4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders
Company Name Date ofTemporary Order
Date of Hearing Date of Permanent Order
Date ofLapse/Revoke
Salix Pharmaceuticals, Ltd. 26-August-15 4-September-15
4.2.1 Temporary, Permanent & Rescinding Management Cease Trading Orders
Company Name Date of Order of Temporary Order
Date of Hearing Date of Permanent Order
Date of Lapse/Expire
Date of Issuer Temporary Order
AndeanGold Ltd. 27-August-15 9-September-15
THERE ARE NO ITEMS TO REPORT THIS WEEK. 4.2.2 Outstanding Management & Insider Cease Trading Orders
Company Name Date of Order of Temporary Order
Date of Hearing Date of Permanent Order
Date of Lapse/Expire
Date of Issuer Temporary Order
THERE ARE NO ITEMS TO REPORT THIS WEEK.
Cease Trading Orders
September 3, 2015
(2015), 38 OSCB 7550
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September 3, 2015
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Chapter 5
Rules and Policies 5.1.1 CSA Notice of Amendments Related to the Recognition of Aequitas NEO Exchange Inc.
CSA Notice of Amendments
Related to the Recognition of Aequitas NEO Exchange Inc.
September 3, 2015 Introduction The Canadian Securities Administrators (the CSA or we) are implementing amendments to:
• National Instrument 41-101 General Prospectus Requirements (NI 41-101); • National Instrument 44-101 Short Form Prospectus Distributions (NI 44-101); • National Instrument 45-106 Prospectus Exemptions (NI 45-106); • National Instrument 51-102 Continuous Disclosure Obligations (NI 51-102); • Except in Ontario, Multilateral Instrument 51-105 Issuers Quoted in the U.S. Over-the-Counter Markets (MI 51-
105); • National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings (NI 52-109); • National Instrument 52-110 Audit Committees (NI 52-110); • National Instrument 58-101 Disclosure of Corporate Governance Practices (NI 58-101); • In Ontario and Québec, Multilateral Instrument 61-101 Protection of Minority Security Holders in Special
Transactions (MI 61-101); • National Instrument 71-102 Continuous Disclosure and Other Exemptions Relating to Foreign Issuers (NI 71-
102); and • National Instrument 81-101 Mutual Fund Prospectus Disclosure (NI 81-101).
We are also implementing changes to:
• National Policy 46-201 Escrow for Initial Public Offerings (NP 46-201). The amendments to NI 41-101, NI 44-101, NI 45-106, NI 51-102, MI 51-105, NI 52-109, NI 52-110, NI 58-101, MI 61-101, NI 71-102 and NI 81-101 and related changes to NP 46-201 are collectively referred to in this Notice as the “Amendments and Related Changes”. The Amendments and Related Changes are expected to be adopted by each member of the CSA, where applicable, and provided all necessary ministerial approvals are obtained, will be effective November 17, 2015.
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Substance and Purpose of the Amendments and Related Changes The Amendments and Related Changes are intended to address the differences in treatment of certain reporting issuers under current securities legislation that have arisen as a result of references to specific exchanges under current securities legislation and the recognition of Aequitas NEO Exchange Inc. (Aequitas NEO Exchange) as an exchange pursuant to section 21 of the Securities Act (Ontario) and the exemption from the requirement to be recognized in other jurisdictions, namely British Columbia, Alberta, Saskatchewan, Manitoba, Québec, New Brunswick, Prince Edward Island, Nova Scotia, Newfoundland and Labrador, Yukon, Northwest Territories and Nunavut. These changes aim to ensure that securities legislation applies consistently to issuers listed on Aequitas NEO Exchange and issuers listed on other senior recognized exchanges. Investors will benefit directly from the Amendments and Related Changes as issuers listed on Aequitas NEO Exchange will be subject to the same regulatory requirements as issuers listed on other senior recognized exchanges and the industry will benefit from a harmonized regulatory regime. Background The CSA previously requested comment on proposals reflected in the Amendments and Related Changes. On December 11, 2014, we published a Notice and Request for Comment relating to the Amendments and Related Changes (the December 11 Materials). Please refer to the December 11 Materials for further background. Summary of Written Comments Received by the CSA We did not receive any comments during the comment period. Local Matters Annex M is being published in any local jurisdiction that is making related changes to local securities laws, including local notices or other policy instruments in that jurisdiction. It also includes any additional information that is relevant to that jurisdiction only. Questions Please refer your questions to any of the following: Ontario Steven Oh Legal Counsel, Corporate Finance Ontario Securities Commission 416-595-8778 [email protected]
British Columbia Victoria Steeves Senior Legal Counsel British Columbia Securities Commission 604-899-6791 [email protected]
Alberta Lanion Beck Senior Legal Counsel Alberta Securities Commission 403-355-3884 [email protected]
Alberta Rajeeve Thakur Legal Counsel Alberta Securities Commission 403-355-9032 [email protected]
Québec Andrée-Anne Arbour-Boucher Senior Securities Analyst, Corporate Finance Autorité des marchés financiers (514) 395-0337, ext. 4394 [email protected]
New Brunswick Ella-Jane Loomis Legal Counsel Financial and Consumer Services Commission (New Brunswick) 506-658-2602 [email protected]
Manitoba Chris Besko Acting General Counsel and Acting Director The Manitoba Securities Commission 204-945-2561 [email protected]
Saskatchewan Sonne Udemgba Deputy Director Financial and Consumer Affairs Authority of Saskatchewan 306-787-5879 [email protected]
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Contents of Annexes The Amendments and Related Changes are set out in the following annexes to this Notice:
Annex A Amendments to NI 41-101
Annex B Amendments to NI 44-101
Annex C Amendments to NI 45-106
Annex D Amendments to NI 51-102
Annex E Amendments to MI 51-105
Annex F Amendments to NI 52-109
Annex G Amendments to NI 52-110
Annex H Amendments to NI 58-101
Annex I Amendments to MI 61-101
Annex J Amendments to NI 71-102
Annex K Amendments to NI 81-101
Annex L Changes to NP 46-201
Annex M Local Matters
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September 3, 2015
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ANNEX A
Amendments to National Instrument 41-101 General Prospectus Requirements
1. National Instrument 41-101 General Prospectus Requirements is amended by this Instrument. 2. Section 1.1 is amended
(a) by adding the following definition:
“Aequitas personal information form” means a personal information form for an individual prepared pursuant to Aequitas NEO Exchange Inc. Form 3, as amended from time to time; ,
(b) in paragraph (c) of the definition of “IPO venture issuer”, by adding the following subparagraph: (i.1) Aequitas NEO Exchange Inc., , and (c) in the definition of “personal information form” by deleting “or” at the end of paragraph (a), by adding
“, or” at the end of paragraph (b), and by adding the following paragraph:
(c) a completed Aequitas personal information form submitted by an individual to Aequitas NEO Exchange Inc., to which is attached a completed certificate and consent in the form set out in Schedule 1 – Part B of Appendix A; .
3. Subsection (4) of the Instruction under Item 1.9 of Form 41-101F1 is amended by adding “Aequitas NEO
Exchange Inc.,” after “on the Toronto Stock Exchange,”. 4. Item 20.11 of the Instruction to Form 41-101F1 is amended by adding “Aequitas NEO Exchange Inc.,” after “on
the Toronto Stock Exchange, ”. 5. This Instrument comes into force on November 17, 2015.
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ANNEX B
Amendments to National Instrument 44-101 Short Form Prospectus Distributions
1. National Instrument 44-101 Short Form Prospectus Distributions is amended by this Instrument. 2. Section 1.1 is amended by replacing the definition of “short form eligible exchange” with the following:
“short form eligible exchange” means each of the Toronto Stock Exchange, Tier 1 and Tier 2 of the TSX Venture Exchange, Aequitas NEO Exchange Inc., and the Canadian Securities Exchange; .
3. This Instrument comes into force on November 17, 2015.
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ANNEX C
Amendments to National Instrument 45-106 Prospectus Exemptions
1. National Instrument 45-106 Prospectus Exemptions is amended by this Instrument. 2. Section 2.22 is amended in paragraph (a) of the definition of “listed issuer” by adding the following
subparagraph: (ii.1) Aequitas NEO Exchange Inc., . 3. This Instrument comes into force on November 17, 2015.
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ANNEX D
Amendments to National Instrument 51-102 Continuous Disclosure Obligations
1. National Instrument 51-102 Continuous Disclosure Obligations is amended by this Instrument. 2. Section 1.1 is amended in the definition of “venture issuer” by adding “Aequitas NEO Exchange Inc.,” after
“Toronto Stock Exchange, ”. 3. This Instrument comes into force on November 17, 2015.
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ANNEX E
Amendments to Multilateral Instrument 51-105 Issuers Quoted in the U.S. Over-the-Counter Markets
1. Multilateral Instrument 51-105 Issuers Quoted in the U.S. Over-the-Counter Markets is amended by this
Instrument. 2. Section 1 is amended in paragraph (b) of the definition of “OTC issuer” by adding the following subparagraph: (viii) Aequitas NEO Exchange Inc.; . 3. This Instrument comes into force on November 17, 2015.
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ANNEX F
Amendments to National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings
1. National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings is amended by
this Instrument. 2. Section 1.1 is amended in the definition of “venture issuer” by adding “Aequitas NEO Exchange Inc.,” after
“Toronto Stock Exchange, ”. 3. This Instrument comes into force on November 17, 2015.
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ANNEX G
Amendments to National Instrument 52-110 Audit Committees
1. National Instrument 52-110 Audit Committees is amended by this Instrument. 2. Section 1.1 is amended in the definition of “venture issuer” by adding “Aequitas NEO Exchange Inc.,” after
“Toronto Stock Exchange, ”. 3. This Instrument comes into force on November 17, 2015.
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ANNEX H
Amendments to National Instrument 58-101 Disclosure of Corporate Governance Practices
1. National Instrument 58-101 Disclosure of Corporate Governance Practices is amended by this Instrument. 2. Section 1.1 is amended in the definition of “venture issuer” by adding “Aequitas NEO Exchange Inc.,” after
“Toronto Stock Exchange, ”. 3. Section 1.3 is amended by replacing paragraph (c) with the following:
(c) an exchangeable security issuer or credit support issuer that is exempt under sections 13.3 and 13.4 of NI 51-102, as applicable; and .
4. This Instrument comes into force on November 17, 2015.
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ANNEX I
Amendments to Multilateral Instrument 61-101 Protection of Minority Security Holders in Special Transactions
1. Multilateral Instrument 61-101 Protection of Minority Security Holders in Special Transactions is amended by
this Instrument. 2. In the following provisions, “Aequitas NEO Exchange Inc.,” is added after “Toronto Stock Exchange, ”:
(a) paragraph 4.4(1)(a); (b) paragraph 5.5(b); (c) subparagraph 5.7(1)(b)(i).
3. This Instrument comes into force on November 17, 2015.
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ANNEX J
Amendments to National Instrument 71-102 Continuous Disclosure and Other Exemptions Relating to Foreign Issuers
1. National Instrument 71-102 Continuous Disclosure and Other Exemptions Relating to Foreign Issuers is
amended by this Instrument. 2. Section 1.1 is amended by replacing the definition of “marketplace” with the following:
“marketplace” has the same meaning as in National Instrument 21-101 Marketplace Operation; . 3. In the following provisions, “, Aequitas NEO Exchange Inc., the Canadian Securities Exchange” is added after “on
the TSX”: (a) paragraph 4.7(2)(a); (b) paragraph 5.8(2)(a).
4. This Instrument comes into force on November 17, 2015.
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ANNEX K
Amendments to National Instrument 81-101 Mutual Fund Prospectus Disclosure
1. National Instrument 81-101 Mutual Fund Prospectus Disclosure is amended by this Instrument. 2. Section 1.1 is amended
(a) by adding the following definition:
“Aequitas personal information form” means a personal information form for an individual prepared pursuant to Aequitas NEO Exchange Inc. Form 3, as amended from time to time; and
(b) in the definition of “personal information form”, by deleting “or” at the end of paragraph (a), by adding “,
or” at the end of paragraph (b), and by adding the following paragraph:
(c) a completed Aequitas personal information form submitted by an individual to Aequitas NEO Exchange Inc., to which is attached a completed certificate and consent in the form set out in Schedule 1 – Part B of Appendix A to National Instrument 41-101 General Prospectus Requirements; .
3. This Instrument comes into force on November 17, 2015.
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ANNEX L
Changes to National Policy 46-201 Escrow for Initial Public Offerings
. 1. The changes to National Policy 46-201 Escrow for Initial Public Offerings are set out in this annex. 2. Section 3.2 is changed by deleting “or” at the end of paragraph (a) and by adding the following paragraph:
(a.i) has securities listed on Aequitas NEO Exchange Inc. and is a Closed End Fund, Exchange Traded Fund or Exchange Traded Product (as defined in the Aequitas NEO Exchange Inc. Listing Manual as amended from time to time); or .
3. Subsection 3.3(2) is changed by deleting “or” at the end of paragraph (a), by adding “or” at the end of
paragraph (b) and by adding the following paragraph: (c) has securities listed on Aequitas NEO Exchange Inc. and is not an exempt issuer. .
4. Subsection 4.4(1) is changed by replacing paragraph (a) with the following:
(a) lists its securities on the TSX or Aequitas NEO Exchange Inc.; . 5. Item 3 of Form 46-201F1 is changed in section 3.1 by replacing paragraph (a) with the following:
(a) lists its securities on the Toronto Stock Exchange Inc. or Aequitas NEO Exchange Inc.; . 6. These changes become effective on November 17, 2015.
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ANNEX M
ONTARIO SECURITIES COMMISSION NOTICE OF AMENDMENTS
Ontario Amendment On July 28, 2015, the Ontario Securities Commission:
• made the amendments to o National Instrument 41-101 General Prospectus Requirements (NI 41-101); o National Instrument 44-101 Short Form Prospectus Distributions (NI 44-101); o National Instrument 45-106 Prospectus Exemptions (NI 45-106); o National Instrument 51-102 Continuous Disclosure Obligations (NI 51-102); o National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings (NI 52-
109); o National Instrument 52-110 Audit Committees (NI 52-110); o National Instrument 58-101 Disclosure of Corporate Governance Practices (NI 58-101); o Multilateral Instrument 61-101 Protection of Minority Security Holders in Special Transactions (MI 61-
101); o National Instrument 71-102 Continuous Disclosure and Other Exemptions Relating to Foreign
Issuers (NI 71-102); and o National Instrument 81-101 Mutual Fund Prospectus Disclosure (NI 81-101), pursuant to section 143 of the Securities Act (Ontario) (the Act) (the CSA Amendments),
• made the amendments to Ontario Securities Commission Rule 56-501 Restricted Shares (OSC Rule 56-501), as set out in Schedule 1 to this Annex pursuant to section 143 of the Act (the Ontario Amendment, and together with the CSA Amendments, the Amendments) and
• adopted the changes to NP 46-201 pursuant to section 143.8 of the Act (the Changes).
The CSA Amendments are described in the related CSA notice (the CSA Notice) to which this Ontario Securities Commission notice (the Commission Notice) is appended. The Ontario Amendment revises the list of exchanges described under subsection 2.2(1) of OSC Rule 56-501 to include the Toronto Stock Exchange, the TSX Venture Exchange, the Canadian Securities Exchange and Aequitas NEO Exchange Inc. Subsection 2.2(1) of OSC Rule 56-501 provides for the disclosure of the appropriate restricted share term if restricted shares and the appropriate restricted share term, or a code reference to restricted shares or the appropriate restricted share term, are included in a trading record published by an exchange listed in such subsection. Substance and Purpose Please refer to the section entitled “Substance and Purpose of the Amendments and Related Changes” in the CSA Notice. Delivery to the Minister The Amendments and other required materials were delivered to the Minister of Finance on August 24, 2015. The Minister may approve or reject the Amendments or return them for further consideration. If the Minister approves the Amendments or does not take any further action by October 23, 2015, the Amendments and the Changes will come into force on November 17, 2015.
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Summary of Written Comments We did not receive any comments. Questions Please refer your questions to: Steven Oh Legal Counsel, Corporate Finance Ontario Securities Commission 416-595-8778 [email protected]
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SCHEDULE 1
Ontario Securities Commission Rule 56-501 Restricted Shares
Ontario Amendment Instrument 1. Ontario Securities Commission Rule 56-501 Restricted Shares is amended by this Instrument. 2. Subsection 2.2(1) is amended by replacing “The Montreal Exchange, the Vancouver Stock Exchange, The Alberta
Stock Exchange, the Winnipeg Stock Exchange or the CDN system,” with “the TSX Venture Exchange, the Canadian Securities Exchange or Aequitas NEO Exchange Inc., ”.
3. This Instrument comes into force on November 17, 2015.
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5.1.2 Amendments to NI 33-105 Underwriting Conflicts
AMENDMENTS TO NATIONAL INSTRUMENT 33-105 UNDERWRITING CONFLICTS
1. National Instrument 33-105 Underwriting Conflicts is amended by this Instrument. 2. The following Part is added:
PART 3A – NON-DISCRETIONARY EXEMPTIONS – ELIGIBLE FOREIGN SECURITIES
3A.1 Definitions – In this Part, “eligible foreign security” means a security offered primarily in a foreign jurisdiction as part of a distribution of securities in either of the following circumstances:
(a) the security is issued by an issuer
(i) that is incorporated, formed or created under the laws of a foreign jurisdiction, (ii) that is not a reporting issuer in a jurisdiction of Canada, (iii) that has its head office outside of Canada, and (iv) that has a majority of the executive officers and a majority of the directors ordinarily resident
outside of Canada;
(b) the security is issued or guaranteed by the government of a foreign jurisdiction; “executive officer” means, for an issuer, an individual who
(a) is a chair, vice-chair or president, (b) is a chief executive officer or chief financial officer, (c) is a vice-president in charge of a principal business unit, division or function including sales, finance
or production, or (d) performs a policy-making function in respect of the issuer;
“exempt offering document” means:
(a) in New Brunswick, Nova Scotia, Ontario and Saskatchewan, an offering memorandum as defined under the securities legislation of that jurisdiction, and
(b) in all other jurisdictions, a document including any amendments to the document, that
(i) describes the business and affairs of an issuer, and (ii) has been prepared primarily for delivery to and review by a prospective purchaser to assist
the prospective purchaser in making an investment decision in respect of securities being distributed pursuant to an exemption from the prospectus requirement;
“FINRA” means the self regulatory organization in the United States of America known as the Financial Industry Regulatory Authority; “permitted client” has the same meaning as in section 1.1 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations. 3A.2 Application – This Part does not apply to a distribution if a prospectus has been filed with a Canadian securities regulatory authority for the distribution.
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3A.3 Exemption based on U.S. disclosure – Subsection 2.1(1) does not apply to a distribution of a security described in paragraph (a) of the definition of eligible foreign security if all of the following apply:
(a) the distribution is made to a permitted client through a registered dealer or international dealer; (b) the registered dealer or international dealer delivers a written notice to the permitted client before or
during the distribution of the eligible foreign security that specifies the exemption relied on and a reference to this section;
(c) an exempt offering document prepared with respect to the distribution is delivered to the permitted
client; (d) a concurrent distribution of the security is made by the issuer to investors in the U.S.; (e) the exempt offering document contains the same disclosure as that provided to investors in the U.S.; (f) if applicable, the disclosure provided in the exempt offering document for a distribution referred to in
paragraph (d) is made in compliance with FINRA rule 5121, as amended from time to time; (g) the distribution referred to in paragraph (d) is made in compliance with applicable U.S. federal
securities law.
3A.4 Exemption for foreign government securities – Subsection 2.1(1) does not apply to a distribution of a security described in paragraph (b) of the definition of eligible foreign security if:
(a) the distribution is made to a permitted client through a registered dealer or international dealer, and (b) the registered dealer or international dealer delivers a written notice to the permitted client, before or
during the distribution of the eligible foreign security that specifies the exemption relied on and a reference to this section.
3A.5 Manner of notice – For greater certainty, a notice required under paragraphs 3A.3(b) and 3A.4(b) may be incorporated into the exempt offering document delivered to the permitted client. 3A.6 Alternative compliance with notice requirement – A notice will be considered to have been delivered to a permitted client in compliance with paragraph 3A.3(b) or 3A.4(b), if
(a) the registered dealer or international dealer has previously delivered a notice to the permitted client in compliance with paragraph 3A.3(b) or 3A.4(b), and
(b) the notice stated that the registered dealer or international dealer intends to rely on the exemption in
paragraph 3A.3(b) or 3A.4(b), as applicable, for any distribution in the future of an eligible foreign security to the permitted client..
3. This Instrument comes into force on September 8, 2015.
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5.1.3 Amendments to OSC Rule 45-501 Ontario Prospectus and Registration Exemptions
AMENDMENTS TO ONTARIO SECURITIES COMMISSION RULE 45-501 ONTARIO PROSPECTUS AND REGISTRATION EXEMPTIONS
1. Ontario Securities Commission Rule 45-501 Ontario Prospectus and Registration Exemptions is amended by
this Instrument. 2. Section 1.1 is amended by
(a) adding the following definition:
“eligible foreign security” means a security offered primarily in a foreign jurisdiction as part of a distribution of securities in either of the following circumstances: (a) the security is issued by an issuer
(i) that is incorporated, formed or created under the laws of a foreign jurisdiction, (ii) that is not a reporting issuer in a jurisdiction of Canada, (iii) that has its head office outside of Canada, and (iv) that has a majority of the executive officers and a majority of the directors ordinarily resident
outside of Canada;
(b) the security is issued or guaranteed by the government of a foreign jurisdiction; ,
(b) adding the following paragraph to the definition of “executive officer”: (a.1) a chief executive officer or chief financial officer, , and
(c) adding the following definition:
“permitted client” has the same meaning as in section 1.1 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations; .
3. The Instrument is amended by adding the following section:
5.3.1. – (1) Alternative compliance with description of rights in an offering memorandum – If a seller delivers an offering memorandum to a prospective purchaser that is a permitted client in connection with a distribution of an eligible foreign security, the requirement in section 5.3 to disclose the rights referred to in section 130.1 of the Act will be considered to have been satisfied if a specified disclosure statement is made in one of the following: (a) the offering memorandum; (b) a document delivered to the permitted client which accompanies, but is not part of, the offering memorandum; (c) a written notice that:
(i) has been delivered to the permitted client by a registered dealer or an international dealer that proposes to make future distributions of securities to the permitted client; and
(ii) which contains a statement to the effect that the disclosure will apply to all future distributions.
(2) For the purpose of subsection (1), a specified disclosure statement must be in the following form or a substantively similar form:
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(a) if the statement is made in a document referred to in paragraph 1(a),
Securities legislation in certain provinces or territories of Canada may provide a purchaser with remedies for rescission or damages if the offering memorandum (including any amendment thereto) contains a misrepresentation, provided that the remedies for rescission or damages are exercised by the purchaser within the time limit prescribed by the securities legislation of the purchaser’s province or territory. The purchaser should refer to any applicable provisions of the securities legislation of the purchaser’s province or territory for particulars of these rights or consult with a legal advisor;
(b) if the statement is made in a document referred to in paragraph (1)(b) or (1)(c),
If, in connection with a distribution of an eligible foreign security as defined in Ontario Securities Commission Rule 45-501 Ontario Prospectus and Registration Exemptions, we deliver to you an offering document that constitutes an offering memorandum under applicable securities laws in Canada, you may have, depending on the province or territory of Canada in which the trade was made to you, remedies for rescission or damages if the offering memorandum (including any amendment thereto) contains a misrepresentation, provided that the remedies for rescission or damages are exercised by you within the time limit prescribed by the securities legislation of your province or territory. You should refer to any applicable provisions of the securities legislation of your province or territory for the particulars of these rights or consult with a legal advisor. .
4. The Instrument is amended by adding the following section: 5.5 – Exemption from Listing Representation Requirements – Subsection 38(3) of the Act does not apply to any representation made in an offering memorandum in connection with a distribution of an eligible foreign security if all of the following apply: (a) each purchaser of the security is a permitted client; (b) the representation does not contain a misrepresentation; (c) the representation is made in compliance with the by-laws and rules of the exchange or quotation and trade
reporting system referred to in the representation. 5.6 Application – Sections 5.3.1 and 5.6 do not apply if a prospectus has been filed with a Canadian securities regulatory authority in connection with the distribution. .
5. Section 7.1 is replaced by the following: 7.1 Exemption – The Director may grant an exemption to Part 6, in whole or in part, subject to such conditions or restrictions as may be imposed in the exemption. .
6. Item 9 of Form 45-501F1 is replaced with the following:
Item 9: If a distribution is made to one or more individuals in Ontario, include the attached “Authorization of Indirect Collection of Personal Information for Distribution in Ontario”. .
7. This Instrument comes into force on September 8, 2015.
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5.1.4 Amendments to NI 45-106 Prospectus Exemptions
AMENDMENTS TO NATIONAL INSTRUMENT 45-106 PROSPECTUS EXEMPTIONS 1. National Instrument 45-106 Prospectus Exemptions is amended by this Instrument. 2. Item 9 of Form 45-106F1 is replaced by the following:
Item 9: If a distribution is made to one or more individuals in Ontario, include the attached “Authorization of Indirect Collection of Personal Information for Distribution in Ontario”. The “Authorization of Indirect Collection of Personal Information for Distributions in Ontario” is only required to be filed with the Ontario Securities Commission. .
3. This Instrument comes into force on September 8, 2015.
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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.
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Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
01 Communique Laboratory Inc.
Options Kissack, Gary 4 26/08/2015 50 500,000 50,000
01 Communique Laboratory Inc.
Options Loo, Gee Gee 4 26/08/2015 50 0.42 345,000 50,000
01 Communique Laboratory Inc.
Options Train, William, Archibald 4 26/08/2015 50 0.42 770,000 50,000
01 Communique Laboratory Inc.
Options Zweep, K 4 26/08/2015 50 0.42 500,000 50,000
9416471 CANADA INC. (formerly, SilverWillow Energy Corporation)
Common Shares Bateman, J. Cam 5 25/08/2015 22 0.03 -449,720
9416471 CANADA INC. (formerly, SilverWillow Energy Corporation)
Common Shares Bateman, J. Cam 5 25/08/2015 22 0.03 -449,720
9416471 CANADA INC. (formerly, SilverWillow Energy Corporation)
Common Shares Bateman, J. Cam 5 25/08/2015 22 0.03 0 -449,720
9416471 CANADA INC. (formerly, SilverWillow Energy Corporation)
Options Bateman, J. Cam 5 25/08/2015 22 -700,000
9416471 CANADA INC. (formerly, SilverWillow Energy Corporation)
Options Bateman, J. Cam 5 25/08/2015 22 -700,000
9416471 CANADA INC. (formerly, SilverWillow Energy Corporation)
Options Bateman, J. Cam 5 25/08/2015 22 0 -700,000
9416471 CANADA INC. (formerly, SilverWillow Energy Corporation)
Rights Deferred Share Units (Common Share DSU's Settled in Cash)
Bateman, J. Cam 5 25/08/2015 22 0 -562,435
9416471 CANADA INC. (formerly, SilverWillow Energy Corporation)
Common Shares DuPont, Bonnie Diane Rose 4 25/08/2015 22 0.03 0 -84,500
9416471 CANADA INC. (formerly, SilverWillow Energy Corporation)
Options DuPont, Bonnie Diane Rose 4 25/08/2015 22 0 -101,000
9416471 CANADA INC. (formerly, SilverWillow Energy Corporation)
Rights Deferred Share Units (Common Share DSU's Settled in Cash)
DuPont, Bonnie Diane Rose 4 25/08/2015 22 0 -222,454
9416471 CANADA INC. (formerly, SilverWillow Energy Corporation)
Common Shares Ingram, Donald Richard 4 25/08/2015 22 0.03 0 -102,000
9416471 CANADA INC. (formerly, SilverWillow Energy Corporation)
Options Ingram, Donald Richard 4 25/08/2015 22 0 -132,000
9416471 CANADA INC. (formerly, SilverWillow Energy Corporation)
Rights Deferred Share Units (Common Share DSU's Settled in Cash)
Ingram, Donald Richard 4 25/08/2015 22 0 -277,018
9416471 CANADA INC. (formerly, SilverWillow Energy Corporation)
Common Shares Lutley, Howard 4 25/08/2015 22 0.03 0 -1,086,599
9416471 CANADA INC. (formerly, SilverWillow Energy Corporation)
Options Lutley, Howard 4 25/08/2015 22 0 -1,400,000
9416471 CANADA INC. (formerly, SilverWillow Energy Corporation)
Rights Deferred Share Units (Common Share DSU's Settled in Cash)
Lutley, Howard 4 25/08/2015 22 0 -1,154,377
9416471 CANADA INC. (formerly, SilverWillow Energy Corporation)
Options McGaw, Timothy Albert 4 25/08/2015 22 0 -96,000
9416471 CANADA INC. (formerly, SilverWillow Energy Corporation)
Rights Deferred Share Units (Common Share DSU's Settled in Cash)
McGaw, Timothy Albert 4 25/08/2015 22 0 -201,468
9416471 CANADA INC. (formerly, SilverWillow Energy Corporation)
Common Shares Mitchell, Douglas 4 25/08/2015 22 0.03 0 -219,000
9416471 CANADA INC. (formerly, SilverWillow Energy Corporation)
Options Mitchell, Douglas 4 25/08/2015 22 0 -96,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7577
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
9416471 CANADA INC. (formerly, SilverWillow Energy Corporation)
Rights Deferred Share Units (Common Share DSU's Settled in Cash)
Mitchell, Douglas 4 25/08/2015 22 0 -201,468
9416471 CANADA INC. (formerly, SilverWillow Energy Corporation)
Common Shares Stevens, Michael 5 25/08/2015 22 0.03 0 -282,250
9416471 CANADA INC. (formerly, SilverWillow Energy Corporation)
Options Stevens, Michael 5 25/08/2015 22 0 -700,000
9416471 CANADA INC. (formerly, SilverWillow Energy Corporation)
Rights Deferred Share Units (Common Share DSU's Settled in Cash)
Stevens, Michael 5 25/08/2015 22 0 -490,365
9416471 CANADA INC. (formerly, SilverWillow Energy Corporation)
Common Shares West Face Capital Inc. 3 25/08/2015 22 0.03 0 -2,128,810
9416471 CANADA INC. (formerly, SilverWillow Energy Corporation)
Common Shares West Face Capital Inc. 3 25/08/2015 22 0.03 0 -2,489,656
9416471 CANADA INC. (formerly, SilverWillow Energy Corporation)
Common Shares West Face Capital Inc. 3 25/08/2015 22 0.03 0 -761,820
9416471 CANADA INC. (formerly, SilverWillow Energy Corporation)
Common Shares West Face Capital Inc. 3 25/08/2015 22 0.03 0 -3,488,140
A&W Revenue Royalties Income Fund
Trust Units Mindell, David Allen 4 05/08/2015 10 28.65 1,985 485
Abattis Bioceuticals Corp. Common Shares David, Rene 5 18/08/2015 46 0.07 2,516,766 25,000
Abattis Bioceuticals Corp. Options David, Rene 5 20/08/2015 50 0.06 1,885,000 700,000
Abattis Bioceuticals Corp. Options Fleming, William James 4 18/06/2014 00
Abattis Bioceuticals Corp. Options Fleming, William James 4 20/08/2015 50 0.06 700,000 700,000
Abattis Bioceuticals Corp. Options Minshew, Brazos Arthur Glenn
7 01/07/2014 00
Abattis Bioceuticals Corp. Options Minshew, Brazos Arthur Glenn
7 24/08/2015 50 0.06 500,000 500,000
Abattis Bioceuticals Corp. Options Sorocco, Douglas 4 20/08/2015 50 0.06 675,000 300,000
ABCOURT MINES INC. Common Shares catégorie B
MESTRALLET, FRANCOIS JOSEPH PIERRE MARIE
4 25/08/2015 10 0.03 252,000
ABCOURT MINES INC. Common Shares catégorie B
MESTRALLET, FRANCOIS JOSEPH PIERRE MARIE
4 25/08/2015 10 0.03 500,000
ABCOURT MINES INC. Common Shares catégorie B
MESTRALLET, FRANCOIS JOSEPH PIERRE MARIE
4 25/08/2015 10 0.03 5,427,000 378,000
Abitibi Royalties Inc. Common Shares Ball, Ian 4, 5 26/08/2015 51 2.18 34,967 8,944
Abitibi Royalties Inc. Options Ball, Ian 4, 5 26/08/2015 51 114,008 -8,944
Acasti Pharma Inc. Common Shares (Actions de catégorie A)
Paradis, Mario 5 24/08/2015 00
Acasti Pharma Inc. Options Paradis, Mario 5 24/08/2015 00
ACTIVEnergy Income Fund Trust Units ACTIVEnergy Income Fund 1 27/08/2015 38 4.65 29,705,568 500
Adira Energy Ltd. (formerly AMG Oil Ltd.)
Warrants Dundee Corporation 3 26/08/2015 55 0 -1,055,180
Aequus Pharmaceuticals Inc. Common Shares JANZEN, DOUG 4, 5 19/08/2015 10 0.62 3,668,000 3,000
Affinor Growers Inc. Options Bowman, Hugh 4 18/02/2015 00 300,000
Affinor Growers Inc. Common Shares LLoyd, Gary 4 18/08/2015 00 200,000
Affinor Growers Inc. Common Shares LLoyd, Gary 4 18/08/2015 53 0.1 1,000,000
Affinor Growers Inc. Common Shares LLoyd, Gary 4 18/08/2015 53 0.1 1,000,000
Affinor Growers Inc. Common Shares LLoyd, Gary 4 18/08/2015 53 0.2 1,000,000
Affinor Growers Inc. Common Shares LLoyd, Gary 4 18/08/2015 53 0.2 1,000,000
Affinor Growers Inc. Common Shares LLoyd, Gary 4 24/08/2015 53 0.1 1,000,000
Affinor Growers Inc. Options LLoyd, Gary 4 18/08/2015 00
Affinor Growers Inc. Options LLoyd, Gary 4 18/08/2015 50 0.1 1,000,000 1,000,000
Affinor Growers Inc. Options LLoyd, Gary 4 18/08/2015 50 0.2 2,000,000 1,000,000
Ag Growth International Inc. Common Shares Anderson, Gary Keith 4, 5 21/08/2015 10 35.45 124,114 2,000
Ag Growth International Inc. Common Shares Anderson, Gary Keith 4, 5 24/08/2015 10 33.25 125,114 1,000
Ag Growth International Inc. Common Shares Braun, Ronald Edwin 5 26/08/2015 10 35.75 13,243 3,000
Agnico Eagle Mines Limited Common Shares McCombe, Deborah 4 13/02/2014 00
Agnico Eagle Mines Limited Common Shares McCombe, Deborah 4 25/08/2015 10 31 320 320
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7578
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Agnico Eagle Mines Limited Common Shares McCombe, Deborah 4 25/08/2015 10 31.5 635 315
Agnico Eagle Mines Limited Common Shares McCombe, Deborah 4 26/08/2015 10 30 965 330
Agnico Eagle Mines Limited Common Shares McCombe, Deborah 4 26/08/2015 10 31 320
Agnico Eagle Mines Limited Common Shares McCombe, Deborah 4 26/08/2015 10 31.5 315
Alamos Gold Inc. Common Shares Class A Murphy, Paul 4 26/08/2015 10 4.89 9,000 2,500
AlarmForce Industries Inc. Common Shares Investmentaktiengesellschaft für langfristige Investoren TGV
3 21/08/2015 10 11.45 2,504,304 1,700
AlarmForce Industries Inc. Common Shares Investmentaktiengesellschaft für langfristige Investoren TGV
3 24/08/2015 10 11.2 2,505,604 1,300
AlarmForce Industries Inc. Common Shares Investmentaktiengesellschaft für langfristige Investoren TGV
3 25/08/2015 10 11.25 2,507,104 1,500
AlarmForce Industries Inc. Common Shares Investmentaktiengesellschaft für langfristige Investoren TGV
3 26/08/2015 10 11.235 2,510,204 3,100
Alaska Hydro Corporation Common Shares Alaska Hydro Corporation 3, 1 30/07/2015 46 0.05 12,902,615 -90,000
Alaska Hydro Corporation Common Shares Alaska Hydro Corporation 3, 1 13/08/2015 36 0.16 11,708,865 -1,193,750
Alaska Hydro Corporation Common Shares Alaska Hydro Corporation 3, 1 13/08/2015 36 0.05 11,250,465 -458,400
ALDRIN RESOURCE CORP. Common Shares Dardi, Robert John 4 25/08/2015 10 0.13 142,666 117,000
ALDRIN RESOURCE CORP. Common Shares Dardi, Robert John 4 25/08/2015 10 0.125 150,666 8,000
Algonquin Power & Utilities Corp.
Options Jarratt, Christopher Kenneth 5 27/08/2015 50 9.23 18,551
Algonquin Power & Utilities Corp.
Options Jarratt, Christopher Kenneth 5 27/08/2015 50 9.23 1,922,814 18,551
Algonquin Power & Utilities Corp.
Performance/Restricted Share Units
Jarratt, Christopher Kenneth 5 27/08/2015 56 599
Algonquin Power & Utilities Corp.
Performance/Restricted Share Units
Jarratt, Christopher Kenneth 5 27/08/2015 56 12,841 599
Algonquin Power & Utilities Corp.
Performance/Restricted Share Units
Robertson, Ian Edward 5 27/08/2015 56 23,515 8,192
Alloycorp Mining Inc. (formerly Avanti Mining Inc.)
Common Shares du Preez, Graham 5 12/03/2014 00
Alloycorp Mining Inc. (formerly Avanti Mining Inc.)
Common Shares du Preez, Graham 5 27/08/2015 10 0.025 750,000 750,000
Almaden Minerals Ltd. Options Brown, Mark Thomas 4 26/08/2015 50 0.74 365,000 115,000
Almaden Minerals Ltd. Options Carlson, Gerald George 4 26/08/2015 50 0.74 365,000 115,000
Almaden Minerals Ltd. Options McDonald, Douglas John 5 26/08/2015 50 0.74 250,000 100,000
Almaden Minerals Ltd. Options Poliquin, James Duane 4, 5 26/08/2015 50 1,275,000 165,000
Almaden Minerals Ltd. Options Poliquin, Morgan James 4, 5 26/08/2015 50 0.74 2,415,000 315,000
Almaden Minerals Ltd. Options Trieu, Korm 5 26/08/2015 50 0.74 465,000 115,000
Almaden Minerals Ltd. Options WORRALL, WILLIAM JOSEPH
4 26/08/2015 50 0.74 365,000 115,000
Almadex Minerals Limited Common Shares Brown, Mark Thomas 4 25/08/2015 10 0.15 16,000 10,000
Almadex Minerals Limited Stock Options McDonald, Douglas John 4 28/08/2015 50 0.16 160,000 70,000
Almadex Minerals Limited Stock Options Poliquin, James Duane 4, 5 28/08/2015 50 786,000 120,000
Almadex Minerals Limited Stock Options Poliquin, Morgan James 4, 5 28/08/2015 50 0.16 1,460,000 200,000
Almadex Minerals Limited Stock Options Trieu, Korm 5 28/08/2015 50 0.16 285,000 75,000
Almadex Minerals Limited Stock Options WORRALL, WILLIAM JOSEPH
4 28/08/2015 50 0.16 220,000 70,000
Alta Vista Ventures Ltd. Common Shares Foreman, Ian James 4, 5 19/08/2015 10 0.05 1,836,442 25,000
AltaGas Ltd. Options at $34.45 expiring August 17, 2021
Green, Jared Blake 5 11/07/2012 00
AltaGas Ltd. Options at $34.45 expiring August 17, 2021
Green, Jared Blake 5 17/08/2015 50 34.45 3,000 3,000
AltaGas Ltd. Options at $34.45 expiring August 17, 2021
Karl, Peter Lauren 5 28/07/2010 00
AltaGas Ltd. Options at $34.45 expiring August 17, 2021
Karl, Peter Lauren 5 17/08/2015 50 34.45 2,000 2,000
Alterra Power Corp. Common Shares Beaty, Ross J. 6 24/08/2015 47 0.45 12,245,167 -75,000
Alterra Power Corp. Common Shares Beaty, Ross J. 6 24/08/2015 47 0.45 12,170,167 -75,000
Alterra Power Corp. Common Shares Beaty, Ross J. 6 24/08/2015 47 0.45 12,120,167 -50,000
Alterra Power Corp. Common Shares Beaty, Ross J. 6 24/08/2015 47 0.45 12,070,167 -50,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7579
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Alterra Power Corp. Common Shares Beaty, Ross J. 6 24/08/2015 47 0.45 11,970,167 -100,000
Alterra Power Corp. Common Shares Beaty, Ross J. 6 24/08/2015 47 0.45 11,920,167 -50,000
Alterra Power Corp. Common Shares Beaty, Ross J. 6 24/08/2015 47 0.45 11,900,167 -20,000
Alterra Power Corp. Common Shares Beaty, Ross J. 6 24/08/2015 47 0.45 11,880,167 -20,000
Alterra Power Corp. Common Shares Beaty, Ross J. 6 24/08/2015 47 0.45 11,860,167 -20,000
Alterra Power Corp. Common Shares Beaty, Ross J. 6 24/08/2015 47 0.45 11,840,167 -20,000
Alterra Power Corp. Common Shares Beaty, Ross J. 6 24/08/2015 47 0.45 11,820,167 -20,000
Alterra Power Corp. Options Carson, John 5 18/08/2015 50 0.51 2,475,537 590,000
Alterra Power Corp. Common Shares Freeman, Lynda Diane 5 24/08/2015 47 295,181 50,000
Alterra Power Corp. Common Shares Kroeker, Murray George 5 24/08/2015 47 307,352 50,000
Alterra Power Corp. Common Shares Lindsay Murray 5 24/08/2015 47 125,580 20,000
Alterra Power Corp. Common Shares McInnes, Donald Arthur 4 21/08/2015 10 0.45 1,499,350 -10,000
Alterra Power Corp. Common Shares McInnes, Donald Arthur 4 28/08/2015 10 0.445 1,489,350 -10,000
Alterra Power Corp. Common Shares Rapp, Paul Anthony 5 24/08/2015 47 380,919 75,000
Alterra Power Corp. Common Shares Schintler, Jonathan 5 24/08/2015 47 80,000 50,000
Alterra Power Corp. Common Shares Sutton, John Jay Kenneth 5 24/08/2015 47 435,587 75,000
Alterra Power Corp. Common Shares Webber, Shannon Dawn 5 24/08/2015 47 100,000 100,000
American Core Sectors Dividend Fund
Trust Units American Core Sectors Dividend Fund
1 21/08/2015 38 10.797 97,600 1,700
American Core Sectors Dividend Fund
Trust Units American Core Sectors Dividend Fund
1 21/08/2015 10 11.08 77,900 -19,700
American Core Sectors Dividend Fund
Trust Units American Core Sectors Dividend Fund
1 24/08/2015 38 10.4 78,000 100
American Core Sectors Dividend Fund
Trust Units American Core Sectors Dividend Fund
1 24/08/2015 38 11.49 2,459,880 2,381,880
American Core Sectors Dividend Fund
Trust Units American Core Sectors Dividend Fund
1 25/08/2015 38 10.591 2,460,780 900
American Core Sectors Dividend Fund
Trust Units American Core Sectors Dividend Fund
1 26/08/2015 38 10.62 2,461,280 500
American Core Sectors Dividend Fund
Trust Units American Core Sectors Dividend Fund
1 27/08/2015 38 11.02 2,461,780 500
American Hotel Income Properties REIT LP
Units O'Neill, Robert Francis 4, 5 26/08/2015 10 9.62 305,000 25,000
Anderson Energy Inc. Options Anderson, James C 4 20/08/2015 52 220,300 -50,100
Anderson Energy Inc. Options Drinnan, Sandra M 5 25/08/2015 52 1,139,100 -200,100
Anderson Energy Inc. Options Marshall, Jamie Alonzo 5 24/08/2015 52 1,139,100 -200,100
Anderson Energy Inc. Options Scobie, David Gordon 4 20/08/2015 52 220,300 -50,100
Andrew Peller Limited (formerly Andrés Wines Ltd.)
Non-Voting Shares Class A
BERTI, GREGORY JOHN 5 25/08/2015 10 17.9 32,627 425
Andrew Peller Limited (formerly Andrés Wines Ltd.)
Non-Voting Shares Class A
COVERT, LORI CONSTANCE
4 28/08/2007 10 -500
Andrew Peller Limited (formerly Andrés Wines Ltd.)
Non-Voting Shares Class A
COVERT, LORI CONSTANCE
4 28/08/2007 10 10.5 3,250 -500
Andrew Peller Limited (formerly Andrés Wines Ltd.)
Non-Voting Shares Class A
COVERT, LORI CONSTANCE
4 15/11/2007 10 -1,000
Andrew Peller Limited (formerly Andrés Wines Ltd.)
Non-Voting Shares Class A
COVERT, LORI CONSTANCE
4 15/11/2007 10 9.91 2,250 -1,000
Andrew Peller Limited (formerly Andrés Wines Ltd.)
Non-Voting Shares Class A
COVERT, LORI CONSTANCE
4 16/10/2008 10 -2,000
Andrew Peller Limited (formerly Andrés Wines Ltd.)
Non-Voting Shares Class A
COVERT, LORI CONSTANCE
4 16/10/2008 10 6.85 250 -2,000
Andrew Peller Limited (formerly Andrés Wines Ltd.)
Non-Voting Shares Class A
Kernaghan, Edward James 3 27/08/2015 10 18.2 1,460,000 -1,800
Andrew Peller Limited (formerly Andrés Wines Ltd.)
Non-Voting Shares Class A
Kernaghan, Edward James 3 27/08/2015 10 18.15 1,459,000 -1,000
Andrew Peller Limited (formerly Andrés Wines Ltd.)
Non-Voting Shares Class A
Kernaghan, Edward James 3 27/08/2015 10 18.16 1,458,500 -500
ARC Resources Ltd. Common Shares Carey, David Paul 5 24/08/2015 10 16.75 150,398 2,000
ARC Resources Ltd. Common Shares Dielwart, John Patrick 4 17/08/2015 30 19.18 51,659 267
ARC Resources Ltd. Common Shares Dielwart, John Patrick 4 17/08/2015 30 19.18 22,426 116
ARC Resources Ltd. Common Shares Dielwart, John Patrick 4 17/08/2015 30 19.18 1,233 6
ARC Resources Ltd. Common Shares Dielwart, John Patrick 4 17/08/2015 30 19.18 1,570 8
ARC Resources Ltd. Common Shares Dielwart, John Patrick 4 17/08/2015 30 19.18 1,920 9
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7580
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
ARC Resources Ltd. Common Shares Dielwart, John Patrick 4 17/08/2015 30 19.18 169,488 879
ARC Resources Ltd. Common Shares Groeneveld, Neil Adrian 5 17/08/2015 30 19.18 33,412 68
ARC Resources Ltd. Common Shares Stadnyk, Myron Maurice 4, 5 17/08/2015 30 19.18 256,339 1,329
ARC Resources Ltd. Common Shares Stadnyk, Myron Maurice 4, 5 24/08/2015 10 16.5 268,839 12,500
ARC Resources Ltd. Common Shares Van Wielingen, Mac Howard 4 01/01/2011 00
ARC Resources Ltd. Common Shares Van Wielingen, Mac Howard 4 24/08/2015 10 16.47 100,000 100,000
ARC Resources Ltd. Common Shares Van Wielingen, Mac Howard 4 26/08/2015 10 17 150,000 50,000
Arctic Star Exploration Corp. Common Shares Power, Patrick Edward 4, 5 26/08/2015 10 0.025 4,400,866 23,000
Argentum Silver Corp. Common Shares Balderson, Geoffrey 3, 4, 5 26/08/2015 10 0.025 1,070,760 23,000
Arsenal Energy Inc. Common Shares MacKay, Ronald Neil 4 21/08/2015 10 1.4 512,540 20,000
Asante Gold Corporation Common Shares MacQuarrie, Douglas Richard
5 24/08/2015 10 0.09 398,500 15,000
Astar Minerals Ltd. Common Shares Allibhai, Abdul Rahim 5 28/08/2015 10 0.1 236,000 6,500
Aston Hill Financial Inc. Common Shares Cheng, Benedict 4 26/08/2015 10 0.3787 1,112,620 15,000
Aston Hill Financial Inc. Convertible Debentures Cheng, Benedict 4 21/08/2015 10 92 $27,000 $22,000
Athabasca Minerals Inc. Common Shares Paulencu, Donald 4 07/08/2015 00
Athabasca Minerals Inc. Options Paulencu, Donald 4 07/08/2015 00
Atlantic Gold Corporation (previously Spur Ventures Inc.)
Common Shares Batalha, Christopher Ross 5 14/11/2014 00
Atlantic Gold Corporation (previously Spur Ventures Inc.)
Common Shares Batalha, Christopher Ross 5 28/08/2015 10 0.3 86,500 86,500
Atlantic Power Corporation Common Shares Howell, Kevin 4 21/08/2015 10 2.12 50,000 10,000
Atlantic Power Corporation Common Shares Moore, James J. 4, 5 21/08/2015 10 2.14 250,253 10,000
Atlantic Power Corporation Common Shares Palter, Gilbert Samuel 4 20/08/2015 10 2.84 235,000 5,000
AuRico Metals Inc. Options McCluskey, John 4 02/07/2015 00 200,000
AuRico Metals Inc. Common Shares SANDSTORM GOLD LTD. 3 26/08/2015 10 0.7 14,337,902 163,500
AuRico Metals Inc. Common Shares SANDSTORM GOLD LTD. 3 26/08/2015 10 0.695 14,338,402 500
AuRico Metals Inc. Common Shares SANDSTORM GOLD LTD. 3 26/08/2015 10 0.69 14,344,402 6,000
AuRico Metals Inc. Common Shares SANDSTORM GOLD LTD. 3 26/08/2015 10 0.685 14,344,902 500
AuRico Metals Inc. Common Shares SANDSTORM GOLD LTD. 3 26/08/2015 10 0.655 14,345,402 500
AuRico Metals Inc. Common Shares SANDSTORM GOLD LTD. 3 26/08/2015 10 0.66 14,399,402 54,000
AuRico Metals Inc. Common Shares SANDSTORM GOLD LTD. 3 27/08/2015 10 0.7 14,495,402 96,000
Austin Resources Ltd. (previously Azul Ventures Inc.)
Common Shares FU, WEIMIN 4 21/08/2015 00
Austin Resources Ltd. (previously Azul Ventures Inc.)
Options FU, WEIMIN 4 21/08/2015 00
Austin Resources Ltd. (previously Azul Ventures Inc.)
Warrants FU, WEIMIN 4 21/08/2015 00
Austin Resources Ltd. (previously Azul Ventures Inc.)
Common Shares XIE, ZHIGANG 4 21/08/2015 00
Austin Resources Ltd. (previously Azul Ventures Inc.)
Options XIE, ZHIGANG 4 21/08/2015 00
Austin Resources Ltd. (previously Azul Ventures Inc.)
Warrants XIE, ZHIGANG 4 21/08/2015 00
Avagenesis Corp. Common Shares Huang, Lotien Richard 5 21/08/2015 16 0.8 1,828,300 137,500
Avalon Rare Metals Inc. Common Shares Bubar, Donald Stephen 4, 5 24/08/2015 10 0.145 2,105,600 19,500
Avalon Rare Metals Inc. Common Shares Bubar, Donald Stephen 4, 5 25/08/2015 10 0.145 2,131,600 26,000
Aveda Transportation and Energy Services Inc.(formerly Phoenix Oilfield Hauling Inc.)
Options Breeze, Paula Diane 5 27/08/2015 50 1.65 71,500 6,500
Aveda Transportation and Energy Services Inc.(formerly Phoenix Oilfield Hauling Inc.)
Options SHELLEY, PAUL H. 4 27/08/2015 56 1.65 4,500
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7581
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Aveda Transportation and Energy Services Inc.(formerly Phoenix Oilfield Hauling Inc.)
Options SHELLEY, PAUL H. 4 27/08/2015 56 1.65 17,500 4,500
Avivagen Inc. Options Anthony, G.F. Kym 4 19/08/2015 50 850,000 250,000
Avivagen Inc. Options Boland, Christopher John 5 19/08/2015 50 750,000 200,000
Avivagen Inc. Options Burton, Graham William 4, 5 19/08/2015 50 1,700,000 100,000
Avivagen Inc. Options Daroszewski, Janusz 5 19/08/2015 50 1,700,000 100,000
Avivagen Inc. Options Groome, Cameron Lionel 4, 5 19/08/2015 50 3,621,006 416,666
Avivagen Inc. Options Hankinson, David Curtis 4, 5 19/08/2015 50 2,206,000 100,000
Avivagen Inc. Options Khalifa, Amin 4, 5 19/08/2015 50 382,000 100,000
Badger Daylighting Ltd. Common Shares Roane, Glen Dawson 4 24/08/2015 10 19.485 20,000 10,000
Bank of Montreal Deferred Share Units Babiak, Jan 4 21/08/2015 56 68.96 8,269 816
Bank of Montreal Deferred Share Units Brochu, Sophie 4 21/08/2015 56 68.96 12,808 725
Bank of Montreal Deferred Share Units Cope, George 4 21/08/2015 56 68.96 27,916 725
Bank of Montreal Deferred Share Units Edwards, Christine A. 4 21/08/2015 56 68.96 16,860 870
Bank of Montreal Deferred Share Units Eichenbaum, Martin Stewart 4 21/08/2015 56 68.96 1,008 779
Bank of Montreal Deferred Share Units Farmer, Ron 4 21/08/2015 56 68.96 942
Bank of Montreal Deferred Share Units Farmer, Ron 4 21/08/2015 56 68.96 942
Bank of Montreal Deferred Share Units Farmer, Ron 4 21/08/2015 56 68.96 46,135 943
Bank of Montreal Deferred Share Units Mitchelmore, Lorraine 4 21/08/2015 56 68.96 1,008 779
Bank of Montreal Deferred Share Units Orsino, Philip 4 21/08/2015 56 68.96 61,492 906
Bank of Montreal Deferred Share Units Piper, Martha Cook 4 21/08/2015 56 68.96 26,834 453
Bank of Montreal Deferred Share Units Prichard, John Robert Stobo 4, 7 21/08/2015 56 68.96 70,958 1,450
Bank of Montreal Deferred Share Units RICHER LA FLÈCHE, ERIC 4 21/08/2015 56 68.96 9,430 725
Bank of Montreal Deferred Share Units Wilson III, Don Matthew 4 21/08/2015 56 68.96 30,487 1,033
Bankers Petroleum Ltd. Options Assmus, Lyndon Bayne 5 21/08/2015 50 957,735 154,200
Bankers Petroleum Ltd. Options Badwi, Abdel Fattah 4 21/08/2015 50 2,378,550 155,550
Bankers Petroleum Ltd. Options Brown, Eric 4 21/08/2015 50 38,550
Bankers Petroleum Ltd. Options Brown, Eric 4 21/08/2015 50 254,550 38,550
Bankers Petroleum Ltd. Options Carss, Robert 5 21/08/2015 50 623,200 124,200
Bankers Petroleum Ltd. Options Clark, Wesley Kanne 4 21/08/2015 50 349,550 38,550
Bankers Petroleum Ltd. Options Cobo, Leonidha 7 21/08/2015 50 1,077,900 154,200
Bankers Petroleum Ltd. Options Cross, Robert Melvin Douglas
4 21/08/2015 50 381,825 57,825
Bankers Petroleum Ltd. Options French, David 4, 5 21/08/2015 50 1,901,600 306,600
Bankers Petroleum Ltd. Options Gupta, Suneel Krishan 7, 5 21/08/2015 50 1,717,352 243,852
Bankers Petroleum Ltd. Options Harris, Jonathan 4 21/08/2015 50 254,550 38,550
Bankers Petroleum Ltd. Options Hodgson, Mark Alan 5 21/08/2015 50 886,700 154,200
Bankers Petroleum Ltd. Options Knoll, Phillip R. 4 21/08/2015 50 317,550 38,550
Bankers Petroleum Ltd. Options McMurtrie, Ian B 4 21/08/2015 50 552,550 38,550
Bankers Petroleum Ltd. Options Nardone, Craig Donaldson 5 21/08/2015 50 1,088,000 154,200
Bankers Petroleum Ltd. Options Pawluk, Richard Walter 5 21/08/2015 50 137,275 19,275
Bankers Petroleum Ltd. Options URCH, Douglas Charles 5 21/08/2015 50 1,858,850 269,850
Bankers Petroleum Ltd. Options Zaozirny, John Brian 4 21/08/2015 50 254,550 38,550
Banyan Gold Corp. (Formerly Banyan Coast Capital Corp.)
Options Ayranto, Mark 3, 4 24/08/2015 50 0.05 333,350 125,000
Banyan Gold Corp. (Formerly Banyan Coast Capital Corp.)
Options Christie, Tara 4 11/08/2015 50 0.05 200,000 100,000
Banyan Gold Corp. (Formerly Banyan Coast Capital Corp.)
Options Collins, Allan Jay 3, 4 15/02/2013 00
Banyan Gold Corp. (Formerly Banyan Coast Capital Corp.)
Options Collins, Allan Jay 3, 4 24/08/2015 50 0.05 75,000 75,000
Banyan Gold Corp. (Formerly Banyan Coast Capital Corp.)
Options Rutt, David 3, 4, 5 11/08/2015 50 0.05 303,350 120,000
Barker Minerals Ltd. Common Shares Hardychuk, Peter 4 20/08/2015 10 0.05 147,670 -200,000
Baylin Technologies Inc. Common Shares 2385796 ONTARIO INC. 3 20/11/2013 00 10,721,291
Baylin Technologies Inc. Stock Options Dewey, Randy 4, 5 20/11/2013 00
Baylin Technologies Inc. Stock Options Dewey, Randy 4, 5 24/08/2015 50 1.5 500,000 500,000
Baytex Energy Corp. Common Shares Peters, Mary Ellen 4 24/08/2015 10 4.56 24,187 11,000
BCE Inc. Options LeBlanc, Glen 5 17/08/2015 50 53.6 56,181 18,727
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7582
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
BCE Inc. Performance-based Restricted Share Units
LeBlanc, Glen 5 17/08/2015 56 53.6 4,586 1,555
BCE Inc. Restricted Share Units LeBlanc, Glen 5 17/08/2015 56 53.6 9,170 3,110
Beaufield Resources Inc. Common Shares Eskelund-Hansen, Jens 4, 5 24/08/2015 10 0.035 5,594,000 2,000
Beaufield Resources Inc. Common Shares Eskelund-Hansen, Jens 4, 5 25/08/2015 10 0.035 5,614,000 20,000
Beaufield Resources Inc. Common Shares Eskelund-Hansen, Jens 4, 5 28/08/2015 10 0.035 5,654,000 40,000
Belo Sun Mining Corp. Options Arsenault, Denis 4 05/06/2015 50 0.22 400,000
Belo Sun Mining Corp. Options Arsenault, Denis 4 08/06/2015 50 0.22 400,000 400,000
Belo Sun Mining Corp. Common Shares Eaton, Mark Price 4, 5 21/08/2015 10 19.35 9,074,500 300,000
BFS Entertainment & Multimedia Limited
Common Shares Palitz, Warren Elliot 4 15/10/1997 00
BFS Entertainment & Multimedia Limited
Common Shares Palitz, Warren Elliot 4 01/12/1998 10 0.3 15,000 15,000
BFS Entertainment & Multimedia Limited
Common Shares Palitz, Warren Elliot 4 03/08/1999 10 0.3 35,000 20,000
Big Rock Brewery Inc. Common Shares Noone, Patrick Donnell 4 25/08/2015 10 4.6254 1,276,500 1,000
Big Rock Labs Inc. Common Shares Seemann, Harald 4 24/08/2015 10 0.5 11,215,702 10,500
Big Rock Labs Inc. Common Shares Seemann, Harald 4 24/08/2015 10 0.32 11,220,702 5,000
Big Rock Labs Inc. Common Shares Seemann, Harald 4 24/08/2015 10 0.32 11,230,702 10,000
Big Rock Labs Inc. Common Shares Seemann, Harald 4 24/08/2015 10 0.35 11,234,702 4,000
Big Rock Labs Inc. Common Shares Tabios, Robert 8 24/08/2015 10 0.5 10,000 -10,500
Biosign Technologies Inc. Common Shares Kelusky, Ronald 4 21/07/2014 00
Biosign Technologies Inc. Common Shares Kelusky, Ronald 4 21/07/2014 00 77,000
Biosign Technologies Inc. Common Shares Kelusky, Ronald 4 03/08/2015 10 0.01 140,000
Biosign Technologies Inc. Common Shares Kelusky, Ronald 4 04/08/2015 10 0.02 147,000 70,000
BIOTEQ ENVIRONMENTAL TECHNOLOGIES INC.
Common Shares Tingley, Hall 3 28/08/2015 10 0.025 9,983,726 26,000
Birchcliff Energy Ltd. Preferred Shares Series A Preferred Shares
Surbey, James William 5 24/08/2015 10 22.25 28,000 1,000
Birchcliff Energy Ltd. Preferred Shares Series A Preferred Shares
Surbey, James William 5 18/01/2005 00
Birchcliff Energy Ltd. Preferred Shares Series A Preferred Shares
Surbey, James William 5 21/08/2015 10 22.75 1,000 1,000
Birchcliff Energy Ltd. Preferred Shares Series A Preferred Shares
Surbey, James William 5 24/08/2015 10 22.25 1,800 800
Black Diamond Group Limited
Common Shares Haynes, Trevor 4, 5 31/12/2009 00
Black Diamond Group Limited
Common Shares Haynes, Trevor 4, 5 21/08/2015 10 9.1 100 100
Black Diamond Group Limited
Common Shares Haynes, Trevor 4, 5 21/08/2015 10 8.75 868,564 5,000
Black Diamond Group Limited
Common Shares Haynes, Trevor 4, 5 24/08/2015 10 7.5 871,064 2,500
Black Diamond Group Limited
Common Shares Haynes, Trevor 4, 5 31/12/2009 00
Black Diamond Group Limited
Common Shares Haynes, Trevor 4, 5 21/08/2015 10 9.09 100 100
Black Diamond Group Limited
Common Shares Kassam, Minaz 4 21/08/2015 10 10 198,202 -2,800
Bonavista Energy Corporation
Common Shares MacPhail, Keith A.J. 4, 5 24/08/2015 10 3.15 4,715,736 20,000
Bonavista Energy Corporation
Common Shares Poelzer, Ronald J.M. 4, 5 25/08/2015 36 7,431,212 4,969,377
Bonavista Energy Corporation
Exchangeable Shares Poelzer, Ronald J.M. 4, 5 25/08/2015 36 -3,699,243
Bonavista Energy Corporation
Exchangeable Shares Poelzer, Ronald J.M. 4, 5 25/08/2015 36 240,415 -3,699,243
Bonavista Energy Corporation
Common Shares Skehar, Jason Edward 4, 5 24/08/2015 10 3.25 232,228 10,000
Bonterra Energy Corp. Common Shares Oberndorf, William 3 20/08/2015 00 8,539
Bonterra Energy Corp. Common Shares Oberndorf, William 3 24/08/2015 10 16.98 22,539 14,000
Bonterra Energy Corp. Common Shares Oberndorf, William 3 20/08/2015 00 507,200
Bonterra Energy Corp. Common Shares Oberndorf, William 3 20/08/2015 00 300
Bonterra Energy Corp. Common Shares Oberndorf, William 3 24/08/2015 10 16.98 575 275
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7583
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Bonterra Energy Corp. Common Shares Oberndorf, William 3 20/08/2015 00
Bonterra Energy Corp. Common Shares Oberndorf, William 3 24/08/2015 10 16.912 1,900 1,900
Bonterra Energy Corp. Common Shares Oberndorf, William 3 20/08/2015 00 11,622
Bonterra Energy Corp. Common Shares Oberndorf, William 3 24/08/2015 10 16.98 31,122 19,500
Bonterra Energy Corp. Common Shares Oberndorf, William 3 20/08/2015 00 7,992
Bonterra Energy Corp. Common Shares Oberndorf, William 3 24/08/2015 10 16.98 21,292 13,300
Bonterra Energy Corp. Common Shares Oberndorf, William 3 20/08/2015 00 1,822,970
Bonterra Energy Corp. Common Shares Oberndorf, William 3 24/08/2015 10 17.339 1,889,870 66,900
Bonterra Energy Corp. Common Shares Oberndorf, William 3 25/08/2015 10 16.532 2,274,670 384,800
Bonterra Energy Corp. Common Shares Oberndorf, William 3 26/08/2015 10 16.81 2,308,470 33,800
Bonterra Energy Corp. Common Shares Oberndorf, William 3 27/08/2015 10 18.846 2,332,770 24,300
Bonterra Energy Corp. Common Shares Oberndorf, William 3 20/08/2015 00 990,056
Boomerang Oil, Inc. Common Shares Dennis, Alexander 5 24/08/2015 11 1,305,000 400,000
Boomerang Oil, Inc. Common Shares Mondial Ventures Inc. 3 24/08/2015 11 37,855,000 -1,800,000
Boomerang Oil, Inc. Common Shares Purdy, Brendan 4 24/08/2015 11 1,458,775 600,000
Boomerang Oil, Inc. Common Shares Sylvanus, Joanne 5 24/08/2015 11 1,140,000 400,000
Boston Pizza Royalties Income Fund
Units Boston Pizza Royalties Income Fund
1 24/08/2015 38 16.711 5,900
Boston Pizza Royalties Income Fund
Units Boston Pizza Royalties Income Fund
1 24/08/2015 38 16.7 11,300 5,400
Boston Pizza Royalties Income Fund
Units Boston Pizza Royalties Income Fund
1 25/08/2015 38 17.236 17,200 5,900
Boston Pizza Royalties Income Fund
Units Boston Pizza Royalties Income Fund
1 26/08/2015 38 17.211 23,100 5,900
Boston Pizza Royalties Income Fund
Units Boston Pizza Royalties Income Fund
1 27/08/2015 38 17.5 25,100 2,000
Boston Pizza Royalties Income Fund
Units Howie, Alan 5 25/01/2010 00
Boston Pizza Royalties Income Fund
Units Howie, Alan 5 21/08/2015 10 16.89 900 900
Boston Pizza Royalties Income Fund
Units Merrell, David L. 4 11/06/2014 00
Boston Pizza Royalties Income Fund
Units Merrell, David L. 4 24/08/2015 10 16.82 100 100
Boston Pizza Royalties Income Fund
Units Merrell, David L. 4 24/08/2015 10 16.82 525 300
Boston Pizza Royalties Income Fund
Units Merrell, David L. 4 24/08/2015 10 16.82 2,500 600
Boston Pizza Royalties Income Fund
Units Silverstone, Stephen 5 09/02/2009 00
Boston Pizza Royalties Income Fund
Units Silverstone, Stephen 5 25/08/2015 10 17.31 300 300
Boston Pizza Royalties Income Fund
Units Treliving, Cheryl Anne 5 21/08/2015 10 17.317 3,000 1,000
Boston Pizza Royalties Income Fund
Units Treliving, Walter James 6 03/01/2003 00
Boston Pizza Royalties Income Fund
Units Treliving, Walter James 6 21/08/2015 10 17.317 2,000 2,000
Boulder Energy Ltd. Options Andrus, Kevin 4 27/08/2015 50 30,000 15,000
Boulder Energy Ltd. Options BIERAUGLE, ROBIN LEE 5 27/08/2015 50 300,000 162,500
Boulder Energy Ltd. Options Carrigy, Brendan Richard 4 27/08/2015 50 30,000 15,000
Boulder Energy Ltd. Options Cheyne, Martin James 4 27/08/2015 50 550,000 275,000
Boulder Energy Ltd. Common Shares GMT Capital Corp 4 21/08/2015 10 3.45 1,115,900 12,400
Boulder Energy Ltd. Common Shares GMT Capital Corp 4 25/08/2015 10 3.12 1,126,900 11,000
Boulder Energy Ltd. Common Shares GMT Capital Corp 4 26/08/2015 10 3.12 1,131,300 4,400
Boulder Energy Ltd. Common Shares GMT Capital Corp 4 27/08/2015 10 3.41 1,150,400 19,100
Boulder Energy Ltd. Common Shares GMT Capital Corp 4 21/08/2015 10 3.45 863,850 19,800
Boulder Energy Ltd. Common Shares GMT Capital Corp 4 25/08/2015 10 3.12 881,550 17,700
Boulder Energy Ltd. Common Shares GMT Capital Corp 4 26/08/2015 10 3.12 888,550 7,000
Boulder Energy Ltd. Common Shares GMT Capital Corp 4 27/08/2015 10 3.41 919,050 30,500
Boulder Energy Ltd. Common Shares GMT Capital Corp 4 21/08/2015 10 3.45 2,385,200 27,000
Boulder Energy Ltd. Common Shares GMT Capital Corp 4 25/08/2015 10 3.12 2,409,300 24,100
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7584
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Boulder Energy Ltd. Common Shares GMT Capital Corp 4 26/08/2015 10 3.12 2,418,900 9,600
Boulder Energy Ltd. Common Shares GMT Capital Corp 4 27/08/2015 10 3.41 2,460,400 41,500
Boulder Energy Ltd. Common Shares GMT Capital Corp 4 21/08/2015 10 3.45 140,050 3,300
Boulder Energy Ltd. Common Shares GMT Capital Corp 4 25/08/2015 10 3.12 143,050 3,000
Boulder Energy Ltd. Common Shares GMT Capital Corp 4 26/08/2015 10 3.12 144,250 1,200
Boulder Energy Ltd. Common Shares GMT Capital Corp 4 27/08/2015 10 3.41 149,350 5,100
Boulder Energy Ltd. Common Shares GMT Capital Corp 4 21/08/2015 10 3.45 200,400 2,500
Boulder Energy Ltd. Common Shares GMT Capital Corp 4 25/08/2015 10 3.12 202,600 2,200
Boulder Energy Ltd. Common Shares GMT Capital Corp 4 26/08/2015 10 3.12 203,500 900
Boulder Energy Ltd. Common Shares GMT Capital Corp 4 27/08/2015 10 3.41 207,300 3,800
Boulder Energy Ltd. Options Hamm, Henry Peter 4 27/08/2015 50 15,000
Boulder Energy Ltd. Options Hamm, Henry Peter 4 27/08/2015 50 15,000
Boulder Energy Ltd. Options Hamm, Henry Peter 4 27/08/2015 50 30,000 15,000
Boulder Energy Ltd. Options Kabanuk, Michael Lyle 4, 5 27/08/2015 50 30,000 15,000
Boulder Energy Ltd. Options Kenney, Daniel Ellis 5 27/08/2015 50 20,000 10,000
Boulder Energy Ltd. Options MURRAY, TREVOR 5 27/08/2015 50 300,000 150,000
Boulder Energy Ltd. Options Nerland, Dennis Leroy 4 27/08/2015 50 30,000 15,000
Boulder Energy Ltd. Options Paulhus, Casey 5 27/08/2015 50 175,000 87,500
Boulder Energy Ltd. Options Porter, Bradley Blair 4 27/08/2015 50 30,000 15,000
Boulder Energy Ltd. Options Thatcher, Clayton James 5 27/08/2015 50 550,000 275,000
Brabeia Inc. (formerly Scavo Resource Corp.)
Common Shares Wattie, Tracy 4, 5 21/08/2015 00 6,528,081
Bri-Chem Corp. Options Campbell, Brian Keith 3, 4 06/08/2015 50 0.435 80,000 10,000
Bri-Chem Corp. Options Sauze, Eric 4 06/08/2015 50 0.435 100,000 10,000
Bri-Chem Corp. Options Sauze, Eric 4 26/08/2015 52 1.3 90,000 -10,000
Bri-Chem Corp. Options Sharp, Albert 4 06/08/2015 50 0.435 110,000 10,000
Bri-Chem Corp. Options Sharp, Albert 4 26/08/2015 52 1.3 100,000 -10,000
BrightPath Early Learning Inc. (formerly Edleun Group, Inc.)
Common Shares BrightPath Early Learning Inc.
1 24/08/2015 38 0.3445 67,500 25,500
BrightPath Early Learning Inc. (formerly Edleun Group, Inc.)
Common Shares BrightPath Early Learning Inc.
1 25/08/2015 38 0.339 117,500 50,000
BrightPath Early Learning Inc. (formerly Edleun Group, Inc.)
Common Shares BrightPath Early Learning Inc.
1 26/08/2015 38 0.3383 167,500 50,000
BrightPath Early Learning Inc. (formerly Edleun Group, Inc.)
Common Shares BrightPath Early Learning Inc.
1 27/08/2015 38 0.35 217,500 50,000
BrightPath Early Learning Inc. (formerly Edleun Group, Inc.)
Common Shares BrightPath Early Learning Inc.
1 28/08/2015 38 0.33 232,500 15,000
BrightPath Early Learning Inc. (formerly Edleun Group, Inc.)
Common Shares Vision Capital Corporation 3 24/08/2015 10 0.34 12,113,642 7,124
BrightPath Early Learning Inc. (formerly Edleun Group, Inc.)
Common Shares Vision Capital Corporation 3 26/08/2015 10 0.345 12,138,577 24,935
BrightPath Early Learning Inc. (formerly Edleun Group, Inc.)
Common Shares Vision Capital Corporation 3 27/08/2015 10 0.35 12,138,934 357
BrightPath Early Learning Inc. (formerly Edleun Group, Inc.)
Common Shares Vision Capital Corporation 3 28/08/2015 10 0.35 12,146,060 7,126
BrightPath Early Learning Inc. (formerly Edleun Group, Inc.)
Common Shares Vision Capital Corporation 3 24/08/2015 10 0.34 3,168,725 1,758
BrightPath Early Learning Inc. (formerly Edleun Group, Inc.)
Common Shares Vision Capital Corporation 3 26/08/2015 10 0.345 3,174,878 6,153
BrightPath Early Learning Inc. (formerly Edleun Group, Inc.)
Common Shares Vision Capital Corporation 3 27/08/2015 10 0.35 3,174,966 88
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7585
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
BrightPath Early Learning Inc. (formerly Edleun Group, Inc.)
Common Shares Vision Capital Corporation 3 28/08/2015 10 0.35 3,176,723 1,757
BrightPath Early Learning Inc. (formerly Edleun Group, Inc.)
Common Shares Vision Capital Corporation 3 24/08/2015 10 0.34 1,709,699 803
BrightPath Early Learning Inc. (formerly Edleun Group, Inc.)
Common Shares Vision Capital Corporation 3 26/08/2015 10 0.345 1,712,509 2,810
BrightPath Early Learning Inc. (formerly Edleun Group, Inc.)
Common Shares Vision Capital Corporation 3 27/08/2015 10 0.35 1,712,549 40
BrightPath Early Learning Inc. (formerly Edleun Group, Inc.)
Common Shares Vision Capital Corporation 3 28/08/2015 10 0.35 1,713,352 803
BrightPath Early Learning Inc. (formerly Edleun Group, Inc.)
Common Shares Vision Capital Corporation 3 24/08/2015 10 0.34 643,242 315
BrightPath Early Learning Inc. (formerly Edleun Group, Inc.)
Common Shares Vision Capital Corporation 3 26/08/2015 10 0.345 644,344 1,102
BrightPath Early Learning Inc. (formerly Edleun Group, Inc.)
Common Shares Vision Capital Corporation 3 27/08/2015 10 0.35 644,359 15
BrightPath Early Learning Inc. (formerly Edleun Group, Inc.)
Common Shares Vision Capital Corporation 3 28/08/2015 10 0.35 644,673 314
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Blidner, Jeffrey Miles 4, 5 12/05/2015 35 238,740 79,580
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Blidner, Jeffrey Miles 4, 5 12/05/2015 35 1,612,500 537,500
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Blidner, Jeffrey Miles 4, 5 12/05/2015 35 203,356 67,785
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Blidner, Jeffrey Miles 4, 5 12/05/2015 35 3,394,359 1,131,453
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Blidner, Jeffrey Miles 4, 5 26/08/2015 97 0 -3,394,359
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Blidner, Jeffrey Miles 4, 5 12/05/2015 35 220,393 73,464
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Blidner, Jeffrey Miles 4, 5 21/03/2003 00
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Blidner, Jeffrey Miles 4, 5 26/08/2015 97 3,394,359 3,394,359
Brookfield Asset Management Inc.
Deferred Share Units Blidner, Jeffrey Miles 4, 5 12/05/2015 35 595,093 198,364
Brookfield Asset Management Inc.
Options Blidner, Jeffrey Miles 4, 5 12/05/2015 35 1,631,250 543,750
Brookfield Asset Management Inc.
Restricted Share Units Blidner, Jeffrey Miles 4, 5 12/05/2015 35 1,421,052 473,684
Brookfield Asset Management Inc.
Restricted Shares Blidner, Jeffrey Miles 4, 5 12/05/2015 35 780,519 260,173
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Cockwell, Jack Lynn 4, 5 12/05/2015 35 16,221,483 5,407,161
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Cockwell, Jack Lynn 4, 5 12/05/2015 35 7,851,850 2,617,283
Brookfield Asset Management Inc.
Deferred Share Units Cockwell, Jack Lynn 4, 5 12/05/2015 35 647,559 215,853
Brookfield Asset Management Inc.
Options Cockwell, Jack Lynn 4, 5 12/05/2015 35 168,748 56,249
Brookfield Asset Management Inc.
Restricted Share Units Cockwell, Jack Lynn 4, 5 12/05/2015 35 1,064,191 354,730
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Freedman, Joseph Stuart 5 12/05/2015 35 1,275,000 425,000
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Freedman, Joseph Stuart 5 12/05/2015 35 116,740 38,913
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Freedman, Joseph Stuart 5 12/05/2015 35 300 100
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Freedman, Joseph Stuart 5 12/05/2015 35 450 150
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7586
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Freedman, Joseph Stuart 5 12/05/2015 35 1,500 500
Brookfield Asset Management Inc.
Deferred Share Units Freedman, Joseph Stuart 5 12/05/2015 35 190,695 63,565
Brookfield Asset Management Inc.
Options Freedman, Joseph Stuart 5 12/05/2015 35 600,000 200,000
Brookfield Asset Management Inc.
Restricted Shares Freedman, Joseph Stuart 5 12/05/2015 35 145,624 48,541
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Kress, Edward Charles 7 12/05/2015 35 116,437 38,812
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Kress, Edward Charles 7 12/05/2015 35 24,618 8,206
Brookfield Asset Management Inc.
Deferred Share Units Kress, Edward Charles 7 12/05/2015 35 219,592 73,197
Brookfield Asset Management Inc.
Options Kress, Edward Charles 7 12/05/2015 35 56,250 18,750
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Lawson, Brian 5 12/05/2015 35 477,442 159,147
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Lawson, Brian 5 12/05/2015 35 1,612,500 537,500
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Lawson, Brian 5 12/05/2015 35 5,432,500 1,810,833
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Lawson, Brian 5 26/08/2015 97 0 -5,432,500
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Lawson, Brian 5 30/05/2003 00
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Lawson, Brian 5 26/08/2015 97 5,432,500 5,432,500
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Lawson, Brian 5 12/05/2015 35 41,512 13,837
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Lawson, Brian 5 12/05/2015 35 543,900 181,300
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Lawson, Brian 5 12/05/2015 35 765,450 255,150
Brookfield Asset Management Inc.
Deferred Share Units Lawson, Brian 5 12/05/2015 35 834,585 278,195
Brookfield Asset Management Inc.
Options Lawson, Brian 5 12/05/2015 35 1,365,000 455,000
Brookfield Asset Management Inc.
Restricted Share Units Lawson, Brian 5 12/05/2015 35 1,505,427 501,809
Brookfield Asset Management Inc.
Restricted Shares Lawson, Brian 5 12/05/2015 35 780,499 260,166
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Madon, Cyrus 5 12/05/2015 35 4,468 1,489
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Madon, Cyrus 5 12/05/2015 35 3,225,000 1,075,000
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Madon, Cyrus 5 12/05/2015 35 282,304 94,101
Brookfield Asset Management Inc.
Deferred Share Units Madon, Cyrus 5 12/05/2015 35 472,059 157,353
Brookfield Asset Management Inc.
Options Madon, Cyrus 5 12/05/2015 35 2,563,125 854,375
Brookfield Asset Management Inc.
Restricted Share Units Madon, Cyrus 5 12/05/2015 35 1,400,489 466,830
Brookfield Asset Management Inc.
Restricted Shares Madon, Cyrus 5 12/05/2015 35 346,729 115,576
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Pollock, Sam JB 5 12/05/2015 35 715,992 238,664
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Pollock, Sam JB 5 12/05/2015 35 326,839 108,946
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Pollock, Sam JB 5 12/05/2015 35 2,775,000 925,000
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Pollock, Sam JB 5 12/05/2015 35 5,450,608 1,816,869
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Pollock, Sam JB 5 26/08/2015 97 0 -5,450,608
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7587
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Pollock, Sam JB 5 07/04/2003 00
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Pollock, Sam JB 5 26/08/2015 97 5,450,608 5,450,608
Brookfield Asset Management Inc.
Deferred Share Units Pollock, Sam JB 5 12/05/2015 35 660,216 220,072
Brookfield Asset Management Inc.
Options Pollock, Sam JB 5 12/05/2015 35 1,931,250 643,750
Brookfield Asset Management Inc.
Restricted Share Units Pollock, Sam JB 5 12/05/2015 35 1,421,052 473,684
Brookfield Asset Management Inc.
Restricted Shares Pollock, Sam JB 5 12/05/2015 35 770,829 256,943
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Price, Timothy Robert 6 12/05/2015 35 5,602,195 1,867,398
Brookfield Asset Management Inc.
Common Shares Class A Limited Voting
Price, Timothy Robert 6 12/05/2015 35 7,851,850 2,617,283
Brookfield Asset Management Inc.
Deferred Share Units Price, Timothy Robert 6 12/05/2015 35 286,831 95,610
Brookfield Canada Office Properties
Deferred Trust Unit Bastable, Colum Patrick 4 29/07/2010 00 11,642
Brookfield Canada Office Properties
Units Deferred Units Bastable, Colum Patrick 4 15/06/2015 97 0 -11,642
Brookfield Canada Office Properties
Deferred Trust Unit Fraser, Roderick Douglas 4 29/07/2010 00 11,642
Brookfield Canada Office Properties
Units Deferred Units Fraser, Roderick Douglas 4 15/06/2015 97 0 -11,642
Brookfield Canada Office Properties
Deferred Trust Unit McFarlane, Paul D. 4 29/07/2010 00 13,972
Brookfield Canada Office Properties
Units Deferred Units McFarlane, Paul D. 4 15/06/2015 97 0 -13,972
Brookfield Canada Office Properties
Deferred Trust Unit Riddell Rose, Susan 4 22/04/2013 00 5,327
Brookfield Canada Office Properties
Units Deferred Units Riddell Rose, Susan 4 15/06/2015 97 0 -5,327
Brookfield Infrastructure Partners L.P.
Limited Partnership Units Brookfield Asset Management Inc.
3 21/12/2007 00
Brookfield Infrastructure Partners L.P.
Limited Partnership Units Brookfield Asset Management Inc.
3 19/08/2015 10 53.86 44,000 44,000
Brookfield Infrastructure Partners L.P.
Limited Partnership Units Brookfield Asset Management Inc.
3 20/08/2015 10 53.11 117,500 73,500
Brookfield Infrastructure Partners L.P.
Limited Partnership Units Jacobson, Jr., Arthur L. 4 18/11/2008 10 11.789 10,000
Brookfield Infrastructure Partners L.P.
Limited Partnership Units Jacobson, Jr., Arthur L. 4 06/06/2013 10 34.526 4,000
Brookfield Infrastructure Partners L.P.
Limited Partnership Units Jacobson, Jr., Arthur L. 4 27/11/2007 00
Brookfield Infrastructure Partners L.P.
Limited Partnership Units Jacobson, Jr., Arthur L. 4 18/11/2008 10 11.789 10,000 10,000
Brookfield Infrastructure Partners L.P.
Limited Partnership Units Jacobson, Jr., Arthur L. 4 06/06/2013 10 34.526 14,000 4,000
Brookfield Infrastructure Partners L.P.
Limited Partnership Units Jacobson, Jr., Arthur L. 4 26/08/2015 10 39.112 20,000 6,000
Brookfield Infrastructure Partners L.P.
Limited Partnership Units Varma, Danesh Kumar 4 26/08/2015 30 38.852 3,023 64
Brookfield Property Partners L.P.
Deferred Units (Global) Liebman, Lance Malcolm 6 24/08/2015 30 34,530 410
Brookfield Property Partners L.P.
Deferred Units (Global) Liebman, Lance Malcolm 6 24/08/2015 56 35,090 560
Brookfield Property Partners L.P.
Deferred Units (Global) Stelzl, Robert L. 7 24/08/2015 30 35,968 428
Brookfield Property Partners L.P.
Limited Partnership Units Valente Vías, José Ramón 4 24/08/2015 10 21.02 34,825 100
Brookfield Property Partners L.P.
Limited Partnership Units Valente Vías, José Ramón 4 24/08/2015 10 21.018 39,484 4,659
Brookfield Property Partners L.P.
Limited Partnership Units Valente Vías, José Ramón 4 25/08/2015 10 21.068 44,249 4,765
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7588
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Brookfield Renewable Energy Partners L.P.
Limited Partnership Units Van Egmond, John 4 24/08/2015 10 27.682 2,000 1,000
BTB Real Estate Investment Trust
Trust Units Cyr, Benoit 5 26/08/2015 10 4.245 41,480 1,000
BTB Real Estate Investment Trust
Trust Units Léonard, Michel 4, 5 26/08/2015 10 4.25 17,570 2,500
Buhler Industries Inc. Common Shares Buhler, John 3, 4 24/08/2015 10 5.84 877,000 7,000
Buhler Industries Inc. Common Shares Buhler, John 3, 4 26/08/2015 10 5.75 880,100 3,100
Buhler Industries Inc. Common Shares Buhler, John 3, 4 27/08/2015 10 5.9 880,700 600
Builders Capital Mortgage Corp.
Non-Voting Shares Class A
Loutitt, Sandy Luke 3, 4 26/08/2015 10 9.15 1,200 200
Builders Capital Mortgage Corp.
Non-Voting Shares Class A
Loutitt, Sandy Luke 3, 4 26/08/2015 10 9.05 1,900 700
Builders Capital Mortgage Corp.
Non-Voting Shares Class A
Loutitt, Sandy Luke 3, 4 25/08/2015 10 9.15 10,300 200
BURCON NUTRASCIENCE CORPORATION
Common Shares ITC Corporation Limited 3 30/04/2015 97 2.26 12,823
BURCON NUTRASCIENCE CORPORATION
Common Shares ITC Corporation Limited 3 30/04/2015 97 2.26 12,823
BURCON NUTRASCIENCE CORPORATION
Common Shares ITC Corporation Limited 3 30/04/2015 97 2.26 12,823
BURCON NUTRASCIENCE CORPORATION
Common Shares ITC Corporation Limited 3 30/04/2015 97 2.26 2,001,645 12,823
BURCON NUTRASCIENCE CORPORATION
Common Shares ITC Corporation Limited 3 30/04/2015 97 2.26 34,309
BURCON NUTRASCIENCE CORPORATION
Common Shares ITC Corporation Limited 3 30/04/2015 97 2.26 34,309
BURCON NUTRASCIENCE CORPORATION
Common Shares ITC Corporation Limited 3 30/04/2015 97 2.26 34,309
BURCON NUTRASCIENCE CORPORATION
Common Shares ITC Corporation Limited 3 30/04/2015 97 2.26 5,355,547 34,309
BURCON NUTRASCIENCE CORPORATION
Warrants ITC Corporation Limited 3 30/04/2015 53 1,711
BURCON NUTRASCIENCE CORPORATION
Warrants ITC Corporation Limited 3 30/04/2015 53 1,711
BURCON NUTRASCIENCE CORPORATION
Warrants ITC Corporation Limited 3 30/04/2015 53 1,711
BURCON NUTRASCIENCE CORPORATION
Warrants ITC Corporation Limited 3 30/04/2015 53 120,629 1,711
BURCON NUTRASCIENCE CORPORATION
Warrants ITC Corporation Limited 3 30/04/2015 53 198,429
BURCON NUTRASCIENCE CORPORATION
Warrants ITC Corporation Limited 3 30/04/2015 53 198,429
BURCON NUTRASCIENCE CORPORATION
Warrants ITC Corporation Limited 3 30/04/2015 53 198,429
BURCON NUTRASCIENCE CORPORATION
Warrants ITC Corporation Limited 3 30/04/2015 53 319,058 198,429
Burnstone Ventures Inc. Common Shares beukman, eugene 4 25/08/2015 10 0.015 1,911,468 -74,000
C-COM Satellite Systems Inc.
Common Shares Klein, Leslie 3, 4, 5 21/08/2015 10 1.02 12,949,663 500
C-COM Satellite Systems Inc.
Common Shares Klein, Leslie 3, 4, 5 21/08/2015 10 1.03 12,950,663 1,000
C-COM Satellite Systems Inc.
Common Shares Klein, Leslie 3, 4, 5 21/08/2015 10 1.01 12,951,663 1,000
C-COM Satellite Systems Inc.
Common Shares Klein, Leslie 3, 4, 5 24/08/2015 10 0.99 12,956,663 5,000
C-COM Satellite Systems Inc.
Common Shares Klein, Leslie 3, 4, 5 24/08/2015 10 0.97 12,957,663 1,000
C-COM Satellite Systems Inc.
Common Shares Klein, Leslie 3, 4, 5 24/08/2015 10 0.95 12,972,663 15,000
C-COM Satellite Systems Inc.
Common Shares Klein, Leslie 3, 4, 5 25/08/2015 10 0.98 12,974,163 1,500
C-COM Satellite Systems Inc.
Common Shares Klein, Leslie 3, 4, 5 25/08/2015 10 0.97 12,974,463 300
C-COM Satellite Systems Inc.
Common Shares Klein, Leslie 3, 4, 5 26/08/2015 10 0.97 12,975,463 1,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7589
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Caldwell U.S. Dividend Advantage Fund
Units Caldwell US Dividend Advantage Fund
1 05/08/2015 10 9.45 1,000
Caldwell U.S. Dividend Advantage Fund
Units Caldwell US Dividend Advantage Fund
1 05/08/2015 38 9.45 1,000 1,000
Caldwell U.S. Dividend Advantage Fund
Units Caldwell US Dividend Advantage Fund
1 24/08/2015 38 8.75 3,000 2,000
Calfrac Well Services Ltd. Common Shares Brown, James Michael 5 25/08/2015 10 3.05 2,400 2,400
Calfrac Well Services Ltd. Common Shares Brown, James Michael 5 25/08/2015 10 3.04 4,300 1,900
Calfrac Well Services Ltd. Common Shares Brown, James Michael 5 25/08/2015 10 3.04 5,000 700
Cameco Corporation Common Shares Assie, George Bernard 5 26/08/2015 10 12.47 2,000 2,000
Cameco Corporation Common Shares McHardy, Scott 5 25/08/2015 10 16.955 7,217 300
Canaccord Genuity Group Inc.
Common Shares Raftus, Stuart 7 21/08/2015 10 5.655 -50,000
Canaccord Genuity Group Inc.
Common Shares Raftus, Stuart 7 21/08/2015 10 5.655 -50,000
Canaccord Genuity Group Inc.
Common Shares Raftus, Stuart 7 21/08/2015 10 5.655 500,000 50,000
Canada Energy Partners Inc. Common Shares Purifoy, Winston Roy 4 14/08/2015 10 0.0077 10,900,200
Canada Energy Partners Inc. Common Shares Purifoy, Winston Roy 4 14/08/2015 10 0.0077 10,900,200
Canada Energy Partners Inc. Common Shares Purifoy, Winston Roy 4 14/08/2015 10 0.0077 10,900,200
Canada Energy Partners Inc. Common Shares Purifoy, Winston Roy 4 14/08/2015 10 0.0077 2,869,878 1,090,000
Canada Energy Partners Inc. Common Shares Purifoy, Winston Roy 4 24/08/2015 10 0.0077 58,000
Canada Energy Partners Inc. Common Shares Purifoy, Winston Roy 4 24/08/2015 10 0.0077 2,927,878 58,000
Canada Energy Partners Inc. Common Shares Purifoy, Winston Roy 4 27/08/2015 10 0.01 730,000
Canada Energy Partners Inc. Common Shares Purifoy, Winston Roy 4 27/08/2015 10 0.01 730,000
Canada Energy Partners Inc. Common Shares Purifoy, Winston Roy 4 27/08/2015 10 0.01 3,699,878 772,000
Canadian Apartment Properties Real Estate Investment Trust
Trust Units Stein, Michael 4, 5 20/08/2015 47 499,905 -36,000
Canadian Apartment Properties Real Estate Investment Trust
Trust Units Stein, Michael 4, 5 20/08/2015 10 28.89 517,905 18,000
Canadian Apartment Properties Real Estate Investment Trust
Trust Units Stein, Michael 4, 5 20/08/2015 10 29.49 535,905 18,000
Canadian Energy Services & Technology Corp.
Common Shares Hooks, John Michael 4 21/08/2015 51 2.06 2,394,956 50,000
Canadian Energy Services & Technology Corp.
Common Shares Hooks, John Michael 4 21/08/2015 10 5.8734 2,344,956 -50,000
Canadian Energy Services & Technology Corp.
Common Shares Hooks, John Michael 4 24/08/2015 10 5.471 2,247,456 -97,500
Canadian Energy Services & Technology Corp.
Common Shares Hooks, John Michael 4 24/08/2015 46 6.193 2,248,564 1,108
Canadian Energy Services & Technology Corp.
Options Hooks, John Michael 4 21/08/2015 51 2.06 166,000 -50,000
Canadian Imperial Bank of Commerce
Common Shares Kramer, Christina Charlotte 5 27/08/2015 97 11,313 7,652
Canadian Imperial Bank of Commerce
Common Shares SHARMAN, SANDY 5 27/08/2015 97 0 -349
Canadian National Railway Company
Common Shares CARTY, DONALD 4 21/08/2015 10 56.403 38,620 5,000
Canadian National Railway Company
Common Shares CARTY, DONALD 4 21/08/2015 10 56.36 3,000 1,000
Canadian National Railway Company
Common Shares CARTY, DONALD 4 01/01/2011 00
Canadian National Railway Company
Common Shares CARTY, DONALD 4 21/08/2015 10 56.27 200 200
Canadian National Railway Company
Common Shares CARTY, DONALD 4 01/01/2011 00
Canadian National Railway Company
Common Shares CARTY, DONALD 4 21/08/2015 10 56.406 2,500 2,500
Canadian National Railway Company
Common Shares CARTY, DONALD 4 21/08/2015 10 56.298 3,000 1,000
Canadian Natural Resources Limited
Common Shares Laing, Ronald Keith 5 17/08/2015 10 30.08 11,532 -546
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7590
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Canadian Oil Recovery & Remediation Enterprises Ltd.
Common Shares Lorenzo, John Michael 4 25/08/2015 10 0.075 12,002,186 10,000
Canadian Oil Sands Limited Common Shares Fisekci, Siren 5 21/08/2015 10 6.18 44,019 500
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Canadian Tire Corporation, Limited
1 24/08/2015 38 118.08 50,000 50,000
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Canadian Tire Corporation, Limited
1 24/08/2015 38 118.08 0 -50,000
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Canadian Tire Corporation, Limited
1 25/08/2015 38 120.42 50,000 50,000
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Canadian Tire Corporation, Limited
1 25/08/2015 38 120.42 0 -50,000
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Canadian Tire Corporation, Limited
1 26/08/2015 38 120.7 50,000 50,000
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Canadian Tire Corporation, Limited
1 26/08/2015 38 120.7 0 -50,000
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Canadian Tire Corporation, Limited
1 27/08/2015 38 124.31 50,000 50,000
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Canadian Tire Corporation, Limited
1 27/08/2015 38 124.31 0 -50,000
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Canadian Tire Corporation, Limited
1 28/08/2015 38 123.58 42,500 42,500
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Canadian Tire Corporation, Limited
1 28/08/2015 38 123.58 0 -42,500
Canarc Resource Corp. Common Shares Cooke, Bradford 4, 5 25/08/2015 10 0.055 4,952,480 30,000
Canarc Resource Corp. Common Shares Cooke, Bradford 4, 5 26/08/2015 10 0.055 5,022,480 70,000
Canfor Pulp Products Inc. Common Shares Kayne, Don 6 01/01/2011 00
Canfor Pulp Products Inc. Common Shares Kayne, Don 6 25/08/2015 10 11.758 1,050 1,050
Canlan Ice Sports Corp. Common Shares The Article 6 Marital Trust created under the First Amended and Restated Jerry Zucker Revocable Trust dated 4-2-07
3 21/08/2015 10 3.5 2,048,500 900
Canoe Mining Ventures Corp.
Common Shares Parnham, Duane 4, 5 10/06/2015 11 0.05 350,000
Canoe Mining Ventures Corp.
Common Shares Parnham, Duane 4, 5 10/06/2015 11 0.05 350,000
Canoe Mining Ventures Corp.
Common Shares Parnham, Duane 4, 5 25/08/2015 10 0.04 2,144,673 1,000
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Common Shares Doman, Amardeip Singh 4 21/08/2015 10 5.33 9,328,254 5,000
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Common Shares Doman, Amardeip Singh 4 24/08/2015 10 5.04 9,332,854 4,600
Canyon Services Group Inc. Common Shares Grad, Stan 4 28/08/2015 10 5.3073 1,966,650 -100,000
Canyon Services Group Inc. Options O'Brien, Finbarr (Barry) Joseph
5 25/08/2015 58 - Expiration
of rights
4.97 -50,000
Canyon Services Group Inc. Options O'Brien, Finbarr (Barry) Joseph
5 25/08/2015 52 4.97 259,493 -50,000
Capstone Mining Corp. Common Shares Gosselin, Chantal 4 27/08/2015 10 0.63 43,000 8,000
Capstone Mining Corp. Common Shares Slattery, D. James 5 26/08/2015 10 0.5735 186,010 85,000
Captiva Verde Industries Ltd. Options Thompson, Chris 5 27/08/2014 00
Captiva Verde Industries Ltd. Options Thompson, Chris 5 16/08/2015 50 0.38 750,000 750,000
CarbonOne Technologies Inc.
Options Khorchidian, Jack 4, 5 23/07/2015 00
CarbonOne Technologies Inc.
Options Khorchidian, Jack 4, 5 23/07/2015 00
CarbonOne Technologies Inc.
Options Khorchidian, Jack 4, 5 23/07/2015 50 0.2 500,000
CarbonOne Technologies Inc.
Options Khorchidian, Jack 4, 5 23/07/2015 50 0.2 500,000
CarbonOne Technologies Inc.
Options Khorchidian, Jack 4, 5 23/07/2015 00 500,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7591
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
CarbonOne Technologies Inc.
Common Shares Morris, Klid 4 15/07/2015 15 0.2 1,000,000
CarbonOne Technologies Inc.
Common Shares Morris, Klid 4 15/07/2015 15 0.2 1,000,000
CarbonOne Technologies Inc.
Common Shares Morris, Klid 4 23/07/2015 00
CarbonOne Technologies Inc.
Common Shares Morris, Klid 4 23/07/2015 00
CarbonOne Technologies Inc.
Common Shares Morris, Klid 4 23/07/2015 00 1,000,000
CarbonOne Technologies Inc.
Options Morris, Klid 4 15/07/2015 50 0.2 300,000
CarbonOne Technologies Inc.
Options Morris, Klid 4 15/07/2015 50 0.2 300,000
CarbonOne Technologies Inc.
Options Morris, Klid 4 23/07/2015 00
CarbonOne Technologies Inc.
Options Morris, Klid 4 23/07/2015 00
CarbonOne Technologies Inc.
Options Morris, Klid 4 23/07/2015 00 300,000
CarbonOne Technologies Inc.
Options Rohring, Steven 5 23/07/2015 00
CarbonOne Technologies Inc.
Options Rohring, Steven 5 23/07/2015 00
CarbonOne Technologies Inc.
Options Rohring, Steven 5 23/07/2015 50 0.2 400,000
CarbonOne Technologies Inc.
Options Rohring, Steven 5 23/07/2015 50 0.2 400,000
CarbonOne Technologies Inc.
Options Rohring, Steven 5 23/07/2015 00 400,000
Cardiff Energy Corp. Common Shares Campbell, Greg 5 25/08/2015 51 0.08 1,524,934 283,685
Cardiff Energy Corp. Common Shares Campbell, Greg 5 25/08/2015 10 0.09 1,424,934 -100,000
Cardiff Energy Corp. Common Shares Campbell, Greg 5 26/08/2015 10 0.09 1,290,934 -134,000
Cardiff Energy Corp. Options Campbell, Greg 5 25/08/2015 51 0.08 0 -283,685
Carube Copper Corp. (formerly Miocene Resources Limited)
Common Shares Rampton, Vernon Neil 4, 5 21/08/2015 10 0.14 2,480,001 5,000
CCL Industries Inc. Non-Voting Shares Class B
McClendon, Mark 5 01/07/2014 00
CCL Industries Inc. Non-Voting Shares Class B
McClendon, Mark 5 21/08/2015 30 2,032 2,032
CCL Industries Inc. Non-Voting Shares Class B
McClendon, Mark 5 21/08/2015 10 178.57 1,071 -961
CCL Industries Inc. Non-Voting Shares Class B
Rubino, Sebastian 7 21/08/2015 57 21,642 9,142
CCL Industries Inc. Non-Voting Shares Class B
Rubino, Sebastian 7 21/08/2015 10 178.57 17,194 -4,448
CCL Industries Inc. Rights Restricted Share Units
Rubino, Sebastian 7 21/08/2015 57 0 -9,000
CCL Industries Inc. Non-Voting Shares Class B
Sellors, James Andrew 7 21/08/2015 57 12,960 9,142
CCL Industries Inc. Non-Voting Shares Class B
Sellors, James Andrew 7 21/08/2015 10 178.57 8,190 -4,770
CCL Industries Inc. Rights Restricted Share Units
Sellors, James Andrew 7 21/08/2015 57 0 -9,000
CCL Industries Inc. Non-Voting Shares Class B
Vaidyanathan, Lalitha 5 21/08/2015 57 23,178 9,142
CCL Industries Inc. Non-Voting Shares Class B
Vaidyanathan, Lalitha 5 21/08/2015 10 178.57 18,408 -4,770
CCL Industries Inc. Rights Restricted Share Units
Vaidyanathan, Lalitha 5 21/08/2015 57 0 -9,000
CCL Industries Inc. Non-Voting Shares Class B
Washchuk, Sean 5 24/08/2015 57 11,949 9,142
CCL Industries Inc. Non-Voting Shares Class B
Washchuk, Sean 5 24/08/2015 10 165.85 7,421 -4,528
CCL Industries Inc. Rights Restricted Share Units
Washchuk, Sean 5 24/08/2015 57 0 -9,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7592
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Centerra Gold Inc. Performance Share Units Atkinson, Ian 5 27/08/2015 56 6.87 418,023 2,419
Centerra Gold Inc. Deferred Share Units Connor, Richard Webster 4 27/08/2015 56 7 44,510 252
Centerra Gold Inc. Rights Restricted Share Units
Connor, Richard Webster 4 27/08/2015 56 7 252
Centerra Gold Inc. Rights Restricted Share Units
Connor, Richard Webster 4 27/08/2015 56 7 252
Centerra Gold Inc. Rights Restricted Share Units
Connor, Richard Webster 4 27/08/2015 56 7 17
Centerra Gold Inc. Rights Restricted Share Units
Connor, Richard Webster 4 27/08/2015 56 7 17
Centerra Gold Inc. Rights Restricted Share Units
Connor, Richard Webster 4 27/08/2015 56 7 17 17
Centerra Gold Inc. Deferred Share Units Girard, Raphael Arthur 4 27/08/2015 56 7 1,051 5
Centerra Gold Inc. Rights Restricted Share Units
Girard, Raphael Arthur 4 27/08/2015 56 7 91,093 517
Centerra Gold Inc. Performance Share Units Herbert, Frank Hamilton 5 27/08/2015 56 6.87 204,982 1,186
Centerra Gold Inc. Performance Share Units Kwong, Dennis 5 27/08/2015 56 6.87 134,646 774
Centerra Gold Inc. Rights Restricted Share Units
Lang, Stephen A. 5 27/08/2015 56 7 62,036 352
Centerra Gold Inc. Performance Share Units Meade, Anthony 5 27/08/2015 56 6.87 79,587 460
Centerra Gold Inc. Performance Share Units Millman, Darren 5 27/08/2015 56 6.87 42,680 247
Centerra Gold Inc. Performance Share Units Parr, Jeffrey Scott 5 27/08/2015 56 6.87 207,888 1,203
Centerra Gold Inc. Rights Restricted Share Units
Parrett, Michael S. 4 27/08/2015 56 7 17,368 98
Centerra Gold Inc. Performance Share Units Pearson, John William 5 27/08/2015 56 6.87 45,061 260
Centerra Gold Inc. Deferred Share Units Pressler, Sheryl 4 27/08/2015 56 7 31,231 177
Centerra Gold Inc. Rights Restricted Share Units
Pressler, Sheryl 4 27/08/2015 56 7 17 17
Centerra Gold Inc. Performance Share Units Reid, Gordon Dunlop 7 27/08/2015 56 6.87 196,005 1,134
Centerra Gold Inc. Deferred Share Units Rogers, Terry Vernon 6 27/08/2015 56 7 57,020 324
Centerra Gold Inc. Deferred Share Units Walter, Bruce V. 4 27/08/2015 56 7 64,203 364
Centerra Gold Inc. Rights Restricted Share Units
Walter, Bruce V. 4 27/08/2015 56 7 12,597 71
Century Iron Mines Corporation
Common Shares Bai, Hua 4 18/05/2011 00
Century Iron Mines Corporation
Common Shares Bai, Hua 4 24/08/2015 11 0.22 4,988,208 4,988,208
Century Iron Mines Corporation
Common Shares CENTURY EAGLE HOLDINGS LIMITED
3 24/08/2015 11 0.22 0 -49,781,316
Century Iron Mines Corporation
Common Shares Chim, Sandy Chun Kwan 4, 6, 7, 5 24/08/2015 11 0.22 0 -100,762
Century Iron Mines Corporation
Common Shares Chim, Sandy Chun Kwan 4, 6, 7, 5 18/05/2011 00
Century Iron Mines Corporation
Common Shares Chim, Sandy Chun Kwan 4, 6, 7, 5 24/08/2015 11 0.22 15,263,917 15,263,917
Century Iron Mines Corporation
Common Shares Wong, Ben Koon (David) 3, 4 18/05/2011 00
Century Iron Mines Corporation
Common Shares Wong, Ben Koon (David) 3, 4 24/08/2015 11 0.22 24,691,628 24,691,628
Ceres Global Ag Corp. Common Shares Kucala, Mark 5 25/08/2015 10 4.8187 5,000 1,300
Cerro Grande Mining Corporation
Common Shares Hernandez, Mario 3, 4, 5 21/08/2015 90 0 -547,333
Cerro Grande Mining Corporation
Common Shares Hernandez, Mario 3, 4, 5 21/08/2015 90 0 -41,500
Cerro Grande Mining Corporation
Common Shares Hernandez, Mario 3, 4, 5 21/08/2015 90 0 -46,230,517
Cerro Grande Mining Corporation
Common Shares Hernandez, Mario 3, 4, 5 21/08/2015 90 54,922,201 46,819,350
CGI Group Inc. Options Gorber, Lorne Shawn 5 26/08/2015 51 23.65 42,085 -12,000
CGI Group Inc. Subordinate Voting Shares Classe A
Gorber, Lorne Shawn 5 26/08/2015 51 23.65 12,000 12,000
CGI Group Inc. Subordinate Voting Shares Classe A
Gorber, Lorne Shawn 5 26/08/2015 10 47.067 0 -12,000
CGI Group Inc. Subordinate Voting Shares Classe A
Groupe CGI inc. 1 26/08/2015 38 46.97 525,000 525,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7593
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
Groupe CGI inc. 1 28/08/2015 38 0 -525,000
CGI Group Inc. Subordinate Voting Shares Classe A
Rocheleau, Daniel 5 25/08/2015 90 0 -16,809
CGI Group Inc. Subordinate Voting Shares Classe A
Rocheleau, Daniel 5 25/08/2015 90 0 -116,956
CGI Group Inc. Subordinate Voting Shares Classe A
Rocheleau, Daniel 5 16/01/2003 00
CGI Group Inc. Subordinate Voting Shares Classe A
Rocheleau, Daniel 5 25/08/2015 90 16,809 16,809
CGI Group Inc. Subordinate Voting Shares Classe A
Rocheleau, Daniel 5 25/08/2015 90 133,765 116,956
Chorus Aviation Inc. Class B Voting Shares McCoy, Richard H. 4 21/08/2015 10 5.34 36,294 5,000
Chorus Aviation Inc. Class B Voting Shares McCoy, Richard H. 4 21/08/2015 10 5.35 41,294 5,000
Chorus Aviation Inc. Class B Voting Shares Peddle, James Bruce 5 18/08/2015 00
Chorus Aviation Inc. Class B Voting Shares Peddle, James Bruce 5 24/08/2015 10 5.35 1,000 1,000
Clarke Inc. Common Shares Clarke Inc. 1 20/08/2015 10 10.77 388,700 5,700
Clarke Inc. Common Shares Clarke Inc. 1 21/08/2015 10 10.71 400,000 11,300
Clearford Water Systems Inc. Warrants Gold, Glenn 4 12/05/2012 55 0 -1,350,000
Clearford Water Systems Inc. Warrants Gold, Glenn 4 28/05/2012 55 0 -231,670
Clearford Water Systems Inc. Warrants Ross, Charles Ian 4 28/05/2012 55 0 -231,670
Clearford Water Systems Inc. Warrants SZONYI, ANDREW 4 28/05/2012 55 0 -500,000
Clearwater Seafoods Incorporated
Common Shares Paddick, Brendan John 4 24/08/2015 10 10.63 120,000 20,000
Codrington Resource Corporation
Common Shares Ambrose, Allen Vernon 4 15/07/2015 11 0.05 1,894,107 580,000
Codrington Resource Corporation
Warrants on placements Ambrose, Allen Vernon 4 15/07/2015 11 0.08 880,000 580,000
Codrington Resource Corporation
Common Shares hobkirk, adrian frederick 4, 5 20/08/2015 10 0.044 2,919,722 3,000
Columbus Exploration Corporation (formerly Columbus Silver Corporation)
Common Shares Gianulis, Peter Lawrence 6 21/08/2015 51 0.065 1,312,500 112,500
Columbus Exploration Corporation (formerly Columbus Silver Corporation)
Common Shares Gianulis, Peter Lawrence 6 21/08/2015 51 0.15 1,412,500 100,000
Columbus Exploration Corporation (formerly Columbus Silver Corporation)
Options Gianulis, Peter Lawrence 6 21/08/2015 51 0.065 112,500
Columbus Exploration Corporation (formerly Columbus Silver Corporation)
Options Gianulis, Peter Lawrence 6 21/08/2015 51 0.065 200,000 -112,500
Columbus Exploration Corporation (formerly Columbus Silver Corporation)
Options Gianulis, Peter Lawrence 6 21/08/2015 51 0.15 100,000
Columbus Exploration Corporation (formerly Columbus Silver Corporation)
Options Gianulis, Peter Lawrence 6 21/08/2015 51 0.15 100,000 -100,000
Columbus Exploration Corporation (formerly Columbus Silver Corporation)
Common Shares Giustra, Robert 4, 5 21/08/2015 51 0.15 722,796 65,000
Columbus Exploration Corporation (formerly Columbus Silver Corporation)
Options Giustra, Robert 4, 5 21/08/2015 51 0.15 877,500 -65,000
Columbus Exploration Corporation (formerly Columbus Silver Corporation)
Common Shares Klenda, Jeffrey T. 4 20/08/2015 51 0.15 -100,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7594
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Columbus Exploration Corporation (formerly Columbus Silver Corporation)
Common Shares Klenda, Jeffrey T. 4 20/08/2015 51 0.15 -100,000
Columbus Exploration Corporation (formerly Columbus Silver Corporation)
Common Shares Klenda, Jeffrey T. 4 20/08/2015 51 0.15 100,000
Columbus Exploration Corporation (formerly Columbus Silver Corporation)
Common Shares Klenda, Jeffrey T. 4 20/08/2015 51 0.15 100,000
Columbus Exploration Corporation (formerly Columbus Silver Corporation)
Common Shares Klenda, Jeffrey T. 4 20/08/2015 51 0.15 1,891,787 100,000
Columbus Exploration Corporation (formerly Columbus Silver Corporation)
Options Klenda, Jeffrey T. 4 20/08/2015 51 0 -100,000
COMPASS Income Fund Trust Units COMPASS Income Fund 1 26/08/2015 38 10.65 32,073,460 500
COMPASS Income Fund Trust Units COMPASS Income Fund 1 26/08/2015 10 10.712 32,068,360 -5,100
COMPASS Income Fund Trust Units COMPASS Income Fund 1 27/08/2015 38 11.22 32,068,860 500
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 24/08/2015 38 11.25 200 200
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 24/08/2015 38 11.26 1,200 1,000
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 24/08/2015 38 11.28 2,200 1,000
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 24/08/2015 38 11.32 2,300 100
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 24/08/2015 38 11.29 3,300 1,000
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 24/08/2015 38 11.35 4,300 1,000
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 24/08/2015 38 11.36 6,300 2,000
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 24/08/2015 38 11.41 8,300 2,000
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 24/08/2015 38 11.42 10,300 2,000
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 24/08/2015 38 11.44 11,300 1,000
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 24/08/2015 38 11.45 12,300 1,000
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 24/08/2015 38 11.46 13,300 1,000
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 24/08/2015 38 11.48 14,200 900
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 25/08/2015 38 11.47 15,100 900
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 25/08/2015 38 11.49 18,500 3,400
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 25/08/2015 38 11.5 21,600 3,100
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 25/08/2015 38 11.51 23,100 1,500
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 25/08/2015 38 11.52 24,600 1,500
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 25/08/2015 38 11.53 26,100 1,500
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 25/08/2015 38 11.58 27,600 1,500
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 25/08/2015 38 11.6 29,000 1,400
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 25/08/2015 38 11.62 31,000 2,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7595
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 25/08/2015 38 11.63 32,500 1,500
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 25/08/2015 38 11.64 33,900 1,400
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 26/08/2015 38 11.57 36,900 3,000
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 26/08/2015 38 11.58 42,900 6,000
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 26/08/2015 38 11.59 46,900 4,000
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 26/08/2015 38 11.61 52,900 6,000
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 26/08/2015 38 11.63 57,900 5,000
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 26/08/2015 38 11.64 61,900 4,000
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 27/08/2015 38 11.58 63,900 2,000
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 27/08/2015 38 11.59 65,900 2,000
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 27/08/2015 38 11.6 73,900 8,000
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 27/08/2015 38 11.61 75,300 1,400
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 27/08/2015 38 11.63 77,300 2,000
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 27/08/2015 38 11.64 79,300 2,000
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 27/08/2015 38 11.69 82,600 3,300
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 27/08/2015 38 11.87 86,900 4,300
Computer Modelling Group Ltd.
Common Shares Computer Modelling Group Ltd.
1 27/08/2015 38 11.89 89,900 3,000
Condor Petroleum Inc. Options Hatcher, William Bradley 5 24/08/2015 50 4,625,000 1,750,000
Condor Petroleum Inc. Options Quilty, Stanley Martin 5 24/08/2015 50 4,625,000 1,550,000
Condor Petroleum Inc. Common Shares Storm, Norman 6 28/08/2015 45 0.15 7,780,453 -4,416,090
Condor Petroleum Inc. Common Shares Storm, Norman 6 24/08/2015 10 0.14 4,080,618 43,000
Condor Petroleum Inc. Common Shares Storm, Norman 6 24/08/2015 10 0.145 4,170,618 90,000
Condor Petroleum Inc. Options Streu, Donald James 4, 5 24/08/2015 50 4,920,000 1,770,000
Condor Petroleum Inc. Options Whittaker, Roger David 5 24/08/2015 50 3,775,000 1,500,000
Copperbank Resources Corp.
Common Shares Kovacevic, John Gianni 4, 5 24/08/2015 10 0.04 8,627,000 50,000
Corona Gold Corporation (formerly Blue Echo Ventures Inc.)
Common Shares Dundee Corporation 3 25/08/2015 22 0 -5,046,197
Corona Gold Corporation (formerly Blue Echo Ventures Inc.)
Common Shares GOODMAN, Mark 4 25/08/2015 22 0 -630,000
Corona Gold Corporation (formerly Blue Echo Ventures Inc.)
Options GOODMAN, Mark 4 25/08/2015 22 0 -200,000
Corona Gold Corporation (formerly Blue Echo Ventures Inc.)
Common Shares Goodman, Ned 3 25/08/2015 22 0 -500,000
Corona Gold Corporation (formerly Blue Echo Ventures Inc.)
Common Shares John, William Murray 6 25/08/2015 22 0 -1,736,500
Corona Gold Corporation (formerly Blue Echo Ventures Inc.)
Options John, William Murray 6 25/08/2015 52 0 -500,000
Corona Gold Corporation (formerly Blue Echo Ventures Inc.)
Common Shares Kalman, James Alexander 4 25/08/2015 22 0 -1,032,000
Corona Gold Corporation (formerly Blue Echo Ventures Inc.)
Common Shares Kalman, James Alexander 4 25/08/2015 22 0 -350,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7596
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Corona Gold Corporation (formerly Blue Echo Ventures Inc.)
Options Kalman, James Alexander 4 25/08/2015 22 0 -200,000
Corona Gold Corporation (formerly Blue Echo Ventures Inc.)
Common Shares McRae, Peter Croft 4 25/08/2015 22 65,468 -514,948
Corona Gold Corporation (formerly Blue Echo Ventures Inc.)
Common Shares McRae, Peter Croft 4 25/08/2015 22 0 -65,468
Corona Gold Corporation (formerly Blue Echo Ventures Inc.)
Options McRae, Peter Croft 4 25/08/2015 38 0 -400,000
Corona Gold Corporation (formerly Blue Echo Ventures Inc.)
Common Shares Oban Mining Corporation 3 25/08/2015 00 21,145,314
Corona Gold Corporation (formerly Blue Echo Ventures Inc.)
Common Shares Zajcew, Orest Wasyl 5 25/08/2015 22 0 -100,000
Corona Gold Corporation (formerly Blue Echo Ventures Inc.)
Options Zajcew, Orest Wasyl 5 25/08/2015 22 0 -250,000
CounterPath Corporation Rights Deferred Share Units
Matthews, Terence, Hedley 3, 4, 5 17/07/2015 56 239,012 72,113
Covalon Technologies Ltd. Common Shares Caplan, Elinor 4 28/08/2015 10 0.8 8,000
Covalon Technologies Ltd. Common Shares Caplan, Elinor 4 28/08/2015 10 0.8 8,000
Covalon Technologies Ltd. Common Shares Caplan, Elinor 4 28/08/2015 10 0.8 15,000 8,000
Crescent Point Energy Corp. Deferred Share Units Amirault, Rene 4 31/12/2014 56 36.67 167
Crescent Point Energy Corp. Deferred Share Units Amirault, Rene 4 31/12/2014 56 30.04 167
Crescent Point Energy Corp. Deferred Share Units Amirault, Rene 4 31/12/2014 30 30.04 5,724 167
Crescent Point Energy Corp. Deferred Share Units Bannister, Peter 4 31/12/2014 30 1,351
Crescent Point Energy Corp. Deferred Share Units Bannister, Peter 4 31/12/2014 56 1,351
Crescent Point Energy Corp. Deferred Share Units Bannister, Peter 4 31/12/2014 56 36.67 1,351
Crescent Point Energy Corp. Deferred Share Units Bannister, Peter 4 31/12/2014 56 36.65 1,351
Crescent Point Energy Corp. Deferred Share Units Bannister, Peter 4 31/12/2014 30 36.65 22,421 1,351
Crescent Point Energy Corp. Deferred Share Units Gillard, D. Hugh 4 31/12/2014 30 1,017
Crescent Point Energy Corp. Deferred Share Units Gillard, D. Hugh 4 31/12/2014 56 1,017
Crescent Point Energy Corp. Deferred Share Units Gillard, D. Hugh 4 31/12/2014 56 36.67 1,017
Crescent Point Energy Corp. Deferred Share Units Gillard, D. Hugh 4 31/12/2014 56 36.66 1,017
Crescent Point Energy Corp. Deferred Share Units Gillard, D. Hugh 4 31/12/2014 30 36.66 16,842 1,017
Crescent Point Energy Corp. Deferred Share Units Heinemann, Robert Frederick
4 31/12/2014 56 36.67 1,017
Crescent Point Energy Corp. Deferred Share Units Heinemann, Robert Frederick
4 31/12/2014 56 36.67 97
Crescent Point Energy Corp. Deferred Share Units Heinemann, Robert Frederick
4 31/12/2014 56 30.04 97
Crescent Point Energy Corp. Deferred Share Units Heinemann, Robert Frederick
4 31/12/2014 30 30.04 3,339 97
Crescent Point Energy Corp. Common Shares ROMANZIN, GERALD A. 4 25/08/2015 10 13.5 0 -741
Crescent Point Energy Corp. Deferred Share Units ROMANZIN, GERALD A. 4 31/12/2014 56 36.67 1,087
Crescent Point Energy Corp. Deferred Share Units ROMANZIN, GERALD A. 4 31/12/2014 56 36.66 1,087
Crescent Point Energy Corp. Deferred Share Units ROMANZIN, GERALD A. 4 31/12/2014 56 36.66 1,017
Crescent Point Energy Corp. Deferred Share Units ROMANZIN, GERALD A. 4 31/12/2014 30 36.66 16,842 1,017
Crescent Point Energy Corp. Common Shares Smith, Clifford Neil 5 21/08/2015 10 13.52 353,540 -3,900
Crescent Point Energy Corp. Common Shares Smith, Clifford Neil 5 21/08/2015 10 13.51 352,040 -1,500
Crescent Point Energy Corp. Common Shares Smith, Clifford Neil 5 21/08/2015 10 13.505 351,940 -100
Crescent Point Energy Corp. Common Shares Smith, Clifford Neil 5 21/08/2015 10 13.5 335,440 -16,500
Crescent Point Energy Corp. Common Shares Smith, Clifford Neil 5 02/07/2009 00
Crescent Point Energy Corp. Common Shares Smith, Clifford Neil 5 21/08/2015 10 13.5 22,000 22,000
Crescent Point Energy Corp. Deferred Share Units Turnbull, Gregory George 4 31/12/2014 56 1,086
Crescent Point Energy Corp. Deferred Share Units Turnbull, Gregory George 4 31/12/2014 56 36.67 1,086
Crescent Point Energy Corp. Deferred Share Units Turnbull, Gregory George 4 31/12/2014 56 36.24 1,086
Crescent Point Energy Corp. Deferred Share Units Turnbull, Gregory George 4 31/12/2014 56 36.24 1,087
Crescent Point Energy Corp. Deferred Share Units Turnbull, Gregory George 4 31/12/2014 30 36.24 19,227 1,087
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7597
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
CRH Medical Corporation Common Shares Johnson, David 4 05/08/2015 10 4.1043 260,900 4,450
Cricket Media Group Ltd. Restricted Share Units (RSU)
Campbell, William Marr 4 20/08/2015 56 107,692 107,692
Cricket Media Group Ltd. Restricted Share Units (RSU)
Campbell, William Marr 4 20/08/2015 57 0 -107,692
Cricket Media Group Ltd. Restricted Voting Common Shares
Campbell, William Marr 4 20/08/2015 57 140,561 107,692
Critical Control Energy Services Corp.
Warrants 0.70 Boeckh Investments Inc. 3 30/06/2015 55 0 -837,550
Crown Capital Partners Inc. Common Shares Roane, Glen Dawson 4 24/08/2015 10 9 29,475 7,200
Crown Capital Partners Inc. Common Shares Roane, Glen Dawson 4 25/08/2015 10 9 30,675 1,200
Crystal Peak Minerals Inc. (formerly EPM Mining Ventures Inc.)
Options Basse, Daniel William 4 12/10/2014 52 660,402 -43,704
Crystal Peak Minerals Inc. (formerly EPM Mining Ventures Inc.)
Options Basse, Daniel William 4 21/08/2015 50 0.42 937,836 350,000
Crystal Peak Minerals Inc. (formerly EPM Mining Ventures Inc.)
Options Bloomquist, De Lyle Wade 4 21/08/2015 50 0.42 978,491 350,000
Crystal Peak Minerals Inc. (formerly EPM Mining Ventures Inc.)
Options Botts, Theodore P. 4 12/10/2014 52 672,395 -43,704
Crystal Peak Minerals Inc. (formerly EPM Mining Ventures Inc.)
Options Botts, Theodore P. 4 21/08/2015 50 0.42 949,829 350,000
Crystal Peak Minerals Inc. (formerly EPM Mining Ventures Inc.)
Options Carroll, Donald Anthony 4 29/05/2015 00
Crystal Peak Minerals Inc. (formerly EPM Mining Ventures Inc.)
Options Carroll, Donald Anthony 4 21/08/2015 50 0.42 175,000 175,000
Crystal Peak Minerals Inc. (formerly EPM Mining Ventures Inc.)
Options Curtis, Robert Andrew 4 29/05/2015 00
Crystal Peak Minerals Inc. (formerly EPM Mining Ventures Inc.)
Options Curtis, Robert Andrew 4 21/08/2015 50 0.42 175,000 175,000
Crystal Peak Minerals Inc. (formerly EPM Mining Ventures Inc.)
Options D'Ambrosio, Lance Varro 3, 4, 5 21/08/2015 50 0.42 1,500,000 750,000
Crystal Peak Minerals Inc. (formerly EPM Mining Ventures Inc.)
Options Dye, Richard Anderton 5 21/08/2015 50 0.42 1,025,000 250,000
Crystal Peak Minerals Inc. (formerly EPM Mining Ventures Inc.)
Options Pladsen, Thomas John 4, 5 12/10/2014 52 684,388 -43,704
Crystal Peak Minerals Inc. (formerly EPM Mining Ventures Inc.)
Options Pladsen, Thomas John 4, 5 21/08/2015 50 0.42 961,822 350,000
Crystal Peak Minerals Inc. (formerly EPM Mining Ventures Inc.)
Options Ramakrishnan, Mukundan 4 21/08/2015 50 0.42 937,836 350,000
Crystal Peak Minerals Inc. (formerly EPM Mining Ventures Inc.)
Options Silleroy, Woods 5 21/08/2015 50 0.42 775,000 250,000
Dalradian Resources Inc. Options Downey, Patrick 4 23/06/2015 00
Dalradian Resources Inc. Options Downey, Patrick 4 19/08/2015 50 0.9 250,000 250,000
DealNet Capital Corp. Common Shares Gagnon, Pierre Gaston 4 22/02/2012 11 0.05 2,000
DealNet Capital Corp. Common Shares Gagnon, Pierre Gaston 4 22/02/2012 11 0.05 2,000
DealNet Capital Corp. Common Shares Gagnon, Pierre Gaston 4 22/02/2012 11 0.05 2,000
DealNet Capital Corp. Common Shares Gagnon, Pierre Gaston 4 29/08/2012 16 0.05 950,000 950,000
DealNet Capital Corp. Common Shares Gagnon, Pierre Gaston 4 04/09/2012 00
DealNet Capital Corp. Common Shares Gagnon, Pierre Gaston 4 04/09/2012 00
DealNet Capital Corp. Common Shares Gagnon, Pierre Gaston 4 04/09/2012 00
DealNet Capital Corp. Common Shares Gagnon, Pierre Gaston 4 17/12/2012 10 0.05 1,000,000 50,000
DealNet Capital Corp. Common Shares Gagnon, Pierre Gaston 4 04/06/2014 10 0.2 1,560,000 560,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7598
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
DealNet Capital Corp. Common Shares Gagnon, Pierre Gaston 4 14/11/2014 10 0.19 1,501,500 -58,500
DealNet Capital Corp. Common Shares Gagnon, Pierre Gaston 4 19/11/2014 10 0.19 1,482,000 -19,500
DealNet Capital Corp. Common Shares Gagnon, Pierre Gaston 4 20/11/2014 10 0.18 1,261,500 -220,500
DealNet Capital Corp. Common Shares Gagnon, Pierre Gaston 4 11/02/2015 36 0.19 2,482,552 1,221,052
DealNet Capital Corp. Options Gagnon, Pierre Gaston 4 11/02/2015 50 1,221,052
DealNet Capital Corp. Options Gagnon, Pierre Gaston 4 11/02/2015 53 1,221,052
DealNet Capital Corp. Options Gagnon, Pierre Gaston 4 17/06/2015 53 158,876
DealNet Capital Corp. Warrants Gagnon, Pierre Gaston 4 04/09/2012 00
DealNet Capital Corp. Warrants Gagnon, Pierre Gaston 4 11/02/2015 53 1,221,052 1,221,052
DealNet Capital Corp. Warrants Gagnon, Pierre Gaston 4 17/06/2015 53 1,379,928 158,876
DealNet Capital Corp. Common Shares Schwartz, Gary David 5 01/07/2014 00
DealNet Capital Corp. Common Shares Schwartz, Gary David 5 01/07/2014 00
DealNet Capital Corp. Common Shares Schwartz, Gary David 5 01/07/2014 30 1,020,156 1,020,156
DealNet Capital Corp. Common Shares Schwartz, Gary David 5 01/07/2014 00
DealNet Capital Corp. Common Shares Schwartz, Gary David 5 01/07/2014 30 277,777 277,777
Delavaco Residential Properties Corp. (formerly Sereno Capital Corporation)
Common Shares Hanczyk, Kelly Clark 4 02/01/2014 00
Delavaco Residential Properties Corp. (formerly Sereno Capital Corporation)
Common Shares Hanczyk, Kelly Clark 4 27/08/2015 46 0.75 46,000 46,000
DELPHI ENERGY CORP. Common Shares CAMPBELL, HARRY SINCLAIR
4 24/08/2015 10 0.72 1,017,075 24,500
DELPHI ENERGY CORP. Common Shares CAMPBELL, HARRY SINCLAIR
4 24/08/2015 10 0.69 1,042,075 25,000
DEQ Systems Corp. Options Bertolone, Joseph Edward 4, 5 25/08/2015 50 0.18 400,000 150,000
DEQ Systems Corp. Options Cousineau, Alain 4 30/07/2015 00
DEQ Systems Corp. Options Cousineau, Alain 4 25/08/2015 50 0.18 100,000 100,000
DEQ Systems Corp. Options Whipple, Jon L. 4 06/07/2015 00
DEQ Systems Corp. Options Whipple, Jon L. 4 25/08/2015 50 0.18 100,000 100,000
Diagnos Inc. Convertible Debentures 10% Int. 4-year term, conversion price $0.10
Renaud, Philip 4 29/07/2015 11 0.1 $500,000
Diagnos Inc. Convertible Debentures 10% Int. 4-year term, conversion price $0.10
Renaud, Philip 4 29/07/2015 16 0.1 $500,000 $500,000
DirectCash Payments Inc. Common Shares KILLEEN, AIMIE MARIE 5 19/03/2015 00 1,250
DIRTT Environmental Solutions Ltd.
Common Shares Fairholm, Lawrence David 4 24/08/2015 51 2.5 40,000 20,000
DIRTT Environmental Solutions Ltd.
Common Shares Fairholm, Lawrence David 4 24/08/2015 10 4.83 20,000 -20,000
DIRTT Environmental Solutions Ltd.
Options Fairholm, Lawrence David 4 24/08/2015 51 2.5 75,000 -20,000
DIRTT Environmental Solutions Ltd.
Common Shares Jenkins, Scott Ronald 4, 5 21/11/2013 00
DIRTT Environmental Solutions Ltd.
Common Shares Jenkins, Scott Ronald 4, 5 25/08/2015 10 5.03 1,100 1,100
DIRTT Environmental Solutions Ltd.
Common Shares Jenkins, Scott Ronald 4, 5 26/08/2015 10 5.05 4,600 3,500
DMD Digital Health Connections Group Inc. (Formely Aptilon Corporation)
Common Shares Charron, André 7, 5 21/08/2015 10 0.2 1,646,766 10,000
DMD Digital Health Connections Group Inc. (Formely Aptilon Corporation)
Common Shares Charron, André 7, 5 21/08/2015 10 0.21 1,661,766 15,000
DMD Digital Health Connections Group Inc. (Formely Aptilon Corporation)
Common Shares Korman, Roger 4, 7, 5 21/08/2015 10 0.2058 12,798,000 24,000
Dream Hard Asset Alternatives Trust
Units Dream Hard Asset Alternatives Trust
1 24/08/2015 38 6.1309 7,500 7,500
Dream Hard Asset Alternatives Trust
Units Dream Hard Asset Alternatives Trust
1 24/08/2015 38 0 -7,500
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7599
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Dream Hard Asset Alternatives Trust
Units Dream Hard Asset Alternatives Trust
1 25/08/2015 38 6.0825 5,500 5,500
Dream Hard Asset Alternatives Trust
Units Dream Hard Asset Alternatives Trust
1 25/08/2015 38 0 -5,500
Dream Hard Asset Alternatives Trust
Units Dream Hard Asset Alternatives Trust
1 26/08/2015 38 6.0533 4,000 4,000
Dream Hard Asset Alternatives Trust
Units Dream Hard Asset Alternatives Trust
1 26/08/2015 38 0 -4,000
Dream Hard Asset Alternatives Trust
Units Dream Hard Asset Alternatives Trust
1 27/08/2015 38 6.0916 7,500 7,500
Dream Hard Asset Alternatives Trust
Units Dream Hard Asset Alternatives Trust
1 27/08/2015 38 0 -7,500
Dream Hard Asset Alternatives Trust
Units Dream Hard Asset Alternatives Trust
1 28/08/2015 38 6.0614 5,900 5,900
Dream Hard Asset Alternatives Trust
Units Dream Hard Asset Alternatives Trust
1 28/08/2015 38 0 -5,900
Dream Office Real Estate Investment Trust
Trust Units Series A Dream Office Real Estate Investment Trust
1 24/08/2015 38 20.85 64,000 64,000
Dream Office Real Estate Investment Trust
Trust Units Series A Dream Office Real Estate Investment Trust
1 24/08/2015 38 0 -64,000
Dream Office Real Estate Investment Trust
Trust Units Series A Dream Office Real Estate Investment Trust
1 25/08/2015 38 21.16 24,600 24,600
Dream Office Real Estate Investment Trust
Trust Units Series A Dream Office Real Estate Investment Trust
1 25/08/2015 38 0 -24,600
Dream Office Real Estate Investment Trust
Trust Units Series A Dream Office Real Estate Investment Trust
1 26/08/2015 38 21.09 25,000 25,000
Dream Office Real Estate Investment Trust
Trust Units Series A Dream Office Real Estate Investment Trust
1 26/08/2015 38 0 -25,000
Dream Office Real Estate Investment Trust
Trust Units Series A Dream Office Real Estate Investment Trust
1 27/08/2015 38 21.437 25,000 25,000
Dream Office Real Estate Investment Trust
Trust Units Series A Dream Office Real Estate Investment Trust
1 27/08/2015 38 0 -25,000
Dream Office Real Estate Investment Trust
Trust Units Series A Dream Office Real Estate Investment Trust
1 28/08/2015 38 21.334 24,100 24,100
Dream Office Real Estate Investment Trust
Trust Units Series A Dream Office Real Estate Investment Trust
1 28/08/2015 38 0 -24,100
DREAM Unlimited Corp. Subordinate Voting Shares Class A
Cooper, Michael 4, 7, 5 24/08/2015 10 8.02 70,000 10,000
DREAM Unlimited Corp. Subordinate Voting Shares Class A
DREAM Unlimited Corp. 1 24/08/2015 38 8.0881 9,500 9,500
DREAM Unlimited Corp. Subordinate Voting Shares Class A
DREAM Unlimited Corp. 1 24/08/2015 38 0 -9,500
DREAM Unlimited Corp. Subordinate Voting Shares Class A
DREAM Unlimited Corp. 1 25/08/2015 38 8.0369 5,900 5,900
DREAM Unlimited Corp. Subordinate Voting Shares Class A
DREAM Unlimited Corp. 1 25/08/2015 38 0 -5,900
DREAM Unlimited Corp. Subordinate Voting Shares Class A
DREAM Unlimited Corp. 1 26/08/2015 38 8.0975 9,600 9,600
DREAM Unlimited Corp. Subordinate Voting Shares Class A
DREAM Unlimited Corp. 1 26/08/2015 38 0 -9,600
DREAM Unlimited Corp. Subordinate Voting Shares Class A
DREAM Unlimited Corp. 1 27/08/2015 38 8.3387 9,300 9,300
DREAM Unlimited Corp. Subordinate Voting Shares Class A
DREAM Unlimited Corp. 1 27/08/2015 38 0 -9,300
DREAM Unlimited Corp. Subordinate Voting Shares Class A
DREAM Unlimited Corp. 1 28/08/2015 38 8.387 10,900 10,900
DREAM Unlimited Corp. Subordinate Voting Shares Class A
DREAM Unlimited Corp. 1 28/08/2015 38 0 -10,900
DualEx Energy International Inc.
Options HIDES, GARRY THOMAS 4, 5 23/08/2015 52 0.1 600,000 -500,000
DualEx Energy International Inc.
Options Hudson, Roy Harry 4 27/08/2015 52 250,000 -200,000
DualEx Energy International Inc.
Options Morozoff, Lorne Andrew 5 27/08/2015 52 0.1 450,000 -400,000
DualEx Energy International Inc.
Options Tompson, Kenneth, M 4, 5 25/08/2015 52 600,000 -500,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7600
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
dynaCERT Inc. (formerly Dynamic Fuel Systems Inc.)
Common Shares Payne, Murray Ernest James
4 25/08/2015 10 0.06 3,621,000 30,000
East Coast Investment Grade Income Fund
Units Arrow Capital Management Inc.
7 24/08/2015 10 9.67 4,200 1,500
Eastmain Resources Inc. Common Shares Robinson, Donald, James 4, 5 21/08/2015 10 0.365 2,692,125 5,000
Eastmain Resources Inc. Common Shares Robinson, Donald, James 4, 5 25/08/2015 10 0.35 2,697,125 5,000
easyhome Ltd. Common Shares easyhome Ltd. 1 18/08/2015 38 17.09 5,600 5,600
easyhome Ltd. Common Shares easyhome Ltd. 1 19/08/2015 38 16.99 13,400 7,800
easyhome Ltd. Common Shares easyhome Ltd. 1 20/08/2015 38 16.4 20,000 6,600
easyhome Ltd. Common Shares easyhome Ltd. 1 21/08/2015 38 16.1 29,200 9,200
Economic Investment Trust Limited
Common Shares Canadian & Foreign Securities Co. Limited
3 24/08/2015 10 103.17 684,413 7,200
Economic Investment Trust Limited
Common Shares Canadian & Foreign Securities Co. Limited
3 25/08/2015 10 100 684,813 400
Edgefront Real Estate Investment Trust
Trust Units Hanczyk, Kelly Clark 4, 5 27/08/2015 10 1.65 392,340 3,000
Eldorado Gold Corporation Options Williams, Shane James 5 26/08/2015 50 3.95 179,070 50,000
Encana Corporation Common Shares Alexander, Joanne Linette 5 27/08/2015 10 8.85 18,000 8,000
Encana Corporation Common Shares Hill, David Glen 5 26/08/2015 10 6.01 8,994 5,505
Encana Corporation Common Shares Mayson, Howard John 4 02/06/2014 00
Encana Corporation Common Shares Mayson, Howard John 4 26/08/2015 10 5.98 5,000 5,000
Encana Corporation Common Shares Suttles, Douglas James 4, 5 26/08/2015 10 5.91 9,562 2,000
Encana Corporation Common Shares Suttles, Douglas James 4, 5 26/08/2015 10 5.98 10,562 1,000
Encana Corporation Common Shares Suttles, Douglas James 4, 5 28/08/2015 10 7.04 13,562 3,000
Encana Corporation Common Shares Waterman, Bruce G. 4 26/08/2015 10 7.9 67,000 25,000
Encana Corporation Common Shares Waterman, Bruce G. 4 26/08/2015 10 8 92,000 25,000
Encana Corporation Common Shares Waterman, Bruce G. 4 27/08/2015 10 8.75 92,500 500
Encana Corporation Common Shares Waterman, Bruce G. 4 27/08/2015 10 8.76 100,000 7,500
Encana Corporation Common Shares Williams, Michael 5 27/08/2015 10 9.22 5,729 5,000
Encana Corporation Common Shares Woitas, Clayton 4, 5 01/01/2008 00
Encana Corporation Common Shares Woitas, Clayton 4, 5 27/08/2015 10 8.61 7,500 7,500
Encana Corporation Common Shares Woitas, Clayton 4, 5 01/01/2008 00
Encana Corporation Common Shares Woitas, Clayton 4, 5 27/08/2015 10 8.61 7,500 7,500
Endeavour Silver Corp. Common Shares Cooke, Bradford 4, 5 21/08/2015 10 2.4 1,072,831 -30,000
Endeavour Silver Corp. Common Shares Cooke, Bradford 4, 5 25/08/2015 10 1.93 1,082,831 10,000
Enerdynamic Hybrid Technologies Corp.
Warrants Gamble, John 5 24/08/2015 54 0.5 0 -62,500
Enerdynamic Hybrid Technologies Corp.
Common Shares OSM Solarform Corp, 3 24/08/2015 54 0.5 6,914,102 62,500
Energy Leaders Plus Income Fund
Units Energy Leaders Plus Income Fund
1 21/08/2015 38 10,000 10,000
Energy Leaders Plus Income Fund
Units Energy Leaders Plus Income Fund
1 21/08/2015 38 0 -10,000
Enerplus Corporation Common Shares Hoffman, John Edward 5 13/04/2015 00
Enerplus Corporation Common Shares Hoffman, John Edward 5 21/08/2015 30 7.2398 2,620 2,620
Enterprise Group, Inc. Common Shares JAROSZUK, LEONARD 4, 5 25/08/2015 10 0.26 1,861,856 55,000
Enterprise Group, Inc. Common Shares JAROSZUK, LEONARD 4, 5 25/08/2015 10 0.27 1,891,856 30,000
Enterprise Group, Inc. Common Shares JAROSZUK, LEONARD 4, 5 26/08/2015 10 0.25 1,921,856 30,000
Enterprise Group, Inc. Common Shares JAROSZUK, LEONARD 4, 5 27/08/2015 10 0.29 1,931,856 10,000
ENTREC Corporation Convertible Debentures 7.00% Conv. Unsecured Suboridnated Deb. due Oct. 31, 2017
Marlin, Rodney Frank 4 24/08/2015 10 60 $50,000 $32,000
ENTREC Corporation Convertible Debentures 7.00% Conv. Unsecured Suboridnated Deb. due Oct. 31, 2017
Marlin, Rodney Frank 4 27/11/2014 10 80 $100,000
ENTREC Corporation Convertible Debentures 7.00% Conv. Unsecured Suboridnated Deb. due Oct. 31, 2017
Marlin, Rodney Frank 4 27/11/2014 10 100 $80,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7601
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
ENTREC Corporation Convertible Debentures 7.00% Conv. Unsecured Suboridnated Deb. due Oct. 31, 2017
Marlin, Rodney Frank 4 09/12/2009 00
ENTREC Corporation Convertible Debentures 7.00% Conv. Unsecured Suboridnated Deb. due Oct. 31, 2017
Marlin, Rodney Frank 4 27/11/2014 10 80 $100,000 $100,000
ENTREC Corporation Convertible Debentures 7.00% Conv. Unsecured Suboridnated Deb. due Oct. 31, 2017
Marlin, Rodney Frank 4 24/08/2015 10 60 $150,000 $50,000
Environmental Waste International Inc.
Options Martinsons, Valdis Andris 4 26/08/2015 38 0.37 1,000,000 -150,000
Environmental Waste International Inc.
Options Martinsons, Valdis Andris 4 26/08/2015 50 0.1 1,350,000 350,000
Epsilon Energy Ltd. Common Shares Bond, Bruce Lane 5 21/08/2015 10 2.0527 120,000 15,000
Epsilon Energy Ltd. Common Shares Epsilon Energy Ltd. 1 21/08/2015 38 2.6467 16,200 3,000
Epsilon Energy Ltd. Common Shares Epsilon Energy Ltd. 1 24/08/2015 38 2.5305 31,200 15,000
Equitable Group Inc. Common Shares Moor, Andrew 5 25/08/2015 51 20.6 87,456 5,000
Equitable Group Inc. Options Options granted Moor, Andrew 5 25/08/2015 51 20.6 274,026 -5,000
Equitorial Exploration Corp. Common Shares Power, Patrick Edward 4, 5 26/08/2015 10 0.12 1,007,000 -149,500
Equity Financial Holdings Inc. (formerly, Grey Horse Corporation)
Options Kipp, Bradley Robert 4 26/08/2015 51 7.81 5,200 -4,800
Equity Financial Holdings Inc. (formerly, Grey Horse Corporation)
Common Shares Ouellet, Martin 4 21/08/2015 10 8.1 20,000 2,600
Eskay Mining Corp Common Shares Balkam, Hugh McLellan 4 17/08/2015 10 0.124 2,876,500 70,000
Esrey Energy Ltd Common Shares Larkin, Paul Anthony 4 25/08/2015 10 0.075 330,100 2,000
Esrey Energy Ltd Common Shares Larkin, Paul Anthony 4 26/08/2015 10 0.075 344,100 14,000
Esrey Energy Ltd Common Shares Larkin, Paul Anthony 4 27/08/2015 10 0.075 346,100 2,000
Exeter Resource Corporation Options Roxburgh, Bryce 4, 5 21/08/2015 50 0.56 3,758,000 1,250,000
Exeter Resource Corporation Options Simpson, Yale Ronald 4 21/08/2015 50 0.56 2,297,500 685,000
Fairfax India Holdings Corporation
Subordinate Voting Shares
Kumar-Sinha, Punita 4 24/08/2015 00
Falcon Oil & Gas Ltd. Common Shares Sweetpea Petroleum Pty Ltd
3 09/09/2014 16 0.146 97,260,000 -600,000
Falcon Oil & Gas Ltd. Common Shares Sweetpea Petroleum Pty Ltd
3 30/10/2014 16 0.115 96,360,000 -900,000
Falcon Oil & Gas Ltd. Common Shares Sweetpea Petroleum Pty Ltd
3 30/06/2015 16 0.106 -1,316,330
Falcon Oil & Gas Ltd. Common Shares Sweetpea Petroleum Pty Ltd
3 30/06/2015 16 0.106 95,043,670 -1,316,330
Falcon Oil & Gas Ltd. Common Shares Sweetpea Petroleum Pty Ltd
3 25/08/2015 16 0.135 95,008,670 -35,000
Falcon Oil & Gas Ltd. Common Shares Sweetpea Petroleum Pty Ltd
3 26/08/2015 16 94,983,670 -25,000
Falcon Oil & Gas Ltd. Common Shares Sweetpea Petroleum Pty Ltd
3 27/08/2015 16 94,883,670 -100,000
Fiera Capital Corporation (formerly Fiera Sceptre Inc.)
Special Shares Class B Voting
FIERA CAPITAL S.E.C. 3 28/08/2015 36 13.227 19,934,896 -9,080
Fiera Capital Corporation (formerly Fiera Sceptre Inc.)
Subordinate Voting Shares Class A
FIERA CAPITAL S.E.C. 3 28/08/2015 11 13.227 123,507 -12,675
First National Financial Corporation
Preferred Shares FN.PR.A Tawse, Moray 5 21/08/2015 10 11.75 63,900 18,300
First National Mortgage Investment Fund
Units Tawse, Moray 4 17/08/2015 10 8.35 12,200 2,200
First National Mortgage Investment Fund
Units Tawse, Moray 4 18/08/2015 10 8.3965 18,800 6,600
First National Mortgage Investment Fund
Units Tawse, Moray 4 18/08/2015 10 8.3828 23,000 4,200
First National Mortgage Investment Fund
Units Tawse, Moray 4 18/08/2015 10 8.35 23,100 100
First National Mortgage Investment Fund
Units Tawse, Moray 4 19/08/2015 10 8.3753 30,000 6,900
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7602
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
First National Mortgage Investment Fund
Units Tawse, Moray 4 19/08/2015 10 8.4 33,500 3,500
First National Mortgage Investment Fund
Units Tawse, Moray 4 20/08/2015 10 8.35 56,100 22,600
First Nickel Inc. Common Shares West Face Capital Inc. 3 26/08/2015 47 116,542,336 -116,542,336
First Nickel Inc. Warrants West Face Capital Inc. 3 25/08/2015 47 0 -194,000,000
Franco-Nevada Corporation Options Farrow, Catharine Elizabeth Goddard
4 06/05/2015 00
Franco-Nevada Corporation Options Farrow, Catharine Elizabeth Goddard
4 20/08/2015 50 65,000 65,000
Fundamental Applications Corp.
Common Shares Whitehead, Richard, Stephen
4, 5 27/08/2015 00 45,000
Fundamental Applications Corp.
Options Whitehead, Richard, Stephen
4, 5 27/08/2015 00 700,000
Fundamental Applications Corp.
Warrants Whitehead, Richard, Stephen
4, 5 27/08/2015 00 45,000
Gaming Nation Inc. Common Shares Burke, Patrick 4 24/08/2015 10 1 310,000 100,000
Gaming Nation Inc. Common Shares Crowe, Rick 4 25/08/2015 10 0.85 136,200 30,000
GeneNews Limited Options MacRae, Garth A. C. 4 08/07/2015 52 320,833 -8,334
Genesis Land Development Corp.
Common Shares Miller, III, Lloyd I. 3 21/08/2015 10 2.278 2,363,400 43,600
Genesis Land Development Corp.
Common Shares Mitchell, Garfield Robert 3 24/08/2015 11 3 15,111,535 3,311,600
Genesis Land Development Corp.
Common Shares Muhammad, Rauf 5 20/10/2014 00
Genesis Land Development Corp.
Common Shares Muhammad, Rauf 5 27/08/2015 10 2.97 150 150
Genesis Land Development Corp.
Common Shares Rudichuk, Bruce Edward 5 25/08/2015 10 3 70,400 10,000
Genesis Land Development Corp.
Common Shares Scott, Mark Steven Charles 5 25/08/2015 10 3 28,300 3,400
Genius Properties Ltd. Common Shares 9248-7792 Québec Inc. 3 27/08/2015 10 0.03 6,809,533 -125,000
Genius Properties Ltd. Common Shares 9248-7792 Québec Inc. 3 27/08/2015 10 0.035 6,659,533 -150,000
Genius Properties Ltd. Common Shares Leblanc, Stéphane 3, 4, 5 27/08/2015 10 0.03 6,809,533 -125,000
Genius Properties Ltd. Common Shares Leblanc, Stéphane 3, 4, 5 27/08/2015 10 0.035 6,659,533 -150,000
Gensource Potash Corporation
Common Shares Ferguson, Michael John 4, 5 25/08/2015 10 0.07 3,960,224 55,000
Gensource Potash Corporation
Common Shares Ferguson, Michael John 4, 5 28/08/2015 10 0.06 4,015,224 55,000
Gensource Potash Corporation
Common Shares Theoret, T. Robert 5 24/08/2015 10 0.06 1,550,000 50,000
Genworth MI Canada Inc. Common Shares Kelly, Brian Michael 4, 7 21/08/2015 10 28.83 735 75
Genworth MI Canada Inc. Common Shares Kelly, Brian Michael 4, 7 21/08/2015 10 28.96 910 175
Genworth MI Canada Inc. Common Shares Kelly, Brian Michael 4, 7 21/08/2015 10 28.96 1,220 175
Genworth MI Canada Inc. Common Shares Kelly, Brian Michael 4, 7 21/08/2015 10 28.83 1,295 75
Genworth MI Canada Inc. Common Shares Levings, Stuart Kendrick 4 20/08/2015 10 28.96 3,746 750
Geologix Explorations Inc. Options Abbott, Evelyn Elizabeth 5 24/08/2015 38 0.38 1,350,000 -200,000
Geologix Explorations Inc. Options Abbott, Evelyn Elizabeth 5 24/08/2015 38 0.59 1,200,000 -150,000
Geologix Explorations Inc. Options Candiani, Mauricio Enrique 4 24/08/2015 38 0.38 1,325,000 -175,000
Geologix Explorations Inc. Options Candiani, Mauricio Enrique 4 24/08/2015 38 0.59 1,225,000 -100,000
Geologix Explorations Inc. Options Craig, Dunham Lewis 4, 5 24/08/2015 38 0.38 2,900,000 -500,000
Geologix Explorations Inc. Options Craig, Dunham Lewis 4, 5 24/08/2015 38 0.59 2,500,000 -400,000
Geologix Explorations Inc. Options Smallwood, Randy 4 24/08/2015 38 0.38 825,000 -175,000
Geologix Explorations Inc. Options Smallwood, Randy 4 24/08/2015 38 0.59 725,000 -100,000
Geologix Explorations Inc. Options Thody, Graham Campbell 4 24/08/2015 38 0.38 1,375,000 -225,000
Geologix Explorations Inc. Options Thody, Graham Campbell 4 24/08/2015 38 0.59 1,225,000 -150,000
GeoNovus Media Corp. Common Shares Marlowe, Timothy 4 18/06/2015 00 1,700,000
GeoNovus Media Corp. Options Wowk, Joseph 4 25/08/2015 50 0.05 300,000 100,000
Gitennes Exploration Inc. Common Shares booth, kenneth david 4, 5 25/08/2015 10 0.005 3,027,000 101,000
Glacier Media Inc. Common Shares Madison Venture Corporation
3 24/08/2015 10 0.77 7,088,012 10,000
Glacier Media Inc. Common Shares Madison Venture Corporation
3 26/08/2015 10 0.79 7,128,012 40,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7603
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
GLG LIFE TECH CORPORATION
Common Shares Meadows, Brian 5 24/08/2015 10 0.35 157,684 -80,000
Global Dividend Growers Income Fund
Trust Units Global Dividend Growers Income Fund
1 21/08/2015 38 11.991 1,614,126 1,700
Global Dividend Growers Income Fund
Trust Units Global Dividend Growers Income Fund
1 21/08/2015 10 12.25 1,610,426 -3,700
Global Dividend Growers Income Fund
Trust Units Global Dividend Growers Income Fund
1 24/08/2015 38 11.6 1,611,826 1,400
Global Dividend Growers Income Fund
Trust Units Global Dividend Growers Income Fund
1 25/08/2015 38 11.8 1,612,326 500
Global Healthcare Dividend Fund
Trust Units Global Healthcare Dividend Fund
1 21/08/2015 38 11.1 420,500 1,700
Global Healthcare Dividend Fund
Trust Units Global Healthcare Dividend Fund
1 24/08/2015 38 10.656 422,000 1,500
Global Healthcare Dividend Fund
Trust Units Global Healthcare Dividend Fund
1 25/08/2015 38 10.867 424,500 2,500
Global Healthcare Dividend Fund
Trust Units Global Healthcare Dividend Fund
1 26/08/2015 38 10.776 428,700 4,200
Global Infrastructure Dividend Fund
Trust Units Global Infrastructure Dividend Fund
1 21/08/2015 38 8.8536 771,900 2,800
Global Infrastructure Dividend Fund
Trust Units Global Infrastructure Dividend Fund
1 21/08/2015 38 9.45 2,208,900 1,437,000
Global Infrastructure Dividend Fund
Trust Units Global Infrastructure Dividend Fund
1 24/08/2015 38 8.5 2,209,100 200
Global Infrastructure Dividend Fund
Trust Units Global Infrastructure Dividend Fund
1 24/08/2015 38 8.4869 2,212,300 3,200
Global Infrastructure Dividend Fund
Trust Units Global Infrastructure Dividend Fund
1 26/08/2015 38 8.5583 2,213,500 1,200
Global Infrastructure Dividend Fund
Trust Units Global Infrastructure Dividend Fund
1 27/08/2015 38 8.92 2,214,700 1,200
Global Real Estate Dividend Growers Corp.
Common Shares Equity Shares
Global Real Estate Dividend Growers Corp.
1 25/08/2015 00
Global Real Estate Dividend Growers Corp.
Common Shares Equity Shares
Global Real Estate Dividend Growers Corp.
1 25/08/2015 38 9.5709 4,300 4,300
Global Real Estate Dividend Growers Corp.
Common Shares Equity Shares
Global Real Estate Dividend Growers Corp.
1 26/08/2015 38 9.4032 10,500 6,200
Global Real Estate Dividend Growers Corp.
Common Shares Equity Shares
Global Real Estate Dividend Growers Corp.
1 27/08/2015 38 9.3462 14,400 3,900
Global Remote Technologies Ltd.
Common Shares Dorris, Chris 4, 5 26/08/2015 11 0.205 5,100,000 -900,000
Global Remote Technologies Ltd.
Common Shares Prospector Technologies Inc.
4, 5 26/08/2015 11 0.205 5,100,000 -900,000
GoGold Resources Inc. common share options Waye, George Frederick 4 20/08/2015 51 0.3 -150,000
GoGold Resources Inc. common share options Waye, George Frederick 4 24/08/2015 51 0.3 -150,000
GoGold Resources Inc. common share options Waye, George Frederick 4 27/08/2015 51 0.3 50,000 -150,000
GoGold Resources Inc. Common Shares Waye, George Frederick 4 20/08/2015 51 0.3 150,000
GoGold Resources Inc. Common Shares Waye, George Frederick 4 24/08/2015 51 0.3 150,000
GoGold Resources Inc. Common Shares Waye, George Frederick 4 27/08/2015 51 0.3 366,200 150,000
Golden Reign Resources Ltd.
Common Shares Lipson, Rael Desmond 4 16/04/2015 10 0.085 85,294 50,000
Golden Reign Resources Ltd.
Common Shares Lipson, Rael Desmond 4 29/04/2015 10 0.085 42,294 -43,000
Golden Reign Resources Ltd.
Common Shares Lipson, Rael Desmond 4 07/05/2015 10 0.085 115,294 73,000
Gran Colombia Gold Corp. Warrants Arata, Jose Francisco 6 24/08/2015 55 65 0 -2,050
Gran Colombia Gold Corp. Warrants Araujo, Maria Consuelo 5 24/08/2015 55 65 0 -375
Gran Colombia Gold Corp. Warrants Davies, Michael Monier 5 24/08/2015 55 65 1,250 -1,604
Gran Colombia Gold Corp. Warrants De La Campa, Miguel Angel 4, 6, 5 24/08/2015 55 65 0 -5,355
Gran Colombia Gold Corp. Warrants De La Campa, Miguel Angel 4, 6, 5 24/08/2015 55 65 0 -2,652
Gran Colombia Gold Corp. Warrants De La Campa, Miguel Angel 4, 6, 5 24/08/2015 55 65 0 -16,000
Gran Colombia Gold Corp. Warrants Iacono, Serafino 4, 6, 5 24/08/2015 55 65 0 -17,365
Gran Colombia Gold Corp. Warrants Martinez, Hernan 4 24/08/2015 55 65 0 -6,000
Gran Colombia Gold Corp. Warrants Metcalfe, Robert 4 24/08/2015 55 65 0 -326
Gran Colombia Gold Corp. Warrants Perez, Jaime 4, 6 24/08/2015 55 65 1,500 -1,804
Gran Colombia Gold Corp. Warrants Volk, Peter Joseph 5 24/08/2015 55 65 9,745 -1,981
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7604
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Gran Colombia Gold Corp. Warrants Von Siegmund, Laureano 6 24/08/2015 55 65 1,000 -1,641
Gran Tierra Energy Inc. Common Shares Nightingale, Duncan 5 24/08/2015 10 2.55 21,600 11,600
Guardian Capital Group Limited
Non-Voting Shares Class A
Turner, Matthew Dean 5 24/08/2015 10 16.35 3,300 100
Guardian Capital Group Limited
Non-Voting Shares Class A
Turner, Matthew Dean 5 24/08/2015 10 16.45 3,700 400
Guardian Capital Group Limited
Non-Voting Shares Class A
Turner, Matthew Dean 5 24/08/2015 10 16.34 3,800 100
Guardian Capital Group Limited
Non-Voting Shares Class A
Turner, Matthew Dean 5 24/08/2015 10 16.29 4,100 300
Guyana Goldfields Inc. Common Shares Caldwell, Scott Andrew 4 25/08/2015 10 2.84 197,300 5,000
Guyana Goldfields Inc. Common Shares Caldwell, Scott Andrew 4 26/08/2015 10 3.65 202,300 5,000
Guyana Goldfields Inc. Common Shares Caldwell, Scott Andrew 4 28/08/2015 10 4.04 207,300 5,000
Guyana Goldfields Inc. Common Shares Murphy, Paul 5 26/08/2015 10 3.53 9,125 5,000
Guyana Goldfields Inc. Common Shares Sheridan, Patrick John 4 25/08/2015 51 3.22 5,123,234 50,000
Guyana Goldfields Inc. Common Shares Sheridan, Patrick John 4 25/08/2015 10 4.2 5,073,234 -50,000
Guyana Goldfields Inc. Options Sheridan, Patrick John 4 25/08/2015 51 3.22 1,729,100 -50,000
GWR Global Water Resources Corp.
Common Shares Tedesco, David Tedesco 7 20/08/2015 10 5.803 177,500 -1,200
GWR Global Water Resources Corp.
Common Shares Tedesco, David Tedesco 7 26/08/2015 10 5.237 176,100 -1,400
GWR Global Water Resources Corp.
Common Shares Tedesco, David Tedesco 7 26/08/2015 10 5.23 176,000 -100
GWR Global Water Resources Corp.
Common Shares Tedesco, David Tedesco 7 26/08/2015 10 5.2476 175,900 -100
GWR Global Water Resources Corp.
Common Shares Tedesco, David Tedesco 7 26/08/2015 10 5.248 171,000 -4,900
GWR Global Water Resources Corp.
Common Shares Tedesco, David Tedesco 7 26/08/2015 10 5.246 166,100 -4,900
GWR Global Water Resources Corp.
Common Shares Tedesco, David Tedesco 7 26/08/2015 10 5.242 166,000 -100
GWR Global Water Resources Corp.
Common Shares Tedesco, David Tedesco 7 26/08/2015 10 5.2382 161,200 -4,800
GWR Global Water Resources Corp.
Common Shares Tedesco, David Tedesco 7 26/08/2015 10 5.2457 161,000 -200
GWR Global Water Resources Corp.
Common Shares Tedesco, David Tedesco 7 26/08/2015 10 5.2493 159,700 -1,300
GWR Global Water Resources Corp.
Common Shares Tedesco, David Tedesco 7 26/08/2015 10 5.241 158,500 -1,200
GWR Global Water Resources Corp.
Common Shares Tedesco, David Tedesco 7 26/08/2015 10 5.244 157,400 -1,100
GWR Global Water Resources Corp.
Common Shares Tedesco, David Tedesco 7 26/08/2015 10 5.23 155,500 -1,900
GWR Global Water Resources Corp.
Common Shares Tedesco, David Tedesco 7 26/08/2015 10 5.246 153,500 -2,000
GWR Global Water Resources Corp.
Common Shares Tedesco, David Tedesco 7 26/08/2015 10 5.2663 153,100 -400
GWR Global Water Resources Corp.
Common Shares Tedesco, David Tedesco 7 26/08/2015 10 5.2513 151,900 -1,200
GWR Global Water Resources Corp.
Common Shares Tedesco, David Tedesco 7 26/08/2015 10 5.2738 151,500 -400
GWR Global Water Resources Corp.
Common Shares Tedesco, David Tedesco 7 26/08/2015 10 5.2903 151,400 -100
GWR Global Water Resources Corp.
Common Shares Tedesco, David Tedesco 7 26/08/2015 10 5.286 149,500 -1,900
H&R Real Estate Investment Trust
Units Rutman, Ronald C. 4 21/08/2015 10 21.2 1,094,440 3,400
H&R Real Estate Investment Trust
Units Rutman, Ronald C. 4 21/08/2015 10 21.22 1,104,440 10,000
H&R Real Estate Investment Trust
Units Rutman, Ronald C. 4 21/08/2015 10 21.22 1,107,340 2,900
H&R Real Estate Investment Trust
Units Rutman, Ronald C. 4 21/08/2015 10 21.26 1,111,040 3,700
Halogen Software Inc. Performance Share Units Brûlé, Marc Germain 5 13/05/2013 00
Halogen Software Inc. Performance Share Units Brûlé, Marc Germain 5 18/08/2015 56 2,000 2,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7605
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Halogen Software Inc. Performance Share Units Harrison, Marc Albert 5 29/11/2014 00
Halogen Software Inc. Performance Share Units Harrison, Marc Albert 5 18/08/2015 56 1,000 1,000
Halogen Software Inc. Performance Share Units Jones, Dominique Claude 5 13/05/2013 00
Halogen Software Inc. Performance Share Units Jones, Dominique Claude 5 18/08/2015 56 2,000 2,000
Halogen Software Inc. Performance Share Units Low, Peter John 5 18/08/2015 56 4,000 4,000
Halogen Software Inc. Performance Share Units MacKay, Dawn Marie 5 13/05/2013 00
Halogen Software Inc. Performance Share Units MacKay, Dawn Marie 5 18/08/2015 56 2,000 2,000
Halogen Software Inc. Restricted Share Units RECHAN, LESLIE 4, 5 18/08/2015 56 45,000 45,000
Halogen Software Inc. Performance Share Units Ronayne, Donna Lynn 5 13/05/2013 00
Halogen Software Inc. Performance Share Units Ronayne, Donna Lynn 5 18/08/2015 56 2,000 2,000
Halogen Software Inc. Performance Share Units Stewart, Michael Gill 5 17/03/2014 00
Halogen Software Inc. Performance Share Units Stewart, Michael Gill 5 18/08/2015 56 2,000 2,000
Halogen Software Inc. Performance Share Units WILLIAMS, KAREN ANN 5 05/01/2015 00
Halogen Software Inc. Performance Share Units WILLIAMS, KAREN ANN 5 18/08/2015 56 1,000 1,000
Healthcare Leaders Income Fund
Units Healthcare Leaders Income Fund
1 21/08/2015 38 5,000 5,000
Healthcare Leaders Income Fund
Units Healthcare Leaders Income Fund
1 21/08/2015 38 0 -5,000
Healthcare Leaders Income Fund
Units Healthcare Leaders Income Fund
1 25/08/2015 38 20,000 20,000
Healthcare Leaders Income Fund
Units Healthcare Leaders Income Fund
1 25/08/2015 38 0 -20,000
Hemisphere Energy Corporation
Common Shares SIMMONS, DON 5 25/08/2015 10 0.16 1,256,000 10,000
Hemisphere Energy Corporation
Common Shares SIMMONS, DON 5 25/08/2015 10 0.16 1,261,000 5,000
High Arctic Energy Services Inc.
Common Shares High Arctic Energy Services Inc., High Arctic Energy Services Inc.
1 11/08/2015 38 3.6852 43,200 6,200
High Arctic Energy Services Inc.
Common Shares High Arctic Energy Services Inc., High Arctic Energy Services Inc.
1 12/08/2015 38 3.7095 58,700 15,500
High Arctic Energy Services Inc.
Common Shares High Arctic Energy Services Inc., High Arctic Energy Services Inc.
1 13/08/2015 38 3.75 58,900 200
High Arctic Energy Services Inc.
Common Shares High Arctic Energy Services Inc., High Arctic Energy Services Inc.
1 14/08/2015 38 3.75 65,500 6,600
High Arctic Energy Services Inc.
Common Shares High Arctic Energy Services Inc., High Arctic Energy Services Inc.
1 14/08/2015 38 28,500 -37,000
High Arctic Energy Services Inc.
Common Shares High Arctic Energy Services Inc., High Arctic Energy Services Inc.
1 17/08/2015 38 3.7361 44,000 15,500
High Arctic Energy Services Inc.
Common Shares High Arctic Energy Services Inc., High Arctic Energy Services Inc.
1 18/08/2015 38 3.7382 64,500 20,500
High Arctic Energy Services Inc.
Common Shares High Arctic Energy Services Inc., High Arctic Energy Services Inc.
1 21/08/2015 38 0 -64,500
High Liner Foods Incorporated
Common Shares Hennigar, Andrew 4 21/08/2015 10 17.962 2,500 2,500
High Liner Foods Incorporated
Common Shares High Liner Foods Incorporated
1 26/08/2015 38 16.961 5,800 5,800
High Liner Foods Incorporated
Common Shares High Liner Foods Incorporated
1 26/08/2015 38 16.961 0 -5,800
High Liner Foods Incorporated
Common Shares Jamieson, Shelly L. 4 26/08/2015 10 17 4,061 300
Hudson Resources Inc. Options Cambon, James Kenneth 5 29/04/2015 52 0.8 1,800,000 -750,000
Hudson Resources Inc. Options Tuer, James Robert 4, 5 29/04/2015 52 0.8 1,850,000 -1,000,000
HUMBOLDT CAPITAL CORPORATION
Common Shares Humboldt Capital Corporation
1 28/08/2015 10 0.64 6,500 6,500
HUMBOLDT CAPITAL CORPORATION
Common Shares Humboldt Capital Corporation
1 28/08/2015 38 0.64 0 -6,500
HUMBOLDT CAPITAL CORPORATION
Common Shares Lamond, Robert William 3, 4, 5 28/08/2015 10 0.63 6,537,132 8,500
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7606
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Hyduke Energy Services Inc. Options Pinsent, John Harld Charles 4 25/08/2015 52 0.53 80,000 -20,000
IAMGOLD Corporation Common Shares Hall, Richard James 4 26/08/2015 10 1.54 50,225 10,000
IBC Advanced Alloys Corp. Options Anderson, Simon 5 25/08/2015 50 1,027,500 175,000
IBC Advanced Alloys Corp. Options Dutton, Anthony John Guy 4, 5 25/08/2015 50 1,032,500 180,000
IMAX Corporation Common Shares IMAX Corporation 1 19/08/2015 38 159,358 75,000
IMAX Corporation Common Shares IMAX Corporation 1 19/08/2015 38 84,358 -75,000
IMAX Corporation Common Shares IMAX Corporation 1 20/08/2015 38 267,958 183,600
IMAX Corporation Common Shares IMAX Corporation 1 20/08/2015 38 84,358 -183,600
IMAX Corporation Common Shares IMAX Corporation 1 21/08/2015 38 133,950 49,592
IMAX Corporation Common Shares IMAX Corporation 1 21/08/2015 38 84,358 -49,592
Immunovaccine Inc. Common Shares SCARDINO, ALBERT JAMES
4 17/08/2015 10 1.01 4,031,305 2,000
Immunovaccine Inc. Common Shares SCARDINO, ALBERT JAMES
4 18/08/2015 10 1 4,036,305 5,000
Imperial Metals Corporation Common Shares Deepwell, Andre Henry 5 20/08/2015 10 8 2,550
Imperial Metals Corporation Common Shares Deepwell, Andre Henry 5 21/08/2015 10 8 267,861 2,550
Imperial Metals Corporation Common Shares Edwards, Norman Murray 3 21/08/2015 10 8 11,557,302 1,981,919
Imperial Metals Corporation Convertible Debentures Issued Aug.24, 2015
Edwards, Norman Murray 3 21/02/2003 00
Imperial Metals Corporation Convertible Debentures Issued Aug.24, 2015
Edwards, Norman Murray 3 24/08/2015 11 12 $16,200,000 $16,200,000
Imperial Metals Corporation Common Shares Keevil, Gordon 5 20/08/2015 16 8 170
Imperial Metals Corporation Common Shares Keevil, Gordon 5 20/08/2015 10 8 2,903 170
Imperial Metals Corporation Common Shares KYNOCH, J. BRIAN 4, 5 21/08/2015 10 8 1,052,505 18,239
Imperial Metals Corporation Common Shares Lebel, Pierre 4 21/08/2015 16 8 3,000
Imperial Metals Corporation Common Shares Lebel, Pierre 4 21/08/2015 10 8 170,724 3,000
Imperial Metals Corporation Common Shares Moeller, Larry G. 4 21/08/2015 10 8 2,137,894 145,138
Imperial Metals Corporation Common Shares Moeller, Larry G. 4 26/02/2003 00
Imperial Metals Corporation Common Shares Moeller, Larry G. 4 21/08/2015 10 8 1,780 1,780
Imperial Metals Corporation Common Shares Moeller, Larry G. 4 21/08/2015 10 8 539,115 36,599
Imperial Metals Corporation Convertible Debentures Issued Aug.24, 2015
Moeller, Larry G. 4 26/02/2003 00
Imperial Metals Corporation Convertible Debentures Issued Aug.24, 2015
Moeller, Larry G. 4 24/08/2015 11 12 $1,000,000 $1,000,000
Imperial Metals Corporation Common Shares Paré, Laurie Maurice 4 21/08/2015 10 8 21,459 1,456
Imperial Metals Corporation Common Shares Paré, Laurie Maurice 4 27/08/2015 10 8 23,459 2,000
Imperial Metals Corporation Convertible Debentures Issued Aug.24, 2015
Paré, Laurie Maurice 4 29/05/2013 00
Imperial Metals Corporation Convertible Debentures Issued Aug.24, 2015
Paré, Laurie Maurice 4 24/08/2015 11 12 $200,000 $200,000
Imperial Metals Corporation Common Shares Robertson, Stephen Blake 5 21/08/2015 10 8 25,055 1,714
Imperial Metals Corporation Convertible Debentures Issued Aug.24, 2015
YURKOWSKI, EDWARD ALFRED
4 11/08/2005 00
Imperial Metals Corporation Convertible Debentures Issued Aug.24, 2015
YURKOWSKI, EDWARD ALFRED
4 24/08/2015 16 $200,000 $200,000
Inca One Gold Corp. Common Shares Bui, Van Phu 4 25/08/2015 16 0.15 111,000 35,000
Inca One Gold Corp. Common Shares Kelly, Edward John 4 25/08/2015 16 0.15 1,836,777 1,145,000
Inca One Gold Corp. Common Shares Kelly, Edward John 4 25/08/2015 16 0.15 2,161,777 325,000
Inca One Gold Corp. Common Shares Moen, George Marius 4, 5 25/08/2015 16 0.15 2,713,460 59,500
Inca One Gold Corp. Common Shares Moen, George Marius 4, 5 25/08/2015 16 0.15 3,279,160 565,700
Inca One Gold Corp. Common Shares Moen, George Marius 4, 5 25/08/2015 10 0.145 51,000 -174,000
Inca One Gold Corp. Common Shares Moen, George Marius 4, 5 25/08/2015 16 0.15 225,000 174,000
Inca One Gold Corp. Common Shares Wright, Mark St. John 5 25/08/2015 16 0.15 221,200 105,700
Inca One Gold Corp. Common Shares Wright, Mark St. John 5 25/08/2015 16 0.15 320,000 98,800
Inca One Gold Corp. Common Shares Wright, Mark St. John 5 25/08/2015 16 0.15 457,500 137,500
Indexplus Income Fund Trust Units INDEXPLUS Income Fund 1 24/08/2015 38 10.29 34,325,665 300
Indexplus Income Fund Trust Units INDEXPLUS Income Fund 1 27/08/2015 38 10.8 34,326,165 500
Industrial Alliance Insurance and Financial Services inc.
Common Shares Laflamme, Renée 5 26/08/2015 10 40.3 632 300
Industrial Alliance Insurance and Financial Services inc.
Common Shares Laflamme, Renée 5 26/08/2015 10 40.65 1,177 545
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7607
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Industrial Alliance Insurance and Financial Services inc.
Common Shares Morin, Danielle G. 4 21/08/2015 10 41.5 3,418 200
Industrial Alliance Insurance and Financial Services inc.
Common Shares Morin, Danielle G. 4 21/08/2015 10 41.04 3,618 200
Industrial Alliance Insurance and Financial Services inc.
Common Shares Morin, Danielle G. 4 24/08/2015 10 39.71 3,818 200
Industrial Alliance Insurance and Financial Services inc.
Common Shares Morin, Danielle G. 4 24/08/2015 10 40.27 4,018 200
Industrial Alliance Insurance and Financial Services inc.
Common Shares Stickney, Michael Lee 5 21/08/2015 10 40.99 17,200 4,300
Industrial Alliance Insurance and Financial Services inc.
Common Shares Stickney, Michael Lee 5 24/08/2015 10 40.02 16,800 -400
INFOR Acquisition Corp. Class A Restricted Voting Shares
Gibson, Brian James 4 04/05/2015 00
INFOR Acquisition Corp. Class A Restricted Voting Shares
Gibson, Brian James 4 06/07/2015 36 17,500 17,500
INFOR Acquisition Corp. Class A Restricted Voting Units
Gibson, Brian James 4 06/07/2015 36 0 -17,500
INFOR Acquisition Corp. Warrants Gibson, Brian James 4 04/05/2015 00
INFOR Acquisition Corp. Warrants Gibson, Brian James 4 06/07/2015 36 8,750 8,750
Innergex Renewable Energy Inc.
Common Shares Perron, Jean 5 25/08/2015 10 10.1 120,330 5,000
InnVest Real Estate Investment Trust
Trust Units Mangalji, Majid 5 24/08/2015 10 4.89 1,525,740 119,100
Inovalis Real Estate Investment Trust
Units Paré, Raymond 4 24/08/2015 10 8.723 37,200 4,000
INTEGRATED ASSET MANAGEMENT CORP.
Common Shares Robertson, John 4, 7 20/08/2015 51 0.7 191,318 40,000
INTEGRATED ASSET MANAGEMENT CORP.
Options Robertson, John 4, 7 20/08/2015 51 0.7 120,000 -40,000
IntelGenx Technologies Corp.
Common Shares Zerbe, Horst G. 4, 5 25/08/2015 10 0.5 349,064 -36,900
IntelGenx Technologies Corp.
Common Shares Zerbe, Ingrid 3 25/08/2015 10 0.5 298,135 -163,100
Inter Pipeline Ltd. Common Shares Neufeld, Cory Wade 5 24/08/2015 10 24.96 15,100 200
Inter Pipeline Ltd. Common Shares Neufeld, Cory Wade 5 24/08/2015 10 24.97 15,300 200
Inter Pipeline Ltd. Rights Restricted Share Units
Neufeld, Cory Wade 5 24/08/2015 57 27.516 26,168 -2,000
InterRent Real Estate Investment Trust
Deferred Units Bouzanis, Paul 4 25/08/2015 57 139,368 -2,698
InterRent Real Estate Investment Trust
Trust Units Bouzanis, Paul 4 25/08/2015 57 271,199 2,698
InterRent Real Estate Investment Trust
Deferred Units McGahan, Michael Darryl 4, 5 25/08/2015 57 1,101,540 -71,740
InterRent Real Estate Investment Trust
Trust Units McGahan, Michael Darryl 4, 5 25/08/2015 57 2,249,209 71,740
Inventronics Limited Common Shares MONETTE, SERGE 3 21/08/2015 10 0.1 169,100 1,000
Inventronics Limited Common Shares MONETTE, SERGE 3 25/08/2015 10 0.09 170,100 1,000
Invictus MD Strategies Corp. Common Shares Kriznic, Daniel Stanislav 3, 4, 5 28/08/2015 10 0.1 296,334 60,000
Iplayco Corporation Ltd. Common Shares Williams, Thomas Craig 4 17/08/2015 10 0.92 30,000 10,000
Iplayco Corporation Ltd. Common Shares Williams, Thomas Craig 4 13/02/2014 00
Iplayco Corporation Ltd. Common Shares Williams, Thomas Craig 4 13/02/2014 00
Iplayco Corporation Ltd. Common Shares Williams, Thomas Craig 4 13/02/2014 00
iSIGN Media Solutions Inc. Common Shares Reilly, Robert Bruce 4, 5 25/08/2015 46 0.135 455,555 333,333
iSIGN Media Solutions Inc. Common Shares Rodgerson, David 4 25/08/2015 46 0.135 385,833 333,333
iSIGN Media Solutions Inc. Common Shares Romanov, Alexander Nickolas
3, 4 25/08/2015 46 0.135 1,251,309 336,541
iSIGN Media Solutions Inc. Common Shares Shukla, Prakash 4 16/12/2013 00
iSIGN Media Solutions Inc. Common Shares Shukla, Prakash 4 25/08/2015 46 0.135 333,333 333,333
iSIGN Media Solutions Inc. Common Shares Sultan, Asad 4 16/12/2013 00
iSIGN Media Solutions Inc. Common Shares Sultan, Asad 4 25/08/2015 46 0.135 333,333 333,333
Journey Energy Inc. Restricted Voting Shares Infra-PSP Partners Inc. 3 18/08/2015 35 11,305,429 104,408
Journey Energy Inc. Restricted Voting Shares Infra-PSP Partners Inc. 3 18/08/2015 35 11,424,034 118,605
Journey Energy Inc. Common Shares Verge, Alexander G. 4, 5 24/08/2015 10 1.65 374,125 44,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7608
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Journey Energy Inc. Common Shares Verge, Alexander G. 4, 5 24/08/2015 10 1.65 712,947 50,000
Just Energy Group Inc. Common Shares HOLLANDS, H. CLARK 4 24/08/2015 10 7.4 25,000 10,000
Just Energy Group Inc. Common Shares Joyce, Ron 3 24/08/2015 10 7.4382 17,900,000 53,100
Just Energy Group Inc. Common Shares Joyce, Ron 3 26/08/2015 10 7.65 18,000,000 100,000
Kelso Technologies Inc. Common Shares Troy, William Edward 5 12/08/2015 51 0.24 1,120,056 100,000
Kelso Technologies Inc. Options Troy, William Edward 5 12/08/2015 51 0.24 100,000
Kelso Technologies Inc. Options Troy, William Edward 5 12/08/2015 51 0.24 100,000 -100,000
Kelt Exploration Ltd. Common Shares Wilson, David John 3, 4, 5 21/08/2015 10 5.5027 10,170,932 45,000
Khalkos Exploration Inc. Common Shares Guilbaud, Christian 6 21/08/2015 10 0.1 924,000 30,000
Khalkos Exploration Inc. Options Tremblay Paradis, Eliane 5 25/08/2015 00 200,000
Kicking Horse Energy Inc. Common Shares Allford, Richard Bruce 4 24/08/2015 11 3 83,750 16,700
Kicking Horse Energy Inc. Common Shares Bowie, Ken 4 24/08/2015 16 3 101,838 3,400
Kicking Horse Energy Inc. Common Shares Hadley, Mark Gregory 5 19/12/2014 00
Kicking Horse Energy Inc. Common Shares Hadley, Mark Gregory 5 24/08/2015 10 2.42 15,000 15,000
Kicking Horse Energy Inc. Common Shares Hadley, Mark Gregory 5 24/08/2015 10 2.35 15,263 -15,000
Kicking Horse Energy Inc. Common Shares Harding, Steven Craig 4 24/08/2015 16 3 121,932 6,500
Kicking Horse Energy Inc. Common Shares Leitl, Jeffrey 5 01/07/2015 00
Kicking Horse Energy Inc. Common Shares Leitl, Jeffrey 5 24/08/2015 16 3 3,350 3,350
Kicking Horse Energy Inc. Common Shares Pachkowski, Bruce Lawrence
4 21/08/2015 10 2.45 112,000 10,000
Kicking Horse Energy Inc. Common Shares Pachkowski, Bruce Lawrence
4 24/08/2015 10 2.45 122,000 10,000
Kicking Horse Energy Inc. Common Shares Pachkowski, Bruce Lawrence
4 19/12/2014 00
Kicking Horse Energy Inc. Common Shares Pachkowski, Bruce Lawrence
4 24/08/2015 11 3 33,200 33,200
Kicking Horse Energy Inc. Common Shares Sully, Raymond John 5 24/08/2015 16 3 181,797 6,500
Kiska Metals Corporation Options Awmack, Henry James 4 25/08/2015 50 160,000 60,000
Kiska Metals Corporation Options Ghelani, Bipin 4 25/08/2015 52 270,000 -284,600
Kiska Metals Corporation Options Miller, Jack H.L. 4 12/07/2015 52 0.87 240,000 -37,500
Kiska Metals Corporation Options Roberts, Michael David 5 25/08/2015 52 280,000 -220,000
Klondex Mines Ltd. Common Shares Haggarty, James (Jamie) 4 25/08/2015 51 1.21 110,420 50,000
Klondex Mines Ltd. Common Shares Haggarty, James (Jamie) 4 25/08/2015 10 3.45 60,420 -50,000
Klondex Mines Ltd. Options Haggarty, James (Jamie) 4 25/08/2015 51 1.21 380,000 -50,000
Klondex Mines Ltd. Common Shares Huet, Paul André 4, 5 25/08/2015 51 1.68 552,927 108,000
Klondex Mines Ltd. Common Shares Huet, Paul André 4, 5 25/08/2015 10 3.5 444,927 -108,000
Klondex Mines Ltd. Common Shares Huet, Paul André 4, 5 25/08/2015 51 1.68 546,927 102,000
Klondex Mines Ltd. Common Shares Huet, Paul André 4, 5 25/08/2015 10 3.45 444,927 -102,000
Klondex Mines Ltd. Options Huet, Paul André 4, 5 25/08/2015 51 3.5 1,009,500 -108,000
Klondex Mines Ltd. Options Huet, Paul André 4, 5 25/08/2015 50 3.45 -102,000
Klondex Mines Ltd. Options Huet, Paul André 4, 5 25/08/2015 51 3.45 907,500 -102,000
Knightscove Media Corp. (formerly Queen Street Entertainment Capital Inc.)
Common Shares GRAFSTEIN, Jerahmiel Samson
4 28/03/2011 00
Knightscove Media Corp. (formerly Queen Street Entertainment Capital Inc.)
Common Shares GRAFSTEIN, Jerahmiel Samson
4 30/06/2011 00
Knightscove Media Corp. (formerly Queen Street Entertainment Capital Inc.)
Options GRAFSTEIN, Jerahmiel Samson
4 28/03/2011 00
Knightscove Media Corp. (formerly Queen Street Entertainment Capital Inc.)
Options GRAFSTEIN, Jerahmiel Samson
4 30/06/2011 00
KWG Resources Inc. Options Flett, Douglas Melville 4 27/08/2015 50 0.05 6,500,000 3,185,000
KWG Resources Inc. Options MASTERS, THOMAS EDWARD
5 27/08/2015 50 0.05 6,500,000 4,700,000
KWG Resources Inc. Options Sheldon, Donald A. 4 27/08/2015 50 0.05 6,500,000 3,500,000
KWG Resources Inc. Options Smeenk, Frank Cornelius 4, 5 27/08/2015 50 9,600,000 5,389,000
KWG Resources Inc. Options Thomas, Cynthia Patricia 4 27/08/2015 50 0.05 8,000,000 3,000,000
Lara Exploration Ltd. Common Shares Bennell, Michael Robin 5 28/08/2015 46 125,000 20,000
Lara Exploration Ltd. Common Shares Thompson, Miles Frederick 4, 5 28/08/2015 46 2,545,333 30,000
Laramide Resources Ltd. Common Shares Henderson, Marc Charles 4, 5 24/08/2015 10 0.23 8,294,597 25,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7609
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Laramide Resources Ltd. Common Shares Henderson, Marc Charles 4, 5 25/08/2015 10 0.22 8,319,597 25,000
Laramide Resources Ltd. Common Shares Henderson, Marc Charles 4, 5 26/08/2015 10 0.215 8,334,597 15,000
Laramide Resources Ltd. Common Shares Henderson, Marc Charles 4, 5 27/08/2015 10 0.24 8,369,597 35,000
Levon Resources Ltd. Common Shares Tremblay, Ron Michael 4, 5 24/08/2015 10 0.15 11,493,000 100,000
Lexaria Corp. Common Shares Bunka, Christopher 4, 5 27/08/2015 10 0.204 5,085,430 7,500
Lexaria Corp. Common Shares Bunka, Christopher 4, 5 27/08/2015 10 0.2 5,130,430 45,000
Lexaria Corp. Common Shares Bunka, Christopher 4, 5 27/08/2015 10 0.19 5,188,306 57,876
Lexaria Corp. Common Shares Bunka, Christopher 4, 5 27/08/2015 10 0.1899 5,199,586 11,280
Lexaria Corp. Common Shares Bunka, Christopher 4, 5 28/08/2015 10 0.19 5,209,586 10,000
Lexaria Corp. Common Shares Bunka, Christopher 4, 5 28/08/2015 10 0.185 5,248,586 39,000
Lexaria Corp. Common Shares Docherty, John Martin 5 26/03/2015 00
Lexaria Corp. Common Shares Docherty, John Martin 5 26/03/2015 00
Lexaria Corp. Common Shares Docherty, John Martin 5 17/08/2015 10 0.2 550,000 420,000
LGX Oil + Gas Inc. Warrants Labelle, Curtis William 5 20/08/2015 55 0 -25,000
LGX Oil + Gas Inc. Warrants Oliver, Mark Thomas 5 20/08/2015 55 0 -50,000
LGX Oil + Gas Inc. Warrants Wee, William 5 20/08/2015 55 0 -10,000
LGX Oil + Gas Inc. Warrants Yanko, Trenton James 5 20/08/2015 55 0 -1,000,000
LGX Oil + Gas Inc. Warrants Ziemer, Curtis Wade 5 20/08/2015 55 0 -43,000
Lightstream Resources Ltd. Common Shares Malley, Bradford James 5 25/08/2015 10 0.36 11,055 -199
Lightstream Resources Ltd. Common Shares Malley, Bradford James 5 25/08/2015 57 0.315 23,555 12,500
Lightstream Resources Ltd. Rights Incentive Malley, Bradford James 5 25/08/2015 57 0.315 66,015 -12,500
Lightstream Resources Ltd. Common Shares Scheidt, Doreen Marie 5 26/08/2015 57 0.355 125,696 41,140
Lightstream Resources Ltd. Rights DCS Scheidt, Doreen Marie 5 26/08/2015 57 0.355 29,972 -18,787
Lightstream Resources Ltd. Rights Incentive Scheidt, Doreen Marie 5 26/08/2015 57 0.355 74,330 -22,353
LIONS GATE ENTERTAINMENT CORP.
Common Shares Malone, John C. 4 27/03/2015 00
LIONS GATE ENTERTAINMENT CORP.
Common Shares Malone, John C. 4 27/03/2015 00
LIONS GATE ENTERTAINMENT CORP.
Common Shares Malone, John C. 4 27/03/2015 00
LIONS GATE ENTERTAINMENT CORP.
Common Shares Malone, John C. 4 27/03/2015 00
LIONS GATE ENTERTAINMENT CORP.
Common Shares Malone, John C. 4 27/03/2015 00 3,871,538
LIONS GATE ENTERTAINMENT CORP.
Common Shares Malone, John C. 4 27/03/2015 00 539,657
LIONS GATE ENTERTAINMENT CORP.
Common Shares Malone, John C. 4 27/03/2015 00 306,500
LIONS GATE ENTERTAINMENT CORP.
Common Shares Malone, John C. 4 27/03/2015 00 250,000
Logistec Corporation Subordinate Voting Shares Class B
LOGISTEC CORPORATION
1 24/08/2015 38 41.279 7,000 700
Logistec Corporation Subordinate Voting Shares Class B
LOGISTEC CORPORATION
1 26/08/2015 38 42.9 7,600 600
Logistec Corporation Subordinate Voting Shares Class B
LOGISTEC CORPORATION
1 27/08/2015 38 43.01 8,600 1,000
Logistec Corporation Subordinate Voting Shares Class B
LOGISTEC CORPORATION
1 28/08/2015 38 42.51 9,600 1,000
Logistec Corporation Subordinate Voting Shares Class B
Sauriol, Alain 7 25/08/2015 10 42.5 4,600 600
LoneStar West Inc. Common Shares MacLean, Joseph Anthony 4 24/08/2015 10 1.1508 0 -18,200
Loyalist Group Limited Common Shares Morrison, Robert John 3 21/08/2015 00 100,000
Loyalist Group Limited Common Shares Morrison, Robert John 3 21/08/2015 00 20,000,000
Loyalist Group Limited Common Shares Morrison, Robert John 3 21/08/2015 00 12,000
Loyalist Group Limited Common Shares Morrison, Robert John 3 21/08/2015 00 17,000
Loyalist Group Limited Common Shares Morrison, Robert John 3 21/08/2015 00 24,000
Loyalist Group Limited First Preferred Shares, Series A
Morrison, Robert John 3 21/08/2015 00 20,000
Loyalist Group Limited Warrants Morrison, Robert John 3 21/08/2015 00 1,666,600
Lucara Diamond Corp. Common Shares Thomas, Eira Margaret 4 19/08/2015 10 1.79 6,500,000 -1,200,000
Lucara Diamond Corp. Common Shares Thomas, Eira Margaret 4 21/08/2015 10 1.78 6,325,000 -175,000
Lundin Mining Corporation Common Shares Lee Harrs, Julie 5 26/08/2015 10 3.85 6,600 6,600
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7610
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Lundin Mining Corporation Common Shares Lee Harrs, Julie 5 26/08/2015 10 3.75 10,000 3,400
Lundin Mining Corporation Common Shares Lundin Mining Corporation 1 31/01/2008 38 0 -2,150,700
Lupaka Gold Corp. Common Shares Edwards, Eric Harrison 4 21/08/2015 16 0.07 1,698,364 545,857
Lupaka Gold Corp. Warrants Edwards, Eric Harrison 4 21/08/2015 53 0.15 670,857 545,857
Lupaka Gold Corp. Common Shares Ellis, Gordon Lloyd 4 21/08/2015 16 0.07 698,642 357,142
Lupaka Gold Corp. Warrants Ellis, Gordon Lloyd 4 21/08/2015 16 0.15 607,142 357,142
Lupaka Gold Corp. Common Shares Jones, Darryl Fergus Orton 5 21/08/2015 16 0.07 1,489,133 500,000
Lupaka Gold Corp. Warrants Jones, Darryl Fergus Orton 5 21/08/2015 16 0.15 750,000 500,000
MacMillan Minerals Inc. Common Shares Brown, George Andrew 4, 5 21/08/2015 10 0.105 0 -31,049
Madalena Energy Inc. Common Shares Maglan Capital LP 3 26/08/2015 10 0.26 62,529,500 141,500
Madalena Energy Inc. Common Shares Maglan Capital LP 3 27/08/2015 10 0.28 62,851,000 321,500
Madalena Energy Inc. Common Shares Maglan Capital LP 3 28/08/2015 10 0.3 63,214,500 363,500
Madalena Energy Inc. Common Shares Maglan Capital LP 3 19/02/2015 10 0.285 237,500
Madalena Energy Inc. Common Shares Maglan Capital LP 3 19/02/2015 10 0.285 300,000
Madalena Energy Inc. Common Shares Maglan Capital LP 3 19/02/2015 10 0.285 10,354,500 800,000
Madalena Energy Inc. Common Shares Maglan Capital LP 3 16/03/2015 10 0.35 300,000
Madalena Energy Inc. Common Shares Maglan Capital LP 3 16/03/2015 10 0.35 450,000
Madalena Energy Inc. Common Shares Maglan Capital LP 3 16/03/2015 10 0.35 16,907,900 300,000
Madalena Energy Inc. Common Shares Maglan Capital LP 3 24/08/2015 10 0.25 19,674,500 22,000
Madalena Energy Inc. Common Shares Maglan Capital LP 3 25/08/2015 10 0.25 19,691,000 16,500
Majescor Resources Inc. Common Shares Barrie, C. Tucker 4, 5 26/08/2015 10 0.035 873,000 1,000
Majescor Resources Inc. Common Shares Barrie, C. Tucker 4, 5 28/08/2015 10 0.04 874,000 1,000
Mandalay Resources Corporation
Common Shares GMT Capital Corp 3 24/08/2015 10 0.62 10,967,700 66,200
Mandalay Resources Corporation
Common Shares GMT Capital Corp 3 25/08/2015 10 0.61 10,984,100 16,400
Mandalay Resources Corporation
Common Shares GMT Capital Corp 3 27/08/2015 10 0.6 11,101,700 117,600
Mandalay Resources Corporation
Common Shares GMT Capital Corp 3 27/08/2015 10 0.62 11,127,800 26,100
Mandalay Resources Corporation
Common Shares GMT Capital Corp 3 24/08/2015 10 0.62 15,226,800 105,900
Mandalay Resources Corporation
Common Shares GMT Capital Corp 3 25/08/2015 10 0.61 15,253,000 26,200
Mandalay Resources Corporation
Common Shares GMT Capital Corp 3 26/08/2015 10 0.6 15,441,200 188,200
Mandalay Resources Corporation
Common Shares GMT Capital Corp 3 27/08/2015 10 0.62 15,483,000 41,800
Mandalay Resources Corporation
Common Shares GMT Capital Corp 3 24/08/2015 10 0.62 24,028,100 144,300
Mandalay Resources Corporation
Common Shares GMT Capital Corp 3 25/08/2015 10 0.61 24,063,800 35,700
Mandalay Resources Corporation
Common Shares GMT Capital Corp 3 26/08/2015 10 0.6 24,320,200 256,400
Mandalay Resources Corporation
Common Shares GMT Capital Corp 3 27/08/2015 10 0.62 24,377,100 56,900
Mandalay Resources Corporation
Common Shares GMT Capital Corp 3 24/08/2015 10 0.62 2,769,100 17,900
Mandalay Resources Corporation
Common Shares GMT Capital Corp 3 25/08/2015 10 0.61 2,773,500 4,400
Mandalay Resources Corporation
Common Shares GMT Capital Corp 3 26/08/2015 10 0.6 2,805,300 31,800
Mandalay Resources Corporation
Common Shares GMT Capital Corp 3 27/08/2015 10 0.62 2,812,300 7,000
Mandalay Resources Corporation
Common Shares GMT Capital Corp 3 24/08/2015 10 0.62 2,164,400 13,200
Mandalay Resources Corporation
Common Shares GMT Capital Corp 3 25/08/2015 10 0.61 2,167,700 3,300
Mandalay Resources Corporation
Common Shares GMT Capital Corp 3 26/08/2015 10 0.6 2,191,200 23,500
Mandalay Resources Corporation
Common Shares GMT Capital Corp 3 27/08/2015 10 0.62 2,196,400 5,200
Manitok Energy Inc. Options Dion, Robert George 5 16/08/2015 52 1.1 480,000 -120,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7611
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Manitok Energy Inc. Options Geremia, Massimo Mario 5 16/08/2015 52 1.1 725,000 -240,000
Manitok Energy Inc. Options Peterson, Greg 4 16/08/2015 52 1.1 115,000 -45,000
Manitok Energy Inc. Options Spoletini, Tumasino 4 16/08/2015 52 1.1 115,000 -55,000
Manitok Energy Inc. Options Vouri, Cameron Grant 5 16/08/2015 52 1.1 755,000 -45,000
Manitou Gold Inc. Common Shares Murphy, Richard 4, 5 24/08/2015 10 0.025 2,030,000 9,000
Maple Leaf Foods Inc. Common Shares Maple Leaf Foods Inc. 1 21/08/2015 38 21.73 83,000 83,000
Maple Leaf Foods Inc. Common Shares Maple Leaf Foods Inc. 1 21/08/2015 38 0 -83,000
Maple Leaf Foods Inc. Common Shares Maple Leaf Foods Inc. 1 24/08/2015 38 21.287 63,600 63,600
Maple Leaf Foods Inc. Common Shares Maple Leaf Foods Inc. 1 24/08/2015 38 0 -63,600
Maple Leaf Foods Inc. Common Shares Maple Leaf Foods Inc. 1 25/08/2015 38 21.534 65,400 65,400
Maple Leaf Foods Inc. Common Shares Maple Leaf Foods Inc. 1 25/08/2015 38 0 -65,400
Maple Leaf Foods Inc. Common Shares Maple Leaf Foods Inc. 1 26/08/2015 38 21.297 40,000 40,000
Maple Leaf Foods Inc. Common Shares Maple Leaf Foods Inc. 1 26/08/2015 38 0 -40,000
Maple Leaf Foods Inc. Common Shares Maple Leaf Foods Inc. 1 27/08/2015 38 21.858 177,200 177,200
Maple Leaf Foods Inc. Common Shares Maple Leaf Foods Inc. 1 27/08/2015 38 0 -177,200
Marengo Mining Limited Convertible Debentures 9% due June 30, 2017
Sentient Executive GP IV, Limited (for the general partner of Sentient Global Resources Fund IV, L.P.)
3 22/12/2014 16 $7,500,000
Marengo Mining Limited Convertible Debentures 9% due June 30, 2017
Sentient Executive GP IV, Limited (for the general partner of Sentient Global Resources Fund IV, L.P.)
3 22/12/2014 16 $7,500,000 $7,500,000
Marengo Mining Limited Convertible Debentures due 2016
Sentient Executive GP IV, Limited (for the general partner of Sentient Global Resources Fund IV, L.P.)
3 15/01/2014 11 $27,509,621
Marengo Mining Limited Convertible Debentures due 2016
Sentient Executive GP IV, Limited (for the general partner of Sentient Global Resources Fund IV, L.P.)
3 15/01/2014 11 $27,509,621 $27,509,621
Marengo Mining Limited Convertible Debentures due 2016
Sentient Executive GP IV, Limited (for the general partner of Sentient Global Resources Fund IV, L.P.)
3 30/04/2014 11 $721,444
Marengo Mining Limited Convertible Debentures due 2016
Sentient Executive GP IV, Limited (for the general partner of Sentient Global Resources Fund IV, L.P.)
3 30/04/2014 11 $28,231,065 $721,444
Marengo Mining Limited Convertible Debentures due 2016
Sentient Executive GP IV, Limited (for the general partner of Sentient Global Resources Fund IV, L.P.)
3 15/07/2014 16 $10,195,065
Marengo Mining Limited Convertible Debentures due 2016
Sentient Executive GP IV, Limited (for the general partner of Sentient Global Resources Fund IV, L.P.)
3 15/07/2014 16 $38,426,130 $10,195,065
Marret Resource Corp. Options Allan, Barry 4 19/04/2011 37 200,000 -800,000
Marret Resource Corp. Common Shares Gluskin, David 7 15/02/2013 35 5.02 39,919 69
Marret Resource Corp. Common Shares Gluskin, David 7 15/03/2013 35 4.72 40,123 74
Marret Resource Corp. Common Shares Gluskin, David 7 15/04/2013 35 4.43 40,405 79
Marret Resource Corp. Common Shares Gluskin, David 7 15/05/2013 35 4.18 40,618 84
Marret Resource Corp. Common Shares Gluskin, David 7 14/06/2013 35 4.02 40,851 88
Marret Resource Corp. Common Shares Gluskin, David 7 15/07/2013 35 3.95 41,091 90
Marret Resource Corp. Common Shares Gluskin, David 7 15/08/2013 35 3.96 41,182 91
Marret Resource Corp. Common Shares Gluskin, David 7 16/09/2013 35 3.87 41,434 93
Marret Resource Corp. Common Shares Gluskin, David 7 15/10/2013 35 3.74 41,690 97
Marret Resource Corp. Common Shares Gluskin, David 7 15/11/2013 35 3.74 41,943 98
Marret Resource Corp. Common Shares Gluskin, David 7 13/12/2013 35 3.74 42,041 98
Marret Resource Corp. Common Shares Gluskin, David 7 15/01/2014 35 3.75 43,027 99
Marret Resource Corp. Common Shares Gluskin, David 7 14/02/2014 35 3.73 43,294 100
Marret Resource Corp. Common Shares Gluskin, David 7 14/03/2014 35 3.81 43,392 98
Marret Resource Corp. Common Shares Gluskin, David 7 15/04/2014 35 3.73 43,493 101
Marret Resource Corp. Common Shares Gluskin, David 7 15/05/2014 35 3.96 43,589 96
Marret Resource Corp. Common Shares Gluskin, David 7 13/06/2014 35 4.08 43,683 94
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7612
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Marret Resource Corp. Common Shares Gluskin, David 7 15/07/2014 35 4.17 43,775 92
Marret Resource Corp. Common Shares Gluskin, David 7 15/08/2014 35 4.11 43,869 94
Marret Resource Corp. Common Shares Gluskin, David 7 15/09/2014 35 4.07 43,964 95
Marret Resource Corp. Common Shares Gluskin, David 7 15/10/2014 35 3.8 44,067 103
Marret Resource Corp. Common Shares Gluskin, David 7 06/11/2014 35 3.31 44,186 119
Marret Resource Corp. Common Shares Gluskin, David 7 13/12/2013 10 3.77 21,041 41
Marret Resource Corp. Common Shares Gluskin, David 7 15/01/2014 10 3.66 21,083 42
Marret Resource Corp. Common Shares Gluskin, David 7 14/02/2014 10 3.77 21,166 41
Marret Resource Corp. Common Shares Gluskin, David 7 14/03/2014 10 3.57 21,210 44
Marret Resource Corp. Common Shares Gluskin, David 7 15/04/2014 10 3.72 21,252 42
Marret Resource Corp. Common Shares Gluskin, David 7 15/05/2014 10 4 21,291 39
Marret Resource Corp. Options Guebert, David Dean 5 03/05/2015 52 0 -20,000
Matamec Explorations Inc. Options Bergeron, Marcel 4, 5 27/08/2015 50 0.1 600,000 300,000
Matamec Explorations Inc. Options Gauthier, André 4, 5 27/08/2015 50 1,381,800 300,000
Matamec Explorations Inc. Options Leblanc, Pierre 4 27/08/2015 50 0.1 500,000 100,000
Matamec Explorations Inc. Options Tamaro, Normand 4 29/08/2015 52 0.1 300,000
Matamec Explorations Inc. Options Tamaro, Normand 4 29/08/2015 52 300,000
Matamec Explorations Inc. Options Tamaro, Normand 4 29/08/2015 52 0.1 300,000
Matamec Explorations Inc. Options Tamaro, Normand 4 29/08/2015 50 0.1 600,000 300,000
Maxim Power Corp. Common Shares Bobenic, John Robert 4, 5 25/08/2015 10 2.44 152,565 100
MAYA GOLD & SILVER INC. Common Shares Goulet, Guy 4, 5 20/08/2015 10 0.2 706,296 -9,500
MAYA GOLD & SILVER INC. Common Shares Goulet, Guy 4, 5 21/08/2015 10 0.217 709,296 3,000
MAYA GOLD & SILVER INC. Common Shares Goulet, Guy 4, 5 24/08/2015 10 0.217 3,000
MAYA GOLD & SILVER INC. Common Shares Goulet, Guy 4, 5 24/08/2015 10 0.131 749,796 40,500
MAYA GOLD & SILVER INC. Common Shares Goulet, Guy 4, 5 25/08/2015 10 0.18 714,796 -35,000
MAYA GOLD & SILVER INC. Common Shares Goulet, Guy 4, 5 26/08/2015 10 0.19 715,296 500
MBN Corporation Units MBN Corporation 1 24/08/2015 38 5.0089 900 900
MBN Corporation Units MBN Corporation 1 24/08/2015 38 0 -900
MBN Corporation Units MBN Corporation 1 25/08/2015 38 5 800 800
MBN Corporation Units MBN Corporation 1 25/08/2015 38 0 -800
MCAN Mortgage Corporation Restricted Share Units Bouganim, Jeffrey Joseph 5 21/08/2015 97 11.7 11,256 5,881
MCAN Mortgage Corporation Restricted Share Units Brown, Carl Scott 5 31/03/2015 30 13.515 2,916 28
MCAN Mortgage Corporation Restricted Share Units Brown, Carl Scott 5 31/03/2015 30 13.515 2,948 32
MCAN Mortgage Corporation Restricted Share Units Brown, Carl Scott 5 30/06/2015 30 12.256 2,979 31
MCAN Mortgage Corporation Restricted Share Units Brown, Carl Scott 5 30/06/2015 30 12.256 3,015 36
MCAN Mortgage Corporation Restricted Share Units Brown, Carl Scott 5 21/08/2015 97 11.7 4,611 1,596
MCAN Mortgage Corporation Restricted Share Units Marcotte, David Vincent 5 03/07/2013 00
MCAN Mortgage Corporation Restricted Share Units Marcotte, David Vincent 5 21/08/2015 97 11.7 1,180 1,180
MCAN Mortgage Corporation Restricted Share Units Misener, Michael 5 21/08/2015 97 11.7 8,924 4,716
MCAN Mortgage Corporation Restricted Share Units Patel, Dipti 5 21/08/2015 97 11.7 1,980 1,056
MCAN Mortgage Corporation Restricted Share Units Shaikh, Hassan 5 02/01/2015 30 14.284 1,107 21
MCAN Mortgage Corporation Restricted Share Units Shaikh, Hassan 5 31/03/2015 30 13.515 1,130 23
MCAN Mortgage Corporation Restricted Share Units Shaikh, Hassan 5 30/06/2015 30 12.256 1,156 26
MCAN Mortgage Corporation Restricted Share Units Shaikh, Hassan 5 21/08/2015 97 11.7 3,336 2,180
MCAN Mortgage Corporation Restricted Share Units Sutherland, Derek 5 21/08/2015 97 11.7 7,210 2,599
MCAN Mortgage Corporation Common Shares Tyas, John 5 26/08/2015 90 15,220 2,020
MCAN Mortgage Corporation Common Shares Tyas, John 5 15/07/2015 30 11.91 2,178 48
MCAN Mortgage Corporation Common Shares Tyas, John 5 04/08/2015 30 11.37 2,229 51
MCAN Mortgage Corporation Common Shares Tyas, John 5 14/08/2015 30 11.3 2,280 51
MCAN Mortgage Corporation Common Shares Tyas, John 5 26/08/2015 90 260 -2,020
MCAN Mortgage Corporation Restricted Share Units Tyas, John 5 04/11/2004 00
MCAN Mortgage Corporation Restricted Share Units Tyas, John 5 24/08/2015 97 11.7 1,313 1,313
MDN INC. Options Savard, Serge 4 23/08/2015 52 0.45 400,000 -100,000
Mediagrif Interactive Technologies Inc.
Common Shares Les Services de gestion Claude Roy Inc.
3 23/09/2014 99 18.84 2,751,100 1,800
Mediagrif Interactive Technologies Inc.
Common Shares Les Services de gestion Claude Roy Inc.
3 23/09/2014 99 18.69 2,751,200 100
Mediagrif Interactive Technologies Inc.
Common Shares Les Services de gestion Claude Roy Inc.
3 23/09/2014 99 18.86 2,754,300 3,100
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7613
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 23/09/2014 99 18.84 655,860 -1,800
Mediagrif Interactive Technologies Inc.
Common Shares Roy, Claude 3, 4, 5 23/09/2014 99 18.69 655,760 -100
Mediagrif Interactive Technologies Inc.
Common Shares Roy, Claude 3, 4, 5 23/09/2014 99 18.86 652,660 -3,100
Mediagrif Interactive Technologies Inc.
Common Shares Roy, Claude 3, 4, 5 10/08/2015 10 17.49 1,500
Mediagrif Interactive Technologies Inc.
Common Shares Roy, Claude 3, 4, 5 10/08/2015 10 17.49 660,163 500
Mediagrif Interactive Technologies Inc.
Common Shares Roy, Claude 3, 4, 5 23/09/2014 99 18.84 2,751,100 1,800
Mediagrif Interactive Technologies Inc.
Common Shares Roy, Claude 3, 4, 5 23/09/2014 99 18.69 2,751,200 100
Mediagrif Interactive Technologies Inc.
Common Shares Roy, Claude 3, 4, 5 23/09/2014 99 18.86 2,754,300 3,100
Medical Facilities Corporation
Common Shares Medical Facilities Corporation
1 21/08/2015 38 15.842 31,268,344 -5,000
Medical Facilities Corporation
Common Shares Medical Facilities Corporation
1 24/08/2015 38 14.94 31,263,344 -5,000
Medical Facilities Corporation
Convertible Debentures Convertible Debentures 5.90% Unsecured due December 31, 2019
Medical Facilities Corporation
1 24/08/2015 38 104 $41,761,000 -$1,000
Melcor Real Estate Investment Trust
Trust Units Melcor Real Estate Investment Trust
1 24/08/2015 38 7.9961 37,544 3,824
Melcor Real Estate Investment Trust
Trust Units Melcor Real Estate Investment Trust
1 25/08/2015 38 8.0366 40,744 3,200
Melcor Real Estate Investment Trust
Trust Units Melcor Real Estate Investment Trust
1 27/08/2015 38 8.1817 44,344 3,600
Melcor Real Estate Investment Trust
Trust Units Melcor Real Estate Investment Trust
1 28/08/2015 38 8.2 48,168 3,824
Melcor Real Estate Investment Trust
Trust Units Melton, Andrew John 6 24/08/2015 10 8 78,900 1,500
Melcor Real Estate Investment Trust
Trust Units Melton, Andrew John 6 24/08/2015 10 7.98 79,400 500
Melcor Real Estate Investment Trust
Trust Units Melton, Andrew John 6 24/08/2015 10 7.95 81,400 2,000
Melcor Real Estate Investment Trust
Trust Units Melton, Andrew John 6 25/08/2015 10 8 82,500 1,100
Melcor Real Estate Investment Trust
Trust Units Rayburn, Darin Anthony 6 24/08/2015 10 8.07 82,150 4,600
Melcor Real Estate Investment Trust
Trust Units Rayburn, Darin Anthony 6 24/08/2015 10 8.25 82,550 400
Merus Labs International Inc. Common Shares Firestone, Theresa Sheila 4 23/01/2015 50 1.75 150,000
Merus Labs International Inc. Common Shares Firestone, Theresa Sheila 4 23/01/2015 50 1.75 150,000
Merus Labs International Inc. Options Firestone, Theresa Sheila 4 23/01/2015 50 1.75 300,000 150,000
Methanex Corporation Common Shares Cook, Phillip Henry 4 24/08/2015 10 40.229 20,200 200
Methanex Corporation Common Shares Cook, Phillip Henry 4 24/08/2015 10 40.215 22,000 1,800
Methanex Corporation Common Shares Cook, Phillip Henry 4 24/08/2015 10 39.846 25,000 3,000
Mettrum Health Corp. Common Shares Fencott, Trevor 5 21/08/2015 10 1.15 1,875,500 -100,000
Mettrum Health Corp. Common Shares Miller, Peter William John 7 21/08/2015 10 1.15 723,200 -100,000
Micromem Technologies Inc. Common Shares Fuda, Diana 5 27/08/2015 11 0.36 366,888 -230,000
Micromem Technologies Inc. Options Fuda, Diana 5 20/08/2015 50 0.46 812,500 390,000
Micromem Technologies Inc. Common Shares Fuda, Joseph 4, 5 27/08/2015 11 0.36 406,447 -30,000
Micromem Technologies Inc. Options Fuda, Joseph 4, 5 20/08/2015 50 0.46 2,022,500 22,500
Micromem Technologies Inc. Common Shares Fuda, Salvatore (Sam) 4, 5 27/08/2015 11 0.36 194,890 -250,000
Micromem Technologies Inc. Options Fuda, Salvatore (Sam) 4, 5 20/08/2015 50 0.46 1,187,500 187,500
Micromem Technologies Inc. Common Shares Khan, Bash 5 27/08/2015 11 0.36 1,100 -160,000
Micromem Technologies Inc. Options Khan, Bash 5 20/08/2015 50 0.46 430,000 160,000
Micromem Technologies Inc. Common Shares McGroarty, Martha 5 27/08/2015 11 0.36 126,099 -180,000
Micromem Technologies Inc. Options McGroarty, Martha 5 20/08/2015 50 0.46 522,500 180,000
Middlefield Can-Global REIT Income Fund
Trust Units Middlefield Can-Global REIT Income Fund
1 24/08/2015 38 11.45 3,303,648 1,200
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7614
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Middlefield Can-Global REIT Income Fund
Trust Units Middlefield Can-Global REIT Income Fund
1 24/08/2015 38 11.39 3,306,648 3,000
Middlefield Can-Global REIT Income Fund
Trust Units Middlefield Can-Global REIT Income Fund
1 25/08/2015 38 11.397 3,308,948 2,300
Middlefield Can-Global REIT Income Fund
Trust Units Middlefield Can-Global REIT Income Fund
1 26/08/2015 38 11.24 3,311,248 2,300
Middlefield Can-Global REIT Income Fund
Trust Units Middlefield Can-Global REIT Income Fund
1 27/08/2015 38 11.71 3,311,848 600
Minsud Resources Corp. (previously, Rattlesnake Ventures Inc.)
Common Shares Adamo, Carlos 3 28/08/2014 00
Minsud Resources Corp. (previously, Rattlesnake Ventures Inc.)
Common Shares Adamo, Carlos 3 20/08/2015 16 0.1 2,200,000 2,200,000
Minsud Resources Corp. (previously, Rattlesnake Ventures Inc.)
Warrants Adamo, Carlos 3 28/08/2014 00
Minsud Resources Corp. (previously, Rattlesnake Ventures Inc.)
Warrants Adamo, Carlos 3 20/08/2015 16 2,200,000 2,200,000
Minsud Resources Corp. (previously, Rattlesnake Ventures Inc.)
Common Shares Compania de Tierras Sud Argentino S.A.
3, 8 20/08/2015 16 0.1 24,333,743 3,600,000
Minsud Resources Corp. (previously, Rattlesnake Ventures Inc.)
Warrants Compania de Tierras Sud Argentino S.A.
3, 8 20/08/2015 16 16,133,443 3,600,000
Minsud Resources Corp. (previously, Rattlesnake Ventures Inc.)
Common Shares Massa, Carlos 8, 4, 5 20/08/2015 16 0.1 2,142,727 250,000
Minsud Resources Corp. (previously, Rattlesnake Ventures Inc.)
Warrants Massa, Carlos 8, 4, 5 20/08/2015 16 350,000 250,000
MINT Income Fund Trust Units MINT Income Fund 1 25/08/2015 10 7.08 58,529,310 -5,000
Mitel Networks Corporation Common Shares Arsenal HoldCo I, S.a.r.l., (Arsenal)
3 20/08/2015 10 8.25 8,589,470 -1,660,353
Mitel Networks Corporation Common Shares Arsenal HoldCo II, S.a.r.l., (Arsenal)
3 20/08/2015 10 8.25 3,309,075 -639,647
Mitel Networks Corporation Common Shares Ball, Benjamin 4, 6 20/08/2015 10 8.25 8,589,470 -1,660,353
Mitel Networks Corporation Common Shares Ball, Benjamin 4, 6 20/08/2015 10 8.25 3,309,075 -639,647
Mitel Networks Corporation Common Shares Kohli, Pardeep 5 10/06/2015 00 183,200
Mitel Networks Corporation Common Shares Kohli, Pardeep 5 27/08/2015 10 7.4 133,200 -50,000
Mitel Networks Corporation Common Shares Kohli, Pardeep 5 25/08/2015 90 0 -183,200
Mitel Networks Corporation Common Shares Kowal, Andrew 4, 6 20/08/2015 10 8.25 8,589,470 -1,660,353
Mitel Networks Corporation Common Shares Kowal, Andrew 4, 6 20/08/2015 10 8.25 3,309,075 -639,647
Mitel Networks Corporation Options Matthews, Terence Hedley 3, 4, 5 19/08/2015 50 8.3 141,054 4,542
Mitel Networks Corporation Rights Restricted Stock Units
Matthews, Terence Hedley 3, 4, 5 19/08/2015 56 13,863 2,003
Mitel Networks Corporation Common Shares McBee, Richard 4, 5 26/08/2015 10 7.14 114,969 10,000
Mitel Networks Corporation Options McHugh, John 4 19/08/2015 50 8.3 133,135 2,493
Mitel Networks Corporation Rights Restricted Stock Units
McHugh, John 4 19/08/2015 56 12,120 1,099
Mitel Networks Corporation Common Shares Spooner, Steven Edward 5 26/08/2015 10 9.41 40,841 5,000
Mogo Finance Technology Inc.
Common Shares BROWN, Peter MacLachlan 4 19/08/2015 10 6.5 119,462 5,000
Mogo Finance Technology Inc.
Common Shares BROWN, Peter MacLachlan 4 25/08/2015 10 6 124,462 5,000
Mogo Finance Technology Inc.
Common Shares Patterson, Ronald Thomas 4 18/06/2015 00
Mogo Finance Technology Inc.
Common Shares Patterson, Ronald Thomas 4 27/08/2015 10 5.75 500 500
Mogo Finance Technology Inc.
Common Shares Patterson, Ronald Thomas 4 18/06/2015 00
Mogo Finance Technology Inc.
Common Shares Patterson, Ronald Thomas 4 27/08/2015 10 5.7 500 500
Mood Media Corporation (formerly Fluid Music Canada, Inc.)
Deferred Share Units Eissing, Kenneth Henry 5 03/10/2013 00
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7615
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Mood Media Corporation (formerly Fluid Music Canada, Inc.)
Deferred Share Units Eissing, Kenneth Henry 5 20/08/2015 56 372,462
Mood Media Corporation (formerly Fluid Music Canada, Inc.)
Deferred Share Units Eissing, Kenneth Henry 5 20/08/2015 56 327,462 327,462
Mood Media Corporation (formerly Fluid Music Canada, Inc.)
Deferred Share Units Garrett, Thomas Leroy 5 10/03/2014 00
Mood Media Corporation (formerly Fluid Music Canada, Inc.)
Deferred Share Units Garrett, Thomas Leroy 5 20/08/2015 56 303,030 303,030
Mood Media Corporation (formerly Fluid Music Canada, Inc.)
Deferred Share Units Kronengold, Richard 4 19/08/2014 00
Mood Media Corporation (formerly Fluid Music Canada, Inc.)
Deferred Share Units Kronengold, Richard 4 20/08/2015 56 86,580 86,580
Mood Media Corporation (formerly Fluid Music Canada, Inc.)
Deferred Share Units Lanthier, James Andre Charles
4, 5 24/06/2008 00
Mood Media Corporation (formerly Fluid Music Canada, Inc.)
Deferred Share Units Lanthier, James Andre Charles
4, 5 20/08/2015 56 86,580 86,580
Mood Media Corporation (formerly Fluid Music Canada, Inc.)
Deferred Share Units Levin, Ross B. 4 13/05/2014 00
Mood Media Corporation (formerly Fluid Music Canada, Inc.)
Deferred Share Units Levin, Ross B. 4 20/08/2015 56 86,580 86,580
Mood Media Corporation (formerly Fluid Music Canada, Inc.)
Common Shares Richards, David V. 4 26/08/2015 10 0.37 120,000 10,000
Mood Media Corporation (formerly Fluid Music Canada, Inc.)
Deferred Share Units Richards, David V. 4 19/08/2014 00
Mood Media Corporation (formerly Fluid Music Canada, Inc.)
Deferred Share Units Richards, David V. 4 20/08/2015 56 86,580 86,580
Mood Media Corporation (formerly Fluid Music Canada, Inc.)
Deferred Share Units Richards, Steven K. 7 06/05/2011 00
Mood Media Corporation (formerly Fluid Music Canada, Inc.)
Deferred Share Units Richards, Steven K. 7 20/08/2015 56 925,325 925,325
Mood Media Corporation (formerly Fluid Music Canada, Inc.)
Deferred Share Units Rudniski, Randal 5 14/08/2015 00
Mood Media Corporation (formerly Fluid Music Canada, Inc.)
Deferred Share Units Rudniski, Randal 5 20/08/2015 56 229,978 229,978
Mood Media Corporation (formerly Fluid Music Canada, Inc.)
Deferred Share Units Shenk, Gary Richard 4 19/08/2014 00
Mood Media Corporation (formerly Fluid Music Canada, Inc.)
Deferred Share Units Shenk, Gary Richard 4 20/08/2015 56 86,580 86,580
Mood Media Corporation (formerly Fluid Music Canada, Inc.)
Deferred Share Units Solursh, Harvey 4 29/07/2010 00
Mood Media Corporation (formerly Fluid Music Canada, Inc.)
Deferred Share Units Solursh, Harvey 4 20/08/2015 56 86,580 86,580
Mood Media Corporation (formerly Fluid Music Canada, Inc.)
Deferred Share Units Warren, Richard Glenn 4 19/08/2014 00
Mood Media Corporation (formerly Fluid Music Canada, Inc.)
Deferred Share Units Warren, Richard Glenn 4 20/08/2015 56 86,580 86,580
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7616
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Mood Media Corporation (formerly Fluid Music Canada, Inc.)
Deferred Share Units Zendan, Michael F. 5 14/08/2015 00
Mood Media Corporation (formerly Fluid Music Canada, Inc.)
Deferred Share Units Zendan, Michael F. 5 20/08/2015 56 207,485 207,485
Morguard Corporation Common Shares Morguard Corporation 1 20/08/2015 38 135.67 78,456 78,456
Morguard Corporation Common Shares Morguard Corporation 1 20/08/2015 38 0 -78,456
Morguard Real Estate Investment Trust
Units Morguard Corporation 3 19/08/2015 10 15.13 3,953,248 500
Morguard Real Estate Investment Trust
Units Morguard Corporation 3 19/08/2015 10 15.14 3,954,148 900
Morguard Real Estate Investment Trust
Units Morguard Corporation 3 19/08/2015 10 15.15 3,955,148 1,000
Morguard Real Estate Investment Trust
Units Morguard Corporation 3 19/08/2015 10 15.16 3,958,448 3,300
Morguard Real Estate Investment Trust
Units Morguard Corporation 3 19/08/2015 10 15.17 3,969,348 10,900
Morguard Real Estate Investment Trust
Units Morguard Corporation 3 19/08/2015 10 15.18 3,971,448 2,100
Morguard Real Estate Investment Trust
Units Morguard Corporation 3 19/08/2015 10 15.19 3,971,648 200
Morguard Real Estate Investment Trust
Units Morguard Corporation 3 19/08/2015 10 15.2 3,977,348 5,700
Morguard Real Estate Investment Trust
Units Morguard Corporation 3 19/08/2015 10 15.149 4,028,348 51,000
Morguard Real Estate Investment Trust
Units Morguard Corporation 3 20/08/2015 10 15.1 4,032,548 4,200
Morguard Real Estate Investment Trust
Units Morguard Corporation 3 21/08/2015 10 15.144 4,053,148 20,600
Morguard Real Estate Investment Trust
Units Morguard Corporation 3 21/08/2015 10 15.13 4,061,148 8,000
Morguard Real Estate Investment Trust
Units Morguard Corporation 3 21/08/2015 10 14.968 4,086,148 25,000
Morguard Real Estate Investment Trust
Units Morguard Real Estate Investment Trust
1 20/08/2015 38 15.13 267,200 267,200
Morguard Real Estate Investment Trust
Units Morguard Real Estate Investment Trust
1 20/08/2015 38 0 -267,200
Mosaic Capital Corporation RSU-Common Share Block, Jeffrey Shaun 7 23/08/2015 38 41,284 -3,065
Mosaic Capital Corporation RSU-Common Share Block, Jeffrey Shaun 7 23/08/2015 38 39,227 -2,057
Mosaic Capital Corporation RSU-Common Share Block, Jeffrey Shaun 7 23/08/2015 38 30,157 -9,070
Mosaic Capital Corporation RSU-Preferred Security Block, Jeffrey Shaun 7 23/08/2015 38 0 -10,331
Nanotech Security Corp. Common Shares Bullock, Gordon Troy 5 26/08/2015 16 1 27,500 17,500
Nanotech Security Corp. Warrants Bullock, Gordon Troy 5 26/08/2015 16 13,750 8,750
Nanotech Security Corp. Common Shares Hall, Hugh Dickson 4 14/07/2015 00
Nanotech Security Corp. Common Shares Hall, Hugh Dickson 4 24/08/2015 11 1 10,000
Nanotech Security Corp. Common Shares Hall, Hugh Dickson 4 26/08/2015 11 1 10,000 10,000
Nanotech Security Corp. Warrants Hall, Hugh Dickson 4 14/07/2015 00
Nanotech Security Corp. Warrants Hall, Hugh Dickson 4 26/08/2015 11 5,000 5,000
Neovasc Inc. Common Shares Bebeau, Vicki Lee 5 21/08/2015 10 4.26 10,000 10,000
Neptune Technologies & Bioressources Inc.
Common Shares Paradis, Mario 5 24/08/2015 00 25,000
Neptune Technologies & Bioressources Inc.
Options Paradis, Mario 5 24/08/2015 00 420,000
Nesscap Energy Inc. (formerly, Asian Resource Global Strategies Inc.)
Common Shares Livart Investments Corp 3 25/08/2015 10 0.0857 9,922,750 30,000
Nesscap Energy Inc. (formerly, Asian Resource Global Strategies Inc.)
Common Shares Livart Investments Corp 3 26/08/2015 10 0.12 9,962,750 40,000
Nevada Sunrise Gold Corporation
Common Shares Sweatman, Michael 4 24/08/2015 10 0.16 128,500 2,000
Newfoundland Capital Corporation Limited
Common Shares Class B STEELE, HARRY RAYMOND
3, 4, 5 19/08/2015 10 13.5 2,241,180 600
Newfoundland Capital Corporation Limited
Subordinate Voting Shares Class A
STEELE, HARRY RAYMOND
3, 4, 5 19/08/2015 10 10.9 3,893,775 600
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7617
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Newnote Financial Corp. Common Shares Demeter, Mitchell 4 26/08/2015 46 0.05 350,000 350,000
Newstrike Resources Ltd. Common Shares Kelly, Scott 4 25/08/2015 10 0.03 1,333,000 105,000
Nexus Gold Corp. Common Shares Berdusco, Peter Dean 4, 7, 5 24/08/2015 30 0.1 1,743,384 225,000
Nexus Gold Corp. Common Shares Berdusco, Peter Dean 4, 7, 5 25/08/2015 10 0.115 1,843,384 100,000
Nexus Gold Corp. Common Shares Berdusco, Peter Dean 4, 7, 5 27/08/2015 10 0.1044 1,913,384 70,000
Nexus Gold Corp. Common Shares Berdusco, Peter Dean 4, 7, 5 28/08/2015 10 0.1028 1,938,384 25,000
Nexus Gold Corp. Options Berdusco, Peter Dean 4, 7, 5 24/08/2015 51 0.1 525,000 -225,000
Nexus Gold Corp. Common Shares Klenman, Alexander 4 24/08/2015 10 0.115 1,738,799 10,000
NGEx Resources Inc. Options Conibear, Paul K. 4 21/08/2015 52 350,000 -200,000
NGEx Resources Inc. Options Vitaller, Alfredo Omar 2 21/08/2015 52 1.65 530,000 -70,000
Nighthawk Gold Corp. Common Shares Dundee Corporation 3 24/08/2015 10 0.0978 0 -1,249,000
Nobel Real Estate Investment Trust
Options Girard, Jacques 4 21/08/2015 37 2,016 -8,063
Nobel Real Estate Investment Trust
Units Girard, Jacques 4 21/08/2015 37 6,000 -24,000
Nobel Real Estate Investment Trust
Limited Partnership Units catégorie B, comporte 1 droit de vote par catégorie B
Grandmont, Bernard 4 21/08/2015 37 6,000 -24,000
Nobel Real Estate Investment Trust
Options Grandmont, Bernard 4 21/08/2015 37 2,016 -8,063
Nobel Real Estate Investment Trust
Options Lemire, Louis 5 21/08/2015 37 25,000 -100,000
Nobel Real Estate Investment Trust
Options Lemire, Louis 5 27/08/2015 50 85,000 60,000
Nobel Real Estate Investment Trust
Units Lemire, Louis 5 21/08/2015 37 800 -3,200
Nobel Real Estate Investment Trust
Limited Partnership Units catégorie B, comporte 1 droit de vote par catégorie B
Maurais, Yves 4 21/08/2015 37 6,000 -24,000
Nobel Real Estate Investment Trust
Options Maurais, Yves 4 21/08/2015 37 6,050 -24,200
Nobel Real Estate Investment Trust
Units Maurais, Yves 4 21/08/2015 37 58,690 -234,760
Nobel Real Estate Investment Trust
Limited Partnership Units catégorie B, comporte 1 droit de vote par catégorie B
Parent, Jean-Guy 4 21/08/2015 37 6,000 -24,000
Nobel Real Estate Investment Trust
Options Parent, Jean-Guy 4 21/08/2015 37 6,050 -24,200
Nobel Real Estate Investment Trust
Units Parent, Jean-Guy 4 21/08/2015 37 58,690 -234,760
Nobel Real Estate Investment Trust
Limited Partnership Units catégorie B, comporte 1 droit de vote par catégorie B
Riopel, Serge 4 21/08/2015 37 6,000 -24,000
Nobel Real Estate Investment Trust
Limited Partnership Units catégorie B, comporte 1 droit de vote par catégorie B
Teasdale, Jean 4, 5 21/08/2015 37 6,000 -24,000
Nobel Real Estate Investment Trust
Options Teasdale, Jean 4, 5 21/08/2015 37 43,068 -172,274
Nobel Real Estate Investment Trust
Options Teasdale, Jean 4, 5 27/08/2015 50 143,068 100,000
Nobel Real Estate Investment Trust
Units Teasdale, Jean 4, 5 21/08/2015 37 9,450 -37,800
Nobel Real Estate Investment Trust
Warrants Teasdale, Jean 4, 5 21/08/2015 37 625 -2,500
Nobilis Health Corp. (formerly Northstar Healthcare Inc.)
Common Shares Ganley, Richard 4 21/08/2015 10 4.6572 53,550 5,300
Nobilis Health Corp. (formerly Northstar Healthcare Inc.)
Common Shares Hauser, Jennifer 4 11/06/2013 00
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7618
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Nobilis Health Corp. (formerly Northstar Healthcare Inc.)
Common Shares Hauser, Jennifer 4 11/06/2013 00 6,609
Norbord Inc. Common Shares Wijnbergen, Peter Cornelius 5 24/08/2015 10 21.485 25,421 800
Norbord Inc. Common Shares Wijnbergen, Peter Cornelius 5 24/08/2015 10 21.5 29,221 3,800
Nordex Explosives Ltd. Loan The Article 6 Marital Trust created under the First Amended and Restated Jerry Zucker Revocable Trust dated 4-2-07
3 26/08/2015 11 2E+06 $3,000,000 $2,000,000
Nordex Explosives Ltd. Loan The Article 6 Marital Trust created under the First Amended and Restated Jerry Zucker Revocable Trust dated 4-2-07
3 26/08/2015 11 1E+06 $2,000,000 -$1,000,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 17/08/2015 10 2.5 1,038,023 9,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 18/08/2015 10 2.45 1,040,423 2,400
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 20/08/2015 10 2.33 1,047,023 6,600
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 21/08/2015 10 2.35 1,058,423 11,400
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 24/08/2015 10 2.19 1,068,423 10,000
Northern Blizzard Resources Inc.
Common Shares Artindale, James Stanton 4, 5 21/08/2015 57 1,387,930 25,052
Northern Blizzard Resources Inc.
Common Shares Artindale, James Stanton 4, 5 21/08/2015 57 1,412,982 25,052
Northern Blizzard Resources Inc.
Performance Awards Artindale, James Stanton 4, 5 21/08/2014 57 -22,406
Northern Blizzard Resources Inc.
Performance Awards Artindale, James Stanton 4, 5 21/08/2015 57 90,094 -22,406
Northern Blizzard Resources Inc.
Performance Awards Artindale, James Stanton 4, 5 21/08/2015 59 75,000 -15,094
Northern Blizzard Resources Inc.
Time-based Awards Artindale, James Stanton 4, 5 21/08/2015 57 90,094 -22,406
Northern Blizzard Resources Inc.
Time-based Awards Artindale, James Stanton 4, 5 21/08/2015 59 75,000 -15,094
Northern Blizzard Resources Inc.
Common Shares Bokenfohr, Timothy Frank 5 21/08/2015 57 119,862 -4,015
Northern Blizzard Resources Inc.
Common Shares Bokenfohr, Timothy Frank 5 21/08/2015 57 115,847 -4,015
Northern Blizzard Resources Inc.
Performance Awards Bokenfohr, Timothy Frank 5 21/08/2015 57 14,424 -3,606
Northern Blizzard Resources Inc.
Performance Awards Bokenfohr, Timothy Frank 5 21/08/2015 59 12,020 -2,404
Northern Blizzard Resources Inc.
Time-based Awards Bokenfohr, Timothy Frank 5 21/08/2015 57 14,424 -3,606
Northern Blizzard Resources Inc.
Time-based Awards Bokenfohr, Timothy Frank 5 21/08/2015 59 12,020 -2,404
Northern Blizzard Resources Inc.
Common Shares Bruce, Ian 4 21/08/2015 57 159,034 834
Northern Blizzard Resources Inc.
Common Shares Bruce, Ian 4 21/08/2015 57 159,868 834
Northern Blizzard Resources Inc.
Performance Awards Bruce, Ian 4 21/08/2015 57 -757
Northern Blizzard Resources Inc.
Performance Awards Bruce, Ian 4 21/08/2015 57 -747
Northern Blizzard Resources Inc.
Performance Awards Bruce, Ian 4 21/08/2015 57 3,003 -747
Northern Blizzard Resources Inc.
Performance Awards Bruce, Ian 4 21/08/2015 59 2,500 -503
Northern Blizzard Resources Inc.
Time-based Awards Bruce, Ian 4 21/08/2015 57 3,003 -747
Northern Blizzard Resources Inc.
Time-based Awards Bruce, Ian 4 21/08/2015 59 2,500 -503
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7619
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Northern Blizzard Resources Inc.
Common Shares Fisher, Gary Douglas 5 21/08/2015 57 31,643 2,389
Northern Blizzard Resources Inc.
Common Shares Fisher, Gary Douglas 5 21/08/2015 57 34,032 2,389
Northern Blizzard Resources Inc.
Performance Awards Fisher, Gary Douglas 5 21/08/2015 57 8,552 -2,138
Northern Blizzard Resources Inc.
Performance Awards Fisher, Gary Douglas 5 21/08/2015 59 7,127 -1,425
Northern Blizzard Resources Inc.
Time-based Awards Fisher, Gary Douglas 5 21/08/2015 57 8,552 -2,138
Northern Blizzard Resources Inc.
Time-based Awards Fisher, Gary Douglas 5 21/08/2015 59 7,127 -1,425
Northern Blizzard Resources Inc.
Common Shares Kvisle, Harold N. 4 21/08/2015 57 133,334 834
Northern Blizzard Resources Inc.
Common Shares Kvisle, Harold N. 4 21/08/2015 57 134,168 834
Northern Blizzard Resources Inc.
Performance Awards Kvisle, Harold N. 4 21/08/2015 57 3,003 -747
Northern Blizzard Resources Inc.
Performance Awards Kvisle, Harold N. 4 21/08/2015 59 2,500 -503
Northern Blizzard Resources Inc.
Time-based Awards Kvisle, Harold N. 4 21/08/2015 57 3,003 -747
Northern Blizzard Resources Inc.
Time-based Awards Kvisle, Harold N. 4 21/08/2015 59 2,500 -503
Northern Blizzard Resources Inc.
Common Shares Makinson, Michael James 5 21/08/2015 57 510,021 10,021
Northern Blizzard Resources Inc.
Common Shares Makinson, Michael James 5 21/08/2015 57 520,042 10,021
Northern Blizzard Resources Inc.
Performance Awards Makinson, Michael James 5 21/08/2015 57 36,037 -8,963
Northern Blizzard Resources Inc.
Performance Awards Makinson, Michael James 5 21/08/2015 59 30,000 -6,037
Northern Blizzard Resources Inc.
Time-based Awards Makinson, Michael James 5 21/08/2015 57 36,037 -8,963
Northern Blizzard Resources Inc.
Time-based Awards Makinson, Michael James 5 21/08/2015 59 30,000 -6,037
Northern Blizzard Resources Inc.
Common Shares Manner, Douglas Glenn 4 21/08/2015 57 72,575 1,075
Northern Blizzard Resources Inc.
Common Shares Manner, Douglas Glenn 4 21/08/2015 57 73,650 1,075
Northern Blizzard Resources Inc.
Performance Awards Manner, Douglas Glenn 4 21/08/2015 57 2,767 -983
Northern Blizzard Resources Inc.
Performance Awards Manner, Douglas Glenn 4 21/08/2015 59 2,480 -287
Northern Blizzard Resources Inc.
Time-based Awards Manner, Douglas Glenn 4 21/08/2015 57 2,767 -983
Northern Blizzard Resources Inc.
Time-based Awards Manner, Douglas Glenn 4 21/08/2015 59 2,480 -287
Northern Blizzard Resources Inc.
Common Shares McKenna, Cindi Lou Margaret
5 21/08/2015 57 203,130 2,727
Northern Blizzard Resources Inc.
Common Shares McKenna, Cindi Lou Margaret
5 21/08/2015 57 205,857 2,727
Northern Blizzard Resources Inc.
Performance Awards McKenna, Cindi Lou Margaret
5 21/08/2015 57 9,760 -2,440
Northern Blizzard Resources Inc.
Performance Awards McKenna, Cindi Lou Margaret
5 21/08/2015 59 8,134 -1,626
Northern Blizzard Resources Inc.
Time-based Awards McKenna, Cindi Lou Margaret
5 21/08/2015 57 9,760 -2,440
Northern Blizzard Resources Inc.
Time-based Awards McKenna, Cindi Lou Margaret
5 21/08/2015 59 8,134 -1,626
Northern Blizzard Resources Inc.
Common Shares Mullane, Wendy Anne 5 21/08/2015 57 72,567 2,392
Northern Blizzard Resources Inc.
Common Shares Mullane, Wendy Anne 5 21/08/2015 57 74,959 2,392
Northern Blizzard Resources Inc.
Performance Awards Mullane, Wendy Anne 5 21/08/2015 57 8,560 -2,140
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7620
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Northern Blizzard Resources Inc.
Performance Awards Mullane, Wendy Anne 5 21/08/2015 59 7,134 -1,426
Northern Blizzard Resources Inc.
Time-based Awards Mullane, Wendy Anne 5 21/08/2015 57 8,560 -2,140
Northern Blizzard Resources Inc.
Time-based Awards Mullane, Wendy Anne 5 21/08/2015 59 7,134 -1,426
Northern Blizzard Resources Inc.
Common Shares Pewar, Larry Lewis 5 21/08/2015 57 417,881 4,015
Northern Blizzard Resources Inc.
Common Shares Pewar, Larry Lewis 5 21/08/2015 57 421,896 4,015
Northern Blizzard Resources Inc.
Performance Awards Pewar, Larry Lewis 5 21/08/2015 57 14,424 -3,606
Northern Blizzard Resources Inc.
Performance Awards Pewar, Larry Lewis 5 21/08/2015 59 12,020 -2,404
Northern Blizzard Resources Inc.
Time-based Awards Pewar, Larry Lewis 5 21/08/2015 57 14,424 -3,606
Northern Blizzard Resources Inc.
Time-based Awards Pewar, Larry Lewis 5 21/08/2015 59 12,020 -2,404
Northern Blizzard Resources Inc.
Common Shares Rooney, John Ross 4, 5 21/08/2015 57 1,447,930 25,052
Northern Blizzard Resources Inc.
Common Shares Rooney, John Ross 4, 5 21/08/2015 57 1,472,982 25,052
Northern Blizzard Resources Inc.
Performance Awards Rooney, John Ross 4, 5 21/08/2015 57 90,094 -22,406
Northern Blizzard Resources Inc.
Performance Awards Rooney, John Ross 4, 5 21/08/2015 59 75,000 -15,094
Northern Blizzard Resources Inc.
Time-based Awards Rooney, John Ross 4, 5 21/08/2015 57 90,094 -22,406
Northern Blizzard Resources Inc.
Time-based Awards Rooney, John Ross 4, 5 21/08/2015 59 75,000 -15,094
Northern Blizzard Resources Inc.
Common Shares Will, Robert George 5 21/08/2015 57 205,817 4,015
Northern Blizzard Resources Inc.
Common Shares Will, Robert George 5 21/08/2015 57 209,832 4,015
Northern Blizzard Resources Inc.
Performance Awards Will, Robert George 5 21/08/2015 57 14,424 -3,606
Northern Blizzard Resources Inc.
Performance Awards Will, Robert George 5 21/08/2015 59 12,020 -2,404
Northern Blizzard Resources Inc.
Time-based Awards Will, Robert George 5 21/08/2015 57 14,424 -3,606
Northern Blizzard Resources Inc.
Time-based Awards Will, Robert George 5 21/08/2015 59 12,020 -2,404
Northern Frontier Corp. (formerly Frontier Acquisition Corp.)
Common Shares Clarke Inc. 3 21/08/2015 10 0.55 3,759,700 13,500
Northern Frontier Corp. (formerly Frontier Acquisition Corp.)
Common Shares Haynes, Trevor 4 21/08/2015 10 0.59 467,988 5,000
Northern Frontier Corp. (formerly Frontier Acquisition Corp.)
Common Shares Haynes, Trevor 4 24/08/2015 10 0.545 473,988 6,000
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Baker, Marcus 3, 4 16/04/2014 00
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Baker, Marcus 3, 4 25/08/2015 16 15,000 15,000
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Baker, Marcus 3, 4 25/08/2015 16 89,883 74,883
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Options Caldwell, Ciel R. 5 19/08/2015 50 324,912 30,000
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Ellis III, Alexander 3, 4 16/04/2014 00
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Ellis III, Alexander 3, 4 25/08/2015 16 15,000 15,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7621
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Hokin, Richard Neal 4 25/08/2015 16 228,500 15,000
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Hokin, Richard Neal 4 25/08/2015 16 273,883 45,383
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Leimkuhler, William Francis 4 25/08/2015 16 25,000 15,000
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Leimkuhler, William Francis 4 25/08/2015 16 62,441 37,441
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Lentz, Robert Leonard 4 16/04/2014 00
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Lentz, Robert Leonard 4 01/06/2015 10 0.638 9,500
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Lentz, Robert Leonard 4 01/06/2015 10 0.638 9,500
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Lentz, Robert Leonard 4 02/06/2015 10 0.67 1,500
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Lentz, Robert Leonard 4 02/06/2015 10 0.67 1,500
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Lentz, Robert Leonard 4 25/08/2015 16 15,000 15,000
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Lentz, Robert Leonard 4 25/08/2015 16 78,537 63,537
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Options Lynch, Jonathan 5 19/08/2015 50 274,701 15,000
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Options Mark, Elliot J. 5 19/08/2015 50 331,803 25,000
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Options Patton, Troy C. 4, 5 19/08/2015 50 807,007 50,000
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Simon, John 3, 4 21/08/2015 10 0.4421 972,000
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Simon, John 3, 4 21/08/2015 10 0.4421 972,000
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Simon, John 3, 4 21/08/2015 10 0.4421 972,000
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Simon, John 3, 4 21/08/2015 10 0.4421 972,000
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Simon, John 3, 4 21/08/2015 10 0.4421 1,219,300 972,000
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Simon, John 3, 4 25/08/2015 16 15,000
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Simon, John 3, 4 25/08/2015 16 15,000
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Simon, John 3, 4 25/08/2015 16 15,000
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Simon, John 3, 4 25/08/2015 16 81,691
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7622
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Simon, John 3, 4 25/08/2015 16 81,691
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Simon, John 3, 4 25/08/2015 16 81,691
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Simon, John 3, 4 25/08/2015 16 1,234,300 15,000
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Simon, John 3, 4 25/08/2015 16 1,315,991 81,691
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Options Willey, Lawrence Donald 5 19/08/2015 50 132,000 12,000
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Wolf, Gregory 4 21/07/2015 00 400
Northern Power Systems Corp. (formerly Mira III Acquisition Corp.)
Common Shares Wolf, Gregory 4 25/08/2015 16 15,400 15,000
Northland Power Inc. Common Shares Temerty, James C. 3 17/08/2015 30 14.604 94,253 236
Northland Power Inc. Common Shares Temerty, James C. 3 17/08/2015 30 14.604 299,316 1,833
Northland Power Inc. Common Shares Temerty, James C. 3 17/08/2015 30 14.604 10,137 62
Northland Power Inc. Common Shares Temerty, James C. 3 17/08/2015 30 14.604 43,622,331 91,637
Nouveau Monde Mining Enterprises Inc.
Common Shares Provencher, Richard 5 27/08/2015 16 0.15 319,412 100,000
Nouveau Monde Mining Enterprises Inc.
Warrants Provencher, Richard 5 27/08/2015 16 50,000 50,000
NOVAGOLD RESOURCES INC.
Common Shares Leathley, Gillyeard(Gil) James
4 28/08/2015 10 4.8988 72,623 -15,000
Nutritional High International Inc. (formerly, Sonoma Capital Inc.)
Convertible Debentures Subordinate
Posner, David 4, 5 17/11/2014 11 $50,000
Nutritional High International Inc. (formerly, Sonoma Capital Inc.)
Convertible Debentures Subordinate
Posner, David 4, 5 18/11/2014 11 $50,000
Nutritional High International Inc. (formerly, Sonoma Capital Inc.)
Convertible Debentures Subordinate
Posner, David 4, 5 18/01/2015 11 $50,000 $50,000
Nutritional High International Inc. (formerly, Sonoma Capital Inc.)
Convertible Debentures Subordinate
Rizas, Statis 4, 5 17/11/2014 11 $50,000
Nutritional High International Inc. (formerly, Sonoma Capital Inc.)
Convertible Debentures Subordinate
Rizas, Statis 4, 5 18/11/2014 11 $50,000
Nutritional High International Inc. (formerly, Sonoma Capital Inc.)
Convertible Debentures Subordinate
Rizas, Statis 4, 5 18/01/2015 11 $50,000 $50,000
Nutritional High International Inc. (formerly, Sonoma Capital Inc.)
Convertible Debentures Subordinate
Szweras, Adam Kelley 4, 5 17/11/2014 11 $50,000
Nutritional High International Inc. (formerly, Sonoma Capital Inc.)
Convertible Debentures Subordinate
Szweras, Adam Kelley 4, 5 17/11/2014 11 $50,000
Nutritional High International Inc. (formerly, Sonoma Capital Inc.)
Convertible Debentures Subordinate
Szweras, Adam Kelley 4, 5 18/11/2014 11 $50,000
Nutritional High International Inc. (formerly, Sonoma Capital Inc.)
Convertible Debentures Subordinate
Szweras, Adam Kelley 4, 5 18/11/2014 11 $50,000
Nutritional High International Inc. (formerly, Sonoma Capital Inc.)
Convertible Debentures Subordinate
Szweras, Adam Kelley 4, 5 18/01/2015 11 $50,000 $50,000
NYX Gaming Group Limited Common Shares Aizenstadt, Vladislav 5 21/11/2014 00
NYX Gaming Group Limited Common Shares Aizenstadt, Vladislav 5 19/12/2014 00 249,393
NYX Gaming Group Limited Options Aizenstadt, Vladislav 5 21/11/2014 00
NYX Gaming Group Limited Options Aizenstadt, Vladislav 5 19/12/2014 00
NYX Gaming Group Limited Common Shares Davey, Matthew Stuart 3, 4, 5 21/11/2014 00
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7623
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
NYX Gaming Group Limited Common Shares Davey, Matthew Stuart 3, 4, 5 19/12/2014 00 6,511,402
NYX Gaming Group Limited Common Shares Davey, Matthew Stuart 3, 4, 5 21/11/2014 00
NYX Gaming Group Limited Common Shares Davey, Matthew Stuart 3, 4, 5 19/12/2014 00 3,242,485
NYX Gaming Group Limited Common Shares Davey, Matthew Stuart 3, 4, 5 21/11/2014 00
NYX Gaming Group Limited Common Shares Davey, Matthew Stuart 3, 4, 5 19/12/2014 00 1,889,518
NYX Gaming Group Limited Options Davey, Matthew Stuart 3, 4, 5 21/11/2014 00
NYX Gaming Group Limited Options Davey, Matthew Stuart 3, 4, 5 19/12/2014 00 276,438
NYX Gaming Group Limited Options Hamilton, Arthur Elliott (IV) 5 21/11/2014 00
NYX Gaming Group Limited Options Hamilton, Arthur Elliott (IV) 5 19/12/2014 00
NYX Gaming Group Limited Common Shares Lindgren, Staffan Pär Gunnar
4, 7 21/11/2014 00
NYX Gaming Group Limited Common Shares Lindgren, Staffan Pär Gunnar
4, 7 19/12/2014 00 1,113,419
NYX Gaming Group Limited Common Shares Smith, Scott 7 21/11/2014 00
NYX Gaming Group Limited Common Shares Smith, Scott 7 19/12/2014 00 1,189,235
NYX Gaming Group Limited Options Smith, Scott 7 21/11/2014 00
NYX Gaming Group Limited Options Smith, Scott 7 19/12/2014 00 207,328
NYX Gaming Group Limited Options Stafford, Matthew James 5 21/11/2014 00
NYX Gaming Group Limited Options Stafford, Matthew James 5 19/12/2014 00
NYX Gaming Group Limited Common Shares Tekkorp Kapital (Cayman) LLC
3 21/11/2014 00
NYX Gaming Group Limited Common Shares Tekkorp Kapital (Cayman) LLC
3 19/12/2014 00 6,511,402
NYX Gaming Group Limited Common Shares Tekkorp Kapital Pty Ltd. 3 21/11/2014 00
NYX Gaming Group Limited Common Shares Tekkorp Kapital Pty Ltd. 3 19/12/2014 00 3,242,485
NYX Gaming Group Limited Common Shares Tekkorp Kapital Pty Ltd. 3 21/11/2014 00
NYX Gaming Group Limited Common Shares Tekkorp Kapital Pty Ltd. 3 19/12/2014 00 1,889,518
Oban Mining Corporation Options Anderson, Patrick Fergus Neill
4 25/08/2015 37 12,500 -237,500
Oban Mining Corporation Options Anderson, Patrick Fergus Neill
4 28/08/2015 50 1.2 262,500 250,000
Oban Mining Corporation Common Shares Burzynski, John Feliks 4 25/08/2015 37 357,398 -6,790,552
Oban Mining Corporation Options Burzynski, John Feliks 4 25/08/2015 37 14,500 -275,500
Oban Mining Corporation Options Burzynski, John Feliks 4 28/08/2015 50 1.2 864,500 850,000
Oban Mining Corporation Common Shares Calderon, Bernardo Alvarez 4 25/08/2015 37 15,233 -289,433
Oban Mining Corporation Options Calderon, Bernardo Alvarez 4 25/08/2015 37 12,500 -237,500
Oban Mining Corporation Options Calderon, Bernardo Alvarez 4 28/08/2015 50 1.2 262,500 250,000
Oban Mining Corporation Common Shares Christie, David William 4 25/08/2015 00 157,750
Oban Mining Corporation Options Christie, David William 4 25/08/2015 00
Oban Mining Corporation Options Christie, David William 4 28/08/2015 50 1.2 250,000 250,000
Oban Mining Corporation Warrants Christie, David William 4 25/08/2015 00 1,577,500
Oban Mining Corporation Common Shares Coates, Bryan A. 6 25/08/2015 00 95,000
Oban Mining Corporation Common Shares Coates, Bryan A. 6 25/08/2015 37 4,750 -90,250
Oban Mining Corporation Common Shares Goodman, Ned 4, 6 25/08/2015 00 438,728
Oban Mining Corporation Common Shares Harbort, Terence 7 25/08/2015 37 532 -10,105
Oban Mining Corporation Common Shares John, William Murray 4 25/08/2015 00 689,842
Oban Mining Corporation Options John, William Murray 4 25/08/2015 00
Oban Mining Corporation Options John, William Murray 4 28/08/2015 50 1.2 250,000 250,000
Oban Mining Corporation Common Shares Lodder, Chris Andrea 7 25/08/2015 37 25,796 -490,127
Oban Mining Corporation Common Shares McKay, Keith Douglas 4 25/08/2015 37 5,000 -95,000
Oban Mining Corporation Options McKay, Keith Douglas 4 25/08/2015 37 12,500 -237,500
Oban Mining Corporation Options McKay, Keith Douglas 4 28/08/2015 50 1.2 262,500 250,000
Oban Mining Corporation Common Shares OSISKO GOLD ROYALTIES LTD
3 25/08/2015 00 1,910,828
Oban Mining Corporation Common Shares OSISKO GOLD ROYALTIES LTD
3 25/08/2015 16 0.11 163,661,812 161,750,984
Oban Mining Corporation Common Shares OSISKO GOLD ROYALTIES LTD
3 25/08/2015 37 8,183,090 -155,478,722
Oban Mining Corporation Common Shares OSISKO GOLD ROYALTIES LTD
3 25/08/2015 22 29,037,930 20,854,840
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7624
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Oban Mining Corporation Common Shares OSISKO GOLD ROYALTIES LTD
3 25/08/2015 37 9,225,833 -19,812,097
Oban Mining Corporation Common Shares Roosen, Sean 3, 4 25/08/2015 37 731,642 -13,901,189
Oban Mining Corporation Options Roosen, Sean 3, 4 11/12/2012 00
Oban Mining Corporation Options Roosen, Sean 3, 4 28/08/2015 50 1.2 250,000 250,000
Oban Mining Corporation Common Shares Stagleap Incorporated 3 25/08/2015 37 913,278 -17,352,291
Oban Mining Corporation Common Shares Vizquerra, Jose 5 25/08/2015 37 122,752 -2,332,294
Oban Mining Corporation Options Vizquerra, Jose 5 25/08/2015 37 175,000 -3,325,000
Oban Mining Corporation Options Vizquerra, Jose 5 28/08/2015 50 1.2 575,000 400,000
Oban Mining Corporation Common Shares Wares, Robert 4 25/08/2015 37 96,416 -1,831,909
Oban Mining Corporation Options Wares, Robert 4 25/08/2015 37 12,500 -237,500
Oban Mining Corporation Options Wares, Robert 4 28/08/2015 50 1.2 262,500 250,000
Oban Mining Corporation Common Shares Wober, Gernot Erich 5 25/08/2015 37 4,900 -93,100
Oban Mining Corporation Options Wober, Gernot Erich 5 25/08/2015 37 52,500 -997,500
Oban Mining Corporation Options Wober, Gernot Erich 5 28/08/2015 50 1.2 352,500 300,000
Oban Mining Corporation Common Shares Zaritsky, Blair David 5 25/08/2015 37 6,314 -119,958
Oban Mining Corporation Options Zaritsky, Blair David 5 25/08/2015 37 52,500 -997,500
Oban Mining Corporation Options Zaritsky, Blair David 5 28/08/2015 50 1.2 352,500 300,000
OceanaGold Corporation Common Shares Holmes, Michael Harvy Lou 5 13/11/2014 10 2.1 10,000 10,000
OceanaGold Corporation Options Myckatyn, William Harry 4 28/08/2015 52 4.24 115,824 -3,005
OceanaGold Corporation Options Shale, James Denham 4 27/06/2014 51 100,000
OceanaGold Corporation Options Shale, James Denham 4 27/06/2014 51 0 -100,000
Oil Optimization Inc. Options Archibald, Jo-Anne 4 15/01/2015 00
Oil Optimization Inc. Options Archibald, Jo-Anne 4 20/08/2015 50 0.05 2,000,000 2,000,000
Olivut Resources Ltd. Common Shares Keough, Leni Edna Florence
4, 5 25/08/2015 10 0.085 613,031 10,000
Olivut Resources Ltd. Common Shares Keough, Leni Edna Florence
4, 5 28/08/2015 10 0.085 623,031 10,000
Olympia Financial Group Inc. Common Shares Skauge, Rick 3, 4, 5 24/08/2015 10 25.47 11,722 191
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units dato, edward j 4 24/08/2015 10 2.98 116,357 5,000
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units dato, edward j 4 24/08/2015 10 3 121,357 5,000
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 20/08/2015 10 3.23 4,484,700 30,000
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 20/08/2015 10 3.22 4,507,500 22,800
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 21/08/2015 10 3.23 4,527,800 20,300
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 21/08/2015 10 3.22 4,557,500 29,700
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 21/08/2015 10 3.21 4,567,500 10,000
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 21/08/2015 10 3.2 4,579,200 11,700
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 21/08/2015 10 3.19 4,584,600 5,400
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 24/08/2015 10 3.15 4,604,600 20,000
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 24/08/2015 10 3.1 4,614,600 10,000
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 24/08/2015 10 3.03 4,619,600 5,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7625
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 24/08/2015 10 3.02 4,625,300 5,700
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 24/08/2015 10 3 4,635,500 10,200
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 24/08/2015 10 2.95 4,645,500 10,000
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 24/08/2015 10 2.85 4,655,500 10,000
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 25/08/2015 10 3.11 4,675,500 20,000
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 25/08/2015 10 3.1 4,686,800 11,300
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 25/08/2015 10 3.095 4,705,500 18,700
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 25/08/2015 10 3.09 4,710,500 5,000
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 25/08/2015 10 3.08 4,715,500 5,000
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 25/08/2015 10 3.07 4,720,500 5,000
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 25/08/2015 10 3.05 4,725,500 5,000
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 25/08/2015 10 3.04 4,730,500 5,000
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 25/08/2015 10 3.03 4,740,500 10,000
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 25/08/2015 10 3.02 4,745,500 5,000
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 25/08/2015 10 3 4,755,500 10,000
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 26/08/2015 10 3.05 4,765,500 10,000
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 26/08/2015 10 3.04 4,775,500 10,000
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 26/08/2015 10 3.03 4,785,500 10,000
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 26/08/2015 10 3.02 4,810,500 25,000
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 26/08/2015 10 3.01 4,820,500 10,000
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 26/08/2015 10 3 4,825,500 5,000
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 27/08/2015 10 3.17 4,835,500 10,000
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Goldhar, Mitchell 3 27/08/2015 10 3.1 4,849,400 13,900
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7626
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
OneREIT (formerly Retrocom Real Estate Investment Trust)
Units Shapack, Andrew 4 24/08/2015 10 3.01 32,171 16,610
Opal Energy Corp. Common Shares Boddy, Brandon 4 28/05/2015 10 0.1035 1,035,500 -44,000
Opal Energy Corp. Common Shares Boddy, Brandon 4 24/08/2015 10 0.085 1,060,500 25,000
Opal Energy Corp. Common Shares Boddy, Brandon 4 25/08/2015 10 0.08 1,085,500 25,000
Opal Energy Corp. Common Shares Boddy, Brandon 4 25/08/2015 10 0.085 1,096,500 11,000
Open Source Health Inc. Common Shares Bartholomew, Gary 4, 5 24/08/2015 10 0.28 483,555 -45,000
Orefinders Resources Inc. Common Shares Stewart, Stephen Alexander Nelson
4 24/08/2015 10 0.01 773,000 201,000
Orefinders Resources Inc. Common Shares Stewart, Stephen Alexander Nelson
4 26/08/2015 10 0.01 813,000 40,000
Orvana Minerals Corp. Options Nunes, Joao 7 09/12/2014 00 100,000
Ovivo Inc. Subordinate Voting Shares GLV.A
LALANDE, Sylvie 4 25/08/2015 10 1.4 61,750 5,000
Ovivo Inc. Subordinate Voting Shares GLV.A
LALANDE, Sylvie 4 25/08/2015 10 1.44 63,015 1,265
Ovivo Inc. Subordinate Voting Shares GLV.A
LALANDE, Sylvie 4 25/08/2015 10 1.4285 65,195 2,180
Ovivo Inc. Subordinate Voting Shares GLV.A
Roy, François R. 4 25/08/2015 10 1.4 12,200 7,400
Painted Pony Petroleum Ltd. Common Shares Jaggard, Stuart 1 21/08/2015 10 5.75 25,370 5,900
Pan American Silver Corp. Common Shares Carroll, Michael Louis 4 26/08/2015 46 9.18 17,018 7,018
Pan American Silver Corp. Common Shares de Gelder, Neil 4 03/07/2015 10 10.75 11,521 2,000
Pan American Silver Corp. Common Shares de Gelder, Neil 4 26/08/2015 46 9.18 15,579 4,058
Pan American Silver Corp. Common Shares Dunn, Christopher Noel 4 26/08/2015 46 9.18 6,877 5,936
Pan American Silver Corp. Common Shares Press, David Clement 4 26/08/2015 46 9.18 9,449 4,058
Pan American Silver Corp. Common Shares Segsworth, Walter Thomas 4 26/08/2015 46 9.18 17,079 4,058
Paramount Resources Ltd. Common Shares Class A Jungé, Dirk 4 26/08/2015 10 8.3167 28,472 -12,000
Paramount Resources Ltd. Common Shares Class A Lee, Bernard K. 5 25/08/2015 10 11.34 7,430 3,000
Parkland Fuel Corporation Common Shares Espey, Robert Berthold 5 21/08/2015 10 21.3 116,768 5,000
Parkland Fuel Corporation Common Shares Strating, Donna Jeanne 5 24/08/2015 10 18.27 6,188 1,500
Partners Real Estate Investment Trust
Units Charlebois, Marc Yves Joseph
4 14/02/2014 00
Partners Real Estate Investment Trust
Units Charlebois, Marc Yves Joseph
4 21/08/2015 10 3.25 4,000 4,000
Partners Real Estate Investment Trust
Units Domenico, Jane 5 21/08/2015 10 3.2955 9,090
Partners Real Estate Investment Trust
Units Domenico, Jane 5 15/02/2014 00
Partners Real Estate Investment Trust
Units Domenico, Jane 5 21/08/2015 10 3.2955 9,090 9,090
Partners Real Estate Investment Trust
Units Domenico, Jane 5 24/08/2015 10 3.02 10,490 1,400
Partners Real Estate Investment Trust
Units John, Dexter 4 10/06/2014 00
Partners Real Estate Investment Trust
Units John, Dexter 4 25/08/2015 10 3.11 1,000 1,000
Partners Real Estate Investment Trust
Convertible Debentures Kimberley, Allan Scott 4 17/06/2015 00
Partners Real Estate Investment Trust
Convertible Debentures Kimberley, Allan Scott 4 24/08/2015 10 84 $10,000 $10,000
Partners Real Estate Investment Trust
Convertible Debentures Kimberley, Allan Scott 4 28/08/2015 10 85.99 $31,000 $21,000
Partners Real Estate Investment Trust
Units Kimberley, Allan Scott 4 24/08/2015 10 3.06 30,000 10,000
Partners Real Estate Investment Trust
Units McCowan, Ronald 3 19/08/2015 10 3.34 4,529,737 6,100
Partners Real Estate Investment Trust
Units McCowan, Ronald 3 21/08/2015 10 3.34 4,572,337 42,600
Partners Real Estate Investment Trust
Units McCowan, Ronald 3 24/08/2015 10 3.05 4,637,337 65,000
Partners Real Estate Investment Trust
Units McCowan, Ronald 3 24/08/2015 10 3.02 4,802,237 164,900
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7627
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Partners Real Estate Investment Trust
Units McCowan, Ronald 3 24/08/2015 10 2.95 4,833,237 31,000
Partners Real Estate Investment Trust
Units McCowan, Ronald 3 24/08/2015 10 2.93 4,833,337 100
Partners Real Estate Investment Trust
Units McCowan, Ronald 3 24/08/2015 10 2.92 4,837,337 4,000
Pason Systems Inc. common share options Dudar, Ronald 5 28/08/2015 51 229,000 -5,000
Pason Systems Inc. Common Shares Dudar, Ronald 5 28/08/2015 51 18,220 5,000
Pason Systems Inc. Common Shares Dudar, Ronald 5 28/08/2015 10 19 13,220 -5,000
Pathfinder Income Fund Trust Units Pathfinder Convertible Debenture Fund
1 21/08/2015 38 9.296 8,185,883 1,500
Pathfinder Income Fund Trust Units Pathfinder Convertible Debenture Fund
1 25/08/2015 38 9.1676 8,187,583 1,700
Pathfinder Income Fund Trust Units Pathfinder Convertible Debenture Fund
1 26/08/2015 38 9.26 8,188,083 500
Pathfinder Income Fund Trust Units Pathfinder Convertible Debenture Fund
1 27/08/2015 38 9.38 8,189,283 1,200
Pediapharm Inc. Common Shares Chretien, Sylvain 3, 4, 5 25/08/2015 46 0.34 2,723,618 88,235
Pediapharm Inc. Common Shares Hébert, Benoît 5 25/08/2015 46 0.34 344,139 45,588
Pediapharm Inc. Common Shares Labelle, Richard 5 17/02/2014 00
Pediapharm Inc. Common Shares Labelle, Richard 5 25/08/2015 46 0.34 34,559 34,559
Pembina Pipeline Corporation
Common Shares O'Donoghue, Leslie 4 24/08/2015 10 33.79 15,059 130
Pembina Pipeline Corporation
Common Shares O'Donoghue, Leslie 4 24/08/2015 10 33.8 15,459 400
Perisson Petroleum Corporation
Common Shares Nichol, Bradley Clifford 4 24/08/2015 11 0.05 1,000 1,000
Perisson Petroleum Corporation
Common Shares Rousch, Wayne John 5 24/08/2015 47 0.05 10,000 10,000
Perpetual Energy Inc. Common Shares Riddell Rose, Susan 4, 5 24/08/2015 10 0.529 1,593,100 25,000
Petroamerica Oil Corp. Common Shares Wagner, Colin 5 29/07/2015 37 14,400 -129,600
Petroamerica Oil Corp. Common Shares Wagner, Colin 5 29/07/2015 37 66,350 -597,150
Petroamerica Oil Corp. Options Wagner, Colin 5 29/07/2015 37 4,370,000 -630,000
Petroamerica Oil Corp. Options Wagner, Colin 5 29/07/2015 37 4,190,000 -180,000
Petroamerica Oil Corp. Options Wagner, Colin 5 29/07/2015 37 3,515,000 -675,000
Petroamerica Oil Corp. Options Wagner, Colin 5 29/07/2015 37 2,165,000 -1,350,000
Petroamerica Oil Corp. Options Wagner, Colin 5 29/07/2015 37 1,625,000 -540,000
Petroamerica Oil Corp. Options Wagner, Colin 5 29/07/2015 37 500,000 -1,125,000
Petroamerica Oil Corp. Rights Stock Appreciation Rights
Wagner, Colin 5 29/07/2015 37 210,000 -1,890,000
Petrodorado Energy Ltd. Options Yates, Peter Wilson 4 06/02/2015 00
Petrodorado Energy Ltd. Options Yates, Peter Wilson 4 23/07/2015 50 100,000 100,000
Petrolympic Ltd. Common Shares Ekstein, Brocha 3 19/08/2015 10 0.091 15,174,607 5,000
Petrolympic Ltd. Common Shares Ekstein, Brocha 3 20/08/2015 10 0.086 15,192,607 18,000
Petrolympic Ltd. Common Shares Ekstein, Brocha 3 21/08/2015 10 0.086 15,197,607 5,000
Pine Cliff Energy Ltd. Common Shares Disbrow, Robert 3 19/08/2015 10 0.9836 11,832,500 27,500
Pine Cliff Energy Ltd. Common Shares Disbrow, Robert 3 20/08/2015 10 0.976 11,845,000 12,500
Pine Cliff Energy Ltd. Common Shares Disbrow, Robert 3 21/08/2015 10 0.9171 11,900,000 55,000
Pine Cliff Energy Ltd. Common Shares Disbrow, Robert 3 25/08/2015 10 0.95 11,925,000 25,000
Pine Cliff Energy Ltd. Common Shares Disbrow, Robert 3 26/08/2015 10 0.9395 11,947,000 22,000
Pizza Pizza Royalty Corp. Common Shares Methot, Paul David 6, 7 24/08/2015 10 12.9 23,000 1,000
Plaza Retail REIT Trust Units Brewer, Earl 4, 5 21/08/2015 10 4.2 3,950,968 16,600
Plaza Retail REIT Trust Units Zakuta, Michael Aaron 3, 4, 5 24/08/2015 10 4.2 230,700 10,000
Polaris Infrastructure Inc. (formerly Ram Power, Corp.)
Common Shares Bernhard, Jorge 4 27/08/2015 10 10 21,800 9,300
Polaris Infrastructure Inc. (formerly Ram Power, Corp.)
Common Shares Bernhard, Jorge 4 27/08/2015 10 9.475 21,900 100
Polaris Infrastructure Inc. (formerly Ram Power, Corp.)
Common Shares Bernhard, Jorge 4 27/08/2015 10 9.64 22,300 400
Polaris Infrastructure Inc. (formerly Ram Power, Corp.)
Common Shares Bernhard, Jorge 4 27/08/2015 10 9.65 22,500 200
Polaris Infrastructure Inc. (formerly Ram Power, Corp.)
Common Shares Downey, Shane 5 15/05/2015 00
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7628
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Polaris Infrastructure Inc. (formerly Ram Power, Corp.)
Common Shares Downey, Shane 5 26/08/2015 10 8.4 12,000
Polaris Infrastructure Inc. (formerly Ram Power, Corp.)
Common Shares Downey, Shane 5 26/08/2015 10 8.4 12,000 12,000
Polymet Mining Corp. Common Shares Dreisinger, David Bruce 4 20/08/2015 10 646,659 -72,600
Posera-HDX Limited Common Shares Shulman, Allen 5 27/08/2015 10 0.3 1,068,258 -25,000
Power Corporation of Canada
Equity Swap - Long Position PCC 2015-08
Power Corporation of Canada
1 17/02/2000 00
Power Corporation of Canada
Equity Swap - Long Position PCC 2015-08
Power Corporation of Canada
1 19/08/2015 70 29.73 1 1
Power Financial Corporation Equity Swap - Long Position PFC 2015-08
POWER FINANCIAL CORPORATION
1 05/10/2001 00
Power Financial Corporation Equity Swap - Long Position PFC 2015-08
POWER FINANCIAL CORPORATION
1 19/08/2015 70 33.15 1 1
Power Financial Corporation Equity Swap - Long Position PFC 2015-08
POWER FINANCIAL CORPORATION
1 05/10/2001 00
Power Financial Corporation Equity Swap - Long Position PFC 2015-08
POWER FINANCIAL CORPORATION
1 05/10/2001 00
Power Financial Corporation Equity Swap - Long Position PFC 2015-08
POWER FINANCIAL CORPORATION
1 19/08/2015 70 33.15 1
Power Financial Corporation Equity Swap - Long Position PFC 2015-08
POWER FINANCIAL CORPORATION
1 19/08/2015 70 33.15 1
Precision Drilling Corporation Deferred Share Units Donovan, William T. 4 21/08/2015 30 26,251 333
Precision Drilling Corporation Deferred Share Units - effective January 1, 2012
Donovan, William T. 4 21/08/2015 30 38,078 441
Precision Drilling Corporation Common Shares Espeland, Niels 5 25/08/2015 10 5.4 3,500 1,500
Precision Drilling Corporation Common Shares Gibson, Brian James 4 25/08/2015 10 5.5 50,000 15,000
Precision Drilling Corporation Deferred Share Units - effective January 1, 2012
Gibson, Brian James 4 21/08/2015 35 5.97 56,047 649
Precision Drilling Corporation Deferred Share Units Hagerman, Allen R. 4 21/08/2015 30 62,944 799
Precision Drilling Corporation Deferred Share Units - effective January 1, 2012
Hagerman, Allen R. 4 21/08/2015 30 62,573 725
Precision Drilling Corporation Deferred Share Units - effective January 1, 2012
Hughes, Catherine Jeanne 4 21/08/2015 30 33,626 389
Precision Drilling Corporation Deferred Share Units - effective January 1, 2012
Krablin, Steven Wayne 4 21/08/2015 30 1,797 20
Precision Drilling Corporation Deferred Share Units Letwin, Stephen Joseph James
4 21/08/2015 30 66,503 846
Precision Drilling Corporation Deferred Share Units - effective January 1, 2012
Letwin, Stephen Joseph James
4 21/08/2015 30 44,826 519
Precision Drilling Corporation Deferred Share Units Meyers, Kevin Omar 4 21/08/2015 30 2,767 34
Precision Drilling Corporation Deferred Share Units - effective January 1, 2012
Meyers, Kevin Omar 4 21/08/2015 30 40,976 475
Precision Drilling Corporation Common Shares Neveu, Kevin A. 4, 5 25/08/2015 10 5.5 505,442 5,000
Precision Drilling Corporation Deferred Share Units Phillips, Robert L. 4 21/08/2015 30 34,734 439
Precision Drilling Corporation Deferred Share Units - effective January 1, 2012
Phillips, Robert L. 4 21/08/2015 30 38,077 441
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Common Shares GRIMALDI, LORETO 5 31/03/2015 10 36.87 3,526
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Common Shares GRIMALDI, LORETO 5 31/03/2015 30 36.87 3,526
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Common Shares GRIMALDI, LORETO 5 31/03/2015 30 36.87 5,401 2,700
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Common Shares GRIMALDI, LORETO 5 25/08/2015 97 0 -6,379
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units GRIMALDI, LORETO 5 07/07/2014 00
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units GRIMALDI, LORETO 5 07/07/2014 00 1,435
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units GRIMALDI, LORETO 5 15/07/2014 30 26.94 1,444 9
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units GRIMALDI, LORETO 5 15/10/2014 30 28.31 1,452 8
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units GRIMALDI, LORETO 5 15/01/2015 30 34.69 1,459 7
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7629
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units GRIMALDI, LORETO 5 31/03/2015 56 34.93 7,042 5,583
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units GRIMALDI, LORETO 5 15/04/2015 30 37.87 7,072 30
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units GRIMALDI, LORETO 5 15/07/2015 30 32.83 37
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units GRIMALDI, LORETO 5 15/07/2015 30 32.83 37
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units GRIMALDI, LORETO 5 15/07/2015 30 32.83 7,109 37
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Restricted Share Units GRIMALDI, LORETO 5 07/07/2014 00 6,379
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Common Shares KIDSON, IAN 5 31/03/2015 10 36.87 4,719
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Common Shares KIDSON, IAN 5 31/03/2015 30 36.87 4,719
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Common Shares KIDSON, IAN 5 31/03/2015 30 36.87 12,562 3,614
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Common Shares KIDSON, IAN 5 25/08/2015 97 0 -14,529
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Options KIDSON, IAN 5 25/08/2015 50 35.19 239,745 200,000
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units KIDSON, IAN 5 15/08/2012 00 19,072
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units KIDSON, IAN 5 15/10/2012 30 19.99 19,206 134
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units KIDSON, IAN 5 16/01/2013 30 21.41 19,332 126
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units KIDSON, IAN 5 26/03/2013 30 21.48 28,061 8,729
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units KIDSON, IAN 5 15/04/2013 30 21.13 28,247 186
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units KIDSON, IAN 5 15/07/2013 30 24.34 28,409 162
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units KIDSON, IAN 5 15/10/2013 30 26.59 28,569 160
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units KIDSON, IAN 5 15/01/2014 30 26.02 28,734 165
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units KIDSON, IAN 5 19/03/2014 56 26.27 36,823 8,089
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units KIDSON, IAN 5 15/04/2014 30 27.66 37,023 200
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units KIDSON, IAN 5 15/07/2014 30 26.94 37,243 220
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units KIDSON, IAN 5 15/10/2014 30 28.31 37,453 210
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units KIDSON, IAN 5 31/12/2014 97 17,320 -20,133
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units KIDSON, IAN 5 15/01/2015 30 34.69 17,400 80
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units KIDSON, IAN 5 31/03/2015 56 34.93 24,872 7,472
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units KIDSON, IAN 5 15/04/2015 30 37.87 24,977 105
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units KIDSON, IAN 5 15/07/2015 30 32.83 25,106 129
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Restricted Share Units KIDSON, IAN 5 15/08/2012 00 14,529
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Common Shares MILLER, THOMAS 5 24/07/2014 00
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Common Shares MILLER, THOMAS 5 24/07/2014 00
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Common Shares MILLER, THOMAS 5 24/07/2014 00 4,926
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Common Shares MILLER, THOMAS 5 31/03/2015 10 29.59 3,008
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7630
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Common Shares MILLER, THOMAS 5 31/03/2015 30 29.57 3,008
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Common Shares MILLER, THOMAS 5 31/03/2015 30 29.57 7,100 2,174
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Common Shares MILLER, THOMAS 5 27/08/2015 97 0 -8,424
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units MILLER, THOMAS 5 24/07/2014 00
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units MILLER, THOMAS 5 24/07/2014 00 14,823
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units MILLER, THOMAS 5 15/10/2014 30 28.31 14,907 84
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units MILLER, THOMAS 5 31/12/2014 97 9,404 -5,503
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units MILLER, THOMAS 5 15/01/2015 30 34.69 9,447 43
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units MILLER, THOMAS 5 31/03/2015 30 34.93 13,267 3,820
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units MILLER, THOMAS 5 15/04/2015 30 37.87 13,323 56
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units MILLER, THOMAS 5 15/07/2015 30 37.87 13,392 69
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Restricted Share Units MILLER, THOMAS 5 24/07/2014 00 8,424
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Common Shares Pio, Domenic Dan 5 31/03/2015 10 36.87 4,813
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Common Shares Pio, Domenic Dan 5 31/03/2015 30 36.87 4,813
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Common Shares Pio, Domenic Dan 5 31/03/2015 30 36.87 73,333 3,686
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Common Shares Pio, Domenic Dan 5 25/08/2015 97 0 -75,342
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Pio, Domenic Dan 5 23/03/2010 00
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Pio, Domenic Dan 5 16/03/2012 56 19.93 21,074 21,074
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Pio, Domenic Dan 5 16/04/2012 30 21.85 21,209 135
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Pio, Domenic Dan 5 16/07/2012 30 19.64 21,360 151
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Pio, Domenic Dan 5 16/07/2012 30 19.64 150
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Pio, Domenic Dan 5 15/10/2012 30 19.64 21,510 150
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Pio, Domenic Dan 5 16/01/2013 30 26.02 21,651 141
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Pio, Domenic Dan 5 26/03/2013 56 21.48 31,428 9,777
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Pio, Domenic Dan 5 15/04/2013 30 21.13 31,636 208
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Pio, Domenic Dan 5 15/07/2013 30 24.34 31,818 182
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Pio, Domenic Dan 5 15/10/2013 30 26.59 31,997 179
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Pio, Domenic Dan 5 15/01/2014 30 26.02 32,181 184
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Pio, Domenic Dan 5 26/03/2014 56 26.27 40,460 8,279
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Pio, Domenic Dan 5 15/04/2014 30 27.66 40,679 219
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Pio, Domenic Dan 5 15/07/2014 30 26.94 40,921 242
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Pio, Domenic Dan 5 15/10/2014 30 28.31 41,152 231
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Pio, Domenic Dan 5 31/12/2014 97 18,603 -22,549
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7631
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Pio, Domenic Dan 5 15/01/2015 30 34.69 18,689 86
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Pio, Domenic Dan 5 31/03/2015 56 34.93 26,311 7,622
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Pio, Domenic Dan 5 15/04/2015 30 37.87 26,422 111
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Pio, Domenic Dan 5 15/07/2015 30 32.83 26,559 137
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Restricted Share Units Pio, Domenic Dan 5 23/03/2010 00 75,342
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Common Shares Quarin, Joseph 4, 5 31/03/2015 10 36.87 12,206
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Common Shares Quarin, Joseph 4, 5 31/03/2015 30 36.87 12,206
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Common Shares Quarin, Joseph 4, 5 31/03/2015 30 36.87 12,206
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Common Shares Quarin, Joseph 4, 5 31/03/2015 30 36.87 109,129 9,348
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Common Shares Quarin, Joseph 4, 5 25/08/2015 97 0 -114,192
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Quarin, Joseph 4, 5 01/10/2008 00
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Quarin, Joseph 4, 5 16/03/2012 56 19.93 50,802 50,802
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Quarin, Joseph 4, 5 16/04/2012 30 21.85 51,127 325
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Quarin, Joseph 4, 5 16/07/2012 30 19.64 51,491 364
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Quarin, Joseph 4, 5 16/07/2012 30 19.64 361
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Quarin, Joseph 4, 5 15/10/2012 30 19.64 51,852 361
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Quarin, Joseph 4, 5 16/01/2013 30 21.41 52,191 339
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Quarin, Joseph 4, 5 26/03/2013 56 21.48 75,760 23,569
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Quarin, Joseph 4, 5 15/04/2013 30 21.13 76,262 502
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Quarin, Joseph 4, 5 15/07/2013 30 24.34 76,701 439
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Quarin, Joseph 4, 5 15/10/2013 30 26.59 77,134 433
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Quarin, Joseph 4, 5 15/01/2014 30 26.02 77,579 445
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Quarin, Joseph 4, 5 19/03/2014 56 26.27 98,278 20,699
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Quarin, Joseph 4, 5 15/04/2014 30 27.66 98,811 533
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Quarin, Joseph 4, 5 15/07/2014 30 26.94 99,398 587
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Quarin, Joseph 4, 5 15/10/2014 30 28.31 99,959 561
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Quarin, Joseph 4, 5 31/12/2014 97 45,601 -54,358
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Quarin, Joseph 4, 5 15/01/2015 30 34.69 45,811 210
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Quarin, Joseph 4, 5 31/03/2015 56 34.93 65,135 19,324
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Quarin, Joseph 4, 5 15/04/2015 30 37.87 65,410 275
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units Quarin, Joseph 4, 5 15/07/2015 30 32.83 65,749 339
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Restricted Share Units Quarin, Joseph 4, 5 01/10/2008 00 114,192
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Common Shares WALBRIDGE, KEVIN CHARLES
5 10/03/2015 10 29.59 6,557
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7632
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Common Shares WALBRIDGE, KEVIN CHARLES
5 31/03/2015 30 29.59 6,557
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Common Shares WALBRIDGE, KEVIN CHARLES
5 31/03/2015 30 29.59 55,329 4,737
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Common Shares WALBRIDGE, KEVIN CHARLES
5 25/08/2015 97 0 -58,218
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Options WALBRIDGE, KEVIN CHARLES
5 25/08/2015 50 35.19 428,006 400,000
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units WALBRIDGE, KEVIN CHARLES
5 10/10/2013 00 5,408
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units WALBRIDGE, KEVIN CHARLES
5 15/10/2013 30 28.31 5,439 31
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units WALBRIDGE, KEVIN CHARLES
5 15/01/2014 30 26.02 5,470 31
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units WALBRIDGE, KEVIN CHARLES
5 19/03/2014 56 26.27 14,511 9,041
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units WALBRIDGE, KEVIN CHARLES
5 15/04/2014 30 27.66 14,590 79
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units WALBRIDGE, KEVIN CHARLES
5 15/07/2014 30 26.94 14,677 87
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units WALBRIDGE, KEVIN CHARLES
5 15/10/2014 30 28.31 14,760 83
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units WALBRIDGE, KEVIN CHARLES
5 15/01/2015 30 34.69 14,828 68
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units WALBRIDGE, KEVIN CHARLES
5 31/03/2015 56 34.93 23,159 8,331
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units WALBRIDGE, KEVIN CHARLES
5 15/04/2015 30 37.87 23,257 98
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Performance Share Units WALBRIDGE, KEVIN CHARLES
5 15/07/2015 30 32.83 23,377 120
Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)
Restricted Share Units WALBRIDGE, KEVIN CHARLES
5 10/10/2013 00 58,218
ProMetic Life Sciences Inc. Unités d'actions restreintes / Restricted Share Units
Burton, Steven J. 7 25/08/2015 56 1.71 223,000 125,000
ProMetic Life Sciences Inc. Unités d'actions restreintes / Restricted Share Units
Chen, Dwun-Hou 7 25/08/2015 56 1.71 587,500 250,000
ProMetic Life Sciences Inc. Common Shares CLULOW, KURT STEFAN VICTOR
4 21/08/2015 10 1.8 5,999,598 1,000,000
ProMetic Life Sciences Inc. Common Shares Laurin, Pierre 4, 5 24/08/2015 10 1.58 406,064 41,400
ProMetic Life Sciences Inc. Common Shares Laurin, Pierre 4, 5 24/08/2015 10 1.605 406,464 400
ProMetic Life Sciences Inc. Common Shares Laurin, Pierre 4, 5 21/08/2015 10 1.85 1,691,115 16,000
ProMetic Life Sciences Inc. Common Shares Laurin, Pierre 4, 5 21/08/2015 10 1.83 31,300 2,400
ProMetic Life Sciences Inc. Unités d'actions restreintes / Restricted Share Units
Laurin, Pierre 4, 5 25/08/2015 56 1.71 3,107,473 1,189,473
ProMetic Life Sciences Inc. Unités d'actions restreintes / Restricted Share Units
Moran, John Edward 4 25/08/2015 56 1.71 692,894 257,894
ProMetic Life Sciences Inc. Common Shares Orr-Gaucher, Nancy 4 21/08/2015 51 0.15 80,556 50,000
ProMetic Life Sciences Inc. Common Shares Orr-Gaucher, Nancy 4 21/08/2015 10 1.84 61,285 -19,271
ProMetic Life Sciences Inc. Common Shares Orr-Gaucher, Nancy 4 21/08/2015 10 1.83 60,385 -900
ProMetic Life Sciences Inc. Common Shares Orr-Gaucher, Nancy 4 21/08/2015 51 0.34 110,385 50,000
ProMetic Life Sciences Inc. Common Shares Orr-Gaucher, Nancy 4 21/08/2015 10 1.83 86,502 -23,883
ProMetic Life Sciences Inc. Common Shares Orr-Gaucher, Nancy 4 21/08/2015 51 0.12 136,502 50,000
ProMetic Life Sciences Inc. Common Shares Orr-Gaucher, Nancy 4 21/08/2015 10 1.84 126,996 -9,506
ProMetic Life Sciences Inc. Common Shares Orr-Gaucher, Nancy 4 21/08/2015 10 1.83 116,918 -10,078
ProMetic Life Sciences Inc. Common Shares Orr-Gaucher, Nancy 4 21/08/2015 51 1.1 250,577 133,659
ProMetic Life Sciences Inc. Common Shares Orr-Gaucher, Nancy 4 21/08/2015 10 1.1 147,038 -103,539
ProMetic Life Sciences Inc. Common Shares Orr-Gaucher, Nancy 4 21/08/2015 90 137,921 -9,117
ProMetic Life Sciences Inc. Common Shares Orr-Gaucher, Nancy 4 24/08/2015 10 1.75 92,800 2,800
ProMetic Life Sciences Inc. Common Shares Orr-Gaucher, Nancy 4 21/08/2015 90 35,117 9,117
ProMetic Life Sciences Inc. Options Orr-Gaucher, Nancy 4 21/08/2015 51 0.15 314,369 -50,000
ProMetic Life Sciences Inc. Options Orr-Gaucher, Nancy 4 21/08/2015 51 0.34 264,369 -50,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7633
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
ProMetic Life Sciences Inc. Options Orr-Gaucher, Nancy 4 21/08/2015 51 0.12 214,369 -50,000
ProMetic Life Sciences Inc. Options Orr-Gaucher, Nancy 4 21/08/2015 51 1.1 80,710 -133,659
ProMetic Life Sciences Inc. Unités d'actions restreintes / Restricted Share Units
Pritchard, Bruce 5 25/08/2015 56 1.71 1,152,836 467,836
ProMetic Life Sciences Inc. Unités d'actions restreintes / Restricted Share Units
Sartore, Patrick 5 25/08/2015 56 1.71 981,586 467,836
ProMIS Neurosciences Inc. Options Clennett, Janet Barbara 5 15/08/2015 00 186,833
Prosper Gold Corp. (formerly Lander Energy Corporation)
Common Shares Bernier, Peter 4 24/08/2015 10 0.08 5,595,500 50,000
PUDO Inc. Common Shares Bijou, Thomas Frank 4 14/07/2015 00
PUDO Inc. Common Shares Bijou, Thomas Frank 4 20/08/2015 11 0.63 30,000 30,000
PUDO Inc. Common Shares Westerman, Howard 4 20/08/2015 11 0.63 866,849 70,000
Puma Exploration Inc. Common Shares Robillard, Marcel 4, 5 24/08/2015 10 0.095 1,153,000 3,000
Pure Multi-Family REIT LP Convertible Debentures RUF.DB.U
Scott, Douglas R. 4 24/08/2015 10 99 $23,000 $4,000
Pure Multi-Family REIT LP Limited Partnership Units Class A
Shillington, Scott 5 24/08/2015 10 5.1 8,000 1,000
PWC Capital Inc. (formerly Pacific & Western Credit Corp.)
Notes Promissory Note rate of 7.5% per annum maturing Feb. 26/16
340268 Ontario Limited 3 30/04/2010 00
PWC Capital Inc. (formerly Pacific & Western Credit Corp.)
Notes Promissory Note rate of 7.5% per annum maturing Feb. 26/16
340268 Ontario Limited 3 27/08/2015 16 $2,800,000 $2,800,000
PWC Capital Inc. (formerly Pacific & Western Credit Corp.)
Promissory Notes Interest rate of 6% per annum maturing on 10/31/2017
340268 Ontario Limited 3 27/08/2015 38 $0 -$1,000,000
QHR Corporation Options Glenn, Gordon Stone 4 26/08/2015 50 1.19 300,000 50,000
QHR Corporation Options Liston, Thomas Craig 4 26/08/2015 50 1.19 150,000 50,000
QHR Corporation Common Shares McDonnell, David Neil 4 17/06/2015 00
QHR Corporation Common Shares McDonnell, David Neil 4 24/08/2015 10 1.14 20,000 20,000
Quartet Resources Limited Common Shares Challis, Jonathan 4 11/12/2014 38 -50,000
Quartet Resources Limited Common Shares Challis, Jonathan 4 11/12/2014 38 50,000 -50,000
Quartet Resources Limited Common Shares Kahn, Michael 3, 4 11/12/2014 38 -800,000
Quartet Resources Limited Common Shares Kahn, Michael 3, 4 11/12/2014 38 800,000 -800,000
Quartet Resources Limited Common Shares Reading, Simon 3, 4, 5 11/12/2014 38 -750,000
Quartet Resources Limited Common Shares Reading, Simon 3, 4, 5 11/12/2014 38 750,000 -750,000
Quartet Resources Limited Common Shares Rosychuk, Jason 4, 5 11/12/2014 38 -100,000
Quartet Resources Limited Common Shares Rosychuk, Jason 4, 5 11/12/2014 38 100,000 -100,000
Quartet Resources Limited Common Shares Varanese, James 4 11/12/2014 38 -50,000
Quartet Resources Limited Common Shares Varanese, James 4 11/12/2014 38 50,000 -50,000
Quartet Resources Limited Common Shares VLFT 1 Limited 3 11/12/2014 38 -1,200,000
Quartet Resources Limited Common Shares VLFT 1 Limited 3 11/12/2014 38 1,200,000 -1,200,000
Quinsam Capital Corporation Common Shares Szustak, Eric 3 25/08/2015 10 0.14 620,500 -5,000
R Split III Corp. Capital Shares Barltrop, James William Spencer
4 26/08/2015 10 16.2 1,200 200
Raging River Exploration Inc. Common Shares Olson, Kevin 4 21/08/2015 10 7.4702 1,296,632 -29,000
Raging River Exploration Inc. Common Shares Olson, Kevin 4 27/08/2015 10 7.6412 1,275,632 -21,000
Raging River Exploration Inc. Common Shares ROSZELL, NEIL JACK 4 27/08/2015 10 7.45 5,106,275 -200,000
Raging River Exploration Inc. Common Shares SAPIEHA, JERRY MICHAEL
5 28/08/2015 10 8.09 1,180,437 -50,000
Raging River Exploration Inc. Common Shares SAPIEHA, JERRY MICHAEL
5 27/08/2015 10 7.7 1,259,077 -100,000
Range Energy Resources Inc.
Options beukman, eugene 5 24/09/2012 00
Range Energy Resources Inc.
Options beukman, eugene 5 26/08/2015 50 0.1 250,000 250,000
Rare Element Resources Ltd.
Options Anderson, Myles Norman 4 02/01/2014 51 0.58 -150,000
Rare Element Resources Ltd.
Options Anderson, Myles Norman 4 02/01/2014 51 0.58 150,000 -150,000
Rare Element Resources Ltd.
Common Shares Byers, George 5 06/11/2014 11 1.07 115,000 35,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7634
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Rare Element Resources Ltd.
Common Shares Byers, George 5 06/11/2014 11 1.05 120,000 5,000
Rare Element Resources Ltd.
Options Zink, Paul Harper 5 12/12/2013 00
Rare Element Resources Ltd.
Options Zink, Paul Harper 5 12/12/2013 00
Raven Rock Strategic Income Fund
Units Arrow Capital Management Inc.
7 24/08/2015 10 6.66 11,500 500
Ravensource Fund (formerly The First Asia Income Fund)
Trust Units Reid, Scott 3 24/08/2015 10 12.25 160,000 300
Ravensource Fund (formerly The First Asia Income Fund)
Trust Units Reid, Scott 3 25/08/2015 10 12.25 160,500 500
Red Eagle Mining Corporation
Common Shares Liberty Metals & Mining Holdings, LLC
3 20/08/2015 16 0.27 33,622,710 4,200,000
REIT INDEXPLUS Income Fund
Trust Units REIT INDEXPLUS Income Fund
1 25/08/2015 38 12.18 7,913,578 500
REIT INDEXPLUS Income Fund
Trust Units REIT INDEXPLUS Income Fund
1 26/08/2015 38 12.15 7,914,078 500
REIT INDEXPLUS Income Fund
Trust Units REIT INDEXPLUS Income Fund
1 27/08/2015 38 12.23 7,914,578 500
Relentless Resources Ltd. Common Shares Peshke, Ronald John 4 25/08/2015 10 0.13 7,777,000 200,000
Retrocom Real Estate Investment Trust (formerly Retrocom Mid-Market Real Estate Investment Trust)
Units Shapack, Andrew 4 06/08/2014 00
Retrocom Real Estate Investment Trust (formerly Retrocom Mid-Market Real Estate Investment Trust)
Units Shapack, Andrew 4 06/08/2014 10 4.3 10,000
Retrocom Real Estate Investment Trust (formerly Retrocom Mid-Market Real Estate Investment Trust)
Units Shapack, Andrew 4 08/08/2014 00
Retrocom Real Estate Investment Trust (formerly Retrocom Mid-Market Real Estate Investment Trust)
Units Shapack, Andrew 4 08/08/2014 00 5,561
Retrocom Real Estate Investment Trust (formerly Retrocom Mid-Market Real Estate Investment Trust)
Units Shapack, Andrew 4 08/08/2014 10 4.3 15,561 10,000
Revelo Resources Corp. (formerly Iron Creek Capital Corp.)
Common Shares Stephens, Paul H. 3 25/08/2015 10 0.0825 310,000
Revelo Resources Corp. (formerly Iron Creek Capital Corp.)
Common Shares Stephens, Paul H. 3 25/08/2015 10 0.0825 310,000
Revelo Resources Corp. (formerly Iron Creek Capital Corp.)
Common Shares Stephens, Paul H. 3 25/08/2015 10 0.0825 6,912,429 310,000
Richelieu Hardware Ltd. Common Shares Grenier, Guy 5 24/08/2015 10 57 12,007 -1,000
Richelieu Hardware Ltd. Common Shares Grenier, Guy 5 26/08/2015 10 65.5 11,907 -100
Richelieu Hardware Ltd. Common Shares Grenier, Guy 5 27/08/2015 10 66.075 11,507 -400
Richelieu Hardware Ltd. Common Shares Grenier, Guy 5 27/08/2015 10 66.07 11,407 -100
Richmont Mines Inc. Common Shares Burleton, Stephen 5 18/02/2015 00
Richmont Mines Inc. Common Shares Burleton, Stephen 5 26/08/2015 10 3.3 10,000 10,000
RIOCAN REAL ESTATE INVESTMENT TRUST
Preferred Shares A Sonshine, Edward 4, 5 10/01/2003 00
RIOCAN REAL ESTATE INVESTMENT TRUST
Preferred Shares A Sonshine, Edward 4, 5 19/02/2015 10 21.201 10,000 10,000
RIOCAN REAL ESTATE INVESTMENT TRUST
Preferred Shares A Sonshine, Edward 4, 5 21/05/2015 10 20.25 10,600 600
RIOCAN REAL ESTATE INVESTMENT TRUST
Preferred Shares A Sonshine, Edward 4, 5 21/05/2015 10 20.24 10,900 300
RIOCAN REAL ESTATE INVESTMENT TRUST
Preferred Shares A Sonshine, Edward 4, 5 22/05/2015 10 20.34 12,100 1,200
RIOCAN REAL ESTATE INVESTMENT TRUST
Preferred Shares A Sonshine, Edward 4, 5 22/05/2015 10 20.37 12,700 600
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7635
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
RIOCAN REAL ESTATE INVESTMENT TRUST
Preferred Shares A Sonshine, Edward 4, 5 22/05/2015 10 20.4 12,900 200
RIOCAN REAL ESTATE INVESTMENT TRUST
Preferred Shares A Sonshine, Edward 4, 5 22/05/2015 10 20.49 15,000 2,100
RIOCAN REAL ESTATE INVESTMENT TRUST
Preferred Shares A Sonshine, Edward 4, 5 21/08/2015 10 16.33 16,200 1,200
RIOCAN REAL ESTATE INVESTMENT TRUST
Preferred Shares A Sonshine, Edward 4, 5 21/08/2015 10 16.41 16,900 700
RIOCAN REAL ESTATE INVESTMENT TRUST
Preferred Shares A Sonshine, Edward 4, 5 21/08/2015 11 16.42 17,000 100
RIOCAN REAL ESTATE INVESTMENT TRUST
Preferred Shares A Sonshine, Edward 4, 5 21/08/2015 10 16.59 17,200 200
RIOCAN REAL ESTATE INVESTMENT TRUST
Preferred Shares A Sonshine, Edward 4, 5 21/08/2015 10 16.6 17,700 500
RIOCAN REAL ESTATE INVESTMENT TRUST
Preferred Shares A Sonshine, Edward 4, 5 21/08/2015 10 16.91 19,000 1,300
RIOCAN REAL ESTATE INVESTMENT TRUST
Preferred Shares A Sonshine, Edward 4, 5 19/02/2015 10 21.201 10,000
RIOCAN REAL ESTATE INVESTMENT TRUST
Preferred Shares A Sonshine, Edward 4, 5 19/02/2015 10 21.201 10,000
RIOCAN REAL ESTATE INVESTMENT TRUST
Preferred Shares A Sonshine, Edward 4, 5 21/05/2015 10 20.25 600
RIOCAN REAL ESTATE INVESTMENT TRUST
Preferred Shares A Sonshine, Edward 4, 5 21/05/2015 10 20.25 600
RIOCAN REAL ESTATE INVESTMENT TRUST
Preferred Shares A Sonshine, Edward 4, 5 21/05/2015 10 20.24 300
RIOCAN REAL ESTATE INVESTMENT TRUST
Preferred Shares A Sonshine, Edward 4, 5 21/05/2015 10 20.24 300
RIOCAN REAL ESTATE INVESTMENT TRUST
Preferred Shares A Sonshine, Edward 4, 5 22/05/2015 10 20.34 1,200
RIOCAN REAL ESTATE INVESTMENT TRUST
Preferred Shares A Sonshine, Edward 4, 5 22/05/2015 10 20.34 1,200
RIOCAN REAL ESTATE INVESTMENT TRUST
Preferred Shares A Sonshine, Edward 4, 5 22/05/2015 10 20.37 600
RIOCAN REAL ESTATE INVESTMENT TRUST
Preferred Shares A Sonshine, Edward 4, 5 22/05/2015 10 20.37 600
RIOCAN REAL ESTATE INVESTMENT TRUST
Preferred Shares A Sonshine, Edward 4, 5 22/05/2015 10 20.4 200
RIOCAN REAL ESTATE INVESTMENT TRUST
Preferred Shares A Sonshine, Edward 4, 5 22/05/2015 10 20.4 200
RIOCAN REAL ESTATE INVESTMENT TRUST
Preferred Shares A Sonshine, Edward 4, 5 22/05/2015 10 20.49 2,100
RIOCAN REAL ESTATE INVESTMENT TRUST
Preferred Shares A Sonshine, Edward 4, 5 22/05/2015 10 20.49 2,100
Ritchie Bros. Auctioneers Incorporated
Common Shares Cooksley, William Allen 5 27/08/2015 10 28.55 13,522 -10,000
RMP Energy Inc. Rights Restricted Awards Baker, Douglas N 4 02/10/2007 00
RMP Energy Inc. Rights Restricted Awards Baker, Douglas N 4 24/08/2015 56 55,000 55,000
RMP Energy Inc. Rights Restricted Awards Bernhard, Dean 5 25/01/2005 00
RMP Energy Inc. Rights Restricted Awards Bernhard, Dean 5 24/08/2015 56 35,000 35,000
RMP Energy Inc. Rights Restricted Awards Brussa, John Albert 4 15/06/2005 00
RMP Energy Inc. Rights Restricted Awards Brussa, John Albert 4 24/08/2015 56 1.49 55,000 55,000
RMP Energy Inc. Rights Restricted Awards DesBrisay, Brent William 5 11/05/2011 00
RMP Energy Inc. Rights Restricted Awards DesBrisay, Brent William 5 24/08/2015 56 30,000 30,000
RMP Energy Inc. Rights Restricted Awards Ferguson, John Wayne 4 11/05/2011 00
RMP Energy Inc. Rights Restricted Awards Ferguson, John Wayne 4 24/08/2015 56 37,500 37,500
RMP Energy Inc. Rights Restricted Awards Grimwood, Jonathan L. 5 11/05/2011 00
RMP Energy Inc. Rights Restricted Awards Grimwood, Jonathan L. 5 24/08/2015 56 35,000 35,000
RMP Energy Inc. Rights Restricted Awards Hogg, Andrew Lowden 4 15/02/2011 00
RMP Energy Inc. Rights Restricted Awards Hogg, Andrew Lowden 4 24/08/2015 56 55,000 55,000
RMP Energy Inc. Rights Restricted Awards Kubat, Gregory Thomas 5 29/04/2014 00
RMP Energy Inc. Rights Restricted Awards Kubat, Gregory Thomas 5 24/08/2015 56 32,000 32,000
RMP Energy Inc. Rights Restricted Awards McFarlane, Robert Bruce 5 11/05/2011 00
RMP Energy Inc. Rights Restricted Awards McFarlane, Robert Bruce 5 24/08/2015 56 25,000 25,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7636
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
RMP Energy Inc. Rights Restricted Awards Riddell, Derek 5 01/01/2012 00
RMP Energy Inc. Rights Restricted Awards Riddell, Derek 5 24/08/2015 56 35,000 35,000
RMP Energy Inc. Rights Restricted Awards SAUNDERS, JAMES MACLEO
4 25/01/2005 00
RMP Energy Inc. Rights Restricted Awards SAUNDERS, JAMES MACLEO
4 24/08/2015 56 55,000 55,000
RMP Energy Inc. Rights Restricted Awards Stewart, Craig Warren 4 11/05/2011 00
RMP Energy Inc. Rights Restricted Awards Stewart, Craig Warren 4 24/08/2015 56 55,000 55,000
RMP Energy Inc. Rights Restricted Awards Swift, Lloyd Charles 4 11/05/2011 00
RMP Energy Inc. Rights Restricted Awards Swift, Lloyd Charles 4 24/08/2015 56 55,000 55,000
Rock Energy Inc. Common Shares Bey, Allen J. 4, 5 26/08/2015 51 1.1 359,883 91,667
Rock Energy Inc. Common Shares Bey, Allen J. 4, 5 27/08/2015 10 1.6864 268,216 -91,667
Rock Energy Inc. Options Bey, Allen J. 4, 5 26/08/2015 51 1.1 548,999 -91,667
RockBridge Resources Inc. Common Shares Mathiesen, Steve 4, 5 23/06/2015 10 0.025 1,493,881 1,000
RockBridge Resources Inc. Common Shares Mathiesen, Steve 4, 5 24/08/2015 10 0.02 1,503,881 10,000
RockBridge Resources Inc. Common Shares Mathiesen, Steve 4, 5 25/08/2015 10 0.015 1,504,881 1,000
RockBridge Resources Inc. Common Shares Mathiesen, Steve 4, 5 25/08/2015 10 0.02 1,509,881 5,000
Rockex Mining Corporation (formerly Enviropave International Ltd.)
Common Shares Filion, Gilles 4 26/08/2015 54 0.05 3,590,000 200,000
Rockex Mining Corporation (formerly Enviropave International Ltd.)
Warrants Filion, Gilles 4 26/08/2015 54 0.05 3,550,000 -200,000
Rockex Mining Corporation (formerly Enviropave International Ltd.)
Common Shares Gagne, Pierre 4 26/08/2015 54 0.05 12,941,194 200,000
Rockex Mining Corporation (formerly Enviropave International Ltd.)
Warrants Gagne, Pierre 4 26/08/2015 54 0.05 4,949,254 -200,000
Rockex Mining Corporation (formerly Enviropave International Ltd.)
Common Shares Gagnon, Denis 4 26/08/2015 54 0.05 4,854,000 200,000
Rockex Mining Corporation (formerly Enviropave International Ltd.)
Warrants Gagnon, Denis 4 26/08/2015 54 0.05 2,300,000 -200,000
Rockex Mining Corporation (formerly Enviropave International Ltd.)
Common Shares Plastino, Armando 4 26/08/2015 54 0.05 3,870,000 200,000
Rockex Mining Corporation (formerly Enviropave International Ltd.)
Warrants Plastino, Armando 4 26/08/2015 54 0.05 3,550,000 -200,000
Rockex Mining Corporation (formerly Enviropave International Ltd.)
Common Shares Tondeur, Jonathan 4 26/08/2015 54 0.05 7,029,326 200,000
Rockex Mining Corporation (formerly Enviropave International Ltd.)
Warrants Tondeur, Jonathan 4 26/08/2015 54 0.05 3,800,000 -200,000
Rockland Minerals Corp. Common Shares Loree, Bryan 4, 5 25/08/2015 11 1,987,700 268,000
Rogers Communications Inc. Non-Voting Shares Class B
Rogers, Edward 4, 6, 7, 5 25/08/2015 30 44.68 -5,601
Rogers Communications Inc. Non-Voting Shares Class B
Rogers, Edward 4, 6, 7, 5 25/08/2015 30 44.68 -5,601
Rogers Communications Inc. Non-Voting Shares Class B
Rogers, Edward 4, 6, 7, 5 25/08/2015 10 44.68 2,832 -5,601
Romarco Minerals Inc. Options Arnold, James Raymond 5 24/08/2015 50 5,080,900 304,400
Romarco Minerals Inc. Options Garrett, Diane Renee 4, 5 24/08/2015 50 10,769,950 609,100
Romarco Minerals Inc. Options Krol, Leendert G. 4 24/08/2015 50 0.58 818,167 65,500
Romarco Minerals Inc. Options Michaels, Patrick 4 24/08/2015 50 0.58 818,167 65,500
Romarco Minerals Inc. Options Rideout, Stanton 5 24/08/2015 50 0.58 5,229,100 304,400
Romarco Minerals Inc. Options Sugar, Gary A. 4 24/08/2015 50 1,218,167 65,500
Romarco Minerals Inc. Options van Doorn, Robert 4 24/08/2015 50 818,167 65,500
Route1 Inc. Common Shares Busseri, Tony P 4 25/08/2015 10 0.045 3,127,334 20,000
Route1 Inc. Common Shares Busseri, Tony P 4 26/08/2015 10 0.045 3,138,334 11,000
Route1 Inc. Common Shares Busseri, Tony P 4 27/08/2015 10 0.045 3,173,334 35,000
Route1 Inc. Common Shares Busseri, Tony P 4 28/08/2015 10 0.045 3,207,334 34,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7637
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Royal Bank of Canada Rights Deferred Share Units
Anderson, Robert James 5 24/08/2015 56 74.734 158,770 1,619
Royal Bank of Canada Rights RBC Capital Markets Unit Awards
Anderson, Robert James 5 24/08/2015 56 74.734 59,980 612
Royal Bank of Canada Rights Deferred Share Units
Fukakusa, Janice Rose 5 24/08/2015 56 74.734 230,278 2,348
Royal Bank of Canada Rights Performance Deferred Share Units
Fukakusa, Janice Rose 5 24/08/2015 56 74.734 109,444 1,116
Royal Bank of Canada Rights Performance Deferred Share Units
Hirji-Nowaczynski, Zabeen 5 24/08/2015 56 74.734 52,145 532
Royal Bank of Canada Rights RBC Share Units Hirji-Nowaczynski, Zabeen 5 24/08/2015 56 74.734 4,176 42
Royal Bank of Canada Rights Deferred Share Units
Hughes, Mark Richard 5 24/08/2015 56 74.734 19,463 199
Royal Bank of Canada Rights Performance Deferred Share Units
Hughes, Mark Richard 5 24/08/2015 56 74.734 21,947 224
Royal Bank of Canada Rights RBC Capital Markets Unit Awards
Hughes, Mark Richard 5 24/08/2015 56 74.734 39,870 406
Royal Bank of Canada Rights Performance Deferred Share Units
Lewis, Melville George 5 24/08/2015 56 74.734 100,887 1,029
Royal Bank of Canada Common Shares McGregor, Alex Douglas 5 24/08/2015 51 52.595 90,276 15,332
Royal Bank of Canada Common Shares McGregor, Alex Douglas 5 24/08/2015 10 70.65 77,515 -12,761
Royal Bank of Canada Options McGregor, Alex Douglas 5 24/08/2015 51 52.595 704,892 -15,332
Royal Bank of Canada Rights Deferred Share Units
McGregor, Alex Douglas 5 24/08/2015 56 74.734 370,283 3,777
Royal Bank of Canada Rights Multi-Year Deferred Share Units
McGregor, Alex Douglas 5 24/08/2015 56 74.734 31,137 318
Royal Bank of Canada Rights Performance Deferred Share Units
McGregor, Alex Douglas 5 24/08/2015 56 74.734 251,937 2,569
Royal Bank of Canada Common Shares McKay, David Ian 4, 5 24/08/2015 51 44.125 5,720 1,145
Royal Bank of Canada Common Shares McKay, David Ian 4, 5 24/08/2015 10 70.8 4,881 -839
Royal Bank of Canada Options McKay, David Ian 4, 5 24/08/2015 51 44.125 627,871 -1,145
Royal Bank of Canada Rights Performance Deferred Share Units
McKay, David Ian 4, 5 24/08/2015 56 74.734 139,249 1,420
Royal Bank of Canada Rights Performance Deferred Share Units
Ross, Bruce Washington 5 24/08/2015 56 74.734 18,289 187
Royal Bank of Canada Rights RBC Share Units Ross, Bruce Washington 5 24/08/2015 56 74.734 42,372 432
Royal Bank of Canada Rights Performance Deferred Share Units
Tory, Jennifer Anne 5 24/08/2015 56 74.734 20,829 213
Royal Bank of Canada Rights RBC Share Units Tory, Jennifer Anne 5 24/08/2015 56 74.734 2,533 26
Royal Road Minerals Limited Ordinary Shares Mullens, Peter James 4 27/08/2015 10 9.75 222,000 10,000
Russel Metals Inc. Common Shares Halcrow, David 5 28/08/2015 10 21.38 19,334 1,000
Ryan Gold Corp. Common Shares Dundee Corporation 3 25/08/2015 22 0 -13,917,500
Ryan Gold Corp. Common Shares Dundee Corporation 3 25/08/2015 22 0 -2,035,714
Ryan Gold Corp. Common Shares Dundee Corporation 3 25/08/2015 22 0 -160,178
Ryan Gold Corp. Common Shares Dundee Corporation 3 25/08/2015 22 0 -500,000
Ryan Gold Corp. Common Shares Dundee Corporation 3 25/08/2015 22 0 -7,285,242
Ryan Gold Corp. Common Shares GOODMAN, Mark 4, 5 25/08/2015 22 0 -359,999
Ryan Gold Corp. Options GOODMAN, Mark 4, 5 25/08/2015 22 0 -600,000
Ryan Gold Corp. Common Shares Goodman, Ned 6 25/08/2015 22 0 -2,627,160
Ryan Gold Corp. Common Shares John, William Murray 6 25/08/2015 22 0 -253,285
Ryan Gold Corp. Options John, William Murray 6 25/08/2015 52 0 -1,000,000
Ryan Gold Corp. Common Shares McRae, Peter Croft 4 25/08/2015 38 0 -714
Ryan Gold Corp. Common Shares McRae, Peter Croft 4 25/08/2015 22 0 -714
Ryan Gold Corp. Common Shares McRae, Peter Croft 4 25/08/2015 22 0 -229,999
Ryan Gold Corp. Options McRae, Peter Croft 4 25/08/2015 38 0 -1,000,000
Ryan Gold Corp. Common Shares Oban Mining Corporation 3 25/08/2015 00 117,139,940
Ryan Gold Corp. Common Shares OSISKO GOLD ROYALTIES LTD
3 25/08/2015 22 0 -11,093,000
Ryan Gold Corp. Common Shares Zajcew, Orest Wasyl 5 25/08/2015 22 0 -205,000
Ryan Gold Corp. Options Zajcew, Orest Wasyl 5 25/08/2015 22 0 -1,000,000
Rye Patch Gold Corp. Common Shares Rye Patch Gold Corp. 1 21/08/2015 38 0.1425 206,500 10,000
Rye Patch Gold Corp. Common Shares Rye Patch Gold Corp. 1 24/08/2015 38 0.14 211,500 5,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7638
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Rye Patch Gold Corp. Common Shares Rye Patch Gold Corp. 1 26/08/2015 38 0.14 231,500 20,000
RYU Apparel Inc. Common Shares Marcus, William 4 20/02/2015 00
RYU Apparel Inc. Common Shares Marcus, William 4 20/02/2015 00 715,000
Sabina Gold & Silver Corp. Common Shares John, William Murray 6 18/08/2015 10 0.36 220,241 41,500
Sabina Gold & Silver Corp. Common Shares John, William Murray 6 25/08/2015 10 0.35 270,241 50,000
Sabina Gold & Silver Corp. Common Shares John, William Murray 6 26/08/2015 10 0.32 370,241 100,000
Sabina Gold & Silver Corp. Common Shares John, William Murray 6 27/08/2015 10 0.32 520,241 150,000
SANDSTORM GOLD LTD. Common Shares Awram, David 4, 5 21/08/2015 10 4 480,540 -36,900
SANDSTORM GOLD LTD. Common Shares Awram, David 4, 5 24/08/2015 10 4 477,440 -3,100
SANDSTORM GOLD LTD. Common Shares Awram, David 4, 5 24/08/2015 51 3.4 517,440 40,000
SANDSTORM GOLD LTD. Options Awram, David 4, 5 24/08/2015 51 902,474 -40,000
Saputo Inc. Common Shares Edwards, Robert L. 7 26/08/2015 51 14.66 3,163 1,528
Saputo Inc. Common Shares Edwards, Robert L. 7 26/08/2015 10 30.5 1,635 -1,528
Saputo Inc. Options Edwards, Robert L. 7 26/08/2015 51 14.66 47,914 -1,528
Saputo Inc. Forward Purchase 120000 actions
Saputo inc. 1 25/08/2015 73 0 -1
Saputo Inc. Common Shares Saputo, Francesco 3 31/12/2011 00 34,620,376
Saputo Inc. Common Shares Saputo, Francesco 3 31/12/2011 00 5,379,624
Savanna Energy Services Corp.
Common Shares LaMontagne, Dwayne Kevin 5 24/08/2015 10 1.37 225,116 14,000
Scandium International Mining Corp.
Common Shares Greig, Andrew Carlyle 4 21/08/2015 00
Scandium International Mining Corp.
Common Shares Greig, Andrew Carlyle 4 21/08/2015 11 0.1 19,610,400 19,610,400
Scandium International Mining Corp.
Options Greig, Andrew Carlyle 4 21/08/2015 00
Scandium International Mining Corp.
Options Greig, Andrew Carlyle 4 28/08/2015 50 400,000 400,000
Secure Energy Services Inc. Common Shares Amirault, Rene 3, 4, 5 21/08/2015 57 9.94 2,148,772 15,576
Secure Energy Services Inc. Common Shares Amirault, Rene 3, 4, 5 21/08/2015 10 8.79 2,141,712 -7,060
Secure Energy Services Inc. Common Shares Amirault, Rene 3, 4, 5 24/08/2015 10 8.36 2,142,353 641
Secure Energy Services Inc. Common Shares Amirault, Rene 3, 4, 5 24/08/2015 10 8.33 20,727 636
Secure Energy Services Inc. Common Shares Employee Share Ownership Plan
Amirault, Rene 3, 4, 5 25/08/2015 30 9.34 31,315 197
Secure Energy Services Inc. Units Restricted Share Units
Amirault, Rene 3, 4, 5 21/08/2015 57 9.94 76,712 -15,576
Secure Energy Services Inc. Common Shares Gransch, Allen Peter 5 21/08/2015 57 8.79 4,914
Secure Energy Services Inc. Common Shares Gransch, Allen Peter 5 21/08/2015 57 9.94 148,528 4,914
Secure Energy Services Inc. Common Shares Gransch, Allen Peter 5 21/08/2015 10 8.79 146,298 -2,230
Secure Energy Services Inc. Common Shares Employee Share Ownership Plan
Gransch, Allen Peter 5 25/08/2015 30 9.34 15,237 95
Secure Energy Services Inc. Units Restricted Share Units
Gransch, Allen Peter 5 21/08/2015 57 9.94 9,677 -4,914
Secure Energy Services Inc. Common Shares Employee Share Ownership Plan
Higham, Corey Ray 5 25/08/2015 30 9.34 16,721 86
Secure Energy Services Inc. Common Shares Employee Share Ownership Plan
McGurk, Brian Kenneth Stanley
5 25/08/2015 30 9.34 8,428 53
Secure Energy Services Inc. Common Shares Steinke, Daniel 5 21/08/2015 57 9.94 569,464 2,463
Secure Energy Services Inc. Common Shares Steinke, Daniel 5 21/08/2015 10 8.79 568,345 -1,119
Secure Energy Services Inc. Common Shares Employee Share Ownership Plan
Steinke, Daniel 5 25/08/2015 30 9.34 15,510 73
Secure Energy Services Inc. Units Restricted Share Units
Steinke, Daniel 5 21/08/2015 57 9.94 4,824 -2,463
Secure Energy Services Inc. Common Shares WADSWORTH, GEORGE 7 21/08/2015 57 9.94 558,600 2,463
Secure Energy Services Inc. Common Shares WADSWORTH, GEORGE 7 21/08/2015 10 8.79 557,481 -1,119
Secure Energy Services Inc. Common Shares Employee Share Ownership Plan
WADSWORTH, GEORGE 7 25/08/2015 30 9.34 11,198 87
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7639
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Secure Energy Services Inc. Units Restricted Share Units
WADSWORTH, GEORGE 7 21/08/2015 57 9.94 4,824 -2,463
SelectCore Ltd. Common Shares Abuleil, Mohammad 5 20/07/2015 15 0.05 6,894,037 1,000,000
Selwyn Resources Ltd. Options Montpellier, Louis George 4 25/08/2015 00 33,000
Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 07/08/2015 38 192.35 1,000 1,000
Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 10/08/2015 38 190 2,000 1,000
Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 12/08/2015 38 190 3,000 1,000
Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 14/08/2015 38 189 4,000 1,000
Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 19/08/2015 38 189 5,000 1,000
Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 20/08/2015 38 188 6,000 1,000
Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 26/08/2015 38 170.07 7,000 1,000
Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 27/08/2015 38 0 -7,000
Seven Generations Energy Ltd.
Common Shares Class A McAdam, William 4 25/08/2015 10 8.76 20,000 10,000
ShawCor Ltd. Common Shares Derrick, James 4 02/08/2007 00
ShawCor Ltd. Common Shares Derrick, James 4 25/08/2015 10 26.08 6,000 6,000
ShawCor Ltd. Common Shares Derrick, James 4 28/08/2015 36 12,000 6,000
ShawCor Ltd. Subordinate Voting Shares Class A
Derrick, James 4 28/08/2015 36 0 -6,000
Shoal Point Energy Ltd. Common Shares Jarvis, Mark Clayton 4 21/08/2015 16 0.005 14,728,000 10,000,000
Shoal Point Energy Ltd. Warrants Jarvis, Mark Clayton 4 21/08/2015 16 0.05 12,400,000 10,000,000
Shopify Inc. Multiple Voting Shares Class B Multiple Voting Shares
Fauser, Cody Peter 5 26/08/2015 36 0 -90,303
Shopify Inc. Multiple Voting Shares Class B Multiple Voting Shares
Fauser, Cody Peter 5 20/05/2015 00
Shopify Inc. Multiple Voting Shares Class B Multiple Voting Shares
Fauser, Cody Peter 5 24/08/2015 51 0.12 188,780 188,780
Shopify Inc. Multiple Voting Shares Class B Multiple Voting Shares
Fauser, Cody Peter 5 26/08/2015 36 0 -188,780
Shopify Inc. Options Fauser, Cody Peter 5 24/08/2015 51 1,116,330 -188,780
Shopify Inc. Options Fauser, Cody Peter 5 26/08/2015 51 -188,780
Shopify Inc. Subordinate Voting Shares Class A Subordinate Voting Shares
Fauser, Cody Peter 5 20/05/2015 00
Shopify Inc. Subordinate Voting Shares Class A Subordinate Voting Shares
Fauser, Cody Peter 5 26/08/2015 36 90,303 90,303
Shopify Inc. Subordinate Voting Shares Class A Subordinate Voting Shares
Fauser, Cody Peter 5 20/05/2015 00
Shopify Inc. Subordinate Voting Shares Class A Subordinate Voting Shares
Fauser, Cody Peter 5 26/08/2015 36 188,780 188,780
Shopify Inc. Multiple Voting Shares Class B Multiple Voting Shares
Finkelstein, Harley Michael 5 24/08/2015 51 0.16 148,603 73,473
Shopify Inc. Multiple Voting Shares Class B Multiple Voting Shares
Finkelstein, Harley Michael 5 26/08/2015 90 73,473 -75,130
Shopify Inc. Multiple Voting Shares Class B Multiple Voting Shares
Finkelstein, Harley Michael 5 26/08/2015 36 0 -73,473
Shopify Inc. Multiple Voting Shares Class B Multiple Voting Shares
Finkelstein, Harley Michael 5 20/05/2015 00
Shopify Inc. Multiple Voting Shares Class B Multiple Voting Shares
Finkelstein, Harley Michael 5 26/08/2015 90 75,130 75,130
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7640
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Shopify Inc. Multiple Voting Shares Class B Multiple Voting Shares
Finkelstein, Harley Michael 5 26/08/2015 36 0 -75,130
Shopify Inc. Options Finkelstein, Harley Michael 5 24/08/2015 51 594,414 -73,473
Shopify Inc. Subordinate Voting Shares Class A Subordinate Voting Shares
Finkelstein, Harley Michael 5 20/05/2015 00
Shopify Inc. Subordinate Voting Shares Class A Subordinate Voting Shares
Finkelstein, Harley Michael 5 26/08/2015 36 73,473 73,473
Shopify Inc. Subordinate Voting Shares Class A Subordinate Voting Shares
Finkelstein, Harley Michael 5 20/05/2015 00
Shopify Inc. Subordinate Voting Shares Class A Subordinate Voting Shares
Finkelstein, Harley Michael 5 26/08/2015 36 75,130 75,130
Shopify Inc. Multiple Voting Shares Class B Multiple Voting Shares
Forsyth, Brittany Jean 5 26/08/2015 51 0.16 26,167 26,167
Shopify Inc. Multiple Voting Shares Class B Multiple Voting Shares
Forsyth, Brittany Jean 5 26/08/2015 36 0 -26,167
Shopify Inc. Options Forsyth, Brittany Jean 5 26/08/2015 51 104,668 -26,167
Shopify Inc. Subordinate Voting Shares Class A Subordinate Voting Shares
Forsyth, Brittany Jean 5 20/05/2015 00
Shopify Inc. Subordinate Voting Shares Class A Subordinate Voting Shares
Forsyth, Brittany Jean 5 26/08/2015 36 26,167 26,167
Shopify Inc. Options Frasca, Joseph Andrew 5 20/05/2015 00
Shopify Inc. Options Frasca, Joseph Andrew 5 20/05/2015 00 140,335
Shopify Inc. Multiple Voting Shares Class B Multiple Voting Shares
Jones, Russell Norman 5 26/08/2015 36 0 -150,000
Shopify Inc. Subordinate Voting Shares Class A Subordinate Voting Shares
Jones, Russell Norman 5 20/05/2015 00
Shopify Inc. Subordinate Voting Shares Class A Subordinate Voting Shares
Jones, Russell Norman 5 26/08/2015 36 150,000 150,000
Shopify Inc. Options Lemieux, Jean-Michel 5 01/07/2015 00
Shopify Inc. Options Lemieux, Jean-Michel 5 01/07/2015 00 150,000
Shopify Inc. Multiple Voting Shares Class B Multiple Voting Shares
Lutke, Tobias Albin 4, 5 26/08/2015 36 8,489,000 -216,000
Shopify Inc. Multiple Voting Shares Class B Multiple Voting Shares
Lutke, Tobias Albin 4, 5 20/05/2015 00 295,000
Shopify Inc. Multiple Voting Shares Class B Multiple Voting Shares
Lutke, Tobias Albin 4, 5 26/08/2015 36 0 -295,000
Shopify Inc. Multiple Voting Shares Class B Multiple Voting Shares
Lutke, Tobias Albin 4, 5 20/05/2015 00
Shopify Inc. Multiple Voting Shares Class B Multiple Voting Shares
Lutke, Tobias Albin 4, 5 20/05/2015 00 8,705,000
Shopify Inc. Subordinate Voting Shares Class A Subordinate Voting Shares
Lutke, Tobias Albin 4, 5 20/05/2015 00
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7641
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Shopify Inc. Subordinate Voting Shares Class A Subordinate Voting Shares
Lutke, Tobias Albin 4, 5 26/08/2015 36 216,000 216,000
Shopify Inc. Subordinate Voting Shares Class A Subordinate Voting Shares
Lutke, Tobias Albin 4, 5 20/05/2015 00
Shopify Inc. Subordinate Voting Shares Class A Subordinate Voting Shares
Lutke, Tobias Albin 4, 5 26/08/2015 36 295,000 295,000
Shopify Inc. Options Miller, Craig Stuart 5 20/05/2015 00
Shopify Inc. Options Miller, Craig Stuart 5 20/05/2015 00 972,246
Shopify Inc. Options Shannan, Tobyn David 5 20/05/2015 00
Shopify Inc. Options Shannan, Tobyn David 5 20/05/2015 00 328,502
Shopify Inc. Multiple Voting Shares Class B Multiple Voting Shares
Weinand, Peter Daniel 5 26/08/2015 36 0 -126,316
Shopify Inc. Multiple Voting Shares Class B Multiple Voting Shares
Weinand, Peter Daniel 5 26/08/2015 90 491,543 -198,684
Shopify Inc. Multiple Voting Shares Class B Multiple Voting Shares
Weinand, Peter Daniel 5 20/05/2015 00
Shopify Inc. Multiple Voting Shares Class B Multiple Voting Shares
Weinand, Peter Daniel 5 26/08/2015 90 198,684 198,684
Shopify Inc. Multiple Voting Shares Class B Multiple Voting Shares
Weinand, Peter Daniel 5 26/08/2015 36 0 -198,684
Shopify Inc. Subordinate Voting Shares Class A Subordinate Voting Shares
Weinand, Peter Daniel 5 20/05/2015 00
Shopify Inc. Subordinate Voting Shares Class A Subordinate Voting Shares
Weinand, Peter Daniel 5 26/08/2015 36 126,316 126,316
Shopify Inc. Subordinate Voting Shares Class A Subordinate Voting Shares
Weinand, Peter Daniel 5 20/05/2015 00
Shopify Inc. Subordinate Voting Shares Class A Subordinate Voting Shares
Weinand, Peter Daniel 5 26/08/2015 36 198,684 198,684
Sierra Wireless, Inc. Common Shares Levine, Charles E. 4 24/08/2015 47 33,289 -1,650
Silver Predator Corp. Common Shares Lupien, William A. 4 21/08/2015 00 400,000
Silver Predator Corp. Common Shares Lupien, William A. 4 21/08/2015 00 400,000
Silver Predator Corp. Common Shares Lupien, William A. 4 21/08/2015 00 150,000
SILVERCORP METALS INC. Common Shares without par value
Silvercorp Metals Inc. 1 24/08/2015 10 0.6911 468,743 120,000
SILVERCORP METALS INC. Common Shares without par value
Silvercorp Metals Inc. 1 24/08/2015 10 0.9176 524,743 56,000
Slate Office REIT (formerly, FAM Real Estate Investment Trust)
Trust Units Rowe, Lisa 6 04/11/2014 00
Slate Office REIT (formerly, FAM Real Estate Investment Trust)
Trust Units Rowe, Lisa 6 25/08/2015 10 6.75 1,150 1,150
Slyce Inc. Common Shares Johnson, Dale Patrick 4 26/06/2014 00
Slyce Inc. Common Shares Johnson, Dale Patrick 4 20/08/2015 10 0.3571 15,500 15,500
Smart Employee Benefits Inc Options Barbaro, Rinaldo D 4 24/08/2015 51 0.33 300,000 100,000
Smart Employee Benefits Inc Common Shares Elliott, Nancy Myles 4 24/08/2015 51 0.33 390,000 100,000
Smart Employee Benefits Inc Options Elliott, Nancy Myles 4 24/08/2015 51 0.33 100,000 -100,000
Smart Employee Benefits Inc Common Shares Peacock, Stephen 4 24/08/2015 51 0.33 386,667 100,000
Smart Employee Benefits Inc Options Peacock, Stephen 4 24/08/2015 51 0.33 100,000 -100,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7642
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
SnipGold Corp. Common Shares Soares, Patrick 4 20/08/2015 10 0.04 1,982,176 40,000
Solarvest BioEnergy Inc. Common Shares Greenham, Garth Percival 5 25/08/2015 10 0.25 1,718,500 5,000
Solarvest BioEnergy Inc. Common Shares Greenham, Gerri Joseph 4 24/08/2015 10 0.25 8,120,000 10,000
Solarvest BioEnergy Inc. Common Shares Greenham, Gerri Joseph 4 25/08/2015 10 0.25 8,125,000 5,000
Solarvest BioEnergy Inc. Common Shares Greenham, Gerri Joseph 4 27/08/2015 10 0.25 8,137,500 12,500
Sonoro Metals Corp. Common Shares MacLeod, Kenneth 4, 5 25/08/2015 11 0.075 973,667 -100,000
Sonoro Metals Corp. Common Shares MacLeod, Kenneth 4, 5 27/08/2015 10 0.06 1,021,667 48,000
SouthGobi Resources Ltd. Common Shares Turquoise Hill Resources Ltd.
3 21/08/2015 10 0.67 -2,300
SouthGobi Resources Ltd. Common Shares Turquoise Hill Resources Ltd.
3 21/08/2015 10 0.67 54,412,465 -2,300
SouthGobi Resources Ltd. Common Shares Turquoise Hill Resources Ltd.
3 24/08/2015 10 0.62 -4,500
SouthGobi Resources Ltd. Common Shares Turquoise Hill Resources Ltd.
3 24/08/2015 10 0.6226 -4,500
SouthGobi Resources Ltd. Common Shares Turquoise Hill Resources Ltd.
3 24/08/2015 10 0.6226 54,407,965 -4,500
SouthGobi Resources Ltd. Common Shares Turquoise Hill Resources Ltd.
3 25/08/2015 10 0.5821 54,371,665 -36,300
SouthGobi Resources Ltd. Common Shares Turquoise Hill Resources Ltd.
3 26/08/2015 10 0.5368 54,334,015 -37,650
SouthGobi Resources Ltd. Common Shares Turquoise Hill Resources Ltd.
3 27/08/2015 10 0.5616 54,324,315 -9,700
Sparton Resources Inc. Common Shares Williams, Richard David 4 25/08/2015 10 0.01 3,723,500 100,000
Specialty Foods Group Income Fund
Trust Units Abramson, Randall 3 25/08/2015 97 1,758,070 -410,840
Specialty Foods Group Income Fund
Trust Units Abramson, Randall 3 25/08/2015 97 698,250 -193,060
Spin Master Corp. Deferred Share Units Thyes, Freddy Georges Joël 7 22/07/2015 00
Spin Master Corp. Options Thyes, Freddy Georges Joël 7 22/07/2015 00
Spin Master Corp. Performance Share Units Thyes, Freddy Georges Joël 7 22/07/2015 00
Spin Master Corp. Restricted Share Units Thyes, Freddy Georges Joël 7 22/07/2015 00
Spin Master Corp. Subordinate Voting Shares
Thyes, Freddy Georges Joël 7 22/07/2015 00
SponsorsOne Inc. Common Shares Bartholomew, Gary 4 24/08/2015 10 0.65 495,167 -10,000
SponsorsOne Inc. Common Shares Bartholomew, Myles 3 24/08/2015 10 0.65 495,167 -10,000
Spot Coffee (Canada) Ltd. Common Shares Lorenzo, John Michael 4 24/08/2015 10 0.03 4,661,324 30,000
Sprott Inc. Common Shares Ciampaglia, John A. 7, 5 31/05/2012 56 5.92 33,784
Sprott Inc. Common Shares Ciampaglia, John A. 7, 5 31/05/2012 56 5.92 33,784 33,784
SQI Diagnostics Inc. Common Shares Ryer, Lennie 5 26/08/2015 10 0.4 67,139 21,639
ST ANDREW GOLDFIELDS LTD.
Common Shares Abramson, Randall 3 27/08/2015 97 12,557,855 -98,824
ST ANDREW GOLDFIELDS LTD.
Common Shares Abramson, Randall 3 27/08/2015 97 12,860,754 -3,953
ST ANDREW GOLDFIELDS LTD.
Common Shares Abramson, Randall 3 27/08/2015 97 12,807,548 -53,206
Stans Energy Corp. Options UNDERHILL, DOUGLAS HENRY
4 30/08/2015 38 1.85 1,950,000 -400,000
Stans Energy Corp. Options UNDERHILL, DOUGLAS HENRY
4 30/08/2015 38 0.74 1,600,000 -350,000
Stella-Jones Inc. Common Shares Manzi, James Augustus 4 29/04/2015 00
Stella-Jones Inc. Common Shares Manzi, James Augustus 4 20/08/2015 10 45.1 2,000 2,000
Stella-Jones Inc. Common Shares Manzi, James Augustus 4 20/08/2015 10 45.1 4,000 2,000
Stem Cell Therapeutics Corp.
Units Deferred Share Units
Beshar, Luke 4 10/03/2014 00
Stem Cell Therapeutics Corp.
Units Deferred Share Units
Beshar, Luke 4 10/03/2014 00
Stem Cell Therapeutics Corp.
Units Deferred Share Units
Beshar, Luke 4 27/05/2014 97 0.278 143,885
Stem Cell Therapeutics Corp.
Units Deferred Share Units
Beshar, Luke 4 27/05/2014 97 0.278 143,885
Stem Cell Therapeutics Corp.
Units Deferred Share Units
FRIESEN, HENRY 4 27/06/2011 00
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7643
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Stem Cell Therapeutics Corp.
Units Deferred Share Units
FRIESEN, HENRY 4 27/06/2011 00
Stem Cell Therapeutics Corp.
Units Deferred Share Units
FRIESEN, HENRY 4 27/05/2014 97 0.278 143,885
Stem Cell Therapeutics Corp.
Units Deferred Share Units
FRIESEN, HENRY 4 27/05/2014 97 0.278 143,885
Stem Cell Therapeutics Corp.
Units Deferred Share Units
Kirkman, Robert Lawrence 4 17/12/2013 00
Stem Cell Therapeutics Corp.
Units Deferred Share Units
Kirkman, Robert Lawrence 4 17/12/2013 00
Stem Cell Therapeutics Corp.
Units Deferred Share Units
Kirkman, Robert Lawrence 4 27/05/2014 97 0.278 143,885
Stem Cell Therapeutics Corp.
Units Deferred Share Units
Kirkman, Robert Lawrence 4 27/05/2014 97 0.278 143,885
Stem Cell Therapeutics Corp.
Common Shares MOORE, ALAN FREDERIC 4, 5 10/02/2005 00
Stem Cell Therapeutics Corp.
Common Shares MOORE, ALAN FREDERIC 4, 5 10/03/2005 00 2,500
Stem Cell Therapeutics Corp.
Options MOORE, ALAN FREDERIC 4, 5 10/02/2005 00
Stem Cell Therapeutics Corp.
Options MOORE, ALAN FREDERIC 4, 5 10/03/2005 00
Stem Cell Therapeutics Corp.
Warrants MOORE, ALAN FREDERIC 4, 5 10/02/2005 00
Stem Cell Therapeutics Corp.
Warrants MOORE, ALAN FREDERIC 4, 5 10/03/2005 00
Stem Cell Therapeutics Corp.
Units Deferred Share Units
Moore, Michael 4 09/04/2013 00
Stem Cell Therapeutics Corp.
Units Deferred Share Units
Moore, Michael 4 09/04/2013 00
Stem Cell Therapeutics Corp.
Units Deferred Share Units
Moore, Michael 4 27/05/2014 97 0.278 143,885
Stem Cell Therapeutics Corp.
Units Deferred Share Units
Moore, Michael 4 27/05/2014 97 0.278 143,885
Stem Cell Therapeutics Corp.
Units Deferred Share Units
Reynolds, Thomas 4 10/03/2014 00
Stem Cell Therapeutics Corp.
Units Deferred Share Units
Reynolds, Thomas 4 10/03/2014 00
Stem Cell Therapeutics Corp.
Units Deferred Share Units
Reynolds, Thomas 4 27/05/2014 97 0.278 143,885
Stem Cell Therapeutics Corp.
Units Deferred Share Units
Reynolds, Thomas 4 27/05/2014 97 0.278 143,885
Stem Cell Therapeutics Corp.
Options Stearne, Dan Jaye 4 09/08/2010 00
Stem Cell Therapeutics Corp.
Options Stearne, Dan Jaye 4 09/08/2010 00
Stem Cell Therapeutics Corp.
Options Stearne, Dan Jaye 4 30/08/2010 50 0.1 750,000
Stem Cell Therapeutics Corp.
Options Stearne, Dan Jaye 4 30/08/2010 50 0.1 750,000
Stem Cell Therapeutics Corp.
Units Deferred Share Units
STILLER, CALVIN R. 4 18/07/2011 00
Stem Cell Therapeutics Corp.
Units Deferred Share Units
STILLER, CALVIN R. 4 18/07/2011 00
Stem Cell Therapeutics Corp.
Units Deferred Share Units
STILLER, CALVIN R. 4 27/05/2014 97 0.278 143,885
Stem Cell Therapeutics Corp.
Units Deferred Share Units
STILLER, CALVIN R. 4 27/05/2014 97 0.278 143,885
Sterling Resources Ltd. Options expiry Aug 24, 2020
Barker, Eleanor Jean 4 22/12/2014 00
Sterling Resources Ltd. Options expiry Aug 24, 2020
Barker, Eleanor Jean 4 24/08/2015 50 0.07 140,000 140,000
Sterling Resources Ltd. Options expiry Aug 24, 2020
Beacom, Mark Douglas 7 13/10/2010 00
Sterling Resources Ltd. Options expiry Aug 24, 2020
Beacom, Mark Douglas 7 24/08/2015 50 0.07 620,000 620,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7644
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Sterling Resources Ltd. Options expiry Aug 24, 2020
Blewden, David Michael 5 02/08/2010 00
Sterling Resources Ltd. Options expiry Aug 24, 2020
Blewden, David Michael 5 24/08/2015 50 0.07 1,070,000 1,070,000
Sterling Resources Ltd. Options expiry August 1, 2015
Blewden, David Michael 5 22/08/2015 52 1.94 0 -225,000
Sterling Resources Ltd. Options expiry Aug 24, 2020
Carter, Robert Brian 4 28/06/2004 00
Sterling Resources Ltd. Options expiry Aug 24, 2020
Carter, Robert Brian 4 24/08/2015 50 0.07 50,000 50,000
Sterling Resources Ltd. Options expiry Aug 24, 2020
COLEMAN, James Hayward
4 11/06/2013 00
Sterling Resources Ltd. Options expiry Aug 24, 2020
COLEMAN, James Hayward
4 24/08/2015 50 360,000 360,000
Sterling Resources Ltd. Options expiry Aug 24, 2020
Collenette, John Paul 4 13/11/2012 00
Sterling Resources Ltd. Options expiry Aug 24, 2020
Collenette, John Paul 4 24/08/2015 50 0.07 140,000 140,000
Sterling Resources Ltd. Options expiry Aug 24, 2020
Cremer, Sherry Louise 5 28/05/2003 00
Sterling Resources Ltd. Options expiry Aug 24, 2020
Cremer, Sherry Louise 5 24/08/2015 50 0.07 575,000 575,000
Sterling Resources Ltd. Options expiry Aug 24, 2020
Davies, David Gareth Ashley
7 10/09/2012 00
Sterling Resources Ltd. Options expiry Aug 24, 2020
Davies, David Gareth Ashley
7 24/08/2015 50 0.07 900,000 900,000
Sterling Resources Ltd. Common Shares Ingalls & Snyder, LLC 3 20/08/2015 97 40,843,407 -21,000
Sterling Resources Ltd. Options expiry Aug 24, 2020
Kong, Teck Soon 4 30/06/2004 00
Sterling Resources Ltd. Options expiry Aug 24, 2020
Kong, Teck Soon 4 24/08/2015 50 0.07 140,000 140,000
Sterling Resources Ltd. Options expiry Aug 24, 2020
Miller, David 7 28/05/2003 00
Sterling Resources Ltd. Options expiry Aug 24, 2020
Miller, David 7 24/08/2015 50 0.07 140,000 140,000
Sterling Resources Ltd. Options expiry Aug 24, 2020
Rapach, John 5 25/08/2005 00
Sterling Resources Ltd. Options expiry Aug 24, 2020
Rapach, John 5 24/08/2015 50 0.07 1,070,000 1,070,000
Sterling Resources Ltd. Options expiry Aug 24, 2020
Ulrich, Jacob Shields 4 11/06/2013 00
Sterling Resources Ltd. Options expiry Aug 24, 2020
Ulrich, Jacob Shields 4 24/08/2015 50 0.07 1,560,000 1,560,000
Sterling Resources Ltd. Options expiry Aug 24, 2020
Wilson, Gavin Hugh Lothian 4 11/06/2013 00
Sterling Resources Ltd. Options expiry Aug 24, 2020
Wilson, Gavin Hugh Lothian 4 24/08/2015 50 0.07 140,000 140,000
Stetson Oil & Gas Ltd. Common Shares 2051580 Ontario Inc. 6 08/06/2015 00 4,870,000
Stingray Digital Group Inc. Deferred Share Units (DSU)
Sirois, François-Charles 4 17/08/2015 56 6.9437 3,132
Stingray Digital Group Inc. Deferred Share Units (DSU)
Sirois, François-Charles 4 17/08/2015 56 6.9437 3,132 3,132
Stingray Digital Group Inc. Deferred Share Units (DSU)
STEELE, ROBERT GEORGE
4 21/04/2015 00
Stingray Digital Group Inc. Deferred Share Units (DSU)
STEELE, ROBERT GEORGE
4 26/05/2015 00
Stingray Digital Group Inc. Deferred Share Units (DSU)
STEELE, ROBERT GEORGE
4 11/08/2015 46 6.9437 1,908
Stingray Digital Group Inc. Deferred Share Units (DSU)
STEELE, ROBERT GEORGE
4 17/08/2015 46 6.9437 1,908
Stingray Digital Group Inc. Deferred Share Units (DSU)
STEELE, ROBERT GEORGE
4 17/08/2015 56 6.9437 1,908 1,908
Stonehaven Exploration Ltd. Common Shares Todd, Malcolm Frederick William
4 26/08/2015 10 0.55 207,000 1,000
Strike Diamond Corp. Common Shares Kalt, Ryan 3, 4, 5 28/08/2015 10 0.045 490,000 4,000
Strike Diamond Corp. Common Shares Kalt, Ryan 3, 4, 5 28/08/2015 10 0.05 533,000 43,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7645
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Strike Diamond Corp. Common Shares Kalt, Ryan 3, 4, 5 28/08/2015 10 0.055 535,000 2,000
Strongco Corporation Common Shares IKO Enterprises Ltd 3 15/12/2014 10 2.29 1,645,912 100,000
Strongco Corporation Common Shares IKO Enterprises Ltd 3 30/12/2014 10 2.19 1,677,812 31,900
Strongco Corporation Common Shares IKO Enterprises Ltd 3 04/02/2015 10 2.3 1,679,312 1,500
Strongco Corporation Common Shares IKO Enterprises Ltd 3 22/05/2015 10 2.42 1,680,612 1,300
Strongco Corporation Common Shares IKO Enterprises Ltd 3 24/08/2015 10 2.1 1,760,612 80,000
Strongco Corporation Common Shares IKO Enterprises Ltd 3 25/08/2015 10 2.1 1,833,612 73,000
Sulliden Mining Capital Inc. Deferred Share Units Lai, Diane E. 4 30/12/2014 00
Sulliden Mining Capital Inc. Deferred Share Units Lai, Diane E. 4 30/12/2014 00
Sulliden Mining Capital Inc. Deferred Share Units Lai, Diane E. 4 30/12/2014 00
Sulliden Mining Capital Inc. Deferred Share Units Lai, Diane E. 4 30/03/2015 56 250,000 250,000
Sulliden Mining Capital Inc. Common Shares Reid, Christopher Justin 4, 5 05/08/2014 00
Sulliden Mining Capital Inc. Common Shares Reid, Christopher Justin 4, 5 11/08/2014 00 8,554
Sulliden Mining Capital Inc. Options Reid, Christopher Justin 4, 5 05/08/2014 00
Sulliden Mining Capital Inc. Options Reid, Christopher Justin 4, 5 11/08/2014 00 125,000
Sulliden Mining Capital Inc. Restricted Share Units Reid, Christopher Justin 4, 5 05/08/2014 00
Sulliden Mining Capital Inc. Restricted Share Units Reid, Christopher Justin 4, 5 11/08/2014 00
Summit Industrial Income REIT
Trust Units Morassutti, Lawrence 4 21/08/2015 10 6 1,334,752 10,000
Summit Industrial Income REIT
Trust Units Morassutti, Lawrence 4 21/08/2015 10 5.95 1,344,752 10,000
Summit Industrial Income REIT
Trust Units Morassutti, Lawrence 4 24/08/2015 10 5.85 1,354,752 10,000
Summit Industrial Income REIT
Trust Units Morassutti, Lawrence 4 24/08/2015 10 5.82 1,364,752 10,000
Summit Industrial Income REIT
Trust Units Morassutti, Lawrence 4 24/08/2015 10 5.8 1,384,752 20,000
Summit Industrial Income REIT
Trust Units Morassutti, Lawrence 4 24/08/2015 10 5.79 1,388,052 3,300
Sunshine Oilsands Ltd. Common Shares Class A Cong, Songbo 5 20/08/2015 11 0.1265 7,316,950 775,350
Sunshine Oilsands Ltd. Common Shares Class A Fong, Raymond 4 20/08/2015 11 0.1265 2,850,621 1,000,000
Sunshine Oilsands Ltd. Common Shares Class A Hibberd, Michael John 4, 5 20/08/2015 11 0.13 95,715,221 2,067,600
Sunshine Oilsands Ltd. Common Shares Class A Jiang, Qi 4, 5 15/12/2014 00
Sunshine Oilsands Ltd. Common Shares Class A Jiang, Qi 4, 5 20/08/2015 11 0.1265 775,350 775,350
Sunshine Oilsands Ltd. Common Shares Class A Liu, Dong 5 20/08/2015 11 0.1265 2,000,000 1,200,000
Sunshine Oilsands Ltd. Common Shares Class A MEN, QIPING 5 20/08/2015 11 0.1265 1,021,763 775,350
Sunshine Oilsands Ltd. Common Shares Class A Song, Zhefei 4 27/06/2014 00
Sunshine Oilsands Ltd. Common Shares Class A Song, Zhefei 4 20/08/2015 11 0.1265 516,900 516,900
Sunshine Oilsands Ltd. Common Shares Class A Sun, Kwok Ping 3, 4 21/08/2015 10 0.1018 244,165,000 2,000,000
Sunshine Oilsands Ltd. Common Shares Class A Sun, Kwok Ping 3, 4 24/08/2015 10 0.0988 248,865,000 4,700,000
Sunshine Oilsands Ltd. Common Shares Class A Sun, Kwok Ping 3, 4 27/08/2015 10 0.0966 256,865,000 8,000,000
Sunshine Oilsands Ltd. Common Shares Class A Sun, Kwok Ping 3, 4 08/05/2015 00
Sunshine Oilsands Ltd. Common Shares Class A Sun, Kwok Ping 3, 4 20/08/2015 11 0.1265 103,380,000 103,380,000
Surge Energy Inc. Common Shares de Leeuw, Gerard A. 5 25/08/2015 10 2.1 88,457 -24,000
Surge Energy Inc. Rights Restricted Share Awards
de Leeuw, Gerard A. 5 17/08/2015 57 50,250
Surge Energy Inc. Rights Restricted Share Awards
de Leeuw, Gerard A. 5 17/08/2015 57 167,464 -50,250
Surge Energy Inc. Rights Restricted Share Awards
Leach, Robert Allen 4 17/08/2015 57 3,041
Surge Energy Inc. Rights Restricted Share Awards
Leach, Robert Allen 4 17/08/2015 57 47,978 -3,041
Surge Energy Inc. Common Shares Monden, Rod J 5 27/08/2015 10 2.21 49,926 -5,000
Symbility Solutions Inc. (formerly Automated Benefits Corp.)
Common Shares Binnion, Larry 4 21/08/2015 10 0.28 384,838 2,500
Symbility Solutions Inc. (formerly Automated Benefits Corp.)
Common Shares Binnion, Larry 4 21/08/2015 10 0.28 385,238 400
Symbility Solutions Inc. (formerly Automated Benefits Corp.)
Common Shares Binnion, Larry 4 21/08/2015 10 0.29 408,738 23,500
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7646
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
TAG Oil Ltd Common Shares Jacobs, Frank 5 27/08/2015 10 1 15,000 5,000
TAG Oil Ltd Common Shares Pierce, Toby Robert 5 24/08/2015 10 0.94 73,700 5,000
TAG Oil Ltd Common Shares TAG Oil Ltd. 1 24/08/2015 10 0.9 33,000 6,000
Tahoe Resources Inc. Common Shares Tweddle, Paul 5 26/08/2015 51 8.81 16,923 10,000
Tahoe Resources Inc. Options Tweddle, Paul 5 26/08/2015 51 61,355 -10,000
Tahoe Resources Inc. Common Shares Zeitler, Klaus M 4 01/04/2015 00
Tahoe Resources Inc. Common Shares Zeitler, Klaus M 4 25/08/2015 51 7.93 33,277 33,277
Tahoe Resources Inc. Common Shares Zeitler, Klaus M 4 01/04/2015 00
Tahoe Resources Inc. Common Shares Zeitler, Klaus M 4 01/04/2015 00 170,250
Tahoe Resources Inc. Options Zeitler, Klaus M 4 25/08/2015 51 149,239 -33,277
Tamarack Valley Energy Ltd. Common Shares Hozjan, Ronald Steve 5 24/08/2015 10 2 110,690 4,600
Tamarack Valley Energy Ltd. Common Shares Schmidt, Brian Leslie 5 25/08/2015 10 2.2572 94,679 8,810
Tech Achievers Growth & Income Fund
Units Tech Achievers Growth & Income Fund
1 21/08/2015 38 7,500 7,500
Tech Achievers Growth & Income Fund
Units Tech Achievers Growth & Income Fund
1 21/08/2015 38 0 -7,500
Tech Achievers Growth & Income Fund
Units Tech Achievers Growth & Income Fund
1 26/08/2015 38 7,700 7,700
Tech Achievers Growth & Income Fund
Units Tech Achievers Growth & Income Fund
1 26/08/2015 38 0 -7,700
Tech Achievers Growth & Income Fund
Units Tech Achievers Growth & Income Fund
1 27/08/2015 38 7,500 7,500
Tech Achievers Growth & Income Fund
Units Tech Achievers Growth & Income Fund
1 27/08/2015 38 0 -7,500
Tech Achievers Growth & Income Fund
Units Tech Achievers Growth & Income Fund
1 28/08/2015 38 10,000 10,000
Tech Achievers Growth & Income Fund
Units Tech Achievers Growth & Income Fund
1 28/08/2015 38 0 -10,000
Tenth Avenue Petroleum Corp.
Common Shares Leia, Gregory 4, 5 25/08/2015 10 2,442,151 8,000
TerraVest Capital Inc. Common Shares Fournier, Pierre 2 27/08/2015 10 6 101,300 -1,000
TerraVest Capital Inc. Common Shares PELLERIN, CHARLES 3 24/08/2015 10 5.73 355,700 5,700
TerraVest Capital Inc. Common Shares TerraVest Capital Inc. 1 20/08/2015 38 5.77 30,500 1,500
TerraVest Capital Inc. Common Shares TerraVest Capital Inc. 1 20/08/2015 38 5.8 31,200 700
TerraVest Capital Inc. Common Shares TerraVest Capital Inc. 1 24/08/2015 38 5.65 31,900 700
TerraVest Capital Inc. Common Shares TerraVest Capital Inc. 1 25/08/2015 38 5.88 33,900 2,000
TerraVest Capital Inc. Common Shares TerraVest Capital Inc. 1 26/08/2015 38 5.87 35,800 1,900
TerraVest Capital Inc. Common Shares TerraVest Capital Inc. 1 28/08/2015 38 5.88 36,100 300
THC BIOMED INTL LTD. Common Shares Walsh, Jason 4, 5 24/08/2015 10 0.08 1,333,083 -25,000
THE CALDWELL PARTNERS INTERNATIONAL INC.
Common Shares Wallace, John Newton 5 27/08/2015 11 1.73 750,500 200,000
The Intertain Group Limited Warrants Laslop, Keith 5 20/11/2014 51 5 -6,250
The Intertain Group Limited Warrants Laslop, Keith 5 20/11/2014 54 5 0 -6,250
The Keg Royalties Income Fund
Trust Units Kerr, Timothy 4 07/06/2013 00
The Keg Royalties Income Fund
Trust Units Kerr, Timothy 4 24/08/2015 10 16.7 6,000 6,000
theScore, Inc. Subordinate Voting Shares - Class A
Levy, John S. 3, 4, 5 20/08/2015 10 0.37 3,520,574 100,000
theScore, Inc. Subordinate Voting Shares - Class A
Levy, John S. 3, 4, 5 20/08/2015 10 0.38 3,598,574 78,000
Till Capital Ltd. Options Lupien, William A. 4, 7 17/04/2014 00
Till Capital Ltd. Options Lupien, William A. 4, 7 15/06/2015 00
Till Capital Ltd. Options Lupien, William A. 4, 7 15/06/2015 00 33,000
Till Capital Ltd. Options Rickard, John Terrell 4, 7 29/05/2014 00
Till Capital Ltd. Options Rickard, John Terrell 4, 7 25/08/2014 50 10 27,500 27,500
Timbercreek Global Real Estate Fund
Units Class A Timbercreek Asset Management Inc.
2 20/08/2015 10 13.74 11,700 2,000
Timbercreek Global Real Estate Fund
Units Class A Timbercreek Asset Management Inc.
2 21/08/2015 10 13.95 12,200 500
Timbercreek Global Real Estate Fund
Units Class A Timbercreek Asset Management Inc.
2 21/08/2015 10 13.98 13,200 1,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7647
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Timbercreek Global Real Estate Fund
Units Class A Timbercreek Asset Management Inc.
2 25/08/2015 10 13.9 13,700 500
Titan Medical Inc. Common Shares Hargrove, John Townley 4 26/08/2015 51 0.68 198,200 50,000
Titan Medical Inc. Options Hargrove, John Townley 4 26/08/2015 51 0.68 760,086 -50,000
Titan Medical Inc. Common Shares Rayman, Reiza 3 24/08/2015 10 1.3166 4,398,917 -88,200
Titan Medical Inc. Common Shares Rayman, Reiza 3 27/08/2015 10 1.415 4,387,117 -11,800
TitanStar Properties Inc. (formerly DPVC Inc.)
Options McDonnell, David Neil 1 29/07/2015 50 0.08 350,000 175,000
TMAC Resources Inc. Options Wilkinson, Elizabeth Ann 5 24/08/2015 00
TMAC Resources Inc. Options Wilkinson, Elizabeth Ann 5 24/08/2015 50 60,000 60,000
Toromont Industries Ltd. Common Shares Casson, Randall 7, 2 25/08/2015 51 17.1 133,400 13,400
Toromont Industries Ltd. Common Shares Casson, Randall 7, 2 25/08/2015 10 35.03 132,900 -500
Toromont Industries Ltd. Common Shares Casson, Randall 7, 2 25/08/2015 10 35.01 132,800 -100
Toromont Industries Ltd. Common Shares Casson, Randall 7, 2 25/08/2015 10 35 120,000 -12,800
Toromont Industries Ltd. Options Casson, Randall 7, 2 12/08/2015 51 17.1 -13,400
Toromont Industries Ltd. Options Casson, Randall 7, 2 25/08/2015 51 17.1 210,100 -13,400
Toromont Industries Ltd. Common Shares Malinauskas, David Allan 5 26/08/2015 51 17.1 1,740 1,670
Toromont Industries Ltd. Common Shares Malinauskas, David Allan 5 26/08/2015 51 20.76 3,740 2,000
Toromont Industries Ltd. Common Shares Malinauskas, David Allan 5 26/08/2015 10 35.15 2,070 -1,670
Toromont Industries Ltd. Common Shares Malinauskas, David Allan 5 26/08/2015 10 35.15 70 -2,000
Toromont Industries Ltd. Options Malinauskas, David Allan 5 26/08/2015 51 17.1 52,670 -1,670
Toromont Industries Ltd. Options Malinauskas, David Allan 5 26/08/2015 51 20.76 50,670 -2,000
Toromont Industries Ltd. Common Shares Ogilvie, Robert M. 4, 5 27/08/2015 51 12.42 188,080 2,000
Toromont Industries Ltd. Common Shares Ogilvie, Robert M. 4, 5 27/08/2015 10 36 186,080 -2,000
Toromont Industries Ltd. Options Ogilvie, Robert M. 4, 5 27/08/2015 51 12.42 228,200 -2,000
Toscana Energy Income Corporation
Common Shares DURANTE, Joseph Sam 4, 5 25/08/2015 10 4.094 119,156 2,000
Total Energy Services Inc. Common Shares Total Energy Services Inc 1 24/08/2015 10 13.492 2,900 2,900
Touchstone Exploration Inc. Common Shares Baay, Paul Raymond 4, 5 21/08/2015 30 0.18 968,199 8,964
Touchstone Exploration Inc. Common Shares Budau, Christopher Scott 5 21/08/2015 30 0.18 123,934 6,593
Touchstone Exploration Inc. Common Shares McKINNON, KENNETH RICHARD
4 21/08/2015 30 0.18 169,210 4,627
Touchstone Exploration Inc. Common Shares Ruttan, Corey Christopher 4, 5 21/08/2015 30 0.18 233,998 4,627
Touchstone Exploration Inc. Common Shares Shipka, James 5 21/08/2015 30 0.18 134,815 6,362
Tourmaline Oil Corp. Common Shares Armstrong, William D. 4 26/08/2015 52 430,000 30,000
Tourmaline Oil Corp. Options Armstrong, William D. 4 26/08/2015 52 18.35 65,000 -30,000
Tourmaline Oil Corp. Common Shares Blakely, Robert William 4 21/08/2015 51 583,000 30,000
Tourmaline Oil Corp. Common Shares Blakely, Robert William 4 21/08/2015 10 29.84 563,000 -20,000
Tourmaline Oil Corp. Options Blakely, Robert William 4 21/08/2015 51 18.35 65,000 -30,000
Tourmaline Oil Corp. Common Shares Elick, John William 4 24/08/2015 10 29.6 31,808 -2,062
Tourmaline Oil Corp. Common Shares Elick, John William 4 24/08/2015 10 29.61 3,555 -1,291
Tourmaline Oil Corp. Common Shares Keenan, Kevin 4 25/08/2015 52 403,555 30,000
Tourmaline Oil Corp. Common Shares Keenan, Kevin 4 25/08/2015 52 29.369 373,555 -30,000
Tourmaline Oil Corp. Options Keenan, Kevin 4 25/08/2015 52 18.35 65,000 -30,000
Tourmaline Oil Corp. Common Shares Kirker, William Scott 5 27/08/2015 52 519,292 50,000
Tourmaline Oil Corp. Common Shares Kirker, William Scott 5 27/08/2015 52 31.365 484,292 -35,000
Tourmaline Oil Corp. Options Kirker, William Scott 5 27/08/2015 52 18.35 180,000 -50,000
Tourmaline Oil Corp. Common Shares McKinnon, Earl Henry 5 27/08/2015 52 20,870 20,000
Tourmaline Oil Corp. Common Shares McKinnon, Earl Henry 5 27/08/2015 52 31.183 12,870 -8,000
Tourmaline Oil Corp. Options McKinnon, Earl Henry 5 27/08/2015 52 18.35 226,667 -20,000
Tourmaline Oil Corp. Common Shares Robinson, Brian 5 27/08/2015 52 698,543 75,000
Tourmaline Oil Corp. Common Shares Robinson, Brian 5 27/08/2015 52 31.333 648,543 -50,000
Tourmaline Oil Corp. Options Robinson, Brian 5 27/08/2015 52 18.35 270,000 -75,000
Tourmaline Oil Corp. Common Shares Rose, Mike 5 24/08/2015 10 29.2 10,856,426 1,000
TransCanada Corporation Common Shares Johnston, Christine R. 7 27/08/2015 10 43.91 1,225 100
TransCanada Corporation Common Shares Jones, Robert E. 7 24/08/2015 10 43.53 21,104 1,300
TransCanada Corporation Common Shares Jones, Robert E. 7 25/08/2015 10 44.347 22,104 1,000
TransCanada Corporation Common Shares Marchand, Donald R. 5 26/08/2015 10 43.3 6,376 1,000
TransGlobe Energy Corporation
Common Shares Gress, Albert 5 24/08/2015 10 2.7 53,614 5,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7648
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Trez Capital Senior Mortgage Investment Corporation
Class A Shares ROBERTSON, STEWART JAMES LANDERS
4 13/08/2015 10 7.43 5,200
Trez Capital Senior Mortgage Investment Corporation
Class A Shares ROBERTSON, STEWART JAMES LANDERS
4 14/08/2015 10 7.4 200
Trez Capital Senior Mortgage Investment Corporation
Class A Shares ROBERTSON, STEWART JAMES LANDERS
4 27/11/2012 00
Trez Capital Senior Mortgage Investment Corporation
Class A Shares ROBERTSON, STEWART JAMES LANDERS
4 25/08/2015 10 7.3 900 900
Trez Capital Senior Mortgage Investment Corporation
Class A Shares ROBERTSON, STEWART JAMES LANDERS
4 25/08/2015 10 7.3 1,100 200
Trez Capital Senior Mortgage Investment Corporation
Class A Shares ROBERTSON, STEWART JAMES LANDERS
4 25/08/2015 10 7.3 1,500 400
Trez Capital Senior Mortgage Investment Corporation
Class A Shares ROBERTSON, STEWART JAMES LANDERS
4 25/08/2015 10 7.29 1,600 100
Trez Capital Senior Mortgage Investment Corporation
Class A Shares ROBERTSON, STEWART JAMES LANDERS
4 25/08/2015 10 7.29 1,900 300
Trez Capital Senior Mortgage Investment Corporation
Class A Shares ROBERTSON, STEWART JAMES LANDERS
4 25/08/2015 10 7.29 2,700 800
Trez Capital Senior Mortgage Investment Corporation
Class A Shares ROBERTSON, STEWART JAMES LANDERS
4 25/08/2015 10 7.29 3,100 400
Trez Capital Senior Mortgage Investment Corporation
Class A Shares ROBERTSON, STEWART JAMES LANDERS
4 25/08/2015 10 7.28 3,400 300
Trez Capital Senior Mortgage Investment Corporation
Class A Shares ROBERTSON, STEWART JAMES LANDERS
4 25/08/2015 10 7.28 3,500 100
Trez Capital Senior Mortgage Investment Corporation
Class A Shares ROBERTSON, STEWART JAMES LANDERS
4 25/08/2015 10 7.28 3,600 100
Trez Capital Senior Mortgage Investment Corporation
Class A Shares ROBERTSON, STEWART JAMES LANDERS
4 25/08/2015 10 7.29 4,000 400
Trez Capital Senior Mortgage Investment Corporation
Class A Shares ROBERTSON, STEWART JAMES LANDERS
4 27/11/2012 00
Trez Capital Senior Mortgage Investment Corporation
Class A Shares ROBERTSON, STEWART JAMES LANDERS
4 13/08/2015 10 7.43 5,200 5,200
Trez Capital Senior Mortgage Investment Corporation
Class A Shares ROBERTSON, STEWART JAMES LANDERS
4 14/08/2015 10 7.4 5,400 200
Tribute Pharmaceuticals Canada Inc. (formerly Stellar Pharmaceuticals Inc.)
Common Shares The K2 Principal Fund L.P. 3 05/08/2015 10 2.1909 11,607,625 -6,500
Tribute Pharmaceuticals Canada Inc. (formerly Stellar Pharmaceuticals Inc.)
Common Shares The K2 Principal Fund L.P. 3 06/08/2015 10 2.001 11,614,725 7,100
Tribute Pharmaceuticals Canada Inc. (formerly Stellar Pharmaceuticals Inc.)
Common Shares The K2 Principal Fund L.P. 3 06/08/2015 10 2.089 11,531,225 -83,500
Tribute Pharmaceuticals Canada Inc. (formerly Stellar Pharmaceuticals Inc.)
Common Shares The K2 Principal Fund L.P. 3 07/08/2015 10 1.9774 11,518,525 -12,700
Tribute Pharmaceuticals Canada Inc. (formerly Stellar Pharmaceuticals Inc.)
Common Shares The K2 Principal Fund L.P. 3 11/08/2015 10 1.8253 11,502,925 -15,600
Tribute Pharmaceuticals Canada Inc. (formerly Stellar Pharmaceuticals Inc.)
Common Shares The K2 Principal Fund L.P. 3 11/08/2015 10 1.7997 11,511,825 8,900
Tribute Pharmaceuticals Canada Inc. (formerly Stellar Pharmaceuticals Inc.)
Common Shares The K2 Principal Fund L.P. 3 12/08/2015 10 1.816 11,490,725 -21,100
Tribute Pharmaceuticals Canada Inc. (formerly Stellar Pharmaceuticals Inc.)
Common Shares The K2 Principal Fund L.P. 3 13/08/2015 10 1.761 11,444,225 -46,500
Tribute Pharmaceuticals Canada Inc. (formerly Stellar Pharmaceuticals Inc.)
Common Shares The K2 Principal Fund L.P. 3 17/08/2015 10 1.6277 11,360,125 -84,100
Tribute Pharmaceuticals Canada Inc. (formerly Stellar Pharmaceuticals Inc.)
Common Shares The K2 Principal Fund L.P. 3 18/08/2015 10 1.7 11,347,325 -12,800
Tribute Pharmaceuticals Canada Inc. (formerly Stellar Pharmaceuticals Inc.)
Common Shares The K2 Principal Fund L.P. 3 19/08/2015 10 1.661 11,309,925 -37,400
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7649
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Tribute Pharmaceuticals Canada Inc. (formerly Stellar Pharmaceuticals Inc.)
Common Shares The K2 Principal Fund L.P. 3 20/08/2015 10 1.56 11,284,925 -25,000
Tribute Pharmaceuticals Canada Inc. (formerly Stellar Pharmaceuticals Inc.)
Common Shares The K2 Principal Fund L.P. 3 21/08/2015 10 1.488 11,340,525 55,600
Tribute Pharmaceuticals Canada Inc. (formerly Stellar Pharmaceuticals Inc.)
Common Shares The K2 Principal Fund L.P. 3 24/08/2015 10 1.548 11,306,925 -33,600
Tribute Pharmaceuticals Canada Inc. (formerly Stellar Pharmaceuticals Inc.)
Common Shares The K2 Principal Fund L.P. 3 24/08/2015 10 1.4164 11,464,425 157,500
Tribute Pharmaceuticals Canada Inc. (formerly Stellar Pharmaceuticals Inc.)
Common Shares The K2 Principal Fund L.P. 3 25/08/2015 10 1.456 11,523,425 59,000
Tribute Pharmaceuticals Canada Inc. (formerly Stellar Pharmaceuticals Inc.)
Common Shares The K2 Principal Fund L.P. 3 25/08/2015 10 1.4892 11,449,925 -73,500
Tribute Pharmaceuticals Canada Inc. (formerly Stellar Pharmaceuticals Inc.)
Common Shares The K2 Principal Fund L.P. 3 26/08/2015 10 1.5419 11,420,725 -29,200
Tribute Pharmaceuticals Canada Inc. (formerly Stellar Pharmaceuticals Inc.)
Common Shares The K2 Principal Fund L.P. 3 26/08/2015 10 1.4299 11,470,725 50,000
Tribute Pharmaceuticals Canada Inc. (formerly Stellar Pharmaceuticals Inc.)
Common Shares The K2 Principal Fund L.P. 3 27/08/2015 10 1.5871 11,425,025 -45,700
Tribute Pharmaceuticals Canada Inc. (formerly Stellar Pharmaceuticals Inc.)
Common Shares The K2 Principal Fund L.P. 3 27/08/2015 10 1.6 11,493,025 68,000
Tribute Pharmaceuticals Canada Inc. (formerly Stellar Pharmaceuticals Inc.)
Common Shares The K2 Principal Fund L.P. 3 28/08/2015 10 1.6247 11,456,425 -36,600
Tribute Pharmaceuticals Canada Inc. (formerly Stellar Pharmaceuticals Inc.)
Common Shares The K2 Principal Fund L.P. 3 28/08/2015 10 1.589 11,475,725 19,300
Tribute Resources Inc. Common Shares Lowrie, Jane Elizabeth 3, 4, 5 25/08/2015 11 0.1 3,640,953 314,100
Tricon Capital Group Inc. Deferred Share Units KNOWLTON, JOHN MICHAEL ARTHUR
4 24/08/2015 46 11.1 6,328 563
Tricon Capital Group Inc. Deferred Share Units Matthews, Sian Margaret 4 20/05/2015 00
Tricon Capital Group Inc. Deferred Share Units Matthews, Sian Margaret 4 24/08/2015 46 11.1 520 520
Tricon Capital Group Inc. Deferred Share Units Sacks, Peter 4 24/08/2015 46 11.1 2,971 563
Tricon Capital Group Inc. Deferred Share Units Scott, Eric Duff 4 24/08/2015 46 11.1 13,586 1,689
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units Beshar, Luke 4 10/03/2014 00
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units Beshar, Luke 4 27/05/2014 97 0.278 143,885 143,885
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units Beshar, Luke 4 14/11/2014 37 0.278 0 -143,885
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units Beshar, Luke 4 14/11/2014 37 8.34 4,796 4,796
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units Beshar, Luke 4 27/05/2015 97 28.045 6,222 1,426
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units Beshar, Luke 4 16/06/2015 97 29.422 6,562 340
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Beshar, Luke 4 14/11/2014 37 0.278 -143,885
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Beshar, Luke 4 14/11/2014 37 0.278 -143,885
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Beshar, Luke 4 14/11/2014 37 8.34 4,796
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7650
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Beshar, Luke 4 14/11/2014 37 8.34 4,796
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Beshar, Luke 4 27/05/2015 97 28.045 1,426
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Beshar, Luke 4 27/05/2015 97 28.045 1,426
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Beshar, Luke 4 16/06/2015 97 29.422 340
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Beshar, Luke 4 16/06/2015 97 29.422 340
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units FRIESEN, HENRY 4 27/06/2011 00
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units FRIESEN, HENRY 4 27/05/2014 97 0.278 143,885 143,885
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units FRIESEN, HENRY 4 14/11/2014 37 0.278 0 -143,885
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units FRIESEN, HENRY 4 14/11/2014 37 8.34 4,796 4,796
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units FRIESEN, HENRY 4 27/05/2015 97 28.045 6,222 1,426
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units FRIESEN, HENRY 4 16/06/2015 97 29.422 6,562 340
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
FRIESEN, HENRY 4 14/11/2014 37 0.278 -143,885
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
FRIESEN, HENRY 4 14/11/2014 37 0.278 -143,885
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
FRIESEN, HENRY 4 14/11/2014 37 8.34 4,796
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
FRIESEN, HENRY 4 14/11/2014 37 8.34 4,796
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
FRIESEN, HENRY 4 27/05/2015 97 28.045 1,426
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
FRIESEN, HENRY 4 27/05/2015 97 28.045 1,426
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
FRIESEN, HENRY 4 16/06/2015 97 29.422 340
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
FRIESEN, HENRY 4 16/06/2015 97 29.422 340
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units Kirkman, Robert Lawrence 4 17/12/2013 00
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units Kirkman, Robert Lawrence 4 27/05/2014 97 0.278 143,885 143,885
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units Kirkman, Robert Lawrence 4 14/11/2014 37 0.278 0 -143,885
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units Kirkman, Robert Lawrence 4 14/11/2014 37 8.34 4,796 4,796
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7651
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units Kirkman, Robert Lawrence 4 27/05/2015 97 28.045 6,222 1,426
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units Kirkman, Robert Lawrence 4 16/06/2015 97 29.422 6,562 340
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Kirkman, Robert Lawrence 4 14/11/2014 37 0.278 -143,885
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Kirkman, Robert Lawrence 4 14/11/2014 37 0.278 -143,885
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Kirkman, Robert Lawrence 4 14/11/2014 37 8.34 4,796
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Kirkman, Robert Lawrence 4 14/11/2014 37 8.34 4,796
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Kirkman, Robert Lawrence 4 27/05/2015 97 28.045 1,426
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Kirkman, Robert Lawrence 4 27/05/2015 97 28.045 1,426
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Kirkman, Robert Lawrence 4 16/06/2015 97 29.422 340
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Kirkman, Robert Lawrence 4 16/06/2015 97 29.422 340
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units Moore, Michael 4 09/04/2013 00
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units Moore, Michael 4 27/05/2014 97 0.278 143,885 143,885
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units Moore, Michael 4 14/11/2014 37 0.278 0 -143,885
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units Moore, Michael 4 14/11/2014 37 8.34 4,796 4,796
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units Moore, Michael 4 27/05/2015 97 28.045 6,222 1,426
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units Moore, Michael 4 16/06/2015 97 29.422 6,562 340
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Moore, Michael 4 14/11/2014 37 0.278 -143,885
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Moore, Michael 4 14/11/2014 37 0.278 -143,885
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Moore, Michael 4 14/11/2014 37 8.34 4,796
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Moore, Michael 4 14/11/2014 37 8.34 4,796
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Moore, Michael 4 27/05/2015 97 28.045 1,426
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Moore, Michael 4 27/05/2015 97 28.045 1,426
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Moore, Michael 4 16/06/2015 97 29.422 340
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7652
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Moore, Michael 4 16/06/2015 97 29.422 340
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units Reynolds, Thomas 4 10/03/2014 00
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units Reynolds, Thomas 4 27/05/2014 97 0.278 143,885 143,885
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units Reynolds, Thomas 4 14/11/2014 37 0.278 0 -143,885
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units Reynolds, Thomas 4 14/11/2014 37 8.34 4,796 4,796
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units Reynolds, Thomas 4 27/05/2015 97 28.045 6,222 1,426
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units Reynolds, Thomas 4 16/06/2015 97 29.422 6,562 340
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Reynolds, Thomas 4 14/11/2014 37 0.278 -143,885
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Reynolds, Thomas 4 14/11/2014 37 0.278 -143,885
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Reynolds, Thomas 4 14/11/2014 37 8.34 4,796
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Reynolds, Thomas 4 14/11/2014 37 8.34 4,796
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Reynolds, Thomas 4 27/05/2015 97 28.045 1,426
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Reynolds, Thomas 4 27/05/2015 97 28.045 1,426
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Reynolds, Thomas 4 16/06/2015 97 29.422 340
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
Reynolds, Thomas 4 16/06/2015 97 29.422 340
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units STILLER, CALVIN R. 4 18/07/2011 00
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units STILLER, CALVIN R. 4 27/05/2014 97 0.278 143,885 143,885
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units STILLER, CALVIN R. 4 14/11/2014 37 0.278 0 -143,885
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units STILLER, CALVIN R. 4 14/11/2014 37 8.34 4,796 4,796
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units STILLER, CALVIN R. 4 27/05/2015 97 28.045 6,222 1,426
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Deferred share units STILLER, CALVIN R. 4 16/06/2015 97 29.422 6,562 340
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
STILLER, CALVIN R. 4 14/11/2014 37 0.278 -143,885
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
STILLER, CALVIN R. 4 14/11/2014 37 0.278 -143,885
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7653
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
STILLER, CALVIN R. 4 14/11/2014 37 8.34 4,796
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
STILLER, CALVIN R. 4 14/11/2014 37 8.34 4,796
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
STILLER, CALVIN R. 4 27/05/2015 97 28.045 1,426
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
STILLER, CALVIN R. 4 27/05/2015 97 28.045 1,426
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
STILLER, CALVIN R. 4 16/06/2015 97 29.422 340
Trillium Therapeutics Inc. (formerly Stem Cell Therapeutics Corp.)
Units Deferred Share Units
STILLER, CALVIN R. 4 16/06/2015 97 29.422 340
Trimel Pharmaceuticals Corporation (formerly J5 Acquisition Corp.)
Common Shares Rossi, Tom 5 27/08/2015 10 0.455 145,000 7,000
Trimel Pharmaceuticals Corporation (formerly J5 Acquisition Corp.)
Common Shares Rossi, Tom 5 27/08/2015 10 0.45 151,000 6,000
TriMetals Mining Inc. Common Shares Fitch, Ralph Gordon 4, 5 24/08/2015 10 0.06 4,475,533 150,000
Trinidad Drilling Ltd. Common Shares Whitmarsh, Lyle Clarence 4 13/08/2015 10 143,700 26,700
TriStar Gold Inc. Common Shares Jones, III, Mark E. 4 27/08/2015 10 0.175 7,919,884 9,000
TriStar Gold Inc. Common Shares Jones, III, Mark E. 4 27/08/2015 10 0.18 7,920,884 1,000
TriStar Gold Inc. Warrants Jones, III, Mark E. 4 07/03/2014 11 0.13 1,925,000
TriStar Gold Inc. Warrants Jones, III, Mark E. 4 07/03/2014 11 0.13 4,325,000 1,925,000
True North Commercial Real Estate Investment Trust
Trust Units Drimmer, Daniel 3, 4 24/08/2015 10 5.62 2,894,460 1,000
True North Commercial Real Estate Investment Trust
Trust Units Drimmer, Daniel 3, 4 24/08/2015 10 5.68 2,898,660 4,200
True North Commercial Real Estate Investment Trust
Trust Units Drimmer, Daniel 3, 4 25/08/2015 10 5.75 2,900,660 2,000
True North Commercial Real Estate Investment Trust
Trust Units Drimmer, Daniel 3, 4 25/08/2015 10 5.95 2,918,660 18,000
Tucows Inc. Common Shares Gissin, Erez 4 24/08/2015 10 22.29 46,250 -18,750
TWC Enterprises Limited Common Shares Campbell, Paul David 4 15/06/2015 35 10.729 11,369 78
Twin Butte Energy Ltd. Common Shares Greschner, Thomas Joseph 4 25/08/2015 57 0.26 104,673 14,472
Twin Butte Energy Ltd. Share Units-restricted Greschner, Thomas Joseph 4 25/08/2015 57 0.26 166,551 -14,153
Twin Butte Energy Ltd. Convertible Debentures $85,000,000 6.25% 5 year mature Dec 31, 2018
Steele, Alan 5 30/10/2007 00
Twin Butte Energy Ltd. Convertible Debentures $85,000,000 6.25% 5 year mature Dec 31, 2018
Steele, Alan 5 25/08/2015 10 50 $200 $200
Twin Butte Energy Ltd. Common Shares Wollmann, Robert Ernest Law
5 27/08/2015 10 0.32 815,629 156,000
U.S. Dividend Growers Income Corp.
Common Shares Equity Shares
U.S. Dividend Growers Income Corp.
1 21/08/2015 38 8.8879 321,500 3,300
U.S. Dividend Growers Income Corp.
Common Shares Equity Shares
U.S. Dividend Growers Income Corp.
1 24/08/2015 38 8.5038 322,800 1,300
U.S. Dividend Growers Income Corp.
Common Shares Equity Shares
U.S. Dividend Growers Income Corp.
1 24/08/2015 38 8.3959 327,200 4,400
U.S. Dividend Growers Income Corp.
Common Shares Equity Shares
U.S. Dividend Growers Income Corp.
1 25/08/2015 38 8.52 329,400 2,200
U.S. Dividend Growers Income Corp.
Common Shares Equity Shares
U.S. Dividend Growers Income Corp.
1 26/08/2015 38 8.33 330,000 600
U.S. Dividend Growers Income Corp.
Common Shares Equity Shares
U.S. Dividend Growers Income Corp.
1 27/08/2015 38 8.7382 333,800 3,800
Uni-Sélect Inc. Common Shares Buzzard, James E. 4 19/08/2015 10 58.75 559,300 -700
Uni-Sélect Inc. Common Shares Buzzard, James E. 4 19/08/2015 10 58.92 558,900 -400
Uni-Sélect Inc. Common Shares Buzzard, James E. 4 19/08/2015 10 58.925 558,800 -100
Uni-Sélect Inc. Common Shares Buzzard, James E. 4 19/08/2015 10 58.93 557,800 -1,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7654
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Uni-Sélect Inc. Common Shares Buzzard, James E. 4 19/08/2015 10 58.935 557,600 -200
Uni-Sélect Inc. Common Shares Buzzard, James E. 4 19/08/2015 10 58.95 557,200 -400
Uni-Sélect Inc. Common Shares Buzzard, James E. 4 19/08/2015 10 58.955 554,200 -3,000
Uni-Sélect Inc. Common Shares Buzzard, James E. 4 25/08/2015 10 58.75 553,700 -500
Uni-Sélect Inc. Common Shares Buzzard, James E. 4 25/08/2015 10 58.82 553,600 -100
Uni-Sélect Inc. Common Shares Buzzard, James E. 4 25/08/2015 10 58.83 553,500 -100
Uni-Sélect Inc. Common Shares Buzzard, James E. 4 25/08/2015 10 58.84 553,400 -100
Uni-Sélect Inc. Common Shares Buzzard, James E. 4 25/08/2015 10 58.86 553,300 -100
Uni-Sélect Inc. Common Shares Buzzard, James E. 4 25/08/2015 10 58.88 553,200 -100
Uni-Sélect Inc. Common Shares Buzzard, James E. 4 25/08/2015 10 58.9 553,000 -200
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.39 -100
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.39 -100
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.4 -8,700
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.4 -8,700
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.405 -100
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.405 -100
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.41 -1,000
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.41 -1,000
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.42 -300
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.42 -300
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.44 -3,200
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.44 -3,200
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.45 -7,100
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.45 -7,100
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.465 -100
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.465 -100
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.5 -16,000
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.5 -16,000
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.51 -600
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.51 -600
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.52 -400
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.52 -400
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.525 -100
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.525 -100
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.535 -100
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.535 -100
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.55 -800
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.55 -800
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.4 -100
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.4 -100
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.56 -400
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.56 -400
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.565 -100
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.565 -100
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.58 -600
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.58 -600
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.6 -200
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 17/08/2015 10 59.6 -200
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 19/08/2015 10 58.75 -700
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 19/08/2015 10 58.75 -700
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 19/08/2015 10 58.92 -400
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 19/08/2015 10 58.92 -400
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 19/08/2015 10 58.93 -1,000
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 19/08/2015 10 58.93 -1,000
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 19/08/2015 10 58.935 -200
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 19/08/2015 10 58.935 -200
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 19/08/2015 10 58.95 -400
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 19/08/2015 10 58.95 -400
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7655
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 19/08/2015 10 58.955 -3,000
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 19/08/2015 10 58.955 -3,000
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 19/08/2015 10 58.925 -100
Uni-Sélect Inc. Common Shares Buzzard, Robert 5 19/08/2015 10 58.925 -100
Uni-Sélect Inc. Common Shares Uni-Sélect Inc. 1 24/08/2015 38 55.865 11,745 11,745
Uni-Sélect Inc. Common Shares Uni-Sélect Inc. 1 24/08/2015 38 55.865 0 -11,745
UNISYNC Corp. Common Shares Class B Voting Shares
Aunger, Bruce William 4, 5 15/12/2009 00
UNISYNC Corp. Common Shares Class B Voting Shares
Aunger, Bruce William 4, 5 27/08/2015 10 1.35 74,000 74,000
United Corporations Limited Common Shares Jackman, Duncan Newton Rowell
4, 5 21/08/2015 10 85.5 16,260 500
UrtheCast Corp. Common Shares Burt, Tye Winston 4 26/08/2015 10 2 416,976 35,000
UrtheCast Corp. Common Shares Hoeschen, Chris 5 27/08/2015 10 2.09 24,687 2,387
UrtheCast Corp. Common Shares Hoeschen, Chris 5 27/08/2015 10 2.09 24,687 2,387
US Buyback Leaders Fund Units US Buyback Leaders Fund 1 21/08/2015 38 900 900
US Buyback Leaders Fund Units US Buyback Leaders Fund 1 21/08/2015 38 0 -900
US Buyback Leaders Fund Units US Buyback Leaders Fund 1 25/08/2015 38 10,000 10,000
US Buyback Leaders Fund Units US Buyback Leaders Fund 1 25/08/2015 38 0 -10,000
Valeant Pharmaceuticals International, Inc.
Common Shares Farmer, Ron 4 21/08/2015 10 224.98 800 300
Valeant Pharmaceuticals International, Inc.
Common Shares Farmer, Ron 4 21/08/2015 10 224.97 1,500 700
Valeant Pharmaceuticals International, Inc.
Common Shares Farmer, Ron 4 26/08/2015 10 220 2,000 500
Valeant Pharmaceuticals International, Inc.
Common Shares Hale, David Robert 4 19/08/2015 00 14,994,261
Valeant Pharmaceuticals International, Inc.
Common Shares Hale, David Robert 4 19/08/2015 00 1,059,793
Valener Inc. Common Shares Sureau, Réal 4 30/09/2010 00
Valener Inc. Common Shares Sureau, Réal 4 25/08/2015 10 16.46 1,000 1,000
Valener Inc. Common Shares Sureau, Réal 4 25/08/2015 10 16.46 1,000
Valener Inc. Common Shares Sureau, Réal 4 25/08/2015 10 16.46 1,000
Valener Inc. Common Shares Trudeau, Stéphanie 7 01/10/2012 00
Valener Inc. Common Shares Trudeau, Stéphanie 7 25/08/2015 10 16.26 750 750
Vanrocco Financial Inc. Common Shares Lefkowits, Erica Joyce 4, 5 21/08/2015 00
Vanrocco Financial Inc. Common Shares Meagher, Patrick Joseph 5 21/08/2015 11 0.15 86,057 30,000
Vanrocco Financial Inc. Warrants Meagher, Patrick Joseph 5 30/12/2014 00
Vanrocco Financial Inc. Warrants Meagher, Patrick Joseph 5 21/08/2015 11 0.25 30,000 30,000
Vanrocco Financial Inc. Common Shares Szabo, Andras 3, 4, 5 21/08/2015 00
Vanrocco Financial Inc. Common Shares Szabo, Andras 3, 4, 5 21/08/2015 16 0.15 10,000,000 10,000,000
Veresen Inc. Common Shares King, Kevan Scott 5 25/08/2015 30 12.899 3,480 22
Veresen Inc. Common Shares King, Kevan Scott 5 25/08/2015 30 12.899 2,863 18
Vermilion Energy Inc. Common Shares Kaluza, Michael Sam 5 20/08/2015 10 42.45 17,449 -2,000
Vermilion Energy Inc. Common Shares Reinhart, Kevin Jerome 4 24/08/2015 10 39.787 6,590 1,500
Victoria Gold Corp. (formerly Victoria Resource Corporation)
Common Shares Ayranto, Mark 5 25/08/2015 10 277,722 75,000
Victoria Gold Corp. (formerly Victoria Resource Corporation)
Common Shares Sun Valley Gold LLC 3 25/08/2015 10 0.115 7,052,500 77,500
Victoria Gold Corp. (formerly Victoria Resource Corporation)
Common Shares Sun Valley Gold LLC 3 26/08/2015 10 0.115 7,084,000 31,500
Victoria Gold Corp. (formerly Victoria Resource Corporation)
Common Shares Sun Valley Gold LLC 3 27/08/2015 10 0.115 7,123,500 39,500
Vista Gold Corp. RSU Clark, John 4 10/08/2015 58 - Expiration of rights
164,200 -32,602
Vista Gold Corp. Common Shares Earnest, Frederick H. 5 05/08/2015 57 42415 42,415
Vista Gold Corp. Common Shares Earnest, Frederick H. 5 05/08/2015 57 42,415
Vista Gold Corp. Common Shares Earnest, Frederick H. 5 05/08/2015 57 197,503 45,503
Vista Gold Corp. Common Shares Earnest, Frederick H. 5 10/08/2015 10 0.299 -11,839
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7656
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Vista Gold Corp. Common Shares Earnest, Frederick H. 5 10/08/2015 10 0.29 219,375 -11,623
Vista Gold Corp. RSU Earnest, Frederick H. 5 05/08/2015 57 -42,415
Vista Gold Corp. RSU Earnest, Frederick H. 5 05/08/2015 57 1,586,992 -45,503
Vista Gold Corp. RSU Earnest, Frederick H. 5 05/08/2015 58 - Expiration of rights -28,085
Vista Gold Corp. RSU Earnest, Frederick H. 5 05/08/2015 58 - Expiration of rights
1,561,995 -24,997
Vista Gold Corp. RSU Earnest, Frederick H. 5 10/08/2015 58 - Expiration of rights
1,318,395 -210,105
Vista Gold Corp. Common Shares Engele, John 5 05/08/2015 57 19,649
Vista Gold Corp. Common Shares Engele, John 5 05/08/2015 57 19,687 19,687
Vista Gold Corp. Common Shares Engele, John 5 10/08/2015 10 0.299 -6,387
Vista Gold Corp. Common Shares Engele, John 5 10/08/2015 10 0.29 31,485 -6,270
Vista Gold Corp. RSU Engele, John 5 05/08/2015 57 -19,649
Vista Gold Corp. RSU Engele, John 5 05/08/2015 57 779,657 -19,687
Vista Gold Corp. RSU Engele, John 5 05/08/2015 58 - Expiration of rights -10,851
Vista Gold Corp. RSU Engele, John 5 05/08/2015 58 - Expiration of rights
768,844 -10,813
Vista Gold Corp. RSU Engele, John 5 10/08/2015 58 - Expiration of rights
637,444 -113,332
Vista Gold Corp. RSU Eppler, W. Durand 7 10/08/2015 58 - Expiration of rights
164,200 -32,602
Vista Gold Corp. RSU Ogryzlo, Charles Thomas 4 10/08/2015 58 - Expiration of rights
164,200 -32,602
Vista Gold Corp. RSU Richings, Michael 4 10/08/2015 58 - Expiration of rights
164,200 -32,602
Vista Gold Corp. Common Shares Rozelle, John W. 5 05/08/2015 57 15,781
Vista Gold Corp. Common Shares Rozelle, John W. 5 05/08/2015 57 55,782 15,811
Vista Gold Corp. Common Shares Rozelle, John W. 5 10/08/2015 10 -4,114
Vista Gold Corp. Common Shares Rozelle, John W. 5 10/08/2015 10 0.29 63,377 -4,038
Vista Gold Corp. RSU Rozelle, John W. 5 05/08/2015 57 -15,781
Vista Gold Corp. RSU Rozelle, John W. 5 05/08/2015 57 509,053 -15,811
Vista Gold Corp. RSU Rozelle, John W. 5 05/08/2015 58 - Expiration of rights -8,719
Vista Gold Corp. RSU Rozelle, John W. 5 05/08/2015 58 - Expiration of rights
500,364 -8,689
Vista Gold Corp. RSU Rozelle, John W. 5 10/08/2015 58 - Expiration of rights
415,764 -72,967
Vista Gold Corp. RSU Stevenson, Tracy 4 10/08/2015 58 - Expiration of rights
164,200 -32,602
Vista Gold Corp. Common Shares Sun Valley Gold LLC 3 25/08/2015 10 0.2893 13,814,913 25,461
Vista Gold Corp. Common Shares Sun Valley Gold Master Fund, Ltd.
3 25/08/2015 10 0.2893 9,781,186 25,461
West Fraser Timber Co. Ltd. Common Shares Ferris, Raymond William 5 28/08/2015 10 50 6,300 3,000
West Fraser Timber Co. Ltd. Common Shares West Fraser Timber Co. Ltd. 1 20/08/2015 38 51.368 452,000 20,000
West Fraser Timber Co. Ltd. Common Shares West Fraser Timber Co. Ltd. 1 21/08/2015 38 53.797 472,000 20,000
West Fraser Timber Co. Ltd. Common Shares West Fraser Timber Co. Ltd. 1 24/08/2015 38 50.409 492,000 20,000
West Fraser Timber Co. Ltd. Common Shares West Fraser Timber Co. Ltd. 1 25/08/2015 38 40,000 -452,000
West Fraser Timber Co. Ltd. Common Shares West Fraser Timber Co. Ltd. 1 25/08/2015 38 50.986 60,000 20,000
West Fraser Timber Co. Ltd. Common Shares West Fraser Timber Co. Ltd. 1 26/08/2015 38 50 80,000 20,000
West Fraser Timber Co. Ltd. Common Shares West Fraser Timber Co. Ltd. 1 27/08/2015 38 49.531 100,000 20,000
Western Energy Services Corp.
Common Shares Western Energy Services Corp.
1 24/08/2015 38 4.364 355,000 37,800
Western Energy Services Corp.
Common Shares Western Energy Services Corp.
1 25/08/2015 38 4.5982 410,500 55,500
Western Energy Services Corp.
Common Shares Western Energy Services Corp.
1 26/08/2015 38 4.5584 466,000 55,500
Western Energy Services Corp.
Common Shares Western Energy Services Corp.
1 27/08/2015 38 4.7414 488,300 22,300
Western Energy Services Corp.
Common Shares Western Energy Services Corp.
1 28/08/2015 38 5.0999 503,300 15,000
Western Lithium USA Corporation
Options Epshtein, Eduard 5 28/08/2015 52 0.5 950,000 -100,000
Western Lithium USA Corporation
Options Epshtein, Eduard 5 28/08/2015 52 0.88 920,000 -30,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7657
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Westshore Terminals Investment Corporation
Common Shares Pattison, James A. 3 25/08/2015 11 2,488,000 -695,877
Westshore Terminals Investment Corporation
Common Shares Pattison, James A. 3 24/08/2015 10 24.913 1,249,700 18,000
Westshore Terminals Investment Corporation
Common Shares Pattison, James A. 3 25/08/2015 10 25.473 1,257,700 8,000
Westshore Terminals Investment Corporation
Common Shares Pattison, James A. 3 25/08/2015 11 1,953,577 695,877
Weststar Resources Corp. Common Shares Rascan, William 4, 5 20/08/2015 10 0.015 3,100,000 75,000
Weststar Resources Corp. Common Shares Rascan, William 4, 5 24/08/2015 10 0.01 3,112,000 12,000
Weststar Resources Corp. Common Shares Rascan, William 4, 5 28/08/2015 11 0.02 2,612,000 -500,000
Whitecap Resources Inc. Common Shares Armstrong, Joel Maxwell 5 25/08/2015 10 9.622 139,901 6,600
Xcite Energy Limited Ordinary Shares Fairclough, Andrew 4, 5 08/07/2014 99 0.67 28,000 19,000
Xcite Energy Limited Ordinary Shares Fairclough, Andrew 4, 5 08/07/2014 10 0.67 38,000
Xcite Energy Limited Ordinary Shares Fairclough, Andrew 4, 5 08/07/2014 10 0.67 25,000 19,000
Ximen Mining Corp. Common Shares Anderson, Christopher Ross 4 25/08/2015 10 0.015 1,363,100 100,000
Xmet Inc. Common Shares Garofalo, Sam 4 27/08/2015 10 0.005 1,583,000 683,000
Yangarra Resources Ltd. Common Shares Evaskevich, James Grant 4, 5 28/08/2015 10 0.87 1,540,283 50,000
Yellow Pages Limited Options Robillard, Sophie 5 14/08/2015 50 17.914 9,200
Yellow Pages Limited Options Robillard, Sophie 5 14/08/2015 50 17.962 9,200 9,200
Yellow Pages Limited Performance Share Unit Robillard, Sophie 5 14/08/2015 56 17.914 4,605
Yellow Pages Limited Performance Share Unit Robillard, Sophie 5 14/08/2015 56 17.962 4,592 4,592
Yellow Pages Limited Restricted Share Unit Robillard, Sophie 5 14/08/2015 56 17.914 1,842
Yellow Pages Limited Restricted Share Unit Robillard, Sophie 5 14/08/2015 56 17.962 1,837 1,837
Yieldplus Income Fund Trust Units YIELDPLUS Income Fund 1 21/08/2015 38 5.78 86,107,033 1,000
Yieldplus Income Fund Trust Units YIELDPLUS Income Fund 1 25/08/2015 38 5.6894 86,110,433 3,400
Yieldplus Income Fund Trust Units YIELDPLUS Income Fund 1 26/08/2015 38 5.6824 86,112,133 1,700
Yieldplus Income Fund Trust Units YIELDPLUS Income Fund 1 27/08/2015 38 6.01 86,112,733 600
ZCL Composites Inc. Common Shares ZCL Composites Inc 1 20/08/2015 38 5.8139 11,500 11,500
ZCL Composites Inc. Common Shares ZCL Composites Inc 1 21/08/2015 38 0 -11,500
Zephyr Minerals Ltd. Common Shares Felderhof, G. William 4 27/08/2015 10 0.11 1,824,833 11,000
Insider Reporting
September 3, 2015
(2015), 38 OSCB 7658
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September 3, 2015
(2015), 38 OSCB 7659
Chapter 8
Notice of Exempt Financings REPORT OF TRADES ON FORM 45-106F1 AND 45-501F1 There are no Reports of Exempt Distribution on Forms 45-106F1 or 45-501F1 (Reports) in this Bulletin. Reports filed on or after February 19, 2014 must be filed electronically. As a result of the transition to mandated electronic filings, the OSC is considering the most effective manner to make data about filed Reports available to the public, including whether and how this information should be reflected in the Bulletin. In the meantime, Reports filed with the Commission continue to be available for public inspection during normal business hours.
Notice of Exempt Financings
September 3, 2015
(2015), 38 OSCB 7660
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September 3, 2015
(2015), 38 OSCB 7661
Chapter 11
IPOs, New Issues and Secondary Financings Issuer Name: BNS Split Corp. II Principal Regulator - Ontario Type and Date: Preliminary Short Form Prospectus dated August 25, 2015 NP 11-202 Receipt dated August 25, 2015 Offering Price and Description: Maximum Offering: $ * - * Class B Preferred Shares, Series 2 Price: $ * per Preferred Share Underwriter(s) or Distributor(s): SCOTIA CAPITAL INC. CIBC WORLD MARKETS INC. RBC DOMINION SECURITIES INC. Promoter(s): SCOTIA MANAGED COMPANIES ADMINISTRATION INC. Project #2387797 _______________________________________________ Issuer Name: CI G5|20 2040 Q4 Fund Principal Regulator - Ontario Type and Date: Preliminary Simplified Prospectus dated August 27, 2015 NP 11-202 Receipt dated August 28, 2015 Offering Price and Description: Class A, F and O Units Underwriter(s) or Distributor(s): - Promoter(s): CI Investments Inc. Project #2391008 _______________________________________________ Issuer Name: CI G5|20i 2035 Q4 Fund Principal Regulator - Ontario Type and Date: Preliminary Simplified Prospectus dated August 27, 2015 NP 11-202 Receipt dated August 28, 2015 Offering Price and Description: Class A, F and O Units Underwriter(s) or Distributor(s): - Promoter(s): CI Investments Inc. Project #2391001 _______________________________________________
Issuer Name: ESSA Pharma Inc. Principal Regulator - British Columbia Type and Date: Preliminary Base Shelf Prospectus dated August 28, 2015 NP 11-202 Receipt dated August 31, 2015 Offering Price and Description: $100,000,000.00 - Common Shares, Warrants, Units, Subscription Receipts, Debt Securities Underwriter(s) or Distributor(s): - Promoter(s): - Project #2393596 _______________________________________________ Issuer Name: Frontenac Mortgage Investment Corporation Principal Regulator - Ontario Type and Date: Preliminary Long Form Prospectus dated August 25, 2015 NP 11-202 Receipt dated August 26, 2015 Offering Price and Description: Net Asset Value per Share Underwriter(s) or Distributor(s): - Promoter(s): W.A. Robinson Asset Management Ltd. Project #2388616 _______________________________________________
IPOs, New Issues and Secondary Financings
September 3, 2015
(2015), 38 OSCB 7662
Issuer Name: Globalance Dividend Growers Corp. Principal Regulator - Alberta Type and Date: Preliminary Long Form Prospectus dated August 28, 2015 NP 11-202 Receipt dated August 28, 2015 Offering Price and Description: Maximum Offering: $* - * Equity Shares Minimum Offering: $20,000,000 - 2,000,000 Equity Shares Price: $10.00 per Equity Share Minimum Purchase: 100 Equity Shares Underwriter(s) or Distributor(s): CIBC World Markets Inc. RBC Dominion Securities Inc. Scotia Capital Inc. BMO Nesbitt Burns Inc. TD Securities Inc. GMP Securities L.P. Canaccord Genuity Corp. Raymond James Ltd. Dundee Securities Ltd. Mackie Research Capital Corporation Manulife Securities Incorporated Middlefield Capital Corporation Promoter(s): Middlefield Limited Project #2392453 _______________________________________________ Issuer Name: HealthSpace Informatics Ltd. Principal Regulator - British Columbia Type and Date: Preliminary Long Form Non-Offering Prospectus dated August 27, 2015 NP 11-202 Receipt dated August 28, 2015 Offering Price and Description: - Underwriter(s) or Distributor(s): - Promoter(s): Conrad Krebs Christopher Morris Joseph Willmott Ali Hakimzadeh Project #2390878 _______________________________________________
Issuer Name: Keyera Corp. Principal Regulator - Alberta Type and Date: Preliminary Base Shelf Prospectus dated August 31, 2015 NP 11-202 Receipt dated August 31, 2015 Offering Price and Description: $3,000,000,000.00 Common Shares Preferred Shares Subscription Receipts Debt Securities Warrants Units Underwriter(s) or Distributor(s): - Promoter(s): - Project #2394418 _______________________________________________ Issuer Name: Klondex Mines Ltd. Principal Regulator - British Columbia Type and Date: Preliminary Short Form Prospectus dated August 26, 2015 NP 11-202 Receipt dated August 26, 2015 Offering Price and Description: $26,270,000 - 7,400,000 Common Shares Price: $3.55 per Offered Share Underwriter(s) or Distributor(s): GMP SECURITIES L.P. CANACCORD GENUITY CORP. CLARUS SECURITIES INC. DUNDEE SECURITIES LTD. MACKIE RESEARCH CAPITAL CORPORATION M PARTNERS INC. RBC DOMINION SECURITIES INC. HAYWOOD SECURITIES INC. Promoter(s): - Project #2388721 _______________________________________________ Issuer Name: Legacy Education Savings Plan and Advanced Education Savings Plan Principal Regulator - Ontario Type and Date: Preliminary Long Form Prospectus dated August 27, 2015 NP 11-202 Receipt dated August 28, 2015 Offering Price and Description: Units Underwriter(s) or Distributor(s): Global RESP Corporation Promoter(s): Global Educational Trust Foundation Project #2390893 _______________________________________________
IPOs, New Issues and Secondary Financings
September 3, 2015
(2015), 38 OSCB 7663
Issuer Name: Standard Life Aggressive Portfolio Standard Life Canadian Dividend Growth Fund Standard Life Conservative Portfolio Standard Life Corporate Bond Fund Standard Life Diversified Income Fund Standard Life Dividend Growth & Income Portfolio Standard Life Dividend Income Fund Standard Life Emerging Markets Dividend Fund Standard Life Global Dividend Growth Fund Standard Life Global Equity Fund Standard Life Global Real Estate Fund Standard Life Growth Portfolio Standard Life Moderate Portfolio Standard Life Monthly Income Fund Standard Life Tactical Income Fund Standard Life U.S. Monthly Income Fund Principal Regulator - Ontario Type and Date: Preliminary Simplified Prospectuses dated August 31, 2015 NP 11-202 Receipt dated August 31, 2015 Offering Price and Description: Series D, Series I and Series T6 Securities Underwriter(s) or Distributor(s): Manulife Asset Management Investments Inc. Promoter(s): Manulife Asset Management Limited Project #2393585 _______________________________________________ Issuer Name: Tricon Investment Partners Inc. Principal Regulator - Ontario Type and Date: Preliminary Long Form Prospectus dated August 25, 2015 NP 11-202 Receipt dated August 25, 2015 Offering Price and Description: Maximum Offering: C$ * - * Subordinate Voting Shares Price: C$ * per Subordinate Voting Share Underwriter(s) or Distributor(s): RBC Dominion Securities Inc. GMP Securities L.P. TD Securities Inc. Promoter(s): Tricon Capital Group Inc. Project #2387640 _______________________________________________
Issuer Name: Winston Gold Mining Corp. Principal Regulator - Manitoba Type and Date: Preliminary Long Form Prospectus dated August 27, 2015 NP 11-202 Receipt dated August 28, 2015 Offering Price and Description: Minimum Offering: $550,000.00 (5,500,000 Class A Common Shares) Maximum Offering: $700,000.00 (7,000,000 Class A Common Shares) Price: $0.10 per Common Share Underwriter(s) or Distributor(s): - Promoter(s): Murray Nye Max Polinsky Project #2390900 _______________________________________________ Issuer Name: WSP Global Inc. Principal Regulator - Quebec Type and Date: Preliminary Short Form Prospectus dated August 31, 2015 NP 11-202 Receipt dated August 31, 2015 Offering Price and Description: $174,999,500.00 - 4,142,000 Common Shares Price: $42.25 per Common Share Underwriter(s) or Distributor(s): CIBC World Markets Inc. Raymond James Ltd. TD Securities Inc. BMO Nesbitt Burns Inc. National Bank Financial Inc. RBC Dominion Securities Inc. Scotia Capital Inc. Dundee Securiites Ltd. Desjardins Securities Inc. Canaccord Genuity Corp. Laurentian Bank Securities Inc. Promoter(s): - Project #2388158 _______________________________________________ Issuer Name: AGF Flex Asset Allocation Fund Principal Regulator - Ontario Type and Date: Final Simplified Prospectus dated August 25, 2015 NP 11-202 Receipt dated August 27, 2015 Offering Price and Description: Mutual Fund Series, Series F, Series O, Series Q and Series W units Underwriter(s) or Distributor(s): - Promoter(s): AGF Investments Inc. Project #2374583 _______________________________________________
IPOs, New Issues and Secondary Financings
September 3, 2015
(2015), 38 OSCB 7664
Issuer Name: Class A, F, and O units (unless otherwise noted) of Renaissance Money Market Fund (Class A, Premium, and O units only) Renaissance Canadian T-Bill Fund (Class A and O units only) Renaissance U.S. Money Market Fund (Class A and O units only) Renaissance Short-Term Income Fund (also offers Premium Class and Class F-Premium units) Renaissance Canadian Bond Fund (also offers Premium Class and Class F-Premium units) Renaissance Real Return Bond Fund (also offers Premium Class and Class F-Premium units) Renaissance Corporate Bond Fund (formerly Renaissance Corporate Bond Capital Yield Fund) (also offers Premium Class and Class F-Premium units) Renaissance U.S. Dollar Corporate Bond Fund (also offers Premium Class and Class F-Premium units) Renaissance High-Yield Bond Fund (also offers Premium Class and Class F-Premium units) Renaissance Floating Rate Income Fund ( also offers Premium Class, Class F-Premium, Class H, Class H-Premium, Class FH, Class FH-Premium, and Class OH units) Renaissance Global Bond Fund (also offers Premium Class and Class F-Premium units) Renaissance Canadian Balanced Fund Renaissance U.S. Dollar Diversified Income Fund (also offers Premium Class and Class F-Premium units) Renaissance Optimal Conservative Income Portfolio (also offers Class T4, T6, Select, Select-T4, Select-T6, Elite, Elite-T4, and Elite-T6 units) Renaissance Optimal Income Portfolio (also offers Class T6, T8, Select, Select-T6, Select-T8, Elite, Elite-T6, and Elite-T8 units) Renaissance Optimal Growth & Income Portfolio (also offers Class T4, T6, T8, Select, Select-T4, Select-T6, Select-T8, Elite, Elite-T4, Elite-T6, and Elite-T8 units) Renaissance Canadian Dividend Fund Renaissance Canadian Monthly Income Fund Renaissance Diversified Income Fund Renaissance High Income Fund (formerly Renaissance Millennium High Income Fund) Renaissance Canadian Core Value Fund Renaissance Canadian Growth Fund Renaissance Canadian All-Cap Equity Fund Renaissance Canadian Small-Cap Fund Renaissance U.S. Equity Income Fund (also offers Class F-Premium, Class H, Class FH, Class FH-Premium, and Class OH units) Renaissance U.S. Equity Value Fund Renaissance U.S. Equity Growth Fund Renaissance U.S. Equity Growth Currency Neutral Fund Renaissance U.S. Equity Fund Renaissance International Dividend Fund Renaissance International Equity Fund Renaissance International Equity Currency Neutral Fund Renaissance Global Markets Fund
Renaissance Optimal Global Equity Portfolio (also offers Class T4, T6, T8, Select, Select-T4, Select-T6, Select-T8, Elite, Elite-T4, Elite-T6, and Elite-T8 units) Renaissance Optimal Global Equity Currency Neutral Portfolio (also offers Class T4, T6, T8, Select, Select-T4, Select-T6, Select-T8, Elite, Elite-T4, Elite-T6, and Elite-T8 units) Renaissance Global Value Fund Renaissance Global Growth Fund Renaissance Global Growth Currency Neutral Fund Renaissance Global Focus Fund Renaissance Global Focus Currency Neutral Fund Renaissance Global Small-Cap Fund Renaissance China Plus Fund Renaissance Emerging Markets Fund Renaissance Optimal Inflation Opportunities Portfolio (also offers Select and Elite Class units) Renaissance Global Infrastructure Fund Renaissance Global Infrastructure Currency Neutral Fund Renaissance Global Real Estate Fund Renaissance Global Real Estate Currency Neutral Fund Renaissance Global Health Care Fund Renaissance Global Resource Fund Renaissance Global Science & Technology Fund Class A, T6, T8, Select, Select-T6, Select-T8, Elite, Elite-T6, Elite-T8, F, and O units (unless otherwise noted) of Axiom Balanced Income Portfolio (also offers Class T4, Select-T4, and Elite-T4 units) Axiom Diversified Monthly Income Portfolio Axiom Balanced Growth Portfolio (also offers Class T4, Select-T4, and Elite-T4 units) Axiom Long-Term Growth Portfolio (also offers Class T4, Select-T4, and Elite-T4 units) Axiom Canadian Growth Portfolio (also offers Class T4, Select-T4, and Elite-T4 units) Axiom Global Growth Portfolio (also offers Class T4, Select-T4, and Elite-T4 units) Axiom Foreign Growth Portfolio (also offers Class T4, Select-T4, and Elite-T4 units) Axiom All Equity Portfolio (also offers Class T4, Select-T4, and Elite-T4 units) Principal Regulator - Ontario Type and Date: Final Simplified Prospectuses dated August 26, 2015 NP 11-202 Receipt dated August 27, 2015 Offering Price and Description: Class A, Premium, Class F-Premium, O, Class T4, T6, T8, Select, Select-T4, Select-T6, Select-T8, Elite, Elite-T4, Elite-T6, and Elite-T8, Class F-Premium, Class H, Class FH, Class FH-Premium, and Class OH Units @ Net Asset Value Underwriter(s) or Distributor(s): - Promoter(s): CIBC Asset Management Inc. Project #2373598 _______________________________________________
IPOs, New Issues and Secondary Financings
September 3, 2015
(2015), 38 OSCB 7665
Issuer Name: BMO Europe High Dividend Covered Call Hedged to CAD ETF BMO International Dividend Hedged to CAD ETF BMO Low Volatility International Equity ETF BMO US Put Write ETF Principal Regulator - Ontario Type and Date: Final Long Form Prospectus dated August 24, 2015 NP 11-202 Receipt dated August 25, 2015 Offering Price and Description: - Underwriter(s) or Distributor(s): - Promoter(s): BMO Asset Management Inc. Project #2372095 _______________________________________________ Issuer Name: Dynamic Active Core Bond Private Pool (Series F, I and O units) Dynamic Active Credit Strategies Private Pool (Series F, FH, I and O units) Dynamic Asset Allocation Private Pool (Series F, FH, FT and I units) Dynamic Canadian Equity Private Pool Class (Series F, I and O shares) Dynamic Global Equity Private Pool Class (Series F, FH, I and O shares) Dynamic Global Yield Private Pool (Series F, FH and I units) Dynamic U.S. Equity Private Pool Class (Series F, FH and I shares Principal Regulator - Ontario Type and Date: Amendment #2 dated August 24, 2015 to the Simplified Prospectus and Annual Information Form dated May 15, 2015 NP 11-202 Receipt dated August 28, 2015 Offering Price and Description: - Underwriter(s) or Distributor(s): 1832 Asset Management L.P. Promoter(s): 1832 ASSET MANAGEMENT L.P., Project #2333961 _______________________________________________
Issuer Name: Dynamic Conservative Yield Private Pool (Series F, FH and I Units) Dynamic International Dividend Private Pool (Series F, FH, I and O Units) Dynamic North American Dividend Private Pool (Series F, FH, I and O Units) Dynamic Tactical Bond Private Pool (Series F, FH, I and O Units) Principal Regulator - Ontario Type and Date: Amendment #1 dated August 24, 2015 to the Simplified Prospectus and Annual Information Form dated February 26, 2015 NP 11-202 Receipt dated August 28, 2015 Offering Price and Description: - Underwriter(s) or Distributor(s): 1832 Asset Management L.P. Promoter(s): 1832 Asset Management L.P. Project #2302272 _______________________________________________ Issuer Name: Family Group Education Savings Plan Family Single Student Education Savings Plan Flex First Plan Principal Regulator - Ontario Type and Date: Final Long Form Prospectus dated August 26, 2015 NP 11-202 Receipt dated August 27, 2015 Offering Price and Description: - Underwriter(s) or Distributor(s): Knowledge First Financial Inc. Promoter(s): The Knowledge First Foundation Project #2356996;2357002;2356984 _______________________________________________ Issuer Name: Ford Auto Securitization Trust Principal Regulator - Ontario Type and Date: Final Base Shelf Prospectus dated August 26, 2015 NP 11-202 Receipt dated August 27, 2015 Offering Price and Description: $1,000,000,000 of Asset Backed Underwriter(s) or Distributor(s): - Promoter(s): Ford Credit Canada Limited Project #2383744 _______________________________________________
IPOs, New Issues and Secondary Financings
September 3, 2015
(2015), 38 OSCB 7666
Issuer Name: Frontiers International Equity Pool Principal Regulator - Ontario Type and Date: Amendment #2 dated August 26, 2015 to the Simplified Prospectus and Annual Information Form dated December 15, 2014 NP 11-202 Receipt dated August 28, 2015 Offering Price and Description: - Underwriter(s) or Distributor(s): - Promoter(s): CIBC Asset Management Inc. Project #2268216 _______________________________________________ Issuer Name: Global Healthcare Income & Growth Fund Principal Regulator - Ontario Type and Date: Final Long Form Prospectus dated August 24, 2015 NP 11-202 Receipt dated August 25, 2015 Offering Price and Description: Maximum $150,000,000 (15,000,000 Units at $10 per Unit) Underwriter(s) or Distributor(s): RBC Dominion Securities Inc. CIBC World Markets Inc. Scotia Capital Inc. BMO Nesbitt Burns Inc. National Bank Financial Inc. TD Securities Inc. GMP Securities L.P. Raymond James Ltd. Canaccord Genuity Corp. Desjardins Securities Inc. Dundee Securities Ltd. Haywood Securities Inc. Industrial Alliance Securities Inc. Mackie Research Capital Corporation Promoter(s): Brompton Funds Limited Project #2376569 _______________________________________________
Issuer Name: Horizons Cdn Select Universe Bond ETF Horizons S&P 500® Index ETF Horizons S&P/TSX 60 Index ETF Horizons S&P/TSX Capped Energy Index ETF Horizons S&P/TSX Capped Financials Index ETF Horizons US 7-10 Year Treasury Bond ETF Principal Regulator - Ontario Type and Date: Final Long Form Prospectus dated August 24, 2015 NP 11-202 Receipt dated August 26, 2015 Offering Price and Description: Class A units @ Net Asset Value Underwriter(s) or Distributor(s): - Promoter(s): HORIZONS ETFs MANAGEMENT (CANADA) INC. Project #2375414 _______________________________________________ Issuer Name: Horizons Seasonal Rotation ETF Principal Regulator - Ontario Type and Date: Final Long Form Prospectus dated August 24, 2015 NP 11-202 Receipt dated August 26, 2015 Offering Price and Description: Class E Units and Advisor Class Units @ Net Asset Value Underwriter(s) or Distributor(s): - Promoter(s): ALPHAPRO MANAGEMENT INC., Project #2375135 _______________________________________________ Issuer Name: Imperial Global Equity Income Pool Imperial International Equity Pool Imperial Overseas Equity Pool (Class A units) Principal Regulator - Ontario Type and Date: Amendment #2 dated August 26, 2015 to the Simplified Prospectus and Annual Information Form dated December 15, 2014 NP 11-202 Receipt dated August 28, 2015 Offering Price and Description: - Underwriter(s) or Distributor(s): - Promoter(s): Canadian Imperial Bank of Commerce Project #2268223 _______________________________________________
IPOs, New Issues and Secondary Financings
September 3, 2015
(2015), 38 OSCB 7667
Issuer Name: iShares Canadian Financial Monthly Income ETF Principal Regulator - Ontario Type and Date: Amendment #2 dated August 21, 2015 to the Long Form Prospectus dated October 21, 2014 NP 11-202 Receipt dated August 31, 2015 Offering Price and Description: - Underwriter(s) or Distributor(s): BlackRock Asset Management Canada Limited Promoter(s): - Project #2259846 _______________________________________________ Issuer Name: Partners Value Split Corp. Principal Regulator - Ontario Type and Date: Final Base Shelf Prospectus dated August 27, 2015 NP 11-202 Receipt dated August 27, 2015 Offering Price and Description: $750,000,000.00 - Class AA Preferred Shares Underwriter(s) or Distributor(s): - Promoter(s): - Project #2372350 _______________________________________________ Issuer Name: RBC Target 2015 Corporate Bond Index ETF RBC Target 2016 Corporate Bond Index ETF RBC Target 2017 Corporate Bond Index ETF RBC Target 2018 Corporate Bond Index ETF RBC Target 2019 Corporate Bond Index ETF RBC Target 2020 Corporate Bond Index ETF RBC Target 2021 Corporate Bond Index ETF RBC 1-5 Year Laddered Corporate Bond ETF (Units) Principal Regulator - Ontario Type and Date: Final Long Form Prospectus dated August 21, 2015 NP 11-202 Receipt dated August 25, 2015 Offering Price and Description: Units Underwriter(s) or Distributor(s): - Promoter(s): RBC Global Asset Management Inc. Project #2371396 _______________________________________________
Issuer Name: Sprott Enhanced Balanced Class Sprott Enhanced Balanced Fund Sprott Enhanced Equity Class Principal Regulator - Ontario Type and Date: Amendment #1 dated July 17, 2015 to the Simplified Prospectuses and Annual Information Form dated April 23, 2015 NP 11-202 Receipt dated August 26, 2015 Offering Price and Description: Mutual Fund Shares/Units @ Net Asset Value Underwriter(s) or Distributor(s): - Promoter(s): Sprott Asset Management LP Project #2318494 _______________________________________________ Issuer Name: Stone & Co. Dividend Growth Class Canada* (Series A, B, C, F, L, T8A, T8B and T8C shares) Stone & Co. Resource Plus Class* (Series A, B, C, F and L shares) Stone & Co. Flagship Growth & Income Fund Canada (Series L, AA, BB, CC, FF, T8A, T8B and T8C units) Stone & Co. Flagship Stock Fund Canada (Series A, B, C, F, L, T8A, T8B and T8C units) Stone & Co. Flagship Global Growth Fund (Series A, B, C, F, L, T8A, T8B and T8C units) Stone & Co. Growth Industries Fund (Series A, B, C, F and L units) Stone & Co. Europlus Dividend Growth Fund (Series A, B, C, F, L, T8A, and T8B units) *Classes of Mutual Fund Shares of Stone & Co. Corporate Funds Limited Principal Regulator - Ontario Type and Date: Final Simplified Prospectuses dated August 27, 2015 NP 11-202 Receipt dated August 28, 2015 Offering Price and Description: Mutual Fund Units in Series A, Series B, Series C, Series F, Series L, Series AA, Series BB, Series CC, Series FF, Series T8A, Series T8B and Series T8C units and shares Underwriter(s) or Distributor(s): - Promoter(s): Stone & Co. Limited Project #2374579 _______________________________________________
IPOs, New Issues and Secondary Financings
September 3, 2015
(2015), 38 OSCB 7668
Issuer Name: The Westaim Corporation Principal Regulator - Ontario Type and Date: Final Short Form Prospectus dated August 28, 2015 NP 11-202 Receipt dated August 28, 2015 Offering Price and Description: $234,390,471.25 - 72,120,145 Subscription Receipts Issuable on Exercise of 72,120,145 Outstanding Special Warrants Price: $3.25 per Special Warrant Underwriter(s) or Distributor(s): GMP Securities L.P. TD Securities Inc. Cormark Securities Inc. Scotia Capital Inc. Promoter(s): - Project #2375187 _______________________________________________ Issuer Name: Vanguard FTSE Developed All Cap ex North America Index ETF Vanguard FTSE Developed All Cap ex North America Index ETF (CAD-hedged) Principal Regulator - Ontario Type and Date: Final Long Form Prospectus dated August 24, 2015 NP 11-202 Receipt dated August 26, 2015 Offering Price and Description: Units @ Net Asset Value Underwriter(s) or Distributor(s): - Promoter(s): VANGUARD INVESTMENTS CANADA INC. Project #2358801 _______________________________________________
September 3, 2015
(2015), 38 OSCB 7669
Chapter 12
Registrations 12.1.1 Registrants
Type Company Category of Registration Effective Date
Change in Registration Category
Otterwood Capital Management Inc.
From: Exempt Market Dealer, Investment Fund Manager, Portfolio Manager and Commodity Trading Manager To: Portfolio Manager and Commodity Trading Manager
August 25, 2015
New Registration Kindigo Capital Ltd. Exempt Market Dealer August 26, 2015
Consent to Suspension (Pending Surrender)
NuLeaf Ventures Inc.
Restricted Portfolio Manager, Investment Fund Manager, Exempt Market Dealer
August 31, 2015
Consent to Suspension (Pending Surrender)
Marvin & Palmer Associates, Inc.
Portfolio Manager, Exempt Market Dealer
August 31, 2015
New Registration ReSolve Asset Management Inc. Investment Fund Manager, Portfolio Manager, Exempt Market Dealer
August 31, 2015
Registrations
September 3, 2015
(2015), 38 OSCB 7670
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September 3, 2015
(2015), 38 OSCB 7671
Chapter 13
SROs, Marketplaces, Clearing Agencies and Trade Repositories
13.1 SROs 13.1.1 IIROC – Amendment to Dealer Member Rule 100.10(f)(vi) Box Spread – Notice of Commission Approval
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
AMENDMENT TO DEALER MEMBER RULE 100.10(f)(vi) BOX SPREAD
NOTICE OF COMMISSION APPROVAL The Ontario Securities Commission approved IIROC’s proposed amendment to Dealer Member Rule 100.10(f)(vi) Box Spread. The primary objective of the amendment is to clarify the capital calculations for box spreads to ensure that the capital requirements accurately reflect the risk of the position. The amendment will be effective on October 1, 2015. A copy of the IIROC Notice including the proposed amendment can be found at http://www.osc.gov.on.ca. In addition, the Alberta Securities Commission, Autorité des marchés financiers, the British Columbia Securities Commission, the Financial and Consumer Affairs Authority of Saskatchewan, the Financial and Consumer Services Commission of New Brunswick, the Manitoba Securities Commission, the Nova Scotia Securities Commission, the Office of the Superintendent of Securities, Service Newfoundland and Labrador, and the Prince Edward Island Office of the Superintendent of Securities Office have approved or not objected to the amendments. The amendment was published for public comment on January 27, 2012. No public comment letters were received. The IIROC amendment also underwent a coordinated review by the recognizing regulators.
SROs, Marketplaces, Clearing Agencies and Trade Repositories
September 3, 2015
(2015), 38 OSCB 7672
13.1.2 IIROC – Proposed Amendments to Dealer Member Rules 8.7 and Corollary Amendments to Dealer Member Rule 8.3A Relating to the Requirement to Pay IIROC Membership Fees – Notice of Commission Approval
OSC STAFF NOTICE OF COMMISSION APPROVAL
THE INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
REQUIREMENT TO PAY IIROC MEMBERSHIP FEES
AMENDMENTS TO DEALER MEMBER RULE 8.7 AND
COROLLARY AMENDMENTS TO DEALER MEMBER RULE 8.3A The Ontario Securities Commission approved amendments to IIROC Dealer Member Rules 8.7 and 8.3A. The amendments address setting the IIROC Dealer Regulation fees that are payable by a Dealer Member that resigns, is suspended, is terminated or surrenders its membership. The proposed amendments to IIROC Dealer Member Rules 8.7 and 8.3A were published for comment on April 16, 2015 for a 30 day comment period. No comment letters were received. The amendments are effective immediately. A copy of IIROC’s Notice of Approval/Implementation can be found at http://www.osc.gov.on.ca. In addition, the Alberta Securities Commission, the Autorité des marchés financiers, the British Columbia Securities Commission, the Financial and Consumer Affairs Authority of Saskatchewan, the Financial and Consumer Services Commission of New Brunswick, the Manitoba Securities Commission, the Newfoundland and Labrador Office of the Superintendent of Securities Services, the Nova Scotia Securities Commission, and the Prince Edward Island Office of the Superintendent of Securities did not object to or approved the amendments.
September 3, 2015 (2015), 38 OSCB 7673
Index
1415409 Ontario Inc. Notice of Withdrawal ................................................. 7495 Notice from the Office of the Secretary ..................... 7497 Order with Related Settlement Agreement – ss. 127(1), 127.1 ................................................... 7528 Aequitas NEO Exchange Inc. Rules and Policies .................................................... 7551 Alder Resources Ltd. Decision – s. 1(10)(a)(ii) ............................................ 7500 Order – s. 1(6) of the OBCA ...................................... 7524 AndeanGold Ltd. Cease Trading Order ................................................ 7549 Blumenfeld, Howard Order – ss. 17, 153 of the Act and Rule 11 of the OSC Rules of Procedure ..................................... 7525 Notice from the Office of the Secretary ..................... 7498 Colonna, John Order – ss. 17, 153 of the Act and Rule 11 of the OSC Rules of Procedure ..................................... 7525 Notice from the Office of the Secretary ..................... 7498 Dave, Ametra Notice of Withdrawal ................................................. 7495 Notice from the Office of the Secretary ..................... 7497 Order with Related Settlement Agreement – ss. 127(1), 127.1 ................................................... 7528 Dave, Chandramattie Notice of Withdrawal ................................................. 7495 Notice from the Office of the Secretary ..................... 7497 Order with Related Settlement Agreement – ss. 127(1), 127.1 ................................................... 7528 Dave, Ravindra Notice of Withdrawal ................................................. 7495 Notice from the Office of the Secretary ..................... 7497 Order with Related Settlement Agreement – ss. 127(1), 127.1 ................................................... 7528 Excel Funds Management Inc. Decision .................................................................... 7501 Excel Latin America Bond Fund II Decision .................................................................... 7501 Excel Latin America Bond Fund Decision .................................................................... 7501 Horizons ETFs Management (Canada) Inc. Decision .................................................................... 7505
IIROC SROs – Amendment to Dealer Member Rule 100.10(f)(vi) Box Spread – Notice of Commission Approval ................................................................... 7671 SROs – Proposed Amendments to Dealer Member Rules 8.7 and Corollary Amendments to Dealer Member Rule 8.3A Relating to the Requirement to Pay IIROC Membership Fees – Notice of Commission Approval ............................ 7672 Khan, Shafi Notice from the Office of the Secretary ..................... 7498 Order – ss. 17, 153 of the Act and Rule 11 of the OSC Rules of Procedure .................................... 7525 Kindigo Capital Ltd. New Registration ...................................................... 7669 Lewis, Andre Notice from the Office of the Secretary ..................... 7498 Order – ss. 127(1), 127(10) ...................................... 7527 Reasons: OSC Decision – ss. 127(1), 127(10) ......... 7541 Magna International Inc. Order – s. 104(2)(c) .................................................. 7508 Marvin & Palmer Associates, Inc. Consent to Suspension (Pending Surrender) ........... 7669 MI 51-105 Issuers Quoted in the U.S. Over-the-Counter Markets Rules and Policies .................................................... 7551 MI 61-101 Protection of Minority Security Holders in Special Transactions Rules and Policies .................................................... 7551 Missullis, Eva-Christine Reasons: Director's Decision .................................... 7545 NI 33-105 Underwriting Conflicts Notice of Ministerial Approval ................................... 7496 Rules and Policies .................................................... 7569 NI 41-101 General Prospectus Requirements Rules and Policies .................................................... 7551 NI 44-101 Short Form Prospectus Distributions Rules and Policies .................................................... 7551 NI 45-106 Prospectus Exemptions Notice of Ministerial Approval ................................... 7496 Rules and Policies .................................................... 7573 NI 45-106 Prospectus Exemptions Rules and Policies .................................................... 7551
Index
September 3, 2015 (2015), 38 OSCB 7674
NI 51-102 Continuous Disclosure Obligations Rules and Policies .................................................... 7551 NI 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings Rules and Policies .................................................... 7551 NI 52-110 Audit Committees Rules and Policies .................................................... 7551 NI 58-101 Disclosure of Corporate Governance Practices Rules and Policies .................................................... 7551 NI 71-102 Continuous Disclosure and Other Exemptions Relating to Foreign Issuers Rules and Policies .................................................... 7551 NI 81-101 Mutual Fund Prospectus Disclosure Rules and Policies .................................................... 7551 NP 46-201 Escrow for Initial Public Offerings Rules and Policies .................................................... 7551 NuLeaf Ventures Inc. Consent to Suspension (Pending Surrender)............ 7669 OSC Rule 45-501 Ontario Prospectus and Registration Exemptions Notice of Ministerial Approval .................................... 7496 Rules and Policies .................................................... 7571 OSC Rule 56-501 Restricted Shares Rules and Policies .................................................... 7551 Otterwood Capital Management Inc. Change in Registration Category .............................. 7669 PetroNova Inc. Decision – s. 1(10)(a)(ii) ............................................ 7499 ReSolve Asset Management Inc. New Registration ....................................................... 7669 Richvale Resource Corporation Notice from the Office of the Secretary ..................... 7498 Order – ss. 17, 153 of the Act and Rule 11 of the OSC Rules of Procedure ..................................... 7525 Salix Pharmaceuticals, Ltd. Cease Trading Order ................................................ 7549 Schiavone, Pasquale Order – ss. 17, 153 of the Act and Rule 11 of the OSC Rules of Procedure ..................................... 7525 Notice from the Office of the Secretary ..................... 7498 Sintana Holdings Corp. Decision – s. 1(10) .................................................... 7504
Thomson Reuters Corporation Order – s. 104(2)(c) .................................................. 7512 Order – s. 104(2)(c) .................................................. 7516 Order – s. 104(2)(c) .................................................. 7520 Title One Closing Inc. Notice of Withdrawal ................................................. 7495 Notice from the Office of the Secretary ..................... 7497 Order with Related Settlement Agreement – ss. 127(1), 127.1 ................................................... 7528 Winick, Marvin Order – ss. 17, 153 of the Act and Rule 11 of the OSC Rules of Procedure .................................... 7525 Notice from the Office of the Secretary ..................... 7498