The Ontario Securities Commission
OSC Bulletin
July 18, 2019
Volume 42, Issue 29
(2019), 42 OSCB
The Ontario Securities Commission administers the Securities Act of Ontario (R.S.O. 1990, c. S.5) and the Commodity Futures Act of Ontario (R.S.O. 1990, c. C.20)
The Ontario Securities Commission Published under the authority of the Commission by: Cadillac Fairview Tower Thomson Reuters 22nd Floor, Box 55 One Corporate Plaza 20 Queen Street West 2075 Kennedy Road Toronto, Ontario Toronto, Ontario M5H 3S8 M1T 3V4
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Table of Contents
Chapter 1 Notices Chapter 4 Cease Trading Orders ...... 6161 1.1 Notices ...... 6097 4.1.1 Temporary, Permanent & Rescinding 1.1.1 Notice of Ministerial Approval of Issuer Cease Trading Orders ...... 6161 Amendments to OSC Rule 13-502 Fees and 4.2.1 Temporary, Permanent & Rescinding OSC Rule 13-503 (Commodity Futures Act) Management Cease Trading Orders ...... 6161 Fees ...... 6097 4.2.2 Outstanding Management & Insider 1.2 Notices of Hearing ...... 6098 Cease Trading Orders ...... 6161 1.2.1 Martin Bernholtz – s. 144 ...... 6098 1.2.2 Caldwell Investment Management Ltd. – ss. Chapter 5 Rules and Policies ...... 6163 127(1), 127(2), 127.1 ...... 6098 5.1.1 Amendments to OSC Rule 13-502 Fees ...... 6163 1.3 Notices of Hearing with Related 5.1.2 Changes to Companion Policy 13-502CP Statements of Allegations ...... 6099 Fees to OSC Rule 13-502 Fees ...... 6164 1.3.1 Alan Braun et al. – ss. 127(1), 127(10) ...... 6099 5.1.3 Amendments to OSC Rule 13-503 1.4 Notices from the Office (Commodity Futures Act) Fees ...... 6165 of the Secretary ...... 6107 5.1.4 Changes to Companion Policy 13-503CP 1.4.1 Andrew Paul Rudensky ...... 6107 (Commodity Futures Act) Fees to OSC Rule 1.4.2 Martin Bernholtz ...... 6107 13-503 (Commodity Futures Act) Fees ...... 6166 1.4.3 Caldwell Investment Management Ltd...... 6108 1.4.4 Caldwell Investment Management Ltd...... 6108 Chapter 6 Request for Comments ...... (nil) 1.4.5 Martin Bernholtz ...... 6109 1.4.6 Majd Kitmitto et al...... 6109 Chapter 7 Insider Reporting ...... 6167 1.4.7 Alan Braun et al...... 6110 1.4.8 Issam El-Bouji ...... 6110 Chapter 9 Legislation ...... (nil) 1.5 Notices from the Office of the Secretary with Related Chapter 11 IPOs, New Issues and Secondary Statements of Allegations ...... (nil) Financings ...... 6263
Chapter 2 Decisions, Orders and Rulings ...... 6111 Chapter 12 Registrations ...... 6269 2.1 Decisions ...... 6111 12.1.1 Registrants ...... 6269 2.1.1 IA Clarington Investments Inc...... 6111 2.1.2 iAnthus Capital Holdings, Inc...... 6113 Chapter 13 SROs, Marketplaces, 2.1.3 Mackenzie Financial Corporation and Clearing Agencies and Mackenzie Anti-Benchmark Global Trade Repositories ...... 6271 Investment Grade Fund ...... 6116 13.1 SROs ...... (nil) 2.1.4 Mackenzie Financial Corporation and 13.2 Marketplaces ...... 6271 Quadrus Investment Services Ltd...... 6119 13.2.1 Nasdaq CXC Limited – Introduction of 2.1.5 Gestion FÉRIQUE ...... 6127 Point-In-Time Closing Cross – Notice of 2.2 Orders...... 6131 Approval ...... 6271 2.2.1 Martin Bernholtz – s. 144 ...... 6131 13.3 Clearing Agencies ...... 6271 2.2.2 TransCanada PipeLines Limited ...... 6136 13.3.1 CDS Clearing and Depository Services Inc. – 2.2.3 Majd Kitmitto et al...... 6138 Proposed Material Amendments to CDS 2.2.4 Soundvest Split Trust ...... 6138 Rules – China Bond Link – Notice of 2.2.5 Issam El-Bouji ...... 6139 Withdrawal ...... 6271 2.3 Orders with Related Settlement 13.3.2 CDS Clearing and Depository Services Inc. – Agreements ...... (nil) Proposed Material Amendments to CDS Fee 2.4 Rulings ...... (nil) Schedule – China Bond Link – Notice of Withdrawal ...... 6272 Chapter 3 Reasons: Decisions, Orders and 13.4 Trade Repositories ...... (nil) Rulings ...... 6141 3.1 OSC Decisions ...... 6141 Chapter 25 Other Information ...... 6273 3.1.1 Andrew Paul Rudensky – s. 21.7 ...... 6141 25.1 Applications for Variation of an Order ...... 6273 3.2 Director’s Decisions ...... (nil) 25.1.1 Martin Bernholtz – s. 144 ...... 6273
Index ...... 6275
July 18, 2019 (2019), 42 OSCB
Chapter 1
Notices
1.1 Notices
1.1.1 Notice of Ministerial Approval of Amendments to OSC Rule 13-502 Fees and OSC Rule 13-503 (Commodity Futures Act) Fees
NOTICE OF MINISTERIAL APPROVAL OF AMENDMENTS TO ONTARIO SECURITIES COMMISSION RULE 13-502 FEES AND ONTARIO SECURITIES COMMISSION RULE 13-503 (COMMODITY FUTURES ACT) FEES
On July 2, 2019 the Minister of Finance approved amendments (the Amendments) made by the Ontario Securities Commission (OSC or the Commission) to Ontario Securities Commission Rule 13-502 Fees and Ontario Securities Commission Rule 13- 503 (Commodity Futures Act) Fees.
The Amendments were made by the Commission on April 30, 2019.
The Amendments were published on the OSC website at www.osc.gov.on.ca and in the OSC Bulletin at (2019), 42 OSCB 4479 on May 16, 2019.
The Amendments come into force on July 17, 2019.
The text of the Amendments is reproduced in Chapter 5 of this Bulletin.
July 18, 2019 (2019), 42 OSCB 6097
Notices
1.2 Notices of Hearing 1.2.2 Caldwell Investment Management Ltd. – ss. 127(1), 127(2), 127.1 1.2.1 Martin Bernholtz – s. 144 FILE NO.: 2018-36 FILE NO.: 2019-24 IN THE MATTER OF IN THE MATTER OF CALDWELL INVESTMENT MANAGEMENT LTD. MARTIN BERNHOLTZ NOTICE OF HEARING NOTICE OF HEARING Subsections 127(1) and (2) and Section 127.1 of the Section 144 of the Securities Act, RSO 1990, c S.5 Securities Act, RSO 1990, c. S.5
PROCEEDING TYPE: Application for Revocation or PROCEEDING TYPE: Public Settlement Hearing Variation of a Decision HEARING DATE AND TIME: July 19, 2019 at 9:00am HEARING DATE AND TIME: In Writing LOCATION: 20 Queen Street West, 17th Floor, Toronto, PURPOSE Ontario
The purpose of this proceeding is to consider an Application made PURPOSE by Martin Bernholtz to vary the terms of an Order issued by the Commission on May 21, 2019 relating to the Settlement Agreement The purpose of this hearing is to consider whether it is in entered into on May 16, 2019 between Staff of the Commission and the public interest for the Commission to approve the Martin Bernholtz. Settlement Agreement dated July 10, 2019, between Staff of the Commission and Caldwell Investment Management The parties have requested to proceed by written hearing pursuant Ltd. in respect of the Statement of Allegations filed by Staff to Rule 23(2) of the Commission’s Rules of Procedure and Forms. of the Commission dated June 12, 2018.
REPRESENTATION REPRESENTATION
Any party to the proceeding may be represented by a Any party to the proceeding may be represented by a representative at the hearing. representative at the hearing.
FAILURE TO ATTEND FAILURE TO ATTEND
IF A PARTY DOES NOT ATTEND, THE HEARING MAY IF A PARTY DOES NOT ATTEND, THE HEARING MAY PROCEED IN THE PARTY’S ABSENCE AND THE PROCEED IN THE PARTY’S ABSENCE AND THE PARTY WILL NOT BE ENTITLED TO ANY FURTHER PARTY WILL NOT BE ENTITLED TO ANY FURTHER NOTICE IN THE PROCEEDING. NOTICE IN THE PROCEEDING.
FRENCH HEARING FRENCH HEARING
This Notice of Hearing is also available in French on This Notice of Hearing is also available in French on request of a party. Participation may be in either French or request of a party. Participation may be in either French or English. Participants must notify the Secretary’s Office in English. Participants must notify the Secretary’s Office in writing as soon as possible if the participant is requesting a writing as soon as possible if the participant is requesting a proceeding be conducted wholly or partly in French. proceeding be conducted wholly or partly in French.
AVIS EN FRANÇAIS AVIS EN FRANÇAIS
L'avis d'audience est disponible en français sur demande L'avis d'audience est disponible en français sur demande d’une partie, que la participation à l'audience peut se faire d’une partie, que la participation à l'audience peut se faire en français ou en anglais et que les participants doivent en français ou en anglais et que les participants doivent aviser le Bureau du secrétaire par écrit le plut tôt si le aviser le Bureau du secrétaire par écrit dès que possible si participant demande qu'une instance soit tenue le participant demande qu'une instance soit tenue entièrement ou partiellement en français. entièrement ou partiellement en français.
Dated at Toronto this 10th day of July, 2019. Dated at Toronto this 10th day of July 2019.
“Grace Knakowski” “Grace Knakowski” Secretary to the Commission Secretary to the Commission
For more information For more information
Please visit www.osc.gov.on.ca or contact the Registrar at Please visit www.osc.gov.on.ca or contact the Registrar at [email protected]. [email protected].
July 18, 2019 (2019), 42 OSCB 6098
Notices
1.3 Notices of Hearing with Related Statements of Allegations
1.3.1 Alan Braun et al. – ss. 127(1), 127(10)
FILE NO.: 2019-25
IN THE MATTER OF ALAN BRAUN, JERRY BRAUN, STEVEN MAXWELL (aka STEVEN FASSMAN), BRAUN DEVELOPMENTS (B.C.) LTD., 8022275 CANADA INC. and 0985812 B.C. LTD. (dba TERRACORP INVESTMENT LTD.)
NOTICE OF HEARING Subsections 127(1) and 127(10) of the Securities Act, RSO 1990, c S.5
PROCEEDING TYPE: Inter-jurisdictional Enforcement Proceeding
HEARING DATE AND TIME: In Writing
PURPOSE
The purpose of this proceeding is to consider whether it is in the public interest for the Commission to make the order(s) requested in the Statement of Allegations filed by Staff of the Commission on July 15, 2019.
Take notice that Staff of the Commission has elected to proceed by way of the expedited procedure for a written hearing provided for by Rule 11(3) of the Commission’s Rules of Procedure.
Staff must serve on you this Notice of Hearing, the Statement of Allegations, Staff’s hearing brief containing all documents Staff relies on, and Staff’s written submissions.
You have 21 days from the date Staff serves these documents on you to file a request for an oral hearing, if you do not want to follow the expedited procedure for a written hearing.
Otherwise, you have 28 days from the date Staff served these documents on you to file your hearing brief and written submissions.
REPRESENTATION
Any party to the proceeding may be represented by a representative at the hearing.
FAILURE TO ATTEND
IF A PARTY DOES NOT ATTEND, THE HEARING MAY PROCEED IN THE PARTY’S ABSENCE AND THE PARTY WILL NOT BE ENTITLED TO ANY FURTHER NOTICE IN THE PROCEEDING.
FRENCH HEARING
This Notice of Hearing is also available in French on request of a party. Participation may be in either French or English. Participants must notify the Secretary’s Office in writing as soon as possible if the participant is requesting a proceeding be conducted wholly or partly in French.
AVIS EN FRANÇAIS
L'avis d'audience est disponible en français sur demande d’une partie, que la participation à l'audience peut se faire en français ou en anglais et que les participants doivent aviser le Bureau du secrétaire par écrit dès que possible si le participant demande qu'une instance soit tenue entièrement ou partiellement en français.
Dated at Toronto this 16th day of July, 2019.
“Grace Knakowski” Secretary to the Commission
For more information
Please visit www.osc.gov.on.ca or contact the Registrar at [email protected].
July 18, 2019 (2019), 42 OSCB 6099
Notices
IN THE MATTER OF ALAN BRAUN, JERRY BRAUN, STEVEN MAXWELL (aka STEVEN FASSMAN), BRAUN DEVELOPMENTS (B.C.) LTD., 8022275 CANADA INC. and 0985812 B.C. LTD. (dba TERRACORP INVESTMENT LTD.)
STATEMENT OF ALLEGATIONS (Subsections 127(1) and 127(10) of the Securities Act, RSO 1990 c S.5)
1. Staff of the Enforcement Branch (Staff) of the Ontario Securities Commission (the Commission) elect to proceed using the expedited procedure for inter-jurisdictional proceedings as set out in Rule 11(3) of the Commission's Rules of Procedure.
A. ORDER SOUGHT
2. Staff request that the Commission make the following inter-jurisdictional enforcement order, pursuant to paragraph 4 of subsection 127(10) of the Ontario Securities Act, RSO 1990 c S.5 (the Act):
(a) against Alan Braun (Alan) that:
i. pursuant to paragraph 2 of subsection 127(1) of the Act, trading in any securities or derivatives by Alan cease permanently, except that he may trade securities or derivatives for his own account through a registered dealer, if he gives the registered dealer copies of the Order of the British Columbia Securities Commission (BCSC) dated February 19, 2019 (the BCSC Order) and the order of the Commission in this proceeding, if granted;
ii. pursuant to paragraph 2.1 of subsection 127(1) of the Act, the acquisition of any securities by Alan cease permanently, except that he may purchase securities for his own account through a registered dealer, if he gives the registered dealer copies of the BCSC Order and the order of the Commission in this proceeding, if granted;
iii. pursuant to paragraph 3 of subsection 127(1) of the Act, any exemptions contained in Ontario securities law do not apply to Alan permanently;
iv. pursuant to paragraphs 7 and 8.1 of subsection 127(1) of the Act, Alan resign any positions that he holds as a director or officer of any issuer or registrant;
v. pursuant to paragraphs 8 and 8.2 of subsection 127(1) of the Act, Alan be prohibited permanently from becoming or acting as a director or officer of any issuer or registrant; and
vi. pursuant to paragraph 8.5 of subsection 127(1) of the Act, Alan be prohibited permanently from becoming or acting as a registrant or promoter;
(b) against Jerry Braun (Jerry) that:
until the later of February 19, 2034 and the date that Jerry satisfies the monetary orders as set out at subparagraphs 77(g) and 77(h) of the BCSC Order:
i. pursuant to paragraph 2 of subsection 127(1) of the Act, trading in any securities or derivatives by Jerry cease, except that he may trade securities or derivatives for his own account through a registered dealer, if he gives the registered dealer copies of the BCSC Order and the order of the Commission in this proceeding, if granted;
ii. pursuant to paragraph 2.1 of subsection 127(1) of the Act, the acquisition of any securities by Jerry cease, except he may purchase securities for his own account through a registered dealer, if he gives the registered dealer copies of the BCSC Order and the order of the Commission in this proceeding, if granted;
iii. pursuant to paragraph 3 of subsection 127(1) of the Act, any exemptions contained in Ontario securities law do not apply to Jerry;
July 18, 2019 (2019), 42 OSCB 6100
Notices
iv. pursuant to paragraphs 7 and 8.1 of subsection 127(1) of the Act, Jerry resign any positions that he holds as a director or officer of any issuer or registrant, except that he may continue to act as a director or officer of August Stone Inc., for so long as that entity does not engage in capital raising activities, and that copies of the BCSC Order and the order of the Commission in this proceeding, if granted, is provided to all directors and securityholders of that company;
v. pursuant to paragraphs 8 and 8.2 of subsection 127(1) of the Act, Jerry be prohibited from becoming or acting as a director or officer of any issuer or registrant, except as set out above; and
vi. pursuant to paragraph 8.5 of subsection 127(1) of the Act, Jerry be prohibited from becoming or acting as a registrant or promoter;
(c) against Steven Maxwell (aka Steven Fassman) (Maxwell) that:
i. pursuant to paragraph 2 of subsection 127(1) of the Act, trading in any securities or derivatives by Maxwell cease permanently;
ii. pursuant to paragraph 2.1 of subsection 127(1) of the Act, the acquisition of any securities by Maxwell cease permanently;
iii. pursuant to paragraph 3 of subsection 127(1) of the Act, any exemptions contained in Ontario securities law do not apply to Maxwell permanently;
iv. pursuant to paragraphs 7 and 8.1 of subsection 127(1) of the Act, Maxwell resign any positions that he holds as a director or officer of any issuer or registrant;
v. pursuant to paragraphs 8 and 8.2 of subsection 127(1) of the Act, Maxwell be prohibited permanently from becoming or acting as a director or officer of any issuer or registrant; and
vi. pursuant to paragraph 8.5 of subsection 127(1) of the Act, Maxwell be prohibited permanently from becoming or acting as a registrant or promoter;
(d) against each of Braun Developments (B.C.) Ltd. (Braun Developments), 8022275 Canada Inc. (8022275) and 0985812 B.C. Ltd. (dba TerraCorp Investment Ltd.) (0985812) that:
i. pursuant to paragraph 2 of subsection 127(1) of the Act, trading in any securities or derivatives by, or of, Braun Developments, 8022275 and 0985812 (dba TerraCorp Investment Ltd.) cease permanently;
ii. pursuant to paragraph 2.1 of subsection 127(1) of the Act, the acquisition of any securities by Braun Developments, 8022275 and 0985812 cease permanently; and
iii. pursuant to paragraph 3 of subsection 127(1) of the Act, any exemptions contained in Ontario securities law do not apply to Braun Developments, 8022275 and 0985812permanently;
(e) such other order or orders as the Commission considers appropriate.
B. FACTS
Staff make the following allegations of fact:
3. Alan, Jerry, Maxwell, Braun Developments, 8022275 and 0985812 (collectively, the Respondents) are subject to the BCSC Order that imposes sanctions, conditions, restrictions or requirements upon them.
4. In its findings on liability dated October 24, 2018 (the Findings) a panel of the BCSC (the BCSC Panel) found that Alan, Jerry, Maxwell, Braun Developments and 8022275 perpetrated a fraud with respect to three investments by two investors in the amount of $450,000, contrary to section 57(b) of the British Columbia Securities Act, RSBC 1996 c 418 (the BC Act).
5. The BCSC Panel also found that 0985812 perpetrated a fraud with respect to two investments by one investor in the amount of $300,000, contrary to section 57(b) of the BC Act.
July 18, 2019 (2019), 42 OSCB 6101
Notices
6. The BCSC Panel further found Alan and Jerry liable under section 168.2 of the BC Act for Braun Developments’ and 0985812’s contraventions of the BC Act, and found Maxwell liable under 168.2 of the BC Act for 8022275’s contraventions of the BC Act.
(i) The BCSC Proceedings
Background
7. The conduct for which the Respondents were sanctioned occurred between approximately 2013 and 2014 (the Material Time).
8. During the Material Time, Alan was a resident of Surrey, British Columbia, and a church pastor. Alan has never been registered under the BC Act.
9. Jerry is Alan’s son and, during the Material Time, was a resident of Surrey, British Columbia. Jerry has never been registered in any capacity under the BC Act.
10. During the Material Time, Maxwell was a resident of White Rock, British Columbia. Maxwell has never been registered in any capacity under the BC Act. The BCSC Panel noted that Maxwell has a significant history of criminal fraud.
11. Braun Developments was incorporated in British Columbia on September 17, 2009. Braun Developments has never been registered in any capacity under the BC Act, and has never filed a prospectus under the BC Act. During the Material Time, Alan and Jerry were directors of Braun Developments, and Alan and his wife were also officers of the company.
12. 8022275 was federally incorporated in Canada on November 14, 2011. 8022275 has never been registered in any capacity under the BC Act, and has never filed a prospectus under the BC Act. During the Material Time, Maxwell was a director, or de facto director, of 8022275.
13. 0985812 was incorporated in British Columbia on November 17, 2013. 0985812 has never been registered in any capacity under the BC Act, and has never filed a prospectus under the BC Act. During the Material Time, Alan and Jerry were officers and directors of 0985812.
Investor L
14. Investor L is an Ontario resident. Investor L met Alan in 2005 while working at a seminary, and Alan was on the Board of Trustees of that seminary. During the Material Time, Alan approached Investor L with an opportunity to invest in an Edmonton real estate project offering a very high rate of return in a short period of time. The investment was presented as an opportunity for Investor L to invest money to be used to acquire a specific house, and then receive his money back plus a 50% return in 60 days following the subsequent resale of the property.
15. Investor L exchanged communications with Jerry about the specifics of the investment. Jerry later sent Investor L a purchase sales agreement between “Braun Developments Ltd.” as purchaser, and 8022275 as vendor, of a specific Edmonton property for the purchase price of $150,000, with Investor L’s company as “investor.” The agreement reflected that Investor L would receive a total repayment of $225,000, representing his initial $150,000 investment plus 50% interest, within 60 days of the date of the agreement. In default of the agreed payment date, Investor L would instead receive monthly default payments of $11,250.00, until both his investment and promised return were repaid.
16. Investor L provided Jerry with $1,000 to secure the investment, and borrowed the remaining $149,000 for the investment from a friend (Z). Z transferred $149,000 into 8022275’s account on behalf of Investor L.
17. Following expiry of the 60-day payment period, Investor L received three payments from Alan: two payments of $2,500 and one payment of $1,000, as partial payment of the amount owed under the Purchase Sales Agreement. Neither Investor L, nor Z, have received any further payments.
18. The BCSC Panel found that of the $149,000 received from Z on behalf of Investor L, $116,000 was transferred from 8022275’s account to Braun Developments. Within a short time, 8022275 spent $33,000 it had retained of those funds on matters unrelated to the property reflected in the purchase sales agreement. Further, Braun Developments spent $116,000 on unrelated matters, including personal living expenses of the Braun family.
19. The BCSC Panel further found that title records reflect that the Edmonton property described in Investor L’s purchase sales agreement was never acquired during the Material Time by any of “Braun Developments Ltd.”, Braun Developments or 8022275.
July 18, 2019 (2019), 42 OSCB 6102
Notices
Investor ML
20. Investor ML is an Ontario resident. Investor L introduced Investor ML to the investment opportunity and to Alan and Jerry. The BCSC Panel noted that Investor ML was a vulnerable investor.
21. Investor ML entered into two purchase sales agreements, essentially similar to Investor L’s. Each agreement provided Investor ML would invest $150,000, for a combined total of $300,000 with a return within 60 days. Investor ML’s agreements were in respect of acquiring two other Edmonton properties, and listed the purchaser as 0985812.
22. Jerry and Maxwell assisted Investor ML in obtaining a bank draft in the amount of $300,000 payable to 8022275, and the draft was subsequently deposited into 8022275’s bank account.
23. The BCSC Panel found bank records for that account reflect that on the date Investor ML’s funds were deposited, 8022275 transferred $200,000 to Braun Developments, with an additional $12,500 also transferred to Braun Developments not long thereafter.
24. Within a short time, 8022275 spent $87,500 it had retained of Investor ML’s funds on matters unrelated to the properties specified in her two purchase sales agreements. Within two weeks of having received a total of $212,500 of Investor ML’s funds, Braun Developments also spent those funds on matters unrelated to the purpose of Investor ML’s investment, including personal living expenses of the Braun family.
25. The BCSC Panel further found that title records reflect that the two properties referenced in Investor ML’s purchase sales agreements were never acquired during the Material Time by any of 0985812, “Braun Developments Ltd.” Braun Developments or 8022275.
BCSC Findings - Conclusions
26. In its Findings, the BCSC Panel concluded that:
(a) Alan contravened section 57(b) of the BC Act with respect to three investments by two investors in the amount of $450,000;
(b) Jerry contravened section 57(b) of the BC Act with respect to three investments by two investors in the amount of $450,000;
(c) Maxwell contravened section 57(b) of the BC Act with respect to three investments by two investors in the amount of $450,000;
(d) Braun Developments contravened section 57(b) of the BC Act with respect to three investments by two investors in the amount of $450,000;
(e) 8022275 contravened section 57(b) of the BC Act with respect to three investments by two investors in the amount of $450,000;
(f) 0985812 contravened section 57(b) of the BC Act with respect to two investments by one investor in the amount of $300,000;
(g) Alan and Jerry are liable under section 168.2 of the BC Act with respect to each of Braun Developments’ and 0985812’s respective contraventions of section 57(b) of the BC Act; and
(h) Maxwell is liable under section 168.2 of the BC Act with respect to each of 8022275’s contraventions of section 57(b) of the BC Act.
(ii) The BCSC Order
27. The BCSC Order imposed the following sanctions, conditions, restrictions or requirements upon the Respondents:
Alan:
(a) under section 161(1)(d)(i) of the BC Act, Alan resign any position he holds as a director or officer of an issuer or registrant;
July 18, 2019 (2019), 42 OSCB 6103
Notices
(b) Alan is permanently prohibited:
i. under section 161(1)(b)(ii) of the BC Act, from trading in or purchasing any securities or exchange contracts, except that he may trade and purchase securities or exchange contracts for his own account through a registered dealer, if he gives the registered dealer a copy of the BCSC Order;
ii. under section 161(1)(c) of the BC Act, from relying on any of the exemptions set out in the BC Act, the regulations or a decision;
iii. under section 161(1)(d)(ii) of the BC Act, from becoming or acting as a director or officer of any issuer or registrant;
iv. under section 161(1)(d)(iii) of the BC Act, from becoming or acting as a registrant or promoter;
v. under section 161(1)(d)(iv) of the BC Act, from acting in a management or consultative capacity in connection with activities in the securities market; and
vi. under section 161(1)(d)(v) of the BC Act, from engaging in investor relations activities;
(c) Alan pay to the BCSC $323,500 pursuant to section 161(1)(g) of the BC Act; and
(d) Alan pay to the BCSC an administrative penalty of $450,000 under section 162 of the BC Act;
Jerry:
(e) under section 161(1)(d)(i) of the BC Act, Jerry resign any position he holds as a director or officer of an issuer or registrant, except that he may continue to act as a director or officer of August Stone Inc., for so long as that entity does not engage in capital raising activities and that a copy of the BCSC Order is provided to all other directors and securityholders of that company;
(f) Jerry is prohibited for the longer of 15 years and the date that the obligations set out in subparagraphs 77(g) and 77(h) of the BCSC Order are paid:
i. under section 161(1)(b)(ii) of the BC Act, from trading in or purchasing any securities or exchange contracts, except that he may trade and purchase securities or exchange contracts for his own account through a registered dealer, if he gives the registered dealer a copy of the BCSC Order;
ii. under section 161(1)(c) of the BC Act, from relying on any of the exemptions set out in the BC Act, the regulations or a decision;
iii. under section 161(1)(d)(ii) of the BC Act, from becoming or acting as a director or officer of any issuer or registrant;
iv. under section 161(1)(d)(iii) of the BC Act, from becoming or acting as a registrant or promoter;
v. under section 161(1)(d)(iv) of the BC Act, from acting in a management or consultative capacity in connection with activities in the securities market; and
vi. under section 161(1)(d)(v) of the BC Act, from engaging in investor relations activities;
(g) Jerry pay to the BCSC $156,919 pursuant to section 161(1)(g) of the BC Act; and
(h) Jerry pay to the BCSC an administrative penalty of $200,000 under section 162 of the BC Act;
Maxwell:
(i) under section 161(1)(d)(i) of the BC Act, Maxwell resign any position he holds as a director or officer of an issuer or registrant;
(j) Maxwell is permanently prohibited:
i. under section 161(1)(b)(ii) of the BC Act, from trading in or purchasing any securities or exchange contracts;
July 18, 2019 (2019), 42 OSCB 6104
Notices
ii. under section 161(1)(c) of the BC Act, from relying on any of the exemptions set out in the BC Act, the regulations or a decision;
iii. under section 161(1)(d)(ii) of the BC Act, from becoming or acting as a director or officer of any issuer or registrant;
iv. under section 161(1)(d)(iii) of the BC Act, from becoming or acting as a registrant or promoter;
v. under section 161(1)(d)(iv) of the BC Act, from acting in a management or consultative capacity in connection with activities in the securities market; and
vi. under section 161(1)(d)(v) of the BC Act, from engaging in investor relations activities;
(k) Maxwell pay to the BCSC $120,500 pursuant to section 161(1)(g) of the BC Act; and
(l) Maxwell pay to the BCSC an administrative penalty of $300,000 under section 162 of the BC Act;
Braun Developments:
(m) Braun Developments is permanently prohibited:
i. under section 161(1)(b)(ii) of the BC Act, from trading in or purchasing any securities or exchange contracts;
ii. under section 161(1)(c) of the BC Act, from relying on any of the exemptions set out in the BC Act, the regulations or a decision;
(n) under section 161(1)(b)(i) of the BC Act, that all persons permanently cease trading in, and be prohibited from purchasing, any securities of Braun Developments; and
(o) Braun Developments pay to the BCSC $156,919 pursuant to section 161(1)(g) of the BC Act;
8022275:
(p) 8022275 is permanently prohibited:
i. under section 161(1)(b)(ii) of the BC Act, from trading in or purchasing any securities or exchange contracts;
ii. under section 161(1)(c) of the BC Act, from relying on any of the exemptions set out in the BC Act, the regulations or a decision; and
(q) under section 161(1)(b)(i) of the BC Act, that all persons permanently cease trading in, and be prohibited from purchasing, any securities of 8022275;
0985812:
(r) 0985812 is permanently prohibited:
i. under section 161(1)(b)(ii) of the BC Act, from trading in or purchasing any securities or exchange contracts;
ii. under section 161(1)(c) of the BC Act, from relying on any of the exemptions set out in the BC Act, the regulations or a decision;
(s) under section 161(1)(b)(i) of the BC Act, that all persons permanently cease trading in, and be prohibited from purchasing, any securities of 0985812 (dba TerraCorp Investment Ltd.); and
(t) the obligations to pay the amounts set out in subparagraphs (g) and (o) and a portion of the amount in subparagraph (c) above are joint and several as between Alan, Jerry and Braun Developments, in the following manner:
July 18, 2019 (2019), 42 OSCB 6105
Notices
i. Alan, Jerry and Braun Developments are jointly and severally liable to pay to the BCSC $156,919; and
ii. Alan is severally liable for $166,581, being the remainder of the amount set out in subparagraph (c) above.
C. JURISDICTION OF THE ONTARIO SECURITIES COMMISSION
28. The Respondents are subject to an order of the BCSC imposing sanctions, conditions, restrictions or requirements upon them.
29. Pursuant to paragraph 4 of subsection 127(10) of the Act, an order made by a securities regulatory authority, derivatives regulatory authority or financial regulatory authority, in any jurisdiction, that imposes sanctions, conditions, restrictions or requirements on a person or company may form the basis for an order in the public interest made under subsection 127(1) of the Act.
30. Staff allege that it is in the public interest to make an order against the Respondents.
31. Staff reserve the right to amend these allegations and to make such further and other allegations as Staff deem fit and the Commission may permit.
DATED at Toronto this 15th day of July, 2019.
Hanchu Chen Litigation Counsel Enforcement Branch Tel: (416) 593-3660 Email: [email protected]
July 18, 2019 (2019), 42 OSCB 6106
Notices
1.4 Notices from the Office of the Secretary 1.4.2 Martin Bernholtz
1.4.1 Andrew Paul Rudensky FOR IMMEDIATE RELEASE July 10, 2019 FOR IMMEDIATE RELEASE July 10, 2019 MARTIN BERNHOLTZ, File No. 2019-24 ANDREW PAUL RUDENSKY, File No. 2018-68 TORONTO – On July 10, 2019, the Commission issued a Notice of Hearing pursuant to Section 144 of the Securities TORONTO – The Commission issued its Reasons and Act, RSO 1990, c. S.5 to consider an Application made by Decision in the above named matter. Martin Bernholtz to vary the terms of an Order issued by the Commission on May 21, 2019 relating to the Settlement A copy of the Reasons and Decision dated July 9, 2019 is Agreement entered into on May 16, 2019 between Staff of available at www.osc.gov.on.ca. the Commission and Martin Bernholtz.
OFFICE OF THE SECRETARY The parties have requested to proceed by written hearing GRACE KNAKOWSKI pursuant to Rule 23(2) of the Commission’s Rules of SECRETARY TO THE COMMISSION Procedure and Forms.
For media inquiries: A copy of the Notice of Hearing dated July 10, 2019 and the Application dated July 8, 2019 are available at [email protected] www.osc.gov.on.ca
For investor inquiries: OFFICE OF THE SECRETARY GRACE KNAKOWSKI OSC Contact Centre SECRETARY TO THE COMMISSION 416-593-8314 1-877-785-1555 (Toll Free) For media inquiries:
For investor inquiries:
OSC Contact Centre 416-593-8314 1-877-785-1555 (Toll Free)
July 18, 2019 (2019), 42 OSCB 6107
Notices
1.4.3 Caldwell Investment Management Ltd. 1.4.4 Caldwell Investment Management Ltd.
FOR IMMEDIATE RELEASE FOR IMMEDIATE RELEASE July 10, 2019 July 10, 2019
CALDWELL INVESTMENT MANAGEMENT LTD., CALDWELL INVESTMENT MANAGEMENT LTD., File No. 2018-36 File No. 2018-36
TORONTO – The Office of the Secretary issued a Notice of TORONTO – Take notice that the hearing in the above Hearing for a hearing to consider whether it is in the public named matter scheduled to be heard on July 11, 2019 at interest to approve a settlement agreement entered into by 10:00 a.m. will not proceed as scheduled. Staff of the Commission and Caldwell Investment Management Ltd. in the above named matter. OFFICE OF THE SECRETARY GRACE KNAKOWSKI The hearing will be held on July 19, 2019 at 9:00 a.m. on SECRETARY TO THE COMMISSION the 17th floor of the Commission's offices located at 20 Queen Street West, Toronto. For media inquiries:
A copy of the Notice of Hearing dated July 10, 2019 is [email protected] available at www.osc.gov.on.ca. For investor inquiries: OFFICE OF THE SECRETARY GRACE KNAKOWSKI OSC Contact Centre SECRETARY TO THE COMMISSION 416-593-8314 1-877-785-1555 (Toll Free) For media inquiries: [email protected]
For investor inquiries:
OSC Contact Centre 416-593-8314 1-877-785-1555 (Toll Free)
July 18, 2019 (2019), 42 OSCB 6108
Notices
1.4.5 Martin Bernholtz 1.4.6 Majd Kitmitto et al.
FOR IMMEDIATE RELEASE FOR IMMEDIATE RELEASE July 10, 2019 July 15, 2019
MARTIN BERNHOLTZ, MAJD KITMITTO, File No. 2019-24 STEVEN VANNATTA, CHRISTOPHER CANDUSSO, TORONTO – The Commission issued an Order in the CLAUDIO CANDUSSO, above named matter. DONALD ALEXANDER (SANDY) GOSS, JOHN FIELDING, and A copy of the Order dated July 10, 2019 is available at FRANK FAKHRY, www.osc.gov.on.ca. File No. 2018-70
OFFICE OF THE SECRETARY TORONTO – The Commission issued an Order in the GRACE KNAKOWSKI above named matter. SECRETARY TO THE COMMISSION A copy of the Order dated July 15, 2019 is available at For media inquiries: www.osc.gov.on.ca. [email protected] OFFICE OF THE SECRETARY GRACE KNAKOWSKI For investor inquiries: SECRETARY TO THE COMMISSION
OSC Contact Centre For media inquiries: 416-593-8314 [email protected] 1-877-785-1555 (Toll Free) For investor inquiries:
OSC Contact Centre 416-593-8314 1-877-785-1555 (Toll Free)
July 18, 2019 (2019), 42 OSCB 6109
Notices
1.4.7 Alan Braun et al. 1.4.8 Issam El-Bouji
FOR IMMEDIATE RELEASE FOR IMMEDIATE RELEASE July 16, 2019 July 16, 2019
ALAN BRAUN, ISSAM EL-BOUJI, JERRY BRAUN, File No. 2018-28 STEVEN MAXWELL (aka STEVEN FASSMAN), BRAUN DEVELOPMENTS (B.C.) LTD., TORONTO – The Commission issued an Order in the 8022275 CANADA INC. and above named matter. 0985812 B.C. LTD. (dba TERRACORP INVESTMENT LTD.), A copy of the Order dated July 16, 2019 is available at File No. 2019-25 www.osc.gov.on.ca.
TORONTO – The Office of the Secretary issued a Notice of OFFICE OF THE SECRETARY Hearing pursuant to Subsections 127(1) and 127(10) of the GRACE KNAKOWSKI Securities Act. SECRETARY TO THE COMMISSION
A copy of the Notice of Hearing dated July 16, 2019 and For media inquiries: Statement of Allegations dated July 15, 2019 are available at www.osc.gov.on.ca. [email protected]
OFFICE OF THE SECRETARY For investor inquiries: GRACE KNAKOWSKI SECRETARY TO THE COMMISSION OSC Contact Centre 416-593-8314 For media inquiries: 1-877-785-1555 (Toll Free) [email protected]
For investor inquiries:
OSC Contact Centre 416-593-8314 1-877-785-1555 (Toll Free)
July 18, 2019 (2019), 42 OSCB 6110
Chapter 2
Decisions, Orders and Rulings
2.1 Decisions Under the Process for Exemptive Relief Applications in Multiple Jurisdictions (for a dual application): 2.1.1 IA Clarington Investments Inc. a) the Autorité des marchés financiers is the Headnote principal regulator for this application;
National Policy 11-203 Process for Exemptive Relief b) the Filer has provided notice that section Applications in Multiple Jurisdictions – Relief granted to a 4.7(1) of Regulation 11-102 respecting fund manager as a “company providing services to the Passport System, CQLR, c. V-1.1, r. 1 mutual fund” under paragraph 11.1(1)(b) of National (“Regulation 11-102”) is intended to be Instrument 81-102 Investment Funds – Relief permits the relied upon in each of the territories of investment fund manager to commingle client cash related Canada other than the Jurisdictions; and to the manager’s investment funds in the same trust account as client cash temporarily received by the fund c) the decision is the decision of the manager for investment in deposits offered by an affiliate. principal regulator and evidences the decision of the securities regulatory [TRANSLATION] authority or regulator in Ontario.
June 12, 2019 Interpretation
IN THE MATTER OF Terms defined in Regulation 14-101 respecting Definitions, THE SECURITIES LEGISLATION OF CQLR, c. V-1.1, r. 3, Regulation 11-102 and Regulation 81- QUÉBEC AND ONTARIO 102 have the same meaning if used in this decision, unless (the “Jurisdictions”) otherwise defined.
AND Representations
IN THE MATTER OF This decision is based on the following facts represented THE PROCESS FOR by the Filer: EXEMPTIVE RELIEF APPLICATIONS IN MULTIPLE JURISDICTIONS The Filer and the Funds
AND 1. The Filer’s head office is in Québec.
IN THE MATTER OF 2. The Filer is registered as an investment fund IA CLARINGTON INVESTMENTS INC. manager in Québec, Ontario and Newfoundland (the “Filer”) and Labrador, as an exempt market dealer in Québec and Ontario, and as a portfolio manager DECISION in all of the jurisdictions of Canada.
Background 3. The Filer is not in default of securities legislation in any jurisdiction of Canada. The securities regulatory authority or regulator in each of the Jurisdictions (the “Decision Makers”) has received an 4. The Filer acts as the manager of various open- application from the Filer for a decision under the securities end investment funds (the “Funds”). legislation of the Jurisdictions (the “Legislation”) for relief from the requirements of section 11.1(1)(b) of Regulation 5. Securities of the Funds are sold through 81-102 respecting Investment Funds, CQLR, c. V-1.1, r. 39 registered dealers (the “Dealers”). (“Regulation 81-102”) that cash received by a person providing services to a mutual fund (the “Mutual Fund”), for 6. The Filer is a “person providing services to the investment in, or on the redemption of, securities, of the mutual fund” under the provisions of section Mutual Fund may be commingled only with cash received 11.1(1)(b) of Regulation 81-102. Accordingly, the by the service provider for the sale or on the redemption of Commingling Prohibition prohibits the Filer from other investment fund securities (the “Commingling commingling Mutual Fund Cash (as defined Prohibition”) (the “Exemption Sought”). below) with Other Cash (as defined below).
July 18, 2019 (2019), 42 OSCB 6111
Decisions, Orders and Rulings
The Trust Accounts The Proposed Commingling
7. The Filer maintains clearing accounts on behalf of 15. Dealers who accept cash from Investors for the Funds managed by it (the “Trust Accounts”) investment in the Deposits (“Other Cash”) and for with major Canadian financial institutions. All investment in the Funds (as noted above, Mutual monies (“Mutual Fund Cash”) invested by Fund Cash, together the “Cash”) will forward such securityholders in the Funds managed by it Cash to the Filer via Industry Standard Settlement (“Investors”) are paid by way of cheque, wire Processes. Once received, the Filer proposes to transfer, electronic funds transfer and the hold the Cash temporarily in Trust Accounts. FundServ electronic order entry system (“Industry Investors’ Other Cash will then be forwarded by Standard Settlement Processes”) and from the Filer form its Trust Accounts to IA Trust, while which redemption proceeds and or assets to be the Investors’ Mutual Fund Cash will be forwarded distributed are paid. by the Filer from the Trust Account to the Funds’ custodian that will apply it to the individual Fund 8. Each Trust Account is held on behalf of the accounts in the custodian’s name. For a brief time, Funds. The Filer has access to the Trust Accounts the Filer anticipates that Mutual Fund Cash and and has control over which of its employees have Other Cash will be temporarily commingled in the access to the Trust Accounts. Trust Accounts.
9. The Trust Accounts are interest bearing and all of Interest of the Funds and the Investors the interest income earned in the Trust Accounts is paid to the Funds on a pro rata basis in 16. As manager of the Funds, the Filer is subject to compliance with subsection 11.1(4) of Regulation the standard of care set forth in subsection 159.3 81-102. of Securities Act, CQLR, c.V-1.1 and to similar provisions contained in the legislation of all the 10. The Filer maintains separate Trust Accounts for jurisdictions of Canada. As a federally regulated Canadian monies and U.S. monies. The Filer trust company, IA Trust accepts the Deposits as ensure compliance with section 11.3 of Regulation guaranteed trust money and the Filer, acting as 81-102 in the way in which the Trust Accounts are agent of IA Trust, will comply with the fiduciary maintained. standard of care and applicable customer protection legislation and regulations which apply 11. Industrial Alliance Trust Inc. (“IA Trust”) is a to IA Trust in respect of the Deposits. federally regulated trust company. IA Trust is an affiliate of the Filer. 17. The temporary commingling of Cash in the Trust Accounts will permit a seamless method to move The Deposits Cash from Dealers to the Funds and IA Trust, and in reverse, will facilitate significant administrative 12. IA Trust intends to accept Canadian dollar cash and systems economies that will enable the Filer deposits into Canadian high interest savings to enhance its level of service to its clients. accounts (the “Canadian Deposits”) and, may in the future, accept U.S. dollar cash deposits in U.S. 18. In the absence of the Exemption Sought, the high interest savings account (the “U.S. commingling of Cash would contravene the Deposits”) from Investors via Dealers Commingling Prohibition and would require the (collectively, the “Deposits”) by way of Industry Filer to establish separate trust accounts for the Standard Settlement Processes. The Deposits will Funds and the Deposits. This would effectively not be offered by IA Trust through the Filer. permit the offering of the Deposits to Investor alongside Mutual Fund investments within the 13. The Filer intends to provide the administrative same nominee-name accounts, which the Filer infrastructure necessary to permit IA Trust to offer believe to be of significant value to Investors. Deposits to Investors, specifically including the operational means by which Other Cash (as Cash Clearing defined below) will be moved from the Dealers to IA Trust. 19. Commingled Cash will be forwarded to individual Fund accounts in the name of the Funds’ 14. The Canadian Deposits offered by IA Trust will be custodian and to IA Trust, as applicable, no less savings accounts eligible for deposit insurance frequently than following overnight processing of from the Canada Deposit Insurance Corporation Fund purchase and Deposit orders. Commingled (“CDIC”) subject to maximum coverage limitations. Cash will be forwarded from the Trust Accounts to The U.S. Deposits are ineligible for CDIC the relevant dealers or dealer trust accounts which insurance as CDIC does not insure any accounts redeem Funds or order withdrawals from the or products in U.S. Dollars. Investors who wish to Deposits no less frequently than following invest in the Deposits may also purchase units of overnight processing of redemption or withdrawal the Funds from their Dealers at the same time. orders, subject to the time it may take for an
July 18, 2019 (2019), 42 OSCB 6112
Decisions, Orders and Rulings
Investor to redeem a cheque issued in respect of 2.1.2 iAnthus Capital Holdings, Inc. redeemed Fund securities or withdrawn Deposits. Accordingly, all monies held in the Trust Accounts Headnote will be cleared no less frequently than on a daily basis at the beginning of each business day National Policy 11-203 Process for Exemptive Relief following the previous business day’s overnight Applications in Multiple Jurisdictions – Issuer granted relief processing of all purchase and deposit transaction from the requirement in National Instrument 52-107 involving the Funds and Deposits and most Acceptable Accounting Principles and Auditing Standards redemptions from the Funds and withdrawals from that acquisition statements required by securities legislation the Deposits. to be audited must be accompanied by an auditor’s report that expresses an unqualified opinion – Issuer made a 20. The Filer believes that the commingling of Cash in significant acquisition, but underlying information needed to the Trust Accounts will not be detrimental to the support an unqualified auditor’s opinion on the acquisition protection of Investors. statements is not available – Issuer can otherwise comply with the acquisition statement requirements for a business Internal Controls acquisition report and the business acquisition report will contain sufficient alternative information about the 21. In providing services, the Filer is able to account acquisition. for all monies received into and all monies that are to be paid out of its Trust Account in order to meet Applicable Legislative Provisions the policy objectives of sections 11.1 and 11.2 of Regulation 81-102. National Instrument 52-107 Acceptable Accounting Principles and Auditing Standards, ss. 3.12(2) and 22. The Filer will ensure that proper records with 5.1. respect to the Cash in a commingled account are kept and will ensure that its respective Trust IN THE MATTER OF Account is reconciled, and that Cash are properly THE SECURITIES LEGISLATION OF accounted for daily. ONTARIO (THE “JURISDICTION”) 23. The Filer will ensure that all transactions in its Trust Account are manually reviewed on a daily AND basis in order to monitor the Trust Account for discrepancies in handling of Cash in the Trust IN THE MATTER OF Account. THE PROCESS FOR EXEMPTIVE RELIEF APPLICATIONS 24. Any error in the handling of monies in a Filer’s IN MULTIPLE JURISDICTIONS Trust Account as a result of the commingling of Cash identified through such daily review process AND will promptly be corrected by the Filer. IN THE MATTER OF 25. Except for the Commingling Prohibition, the Filer IANTHUS CAPITAL HOLDINGS, INC. will comply with all other requirements prescribed (THE “FILER”) in Part 11 of Regulation 81-102 with respect to the separate accounting and handling of Cash. DECISION
Decision Background
Each of the Decision Makers is satisfied that the decision The principal regulator in the Jurisdiction has received an meets the test set out in the Legislation for the Decision application from the Filer for a decision under the securities Makers to make the decision. legislation of the Jurisdiction of the principal regulator (the “Legislation”) exempting the Filer from the requirement in The decision of the Decision Makers under the Legislation subsection 3.12(2) of National Instrument 52-107 is that the Exemption Sought is granted. Acceptable Accounting Principles and Auditing Standards (“NI 52-107”) that an auditor’s report accompanying audited Hugo Lacroix acquisition statements must express an unmodified opinion Superintendent, Securities Markets (interim) (the “Exemption Sought”).
Under the Process for Exemptive Relief Applications in Multiple Jurisdictions (for a passport application):
(a) the Ontario Securities Commission is the principal regulator for this application; and
July 18, 2019 (2019), 42 OSCB 6113
Decisions, Orders and Rulings
(b) the Filer has provided notice that Shares”) were listed on the CSE under the trading subsection 4.7(1) of Multilateral symbol “MPX” and on the OTCQX under the Instrument 11-102 Passport System (“MI trading symbol “MPXEF”. 11-102”) is intended to be relied upon in British Columbia, Alberta, Saskatchewan, 7. On February 5, 2019, the Filer acquired all of the Manitoba, New Brunswick, Nova Scotia, issued and outstanding MPX Shares pursuant to a Prince Edward Island and Newfoundland statutory plan of arrangement under the BCBCA in and Labrador. accordance with the terms of an arrangement agreement dated October 18, 2018, as amended Interpretation by an amending agreement dated January 31, 2019 (the “Transaction”). Pursuant to the Terms defined in National Instrument 14-101 Definitions Transaction, each MPX Share was acquired in and MI 11-102 have the same meaning if used in this exchange for 0.1673 of a Common Share and 0.1 decision, unless otherwise defined. of a common share in the capital of MPX International Corporation (“MPX International”), a Representations newly formed company that holds all of the non- U.S. businesses (the “MPX International This decision is based on the following facts represented Assets”) of MPX. by the Filer: 8. Following the completion of the Transaction, the 1. The Filer was incorporated on November 15, 2013 MPX Shares were delisted from both the CSE and pursuant to the Business Corporations Act (British the OTCQX. Pursuant to the Transaction, MPX Columbia) (the “BCBCA”). amalgamated with a wholly-owned subsidiary of the Filer to form MPX Bioceutical ULC (“MPX 2. The Filer’s head office is located at Suite 414, 420 ULC”). On March 8, 2019, the Ontario Securities Lexington Avenue, New York, New York, 10170. Commission ordered that MPX ULC had ceased The Filer’s principal place of business in Canada to be a reporting issuer in the provinces of British and its management are located at Suite 2740, 22 Columbia, Alberta and Ontario. Adelaide Street West, Toronto, Ontario, M5H 4E3. 9. MPX International is a reporting issuer in the 3. The Filer is a reporting issuer in the provinces of provinces of British Columbia, Alberta and Ontario Ontario, British Columbia, Alberta, Saskatchewan, and its common shares are listed on the CSE Manitoba, New Brunswick, Nova Scotia, Prince under the trading symbol “MPXI”. Following the Edward Island and Newfoundland and Labrador. completion of the Transaction, MPX International Except for the failure to file the business holds all of the MPX International Assets. MPX acquisition report (the “BAR”) for the Transaction International is not affiliated with the Filer or with (as defined below), the Filer is not in default of MPX ULC. securities legislation in any jurisdiction in which it is a reporting issuer. 10. The Transaction constituted a “significant acquisition” by the Filer pursuant to section 8.3 of 4. The Filer’s authorized share capital consists of an National Instrument 51-102 Continuous Disclosure unlimited number of common shares (the Obligations (“NI 51-102”). Accordingly, pursuant to “Common Shares”) and an unlimited number of section 8.4 of NI 51-102, the Filer was required to Class A convertible restricted voting shares (the file the BAR within 75 days of the completion of “Class A Shares”). As at July 3, 2019, the Transaction. Accordingly, the BAR was 156,041,678 Common Shares and 15,528,928 required to be filed by April 22, 2019. The Filer Class A Shares were issued and outstanding. was noted in default for its failure to file the BAR on April 23, 2019. 5. The Filer’s Common Shares are listed on the Canadian Securities Exchange (the “CSE”) under 11. To comply with section 8.4 of NI 51-102, the the trading symbol “IAN” and on the OTCQX Best Filer’s BAR must include, among other things, Market (the “OTCQX”) under the trading symbol audited annual financial statements of MPX, less “ITHUF”. The Class A Shares are not listed on any the MPX International Assets (the “Acquired MPX stock exchange. Business”) for the financial year ended March 31, 2018 (the “2018 Annual Financial Statements”). 6. MPX Bioceutical Corporation (“MPX”) was incorporated on April 2, 1974 pursuant to the 12. Pursuant to section 3.12 of NI 52-107, acquisition Business Corporations Act (Ontario) and was statements that are required by securities continued into British Columbia on January 15, legislation to be audited must be accompanied by 2019. Prior to the completion of the Transaction an auditor’s report that expresses an unmodified (as defined below), MPX was a reporting issuer in opinion. the provinces of British Columbia, Alberta and Ontario, and its common shares (the “MPX
July 18, 2019 (2019), 42 OSCB 6114
Decisions, Orders and Rulings
13. Separate financial statements of the Acquired 17. The Filer anticipates that its auditor will be able to MPX Business have never been prepared by issue an unmodified opinion with respect to MPX’s management and MPX historically inventory and biological assets for its year ended prepared its financial statements on a December 31, 2019. consolidated basis with MPX and all of its subsidiaries. Decision
14. Although the Filer has prepared the 2018 Annual The principal regulator is satisfied that the decision meets Financial Statements to the best of its knowledge the test set out in the Legislation for the principal regulator using information that is presently available from to make the decision. MPX and its former management, the Filer’s auditor has represented to the Filer that it is The decision of the principal regulator under the Legislation unable to obtain sufficient comfort with respect to is that the Exemption Sought is granted provided that the the Acquired MPX Business due to the lack of Filer includes the following financial information in the BAR sufficient underlying information and the passage for the Transaction: of time. The Filer’s auditor was not present during the relevant periods to conduct a physical (a) the 2018 Annual Financial Statements observation of the inventory and the biological accompanied by an auditor’s report that assets and has been unable to satisfy itself by expresses an unmodified opinion other alternative means of the quantities of inventory than with respect to the Modified Matters; and biological assets held as at March 31, 2018. (b) an audited statement of assets acquired 15. The Filer expects the following items will result in and liabilities assumed, without a modified opinion from the auditor in respect of qualification, by the Filer as at the closing the 2018 Annual Financial Statements: date of the Transaction;
(a) Biological Assets: Supporting documentation (c) unaudited annual financial statements of and schedules required in order to validate the Acquired MPX Business for the the quantity of the biological assets and the financial year ended March 31, 2017, in key inputs used for the valuation of biological accordance with subsection 8.4(1) of NI assets are not available for the year ended 51-102; and March 31, 2018. The Filer also noted issues with the historic biological asset valuation (d) unaudited interim financial statements of models for the period ended March 31, the Acquired MPX Business for the nine- 2018. Despite best efforts, the Filer’s auditor month period ended December 31, 2018, will not be able to obtain sufficient comfort to and comparative period in the verify the key inputs to the historic biological immediately preceding financial year. asset valuation models; DATED at Toronto on this 10th day of July, 2019. (b) Inventory: Supporting documentation and schedules required in order to validate the “Cameron McInnis” costing and quantity of inventory are not Chief Accountant available for and as of the year ended March Ontario Securities Commission 31, 2018. The Filer has also noted challenges in reconciling the inventory schedules to the accounting records and obtaining a complete population to provide to the Filer’s auditor for testing; and
(c) Cost of Sales and Fair Value Gains and Losses: Because inventory impacts the determination of cost of sales and biological assets impact the determination of fair value gains and losses on the statement of profit and loss, the Filer’s auditor cannot perform sufficient audit procedures on these items (collectively, the “Modified Matters”).
16. Apart from the requirement to provide an unmodified audit opinion on the 2018 Annual Financial Statements, the Filer is otherwise able to prepare and file the BAR in accordance with NI 51-102 and NI 52-107.
July 18, 2019 (2019), 42 OSCB 6115
Decisions, Orders and Rulings
2.1.3 Mackenzie Financial Corporation and indebtedness of any one issuer if those Mackenzie Anti-Benchmark Global Investment evidences of indebtedness are issued, or Grade Fund guaranteed fully as to principal and interest, by supranational agencies or Headnote governments, other than the government of Canada, the government of a National Policy 11-203 – Process for Exemptive Relief jurisdiction in Canada or the government Applications in Multiple Jurisdictions – exemption from of the United States of America, and are section 2.1(1) of National Instrument 81-102 – Investment rated “AA” by S&P Global Ratings Funds to permit a global fixed income fund to invest more Canada (S&P) or its DRO affiliate (as than 10 percent of net assets in debt securities issued, or defined in NI 81-102), or have an guaranteed fully as to principal and interest, by foreign equivalent rating by one or more other supranational agencies or governments, subject to designated rating organizations or their conditions. DRO affiliates; and
Applicable Legislative Provisions (b) 35% of its net asset value immediately after the transaction in evidences of National Instrument 81-102 – Investment Funds, ss. 2.1(1) indebtedness of any one issuer if those and 19.1. evidences of indebtedness are issued, or guaranteed fully as to principal and July 9, 2019 interest, by supranational agencies or governments, other than the government IN THE MATTER OF of Canada, the government of a THE SECURITIES LEGISLATION OF jurisdiction in Canada or the government ONTARIO of the United States of America, and are (the Jurisdiction) rated “AAA” by S&P or its DRO affiliate, or have an equivalent rating by one or AND more other designated rating organizations or their DRO affiliates IN THE MATTER OF THE PROCESS FOR (such evidences of indebtedness are collectively referred to EXEMPTIVE RELIEF APPLICATIONS as Foreign Government Securities). IN MULTIPLE JURISDICTIONS Under the Process for Exemptive Relief Applications in AND Multiple Jurisdictions (for a passport application):
IN THE MATTER OF (a) the Ontario Securities Commission is the MACKENZIE FINANCIAL CORPORATION principal regulator for this application; (the Filer) and
AND (b) the Filer has provided notice that subsection 4.7(1) of Multilateral IN THE MATTER OF Instrument 11-102 Passport System (MI MACKENZIE ANTI-BENCHMARK GLOBAL 11-102) is intended to be relied upon in INVESTMENT GRADE FUND each of the other provinces and (the Fund) territories of Canada (the Other Jurisdictions). DECISION Interpretation Background Terms defined in NI 81-102, National Instrument 14-101 The principal regulator in the Jurisdiction has received an Definitions, and MI 11-102 have the same meaning if used application from the Filer on behalf of the Fund for a in this decision, unless otherwise defined. decision under the securities legislation of the Jurisdiction of the principal regulator (the Legislation), for an Representations exemption (the Exemption Sought) pursuant to section 19.1 of National Instrument 81-102 Investment Funds (NI This decision is based on the following facts represented 81-102), from subsection 2.1(1) of NI 81-102 (the by the Filer: Concentration Restriction) to permit the Fund to invest up to: 1. The Filer is a corporation amalgamated under the laws of Ontario. The head office of the Filer is in (a) 20% of its net asset value immediately Toronto, Ontario. after the transaction in evidences of
July 18, 2019 (2019), 42 OSCB 6116
Decisions, Orders and Rulings
2. The Filer is registered as an investment fund access to assets with minimal credit risk and manager, portfolio manager, exempt market enable the portfolio manager to assess its views dealer and commodity trading manager in Ontario. on interest rates and duration. The Filer is also registered as a portfolio manager and exempt market dealer in all other Canadian 12. The increased flexibility to hold Foreign provinces and territories and as an investment Government Securities may also yield higher fund manager in Newfoundland and Labrador and returns than Canadian or United States of Québec. America shorter-term government fixed-income alternatives. 3. The Filer is the manager, trustee and portfolio manager of the Fund. 13. Subsection 2.1(1) of NI 81-102 prohibits the Fund from purchasing a security of an issuer if, 4. The Fund will be an open-ended mutual fund trust immediately after the transaction, more than 10% established under the laws of Ontario. of the net asset value of the Fund, taken at market value at the time of the transaction, would be 5. Securities of the Fund will be offered pursuant to a invested in securities of that issuer. Subsection simplified prospectus filed in all the provinces and 2.1(2) of NI 81-102 sets out certain exceptions, territories of Canada and, accordingly the Fund including in respect of a “government security”, as will be a reporting issuer in one or more provinces defined in NI 81-102. and territories of Canada. A preliminary simplified prospectus was filed for the Fund via SEDAR in all 14. The Filer believes that the ability to purchase the provinces and territories on June 7, 2019 (the Foreign Government Securities in excess of the Simplified Prospectus). limit in subsection 2.1(1) of NI 81-102 will better enable the Fund to achieve its fundamental 6. The Filer is not in default of securities legislation in investment objectives, thereby benefitting the any jurisdiction of Canada. Fund’s investors.
7. The investment objectives of the Fund are 15. The Foreign Government Securities are not within expected to be substantially similar to the the meaning of “government securities” as such following: “The Fund seeks long-term capital term is defined in NI 81-102. growth by investing primarily in a diversified portfolio of investment-grade fixed-income 16. The Fund will only purchase Foreign Government securities issued by companies or governments of Securities if the purchase is consistent with the any size, anywhere in the world.” Fund’s fundamental investment objectives.
8. To achieve the investment objective of the Fund, 17. The Simplified Prospectus for the Fund will the investment team will follow the Anti- disclose the risks associated with the Benchmark® Global Investment Grade strategy. concentration of assets of the Fund in securities of The Fund will use a long-only portfolio that is a limited number of issuers. generally fully invested, well-diversified and composed of securities that are attractive from a 18. The Fund seeks the Requested Relief to enhance fundamental and technical standpoint. its ability to pursue and achieve its investment objectives.
9. Although the Fund aims to invest primarily in a Decision diversified portfolio of fixed-income securities, the Fund’s portfolio managers seek the discretion to The principal regulator is satisfied that the decision meets gain exposure to any one issuer of Foreign the test set out in the Legislation for the principal regulator Government Securities in excess of the to make the decision. Concentration Restriction. The decision of the principal regulator under the Legislation 10. The portfolio managers of the Fund will allocate is that the Exemption Sought is granted provided that: assets across credit quality, duration, structures, sectors, currencies and countries in a risk-efficient 1. paragraphs (a) and (b) of the Exemption Sought manner. In following this style, in conjunction with cannot be combined for any one issuer; fundamental investment analysis, there may be periods where the portfolio managers believe that 2. any security purchased pursuant to this decision is Foreign Government Securities are better suited traded on a mature and liquid market; to the Fund’s investment objectives. 3. the acquisition of the securities purchased 11. Allowing the Fund to hold highly rated fixed- pursuant to this decision is consistent with the income securities issued by governments will fundamental investment objectives of the Fund; enable the Fund to preserve capital in foreign markets during adverse market conditions, have
July 18, 2019 (2019), 42 OSCB 6117
Decisions, Orders and Rulings
4. the Simplified Prospectus of the Fund discloses the additional risks associated with the concentration of the net asset value of the Fund in securities of fewer issuers, such as the potential additional exposure to the risk of default of the issuer in which the Fund has so invested and the risks, including foreign exchange risk, of investing in the country in which the issuer is located; and
5. the Simplified Prospectus of the Fund discloses, in the investment strategies section, a summary of the nature and terms of the Exemption Sought, along with the conditions imposed and the type of securities covered by this decision.
“Darren McKall” Manager, Investment Funds and Structured Products Branch Ontario Securities Commission
July 18, 2019 (2019), 42 OSCB 6118
Decisions, Orders and Rulings
2.1.4 Mackenzie Financial Corporation and Quadrus Investment Services Ltd.
Headnote
National Policy 11-203 – Process for Exemptive Relief Applications in Multiple Jurisdictions – Revocation of prior relief – Relief granted from the requirement in s. 3.2(2) of NI 81-101 to deliver a fund facts document to investors for purchases of mutual fund securities of certain series under automatic switching programs – High net worth series offering lower combined management and administration fees than the retail series, as applicable, based on the size of a fund investment – Investment fund manager initiating automatic switches between series on behalf of investors when their investments satisfy or cease to meet eligibility requirements of High net worth series – Automatic switches between series of a fund triggering a distribution of securities which requires delivery of a fund facts document – Relief granted from the requirement to deliver a fund facts document to investors for purchases of series securities made under automatic switching programs subject to compliance with certain notification and disclosure requirements in the simplified prospectus and fund facts document – Relief granted from the requirement to prepare a fund facts document for each series of securities of a mutual fund in accordance with the form requirements in Form 81-101F3 and the requirement that the fund facts document contain only information that is specifically required or permitted to be in Form 81-101F3 so that fund facts document delivered to investors in the automatic switching program will provide disclosure relating to the automatic switching program and both series, subject to certain conditions – National Instrument 81-101 Mutual Fund Prospectus Disclosure.
Applicable Legislative Provisions
National Instrument 81-101 Mutual Fund Prospectus Disclosure, sections 2.1, 3.2.01(1) and 6.1.
June 28, 2019
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 MACKENZIE FINANCIAL CORPORATION (Mackenzie)
AND
QUADRUS INVESTMENT SERVICES LTD. (the Principal Distributor, and together with Mackenzie, the Filers)
DECISION
Background
The principal regulator in the Jurisdiction has received an application (the Application) from Mackenzie on behalf of the Funds (as defined below) and the Principal Distributor for a decision under the securities legislation of the Jurisdiction (the Legislation):
(a) revoking the decision granted by the principal regulator (the Revocation) on June 28, 2018 (the Prior Decision);
(b) exempting the Principal Distributor from the requirement in subsection 3.2.01(1) of National Instrument 81-101 Mutual Fund Prospectus Disclosure (NI 81-101) to deliver or send the most recently filed fund facts document (a Fund Facts) in the manner as required under the Legislation (the Fund Facts Delivery Requirement) in respect of the purchases of High Net Worth Series (as defined below) or Retail Series (as defined below) securities of the Quadrus Funds that are made pursuant to Switches (as defined below) (the Fund Facts Delivery Relief); and
July 18, 2019 (2019), 42 OSCB 6119
Decisions, Orders and Rulings
(c) exempting the Funds from the requirement in section 2.1 of NI 81-101 to prepare a Fund Facts in the form of Form 81- 101F3 Contents of Fund Facts Document (Form 81-101F3), to permit the Funds to deviate from certain requirements in Form 81-101F3 in order to prepare a Consolidated Fund Facts Document (as defined below) that includes the Switching Disclosure (as defined below) (the Consolidated Fund Facts Relief, and together with the Fund Facts Delivery Relief, the Exemption Sought).
Under the Process for Exemptive Relief Applications in Multiple Jurisdictions (for a passport application):
(a) the Ontario Securities Commission is the principal regulator for this application; and
(b) the Filers have provided notice that section 4.7(1) of Multilateral Instrument 11-102 Passport System (MI 11-102) is intended to be relied upon in British Columbia, Alberta, Saskatchewan, Manitoba, Québec, New Brunswick, Nova Scotia, Prince Edward Island, and Newfoundland and Labrador (the Other 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 Filers:
Mackenzie
1. Mackenzie is a corporation amalgamated under the laws of Ontario with its head office in Toronto, Ontario.
2. Mackenzie is registered as an investment fund manager, portfolio manager, exempt market dealer and commodity trading manager in Ontario. Mackenzie is also registered as: (a) a portfolio manager and exempt market dealer in the Other Jurisdictions and each of the territories of Canada; and (b) an investment fund manager in Newfoundland and Labrador, and Québec.
3. Mackenzie is not in default of the securities legislation of any of the provinces and territories of Canada.
The Principal Distributor
4. The Principal Distributor is a member of the Mutual Fund Dealers Association of Canada and is registered in the category of mutual fund dealer in each of the provinces and territories of Canada.
5. The Principal Distributor is not in default of the securities legislation of any of the provinces and territories of Canada.
The Quadrus Funds
6. Mackenzie is the manager of mutual funds (the Existing Funds), each of which is subject to the requirements of National Instrument 81-102 – Investment Funds (NI 81-102). Mackenzie may, in the future, become the manager of additional mutual funds (the Future Funds, and together with the Existing Funds, the Funds) that are subject to the requirements of NI 81-102.
7. Certain of the Funds are, or will be, available for purchase only through the Principal Distributor (the Quadrus Funds).
8. Each Quadrus Fund is, or will be, a reporting issuer under the laws of all of the provinces and territories of Canada. The securities of the Quadrus Funds are, or will be, qualified for distribution pursuant to a simplified prospectus, Fund Facts and annual information form that have been, or will be, prepared and filed in accordance with NI 81-101.
9. Each Quadrus Fund is, or will be, an open-end mutual fund trust created under the laws of Ontario or an open-end mutual fund that is a class of shares of a mutual fund corporation incorporated under the laws of Ontario.
10. The Quadrus Funds are not in default of the securities legislation of any of the provinces and territories of Canada.
11. The Quadrus Funds currently offer up to 22 series of securities – D5 series, D8 series, H series, H5 series, H8 series, HW series, HW5 series, HW8 series, L series, L5 series, L8 series, N series, N5 series, N8 series, Quadrus series, QF series, QF5 series, QFW series, QFW5 series, RB series, I series and Series R – under simplified prospectuses,
July 18, 2019 (2019), 42 OSCB 6120
Decisions, Orders and Rulings
annual information forms and Fund Facts dated June 28, 2018 and October 12, 2018, as amended. Mackenzie may also offer additional series of the Quadrus Funds in the future.
12. Securities in L series, L5 series, L8 series, HW series, HW5 series, HW8 series, QFW series, QFW5 series, and any future applicable preferred pricing series (the High Net Worth Series) of the Quadrus Funds have, or will have, lower combined management and administration fees than securities in their corresponding retail series, specifically, Quadrus series, D5 series, D8 series, H series, H5 series, H8 series, QF series and QF5 series, and any future applicable retail series of the Quadrus Funds (the Retail Series). Securities in the High Net Worth Series are only available to investors who have invested at least $100,000 in the High Net Worth Series and who also have a minimum total holdings amount of $500,000 across a group of accounts of which the investor is a member, including segregated fund policies with London Life Insurance Company, The Great-West Life Assurance Company and/or The Canada Life Assurance Company (the Eligibility Criteria).
13. Each pair of series, namely Quadrus series and L series, D5 series and L5 series, D8 series and L8 series, H series and HW series, H5 series and HW5 series, H8 series and HW8 series, QF series and QFW series, QF5 series and QFW5 series, and any future pairs of series (each, a Pair) are each made up of a Retail Series and a High Net Worth Series. Each High Net Worth Series in a Pair is identical to its corresponding Retail Series but for the Eligibility Criteria and the fact that it has lower combined management and administration fees than the Retail Series.
Switches
14. Mackenzie currently has a program whereby investors holding Retail Series securities are automatically switched into the corresponding High Net Worth Series if they meet the Eligibility Criteria (the Lower Fee Switches), without the Principal Distributor or investor having to initiate the trade. If an investor holding High Net Worth Series securities ceases to meet the Eligibility Criteria, Mackenzie may switch the applicable High Net Worth Series securities into the applicable Retail Series securities without the Principal Distributor or investor initiating the trade (the Higher Fee Switches, and together with the Lower Fee Switches, the Switches).
15. Lower Fee Switches take place when the investor purchases additional securities of the Quadrus Funds or when positive market movement moves the investor into High Net Worth Series eligibility.
16. Higher Fee Switches may occur because of redemptions that decrease the amount of total investments with the Filer for purposes of calculating the investor’s eligibility for High Net Worth Series securities. However, market value declines will not trigger Higher Fee Switches.
17. Mackenzie will aggregate total investments across the group of eligible accounts in order to determine whether investors are eligible to purchase and to continue to hold High Net Worth Series securities. London Life Insurance Company, as a service provider to Mackenzie, will monitor investors’ investments in each particular series and monitor the total investments across the group of eligible accounts in order to provide Mackenzie with the information necessary to determine whether investors are eligible to purchase and continue to hold High Net Worth Series securities. If an investor is no longer eligible to hold High Net Worth Series securities, Mackenzie may effect a Higher Fee Switch.
18. Once an account has qualified for High Net Worth Series, the account will continue to enjoy the benefit of lower combined management and administration fees associated with the applicable High Net Worth Series, even if fund performance reduces the account value below the Eligibility Criteria.
19. Investors may access High Net Worth Series securities by (a) initially investing in High Net Worth Series securities if they meet the Eligibility Criteria, or (b) initially investing in Retail Series securities and then, upon meeting the Eligibility Criteria, having those Retail Series securities switched into High Net Worth Series securities by way of a Lower Fee Switch.
20. Investors may access Retail Series securities by (a) initially investing in Retail Series securities, or (b) initially investing in High Net Worth Series securities and then, upon no longer meeting the Eligibility Criteria for the High Net Worth Series securities, having those High Net Worth Series securities switched into Retail Series securities by way of a Higher Fee Switch.
21. Further to each Lower Fee Switch, an investor’s account would continue to hold securities of the same Quadrus Fund(s) as before the Lower Fee Switch, with the only material difference to the investor being that the combined management and administration fees charged for the High Net Worth Series securities would be lower than those charged for Retail Series securities.
July 18, 2019 (2019), 42 OSCB 6121
Decisions, Orders and Rulings
22. Further to each Higher Fee Switch, an investor’s account would continue to hold securities of the same Quadrus Fund(s) as before the Higher Fee Switch, with the only material difference to the investor being that the combined management and administration fees charged for the Retail Series securities would be higher than those charged for High Net Worth Series securities.
23. The trailing commissions for High Net Worth Series and Retail Series securities are, or will be, identical.
24. There are no sales charges, switch fees or other fees payable by the investor upon a Switch.
25. The Switches have no adverse tax consequences on investors under current Canadian tax legislation.
Consolidated Fund Facts Relief
26. Mackenzie proposes to prepare, for each of the Quadrus Funds, a consolidated Fund Facts for each Pair (a Consolidated Fund Facts Document).
27. Each Consolidated Fund Facts Document will include the information required by Form 81-101F3 for both of the series in the applicable Pair, except as set out below in paragraph 28.
28. Specifically, for each Consolidated Fund Facts Document, Mackenzie proposes to deviate from the following requirements in Form 81-101F3:
(a) General Instructions (10) and (16), to permit the Consolidated Fund Facts Document to be the Fund Facts for, and disclose information relating to, both of the series in the applicable Pair, except as further described below;
(b) Item 1(c.1) of Part I, to permit the Consolidated Fund Facts Document to name both of the series in the applicable Pair in the heading;
(c) Item 1(e) of Part I, to permit the Consolidated Fund Facts Document to name both of the series in the applicable Pair in the introduction to the Fund Facts;
(d) Instruction (0.1) of Part I, to permit the Consolidated Fund Facts Document to identify the fund codes of both of the series in the applicable Pair;
(e) Instruction (1) of Item 2 of Part I, to permit the Consolidated Fund Facts Document to list the date that both of the series in the applicable Pair first became available to the public;
(f) Instruction (3) of Item 2 of Part I, to permit the Consolidated Fund Facts Document to disclose the management expense ratio (the MER) of only the applicable Retail Series within the applicable Pair;
(g) Instruction (6) of Item 2 of Part I, to permit the Consolidated Fund Facts Document to specify the minimum investment amount and additional investment amount of only the Retail Series within the applicable Pair;
(h) General Instruction (8), to permit the Consolidated Fund Facts Document to include a footnote under the “Quick Facts” table that:
(i) states that the Fund Facts pertains to both of the series in the applicable Pair;
(ii) cross-references the “How much does it cost?” section of the Fund Facts for further details about the Switches;
(iii) cross-references the fee decrease table under the subheading “Fund Expenses” of the Fund Facts for further details about the minimum investment amount for both series in the applicable Pair; and
(iv) cross-references the “Fund Expenses” subsection of the Fund Facts for further details about the MER for both of the series in the applicable Pair;
(i) Item 5(1) of Part I, to permit the Consolidated Fund Facts Document to:
(i) reference only the applicable Retail Series in the introduction under the heading “How has the fund performed?”; and
July 18, 2019 (2019), 42 OSCB 6122
Decisions, Orders and Rulings
(ii) include, as a part of the introduction, disclosure explaining that the performance of the High Net Worth Series of the applicable Pair would be similar to the performance of the corresponding Retail Series, but would vary as a result of the difference in fees compared to the corresponding Retail Series, as set out in the fee decrease table under the subheading “Fund expenses”;
(j) Instruction (4) of Item 5 of Part I, to permit a Consolidated Fund Facts Document to show the required performance data under the subheadings “Year-by-year returns”, “Best and worst 3-month returns”, and “Average return” relating only to the applicable Retail Series;
(k) Item 1(1.1) of Part II, to permit a Consolidated Fund Facts Document to:
(i) refer to both series in the applicable Pair in the introductory statement under the heading “How much does it cost?”; and
(ii) include, as part of the introductory statement, a summary of the Switches, consisting of:
a. a statement explaining that the High Net Worth Series charges lower combined management and administration fees than the corresponding Retail Series;
b. a statement explaining the scenarios in which the Switches will be made, including Switches that may be made due to the investor no longer meeting the Eligibility Criteria for the applicable High Net Worth Series;
c. a cross-reference to the fee decrease table under the subheading “Fund expenses”;
d. a cross-reference to specific sections of the simplified prospectus of the Funds for more details about the Switches; and
e. a statement disclosing that investors should speak to their representative for more details about the Switches;
(l) Item 1(1.2)(1) of Part II, to permit a Consolidated Fund Facts Document to refer to both of the series in the applicable Pair in the introduction under the subheading “Sales charges”, if applicable;
(m) Instruction (1) of Item 1 of Part II, to permit a Consolidated Fund Facts Document to disclose all sales charge options for both of the series in the applicable Pair.
(n) Item 1(1.3)(2) of Part II, to permit a Consolidated Fund Facts Document, where the applicable Quadrus Fund is not new, to:
(i) disclose the MER, trading expense ratio and fund expenses of both series in the particular Pair, and where certain information is not available for a particular series, to state “not available” in the corresponding part of the table; and
(ii) add a row in the table:
a. in which the first column states “For every $1,000 invested, this equals”; and
b. which discloses the respective equivalent dollar amounts of the fund expenses of each series included in the table for each $1,000 investment;
(o) Item 1(1.3)(3) of Part II, to permit a Consolidated Fund Facts Document, where the applicable Quadrus Fund and both of the series in the applicable Pair are not new, to include, instead of the mandated statement above the fund expenses table:
(i) a statement explaining that the applicable Retail Series has higher combined management and administration fees than the applicable High Net Worth Series; and
(ii) a statement stating “As of [the date of the most recently filed management report of fund performance], the fund expenses were as follows:”;
July 18, 2019 (2019), 42 OSCB 6123
Decisions, Orders and Rulings
(p) Item 1(1.3)(3) of Part II, to permit a Consolidated Fund Facts Document, where the applicable Quadrus Fund is not new but where one of the series in the applicable Pair is new, to include, instead of the mandated statement above the fund expenses table:
(i) a statement explaining that the applicable Retail Series has higher combined management and administration fees than the applicable High Net Worth Series;
(ii) a statement disclosing that the fund expenses information below is not available for one of the series because it is new, as indicated below; and
(iii) a statement stating “As of [the date of the most recently filed management report of fund performance], the fund expenses were as follows:”;
(q) Item 1(1.3)(4) of Part II, to permit a Consolidated Fund Facts Document, where the applicable Quadrus Fund is new, to:
(i) include a statement explaining that the applicable Retail Series has higher combined management and administration fees than the applicable High Net Worth Series;
(ii) disclose the rates of the management fee and administration fee of only the applicable Retail Series; and
(iii) for only the applicable Retail Series, disclose that the operating expenses and trading costs are not available because it is new;
(r) General Instruction (8), to permit a Consolidated Fund Facts Document to include, at the end of the disclosure under the sub-heading “Fund expenses”:
(i) a table that discloses:
a. the name of, and qualifying investment amounts associated with each of the series in the applicable Pair; and
b. the combined management and administration fee decrease of the applicable High Net Worth Series from the combined management and administration fee of the applicable Retail Series, shown in percentage terms; and
(ii) an introduction to the table stating that the table sets out the combined management and administration fee decrease of the applicable High Net Worth Series from the combined management and administration fee of the applicable Retail Series.
(collectively, the Switching Disclosure).
29. Mackenzie submits that, given that each of the Retail Series and High Net Worth Series are a part of the Switches, and an investor in either series would make one investment decision at the outset by purchasing securities of a Retail Series of a Quadrus Fund or, if eligible, of a High Net Worth Series of a Quadrus Fund, a Consolidated Fund Facts Document containing the Switching Disclosure will provide investors with more comprehensive disclosure about the Switches and each of the series in the applicable Pair as compared to disclosure in separate Fund Facts for each of the series in the applicable Pair.
30. Since, if the Fund Facts Delivery Relief described below is granted, the Fund Facts for the series that is being switched into pursuant to a Switch would not be delivered in connection with the Switch, Mackenzie submits that there is little benefit to preparing separate Fund Facts for each of the series in the applicable Pair. Mackenzie submits that the Consolidated Fund Facts Document containing the Switching Disclosure, which would be delivered to investors before the initial investment in Retail Series securities or, if eligible, High Net Worth Series securities, provides investors with better disclosure than if investors received the Fund Facts pertaining only to the applicable Retail Series or High Net Worth Series.
31. In the absence of the Consolidated Fund Facts Relief, Mackenzie would be required to prepare separate Fund Facts for each of the series within each Pair.
July 18, 2019 (2019), 42 OSCB 6124
Decisions, Orders and Rulings
Fund Facts Delivery Relief
32. Each Switch entails (a) a redemption of the Retail Series security, immediately followed by a purchase of the corresponding High Net Worth Series security, or (b) a redemption of the High Net Worth Series security, immediately followed by a purchase of the corresponding Retail Series security. Each purchase of securities done as part of a Switch is a “distribution” under the Legislation, which triggers the Fund Facts Delivery Requirement.
33. Pursuant to the Fund Facts Delivery Requirement, a dealer is required to deliver the most recently filed Fund Facts of a series of a fund to an investor before the dealer accepts an instruction from the investor for the purchase of securities of that series of the fund.
34. The Filers previously obtained relief from the Fund Facts Delivery Requirement in respect of purchases of High Net Worth Series securities that are made pursuant to the Lower Fee Switches in the Prior Decision (the Prior Relief).
35. The Filers request that, starting on or about November 1, 2019 (the Implementation Date), the Prior Relief be extended to purchases of Retail Series securities that are made pursuant to the Higher Fee Switches through the granting of the Revocation and the Fund Facts Delivery Relief.
36. While Mackenzie will initiate each trade done as part of a Switch, Mackenzie and the Principal Distributor do not propose to deliver a Fund Facts to investors in connection with the purchase of securities made pursuant to a Switch since, after the Implementation Date, investors will receive a Consolidated Fund Facts Document containing the Switching Disclosure before their first purchase of Retail Series or High Net Worth Series securities in accordance with the Fund Facts Delivery Requirement. The Consolidated Fund Facts Document will provide investors with disclosure about the Switches and both of the series in the applicable Pair, and investors would derive little benefit from receiving a further Consolidated Fund Facts Document in conjunction with each Switch.
37. To ensure that existing investors in both the Retail Series and High Net Worth Series prior to the Implementation Date receive sufficient disclosure of the changes that will be implemented on the Implementation Date, Mackenzie will liaise with the Principal Distributor to devise and implement a notification plan for such investors to notify them about the Switches, as further described below in condition 3(a) below.
38. Mackenzie will communicate extensively with the Principal Distributor and London Life Insurance Company about the Switches so that Mackenzie will be equipped to appropriately notify existing investors in the Retail Series and High Net Worth Series of the changes applying to their Quadrus Funds investments, and appropriately advise new investors about the Switches.
39. Mackenzie or the Principal Distributor will deliver, or will arrange for the delivery of, trade confirmations to investors in connection with each trade done further to a Switch. Furthermore, details of the changes in series of securities held will be reflected in the account statements sent to investors for the quarter in which the change occurred.
40. The most recently filed Consolidated Fund Facts Document for each series will be available to investors on the Principal Distributor’s website.
41. In the absence of the Fund Facts Delivery Relief, the Principal Distributor would be required to deliver the applicable Fund Facts to investors in connection with the purchase of securities made pursuant to each Switch.
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:
1. the Revocation is granted;
2. the Consolidated Fund Facts Relief is granted provided that each Consolidated Fund Facts Document contains the Switching Disclosure; and
3. the Fund Facts Delivery Relief is granted provided that:
(a) for investors invested in the Retail Series or High Net Worth Series prior to the Implementation Date, Mackenzie will liaise with the Principal Distributor to devise and implement a notification plan for such investors regarding the Switches to communicate the following:
July 18, 2019 (2019), 42 OSCB 6125
Decisions, Orders and Rulings
(i) that their investment may be switched to the High Net Worth Series with lower management and administration fees upon meeting the Eligibility Criteria;
(ii) that, other than a difference in management and administration fees, there will be no other material difference between the Retail Series and the High Net Worth Series;
(iii) that if they cease to meet the Eligibility Criteria, their investment may be switched into the Retail Series, which has higher management and administration fees; and
(iv) that they will not receive the Consolidated Fund Facts Document when they purchase securities in connection with a Switch, but that:
1. they may request the most recently filed Consolidated Fund Facts Document for the relevant series by calling a specified toll-free number or by sending a request via email to a specified address;
2. the most recently filed Consolidated Fund Facts Document will be sent or delivered to them at no cost, if requested;
3. the most recently filed Consolidated Fund Facts Document may be found either on the SEDAR website or on the Principal Distributor’s website; and
4. they will not have the right to withdraw from an agreement of purchase and sale (a Withdrawal Right) in respect of a purchase of securities made pursuant to a Switch, but they will have the right of action for damages or rescission in the event any Fund Facts or document incorporated by reference into a simplified prospectus for the relevant series contains a misrepresentation, whether or not they request the Fund Facts;
(b) Mackenzie incorporates disclosure in the simplified prospectus for each Quadrus Fund participating in the Switches that describes the Switches, including setting out:
(i) the Eligibility Criteria;
(ii) the fees applicable to investments in the applicable Retail Series and High Net Worth Series; and
(iii) that if investors cease to meet the Eligibility Criteria, their investment may be switched back to the corresponding Retail Series, which has higher management and administration fees; and
(c) for Retail Series and High Net Worth Series investors, Mackenzie sends these investors an annual reminder notice advising that they will not receive a Fund Facts when they purchase Retail Series or High Net Worth Series securities pursuant to a Switch, but that:
(i) they may request the most recently filed Consolidated Fund Facts Document for the relevant series by calling a specified toll-free number or by sending a request via email to a specified address;
(ii) the most recently filed Consolidated Fund Facts Document will be sent or delivered to them at no cost, if requested;
(iii) the most recently filed Consolidated Fund Facts Document may be found either on the SEDAR website or on the Principal Distributor’s website; and
(iv) they will not have a Withdrawal Right in respect of a purchase of series securities made pursuant to a Switch, but they will have a right of action for damages or rescission in the event any Fund Facts or document incorporated by reference into a simplified prospectus for the relevant series contains a misrepresentation, whether or not they request the Fund Facts.
“Darren McKall” Manager Investment Funds and Structured Products Branch Ontario Securities Commission
July 18, 2019 (2019), 42 OSCB 6126
Decisions, Orders and Rulings
2.1.5 Gestion FÉRIQUE
Headnote
NP 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – Existing and future mutual funds managed by the Filer or an affiliate of the Filer granted relief from paragraph 15.3(4)(c) and (f) of NI 81-102 Investment Funds to permit references to FundGrade A+ Awards and FundGrade Ratings in sales communications – Relief subject to conditions requiring specified disclosure and the requirement that the FundGrade A+ Awards being referenced not have been awarded more than 365 days before the date of the sales communication.
Applicable Legislative Provisions
National Instrument 81-102 Investment Funds, ss.15.3(4)(c) and (f), and 19.1.
(Translation)
July 15, 2019
IN THE MATTER OF THE SECURITIES LEGISLATION OF QUÉBEC AND ONTARIO (the Jurisdictions)
AND
IN THE MATTER OF THE PROCESS FOR EXEMPTIVE RELIEF APPLICATIONS IN MULTIPLE JURISDICTIONS
AND
IN THE MATTER OF GESTION FÉRIQUE (the Filer)
Decision
Background
The securities regulatory authority or regulator in each of the Jurisdictions (the Decision Maker) has received an application from the Filer on the behalf of the Funds (as defined below) for a decision under the securities legislation of the Jurisdictions (the Legislation) for an exemption under section 19.1 of Regulation 81-102 respecting Investment Funds, RSQ, c. V-1.1, r.39 (Regulation 81-102) from the requirements set out in paragraphs 15.3(4)(c) (in respect of both the FundGrade A+ Awards and the FundGrade Ratings) and 15.3(4)(f) (in respect of the FundGrade A+ Awards only) of Regulation 81-102, which provide that a sales communication must not refer to a performance rating or ranking of a mutual fund or asset allocation service unless:
A) the rating or ranking is provided for each period for which standard performance data is required to be given, except the period since the inception of the mutual fund; and
B) the rating or ranking is to the same calendar month end that is
(i) not more than 45 days before the date of the appearance or use of the advertisement in which it is included, and
(ii) not more than three months before the date of first publication of any other sales communication in which it is included;
(together, the Exemption Sought), in order to permit the FundGrade A+ Awards and the FundGrade Ratings to be referenced in sales communications relating to the Funds (as definied below).
Under the process of Exemptive Relief Applications in Multiple Jurisdictions (for a dual application):
(a) the Autorité des marchés financiers is the principal regulator for this application, and
July 18, 2019 (2019), 42 OSCB 6127
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(b) the decision is the decision of the principal regulator and evidences the decision of the securities regulatory authority or regulator in Ontario.
Interpretation
Terms defined in Regulation 14-101 respecting Definitions, RSQ, c. V-1, r.3 and Regulation 81-102 have the same meaning if used in this decision, unless otherwise defined.
Fund or Funds means, individually or collectively, the existing mutual funds for which the Filer or a duly registered affiliate of the Filer acts as investment fund manager and any mutual fund subsequently established for which the Filer, or a duly registered affiliate of the Filer, will act as the investment fund manager.
Representations
This decision is based on the following facts represented by the Filer:
The Filer and the Funds
1. The Filer is registered as an investment fund manager in the provinces of Québec and Ontario. The head office of the Filer is in Québec.
2. The Filer or an affiliate of the Filer, acts or will act as the investment fund manager of the Funds.
3. Each of the Funds is, or will be, a reporting issuer in the Jurisdictions. Each of the Funds is, or will be, subject to Regulation 81-102, including Part 15 thereof which governs sales communications.
4. Neither the Filer nor any of the Funds are in default of securities legislation in any of the Jurisdictions.
Fundata FundGrade A+ Awards and FundGrade Ratings
5. FundGrade A+ Awards and FundGrade Ratings are awarded by Fundata Canada Inc (Fundata), a company that is not a member of the Funds’ organization. Fundata is a “mutual fund rating entity”, as that term is defined in Regulation 81- 102. Fundata is a supplier of mutual fund information and analytical tools to advisors, media and investors worldwide.
6. The FundGrade A+ Awards are awarded to funds in most individual fund classifications for the previous calendar year, and the awards are announced in January of each year. The categories for fund classification used by Fundata are those maintained by the Canadian Investment Funds Standards Committee (CIFSC) (or a successor to CIFSC), a Canadian organization that is independent of Fundata.
7. The FundGrade A+ Awards are based on a rating methodology, the FundGrade Rating system which evaluates funds based on their risk-adjusted performance. The metrics for evaluating fund performance are calculated for the two through ten year time periods for each fund. The FundGrade Ratings are letter grades determined each month and are released on the seventh business day of the following month. Because the overall score of a fund is calculated by equally weighting the periodic rankings, to receive an A grade, a fund must show consistently high scores for all ratios across all time periods.
8. At the end of each calendar year, Fundata calculates a fund grade point average or “GPA” for each fund based on the full year’s performance. The fund GPA is calculated by converting each month’s FundGrade Rating letter grade into a numerical score. Any fund earning a GPA of 3.5 or greater earns a FundGrade A+ Award.
9. When a fund is awarded a FundGrade A+ Award, Fundata will permit such fund to make reference to the award in its sales communications.
Reasons for the Exemption Sought
10. The FundGrade Ratings fall within the definition of “performance data” under Regulation 81-102, as they constitute “a rating, ranking, quotation, discussion or analysis regarding an aspect of the investment performance of an investment fund”. Therefore, references to FundGrade Ratings and FundGrade A+ Awards in sales communications relating to the funds need to meet the applicable requirements in Part 15 of Regulation 81-102.
11. Paragraph 15.3(4)(c) of Regulation 81-102 imposes a “matching” requirement, for performance ratings or rankings that are included in sales communications for mutual funds, it must be provided for, or “match”, each period for which
July 18, 2019 (2019), 42 OSCB 6128
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standard performance data is required to be given for the fund, except for the period since the inception of the fund (i.e., for one, three, five and ten year periods, as applicable).
12. While FundGrade Ratings are based on calculations for a minimum of two years through to a maximum of ten years, and the FundGrade A+ Awards are based on a yearly average of monthly FundGrade Ratings, specific ratings for the three, five and ten year periods within the two to ten year measurement period are not given. This means that a sales communication referencing FundGrade Ratings and the FundGrade A+ Awards cannot comply with the “matching” requirement contained in paragraph 15.3(4)(c) of Regulation 81-102. Relief from paragraph 15.3(4)(c) of Regulation 81- 102 is, therefore, required in order for a fund to use FundGrade Ratings and the FundGrade A+ Awards in sales communications.
13. Paragraph 15.3(4)(f) of Regulation 81-102 provides that in order for a rating or ranking such as a FundGrade A+ Award to be used in an advertisement, it must be published within 45 days of the calendar month end to which the rating or ranking applies. Further, in order for the rating or ranking to be used in any other sales communication, the rating or ranking must be published within three months of the calendar month end to which the rating or ranking applies.
14. Because the evaluation of funds for the FundGrade A+ Awards will be based on data aggregated until the end of December in any given year and the results will be published in January of the following year, by the time a fund receives a FundGrade A+ Award in January, paragraph 15.3(4)(f) of Regulation 81-102 will only allow the FundGrade A+ Award to be used in an advertisement until the middle of February and in other sales communications until the end of March.
15. The Filer wishes to include, in sales communications of the Funds, references to the FundGrade Ratings and the FundGrade A+ Awards, where such Funds have been awarded a FundGrade A+ Award.
16. The Filer submits that the Exemption Sought is not detrimental to the protection of investors.
Decision
Each of the Decision Makers is satisfied that the decision meets the test set out in the Legislation for the Decision Maker to make the decision.
The decision of the Decision Makers under the Legislation is that the Exemption Sought is granted to permit the FundGrade A+ Awards and the FundGrade Ratings to be referenced in sales communications relating to the Funds, provided that:
1. the sales communication that refers to the FundGrade A+ Awards and the FundGrade Ratings complies with Part 15 of Regulation 81-102 other than as set out herein and contains the following disclosure in at least 10 point type:
a) the name of the category for which the Fund has received the award or rating;
b) the number of mutual funds in the category for the applicable period;
c) the name of the ranking entity, i.e., Fundata;
d) the length of period and the ending date, or, the first day of the period and the ending date on which the FundGrade A+ Awards or the FundGrade Rating is based;
e) a statement that FundGrade Ratings are subject to change every month;
f) in the case of a FundGrade A+ Award, a brief overview of the FundGrade A+ Awards;
g) in the case of a FundGrade Rating (other than FundGrade Ratings referenced in connection with a FundGrade A+ Award), a brief overview of the FundGrade Rating;
h) disclosure of the meaning of the FundGrade Ratings from A to E (e.g., rating of A indicates a fund is in the top 10% of its category); and
i) reference to Fundata’s website (www.fundata.com) for greater detail on the FundGrade A+ Awards and the FundGrade Ratings;
2. The FundGrade A+ Award being referenced must not have been awarded more than 365 days before the date of the sales communication; and
July 18, 2019 (2019), 42 OSCB 6129
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3. The FundGrade A+ Awards and the FundGrade Ratings being referenced are calculated based on comparisons of performance of mutual funds within a specified category established by the CIFSC (or a successor to CIFSC).
Hugo Lacroix Superintendent, Securities Markets (interim) Investment Funds
July 18, 2019 (2019), 42 OSCB 6130
Decisions, Orders and Rulings
2.2 Orders
2.2.1 Martin Bernholtz – s. 144
FILE NO.: 2019-24
IN THE MATTER OF MARTIN BERNHOLTZ
Timothy Moseley, Vice-Chair and Chair of the Panel
July 10, 2019
ORDER (Section 144 of the Securities Act, RSO 1990, c. S.5)
WHEREAS the Ontario Securities Commission held a hearing in writing to consider an Application made by Martin Bernholtz (Bernholtz) to vary the terms of the Order issued by the Commission on May 21, 2019, (the May 21 Order) relating to the Settlement Agreement entered into on May 16, 2019, between Staff of the Commission and Bernholtz;
ON READING the Application dated July 8, 2019, and considering the consent of Staff of the Commission to an order in substantially this form;
IT IS ORDERED, pursuant to subsection 144(1) of the Securities Act, that paragraph 3 of the May 21 Order is varied to read “trading in any securities or derivatives by the Respondent cease for a period of three years commencing on the date that is 45 days from the date of this Order, pursuant to paragraph 2 of subsection 127(1) of the Act, with the exception that the transfers of shares from the Respondent, or companies under his control, to his son David Bernholtz, as listed on Schedule “A” to the order dated July 10, 2019, previously requested but not yet completed, may be completed and the Respondent may provide any necessary direction to complete these transfers;”
“Timothy Moseley”
July 18, 2019 (2019), 42 OSCB 6131
Decisions, Orders and Rulings
SCHEDULE “A”
Martin Bernholtz Symbol CUSIP Quantity Security Name WAW 05149Q103 500,000 AUGUSTINE VENTURES INC* AUAG 05334L109 200,000 AUXICO RES CDA INC BDR 090823105 300,000 BIRD RIVER RESOURCES INC BBL.A 10511J109 9,250 BRAMPTON BRICK LTD CL A CHV 135101103 80,000 CANADA HOUSE WELLNESS GROUP 13643T201 350,000 CANADIAN OREBODIES INC* CZQ.H 211906300 200,000 CONTINENTAL PRECIOUS MINERALS DM 23809L108 300,000 DATAMETREX AI LTD FTEC 31810H107 670,000 FINTECH SELECT LTD FGD 32037R100 44,440 FIRST GLOBAL DATA LTD 360929103 50,000 GAR LTD CL A* GSP 37252X104 833,333 GENSOURCE POTASH CORP GLDN 38116T107 75,000 GOLDEN RIDGE RES LTD GOG 38121P108 400,000 GLDN TAG RES LTD GLK 39062T109 1,000,000 GREAT LAKES GRAPHITE INC GTMS 393704101 100,000 GREENBROOK TMS INC HBOR 411620107 5 HARBORSIDE INC SUB VTG ITT 46063M108 450,000 INTERNET OF THINGS INC LND 45781J207 67,636 INSPIRA FINANCIAL INC KNT 499113108 30,000 K92 MINING INC 512171208 97,680 LAKESIDE MINERALS INC* 512171406 48,840 LAKESIDE MINERALS* LM 535744106 5,000 LINGO MEDIA CORP 554234104 5,000 MACCABI VENTURES INC* MN 562678102 200,000 MANGANESE X ENERGY CORP 62945U101 100,000 NRG METALS INC* EAT 670684109 200,000 NUTRITIONAL HIGH INTL PCG.H 71647C103 32,986,885 PETROCORP GROUP INC* 733152102 100,000 POPLAR POINT ENGY INC 74839Q104 1,000,000 QUIA RESOURCES INC* RFR 75971C209 1,000,000 RENFORTH RESOURCES INC 76156V103 25,667 REWARDSTREAM SOLUTIONS INC* REW 76156V202 1,400 REWARDSTREAM SOLUTIONS SPN 83306Y102 200,000 SNIPP INTERACTIVE INC
July 18, 2019 (2019), 42 OSCB 6132
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TJRC 87253T107 400,000 TJR COATINGS INC TILT 88688R104 90,000 TILT HLDGS INC TMD.WT.F 88830X215 37,500 WT-TITAN MEDICAL INC 16NOV20 TMD.WT.H 88830X231 191,000 WT-TITAN MEDICAL INC 31MAR21 88830X298 300,000 WT-TITAN MED INC 05DEC22 88830X314 1,003,962 WT-TITAN MEDICAL INC 10APR23 88830X322 94,110 WT-TITAN MED INC 10AUG2023 TMD 88830X819 16 TITAN MEDICAL INC TML 894647106 35,000 TREASURY METALS INC WMD 948525100 25,000 WEEDMD INC 948525126 12,500 WT-WEEDMD INC 11JAN2020 CCAT01943 200,000 WT TJR COATINGS 33L 02MAR20 CCCK64247 250,000 WT GGX GOLD CORP 27JUN19 CCCK64688 500,000 WT GGX GOLD CORP F/T 10OCT20 CCCN81520 3,937,500 ISKANDER ENERGY CORP PVT/R CCCN97341 500,000 GGX GOLD CORP. F/T 11AUG19 CCCT07182 400,000 WT GOLDEN TAG 33L 27JUL21 US TMD.WT.F 88830X215 75 WT-TITAN MEDICAL INC 16NOV20 88830X330 94,140 WT-TITAN MED INC 21MAR2024 TMD 88830X819 94,140 TITAN MEDICAL INC
Martin Bernholtz ITF Rachel Symbol CUSIP Quantity Security Name APLI 03783R107 35,608 APPILI THERAPEUTICS INC CL A AUSA.WT 05259R115 294 WT-AUSTRALIS CAP INC 19SEP2019 093706109 1,920 BLOOM BURTON HEALTHCARE RSTUT CLSH 12565J100 178,000 CLS HOLDINGS USA INC CZQ.H 211906300 100,000 CONTINENTAL PRECIOUS MINERALS DCA.P 23307R102 100,000 DC ACQUISITION CORP FGD 32037R100 333 FIRST GLOBAL DATA LTD APP 37956B101 100,000 GLOBAL CANNABIS APPL 38109W166 49,950 WT-GOLDEN LEAF HLDGS RS 16NV20 38109WAB5 30,000 GOLDEN LEAF REST 12% 04OCT21 SPOT 38155A100 149,956 GOLDSPOT DISCOVERIES CORP HBOR 411620107 5 HARBORSIDE INC SUB VTG ITT 46063M108 105,000 INTERNET OF THINGS INC
July 18, 2019 (2019), 42 OSCB 6133
Decisions, Orders and Rulings
JLR 47759R104 200,000 JIULIAN RES INC LRN 48190B104 100,000 KGIC INC* JANE 60841W106 200,000 MOJAVE JANE BRANDS INC NUR 67059X106 500,000 NURAN WIRELESS INC 748747110 17,500 WT-QUINSAM CAP CORP 11DEC19 SPN 83306Y102 150,000 SNIPP INTERACTIVE INC TMD.WT.F 88830X215 112,500 WT-TITAN MEDICAL INC 16NOV20 TMD.WT.I 88830X249 50,000 WT-TITAN MEDICAL INC 20SEP21 88830X264 125,000 WT-TITAN MEDICAL INC 16MAR21 TMD 88830X819 66 TITAN MEDICAL INC TRM 89785W301 500,000 TRUECLAIM EXPL INC NO PAR WWT 941188104 40,000 WATER WAYS TECHNOLOGIES INC 941188112 20,000 WT-WATER WAYS TECHLGS 06MAR21 CCCK64255 500,000 WT JIULIAN RESOURC 33L 15JUN21 CCCN91116 28,312 GREY WOLF ANIMAL HEALTH PVT CCCN91117 10,000 TRIUMVIRA IMMUNOLOGICS PVT CCCN95000 541,102 AVANA CANADA INC PVT TBA CCCN95428 500,000 ALKALINE SPRING INC CL A PVT CCCT08153 500,000 WT TRUECLAIM EXPL 33L 3MAY23 CCCT08283 200,000 WT HIGH HAMPTON 33L 13MAR20 CCCT08385 500,000 WT NURAN WIRELESS 33L 01JUN20 CCCT08562 100,000 WT GLOBAL CANNABIS 33L 18JUL20 CCCT08794 368,500 WT CLS HLDNGS USA 33L 07JAN22 US 12565JAA8 80,337 CLS HOLDINGS 8% CNV DB 12DEC21
Martin Bernholtz ITF Charlotte Symbol CUSIP Quantity Security Name DCA.P 23307R102 100,000 DC ACQUISITION CORP ITT 46063M108 400,000 INTERNET OF THINGS INC POND 73238C104 5,000 POND TECHNOLOGIES HLDG INC 88830X264 125,000 WT-TITAN MEDICAL INC 16MAR21 TMD 88830X819 8,333 TITAN MEDICAL INC CCCN95000 75,000 AVANA CANADA INC PVT TBA CCCT08174 200,000 WT INTERNET OF THIN33L 26JAN20 CCCT08223 5,000 WT POND TECH HLDGS 33L 30JAN20 US 12565JAA8 40,168 CLS HOLDINGS 8% CNV DB 12DEC21
July 18, 2019 (2019), 42 OSCB 6134
Decisions, Orders and Rulings
935476 ONTARIO LIMITED Symbol CUSIP Quantity Security Name BBL.A 10511J109 9,400 BRAMPTON BRICK LTD CL A DVR 251632105 200,000 DEVERON UAS CORP IMEX 452478100 53,407 IMEX SYSTEM INC LRN 48190B104 150,000 KGIC INC* PAX 736401100 3,262,519 PORTEX MINERALS INC* 748747110 17,500 WT-QUINSAM CAP CORP 11DEC19 CCCT07919 60,000 WT HIGH HAMPTON HLGS33L29AUG19
Coming in from RBC Online Brokerage
34,400 Brampton Brick Limited Cl A Sub 6,150 Covalon Technologies LTD 30,833 Continental Precious Minerals 250,000 EQ Inc. 687,002 Internet of Things Inc. 47,000 Lingo Media 120,000 Petrocorp Group Inc. 10,900 Titan Medical Inc. 100,000 Titan Medical Inc. Warrants (Mar 21, 2021)
July 18, 2019 (2019), 42 OSCB 6135
Decisions, Orders and Rulings
2.2.2 TransCanada PipeLines Limited market. No TCPL Preferred Shares are currently outstanding. Headnote 4. TCE is a corporation governed by the CBCA. The OSC Rule 13-502 Fees – s. 8.1 – application for exemptive registered and head office of TCE is located at relief by a wholly-owned subsidiary of a reporting issuer 450 1 Street S.W., Calgary, Alberta, Canada T2P from the requirement to pay participation fees – subsidiary 5H1. TCE’s common shares are listed on the previously granted an exemption from many of the Toronto Stock Exchange (“TSX”) and the New requirements of National Instrument 51-102 – Continuous York Stock Exchange under the symbol “TRP”. Disclosure Obligations, including the requirement to file TCE also currently has outstanding eleven series annual and interim financial statements and the related of cumulative redeemable first preferred shares, management’s discussion and analysis, as well as an which are also listed on the TSX. annual information form – capitalization of applicant included in capitalization of parent reporting issuer – relief 5. Each of the Applicant and TCE is a reporting granted. issuer, or the equivalent, in each province and territory of Canada. The Applicant is not in default Applicable Legislative Provisions of securities legislation in any jurisdiction and to the best of the Applicant’s knowledge, TCE is not OSC Rule 13-502, s. 8.1. in default of securities legislation in any jurisdiction. Each of TCE and the Applicant has a IN THE MATTER OF fiscal year-end of December 31. ONTARIO SECURITIES COMMISSION RULE 13-502 FEES 6. TCE is a Class 1 Reporting Issuer as defined by the Fees Rule and pays participation fees under AND subsection 2.2(1) of the Fees Rule. Pursuant to the Fees Rule, for the year ended December 31, IN THE MATTER OF 2018, TCE paid participation fees of $100,500 to TRANSCANADA PIPELINES LIMITED the Commission.
ORDER 7. The Applicant is a Class 2 Reporting Issuer as defined by the Fees Rule. Except for the year WHEREAS the Ontario Securities Commission ended December 31, 2018, for each year (the “Commission”) has received an application from following the amendments to the Fees Rules TransCanada PipeLines Limited (the “Applicant”) for an effective January 10, 2010, the Applicant has order, pursuant to section 8.1 of OSC Rule 13-502 Fees relied on the participation fees paid by TCE, (the “Fees Rule”), that the requirement to pay a pursuant to the exemption granted under section participation fee under section 2.2 of the Fees Rule shall 2.4, or equivalent, of the Fees Rule. not apply to the Applicant with respect to its fiscal year ended December 31, 2018 (the Exemption Sought). 8. Pursuant to the Fees Rule, for the fiscal year ended December 31, 2018, the Applicant was not AND WHEREAS the Applicant has represented to able to rely on the exemption set forth in section the Commission that: 2.4 of the Fees Rule, and as such, on February 14, 2019 the Applicant paid participation fees of 1. The Applicant is a corporation incorporated under $100,500 to the Commission for the year ended the Canada Business Corporations Act (the December 31, 2018. “CBCA”). The registered and head office of the Applicant is located at 450 1 Street S.W., Calgary, 9. Pursuant to a decision dated January 3, 2019 (the Alberta, Canada T2P 5H1. “Continuous Disclosure Exemption Decision”) subject to certain conditions, the Applicant was 2. The Applicant is a North American energy granted, among other things, an exemption from: infrastructure company whose business is focused on natural gas pipelines, liquid pipelines and a. many of the filing requirements of energy. National Instrument 51-102 – Continuous Disclosure Obligations (“NI 51-102”), 3. The Applicant’s authorized share capital consists including the requirement to file interim of an unlimited number of (i) common shares (the financial statements and audited annual “TCPL Common Shares”), (ii) First Preferred financial statements; and Shares, and (iii) Second Preferred Shares (collectively, the “TCPL Preferred Shares”). As of b. the requirement to file interim and annual the date of the application, all of the TCPL certificates pursuant National Instrument Common Shares are owned directly by TC Energy 52-109 – Certification of Disclosure in Corporation (“TCE”) and are not listed on a public Issuers’ Annual and Interim Filings.
July 18, 2019 (2019), 42 OSCB 6136
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10. The Continuous Disclosure Exemption Decision is IT IS ORDERED pursuant to Section 8.1 of Rule subject to certain conditions, including that TCE 13-502 that the Exemption Sought is granted. hold no assets or liabilities of more than a nominal value, other than its holding of the outstanding DATED this 28th day of June, 2019 securities of the Applicant and amounts outstanding under inter-affiliate lending “Marie-France Bourret” agreements with the Applicant. Manager, Corporate Finance Ontario Securities Commission 11. The Applicant relied on the Continuous Disclosure Exemption Decision to exempt it from filing its 2018 year-end continuous disclosure filings.
12. Except as set out in the Continuous Disclosure Exemption Decision, the Applicant does not anticipate filing continuous disclosure documents concerning only the Applicant for the upcoming year.
13. The Fees Rule includes an exemption for "subsidiary entities" in subsection 2.4(1) of the Fees Rule, provided that certain requirements are met. For the year ended December 31, 2018, the Applicant met all of the substantive requirements to rely on the exemption in subsection 2.4(1) of the Fees Rule, but for the requirement under subsection 2.4(1)(e) that either: (i) in the year ended December 31, 2018, the net assets and total revenues of the Applicant represent more than 90% of the consolidated net assets and total revenues of TCE; or (ii) in the year ended December 31, 2018, the Applicant was entitled to rely on an exemption from the requirements of subsections 4.1(1), 4.3(1), 5.1(1) or section 5.2 and section 6.1 of NI 51-102.
14. The Applicant is unable to rely on the exemption in subsection 2.4(1)(e)(i) of the Fees Rule because for the year ended December 31, 2018 the net assets and total revenues of the Applicant represented 88% of TCE’s consolidated net assets and total revenues.
15. The total discrepancy between the Applicant and TCE’s financial statements, with respect to net assets and total revenues, is primarily a result of the way intercompany transactions between the Applicant and TCE are presented in the financial statements.
16. The Applicant is also unable to rely on the exemption in subsection 2.4(1)(e)(ii) of the Fees Rule, despite having been granted the Continuous Disclosure Exemption Decision, as the Continuous Disclosure Exemption Decision is dated three days after the fiscal year ended December 31, 2018.
AND UPON considering the application and the recommendation of staff of the Commission;
AND UPON being satisfied that to do so would not be prejudicial to the public interest;
July 18, 2019 (2019), 42 OSCB 6137
Decisions, Orders and Rulings
2.2.3 Majd Kitmitto et al. 2.2.4 Soundvest Split Trust
FILE NO.: 2018-70 Headnote
IN THE MATTER OF National Policy 11-206 Process for Cease to be a MAJD KITMITTO, Reporting Issuer Applications – Application for an order STEVEN VANNATTA, than the issuer is not a reporting issuer under applicable CHRISTOPHER CANDUSSO, securities laws – issuer in default of securities legislation – CLAUDIO CANDUSSO, relief granted. DONALD ALEXANDER (SANDY) GOSS, JOHN FIELDING AND Applicable Legislative Provisions FRANK FAKHRY Securities Act (Ontario), s. 1(10)(a)(ii). M. Cecilia Williams, Commissioner and Chair of the Panel July 15, 2019 July 15, 2019 IN THE MATTER OF ORDER THE SECURITIES LEGISLATION OF ONTARIO WHEREAS on July 15, 2019 the Ontario (the Jurisdiction) Securities Commission held a hearing at the offices of the Commission, located at 20 Queen Street West, 17th Floor, AND Toronto, Ontario; IN THE MATTER OF ON HEARING the submissions of the THE PROCESS FOR CEASE TO BE representatives for Staff of the Commission (Staff) and the A REPORTING ISSUER APPLICATIONS representatives for Majd Kitmitto, Steven Vannatta, Christopher Candusso, Claudio Candusso, Donald AND Alexander (Sandy) Goss, John Fielding and Frank Fakhry (the Respondents); IN THE MATTER OF SOUNDVEST SPLIT TRUST IT IS ORDERED THAT: (the Fund)
1. each Respondent, except Mr. Vannatta, shall file ORDER and serve a witness list, serve a summary of each witness’s anticipated evidence on Staff, and Background indicate any intention to call an expert witness no later than August 19, 2019; The principal regulator in the Jurisdiction has received an application from Bristol Gate Capital Partners Inc. (the 2. Mr. Vannatta shall file and serve a witness list, Filer), which is the manager of the Fund, for an order under serve a summary of each witness’s anticipated the securities legislation of the Jurisdiction of the principal evidence on Staff, and indicate any intention to regulator (the Legislation) that the Fund has ceased to be call an expert witness no later than September 16, a reporting issuer in all jurisdictions of Canada in which it is 2019; a reporting issuer (the Order Sought).
3. a confidential conference in this matter will be Under the Process for Cease to be a Reporting Issuer heard on September 20, 2019 at 10:00 a.m., or Applications (for a passport application): such other dates and times as provided by the Office of the Secretary and agreed to by the (a) the Ontario Securities Commission is the parties; and principal regulator for this application, and 4. an attendance in this matter will be heard on September 25, 2019 at 10:00 a.m., or such other (b) the Filer has provided notice that dates and times as provided by the Office of the subsection 4C.5(1) of Multilateral Secretary and agreed to by the parties. Instrument 11-102 Passport System (MI 11-102) is intended to be relied upon in “M. Cecilia Williams” all the Provinces of Canada (other than Ontario).
July 18, 2019 (2019), 42 OSCB 6138
Decisions, Orders and Rulings
Interpretation 2.2.5 Issam El-Bouji
Terms defined in National Instrument 14-101 Definitions FILE NO.: 2018-28 and MI 11-102 have the same meaning if used in this order, unless otherwise defined. IN THE MATTER OF ISSAM EL-BOUJI Representations D. Grant Vingoe, Vice-Chair and Chair of the Panel This order is based on the following facts represented by the Filer: July 16, 2019
1. the Fund is not an OTC reporting issuer under ORDER Multilateral Instrument 51-105 Issuers Quoted in the U.S. Over-the-Counter Markets; WHEREAS on July 16, 2019, the Ontario Securities Commission held a hearing at the offices of the 2. the outstanding securities of the Fund, including Commission, located at 20 Queen Street West, 17th Floor, debt securities, are beneficially owned, directly or Toronto, Ontario, to consider a motion brought by the indirectly, by fewer than 15 securityholders in Respondent, Issam El-Bouji, seeking, among other things, each of the jurisdictions of Canada and fewer than an order confirming that the Commission has no jurisdiction 51 securityholders in total worldwide; to hear some or all of the allegations in this proceeding (the Jurisdiction Motion); 3. no securities of the Fund, including debt securities, are traded in Canada or another ON HEARING the submissions of the country on a marketplace as defined in National representatives for the Respondent and Staff, and Instrument 21-101 Marketplace Operation or any considering the consent of the parties to the schedule other facility for bringing together buyers and provided for in this order; sellers of securities where trading data is publicly reported; IT IS ORDERED THAT:
4. the Filer is applying for an order that the Fund has 1. the hearing date of July 17, 2019 is vacated; ceased to be a reporting issuer in all of the jurisdictions of Canada in which it is a reporting 2. the hearing of the Jurisdiction Motion shall issuer; and continue on August 29, 2019 at 10:00 a.m.;
5. the Fund is not in default of securities legislation in 3. the Respondent shall serve and file any further any jurisdiction. written submissions on the Jurisdiction Motion by no later than July 29, 2019; and Order 4. Staff shall serve and file any further written The principal regulator is satisfied that the order meets the submissions on the Jurisdiction Motion by no later test set out in the Legislation for the Principal Regulator to than August 12, 2019. make the order. “D. Grant Vingoe” The decision of the Principal Regulator under the Legislation is that the Order Sought is granted.
“Neeti Varma” Manager Investment Funds and Structured Products Branch Ontario Securities Commission
July 18, 2019 (2019), 42 OSCB 6139
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July 18, 2019 (2019), 42 OSCB 6140
Chapter 3
Reasons: Decisions, Orders and Rulings
3.1 OSC Decisions
3.1.1 Andrew Paul Rudensky – s. 21.7
Citation: Rudensky (Re), 2019 ONSEC 24 Date: 2019-07-09 File No. 2018-68
IN THE MATTER OF ANDREW PAUL RUDENSKY
REASONS AND DECISION (Section 21.7 of the Securities Act, RSO 1990, c S.5)
Hearing: March 26, 2019 Decision: July 9, 2019 Panel: M. Cecilia Williams Commissioner and Chair of the Panel Appearances: Kevin Richard For Andrew Paul Rudensky Martin Mendelzon Sally Kwon For the Investment Industry Regulatory Organization Robert DelFrate of Canada Christina Galbraith For Staff of the Ontario Securities Commission
TABLE OF CONTENTS
I. OVERVIEW II. BACKGROUND FACTS III. ISSUES IV. ANALYSIS A. What is the applicable standard of review? B. Does the presence of industry representatives on IIROC hearing panels create a conflict of interest this Panel needs to consider? C. What restrictions, if any, result from the Commission relying on the written record of the original proceeding, rather than hearing viva voce evidence? D. Have any of the factors from Canada Malting been satisfied with respect to the Merits Decision? 1. Did the IIROC Panel err in law in its consideration of the application of Rule 29.1 in this matter, given that the Rule had been repealed before the IIROC proceeding commenced? 2. Have any of the factors from Canada Malting been satisfied with respect to the other alleged errors in the Merits Decision? 3. Did the IIROC Panel err in law in its findings of fact? 4. Was the cross guarantee relevant? 5. Were the client’s views about his need for protection relevant? 6. Was there a false and misleading statement? E. Have any of the factors from Canada Malting been satisfied with respect to the Sanctions and Costs Decision? 1. Did the IIROC Panel err in law by ordering disgorgement? 2. Did the IIROC Panel err in law by ordering both a significant fine and a suspension? 3. Did the IIROC Panel err in law by finding there was harm to market integrity?
V. CONCLUSION
July 18, 2019 (2019), 42 OSCB 6141
Reasons: Decisions, Orders and Rulings
REASONS AND DECISION
I. OVERVIEW
[1] Andrew Paul Rudensky was a Registered Representative with Richardson GMP (RGMP) and was regulated by the Investment Industry Regulatory Organization of Canada (IIROC).
[2] In a decision issued on July 23, 2018 (the Merits Decision),1 an IIROC hearing panel (the IIROC Panel) concluded that Mr. Rudensky had:
a. engaged in personal financial dealings with a client of RGMP, contrary to IIROC Dealer Member Rule 43 (Rule 43); and
b. made a false and misleading representation to RGMP contrary to IIROC Dealer Member Rule 29.1 (Rule 29.1).
[3] In a subsequent decision issued on October 17, 2018 (the Sanctions and Costs Decision),2 the IIROC Panel ordered:
a. a suspension of Mr. Rudensky's IIROC registration for 2 years, commencing on July 23, 2018;
b. a $5,000 fine for contravening Rule 43;
c. a $25,000 fine for contravening Rule 29.1;
d. a $25,923 fine representing disgorgement of the net profits Mr. Rudensky gained from his personal financial dealings with the client;
e. Mr. Rudensky to rewrite and pass the Conduct and Practices Handbook Course prior to any registration with IIROC; and
f. costs in the amount of $24,500.
[4] Mr. Rudensky applies to the Commission for a hearing and review of the Merits Decision and the Sanctions and Costs Decision. He asks that both decisions be set aside.
[5] With regards to the Merits Decision, Mr. Rudensky asserts that the IIROC Panel erred in several ways, including by:
a. finding that Mr. Rudensky made admissions that he didn't make;
b. finding that an allegation of a breach of Rule 29.1 could proceed in an enforcement hearing commenced after September 1, 2016, when Rule 29.1 had been repealed as of September 1, 2016;
c. failing to consider material evidence;
d. failing to interpret Rule 43 in a flexible manner that reflects the intention of Rule 43, including by finding a breach of Rule 43 despite finding that the client at issue did not need the protection of Rule 43; and
e. finding that a manager’s question about a source of the funds required a response that included every relevant fact or else it was false and misleading, in breach of Rule 29.1.
[6] As regards the Sanctions and Costs Decision, Mr. Rudensky asserts that the IIROC Panel erred in several ways, including:
a. ordering a disproportionate fine and disgorgement from a transaction that was a technical contravention of the IIROC Dealer Member Rules (the IIROC Rules);
b. ordering that a significant fine be imposed because the suspension being imposed would not have enough financial impact on Mr. Rudensky; and
c. finding that Mr. Rudensky's conduct had harmed market integrity and the reputation of the marketplace, without any evidence of such harm.
1 Rudensky (Re), 2018 IIROC 28 2 Rudensky (Re), 2018 IIROC 38
July 18, 2019 (2019), 42 OSCB 6142
Reasons: Decisions, Orders and Rulings
[7] Mr. Rudensky raised an issue about the potential conflict created by industry members serving on IIROC panels, which I address as a preliminary matter. For the reasons set out below, I conclude that, as a general principle, the presence of industry members on IIROC panels does not create a conflict of interest.
[8] For the reasons that follow, I conclude that in conducting the analysis that led to the finding that Rule 29.1 was available in an enforcement hearing commenced after September 1, 2016, the IIROC Panel made an error in law that leads me to set aside the portion of the Merits Decision that relates to the IIROC Panel's ruling on that point. Having said that, once I complete my own analysis to substitute the Commission’s own decision, I reach the same result as the IIROC Panel; that is, Rule 29.1 remained in effect for conduct that occurred prior to September 1, 2016 but which was the subject of an enforcement hearing commenced on or after that date.
[9] The error of law I identified relates to the IIROC Panel’s interpretation of whether Rule 29.1 remained in effect for the proceeding in the first instance against Mr. Rudensky. I find that the evidence related to that issue and the IIROC Panel’s analysis supporting it are entirely separable from the evidence and analysis underlying the IIROC Panel’s findings that Mr. Rudensky breached Rule 43 and Rule 29.1.
[10] Having reached the conclusion that the proceeding against Mr. Rudensky was proper despite the repeal of Rule 29.1, I must go on to consider as a separate issue whether Mr. Rudensky established any grounds under the Canada Malting Co (Re)3 test to interfere in the substance of the Merits Decision. I found no such grounds.
[11] I also considered whether the Canada Malting test was satisfied with respect to the alleged errors of law in the Sanctions and Costs Decision. I found no grounds for interfering with the IIROC Panel's decision.
II. BACKGROUND FACTS
[12] Mr. Rudensky was employed by RGMP in their Toronto office from November 2009 until he left on September 8, 2015.
[13] Mr. Rudensky held personal accounts at RGMP, including a margin account and a margin short account in the name of his holding company, Dark Horse Financial Corp. (Dark Horse).
[14] RGMP permitted its traders, advisors and other employees to buy shares of a bought deal, after it became clear that the bought deal would not be fully subscribed (Pro Eligible), at a discount to the offering price because of the deduction of commissions associated with the bought deal. RGMP employees would often short the security for the same number of shares being acquired in the offering and be able to make a profit equal to the spread.
[15] Mr. Rudensky was aware that RGMP had previously unwound trades by other RGMP employees who had used RGMP funds rather than their own money to participate in Pro Eligible bought deals by selling short shares and acquiring an equivalent number of new issue shares. As a result, Mr. Rudensky concluded that if he could ensure that any such trades were paid for using his own funds, there would be no issues with these types of transactions.
[16] On several occasions, Mr. Rudensky participated in Pro Eligible bought deals in this manner. Mr. Rudensky borrowed funds to carry out his trades.
[17] Mr. Rudensky first met the client at issue in the IIROC proceeding (who is referred to by the initials ‘RS’ by the IIROC Panel and throughout this decision) in 2013, in a social setting, and learned that RS ran a lending business, through which he provided customized loans. Mr. Rudensky also learned that RS structured and made early stage investments.
[18] In April 2015, RGMP was involved in a bought deal offering of Brookfield Asset Management Inc. Class A Limited (BAM.A) shares. On April 20, 2015, RGMP’s bought deal offering of BAM.A shares became Pro Eligible.
[19] On April 21, 2015, Mr. Rudensky contacted RS to obtain a loan from his lending business to participate in the BAM.A Pro Eligible offering. This was the second such loan Mr. Rudensky sought from RS’s lending company. Mr. Rudensky requested $3 million and he and RS agreed that Mr. Rudensky would pay 70 percent of the gross profit from Mr. Rudensky’s short sale of the BAM.A shares and purchase of new issue BAM.A shares (the BAM.A Transaction).
[20] Mr. Rudensky and RS, in his affidavit, gave evidence that with respect to both loans, they discussed a mortgage being placed on Mr. Rudensky’s condominium if the loan was outstanding for longer than the anticipated 3 or 4 days and discussed whether there was any equity in the condominium.
3 (1986) 9 OSCB 3565 at para 24 (Canada Malting)
July 18, 2019 (2019), 42 OSCB 6143
Reasons: Decisions, Orders and Rulings
[21] RS, for his own personal reasons, provided the $3 million personally, rather than from his lending company, and the loan was reflected in a promissory note between RS and Dark Horse executed by Mr. Rudensky on April 21, 2015 (the Brookfield loan).
[22] Also on April 21, 2015, Mr. Rudensky executed the BAM.A Transaction, selling short 135,000 BAM.A shares and covering his short position by purchasing 135,000 new issue BAM.A shares.
[23] On April 23, 2015, Mr. Rudensky received a wire transfer of $3 million from RS into his account at BMO, which he transferred to his Dark Horse margin account on April 24, 2015, and which was used to cover the margin call on his BAM.A short sale. On April 27, 2015, Mr. Rudensky received the allocation of new issue BAM.A shares, which he used to cover the BAM.A short sale.
[24] On April 27, 2015, Mr. Rudensky repaid RS, wiring $3 million from his Dark Horse margin account to his BMO account, which was then wired to RS, and wrote a cheque to RS in the amount of USD $44,076, which was 70 percent of Mr. Rudensky’s gross profit from the BAM.A Transaction.
[25] On April 24, 2015, RGMP’s Chief Compliance Officer asked Mr. King, the RGMP Branch Manager, to determine the source of the $3 million that Mr. Rudensky used to cover the margin call on his BAM.A short sale. Mr. King verbally asked Mr. Rudensky where the funds came from and Mr. Rudensky advised him that it was a loan, collateralized against his condo. At Mr. King’s request, Mr. Rudensky confirmed this information in an email.
[26] IIROC Staff commenced its investigation in May 2016 and issued its Statement of Allegations on November 2, 2017. The IIROC merits hearing occurred over three days in May 2018.
III. ISSUES
[27] The following issues are raised in this Application:
a. What is the applicable standard of review?
b. As a preliminary matter, does the presence of industry members on IIROC hearing panels create a conflict of interest this Panel needs to consider?
c. What restrictions, if any, result from the Commission relying on the written record of the original proceeding, rather than hearing viva voce testimony?
d. Has Mr. Rudensky established any of the grounds on which the Commission ought to intervene in the Merits Decision and, if there are such grounds, what is the appropriate disposition in the circumstances?
e. Has Mr. Rudensky established any of the grounds on which the Commission ought to intervene in the Sanctions and Costs Decision and, if there are such grounds, what is the appropriate disposition in the circumstances?
IV. ANALYSIS
A. What is the applicable standard of review?
[28] Subsections 8(3) and 21.7(2) of the Securities Act, RSO 1990, c S.5 (the Act), govern an application to the Commission, by a person or company directly affected by a decision of a self-regulatory organization (SRO), for a review of that decision. Together, those subsections authorize the Commission to confirm the decision of the SRO, or to “make such other decision as the Commission considers proper.”
[29] The Commission's review of an SRO decision is a hearing de novo, rather than an appeal. In other words, the Commission exercises original jurisdiction rather than a more limited appellate jurisdiction.4
[30] Despite the broad scope of a hearing and review, there is “a high threshold to meet in demonstrating that an SRO decision should be overturned.”5 In practice, the Commission takes a “restrained approach”.6
4 Boulieris (Re), 2004 ONSEC 1, (2004) 27 OSCB 1597 at paras 29-30 (Boulieris), aff’d [2005] OJ No 1984 (Div Ct); Vitug (Re), 2010 ONSEC 7, (2010) 33 OSCB 3965 at para 43 (Vitug), aff’d 2010 ONSC 4464 (Div Ct) 5 Vitug, at para 44 6 Boulieris, at para 31; Vitug, at paras 43-44; Northern Securities Inc. (Re), 2013 ONSEC 48, (2013) 37 OSCB 161 at paras 56-57 (Northern Securities), aff’d [2015] OJ No 2924 (Div Ct)
July 18, 2019 (2019), 42 OSCB 6144
Reasons: Decisions, Orders and Rulings
[31] The Commission takes a restrained approach because it acknowledges the specialized expertise of SROs, including IIROC hearing panels. The Commission accords deference to an SRO decision within the SRO's specialized expertise, such as interpreting and applying its own by-laws and making factual determinations central to its specialized competence.
[32] The parties agreed that the Commission should only interfere with a decision of an SRO where one or more of the following grounds from Canada Malting have been satisfied:7
a. the SRO has proceeded on an incorrect principle;
b. the SRO has erred in law;
c. the SRO has overlooked material evidence;
d. new and compelling evidence is presented to the Commission that was not presented to the SRO; or
e. the SRO's perception of the public interest conflicts with that of the Commission.
[33] In this Application, Mr. Rudensky only makes assertions under the first three legs of the above test.
B. Does the presence of industry representatives on IIROC hearing panels create a conflict of interest this Panel needs to consider?
(a) Mr. Rudensky’s Position
[34] Mr. Rudensky submits that a conflict is created by the presence of industry members on IIROC hearing panels, given that one of the principles applicable to IIROC hearings is the protection of IIROC members.
(b) IIROC Staff’s Position
[35] IIROC Staff adopted the same submissions that they provided in Pariak-Lukic (Re)8 on this point, which were that:
a. IIROC hearing panels also consider investor protection as a factor,
b. the fact that two-thirds of IIROC hearing panels are industry members has in the past led the Commission and other commissions to accord deference to these panels because of their industry knowledge,
c. IIROC Staff is not aware of any decision where a commission has said that the inclusion of industry members on a hearing panel has led to a lesser penalty due to some type of bias or by reason of wanting to protect industry members, and lastly,
d. the IIROC model has been approved by the Commission and other commissions across Canada.
(c) OSC Staff’s Position
[36] Staff of the Commission (OSC Staff) took no position on this point.
(d) Analysis
[37] This is the sort of issue that should be raised with an IIROC panel in the first instance, rather than on a hearing and review. Mr. Rudensky did not indicate that this issue had been raised with the IIROC Panel.
[38] However, since Mr. Rudensky raised this issue with me I agree with IIROC Staff’s position and do not agree that, as a general principle, the presence of industry members on IIROC hearing panels creates a conflict of interest.
C. What restrictions, if any, result from the Commission relying on the written record of the original proceeding, rather than hearing viva voce evidence?
7 Canada Malting, at para 24 8 2015 ONSEC 18, (2015) 38 OSCB 5755 (Pariak-Lukic)
July 18, 2019 (2019), 42 OSCB 6145
Reasons: Decisions, Orders and Rulings
(a) Mr. Rudensky’s Position
[39] Mr. Rudensky is not requesting that the Panel rehear this matter with all the evidence to be put in through live witnesses. He recognizes that a rehearing can be based on a review of the written record, which includes transcripts of the testimony of the witnesses.
[40] Mr. Rudensky’s position is that while a hearing and review can be done based on the written record, if determinations of credibility need to be made they “can and should be difficult to make when only reading a paper record.”
[41] Mr. Rudensky argues that, on a hearing and review, a rehearing of the merits is as if the original decision does not exist and findings of the panel whose decision has been vacated cannot be relied on by the Commission. Therefore, it will be for the Commission to attempt to weigh any conflicting evidence on material issues, if it is necessary, and determine whether the Commission can fairly adjudicate those issues based solely on the paper record.
(b) IIROC Staff’s Position
[42] IIROC Staff submits that if the Commission decides to intervene, a rehearing on the written record is appropriate unless the Commission determines otherwise. Further, IIROC Staff concurs with OSC Staff’s submissions on this point, as set out below.
(c) OSC Staff’s Position
[43] OSC Staff submits that if the Commission finds there is a basis to intervene in either the Merits Decision or the Sanctions and Costs Decision, then a rehearing on the written record would be appropriate unless the Commission determines otherwise.
[44] In deciding whether the Commission needs to hear oral evidence, OSC Staff submits that the Commission needs to consider Newbould J.’s comments about credibility assessments in Springer v Aird & Berlis LLP, which were adopted by the Commission in Suman (Re):9
The judge is not given a divine insight into the hearts and minds of the witnesses appearing before him. Justice does not descend automatically upon the best actor in the witness box. The most satisfactory judicial test of truth lies in its harmony or lack of harmony with the preponderance of probabilities disclosed by the facts and circumstances in the conditions of the particular case.
[45] OSC Staff submits that in assessing a witness’s evidence in this case, it is sufficient for the Commission to consider whether the evidence is in harmony with the probabilities disclosed by the other evidence in the case, which can be adequately done by reviewing the transcript.
(d) Analysis
[46] I consider it appropriate in these circumstances to proceed with a rehearing based on the record of the original proceeding, as well as the written and oral submissions made before me.
[47] As set out below, my only finding of an error warranting interference in the Merits Decision was with respect to the IIROC Panel’s interpretation of whether Rule 29.1 remained in effect, which did not require evidence beyond the materials before me. The balance of my reasons and decision focuses on an assessment of whether the test in Canada Malting was met with respect to the alleged substantive errors in the Merits Decision and the Sanctions and Costs Decision, which similarly required no additional information beyond what was before me.
[48] Given my findings in this matter there is no need to decide whether credibility can be assessed in a hearing and review based on the written record alone.
D. Have any of the factors from Canada Malting been satisfied with respect to the Merits Decision?
1. Did the IIROC Panel err in law in its consideration of the application of Rule 29.1 in this matter, given that the Rule had been repealed before the IIROC proceeding commenced?
9 Suman (Re), 2012 ONSEC 7, (2012) 35 OSCB 809 at para 315, citing Springer v Aird & Berlis LLP (2009), 96 OR (3rd) at para 14
July 18, 2019 (2019), 42 OSCB 6146
Reasons: Decisions, Orders and Rulings
(a) Mr. Rudensky’s Position
[49] Mr. Rudensky submits that Rule 29.1 was repealed as of September 1, 2016, as part of the implementation of IIROC’s consolidated enforcement, examination and approval rules (the Consolidated Rules). He also submits that Schedule C.1 to Transition Rule No. 1 (the Transition Rule)10 did not effectively carry Rule 29.1 forward for enforcement proceedings commenced after the implementation, involving behaviour occurring before September 1, 2016.
[50] The Transition Rule reads as follows:
1.3 Enforcement Proceedings
(1) Any Enforcement Hearing commenced by IIROC in accordance with IIROC Rules prior to September 1, 2016 shall proceed in accordance with the Rules and Practice and Procedure in effect and applicable to such Enforcement Hearing at the time it was commenced.
(2) Any Enforcement Hearing commenced on or after September 1, 2016 shall be undertaken and proceed in accordance with the Consolidated Procedural Rules, irrespective of when the conduct which is the subject of the Enforcement Hearing occurred. [underlining in original]
[51] Mr. Rudensky submits that the IIROC Panel erred in law and proceeded on an incorrect principle when it apparently found, without explanation, that the Interpretation Act (Canada)11 preserved Rule 29.1 for the proceeding. The Merits Decision does not expressly refer to the Interpretation Act. However, the IIROC Panel cites an excerpt from Sullivan and Driedger on the Construction of Statutes (Sullivan and Driedger)12 that paraphrases the text of the federal statute. This context was lacking from the Merits Decision, leading to Mr. Rudensky’s argument that the IIROC Panel was incorrectly applying the legislation. Mr. Rudensky submits that the IIROC Panel adopted IIROC Staff’s written submissions about the relevance of the excerpt from Sullivan and Driedger without adequately reviewing the authority and that the IIROC Panel erred in law by not providing reasons of its own.
[52] The common law of statutory interpretation with respect to repealed laws, as set out in the Sullivan and Driedger excerpt before the IIROC Panel, is that once repealed the law cannot be relied on retroactively and must be treated as if it never existed.
[53] Mr. Rudensky argues that the Transition Rule expressly provides for matters commenced prior to September 1, 2016, and could have, but did not, create a rule to continue Rule 29.1 in effect for proceedings commenced after September 1, 2016. Therefore, he submits, the common law rule applies and with the repeal of Rule 29.1 it is to be treated going forward as if it never existed for a proceeding such as the one that was before the IIROC Panel.
(b) IIROC Staff ’s Position
[54] IIROC Staff submits that the IIROC Panel correctly found that Rule 29.1 remained in effect, notwithstanding the introduction of the Consolidated Rules and the Transition Rule on September 1, 2016, and made no reviewable error in so doing.
[55] IIROC Staff argues that Rule 29.1 was in force and binding on Mr. Rudensky when he engaged in the conduct in question, by the effect of IIROC General By-law No. 1, Article 13 (the By-law).
[56] The By-law speaks to IIROC’s “power to make, amend or repeal rules” and states:
All such Rules for the time being in force, unless expressly otherwise provided, shall be binding upon all Regulated Persons.
[57] IIROC Staff repeats the position, taken at the merits hearing and adopted by the IIROC Panel, that Mr. Rudensky’s position is based on an incorrect interpretation of the Transition Rule.
[58] IIROC Staff submits that the subsections of Transition Rule s. 1.3 must be read together, which leads in their view to the obvious conclusion that the provisions refer to procedural, rather than substantive, aspects of the hearings.
[59] IIROC Staff repeats their position from the merits hearing that the repeal of Rule 29.1 does not destroy a registrant’s obligations under Rule 29.1, nor does it forgive any contravention of Rule 29.1. As they had in their written submissions
10 Suman (Re), 2012 ONSEC 7, (2012) 35 OSCB 809 at para 315, citing Springer v Aird & Berlis LLP (2009), 96 OR (3rd) at para 14 11 RSC 1985, c I-21 12 Sullivan, Ruth, Sullivan and Driedger on the Construction of Statues, 4th ed (Lexis Nexis Butterworths: 2009)
July 18, 2019 (2019), 42 OSCB 6147
Reasons: Decisions, Orders and Rulings
to the IIROC Panel, IIROC Staff continues to rely on the quotation from the excerpt from Sullivan and Driedger with respect to the impact of legislation on the common law rule relating to the effect of a repeal.
[60] In response to my question about why the IIROC Panel referred to this part of the excerpt dealing with the Canadian federal Interpretation Act, IIROC Staff’s submission was that the IIROC Panel did not make a finding that the Interpretation Act applied to the IIROC Rules. Rather, the IIROC Panel was referring to the excerpt by analogy in holding that this reasoning should be applied in this instance.13
[61] IIROC Staff also submits that IIROC hearing panels have applied the concept that Rule 29.1 remained in effect in multiple decisions involving the rule that have been released since the implementation of the Consolidated Rules, referring specifically to: Bodnarchuk (Re), 2018 IIROC 22; Niewswandt (Re), 2018 IIROC 41 and Trudeau (Re), 2017 IIROC 51.
[62] At the Hearing and Review Application, Mr. Rudensky argued that IIROC Staff’s three above-cited cases were not helpful on the point of whether or not Rule 29.1 remained in effect, as there was no discussion or decision about whether or not the rule had been repealed in two of the cases and, in the third, the Rule 29.1 allegation had been dropped at the commencement of the proceeding.
[63] IIROC Staff also takes the position that the IIROC Panel’s decision on this point was consistent with IIROC notices with respect to the Transition Rule (Notices 12-0104 and 13-0275) and regarding the intended effect of Consolidated Rule 1400, which replaced Rule 29.1.
[64] Finally, IIROC Staff submits that to accept Mr. Rudensky’s position would lead to the conclusion that no standards of conduct existed for IIROC’s members and their representatives prior to September 1, 2016, which would create a void and lead to an absurd result.
(c) OSC Staff’s Position
[65] OSC Staff made no submissions on this point.
(d) Analysis
[66] The IIROC Panel accepted IIROC Staff’s position that Mr. Rudensky’s submission that Rule 29.1 cannot be relied upon was based on an incorrect interpretation of the Transition Rule. The IIROC Panel accepted IIROC Staff’s submission that the subsections of Transition Rule 1.3, when read together with the definition of “Consolidated Procedural Rules”, clearly refer to procedural, rather than substantive, aspects of hearings.14
[67] The IIROC Panel continued, in paragraph 180 of the Merits Decision, by quoting from the excerpt from Sullivan and Driedger about the impact of interpretation legislation on the common law rule that repealed rules cannot be applied retrospectively.
[68] The reasoning in this part of the Merits Decision appears to be virtually identical to IIROC Staff’s Written Reply submissions to the IIROC Panel on this point.15
[69] Although, in those submissions, IIROC Staff had provided the IIROC Panel with a two-page excerpt from Sullivan and Driedger, which covered both the common law rule with respect to repealed legislation and analysis of the impact of legislation on that rule, there is no analysis in IIROC Staff’s Written Reply about the application of the quotation referred to from that excerpt.
[70] In the Merits Decision, the IIROC Panel does not explain its application of the Sullivan and Driedger quotation replicated from IIROC Staff’s Written Reply. Nor is there anything in the Merits Decision to support IIROC Staff’s oral submission to me that the IIROC Panel was referring to this one aspect of the Sullivan and Driedger excerpt by analogy.
[71] The IIROC Panel is clear, in paragraphs 177 to 179 of the Merits Decision, that it interpreted the Transition Rule such that Rule 29.1 remained in effect for the purposes of this proceeding.
[72] The IIROC Panel, however, failed to explain the application of the excerpt it cited in paragraph 180 of the Merits Decision, which does not appear applicable to the circumstances. It is also not possible, without documented analysis, to know how the Sullivan and Driedger excerpt influenced the IIROC Panel’s analysis of the Transitional Rule.
13 Transcript, Rudensky (Re), March 26, 2019 at 83, lines 1-10. 14 Merits Decision at paras 177-179 15 IIROC’S Reply Submissions and Authorities, June 20, 2019 (IIROC Staff’s Written Reply) at paras 7-10
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Reasons: Decisions, Orders and Rulings
[73] Therefore, I conclude that the IIROC Panel made an error in law or proceeded on an incorrect principle during its analysis of whether Rule 29.1 remained in effect. I conclude that the test in Canada Malting is met and that I have grounds to interfere with the Merits Decision. I must now proceed to determine the application of Rule 29.1 and the appropriate outcome.
(e) The Application of Rule 29.1
[74] The Transition Rule contains the following definitions:16
“Consolidated Rules” refers to the IIROC Rules implemented on June 9, 2016 or September 1, 2016, which are Consolidated Rules 1200, 1400, 8100 through 8400 and 9100 through 9400.
“Consolidated Procedural Rules” refers to Consolidated Rules 8200 through 8400, other than sections 8206, 8209, 8210, 8214, and 8216.
[…]
“Practice and Procedure” means the rules of practice and procedure governing a hearing brought pursuant to IIROC Rules.
[75] The Transition Rule is clearly intended to address what procedural rules are to be used for hearings commenced after the Consolidated Rules became effective, as stated in subsection 1.3(2) of the Transition Rule:
Any Enforcement Hearing commenced on or after September 1, 2016 shall be undertaken and proceed in accordance with the Consolidated Procedural Rules, irrespective of when the conduct which is the subject of the Enforcement Hearing occurred.
[76] The By-law provides that all IIROC Rules for the time being in force are binding on all registered representatives.
[77] At the time that Mr. Rudensky engaged in the alleged conduct, Rule 29.1 was in force and, therefore, binding on him.
[78] Post September 1, 2016, by reading the By-law in combination with subsection 1.3(2) of the Transition Rule, IIROC could hold its Members and Registered Representatives accountable for behaviour contrary to the IIROC Rules that were in effect at the time the behaviour occurred, but through proceedings in accordance with the Consolidated Procedural Rules then in effect.
[79] To conclude otherwise would be contrary to a clear reading of the provisions and would result in an absurd outcome.
[80] I agree with Mr. Rudensky’s submission that the IIROC cases to which IIROC Staff referred, mentioned in section D.1(b) of this decision above, were distinguishable and were not helpful on this point. I placed no reliance on them in coming to my decision on this issue.
2. Have any of the factors from Canada Malting been satisfied with respect to the other alleged errors in the Merits Decision?
[81] I conclude that the appropriate disposition is to consider as a separate issue, whether there are grounds to intervene in the substance of the Merits Decision.
[82] On the point of whether a finding that I should intervene with respect to the finding of a breach of one of Rule 29.1 or Rule 43 would lead to a hearing de novo on both findings, Mr. Rudensky raised the example of Northern Securities. In that hearing and review decision the Commission Panel laid out the issues in their decision by counts and analyzed each count separately against the Canada Malting test. Mr. Rudensky’s point was that this may have been possible in Northern Securities because of the facts of the case (counsel acknowledged that he didn’t know enough about the intricate details of the case to say for certain). However, in Mr. Rudensky’s submissions in this Application the motivations and most of the facts applied across both allegations and therefore the two counts are inextricably connected and could not be separated.
[83] My finding of an error of law warranting my intervention in the Merits Decision relates to the IIROC Panel’s interpretation of the availability of Rule 29.1. I find that the conclusions in the Merits Decision that Mr. Rudensky breached Rule 43 and Rule 29.1, and the evidence relied upon by the IIROC Panel to arrive at those conclusions, are completely separate from the evidence and analysis by the IIROC Panel on the issue of the availability of Rule 29.1.
16 Transition Rule, s 1.1
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Reasons: Decisions, Orders and Rulings
[84] I therefore conclude that the finding of an error with respect to the availability of Rule 29.1 does not result in a hearing de novo of the substance of the Merits Decision and I now consider whether Mr. Rudensky established any of the factors in Canada Malting with respect to the other alleged errors in the substance of the Merits Decision that would warrant my intervention.
3. Did the IIROC Panel err in law in its findings of fact?
(a) Mr. Rudensky’s Position
[85] At paragraph 100 of the Merits Decision the IIROC Panel stated that Mr. Rudensky admitted to a list of facts. However, two of the cited facts were not actually admissions made by Mr. Rudensky:
a. Mr. Rudensky knew that another RGMP advisor (who is referred to by the initials ‘SA’ by the IIROC Panel and throughout this decision) “was part of the team in Calgary that serviced RS’s accounts”; and
b. Mr. Rudensky “wanted SA to be moved near him”.
This evidence was relevant to assessing whether Mr. Rudensky knew RS was a client of RGMP for the purposes of determining if Mr. Rudensky had breached Rule 43. Mr. Rudensky relies on R v H(JM) for the principle that “it is an error of law to make a finding of fact for which there is no supporting evidence.”17
[86] The IIROC Panel refers in the Merits Decision to Mr. Rudensky’s testimony that he did not know at the relevant times that RS was a client of RGMP at its Calgary office. Mr. Rudensky submits that this reference in the Merits Decision is inconsistent with the IIROC Panel’s finding that Mr. Rudensky knew RS was a client of the firm. He argues that the IIROC Panel provided no explanation for the alleged inconsistency.
(b) IIROC Staff’s Position
[87] With respect to the IIROC Panel’s finding that Mr. Rudensky admitted that he knew SA was part of the team in Calgary that serviced RS’s accounts, IIROC Staff submits that Mr. Rudensky’s own testimony supports that conclusion. IIROC Staff relies on statements by Mr. Rudensky while he was being cross-examined and, in two instances, his responses to questions from the IIROC Panel.
[88] As regards the admission that Mr. Rudensky wanted SA moved near to him, IIROC Staff concedes that Mr. Rudensky did not make this admission. However, the IIROC Panel preferred the evidence of Mr. Kennedy, a former employee of RGMP and a colleague of Mr. Rudensky in their Toronto office, and Mr. King, both of whom testified that Mr. Rudensky wanted SA moved near to him. IIROC Staff submits that the IIROC Panel did not, therefore, err in law in making that finding.
[89] IIROC Staff relies on the testimony of Mr. Rudensky, Mr. Kennedy and Mr. King and the documentary evidence that was before the IIROC Panel, in support of the IIROC Panel’s findings that RS was a client of RGMP, that Mr. Rudensky knew that RS was a client of RGMP and that RS knew his personal financial dealings were with RS.
(c) OSC Staff’s Position
[90] OSC Staff took no position on this point.
(d) Analysis
[91] In the context of the Merits Decision, the IIROC Panel made a finding of fact that Mr. Rudensky knew RS was a client of RGMP at the time of the Brookfield loan and BAM.A Transaction.
[92] The IIROC Panel concluded, based solely on Mr. Rudensky’s own testimony, that Mr. Rudensky’s “assertion that he did not know that RS was a client of RGMP was improbable and not credible.”18 The testimony it referred to in coming to that conclusion included the two statements that were not made by Mr. Rudensky.
[93] The two statements are not, however, the only evidence supporting the IIROC Panel’s finding that Mr. Rudensky knew RS was a client of RGMP. The IIROC Panel relied on other evidence from Mr. Rudensky: he knew SA was RS’s girlfriend, he knew RS from 2013, he had invested in one of RS’s companies, and he was interested in developing a
17 2011 SCC 45 at para 25 18 Merits Decision at para 100
July 18, 2019 (2019), 42 OSCB 6150
Reasons: Decisions, Orders and Rulings
brokerage relationship with RS.19 In addition, the IIROC Panel relied on the evidence of Mr. Kennedy and, with some acknowledged reservation, the testimony of Mr. King.20
[94] The IIROC Panel considered the evidence before it and made findings of fact and assessments of credibility in concluding that Mr. Rudensky knew RS was a client of RGMP. The IIROC Panel was entitled to apply its knowledge and expertise to interpret the evidence and submissions and come to this conclusion.
[95] While the IIROC Panel did, in reaching that conclusion, erroneously refer to two statements Mr. Rudensky had not made, these were not the only facts it relied on. I find there was sufficient evidence supporting the IIROC Panel’s conclusion, and the IIROC Panel did not contravene the proposition set forth in R v H(JM). I find that the IIROC Panel did not make a reviewable error on this point that would warrant my intervention.
4. Was the cross guarantee relevant?
(a) Mr. Rudensky’s Position
[96] Mr. Rudensky submits that the IIROC Panel erred in law, proceeded on an incorrect principle and failed to consider material evidence by finding that evidence relating to a cross guarantee, involving other individuals, was irrelevant. An employee of GMP Securities (not RGMP), who was also a client of Mr. Rudensky’s sales group at RGMP, was previously permitted to have a cross guarantee from a client of RGMP. Before the IIROC Panel, Mr. Rudensky pointed to the cross guarantee to suggest that his conduct was also permissible.
[97] Mr. Rudensky’s submissions focus in particular on the language used by the IIROC Panel, at paragraph 139 of the Merits Decision: “If this was permitted, how would what the Respondent did be wrong?” The submission is this was not an argument advanced by Mr. Rudensky. The argument was in fact that his knowledge of someone else doing the same thing and it apparently being okay for that person to do it suggests that it was reasonable for Mr. Rudensky to believe what he was doing was okay.
(b) IIROC Staff’s Position
[98] IIROC Staff submits that the IIROC Panel properly concluded that the cross guarantee was not relevant to its determination of whether Mr. Rudensky engaged in conduct in breach of the IIROC Rules.
[99] In addition, the IIROC Panel took note of numerous differences in the facts relating to the cross guarantee and Mr. Rudensky’s conduct and relationship with RS.
[100] Further, IIROC Staff submits that there is no mens rea requirement to Rule 43 and evidence of Mr. Rudensky’s (incorrect) understanding of the facts about the cross guarantee and its use is not relevant to a determination of whether Mr. Rudensky breached Rule 43.
(c) OSC Staff’s Position
[101] OSC Staff took no position on this point.
(d) Analysis
[102] I find that the IIROC Panel was exercising its specialized competence in deciding what was relevant to its considerations, and that how someone else may have behaved was not relevant to their determination of whether the facts supported a conclusion that Mr. Rudensky breached Rule 43.
[103] In any event, even had it considered the cross guarantee as relevant, the IIROC Panel agreed with and adopted IIROC Staff’s position on this point,21 including the factors by which the cross guarantee was distinguishable from Mr. Rudensky’s situation, which factors the IIROC Panel laid out in its decision.22
[104] For the reasons above, I find the IIROC Panel did not make a reviewable error on this point that would warrant my intervention.
19 Merits Decision at para 100 20 Merits Decision at paras 97-99 21 Merits Decision at para 148 22 Merits Decision para 176
July 18, 2019 (2019), 42 OSCB 6151
Reasons: Decisions, Orders and Rulings
5. Were the client’s views about his need for protection relevant?
(a) Mr. Rudensky’s Position
[105] Mr. Rudensky’s position is that by rejecting as irrelevant the views of RS, a sophisticated client, about whether his arrangements with Mr. Rudensky created a conflict of interest, the IIROC Panel erred in law and proceeded on an incorrect principle.
[106] Mr. Rudensky argues that though he accepts that an informed client’s view is not a complete answer on whether there was a conflict, the view should not have been rejected as irrelevant.
[107] Mr. Rudensky submits that the IIROC Panel, having rejected RS’s views on the existence of a conflict, concluded that the Brookfield loan created a conflict between RS and both RGMP and Mr. Rudensky and that it constituted personal financial dealings with a client in contravention of Rule 43.
[108] Mr. Rudensky argues that the spirit of Rule 43 is to prevent conflicts of interest where an Approved Person is borrowing funds from a client, as opposed to the Dealer Member itself. If the definition of client includes all clients of the Dealer Member, Mr. Rudensky asks how a conflict can exist between a sophisticated client who does not believe a conflict exists and an employee who does not know the individual is a client of his firm.
[109] Lastly, Rule 43 is a principles-based rule that should be read in a flexible manner reflecting the spirit of the Rule.
(b) IIROC Staff’s Position
[110] IIROC Staff submits that there is no reviewable error in the IIROC Panel’s finding that the prohibition on personal financial dealing was broad and applied to this case.
[111] Rule 43 prohibits any personal financial dealings with clients and, as set out in IIROC Rules Notice 13-0162, draws no distinction between clients of the firm and clients of an Approved Person.
[112] Rule 43 is consistent with a registered firm’s obligations to identify and respond to conflicts of interest, existing or potential.
[113] Therefore, IIROC Staff argues that the determination of whether Mr. Rudensky breached Rule 43 does not require consideration of RS’s view about whether there was a conflict nor of Mr. Rudensky’s knowledge of RS’s status as a client.
(c) OSC Staff’s Position
[114] OSC Staff took no position on this point.
(d) Analysis
[115] The IIROC Panel assessed the evidence in RS’s affidavit, laying out in detail how it weighed, assessed relevance, or accepted at face value the various aspects of RS’s evidence.23
[116] The IIROC Panel acknowledged that RS did not consider there to be a conflict of interest with respect to the loans. It further acknowledged that RS did not believe he required the protection of Rule 43.24
[117] The IIROC Panel’s decision relating to the breach of Rule 43, however, rests on the analysis of RGMP’s obligations and perspectives. It speaks to the “potential conflict of interest” from RGMP’s position and the “differing interests” as between RGMP, Mr. Rudensky and RS.25
[118] In its analysis of Rule 43, the IIROC Panel outlined the obligations of the Dealer Member with respect to the identification and management of conflicts in IIROC Rules Notice 13-0162 and National Instrument 31-103 (NI 31-103), Part 13, Division 2, s. 13.4.26
[119] By considering and weighing RS’s evidence and making a decision that the member firm’s perspective with respect to the existence of a conflict had greater weight than RS’s evidence, the IIROC Panel was exercising its authority and
23 Merits Decision at paras 81-93 24 Merits Decision at para 90 25 Merits Decision at para 91 26 Merits Decision at paras 118-119
July 18, 2019 (2019), 42 OSCB 6152
Reasons: Decisions, Orders and Rulings
expertise. I find that it is appropriate to defer to the IIROC Panel’s decision and I find no error of law to warrant my interference on this point.
6. Was there a false and misleading statement?
(a) Mr. Rudensky’s Position
[120] Mr. Rudensky submits that, in concluding that his statement that the funds were from a loan collateralized by his condominium was false and misleading, the IIROC Panel made several errors in law and proceeded on incorrect principles, including:
a. ignoring “material” evidence about Mr. King’s characterization of his question to Mr. Rudensky about the loan;
b. finding that the Brookfield loan was not one that one would normally interpret as a “loan collateralized on my condo”;27
c. there was no finding that Mr. Rudensky knew his representation was false;
d. by finding that an answer that wasn’t full and complete was, therefore, false and misleading; and
e. by failing to consider Mr. Rudensky’s and RS’s evidence about their discussions about an undertaking to place a second mortgage on Mr. Rudensky’s condo and that the loan would not have been extended if there had not been equity in the condo.
[121] Mr. Rudensky submits that the IIROC Panel could not make a finding that the representation was false and misleading because the evidence from both Mr. Rudensky and RS was that they discussed the equity in the condo and agreed the condo would be put up as security. Therefore, Mr. Rudensky’s response did not fit the legal definition of a “false representation”.
[122] Mr. Rudensky argues that the IIROC Panel’s finding that RGMP was misled was made in reliance only on Mr. King’s assumptions, which were made on hearing Mr. Rudensky’s response regarding the source of the funds: the loan came from BMO and Mr. Rudensky had access to other sources of collateral. There cannot be a claim of being misled if Mr. King made his own assumptions and did not share them with anyone.
[123] In August 2015, Mr. Rudensky was accused by RGMP of having received the loans from another client, not RS. Mr. Rudensky argues that to have been misled, RGMP would have had to believe that the loans came from BMO, which had been Mr. King’s assumption, not from another client.
(b) IIROC Staff’s Position
[124] IIROC Staff submits that Mr. Rudensky’s condo was never taken as collateral for the $3 million promissory note from RS. The true source of the funds was RS, and they were loaned because of an unsecured promissory note and profit-sharing loan arrangement with RS. Therefore, IIROC Staff submits that the IIROC Panel properly found Mr. Rudensky’s representation, that the source of funds was a loan collateralized on his condo, to be false and misleading.
[125] The IIROC Panel found that Mr. Rudensky’s response should have been full and complete for the representation not to be false and misleading, which IIROC Staff argues did not amount to the IIROC Panel equating “full and complete” with “not false and misleading”.
[126] There was enough evidence before the IIROC Panel to support its conclusion that the representation was false and misleading. IIROC Staff submits that the IIROC Panel clearly considered RS’s evidence but gave it little weight when it conflicted with other testimony or raised unanswered questions that RS likely should have been able to clarify, if RS had testified in person.
(c) OSC Staff’s Position
[127] OSC Staff took no position on this point.
27 Merits Decision at para 105
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Reasons: Decisions, Orders and Rulings
(d) Analysis
[128] I find that it was within the IIROC Panel’s expertise and authority to conclude that Mr. Rudensky’s representation about the source of the loan was false and misleading, based on the evidence before it.
[129] I do not accept Mr. Rudensky’s submission that the IIROC Panel failed to consider material evidence, being Mr. King’s characterization of his question as “simple, normal, everyday” and not part of an investigation. How Mr. King characterized his question to Mr. Rudensky, in my view, in no way undermined the IIROC Panel’s consideration of the evidence before them on which it based its findings of fact and decision on this point.
[130] The IIROC Panel appropriately considered and weighed the evidence in making its findings of fact and arriving at its decision, which included that RS loaned $3 million to Mr. Rudensky based on an unsecured promissory note with interest calculated as a percentage of the profit on the BAM.A Transaction.
[131] The IIROC Panel considered Mr. Rudensky’s evidence and the information in RS’s affidavit with respect to discussions about the equity in Mr. Rudensky’s condo and that, if the loan remained outstanding longer than anticipated, Mr. Rudensky was willing to place a mortgage on his condo in RS’s favour. However, the IIROC Panel found this to be a promise only and the loan was, in fact, not collateralized on the condo.28
[132] The IIROC Panel found that the profit sharing and RS as the lender were the central features of the loan, neither of which was disclosed to RGMP.29
[133] The IIROC Panel unequivocally found that the representation was false and misleading and set out the evidence on which it relied and the conclusions it drew from the evidence.30 There was ample evidence before the IIROC Panel to support its finding.
[134] Further, I find the IIROC Panel did not err in law by finding that Mr. Rudensky’s answer “should have been full and complete in order for the representation not to be false and misleading.”31
[135] Included in the material before the IIROC Panel were IIROC Staff’s submissions regarding expectations of an industry participant:32 basic honesty is a requirement;33 and Approved Persons must provide true and complete answers to questions from their Dealer Members.34
[136] The IIROC Panel also considered a member firm’s obligation to identify and address existing or potential conflicts of interest under NI 31-103, s. 13.4, and the importance of a registrant’s true and complete answers to the registrant’s firm:35
Because firms are required to address existing or potential conflicts of interest, it is essential that a registrant’s answers to their queries are true and complete. This is particularly the case where a registrant solely possesses information about existing or potential conflicts of interest. The failure to provide true and complete disclosure prevents a firm from being able to fulfil its obligation to respond to existing or potential conflicts of interest, thereby exposing the firm to potential damages.
[137] In addition to the evidence referred to by the IIROC Panel, its decision adopts and incorporates the principles reflected in the materials before it, as articulated above, and supports the finding that Mr. Rudensky’s response had to fully and completely reflect the facts in order not to be false and misleading. I find no error warranting my interference on this point.
[138] Finally, I do not agree with Mr. Rudensky’s submissions that the IIROC Panel erred in finding that RGMP was misled. In so finding, the IIROC Panel did not rely “only upon Mr. King’s assumptions”, as submitted by Mr. Rudensky. The IIROC Panel made the finding that RGMP was misled after reviewing the evidence it relied on in determining that Mr. Rudensky was deceiving RGMP,36 and concluded that the representation was another step in the deception. I find there was sufficient evidence before the IIROC Panel to come to the conclusion RGMP was misled and there is no basis for my interference with its decision on this point.
28 Merits Decision at para 105 29 Merits Decision at para 106 30 Merits Decision at paras 104-114 31 Merits Decision at para 165 32 Merits Decision at paras 124-126 33 Papp (Re), 2016 IIROC 41 at para 4 34 Scoten (Re), 2012 IIROC 6, at para 2 35 Merits Decision at para 128 36 Merits Decision at paras 105-112
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Reasons: Decisions, Orders and Rulings
E. Have any of the factors from Canada Malting been satisfied with respect to the Sanctions and Costs Decision?
[139] Having concluded that Mr. Rudensky failed to establish that there was a basis for me to interfere in the substance of the Merits Decision, I now move to consider whether Mr. Rudensky established a basis under Canada Malting for me to interfere in the Sanctions and Costs Decision on the basis of the alleged errors described in the Overview section of these Reasons.
1. Did the IIROC Panel err in law by ordering disgorgement?
(a) Mr. Rudensky’s Position
[140] Mr. Rudensky’s position is that the loan from RS formed the basis for the IIROC Panel’s finding of a personal financial dealing that breached Rule 43. The disgorgement order, however, related to the profits earned from the BAM.A Transaction that was connected to the loan.
[141] In support of this position, he refers to the last sentence of paragraph 161 of the Merits Decision:
The Brookfield loan created a conflict of interest with RGMP and with the Respondent and was personal financial dealings of the Respondent with a client of RGMP contrary to Rule 43.
[142] Mr. Rudensky also submits that to consider the profit from the BAM.A Transaction, one would have to know what profit Mr. Rudensky would have made had he participated in the BAM.A Transaction without the loan. No such evidence was before the IIROC Panel.
[143] Mr. Rudensky also refers to IIROC Staff’s opening statements in the IIROC Hearing; the argument being that when the proceeding against Mr. Rudensky commenced, the case he had to meet was that the Brookfield loan was contrary to Rule 43. The IIROC Panel found that the loan was contrary to Rule 43. The IIROC Panel then erred in law when, for the sanctions hearing, it changed or altered that finding to include not just the Brookfield loan, but also the BAM.A Transaction.
[144] Alternatively, Mr. Rudensky’s position is that disgorgement was extended to any use made of the loan from a client, with no authority or analysis; which is an error of law.
(b) IIROC Staff’s Position
[145] IIROC Staff’s responding argument is that disgorgement is a vital means of achieving deterrence, as it ensures that a Member or an Approved Person does not retain any of the benefits obtained through violation of the IIROC Rules.
[146] In support of this position, IIROC Staff refers to Rule 20.33 of the IIROC Rules (the relevant rule given the conduct was prior to September 1, 2016), which authorizes an IIROC hearing panel to impose a fine of the greater of $1 million or three times the profit made by reason of a contravention.
[147] In addition, IIROC Staff cites the IIROC Sanction Guidelines, in particular the following excerpt:37
Sanctions should ensure that a respondent does not financially benefit as a result of the misconduct.
It is a fundamental tenet that wrong-doers should not benefit from their wrong-doing. Accordingly, in cases where the respondent benefited financially from the misconduct, the sanction, where possible, should include a disgorgement of the amount of any such financial benefit. Financial benefit would include any profits, commissions, fees, or any other compensation or other benefit received by the respondent, directly or indirectly, as a result of the misconduct.
[148] IIROC Staff states that the behaviour with which they took issue has always been the profit sharing and loan arrangement with RS, as referred to in the Statement of Allegations. Therefore, it was appropriate for the IIROC Panel to include disgorgement of the profits from the BAM.A Transaction in their Sanctions and Costs Decision.
[149] Further, undue emphasis is placed, IIROC Staff submits, on the IIROC Panel’s use of the term “Brookfield loan” in paragraph 161 of the Merits Decision. The term, IIROC Staff argues, was used throughout the Merits Decision and it is clear that the “Brookfield loan” was a profit sharing and loan arrangement.
37 IIROC Sanction Guidelines, Investment Industry Regulatory Organization of Canada online: https://www.iiroc.ca/industry/enforcement/Documents/IIROCSanctionGuidelines_en.pdf at Part I, Guideline 4
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[150] IIROC Staff submits that they proved at the IIROC hearing, on a balance of probabilities, the amount Mr. Rudensky obtained because of his contravention of Rule 43. IIROC Staff relies on the decision in Limelight Entertainment Inc. (Re)38 for the proposition that the risk of uncertainty in a disgorgement calculation falls on the wrongdoer, whose non- compliant behaviour gave rise to the uncertainty.
[151] IIROC Staff also submits that there was opportunity, during both the merits and sanctions and costs hearings, for Mr. Rudensky to lead evidence that all or some of the profits from the BAM.A Transaction could have been made without the Brookfield loan. In the absence of any such evidence, Mr. Rudensky’s submissions on this point are speculative.
[152] Lastly, IIROC Staff states that the Commission has recognized a purposive reading of “profit” in determining the quantum of a sanction, referring to Dennis (Re)39 and X Inc (Re).40 IIROC Staff also refers to Boulieris, in which the Commission held that a registrant who has willfully facilitated a market manipulation “should face severe consequences, including removal from a marketplace for an appropriate period and disgorgement of moneys received as a consequence of his conduct.”41
(c) OSC Staff’s Position
[153] OSC Staff concurs with IIROC Staff’s position regarding the principles underlying disgorgement decisions and submits that the Commission should not take an unduly restrictive view of the meaning of disgorgement.
[154] In considering the disgorgement remedy available under the Act, the Commission has stated that the remedy is intended to ensure that respondents do not retain any financial benefit from their breaches of the Act and to provide specific and general deterrence.42 OSC Staff submits that the same principles should inform the Commission’s review of the IIROC Panel’s disgorgement order.
(d) Analysis
[155] I do not find that the IIROC Panel made any error of law or proceeded on an incorrect principle in ordering disgorgement in their Sanctions and Costs Decision.
[156] I do not accept Mr. Rudensky’s position that the IIROC Panel found the Brookfield loan to be the cause of the breach of Rule 43. Such a conclusion focuses too narrowly on discrete statements in IIROC Staff’s opening statement at the IIROC hearing and on a single sentence in the Merits Decision.
[157] The IIROC Panel clearly understood IIROC Staff’s position to be that the breach of Rule 43 was broader than the Brookfield loan itself, as set out in the “Summary of the Staff’s Position” in the Merits Decision:43
Staff’s position was that the Brookfield loan with interest tied to a percentage of [Mr. Rudensky’s] profit from purchasing and shorting Brookfield shares was a profit sharing and loan arrangement which constituted personal financial dealings with a client of RGMP contrary to Rule 43.
[158] In its findings of fact, the IIROC Panel further indicated that it understood the case against Mr. Rudensky to be broader than just the loan when it found that the “profit sharing arrangement and RS as lender were the central features of the loan and this was not disclosed.”44
[159] The IIROC Panel further indicated this view when it discussed whether “entering into a profit sharing and loan arrangement like the Brookfield loan if done with a third party, whether or not a client, not registered in the securities industry would be just plain wrong”. The IIROC Panel is clear this was not alleged in Mr. Rudensky’s case and, therefore, was not a factor in its decision. But it is further evidence that the IIROC Panel did not consider Mr. Rudensky’s breach of Rule 43 to relate to only the loan itself.45
[160] For the reasons above, I conclude that the IIROC Panel’s decision to order disgorgement was not based on an altered or changed finding.
38 2008 ONSEC 28, (2008) OSCB 12030 at paras 48-49 39 2012 ONSEC 24, (2012) 25 OSCB 7374 at para 43 40 2012 ONSEC 24, (2012) 25 OSCB 7374 at para 43 41 Boulieris, at para 50 42 Sabourin (Re), 2010 ONSEC 10, OSCB 5399 at para 65 43 Merits Decision at para 14 44 Merits Decision at para 106 45 Merits Decision at para 164
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[161] Mr. Rudensky’s argument in the alternative is that the IIROC Panel “extended disgorgement to any use that is made of a loan from a client” without authority or analysis, which was an error in law.
[162] I do not agree with this submission. The IIROC Panel clearly refers to the IIROC Sanctions Guidelines, which state that “[s]anctions should ensure that a respondent does not financially benefit as a result of the misconduct”.46 The IIROC Panel found the financial benefit from Mr. Rudensky’s misconduct to be the net profit from the BAM.A Transaction and ordered that it be disgorged.
[163] I accept IIROC Staff’s position that there was ample opportunity for Mr. Rudensky to make submissions with respect to what the financial benefit would have been had he entered into the BAM.A Transaction without the loan. The IIROC Panel did not err in law by not speculating about what that amount might have been when ordering disgorgement of the financial benefit from that transaction.
2. Did the IIROC Panel err in law by ordering both a significant fine and a suspension?
(a) Mr. Rudensky’s Position
[164] Mr. Rudensky submits that the IIROC Panel erred in law and proceeded on an incorrect principle by, at paragraphs 55 and 56 of the Sanctions and Costs Decision, relying upon the size of the financial impact a suspension would have as a basis for determining whether a significant fine was warranted, in addition.
[165] In the alternative, Mr. Rudensky submits that the IIROC Panel erred in law and proceeded on an incorrect principle by finding, without any supporting evidence, that a suspension for a respondent who is not currently in the industry would not have a sufficient financial impact on that individual. Mr. Rudensky also submits that there is no analysis or consideration from the IIROC Panel as to what it understood the financial impact of the suspension would be.
(b) IIROC Staff’s Position
[166] IIROC Staff submits that a suspension was appropriate. It balances specific deterrence, general deterrence and the public interest.
[167] IIROC Staff further submits that the IIROC Panel viewed sanctions as a whole and recognized that to achieve general and specific deterrence, and considering the public interest, in some cases, such as this, where the conduct was egregious and compromised the integrity and reputation of the securities industry, both a suspension and a fine are warranted.
(c) OSC Staff’s Position
[168] OSC Staff submits that the IIROC Panel neither erred in law nor proceeded on an incorrect principle by considering the overall deterrent effect of the package of sanctions on Mr. Rudensky.
[169] An IIROC panel may consider the total impact of the sanctions ordered in light of the respondent’s particular circumstances, rather than considering each sanction in isolation. The rationale for different sanctions may vary depending on the professional and financial circumstances of the respondent.
[170] The IIROC Sanction Guidelines expressly consider that the same sanction might have a different effect on different types of respondents. The guidelines also indicate that sanctions should be adjusted as appropriate to achieve specific and general deterrence, given the characteristics of the respondent.
[171] Imposing sanctions that the IIROC Panel believed would, in total, provide enough deterrent for the conduct in the context of Mr. Rudensky’s personal circumstances did not, in OSC Staff’s submission, amount to an error in law or proceeding on an incorrect principle.
(d) Analysis
[172] I do not find that the IIROC Panel relied upon the size of the financial impact a suspension would have “as a basis for determining whether a suspension was warranted or not”, as submitted by Mr. Rudensky.47
[173] The IIROC Panel reviewed the precedent cases submitted by both parties and the IIROC Sanction Guidelines, concluding that the sanctions it was ordering were within the range of reasonableness suggested by the cases and consistent with the guidelines.48
46 Sanctions and Costs Decision at paras 35 and 43 47 Applicant’s Memorandum of Fact and Law, February 8, 2019 at para 107
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[174] The IIROC Panel concluded that “[a] two year suspension is consistent with similar regulatory decisions and is warranted given the intentional and dishonest nature of [Mr. Rudensky’s] misconduct.”49
[175] I agree with Mr. Rudensky’s submission that in Pariak-Lukic, the Commission added a two-year suspension to sanctions ordered by IIROC, including a significant fine, without expressly considering the financial impact of the suspension or how that financial impact should affect the substantial fine already imposed.
[176] However, I disagree that Pariak-Lukic stands for the proposition that a panel cannot consider the financial impact of a sanctions decision when determining specific and general deterrence of that decision in a particular circumstance.
[177] Mr. Rudensky submitted that the IIROC Panel erred by concluding, without evidence, that a suspension for someone not currently in the business would not have enough financial impact.
[178] The IIROC Panel noted that a suspension of someone who is active in the industry disrupts or destroys the person’s book of business, which is not the case for someone already out of the business.50 However, I find their decision with respect to sanctions was based on an overall assessment of specific and general deterrence in Mr. Rudensky’s specific circumstances and this was only one of several factors that the IIROC Panel considered.
[179] With respect to Mr. Rudensky’s submission that the IIROC Panel should have provided some analysis as to what the financial impact of suspension would be for Mr. Rudensky, I disagree. The IIROC Panel reviewed the cases and the IIROC Sanctions Guidelines, and considered the seriousness of Mr. Rudensky’s behaviour, before coming to its decision to suspend him.51 I find no error of law or proceeding on an incorrect principle that would warrant my interference on this point.
3. Did the IIROC Panel err in law by finding there was harm to market integrity?
(a) Mr. Rudensky’s Position
[180] Mr. Rudensky’s position is that the IIROC Panel made an error in law by finding that there was harm to market integrity, without hearing any evidence of such harm.
(b) IIROC Staff’s Position
[181] The IIROC Panel found that Mr. Rudensky’s conduct was dishonest and deceptive. IIROC Staff relies on Suleiman (Re) for the proposition that it is obvious that such behaviour causes harm to the integrity of the market and to its reputation.52 Therefore, in their submission, there was no error in law.
(c) OSC Staff’s Position
[182] OSC Staff took no position on this point.
(d) Analysis
[183] I agree with IIROC Staff’s position on this issue. Although Suleiman and the cases referred to therein involve forgery, I agree that they stand for the broader concept that dishonest and deceptive behaviour, by its very nature, causes harm to the integrity of the market and to its reputation.
[184] The IIROC Panel adopted the principle laid out in Scoten (Re) that “the investment industry by necessity operates in an atmosphere of trust”, including “trust between the Approved Person and his or her employer”.53
[185] In addition, the IIROC Panel cited Wong (Re) for the concept that the investment industry is based on trust and disclosure and that lying to one’s Member Firm strikes at the heart of the principles on which the industry is built.54
[186] I find no error of law warranting my interference with the IIROC Panel’s conclusion, based on their analysis of the decisions before them, that Mr. Rudensky’s misconduct and lack of honesty harmed market integrity and the reputation of the marketplace.
48 Sanctions and Costs Decision at paras 47-48 49 Sanctions and Costs Decision at paras 47-48 50 Sanctions and Costs Decision at paras 55-56 51 Sanctions and Costs Decision at paras 52-54 52 Suleiman (Re), 2016 IIROC 27 at para 8(d) (Suleiman) 53 Sanctions and Costs Decision at para 5; Scoten (Re), 2012 IIROC 67 at para 21 54 Sanctions and Costs Decision at para 6, citing Wong (Re), 2010 IIROC 50 at para 32
July 18, 2019 (2019), 42 OSCB 6158
Reasons: Decisions, Orders and Rulings
V. CONCLUSION
[187] For the above reasons, Mr. Rudensky’s application for hearing and review is hereby dismissed. I conclude that:
a. the Merits Decision included analysis that constituted an error of law with respect to the interpretation about whether Rule 29.1 remained in effect in these circumstances. However, upon conducting and substituting my own analysis, I reach the same finding as the IIROC Panel. Rule 29.1 remained in effect in these circumstances;
b. as the evidence supporting the IIROC Panel’s finding with respect to the availability of Rule 29.1 was completely separate from the evidence supporting the IIROC Panel’s decision regarding whether Mr. Rudensky had breached Rule 43 and Rule 29.1, I considered as a separate issue if Mr. Rudensky had established any grounds warranting my interference in the substance of the Merits Decision and I found that Mr. Rudensky had failed to do so; and
c. Mr. Rudensky failed to establish any grounds warranting my intervention in the Sanctions and Costs Decision.
Dated at Toronto this 9th day of July, 2019.
“M. Cecilia Williams”
July 18, 2019 (2019), 42 OSCB 6159
Reasons: Decisions, Orders and Rulings
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July 18, 2019 (2019), 42 OSCB 6160
Chapter 4
Cease Trading Orders
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders
Date of Temporary Date of Date of Company Name Date of Hearing Order Permanent Order Lapse/Revoke
THERE IS NOTHING TO REPORT THIS WEEK.
Failure to File Cease Trade Orders
Date of Company Name Date of Order Revocation
Callitas Health Inc. 09 July 2019
StartMonday Technology Corp. 10 July 2019
4.2.1 Temporary, Permanent & Rescinding Management Cease Trading Orders
Date of Lapse Company Name Date of Order
THERE IS NOTHING TO REPORT THIS WEEK.
4.2.2 Outstanding Management & Insider Cease Trading Orders
Date of Date of Order or Date of Date of Issuer Company Name Date of Hearing Temporary Order Permanent Order Lapse/ Expire Temporary Order
Performance Sports 19 October 2016 31 October 2016 31 October 2016 Group Ltd.
Company Name Date of Order Date of Lapse
Peeks Social Ltd. 04 July 2019
July 18, 2019 (2019), 42 OSCB 6161
Cease Trading Orders
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July 18, 2019 (2019), 42 OSCB 6162
Chapter 5
Rules and Policies
5.1.1 Amendments to OSC Rule 13-502 Fees
AMENDMENTS TO OSC RULE 13-502 FEES
1. OSC Rule 13-502 Fees is amended by this Instrument.
2. Section 1.1 is amended by adding the following definitions:
“OBA amendment” means an amendment to NI 33-109 that sets out circumstances in which outside business activity is required to be disclosed;
“specified day” means
(a) in relation to the late filing of Form 33-109F5 for the purposes of amending item 10 of Form 33- 109F4, a business day occurring:
(i) before January 1, 2019, or
(ii) after the date that is the earlier of:
(A) the date that the first OBA amendment comes into force, and
(B) December 31, 2021, and
(b) in any other case, any business day;
3. Column B of Row A of Appendix D is amended by replacing “every business day” with “every specified day”.
4. This Instrument comes into force on July 17, 2019.
July 18, 2019 (2019), 42 OSCB 6163
Rules and Policies
5.1.2 Changes to Companion Policy 13-502CP Fees to OSC Rule 13-502 Fees
CHANGES TO COMPANION POLICY 13-502CP FEES TO OSC RULE 13-502 FEES
1. Companion Policy 13-502CP Fees is changed by this Document.
2. The following is added immediately after section 7.1:
7.1.1 Moratorium on OBA Late Fee – (1) Under paragraph 4.1(b) of National Instrument 33-109 Registration Information, a change to information previously submitted in Item 10 of Form 33-109F4 is required to be filed within 10 days of the change. The change is made by submitting a completed Form 33-109F5. Subject to the exceptions in subsection (2) and a cap contained in Appendix D, a late filing of Form 33-109F5 gives rise to a late fee of $100 per business day under subparagraph (e)(i) of Row A of Appendix D.
(2) Registrants have commented that the scope of outside business activities (OBAs) that are required to be reported under Item 10 may be unclear. We acknowledge these comments and the need for greater clarity regarding OBA reporting. Amendments to the OBA reporting regime will require a CSA initiative. To reduce regulatory burden while the reporting regime is considered, we will not require registrants to pay the $100 per day late fee in respect of updating Item 10 for the period beginning January 1, 2019 to the earlier of: (i) the first date that an amendment to NI 33-109 comes into force that sets out the circumstances in which outside business activity is required to be disclosed; and (ii) December 31, 2021. In this regard, see the definitions of “OBA amendment” and “specified day” in section 1.1, read with revised text in Column B of Row A of Appendix D.
3. This change comes into effect on July 17, 2019.
July 18, 2019 (2019), 42 OSCB 6164
Rules and Policies
5.1.3 Amendments to OSC Rule 13-503 (Commodity Futures Act) Fees
AMENDMENTS TO OSC RULE 13-503 (COMMODITY FUTURES ACT) FEES
1. OSC Rule 13-503 (Commodity Futures Act) Fees is amended by this Instrument.
2. Section 1.1 is amended by adding the following definition:
“OBA amendment” means an amendment to OSC Rule 33-506 (Commodity Futures Act) Registrant Information that sets out circumstances in which outside business activity is required to be disclosed;
“specified day” means
(a) in relation to the late filing of Form 33-506F5 for the purposes of amending item 10 of Form 33- 506F4, a business day occurring:
(i) before January 1, 2019, or
(ii) after the date which is the earlier of:
(A) the date that the first OBA amendment comes into force, and
(B) December 31, 2021, and
(b) in any other case, any business day;
3. Column B of Row A of Appendix D is amended by replacing “every business day” with “every specified day”.
4. This Instrument comes into force on July 17, 2019.
July 18, 2019 (2019), 42 OSCB 6165
Rules and Policies
5.1.4 Changes to Companion Policy 13-503CP (Commodity Futures Act) Fees to OSC Rule 13-503 (Commodity Futures Act) Fees
CHANGES TO COMPANION POLICY 13-503CP (COMMODITY FUTURES ACT) FEES TO OSC RULE 13-503 (COMMODITY FUTURES ACT) FEES
1. Companion Policy 13-503CP (Commodity Futures Act) Fees is changed by this Document.
2. The following is added immediately after subsection 5.1(1):
(1.1) Under subsection 4.1(1) of OSC Rule 33-506 Registration Information, a change to information previously submitted in Item 10 of Form 33-506F4 is required to be filed within 10 days of the change. The change is made by submitting a completed Form 33-506F5. Subject to the exceptions in subsection (1.2) and a cap contained in Appendix C, a late filing gives rise to a late fee of $100 per business day under subparagraph (e)(i) of Row A of Appendix C.
(1.2) Registrants have commented that the scope of outside business activities (OBAs) that are required to be reported under Item 10 may be unclear. We acknowledge these comments and the need for greater clarity regarding OBA reporting. To reduce regulatory burden while the reporting regime is considered, we will not require registrants to pay the $100 per day late fee in respect of updating Item 10 for the period beginning January 1, 2019 to the earlier of: (i) the first date that an amendment to NI 33-109 comes into force that sets out the circumstances in which outside business activity is required to be disclosed; and (ii) December 31, 2021. In this regard, see the definitions of “OBA amendment” and “specified day” in section 1.1, read with revised text in Column B of Row A of Appendix C.
3. This change comes into effect on July 17, 2019.
July 18, 2019 (2019), 42 OSCB 6166
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.
July 18, 2019 (2019), 42 OSCB 6167
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings 37 Capital Inc. Common Shares Jackpot Digital 3 2019-07-11 10 0.05 49,985 -1,400,000 37 Capital Inc. Common Shares Kalpakian, Jacob H 4 2019-06-13 10 0.05 1,865,000 37 Capital Inc. Common Shares Kalpakian, Jacob H 4 2019-07-11 11 0.05 1,868,000 1,865,000 37 Capital Inc. Common Shares Kalpakian, Jacob H 4 2019-07-11 10 0.05 2,568,000 700,000 48North Cannabis Common Shares Caland, Pierre 3 2019-07-08 10 0.82 12,719,645 3,500 Corp. 48North Cannabis Common Shares Caland, Pierre 3 2019-07-09 10 0.81 12,819,645 100,000 Corp. 48North Cannabis Common Shares Caland, Pierre 3 2019-07-10 10 0.82 100,000 Corp. 48North Cannabis Common Shares Caland, Pierre 3 2019-07-10 10 0.82 100,000 Corp. 48North Cannabis Common Shares Caland, Pierre 3 2019-07-10 10 0.82 12,919,645 100,000 Corp. Aberdeen Asia-Pacific Common Shares Aberdeen Asia-Pacific 1 2019-06-03 38 3.63 7,000 7,000 Income Investment Income Investment Company Limited Company Limited Aberdeen Asia-Pacific Common Shares Aberdeen Asia-Pacific 1 2019-06-04 38 3.61 13,200 6,200 Income Investment Income Investment Company Limited Company Limited Aberdeen Asia-Pacific Common Shares Aberdeen Asia-Pacific 1 2019-06-04 38 3.62 14,000 800 Income Investment Income Investment Company Limited Company Limited Aberdeen Asia-Pacific Common Shares Aberdeen Asia-Pacific 1 2019-06-05 38 3.6 17,600 3,600 Income Investment Income Investment Company Limited Company Limited Aberdeen Asia-Pacific Common Shares Aberdeen Asia-Pacific 1 2019-06-05 38 3.65 19,200 1,600 Income Investment Income Investment Company Limited Company Limited Aberdeen Asia-Pacific Common Shares Aberdeen Asia-Pacific 1 2019-06-05 38 3.64 21,000 1,800 Income Investment Income Investment Company Limited Company Limited Aberdeen Asia-Pacific Common Shares Aberdeen Asia-Pacific 1 2019-06-06 38 3.63 28,000 7,000 Income Investment Income Investment Company Limited Company Limited Aberdeen Asia-Pacific Common Shares Aberdeen Asia-Pacific 1 2019-06-07 38 3.63 35,000 7,000 Income Investment Income Investment Company Limited Company Limited Aberdeen Asia-Pacific Common Shares Aberdeen Asia-Pacific 1 2019-06-10 38 3.63 42,000 7,000 Income Investment Income Investment Company Limited Company Limited Aberdeen Asia-Pacific Common Shares Aberdeen Asia-Pacific 1 2019-06-13 38 3.64 49,000 7,000 Income Investment Income Investment Company Limited Company Limited Aberdeen Asia-Pacific Common Shares Aberdeen Asia-Pacific 1 2019-06-17 38 3.62 50,500 1,500 Income Investment Income Investment Company Limited Company Limited Aberdeen Asia-Pacific Common Shares Aberdeen Asia-Pacific 1 2019-06-17 38 3.64 56,000 5,500 Income Investment Income Investment Company Limited Company Limited Aberdeen Asia-Pacific Common Shares Aberdeen Asia-Pacific 1 2019-06-18 38 3.65 63,000 7,000 Income Investment Income Investment Company Limited Company Limited Aberdeen Asia-Pacific Common Shares Aberdeen Asia-Pacific 1 2019-06-19 38 3.64 64,800 1,800 Income Investment Income Investment Company Limited Company Limited Aberdeen Asia-Pacific Common Shares Aberdeen Asia-Pacific 1 2019-06-19 38 3.65 70,000 5,200 Income Investment Income Investment Company Limited Company Limited Aberdeen Asia-Pacific Common Shares Aberdeen Asia-Pacific 1 2019-06-20 38 3.64 70,300 300 Income Investment Income Investment Company Limited Company Limited Aberdeen Asia-Pacific Common Shares Aberdeen Asia-Pacific 1 2019-06-20 38 3.65 77,000 6,700 Income Investment Income Investment Company Limited Company Limited
July 18, 2019 (2019), 42 OSCB 6168
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings
Aberdeen Asia-Pacific Common Shares Aberdeen Asia-Pacific 1 2019-06-21 38 7,000 -70,000 Income Investment Income Investment Company Limited Company Limited Aberdeen Asia-Pacific Common Shares Aberdeen Asia-Pacific 1 2019-06-25 38 3.56 9,700 2,700 Income Investment Income Investment Company Limited Company Limited Aberdeen Asia-Pacific Common Shares Aberdeen Asia-Pacific 1 2019-06-25 38 3.57 14,000 4,300 Income Investment Income Investment Company Limited Company Limited
Aberdeen Asia-Pacific Common Shares Aberdeen Asia-Pacific 1 2019-06-28 38 0 -14,000 Income Investment Income Investment Company Limited Company Limited
Ackroo Inc. Common Shares Jacmat Holdings Ltd. 3 2019-07-08 10 0.11 14,740,408 -3,500 Ackroo Inc. Common Shares Moore, Jacqueline Marjorie 3 2019-06-18 16 0.115 -2,000
Ackroo Inc. Common Shares Moore, Jacqueline Marjorie 3 2019-06-18 16 0.115 14,743,908 -2,000,000
Ackroo Inc. Common Shares Moore, Jacqueline Marjorie 3 2019-07-08 10 0.11 14,740,408 -3,500
Ackroo Inc. Common Shares Moore, Matthew 6 2017-12-01 00 Ackroo Inc. Common Shares Moore, Matthew 6 2019-03-15 00 Ackroo Inc. Common Shares Moore, Matthew 6 2019-03-15 90 16,743,907 Ackroo Inc. Common Shares Moore, Matthew 6 2019-03-15 90 16,743,908 16,743,908 Ackroo Inc. Common Shares Moore, Matthew 6 2019-06-18 16 0.115 14,743,908 -2,000,000 Ackroo Inc. Common Shares Moore, Matthew 6 2019-07-08 10 0.11 14,740,408 -3,500 Ackroo Inc. Common Shares Moore, Matthew 6 2017-12-01 00 Ackroo Inc. Common Shares Moore, Matthew 6 2019-01-01 90 0 -35,800,000 Ackroo Inc. Common Shares Moore, Matthew 6 2019-03-15 00 Ackroo Inc. Common Shares Moore, Matthew 6 2019-06-26 90 -35,800,000 Ackroo Inc. Common Shares Moore, Matthew 6 2017-12-01 00 Ackroo Inc. Common Shares Moore, Matthew 6 2019-01-01 90 35,800,000 35,800,000 Ackroo Inc. Common Shares Moore, Matthew 6 2019-03-15 00 Ackroo Inc. Common Shares Moore, Matthew 6 2019-03-15 90 -16,743,907 Ackroo Inc. Common Shares Moore, Matthew 6 2019-03-15 90 16,743,907 -16,743,908 Ackroo Inc. Common Shares Moore, Matthew 6 2019-06-26 90 35,800,000 Ackroo Inc. Common Shares Sorbara, Michael 6 2019-01-01 90 0 -35,800,000 Ackroo Inc. Common Shares Sorbara, Michael 6 2019-06-26 90 -35,800,000 Ackroo Inc. Common Shares Sorbara, Michael 6 2019-01-01 90 35,800,000 35,800,000 Ackroo Inc. Common Shares Sorbara, Michael 6 2019-06-26 90 35,800,000 AcuityAds Holdings Common Shares Pollack, Sheldon M. 4 2016-06-18 10 1.465 1,000 Inc. AcuityAds Holdings Common Shares Pollack, Sheldon M. 4 2019-06-18 10 1.465 385,385 1,000 Inc. Adventus Mining Options Wellings, Mark 4 2019-07-12 50 1.06 250,000 50,000 Corporation Adventus Mining Options Wellings, Mark 4 2019-07-12 56 275,000 25,000 Corporation AEX Gold Inc. Options Fowlie, George Robertson 4, 5 2019-07-09 50 600,000 150,000
AEX Gold Inc. Options MARTIN, INGRID 5 2019-07-09 50 0.38 300,000 100,000 AEX Gold Inc. Options MÚnard, Robert 4 2019-07-09 50 0.38 350,000 100,000 AEX Gold Inc. Options Olafsson, Eldur 4, 6, 5 2019-07-09 50 0.38 2,550,000 1,500,000 AEX Gold Inc. Options Plant, Joan Maria 5 2019-07-09 50 0.38 250,000 50,000 AEX Gold Inc. Options Quenby, Georgia Margaret 4 2019-07-09 50 0.38 350,000 100,000
AEX Gold Inc. Options Stewart, Graham Duncan 4 2019-07-09 50 0.38 350,000 100,000 African Gold Group, Common Shares Bharti, Stan 4, 5 2019-06-28 16 0.21 7,738,095 4,761,905 Inc. African Gold Group, Warrants Bharti, Stan 4, 5 2017-04-24 00 Inc. African Gold Group, Warrants Bharti, Stan 4, 5 2019-06-28 16 0.3 4,761,905 4,761,905 Inc. African Gold Group, Options Choi, Kenny 5 2019-06-03 00 Inc. African Gold Group, Options Choi, Kenny 5 2019-06-03 50 0.225 200,000 200,000 Inc. African Gold Group, Options Rompel, Andreas 5 2019-06-03 00 Inc.
July 18, 2019 (2019), 42 OSCB 6169
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings African Gold Group, Options Rompel, Andreas 5 2019-06-03 50 0.225 200,000 200,000 Inc. AGF Management Common Shares BASARABA, Adrian 5 2019-06-30 30 5.44 40,829 2,720 Limited ESOP - Cash AGF Management Common Shares BASARABA, Adrian 5 2019-06-30 30 5.61 4,640 66 Limited ESOP - RRSP AGF Management Common Shares BASARABA, Adrian 5 2019-06-30 30 5.61 1,954 27 Limited ESOP - Select Plan AGF Management Common Shares BASARABA, Adrian 5 2019-06-30 30 5.61 20,465 246 Limited ESP Vested AGF Management Common Shares Goldring, Blake Charles 4, 5 2019-06-30 30 5.61 14,054 198 Limited ESP Vested AGF Management Common Shares Goldring, Judy 4, 5 2019-06-30 30 5.45 63,844 3,196 Limited ESOP - Cash AGF Management Common Shares Goldring, Judy 4, 5 2019-06-30 30 5.61 4,970 70 Limited ESOP - Select Plan AGF Management Common Shares Goldring, Judy 4, 5 2019-06-30 30 5.61 23,651 332 Limited ESP Vested AGF Management Common Shares Jackson, Charles 5 2019-06-30 30 5.44 40,323 2,307 Limited ESOP - Cash Christopher AGF Management Common Shares Jackson, Charles 5 2019-06-30 30 5.61 38,345 539 Limited ESP Vested Christopher AGF Management Common Shares MCCREADIE, KEVIN 5 2019-06-30 30 5.42 48,687 4,351 Limited ESOP - Cash ANDREW AGF Management Common Shares MCCREADIE, KEVIN 5 2019-06-30 30 5.61 132,670 1,865 Limited ESP Vested ANDREW AgJunction Inc. Common Shares Morris, Jeffrey 5 2019-06-04 56 0.5294 140,493 50,000 (formerly Hemisphere GPS Inc.) AgJunction Inc. Restricted Shares Morris, Jeffrey 5 2019-06-14 56 0.5294 151,233 -50,000 (formerly Hemisphere GPS Inc.) AgraFlora Organics Common Shares Organic Flower Investments 3 2019-03-18 00 International Inc. Group Inc. AgraFlora Organics Common Shares Organic Flower Investments 3 2019-07-11 16 0.4 348,109,251 348,109,251 International Inc. Group Inc. AIM4 Ventures Inc. Options Friedman, Alan Mark 4 2019-05-08 00 AIM4 Ventures Inc. Options Friedman, Alan Mark 4 2019-07-04 50 0.1 213,000 213,000 AIM4 Ventures Inc. Options Goldenberg, Zachary 5 2019-05-08 00 AIM4 Ventures Inc. Options Goldenberg, Zachary 5 2019-07-04 50 0.1 213,000 213,000 AIM4 Ventures Inc. Options Salz, Aaron 5 2019-05-08 00 AIM4 Ventures Inc. Options Salz, Aaron 5 2019-07-04 50 0.1 213, 000 213,000 AIM4 Ventures Inc. Options Sontrop, J Marc 4 2019-05-08 00 AIM4 Ventures Inc. Options Sontrop, J Marc 4 2019-07-04 50 0.1 213,000 213,000 AIM4 Ventures Inc. Options Unger, Aaron Isaac 4 2019-05-08 00 AIM4 Ventures Inc. Options Unger, Aaron Isaac 4 2019-07-04 50 0.1 213,000 213,000 Aimia Inc. Common Shares Aimia Inc. 1 2019-06-10 38 3.63 156,448 156,448 Aimia Inc. Common Shares Aimia Inc. 1 2019-06-10 38 0 -156,448 Aimia Inc. Common Shares Aimia Inc. 1 2019-06-11 38 3.65 156,448 156,448 Aimia Inc. Common Shares Aimia Inc. 1 2019-06-11 38 0 -156,448 Aimia Inc. Common Shares Aimia Inc. 1 2019-06-12 38 3.66 156,448 156,448 Aimia Inc. Common Shares Aimia Inc. 1 2019-06-12 38 0 -156,448 Aimia Inc. Common Shares Aimia Inc. 1 2019-06-13 38 3.73 156,448 156,448 Aimia Inc. Common Shares Aimia Inc. 1 2019-06-13 38 0 -156,448 Aimia Inc. Common Shares Aimia Inc. 1 2019-06-14 38 3.66 156,448 156,448 Aimia Inc. Common Shares Aimia Inc. 1 2019-06-14 38 0 -156,448 Aimia Inc. Common Shares Aimia Inc. 1 2019-06-17 38 3.78 156,448 156,448 Aimia Inc. Common Shares Aimia Inc. 1 2019-06-17 38 0 -156,448 Aimia Inc. Common Shares Aimia Inc. 1 2019-06-18 38 3.74 390,800 390,800 Aimia Inc. Common Shares Aimia Inc. 1 2019-06-18 38 0 -390,800 Aimia Inc. Common Shares Aimia Inc. 1 2019-06-19 38 3.76 156,448 156,448 Aimia Inc. Common Shares Aimia Inc. 1 2019-06-19 38 0 -156,448 Aimia Inc. Common Shares Aimia Inc. 1 2019-06-20 38 3.74 156,448 156,448 Aimia Inc. Common Shares Aimia Inc. 1 2019-06-20 38 0 -156,448 Aimia Inc. Common Shares Aimia Inc. 1 2019-06-21 38 3.75 350,900 350,900 Aimia Inc. Common Shares Aimia Inc. 1 2019-06-21 38 0 -350,900
July 18, 2019 (2019), 42 OSCB 6170
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Aimia Inc. Common Shares Aimia Inc. 1 2019-06-24 38 3.68 156,448 156,448 Aimia Inc. Common Shares Aimia Inc. 1 2019-06-24 38 0 -156,448 Aimia Inc. Common Shares Aimia Inc. 1 2019-06-25 38 3.65 156,448 156,448 Aimia Inc. Common Shares Aimia Inc. 1 2019-06-25 38 0 -156,448 Aimia Inc. Common Shares Aimia Inc. 1 2019-06-26 38 3.66 156,448 156,448 Aimia Inc. Common Shares Aimia Inc. 1 2019-06-26 38 0 -156,448 Aimia Inc. Common Shares Aimia Inc. 1 2019-06-27 38 3.66 532,800 532,800 Aimia Inc. Common Shares Aimia Inc. 1 2019-06-27 38 0 -532,800 Aimia Inc. Common Shares Aimia Inc. 1 2019-06-28 38 3.7 156,448 156,448 Aimia Inc. Common Shares Aimia Inc. 1 2019-06-28 38 0 -156,448 Aimia Inc. Common Shares Mittleman Investment 3 2019-07-09 97 27,730,613 -7,600 Management, LLC
Aimia Inc. Common Shares Mittleman Investment 3 2019-07-12 97 27,707,113 -23,500 Management, LLC Air Canada Class B Voting Air Canada 1 2019-07-08 38 41.585 25,000 25,000 Shares Air Canada Class B Voting Air Canada 1 2019-07-08 38 0 -25,000 Shares Air Canada Class B Voting Air Canada 1 2019-07-09 38 41.037 25,000 25,000 Shares Air Canada Class B Voting Air Canada 1 2019-07-09 38 0 -25,000 Shares Air Canada Class B Voting Air Canada 1 2019-07-10 38 41.723 25,000 25,000 Shares Air Canada Class B Voting Air Canada 1 2019-07-10 38 0 -25,000 Shares Air Canada Class B Voting Air Canada 1 2019-07-11 38 42.299 25,000 25,000 Shares Air Canada Class B Voting Air Canada 1 2019-07-11 38 0 -25,000 Shares Air Canada Class B Voting Air Canada 1 2019-07-12 38 42.442 25,000 25,000 Shares Air Canada Class B Voting Air Canada 1 2019-07-12 38 0 -25,000 Shares AJN Resources Inc. Common Shares Eckhof, Sheena Jane 4 2019-06-25 00 Akita Drilling Ltd. Non-Voting Shares Charlton, Loraine 4 2019-07-09 30 2.47 16,769 446 Akita Drilling Ltd. Non-Voting Shares Coleman, Raymond 5 2019-07-09 30 2.47 33,916 427 Akita Drilling Ltd. Non-Voting Shares Dafoe, Douglas Allan 4 2019-07-09 30 2.47 19,744 34 Akita Drilling Ltd. Non-Voting Shares Dease, Colin 5 2019-07-09 30 2.47 27,735 360 Akita Drilling Ltd. Non-Voting Shares Hensel, Fred 5 2019-07-09 30 2.47 63,663 589 Akita Drilling Ltd. Non-Voting Shares Kushner, Craig 5 2019-07-09 30 2.47 21,598 594 Akita Drilling Ltd. Non-Voting Shares Mohan, Harish 4 2019-07-09 30 2.47 8,323 255 Akita Drilling Ltd. Non-Voting Shares Reynolds, Darcy 5 2019-07-09 30 2.47 12,718 178 Akita Drilling Ltd. Non-Voting Shares RICHARDSON, DALE 4 2019-07-09 30 2.47 39,892 451 Akita Drilling Ltd. Non-Voting Shares Ruud, Karl 4 2019-07-09 30 2.47 49,850 594 Akita Drilling Ltd. Non-Voting Shares Southern-Heathcott, Linda 4, 6 2019-07-09 30 2.47 26,348 451 A. Akita Drilling Ltd. Non-Voting Shares Southern, Nancy C. 4, 6 2019-07-09 30 2.47 30,257 451 Akita Drilling Ltd. Non-Voting Shares Spitznagel, Curt Perry 4 2019-07-09 30 2.47 14,848 451 Akita Drilling Ltd. Non-Voting Shares Wilmot, Harry 4 2019-07-09 30 2.47 5,908 174 Akita Drilling Ltd. Non-Voting Shares WILSON, Charles W. 4 2019-07-09 30 2.47 46,195 372 Akumin Inc. Common Shares Adams, AMy Michelle 5 2019-07-11 30 343 27 Akumin Inc. Common Shares Fitzgerald, Christopher 5 2019-07-11 30 124 6 Gifford Akumin Inc. Common Shares Kassa, Laura Mae 5 2019-07-11 30 377 15 Akumin Inc. Common Shares Luckey, Michael 5 2019-07-11 30 291 16 Akumin Inc. Common Shares Meredith, Michael 5 2019-07-11 30 269 13 Akumin Inc. Common Shares Moore, Karen 7 2019-07-11 30 125 8 Akumin Inc. Common Shares Quesenberry, Marcus 5 2019-07-11 30 315 13 Akumin Inc. Common Shares Richardson, Jason 5 2019-07-11 30 371 16 Alamos Gold Inc. Common Shares Barwell, Christine 5 2019-07-10 30 8.07 24,642 442 Class A Alamos Gold Inc. Common Shares Bostwick, Christopher John 5 2019-07-10 30 8.06 573 Class A Alamos Gold Inc. Common Shares Bostwick, Christopher John 5 2019-07-10 30 8.07 67,069 573 Class A Alamos Gold Inc. Common Shares Chavez - Martinez, Mario 5 2019-07-10 30 6.13 85,357 618 Class A Luis
July 18, 2019 (2019), 42 OSCB 6171
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Alamos Gold Inc. Common Shares Cormier, John Andrew 5 2019-07-10 30 8.07 51,020 519 Class A Alamos Gold Inc. Common Shares Engelstad, Nils Frederik 8 2019-07-10 30 8.07 24,217 558 Class A Jonas Alamos Gold Inc. Common Shares Fisher, Gregory S. 5 2019-07-10 30 8.07 21,056 293 Class A Alamos Gold Inc. Common Shares MacPhail, Peter 5 2019-07-10 30 8.07 117,035 813 Class A Alamos Gold Inc. Common Shares McCluskey, John 4, 5 2019-07-10 30 8.07 472,156 1,317 Class A Alamos Gold Inc. Common Shares Parsons, Scott Kyle 5 2019-07-10 30 8.07 35,983 426 Class A Alamos Gold Inc. Common Shares Porter, James 5 2019-07-10 30 8.07 117,477 813 Class A Alamos Gold Inc. Common Shares Webster, Colin 5 2019-07-10 30 8.07 11,358 328 Class A Alimentation Couche- Subordinate Voting ╔lie, Jean AndrÚ 4 2019-07-11 10 84.145 20,550 -1,500 Tard Inc. Shares CatÚgorie B Almaden Minerals Ltd. Options Poliquin, James Duane 4, 5 2019-07-02 52 1,094,189 -300,000 Altai Resources Inc. Common Shares AU, Maria Pui-Ching 5 2019-07-10 10 0.065 2,021,800 5,000 Altai Resources Inc. Common Shares AU, Maria Pui-Ching 5 2019-07-12 10 0.065 2,041,800 20,000 Altair Resources Inc. Common Shares Dhanani, Zahir 3 2019-07-10 10 0.055 25,000 Altair Resources Inc. Common Shares Dhanani, Zahir 3 2019-07-10 10 0.055 175,150 -25,000 Altair Resources Inc. Common Shares Dhanani, Zahir 3 2019-07-10 11 0.05 9,000 Altair Resources Inc. Common Shares Dhanani, Zahir 3 2019-07-10 11 0.05 166,150 -9,000 Altius Minerals Common Shares Altius Minerals Corporation 1 2019-06-06 38 12.12 5,700 5,700 Corporation Altius Minerals Common Shares Altius Minerals Corporation 1 2019-06-07 38 12.11 12,700 7,000 Corporation Altius Minerals Common Shares Altius Minerals Corporation 1 2019-06-10 38 12.157 18,300 5,600 Corporation Altius Minerals Common Shares Altius Minerals Corporation 1 2019-06-11 38 12.097 26,900 8,600 Corporation Altius Minerals Common Shares Altius Minerals Corporation 1 2019-06-12 38 12.067 33,400 6,500 Corporation Altius Minerals Common Shares Altius Minerals Corporation 1 2019-06-13 38 12.059 39,400 6,000 Corporation Altius Minerals Common Shares Altius Minerals Corporation 1 2019-06-14 38 12.075 42,400 3,000 Corporation Altius Minerals Common Shares Altius Minerals Corporation 1 2019-06-17 38 12.13 52,100 9,700 Corporation Altius Minerals Common Shares Altius Minerals Corporation 1 2019-06-18 38 12.269 60,100 8,000 Corporation Altius Minerals Common Shares Altius Minerals Corporation 1 2019-06-20 38 12.35 60,700 600 Corporation Altius Minerals Common Shares Altius Minerals Corporation 1 2019-06-28 38 12.615 66,000 5,300 Corporation Altius Minerals Common Shares Altius Minerals Corporation 1 2019-07-03 38 12.168 0 -66,000 Corporation Anaconda Mining Inc. Common Shares Bullock, Kevin 4, 5 2019-07-10 11 0.27 310,000 260,000 Anaconda Mining Inc. Warrants Bullock, Kevin 4, 5 2019-04-01 00 Anaconda Mining Inc. Warrants Bullock, Kevin 4, 5 2019-07-10 11 130,000 130,000 Anaconda Mining Inc. Common Shares Byron, Michael 4 2019-07-10 11 0.35 43,000 Anaconda Mining Inc. Common Shares Byron, Michael 4 2019-07-10 16 0.35 43,000 43,000 Anaconda Mining Inc. Warrants Byron, Michael 4 2012-02-10 00 Anaconda Mining Inc. Warrants Byron, Michael 4 2019-07-10 53 0.45 21,500 21,500 Anaconda Mining Inc. Common Shares Dufour, Robert 5 2019-07-10 11 0.35 654,721 163,471 Anaconda Mining Inc. Warrants Dufour, Robert 5 2017-05-23 00 Anaconda Mining Inc. Warrants Dufour, Robert 5 2019-07-10 11 81,736 81,736 Anaconda Mining Inc. Common Shares Lawrick, Victor Lewis 4 2019-07-08 10 0.2707 1,143,226 -500,000 Anaconda Mining Inc. Common Shares Lawrick, Victor Lewis 4 2019-07-10 11 0.27 1,643,226 500,000 Anaconda Mining Inc. Warrants Lawrick, Victor Lewis 4 2019-07-10 11 0.45 773,077 250,000 Andrew Peller Limited Non-Voting Shares BERTI, GREGORY JOHN 5 2019-07-08 10 14.16 96,705 211 (formerly AndrÚs Class A Wines Ltd.)
July 18, 2019 (2019), 42 OSCB 6172
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Andrew Peller Limited Non-Voting Shares COLE, JAMES HERBERT 5 2019-07-08 10 14.16 35,978 106 (formerly AndrÚs Class A Wines Ltd.) Andrew Peller Limited Non-Voting Shares HAWTHORNE, JOHN 5 2019-07-08 10 14.16 2,775 10 (formerly AndrÚs Class A GAVIN Wines Ltd.) Andrew Peller Limited Non-Voting Shares MCDONALD, CRAIG DAVID 5 2019-07-08 10 14.16 23,258 45 (formerly AndrÚs Class A Wines Ltd.) Andrew Peller Limited Non-Voting Shares POWELL, RANDY ALAN 4 2019-07-08 10 14.16 40,353 43 (formerly AndrÚs Class A Wines Ltd.) Andrew Peller Limited Non-Voting Shares WALL, BRENDAN 5 2019-07-08 10 14.16 55,921 218 (formerly AndrÚs Class A PATRICK Wines Ltd.) Ansar Financial and Common Shares Jalaluddin, Mohammed 3, 4, 5 2019-07-10 10 0.65 2,088,520 -5,000 Development Corporation Ansar Financial and Common Shares Nasim, Pervez 3, 4, 5 2019-07-10 10 0.65 2,088,520 -5,000 Development Corporation ARC Resources Ltd. Options Dielwart, John Patrick 4 2019-06-21 52 0 -95,202 Argex Titanium Inc. Options Dallala, Amir 4 2017-05-18 00 Argex Titanium Inc. Options Dallala, Amir 4 2018-09-06 50 2,750,000 2,750,000 Argex Titanium Inc. Options Haddad, Mazen 4, 5 2018-09-06 50 7,000,000 2,000,000 Argex Titanium Inc. Options Rais, Florian 4 2018-09-06 50 5,425,000 5,000,000 Argo Gold Inc. Common Shares Baker, Judith Catharine 4 2019-07-05 10 0.1 4,308,250 25,000 (formerly Arbitrage Exploration Inc.) Arizona Silver Options Hahn, Gregory Arthur 4, 5 2019-07-08 50 0.12 525,000 225,000 Exploration Inc. Arizona Silver Options Hean, Scott Bradbury 4 2019-07-08 50 0.12 275,000 175,000 Exploration Inc. Arizona Silver Options Shim, Dong Hyun 5 2019-07-08 50 0.12 300,000 125,000 Exploration Inc. Arizona Silver Options Spiering, Eugene 4 2019-07-08 50 0.12 227,250 100,000 Exploration Inc. Arizona Silver Common Shares Stark, Michael 4 2019-07-11 10 0.105 1,175,700 5,000 Exploration Inc. Arizona Silver Options Stark, Michael 4 2016-11-18 00 Exploration Inc.
Arizona Silver Options Stark, Michael 4 2019-07-08 50 0.12 225,000 Exploration Inc.
Arizona Silver Options Stark, Michael 4 2019-07-08 50 0.12 225,000 Exploration Inc. Arizona Silver Options Stark, Michael 4 2019-07-08 50 0.12 450,000 225,000 Exploration Inc. Arizona Silver Options Vincent, David John 4 2019-07-08 50 0.12 200,000 100,000 Exploration Inc. Artis Real Estate Units Albo, Ida 4 2019-07-02 10 11.63 18,890 75 Investment Trust Artis Real Estate Units Riley, Kimberly 4 2019-07-11 10 11.72 3,000 1,008 Investment Trust Athabasca Minerals Common Shares Paulencu, Donald 4 2019-07-12 51 0.3 1,010,000 60,000 Inc. Athabasca Minerals Common Shares Paulencu, Donald 4 2019-07-12 54 0.35 1,085,000 75,000 Inc. Athabasca Minerals Common Shares Paulencu, Donald 4 2019-07-12 54 0.35 -75,000 Inc. Athabasca Minerals Common Shares Paulencu, Donald 4 2019-07-12 54 0.35 -75,000 Inc. Athabasca Minerals Options Paulencu, Donald 4 2019-07-12 51 0.3 -60,000 Inc. Athabasca Minerals Options Paulencu, Donald 4 2019-07-12 51 0.3 -60,000 Inc. Athabasca Minerals Options Paulencu, Donald 4 2019-07-12 51 0.3 290,000 -60,000 Inc. Athabasca Minerals Warrants Paulencu, Donald 4 2019-07-12 54 0.35 0 -75,000 Inc.
July 18, 2019 (2019), 42 OSCB 6173
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Atlantic Power Common Shares Atlantic Power Corporation 1 2019-06-03 38 2.27 89,951 89,451 Corporation Atlantic Power Common Shares Atlantic Power Corporation 1 2019-06-04 38 2.2668 223,877 133,926 Corporation Atlantic Power Common Shares Atlantic Power Corporation 1 2019-06-05 38 2.27 296,426 72,549 Corporation Atlantic Power Common Shares Atlantic Power Corporation 1 2019-06-06 38 2.27 302,126 5,700 Corporation Atlantic Power Common Shares Atlantic Power Corporation 1 2019-06-10 38 2.27 312,907 10,781 Corporation Atlantic Power Common Shares Atlantic Power Corporation 1 2019-06-11 38 2.27 313,107 200 Corporation Atlantic Power Common Shares Atlantic Power Corporation 1 2019-06-12 38 2.27 313,307 200 Corporation
Atlantic Power Common Shares Atlantic Power Corporation 1 2019-06-28 38 0 -313,307 Corporation Atlantic Power Preferred Shares Atlantic Power Corporation 1 2019-06-24 38 18.4 9,800 9,800 Corporation Series 2 Atlantic Power Preferred Shares Atlantic Power Corporation 1 2019-06-28 38 0 -9,800 Corporation Series 2 Aurinia Common Shares Jayne, David Roland Walker 4 2015-05-26 00 Pharmaceuticals Inc. Aurinia Common Shares Jayne, David Roland Walker 4 2019-07-08 51 4.31 3,800 3,800 Pharmaceuticals Inc. Aurinia Options Jayne, David Roland Walker 4 2019-07-08 51 131,200 -3,800 Pharmaceuticals Inc. Aurinia Common Shares Milne, George M 4 2017-05-08 00 Pharmaceuticals Inc. Aurinia Common Shares Milne, George M 4 2019-07-08 10 6.3201 10,000 10,000 Pharmaceuticals Inc. Auryn Resources Inc. Common Shares Wallace, Shawn 3, 4, 5 2019-07-05 11 2,958,333 -600,000 Avalon Advanced Options Bubar, Donald Stephen 4, 5 2019-07-09 50 0.08 1,800,000 500,000 Materials Inc. Avarone Metals Inc. Options Vig, Rana Gurvinder 4 2019-07-08 00 Avarone Metals Inc. Options Vig, Rana Gurvinder 4 2019-07-08 50 250,000 250,000 AXMIN Inc. (formerly Options Tai, Joe Kin Foon 4 2019-07-02 50 0.6 2,550,000 600,000 Asquith Resources Inc.) AXMIN Inc. (formerly Options weill, david 4 2019-07-04 50 600,000 Asquith Resources Inc.) AXMIN Inc. (formerly Options weill, david 4 2019-07-04 50 3,000,000 750,000 Asquith Resources Inc.) AXMIN Inc. (formerly Options Yan, Xiaqing 4, 5 2019-07-02 50 0.6 5,200,000 1,200,000 Asquith Resources Inc.) Azarga Uranium Corp. Common Shares Catchpole, Glenn 4, 5 2019-07-08 46 0.255 1,580,809 37,424 Azarga Uranium Corp. Common Shares Havlin, Joseph 4 2019-07-08 46 0.255 16,038 Azarga Uranium Corp. Common Shares Havlin, Joseph 4 2019-07-08 46 0.255 1,595,729 16,038 Azarga Uranium Corp. Common Shares Havlin, Joseph 4 2019-07-08 46 0.255 1,622,457 26,728 Azarga Uranium Corp. Common Shares Hilditch, Todd 4 2019-07-08 46 0.255 1,731,955 12,830 Azarga Uranium Corp. Common Shares Hilditch, Todd 4 2019-07-08 46 0.255 1,753,341 21,386 Azarga Uranium Corp. Common Shares Jamison, Delos Cy 4 2019-07-08 46 0.255 266,298 12,830 Azarga Uranium Corp. Common Shares Jamison, Delos Cy 4 2019-07-08 46 0.255 287,684 21,386 Azarga Uranium Corp. Common Shares MacKay, Sandra Rose 4 2019-07-08 46 0.255 521,745 12,830 Azarga Uranium Corp. Common Shares MacKay, Sandra Rose 4 2019-07-08 46 0.255 543,131 21,386 Azarga Uranium Corp. Common Shares O'Kane, Matthew James 6 2019-07-08 46 0.255 888,018 16,038 Gerard Azarga Uranium Corp. Common Shares O'Kane, Matthew James 6 2019-07-08 46 0.255 914,746 26,728 Gerard Azarga Uranium Corp. Common Shares Steele, Blake Albert 5 2019-07-08 46 0.255 4,880,214 106,923 Aztec Minerals Corp. Options Cooke, Bradford 4 2019-07-03 50 700,000 200,000 Aztec Minerals Corp. Options lockwood, stewart leroy 4, 5 2019-07-10 50 0.12 250,000 100,000 Aztec Minerals Corp. Common Shares Rebagliati, Clarence Mark 4 2019-05-01 10 0.14 53,000 28,000
Aztec Minerals Corp. Common Shares Rebagliati, Clarence Mark 4 2019-05-07 10 0.14 53,500 500
July 18, 2019 (2019), 42 OSCB 6174
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Aztec Minerals Corp. Common Shares Rebagliati, Clarence Mark 4 2019-05-09 10 0.14 66,500 13,000
Aztec Minerals Corp. Common Shares Rebagliati, Clarence Mark 4 2019-05-14 10 0.14 75,500 9,000
Aztec Minerals Corp. Options Rebagliati, Clarence Mark 4 2019-07-03 50 250,000 100,000
Aztec Minerals Corp. Warrants Rebagliati, Clarence Mark 4 2019-05-02 55 0 -12,500
Aztec Minerals Corp. Options Schilling, James 4 2019-07-03 50 0.12 250,000 100,000 Aztec Minerals Corp. Options Varas, Jorge Patricio 4 2019-07-10 50 0.12 250,000 100,000 Aztec Minerals Corp. Options Wilkins, Joseph 5 2019-07-03 50 0.12 700,000 200,000 Aztec Minerals Corp. Options Yee, Philip 5 2019-07-03 50 425,000 75,000 B2Gold Corp. Common Shares Bullock, Kevin 4 2019-07-10 10 20,000 -3,000 B2Gold Corp. Rights Deferred Johnson, George 4 2019-07-04 56 153,761 5,372 Share Units B2Gold Corp. Common Shares Mackinnon, Hugh 5 2019-07-09 51 2 337,654 15,000 B2Gold Corp. Common Shares Mackinnon, Hugh 5 2019-07-09 10 4.03 322,654 -15,000 B2Gold Corp. Common Shares Mackinnon, Hugh 5 2019-07-09 51 1.12 352,654 30,000 B2Gold Corp. Common Shares Mackinnon, Hugh 5 2019-07-09 10 4.03 322,654 -30,000 B2Gold Corp. Common Shares Mackinnon, Hugh 5 2019-07-11 51 2 327,654 5,000 B2Gold Corp. Common Shares Mackinnon, Hugh 5 2019-07-11 10 4.1 322,654 -5,000 B2Gold Corp. Options Mackinnon, Hugh 5 2019-07-09 51 2 480,000 -15,000 B2Gold Corp. Options Mackinnon, Hugh 5 2019-07-09 51 1.12 450,000 -30,000 B2Gold Corp. Options Mackinnon, Hugh 5 2019-07-11 51 2 445,000 -5,000 B2Gold Corp. Rights Deferred Mtshisi, Bongani 4 2019-07-04 56 130,566 5,056 Share Units B2Gold Corp. Common Shares Scott, Brian 5 2019-07-09 51 2 233,955 50,000 B2Gold Corp. Common Shares Scott, Brian 5 2019-07-09 10 4.01 183,955 -50,000 B2Gold Corp. Options Scott, Brian 5 2019-07-09 51 2 125,000 -50,000 Bank of Nova Scotia, Common Shares Bank of Nova Scotia, The 1 2019-05-30 38 69.375 600,000 200,000 The Bank of Nova Scotia, Common Shares Bank of Nova Scotia, The 1 2019-05-31 38 68.691 400,000 200,000 The Bank of Nova Scotia, Common Shares Bank of Nova Scotia, The 1 2019-06-03 38 69.189 600,000 200,000 The Bank of Nova Scotia, Common Shares Bank of Nova Scotia, The 1 2019-06-04 38 69.662 800,000 200,000 The Bank of Nova Scotia, Common Shares Bank of Nova Scotia, The 1 2019-06-05 38 69.736 1,000,000 200,000 The Bank of Nova Scotia, Common Shares Bank of Nova Scotia, The 1 2019-06-06 38 70 1,200,000 200,000 The Bank of Nova Scotia, Common Shares Bank of Nova Scotia, The 1 2019-06-07 38 70.46 1,400,000 200,000 The Bank of Nova Scotia, Common Shares Bank of Nova Scotia, The 1 2019-06-10 38 70.756 1,600,000 200,000 The Bank of Nova Scotia, Common Shares Bank of Nova Scotia, The 1 2019-06-11 38 70.835 1,800,000 200,000 The Bank of Nova Scotia, Common Shares Bank of Nova Scotia, The 1 2019-06-28 38 0 -1,800,000 The Barkerville Gold Mines Common Shares Tremblay, Eric 4 2019-06-17 00 34,000 Ltd. BARRIAN MINING Common Shares Sali, Maximilian 4, 5 2019-07-08 10 0.1 2,459,500 18,000 CORP. BARRIAN MINING Common Shares Sali, Maximilian 4, 5 2019-07-09 10 0.1 2,641,500 182,000 CORP. Bayhorse Silver Inc. Common Shares Cerenzia, John 4 2019-07-09 10 0.085 30,000 -60,000 Bear Creek Mining Common Shares Tweddle, Frank R. 4 2019-07-10 10 1.7 121,917 -10,000 Corporation Beleave Inc. Common Shares Ferreira, Roger Emmanuel 4, 5 2019-07-09 10 0.075 3,820,053 -140,000 (formerly Stream Ventures Inc.) Beleave Inc. Common Shares Ferreira, Roger Emmanuel 4, 5 2019-07-12 10 0.075 3,680,053 -140,000 (formerly Stream Ventures Inc.) Belgravia Capital Warrants Azodi, Mehdi 5 2019-07-10 55 0.06 0 -10,000,000 International Inc. (formerly, IC Potash Corp.) Belgravia Capital Warrants Kania, Paul 5 2019-07-10 55 0.06 0 -100,000 International Inc. (formerly, IC Potash Corp.)
July 18, 2019 (2019), 42 OSCB 6175
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Belgravia Capital Warrants Pettigrew, Pierre Stewart 4 2019-07-10 55 0.06 0 -1,000,000 International Inc. (formerly, IC Potash Corp.) Belgravia Capital Warrants Strong, Kevin Robert Jon 5 2019-07-10 55 0.06 0 -800,000 International Inc. (formerly, IC Potash Corp.) Belgravia Capital Warrants Stubbs, John 4 2019-07-10 55 0.06 0 -360,000 International Inc. (formerly, IC Potash Corp.) BevCanna Enterprises Options Campbell, Norman John 4, 5 2019-07-05 50 225,000 100,000 Inc.
BevCanna Enterprises Options Christopherson, Matthew 4 2019-07-05 50 100,000 100,000 Inc. John
BevCanna Enterprises Options Ciambrelli, Martino 5 2019-07-05 50 225,000 100,000 Inc.
BevCanna Enterprises Options Fontaine, Phil 4 2019-07-05 50 100,000 100,000 Inc. BevCanna Enterprises Options Leone, Marcello 3, 4, 5 2019-07-05 50 1,100,000 100,000 Inc. Bhang Inc. (formerly, Options Gledhill, Stephen Mark 4, 5 2019-07-11 00 Pele Mountain Resources Inc.) Bhang Inc. (formerly, Options Gledhill, Stephen Mark 4, 5 2019-07-12 50 0.52 200,000 200,000 Pele Mountain Resources Inc.) BIG Blockchain Common Shares Anstey, Shone Tyler 4 2019-07-08 10 0.1 9,057,755 10,000 Intelligence Group Inc. Biorem Inc. Common Shares Herner, Brian 4, 5 2019-07-04 10 0.36 430,393 -10,000 BioSyent Inc. Common Shares BioSyent Inc. 1 2019-06-03 38 7.19 262,100 262,100 BioSyent Inc. Common Shares BioSyent Inc. 1 2019-06-07 38 0 -262,100 BioSyent Inc. Common Shares BioSyent Inc. 1 2019-06-27 38 6.5 15,000 15,000 BioSyent Inc. Common Shares BioSyent Inc. 1 2019-07-05 38 0 -15,000 Birchcliff Energy Ltd. Common Shares Carlsen, Christopher Andrew 5 2019-07-08 10 2.75 8,600 3,500
Black Iron Inc. Options Bozoki, Paul Sandor 5 2016-12-22 52 0.54 850,000 -150,000 Black Iron Inc. Options Bozoki, Paul Sandor 5 2017-11-06 52 0.15 1,000,000 -150,000 Black Iron Inc. Options Bozoki, Paul Sandor 5 2019-01-08 52 0.165 700,000 -300,000 Black Iron Inc. Options Bozoki, Paul Sandor 5 2019-07-04 52 0.54 150,000 Black Iron Inc. Options Bozoki, Paul Sandor 5 2019-07-04 52 0.54 -150,000 Black Iron Inc. Options Bozoki, Paul Sandor 5 2019-07-04 52 0.15 -150,000 Black Iron Inc. Options Bozoki, Paul Sandor 5 2019-07-04 52 0.165 -300,000 Black Iron Inc. Common Shares Detmold, John 4 2019-07-05 10 0.125 1,243,909 100,000 Black Tusk Resources Common Shares Penn, Richard Ryan 3, 4, 5 2019-07-05 10 0.13 2,549,500 -150,000 Inc. Black Tusk Resources Common Shares Rubin, Roman Reuven 3, 4, 5 2019-07-05 10 0.13 1,725,501 -150,000 Inc. BlueRush Inc. Common Shares Smith, Paul G. 4 2019-02-01 00 BlueRush Inc. Common Shares Smith, Paul G. 4 2019-07-10 10 0.0966 50,000 50,000 BlueRush Inc. Common Shares Smith, Paul G. 4 2019-07-11 10 0.095 57,000 7,000 BlueRush Inc. Common Shares Smith, Paul G. 4 2019-07-12 10 0.095 152,000 95,000 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-03 38 13.56 500 500 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-03 38 0 -500 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-04 38 13.39 100 100 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-04 38 0 -100 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-06 38 13.39 1,000 1,000 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-06 38 0 -1,000 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-07 38 12.9 500 500 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-07 38 0 -500 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-11 38 12.87 1,000 1,000 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-11 38 0 -1,000 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-12 38 12.74 188 188 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-12 38 0 -188 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-13 38 12.71 1,000 1,000 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-13 38 0 -1,000 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-17 38 13.08 1,000 1,000 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-17 38 0 -1,000
July 18, 2019 (2019), 42 OSCB 6176
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-18 38 13 1,000 1,000 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-18 38 0 -1,000 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-19 38 12.99 500 500 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-19 38 0 -500 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-20 38 13 1,000 1,000 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-20 38 0 -1,000 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-21 38 12.76 1,000 1,000 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-21 38 0 -1,000 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-26 38 12.7 900 900 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-26 38 0 -900 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-26 38 12.74 28,223 28,223 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-26 38 0 -28,223 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-27 38 12.62 977 977 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-27 38 0 -977 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-28 38 12.62 1,000 1,000 BMTC Group Inc. Common Shares Groupe BMTC Inc. 1 2019-06-28 38 0 -1,000 Bonterra Energy Corp. Common Shares Fink, George Frederick 3, 4, 5 2019-07-05 10 5.2474 3,758,799 10,000 Bonterra Resources Common Shares Ouellette, Christina Sylvia 4 2018-09-24 00 Inc. Jean Bonterra Resources Common Shares Ouellette, Christina Sylvia 4 2019-07-12 10 2.78 5,000 5,000 Inc. Jean Bonterra Resources Common Shares Ouellette, Christina Sylvia 4 2018-09-24 00 Inc. Jean Bonterra Resources Common Shares Ouellette, Christina Sylvia 4 2019-07-12 10 2.78 10,500 10,500 Inc. Jean Bonterra Resources Common Shares Ouellette, Christina Sylvia 4 2018-09-24 00 Inc. Jean Bonterra Resources Common Shares Ouellette, Christina Sylvia 4 2018-09-24 00 Inc. Jean Bonterra Resources Common Shares Ouellette, Christina Sylvia 4 2019-07-12 10 2.78 20,000 20,000 Inc. Jean Braveheart Resources Common Shares Berzins, Ian Martin 4, 5 2019-07-05 10 0.0185 2,424,500 -30,000 Inc. Braveheart Resources Common Shares Matlock, Aaron 4, 5 2019-07-08 10 0.18 5,322,667 -241,000 Inc. Brookfield Asset Deferred Share Allan, Elyse 4 2019-07-04 30 47.78 15,867 53 Management Inc. Units Brookfield Asset Deferred Share Allan, Elyse 4 2019-07-04 56 47.78 16,966 1,099 Management Inc. Units Brookfield Asset Deferred Share Braly, Angela F. 4 2019-07-04 30 47.78 20,596 69 Management Inc. Units Brookfield Asset Deferred Share Braly, Angela F. 4 2019-07-04 56 47.78 21,773 1,177 Management Inc. Units Brookfield Asset Preferred Shares Brookfield Asset 1 2018-12-27 38 21.052 1,107 Management Inc. Cass A Series 18 Management Inc. Brookfield Asset Preferred Shares Brookfield Asset 1 2018-12-27 38 21.052 1,107 Management Inc. Cass A Series 18 Management Inc. Brookfield Asset Preferred Shares Brookfield Asset 1 2018-12-27 38 -1,107 Management Inc. Cass A Series 18 Management Inc. Brookfield Asset Preferred Shares Brookfield Asset 1 2018-12-27 38 -1,107 Management Inc. Cass A Series 18 Management Inc. Brookfield Asset Preferred Shares Brookfield Asset 1 2019-07-04 38 12.78 2,210 500 Management Inc. Class A Series 28 Management Inc. Brookfield Asset Preferred Shares Brookfield Asset 1 2019-07-04 38 1,710 -500 Management Inc. Class A Series 28 Management Inc. Brookfield Asset Preferred Shares Brookfield Asset 1 2019-07-04 38 17.404 2,085 2,085 Management Inc. Class A Series 40 Management Inc. Brookfield Asset Preferred Shares Brookfield Asset 1 2019-07-04 38 0 -2,085 Management Inc. Class A Series 40 Management Inc. Brookfield Asset Preferred Shares Brookfield Asset 1 2019-07-04 38 17.479 2,800 1,400 Management Inc. Class A Series 42 Management Inc. Brookfield Asset Preferred Shares Brookfield Asset 1 2019-07-04 38 1,400 -1,400 Management Inc. Class A Series 42 Management Inc. Brookfield Asset Preferred Shares Brookfield Asset 1 2019-07-05 38 17.5 1,700 300 Management Inc. Class A Series 42 Management Inc.
July 18, 2019 (2019), 42 OSCB 6177
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings
Brookfield Asset Preferred Shares Brookfield Asset 1 2019-07-05 38 1,400 -300 Management Inc. Class A Series 42 Management Inc. Brookfield Asset Deferred Share Coutu, Marcel R. 4 2019-07-04 30 47.78 53,121 73 Management Inc. Units Brookfield Asset Deferred Share Coutu, Marcel R. 4 2019-07-04 56 47.78 54,429 1,308 Management Inc. Units Brookfield Asset Deferred Share Coutu, Marcel R. 4 2019-07-04 30 62.65 54,536 107 Management Inc. Units Brookfield Asset Deferred Share Ferreira, Murilo 4 2019-07-04 30 47.78 8,758 29 Management Inc. Units
Brookfield Asset Deferred Share Ferreira, Murilo 4 2019-07-04 56 47.78 1,125 Management Inc. Units Brookfield Asset Deferred Share Ferreira, Murilo 4 2019-07-04 56 47.78 9,883 1,125 Management Inc. Units Brookfield Asset Deferred Share Kempston Darkes, V. 4 2019-07-04 30 47.78 56,235 48 Management Inc. Units Maureen Brookfield Asset Deferred Share Kempston Darkes, V. 4 2019-07-04 56 47.78 56,797 562 Management Inc. Units Maureen Brookfield Asset Deferred Share Kempston Darkes, V. 4 2019-07-04 30 62.65 56,940 143 Management Inc. Units Maureen Brookfield Asset Deferred Share McKenna, Frank 4 2019-07-04 30 62.65 174,410 323 Management Inc. Units Brookfield Asset Deferred Share McKenna, Frank 4 2019-07-04 30 47.78 174,676 266 Management Inc. Units Brookfield Asset Deferred Share McKenna, Frank 4 2019-07-04 56 62.65 2,616 Management Inc. Units Brookfield Asset Deferred Share McKenna, Frank 4 2019-07-04 56 62.65 177,292 2,616 Management Inc. Units Brookfield Asset Deferred Share Miranda Robredo, Rafael 4 2019-07-04 30 47.78 8,759 29 Management Inc. Units Brookfield Asset Deferred Share Miranda Robredo, Rafael 4 2019-07-04 56 47.48 9,884 1,125 Management Inc. Units Brookfield Asset Deferred Share O'Donnell, Augustine 4 2019-07-04 30 47.78 31,369 91 Management Inc. Units Thomas Brookfield Asset Deferred Share O'Donnell, Augustine 4 2019-07-04 30 62.65 31,384 15 Management Inc. Units Thomas Brookfield Asset Deferred Share O'Donnell, Augustine 4 2019-07-04 56 47.78 32,509 1,125 Management Inc. Units Thomas Brookfield Asset Deferred Share Seek, Ngee Huat 4 2019-07-04 30 47.78 34,947 91 Management Inc. Units
Brookfield Asset Deferred Share Seek, Ngee Huat 4 2019-07-04 30 47.78 27 Management Inc. Units Brookfield Asset Deferred Share Seek, Ngee Huat 4 2019-07-04 30 62.65 34,974 27 Management Inc. Units Brookfield Asset Deferred Share Seek, Ngee Huat 4 2019-07-04 56 47.78 36,099 1,125 Management Inc. Units Brookfield Asset Deferred Share Taylor, Diana 4 2019-07-04 30 47.78 37,666 88 Management Inc. Units Brookfield Asset Deferred Share Taylor, Diana 4 2019-07-04 30 62.65 37,704 38 Management Inc. Units Brookfield Asset Deferred Share Taylor, Diana 4 2019-07-04 56 47.78 38,829 1,125 Management Inc. Units Brookfield Property Limited Brookfield Property Partners 1 2019-06-03 38 18.34 100,000 100,000 Partners L.P. Partnership Units L.P. Brookfield Property Limited Brookfield Property Partners 1 2019-06-03 38 24.717 142,776 42,776 Partners L.P. Partnership Units L.P. Brookfield Property Limited Brookfield Property Partners 1 2019-06-10 38 18.75 144,176 1,400 Partners L.P. Partnership Units L.P. Brookfield Property Limited Brookfield Property Partners 1 2019-06-10 38 24.988 186,952 42,776 Partners L.P. Partnership Units L.P. Brookfield Property Limited Brookfield Property Partners 1 2019-06-13 38 18.713 187,552 600 Partners L.P. Partnership Units L.P. Brookfield Property Limited Brookfield Property Partners 1 2019-06-14 38 18.615 387,552 200,000 Partners L.P. Partnership Units L.P. Brookfield Property Limited Brookfield Property Partners 1 2019-06-14 38 24.971 430,328 42,776 Partners L.P. Partnership Units L.P.
July 18, 2019 (2019), 42 OSCB 6178
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings
Brookfield Property Limited Brookfield Property Partners 1 2019-06-14 38 0 -430,328 Partners L.P. Partnership Units L.P. BRP Inc. Options Le Breton, Anne 5 2019-07-08 51 1.13 104,574 -124 BRP Inc. Options Le Breton, Anne 5 2019-07-09 51 1.13 98,200 -6,374 BRP Inc. Subordinate Voting Le Breton, Anne 5 2019-07-08 51 1.13 178 124 Shares BRP Inc. Subordinate Voting Le Breton, Anne 5 2019-07-08 10 48.5 54 -124 Shares BRP Inc. Subordinate Voting Le Breton, Anne 5 2019-07-09 51 1.13 6,428 6,374 Shares BRP Inc. Subordinate Voting Le Breton, Anne 5 2019-07-09 10 48.75 54 -6,374 Shares BURCON Common Shares Chau, Rosanna Mei Wah 4, 6 2019-07-09 10 0.8 1,050,022 -50,000 NUTRASCIENCE CORPORATION Canaccord Genuity Rights Deferred Bralver, Charles Norman 4 2019-06-30 56 5.5772 70,144 2,242 Group Inc. Share Units (DSUs) Canaccord Genuity Rights Deferred Desai, Kalpana 4 2019-06-30 56 5.5772 44,805 2,242 Group Inc. Share Units (DSUs) Canaccord Genuity Rights Deferred Harris, Michael Deane 4 2019-06-30 56 5.5772 154,968 4,931 Group Inc. Share Units (DSUs) Canaccord Genuity Rights Deferred Jones, Merri 4 2019-06-30 56 5.5772 3,854 1,121 Group Inc. Share Units (DSUs) Canaccord Genuity Rights Deferred Lyons, Terrence 4 2019-06-30 56 5.5772 83,036 2,634 Group Inc. Share Units (DSUs) Canaccord Genuity Rights Deferred Shah, Dipesh Jayantilal 4 2019-06-30 56 5.5772 58,474 2,242 Group Inc. Share Units (DSUs) Canada Carbon Inc. Options Lipton, Gregory 4 2019-07-11 52 500,000 -200,000 Canada Goose Options Cameron, Scott 5 2019-07-08 51 4.6159 213,973 -9,870 Holdings Inc. Canada Goose Options Cameron, Scott 5 2019-07-08 51 4.6159 204,103 -9,870 Holdings Inc. Canada Goose Options Cameron, Scott 5 2019-07-08 51 4.6159 194,233 -9,870 Holdings Inc. Canada Goose Subordinate Voting Cameron, Scott 5 2019-07-08 51 4.6159 9,870 9,870 Holdings Inc. Shares Canada Goose Subordinate Voting Cameron, Scott 5 2019-07-08 10 52.58 0 -9,870 Holdings Inc. Shares Canada Goose Subordinate Voting Cameron, Scott 5 2019-07-08 51 4.6159 9,870 9,870 Holdings Inc. Shares Canada Goose Subordinate Voting Cameron, Scott 5 2019-07-08 10 52.57 0 -9,870 Holdings Inc. Shares Canada Goose Subordinate Voting Cameron, Scott 5 2019-07-08 51 4.6159 9,870 9,870 Holdings Inc. Shares Canada Goose Subordinate Voting Cameron, Scott 5 2019-07-08 10 52.57 0 -9,870 Holdings Inc. Shares Canada Goose Subordinate Voting Canada Goose Holdings Inc. 1 2019-06-03 38 45.077 123,500 123,500 Holdings Inc. Shares Canada Goose Subordinate Voting Canada Goose Holdings Inc. 1 2019-06-03 38 0 -123,500 Holdings Inc. Shares Canada Goose Subordinate Voting Canada Goose Holdings Inc. 1 2019-06-03 38 33.513 250,000 250,000 Holdings Inc. Shares Canada Goose Subordinate Voting Canada Goose Holdings Inc. 1 2019-06-03 38 0 -250,000 Holdings Inc. Shares Canada Goose Subordinate Voting Canada Goose Holdings Inc. 1 2019-06-06 38 32.304 100,000 100,000 Holdings Inc. Shares Canada Goose Subordinate Voting Canada Goose Holdings Inc. 1 2019-06-06 38 0 -100,000 Holdings Inc. Shares Canadian Natural Common Shares Best, Catherine May 4 2019-07-02 46 35.2 38,228 1,000 Resources Limited Canadian Natural Common Shares Froc, Jay Ellery 5 2019-06-17 10 36.15 25,352 -1,000 Resources Limited
July 18, 2019 (2019), 42 OSCB 6179
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Canadian Natural Common Shares Froc, Jay Ellery 5 2019-07-09 10 35.25 24,852 -500 Resources Limited Canadian Natural Common Shares Froc, Jay Ellery 5 2019-07-09 10 35.15 24,352 -500 Resources Limited Canadian Natural Common Shares Froc, Jay Ellery 5 2019-07-09 10 35.14 23,852 -500 Resources Limited Canadian Natural Common Shares Laing, Ronald Keith 5 2019-07-04 10 35.18 9,118 -1,450 Resources Limited Canadian Orebodies Common Shares Cudney, Robert Douglas 3 2019-06-19 10 0.2 5,963,592 10,000 Inc. Canadian Western Common Shares Bibby, Andrew John 4 2019-06-27 30 29.21 9,384 85 Bank Canadian Western Common Shares Bibby, Andrew John 4 2019-06-27 30 29.21 1,144 10 Bank Canadian Western Common Shares Jones, Darrell Robert 5 2019-07-10 10 23.695 3,738 Bank Canadian Western Common Shares Jones, Darrell Robert 5 2019-07-10 51 23.695 23,467 3,738 Bank Canadian Western Options Jones, Darrell Robert 5 2019-07-10 51 23.695 35,019 -18,741 Bank Canadian Western Options Jones, Darrell Robert 5 2019-07-10 51 23.695 3,738 Bank Canadian Western Options Jones, Darrell Robert 5 2019-07-10 51 23.695 3,738 Bank Canarc Resource Warrants Yee, Philip 5 2019-03-03 55 0 -137,500 Corp. Canopy Rivers Inc. Subordinated Mavrinac, Richard P. 4 2018-09-17 00 Voting Shares Canopy Rivers Inc. Subordinated Mavrinac, Richard P. 4 2018-09-17 00 29,000 Voting Shares Cardero Resource Common Shares Kopple, Robert Charles 3 2019-07-08 10 0.035 22,284,823 120,000 Corp. Carl Data Solutions Common Shares Scharfe, Jason Wesley 4 2019-07-11 10 0.085 1,288,500 40,000 Inc. Carl Data Solutions Common Shares Scharfe, Jason Wesley 4 2019-07-12 10 0.08 1,291,500 3,000 Inc. Centerra Gold Inc. Common Shares Desjardins, Daniel Richard 7 2019-07-08 30 9.27 10,667 1,387
Centerra Gold Inc. Common Shares Kwong, Dennis 5 2019-07-08 30 9.27 36,873 1,466 Centerra Gold Inc. Common Shares Millman, Darren 5 2019-07-08 30 9.27 8,651 1,651 Centerra Gold Inc. Common Shares Pearson, John William 5 2019-07-08 30 9.27 14,416 647 Centerra Gold Inc. Common Shares Perry, Scott Graeme 5 2019-07-08 30 9.27 98,669 2,630 Centerra Gold Inc. Common Shares Rehman, Yousef 5 2019-07-08 30 9.27 10,023 1,348 Central Timmins Options Dastoor, Neville 4 2019-07-02 50 0.05 850,000 250,000 Exploration Corp. Central Timmins Options Gryba, Charles M. 4 2019-07-02 50 0.05 1,000,000 250,000 Exploration Corp. Central Timmins Options Hopkins, Christopher John 5 2019-07-02 00 Exploration Corp. Central Timmins Options Hopkins, Christopher John 5 2019-07-02 50 0.05 75,000 75,000 Exploration Corp. Central Timmins Options Kemp, Julian 4 2019-07-02 50 0.05 650,000 150,000 Exploration Corp. Central Timmins Options Roberts, George Wesley 4 2019-07-02 50 0.05 650,000 150,000 Exploration Corp. Central Timmins Options Sullivan, John Reynolds 4 2019-07-02 50 0.05 650,000 150,000 Exploration Corp. Cequence Energy Ltd. Warrants with an Archibald, Donald 4, 5 2019-05-13 38 0 -176,780 exercise price of $2.00, expiring September 13, 2022 Cequence Energy Ltd. Warrants with an Crone, Howard James 4, 5 2019-05-13 38 0 -176,780 exercise price of $2.00, expiring September 13, 2022 Cequence Energy Ltd. Common Shares Cumming, Geoffrey A. 3 2019-06-27 00 8,338,584 Ceres Global Ag Corp. Common Shares Vanasek, James Thomas 3, 4 2019-07-09 10 3.0949 12,160,146 15,800
July 18, 2019 (2019), 42 OSCB 6180
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Cervus Equipment Common Shares Cervus Equipment 1 2019-07-03 38 12.71 157,700 1,800 Corporation Corporation Cervus Equipment Common Shares Cervus Equipment 1 2019-07-04 38 12.557 159,500 1,800 Corporation Corporation Cervus Equipment Common Shares Cervus Equipment 1 2019-07-05 38 12.276 161,300 1,800 Corporation Corporation Cervus Equipment Common Shares Cervus Equipment 1 2019-07-08 38 12.071 162,600 1,300 Corporation Corporation Cervus Equipment Common Shares Cervus Equipment 1 2019-07-09 38 12.175 164,400 1,800 Corporation Corporation Cervus Equipment Common Shares Cervus Equipment 1 2019-07-10 38 11.85 166,200 1,800 Corporation Corporation CES Energy Solutions Common Shares CES Energy Solutions Corp. 1 2019-06-03 38 2.18 100,000 100,000 Corp. CES Energy Solutions Common Shares CES Energy Solutions Corp. 1 2019-06-04 38 2.21 150,000 50,000 Corp. CES Energy Solutions Common Shares CES Energy Solutions Corp. 1 2019-06-05 38 2.1775 250,000 100,000 Corp. CES Energy Solutions Common Shares CES Energy Solutions Corp. 1 2019-06-06 38 2.2178 350,000 100,000 Corp. CES Energy Solutions Common Shares CES Energy Solutions Corp. 1 2019-06-07 38 2.258 425,000 75,000 Corp. CES Energy Solutions Common Shares CES Energy Solutions Corp. 1 2019-06-10 38 2.2836 475,000 50,000 Corp. CES Energy Solutions Common Shares CES Energy Solutions Corp. 1 2019-06-11 38 2.3775 500,000 25,000 Corp. CES Energy Solutions Common Shares CES Energy Solutions Corp. 1 2019-06-12 38 2.2398 550,000 50,000 Corp. CES Energy Solutions Common Shares CES Energy Solutions Corp. 1 2019-06-13 38 2.2786 575,000 25,000 Corp. CES Energy Solutions Common Shares CES Energy Solutions Corp. 1 2019-06-14 38 2.2249 625,000 50,000 Corp. CES Energy Solutions Common Shares CES Energy Solutions Corp. 1 2019-06-17 38 2.2422 650,800 25,800 Corp. CES Energy Solutions Common Shares CES Energy Solutions Corp. 1 2019-06-18 38 2.3069 676,200 25,400 Corp. CES Energy Solutions Common Shares CES Energy Solutions Corp. 1 2019-06-19 38 2.2753 723,800 47,600 Corp. CES Energy Solutions Common Shares CES Energy Solutions Corp. 1 2019-06-20 38 2.2507 773,800 50,000 Corp. CES Energy Solutions Common Shares CES Energy Solutions Corp. 1 2019-06-21 38 2.33 816,601 42,801 Corp. CES Energy Solutions Common Shares CES Energy Solutions Corp. 1 2019-06-28 38 2.2388 0 -816,601 Corp. Champion Bear Options Kantor, Richard Derrick 3, 4, 5 2019-07-09 51 0.16 3,224,278 84,945 Resources Ltd. Chemistree Common Shares Kottmeier, Karl Eric 4 2019-07-10 10 0.3 408,000 20,000 Technology Inc. (Formerly Whattozee Networks Inc.) Chinook Tyee Industry Common Shares Kusumoto, Tom 3 2012-12-14 00 Limited Chinook Tyee Industry Common Shares Kusumoto, Tom 3 2019-07-10 11 0.15 200,000 200,000 Limited Chinook Tyee Industry Common Shares Kusumoto, Tom 3 2012-12-14 00 1,349,950 Limited Chinook Tyee Industry Common Shares Kusumoto, Tom 3 2018-12-14 37 4,049,850 2,699,900 Limited Chinook Tyee Industry Options Kusumoto, Tom 3 2012-12-14 00 Limited Chinook Tyee Industry Options Kusumoto, Tom 3 2019-07-10 50 0.15 200,000 200,000 Limited Chinook Tyee Industry Common Shares Taiga Atlas plc 3 2019-06-12 00 2,310,176 Limited CI Financial Corp. Common Shares Chang-Addorisio, Brigette 4 2019-07-08 10 21.64 345,000 -15,000 Elizabeth
July 18, 2019 (2019), 42 OSCB 6181
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-03 38 20.373 80,000 80,000 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-03 38 0 -80,000 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-04 38 20.43 105,900 105,900 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-04 38 0 -105,900 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-05 38 20.831 60,000 60,000 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-05 38 0 -60,000 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-06 38 20.827 51,300 51,300 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-06 38 0 -51,300 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-07 38 21.088 79,900 79,900 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-07 38 0 -79,900 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-10 38 21.33 60,000 60,000 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-10 38 0 -60,000 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-11 38 21.099 79,800 79,800 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-11 38 0 -79,800 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-12 38 21.019 59,900 59,900 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-12 38 0 -59,900 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-13 38 20.928 79,300 79,300 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-13 38 0 -79,300 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-14 38 20.978 100,000 100,000 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-14 38 0 -100,000 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-17 38 21.286 111,805 111,805 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-17 38 0 -111,805 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-18 38 21.353 100,000 100,000 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-18 38 0 -100,000 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-19 38 21.361 120,000 120,000 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-19 38 0 -120,000 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-20 38 21.325 100,000 100,000 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-20 38 0 -100,000 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-21 38 21.454 100,000 100,000 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-21 38 0 -100,000 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-24 38 21.361 100,000 100,000 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-24 38 0 -100,000 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-25 38 21.161 115,000 115,000 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-25 38 0 -115,000 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-26 38 21.403 100,000 100,000 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-26 38 0 -100,000 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-27 38 21.031 100,000 100,000 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-27 38 0 -100,000 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-28 38 21.238 100,000 100,000 CI Financial Corp. Common Shares CI Financial Corp. 1 2019-06-28 38 0 -100,000 CIBT Education Group Common Shares Chu, Toby 4, 5 2019-07-08 10 0.72 6,687,247 6,000 Inc. CIBT Education Group Common Shares CIBT Education Group Inc 1 2019-07-05 10 0.7 1,288,500 7,500 Inc. CIBT Education Group Common Shares CIBT Education Group Inc 1 2019-07-08 10 0.69 1,296,000 7,500 Inc. CIBT Education Group Common Shares CIBT Education Group Inc 1 2019-07-08 10 0.69 1,351,000 55,000 Inc. CIBT Education Group Common Shares CIBT Education Group Inc 1 2019-07-09 10 0.7 1,358,500 7,500 Inc. CIBT Education Group Common Shares CIBT Education Group Inc 1 2019-07-11 10 0.69 1,366,000 7,500 Inc. Cleghorn Minerals Ltd. Warrants Mullan, Glenn J 3, 4, 5 2016-08-18 16 200,000 Cleghorn Minerals Ltd. Warrants Mullan, Glenn J 3, 4, 5 2016-08-18 16 200,000 200,000 Cleghorn Minerals Ltd. Warrants Pepper, Andrew Turcotte 4 2016-08-18 16 125,000 Cleghorn Minerals Ltd. Warrants Pepper, Andrew Turcotte 4 2016-08-18 16 62,500 Cleghorn Minerals Ltd. Warrants Pepper, Andrew Turcotte 4 2016-08-18 16 62,500 62,500 Cloud Nine Education Common Shares Lee, Peter 5 2019-07-09 10 0.135 287,500 -14,500 Group Ltd. CO2 GRO Inc. Options JULIUS, MATTHEW 5 2019-07-10 00 120,000 Cobalt 27 Capital Common Shares Cochrane, Justin 5 2019-07-08 97 264,196 3,550 Corp. Cobalt 27 Capital Options Cochrane, Justin 5 2019-07-08 97 461,803 -7,639 Corp. Cobalt 27 Capital Common Shares Milewski, Anthony 4, 5 2019-07-08 97 448,639 10,186 Corp. Cobalt 27 Capital Options Milewski, Anthony 4, 5 2019-07-08 97 625,389 -10,186
July 18, 2019 (2019), 42 OSCB 6182
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Corp. Cobalt 27 Capital Common Shares Vydra, Martin 5 2019-07-11 97 120,000 10,000 Corp. Cobalt 27 Capital Options Vydra, Martin 5 2019-07-11 97 110,000 -10,000 Corp. Cogeco Incentive Units / Prat, JÚr¶me 5 2019-07-01 00 1,100 Communications Inc. UnitÚs incitatives Cogeco Incentive Units / Vigneault, Liette 5 2019-07-01 00 900 Communications Inc. UnitÚs incitatives
Cogeco Options Vigneault, Liette 5 2019-07-01 00 6,180 Communications Inc.
Cogeco Performance Vigneault, Liette 5 2019-07-01 00 1,833 Communications Inc. Share Units / Unite d'action performance Colibri Resource Common Shares McGavney, Ian 5 2019-07-05 10 0.045 456,000 2,000 Corporation Colibri Resource Common Shares McGavney, Ian 5 2019-07-08 10 0.045 480,000 24,000 Corporation Colibri Resource Common Shares McGavney, Ian 5 2019-07-11 10 0.05 500,000 20,000 Corporation Columbia Care Inc. Restricted Share Abbott, Michael James 4 2019-04-26 00 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Abbott, Michael James 4 2019-05-05 56 2,612,073 2,612,073 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Common Shares Boesgaard, Lars Robert 5 2019-04-26 00 (formerly known as Canaccord Genuity Growth Corp.)
Columbia Care Inc. Common Shares Boesgaard, Lars Robert 5 2019-07-03 57 7,144 7,144 (formerly known as Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Boesgaard, Lars Robert 5 2019-04-26 00 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Boesgaard, Lars Robert 5 2019-05-05 56 348,278 348,278 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Boesgaard, Lars Robert 5 2019-07-03 56 360,701 12,423 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Boesgaard, Lars Robert 5 2019-07-03 57 348,278 -12,423 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Gimelshtein, Igor 4 2019-04-26 00 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Gimelshtein, Igor 4 2019-05-05 56 20,923 20,923 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Gimelshtein, Igor 4 2019-05-05 56 39,384 18,461 (formerly known as Unit Canaccord Genuity Growth Corp.)
July 18, 2019 (2019), 42 OSCB 6183
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings
Columbia Care Inc. Restricted Share Hart, David 5 2019-04-26 00 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Hart, David 5 2019-05-05 56 870,692 870,692 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Howard, John David 4 2019-04-26 00 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Howard, John David 4 2019-05-05 56 20,923 20,923 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Howard, John David 4 2019-05-05 56 30,154 9,231 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Hussussian, Guy Jacques 5 2019-04-26 00 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Hussussian, Guy Jacques 5 2019-05-05 56 261,208 261,208 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Ison, Bryant 5 2019-04-26 00 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Ison, Bryant 5 2019-05-05 56 348,278 348,278 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Kennedy, James Aloysins 4 2019-04-26 00 (formerly known as Unit Charles Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Kennedy, James Aloysins 4 2019-05-05 56 20,923 20,923 (formerly known as Unit Charles Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Kennedy, James Aloysins 4 2019-05-05 56 39,384 18,461 (formerly known as Unit Charles Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share May, Jonathan Paul 4 2019-04-26 00 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share May, Jonathan Paul 4 2019-05-05 56 20,923 20,923 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share May, Jonathan Paul 4 2019-05-05 56 30,154 9,231 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Mazanet, Rosemary 5 2019-04-26 00 (formerly known as Unit Canaccord Genuity Growth Corp.)
July 18, 2019 (2019), 42 OSCB 6184
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings
Columbia Care Inc. Restricted Share Mazanet, Rosemary 5 2019-05-05 56 348,278 348,278 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Common Shares Miller, Mary-Alice 5 2019-04-26 00 (formerly known as Canaccord Genuity Growth Corp.)
Columbia Care Inc. Common Shares Miller, Mary-Alice 5 2019-07-03 57 11,584 11,584 (formerly known as Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Miller, Mary-Alice 5 2019-04-26 00 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Miller, Mary-Alice 5 2019-05-05 56 435,346 435,346 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Miller, Mary-Alice 5 2019-07-03 56 455,223 19,877 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Miller, Mary-Alice 5 2019-07-03 57 435,346 -19,877 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Common Shares Olson, Bryan Lamont 5 2019-04-26 00 (formerly known as Canaccord Genuity Growth Corp.)
Columbia Care Inc. Common Shares Olson, Bryan Lamont 5 2019-07-03 57 4,502 4,502 (formerly known as Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Olson, Bryan Lamont 5 2019-04-26 00 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Olson, Bryan Lamont 5 2019-05-05 56 348,278 348,278 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Olson, Bryan Lamont 5 2019-07-03 56 355,732 7,454 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Olson, Bryan Lamont 5 2019-07-03 57 348,278 -7,454 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Solomon, David Frederick 4 2019-04-26 00 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Solomon, David Frederick 4 2019-05-05 56 20,923 20,923 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Solomon, David Frederick 4 2019-05-05 56 30,154 9,231 (formerly known as Unit Canaccord Genuity Growth Corp.)
July 18, 2019 (2019), 42 OSCB 6185
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings
Columbia Care Inc. Restricted Share Vita, Nicholas Keane 4, 5 2019-04-26 00 (formerly known as Unit Canaccord Genuity Growth Corp.)
Columbia Care Inc. Restricted Share Vita, Nicholas Keane 4, 5 2019-05-05 56 2,612,073 2,612,073 (formerly known as Unit Canaccord Genuity Growth Corp.)
CONDOR Warrants Boyd, Robert T. 4 2019-07-08 55 0 -150,000 RESOURCES INC. Constellation Software Common Shares Anzarouth, Bernard 5 2019-07-09 30 1254.2 144,486 1 Inc. Constellation Software Common Shares Anzarouth, Bernard 5 2019-07-09 30 1255.6 2,885 3 Inc. Constellation Software Common Shares Leonard, Mark Henri 4, 5 2019-07-08 30 1244 4,200 -100 Inc.
Contact Gold Corp. Options Dorward, John Andrew 4 2019-07-08 38 400,000 -300,000 Contact Gold Corp. Options Lalani, Riyaz 4 2019-07-08 38 1 400,000 -300,000 Contact Gold Corp. Options Wellings, Mark 4 2019-07-10 38 1 400,000 -300,000 Contact Gold Corp. Options Wenger, John Eric 5 2019-07-08 52 650,000 -400,000 Cortex Business Common Shares Henderson, Randall Douglas 4 2015-02-15 22 4.55 -5,800 Solutions Inc. Cortex Business Common Shares Henderson, Randall Douglas 4 2019-02-15 22 4.55 0 -5,800 Solutions Inc. CounterPath Common Shares Carothers, Todd 5 2019-07-05 30 1.48 13,140 118 Corporation CounterPath Common Shares Carothers, Todd 5 2019-07-05 30 1.5915 13,195 55 Corporation CounterPath Common Shares Karp, David Lawrence 5 2019-07-05 30 1.957 30,774 103 Corporation CounterPath Common Shares Karp, David Lawrence 5 2019-07-05 30 2.0927 30,821 47 Corporation Crest Resources Inc. Common Shares Fairhurst, Emma 3 2019-07-10 11 0.08 4,000,000 2,000,000 CUV Ventures Corp. Common Shares Lonis, Bernard Jean 4 2019-07-10 11 0.13 10,840,000 -4,300,000 Jacques CWC Energy Services Common Shares CWC Energy Services Corp. 1 2019-07-05 10 0.17 157,500 19,000 Corp. CWC Energy Services Common Shares CWC Energy Services Corp. 1 2019-07-05 10 0.16 167,500 10,000 Corp. CWC Energy Services Common Shares CWC Energy Services Corp. 1 2019-07-08 10 0.16 177,500 10,000 Corp. CWC Energy Services Common Shares CWC Energy Services Corp. 1 2019-07-09 10 0.16 179,500 2,000 Corp. Cymbria Corporation Non-Voting Shares Bousada, Tye 6, 5 2019-07-05 11 58.52 233,544 8,544 Class J Shares Cymbria Corporation Non-Voting Shares Farmer, Patrick 4, 6 2008-11-04 00 Class J Shares Cymbria Corporation Non-Voting Shares Farmer, Patrick 4, 6 2019-07-05 11 58.52 5,126 5,126 Class J Shares Cymbria Corporation Non-Voting Shares Farmer, Patrick 4, 6 2008-11-04 00 Class J Shares Cymbria Corporation Non-Voting Shares Farmer, Patrick 4, 6 2019-07-05 11 58.52 1,708 1,708 Class J Shares Cymbria Corporation Non-Voting Shares Farmer, Patrick 4, 6 2008-11-04 00 Class J Shares Cymbria Corporation Non-Voting Shares Farmer, Patrick 4, 6 2019-07-05 11 58.52 1,708 1,708 Class J Shares Cymbria Corporation Non-Voting Shares Jodoin, Sayuri Tania 6 2019-07-05 11 58.52 777 427 Class J Shares Cymbria Corporation Non-Voting Shares Krembil, Robert C 6 2019-07-05 11 58.52 92,006 52,006 Class J Shares Cymbria Corporation Non-Voting Shares MacDonald, Geoff 6, 5 2019-07-05 11 58.52 8,544 8,544 Class J Shares Cymbria Corporation Non-Voting Shares Rossi, Diane 6, 5 2008-11-04 00 Class J Shares Cymbria Corporation Non-Voting Shares Rossi, Diane 6, 5 2019-07-05 11 58.52 1,708 1,708 Class J Shares
July 18, 2019 (2019), 42 OSCB 6186
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings DelphX Capital Options Gledhill, Stephen Mark 5 2019-07-08 50 0.12 750,000 450,000 Markets Inc. DelphX Capital Options Harootunian, Shant 5 2019-07-08 50 0.12 750,000 450,000 Markets Inc. DelphX Capital Options Jardin, Alexander Gordon 4, 5 2019-07-08 50 0.12 750,000 450,000 Markets Inc. DelphX Capital Options Ziegler, Patricia 4, 5 2019-04-26 00 450,000 Markets Inc. DelphX Capital Options Ziegler, Patricia 4, 5 2019-07-08 50 0.12 900,000 450,000 Markets Inc. Desert Mountain Options Murphy, Frances 5 2019-07-09 50 0.2 20,000 20,000 Energy Corp. Dimension Five Common Shares Parr, Christopher 3, 4, 5 2019-07-11 10 0.045 2,583,334 50,000 Technologies Inc.
Dollarama Inc. Common Shares Assaly, John 7 2019-07-05 51 13.657 60,000 60,000 Dollarama Inc. Common Shares Assaly, John 7 2019-07-05 10 48.253 -60,000 Dollarama Inc. Common Shares Assaly, John 7 2019-07-05 10 48.253 28,756 -31,244 Dollarama Inc. Common Shares Assaly, John 7 2019-07-05 51 37.357 32,356 3,600 Dollarama Inc. Common Shares Assaly, John 7 2019-07-05 10 48.331 -3,600 Dollarama Inc. Common Shares Assaly, John 7 2019-07-05 10 48.331 29,349 -3,007 Dollarama Inc. Common Shares Assaly, John 7 2019-07-05 51 30.197 35,349 6,000 Dollarama Inc. Common Shares Assaly, John 7 2019-07-05 10 48.336 -6,000 Dollarama Inc. Common Shares Assaly, John 7 2019-07-05 10 48.336 30,847 -4,502 Dollarama Inc. Common Shares Assaly, John 7 2019-07-05 51 23.677 38,647 7,800 Dollarama Inc. Common Shares Assaly, John 7 2019-07-05 10 48.267 -7,800 Dollarama Inc. Common Shares Assaly, John 7 2019-07-05 10 48.267 33,500 -5,147 Dollarama Inc. Common Shares Assaly, John 7 2019-07-05 51 12.022 45,500 12,000 Dollarama Inc. Common Shares Assaly, John 7 2019-07-05 10 48.333 -12,000 Dollarama Inc. Common Shares Assaly, John 7 2019-07-05 10 48.333 39,526 -5,974 Dollarama Inc. Options Assaly, John 7 2019-07-05 51 13.657 65,700 -60,000 Dollarama Inc. Options Assaly, John 7 2019-07-05 51 37.357 62,100 -3,600 Dollarama Inc. Options Assaly, John 7 2019-07-05 51 30.197 56,100 -6,000 Dollarama Inc. Options Assaly, John 7 2019-07-05 51 23.677 48,300 -7,800 Dollarama Inc. Options Assaly, John 7 2019-07-05 51 12.022 36,300 -12,000 Dollarama Inc. Common Shares David, Gregory 4 2009-10-08 00 Dollarama Inc. Common Shares David, Gregory 4 2019-07-05 51 2.9167 12,000 12,000 Dollarama Inc. Common Shares David, Gregory 4 2019-07-05 10 48.346 0 -12,000 Dollarama Inc. Common Shares David, Gregory 4 2019-07-05 51 4.425 12,000 12,000 Dollarama Inc. Common Shares David, Gregory 4 2019-07-05 10 48.343 0 -12,000 Dollarama Inc. Options David, Gregory 4 2019-07-05 51 2.9167 60,000 -12,000 Dollarama Inc. Options David, Gregory 4 2019-07-05 51 4.425 48,000 -12,000 Dollarama Inc. Common Shares Thomas, John Huw 4 2019-07-08 51 14.797 49,200 12,000 Dollarama Inc. Common Shares Thomas, John Huw 4 2019-07-08 10 49.09 37,200 -12,000 Dollarama Inc. Options Thomas, John Huw 4 2019-07-08 51 14.797 0 -12,000 Dream Hard Asset Units Cooper, Michael 7, 5 2019-07-04 46 14,573,868 316,747 Alternatives Trust Dream Hard Asset Units Dream Asset Management 5 2019-07-04 46 10,079,231 316,747 Alternatives Trust Corporation Dream Hard Asset Deferred Trust Eaton, James George 7 2019-07-03 51 73,889 -4,503 Alternatives Trust Units Dream Hard Asset Deferred Trust Eaton, James George 7 2019-07-03 51 68,468 -5,421 Alternatives Trust Units Dream Hard Asset Deferred Trust Eaton, James George 7 2019-07-03 51 60,663 -7,805 Alternatives Trust Units Dream Hard Asset Deferred Trust Eaton, James George 7 2019-07-03 51 53,375 -7,288 Alternatives Trust Units Dream Hard Asset Deferred Trust Eaton, James George 7 2019-07-03 51 46,554 -6,821 Alternatives Trust Units Dream Hard Asset Deferred Trust Eaton, James George 7 2019-07-03 51 40,164 -6,390 Alternatives Trust Units Dream Hard Asset Deferred Trust Eaton, James George 7 2019-07-03 51 37,293 -2,871 Alternatives Trust Units Dream Hard Asset Deferred Trust Eaton, James George 7 2019-07-03 51 34,798 -2,495 Alternatives Trust Units Dream Hard Asset Deferred Trust Eaton, James George 7 2019-07-03 51 31,334 -3,464 Alternatives Trust Units
July 18, 2019 (2019), 42 OSCB 6187
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings
Dream Hard Asset Deferred Trust Eaton, James George 7 2019-07-03 51 29,763 -1,571 Alternatives Trust Units
Dream Hard Asset Deferred Trust Eaton, James George 7 2019-07-03 51 27,291 -2,472 Alternatives Trust Units Dream Hard Asset Deferred Trust Eaton, James George 7 2019-07-03 51 24,705 -2,586 Alternatives Trust Units Dream Hard Asset Deferred Trust Eaton, James George 7 2019-07-03 51 21,373 -3,332 Alternatives Trust Units
Dream Hard Asset Deferred Trust Eaton, James George 7 2019-07-03 51 18,996 -2,377 Alternatives Trust Units
Dream Hard Asset Deferred Trust Eaton, James George 7 2019-07-03 51 16,335 -2,661 Alternatives Trust Units
Dream Hard Asset Deferred Trust Eaton, James George 7 2019-07-03 51 13,688 -2,647 Alternatives Trust Units
Dream Hard Asset Deferred Trust Eaton, James George 7 2019-07-03 51 10,030 -3,658 Alternatives Trust Units
Dream Hard Asset Deferred Trust Eaton, James George 7 2019-07-03 51 8,299 -1,731 Alternatives Trust Units Dream Hard Asset Deferred Trust Eaton, James George 7 2019-07-03 51 5,525 -2,774 Alternatives Trust Units Dream Hard Asset Deferred Trust Eaton, James George 7 2019-07-03 51 2,954 -2,571 Alternatives Trust Units Dream Hard Asset Deferred Trust Eaton, James George 7 2019-07-03 51 12 -2,942 Alternatives Trust Units Dream Hard Asset Units Eaton, James George 7 2019-07-03 51 7,918 4,503 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 51 13,339 5,421 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 10 7.67 7,918 -5,421 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 51 15,723 7,805 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 10 7.5746 11,459 -4,264 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 51 18,747 7,288 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 10 7.5681 14,766 -3,981 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 51 21,587 6,821 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 10 7.5528 17,861 -3,726 Alternatives Trust
Dream Hard Asset Units Eaton, James George 7 2019-07-03 51 24,251 6,390 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 10 7.5188 20,760 -3,491 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 51 23,631 2,871 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 10 7.5681 22,062 -1,569 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 51 24,557 2,495 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 10 7.5528 23,194 -1,363 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 51 26,658 3,464 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 10 7.5188 24,765 -1,893 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 51 26,336 1,571 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 10 7.5188 25,477 -859 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 51 27,949 2,472 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 10 7.5776 26,598 -1,351 Alternatives Trust
July 18, 2019 (2019), 42 OSCB 6188
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings
Dream Hard Asset Units Eaton, James George 7 2019-07-03 51 29,184 2,586 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 10 7.6 27,771 -1,413 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 51 31,103 3,332 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 10 7.5528 29,282 -1,821 Alternatives Trust
Dream Hard Asset Units Eaton, James George 7 2019-07-03 51 31,659 2,377 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 10 7.5188 30,360 -1,299 Alternatives Trust
Dream Hard Asset Units Eaton, James George 7 2019-07-03 51 33,021 2,661 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 10 7.5681 31,567 -1,454 Alternatives Trust
Dream Hard Asset Units Eaton, James George 7 2019-07-03 51 34,214 2,647 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 10 7.6 32,768 -1,446 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 51 36,426 3,658 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 10 7.5528 34,427 -1,999 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 51 36,158 1,731 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 10 7.5188 35,212 -946 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 51 37,986 2,774 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 10 7.5681 36,470 -1,516 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 51 39,041 2,571 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 10 7.5528 37,636 -1,405 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 51 40,578 2,942 Alternatives Trust Dream Hard Asset Units Eaton, James George 7 2019-07-03 10 7.5188 40,081 -497 Alternatives Trust
Drone Delivery Common Shares Zahra, Michael Francis 5 2019-01-24 00 Canada Corp. (formerly Asher Resources Corporation) Drone Delivery Common Shares Zahra, Michael Francis 5 2019-07-11 10 1.08 20,000 20,000 Canada Corp. (formerly Asher Resources Corporation) Dundee Precious Common Shares GMT Capital Corp 3 2019-07-08 10 3.53 5,247,390 -10,200 Metals Inc. Dundee Precious Common Shares GMT Capital Corp 3 2019-07-09 10 3.52 5,186,490 -60,900 Metals Inc. Dundee Precious Common Shares GMT Capital Corp 3 2019-07-08 10 3.53 6,694,570 -13,100 Metals Inc. Dundee Precious Common Shares GMT Capital Corp 3 2019-07-09 10 3.52 6,616,970 -77,600 Metals Inc. Dundee Precious Common Shares GMT Capital Corp 3 2019-07-08 10 3.53 9,930,400 -19,400 Metals Inc. Dundee Precious Common Shares GMT Capital Corp 3 2019-07-09 10 3.52 9,815,300 -115,100 Metals Inc. Dundee Precious Common Shares GMT Capital Corp 3 2019-07-08 10 3.53 276,680 -500 Metals Inc. Dundee Precious Common Shares GMT Capital Corp 3 2019-07-09 10 3.52 273,480 -3,200 Metals Inc.
July 18, 2019 (2019), 42 OSCB 6189
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Dundee Precious Common Shares GMT Capital Corp 3 2019-07-08 10 3.53 1,039,200 -2,000 Metals Inc. Dundee Precious Common Shares GMT Capital Corp 3 2019-07-09 10 3.52 1,027,100 -12,100 Metals Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-03 38 1.68 500 500 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-03 38 1.72 1,500 1,000 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-03 38 1.75 6,387 4,887 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-03 38 0 -6,387 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-04 38 1.73 2,800 2,800 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-04 38 0 -2,800 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-05 38 1.75 6,387 6,387 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-05 38 0 -6,387 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-06 38 1.75 3,000 3,000 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-06 38 1.74 6,387 3,387 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-06 38 0 -6,387 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-07 38 1.74 6,387 6,387 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-07 38 0 -6,387 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-10 38 1.71 3,387 3,387 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-10 38 1.72 3,487 100 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-10 38 0 -3,487 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-11 38 1.7 3,000 3,000 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-11 38 0 -3,000 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-12 38 1.71 200 200 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-12 38 1.74 3,000 2,800 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-12 38 0 -3,000 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-13 38 1.73 5,187 5,187 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-13 38 0 -5,187 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-14 38 1.73 100 100 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-14 38 1.78 3,000 2,900 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-14 38 1.77 4,887 1,887 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-14 38 0 -4,887 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-17 38 1.76 3,000 3,000 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-17 38 0 -3,000 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-18 38 1.77 3,000 3,000 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-18 38 1.78 6,387 3,387 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-18 38 0 -6,387 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-19 38 1.75 3,000 3,000 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-19 38 0 -3,000 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-20 38 1.78 400 400 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-20 38 1.77 1,800 1,400 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-20 38 1.76 3,000 1,200 Inc.
July 18, 2019 (2019), 42 OSCB 6190
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-20 38 1.75 6,387 3,387 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-20 38 0 -6,387 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-21 38 1.75 787 787 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-21 38 1.74 6,387 5,600 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-21 38 0 -6,387 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-24 38 1.72 200 200 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-24 38 1.73 1,287 1,087 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-24 38 1.74 6,087 4,800 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-24 38 1.78 6,187 100 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-24 38 1.77 6,387 200 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-24 38 0 -6,387 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-25 38 1.76 287 287 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-25 38 1.77 787 500 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-25 38 1.8 1,587 800 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-25 38 1.79 1,987 400 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-25 38 1.77 2,287 300 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-25 38 0 -2,287 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-26 38 1.76 300 300 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-26 38 1.78 787 487 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-26 38 1.79 1,387 600 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-26 38 1.8 6,387 5,000 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-26 38 0 -6,387 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-27 38 1.8 287 287 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-27 38 1.78 2,287 2,000 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-27 38 0 -2,287 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-28 38 1.78 487 487 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-28 38 1.77 687 200 Inc. Dynacor Gold Mines Common Shares Mines d'Or Dynacor inc. 1 2019-06-28 38 0 -687 Inc. E3 Metals Corp. Options Doornbos, Christopher 4 2017-05-30 00 E3 Metals Corp. Options Doornbos, Christopher 4 2019-05-31 50 0.43 50,000 50,000 EarthRenew Inc. Options Argyle, David Anthony 4 2018-12-21 00 (Formerly known as Valencia Ventures Inc.) EarthRenew Inc. Options Argyle, David Anthony 4 2019-07-08 50 0.1 200,000 200,000 (Formerly known as Valencia Ventures Inc.) EarthRenew Inc. Options Atin, Aaron 5 2019-07-05 00 (Formerly known as Valencia Ventures Inc.) EarthRenew Inc. Options Atin, Aaron 5 2019-07-08 50 0.1 100,000 100,000 (Formerly known as Valencia Ventures Inc.) EarthRenew Inc. Options Driver, Keith 5 2018-12-21 00 (Formerly known as Valencia Ventures Inc.)
July 18, 2019 (2019), 42 OSCB 6191
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings EarthRenew Inc. Options Driver, Keith 5 2019-07-08 50 0.1 200,000 200,000 (Formerly known as Valencia Ventures Inc.) EarthRenew Inc. Options Ptolemy, Ryan Jeffery 5 2019-07-08 50 0.1 400,000 100,000 (Formerly known as Valencia Ventures Inc.) Eastwood Bio-Medical Common Shares Cranewood Financial 3 2019-07-10 11 1,086,437 -538,563 Canada Inc. Corporation
Eastwood Bio-Medical Common Shares Cranewood Financial 3 2019-07-10 11 9,311 -1,077,126 Canada Inc. Corporation EcoSynthetix Inc. Common Shares De Jong, Ralph Lewis 5 2019-07-08 10 3.32 0 -63,847 Ellipsiz Options Chang, Chiang-sen 7 2017-12-20 52 0.55 0 -3,227,704 Communications Ltd. (formerly NXA Inc.) Ellipsiz Options Lin, Fen-Lin Huang 3 2017-12-20 52 0.055 0 -3,227,704 Communications Ltd. (formerly NXA Inc.) Ellipsiz Options Tan, Chong Gin (Sam) 4, 5 2017-12-20 52 0.055 0 -3,227,704 Communications Ltd. (formerly NXA Inc.) Emerald Bay Energy Common Shares Rice, Michael 5 2019-07-10 10 0.015 3,555,500 195,000 Inc. Emerald Health Options Dhillon, Avtar 4, 5 2017-12-22 50 4.25 2,250,000 750,000 Therapeutics, Inc. (formerly T-Bird Pharma Inc.)
Emerald Health Rights Restricted Dhillon, Avtar 4, 5 2015-04-23 00 Therapeutics, Inc. Share Units (formerly T-Bird Pharma Inc.)
Emerald Health Rights Restricted Dhillon, Punit 4 2015-04-23 00 Therapeutics, Inc. Share Units (formerly T-Bird Pharma Inc.)
Emerald Health Rights Restricted Dhillon, Punit 4 2017-12-15 56 200,000 200,000 Therapeutics, Inc. Share Units (formerly T-Bird Pharma Inc.)
Emerald Health Options Heppell, Jim 4 2017-12-22 50 4.25 475,000 100,000 Therapeutics, Inc. (formerly T-Bird Pharma Inc.)
Emerald Health Rights Restricted Heppell, Jim 4 2015-04-23 00 Therapeutics, Inc. Share Units (formerly T-Bird Pharma Inc.)
Emerald Health Rights Restricted Heppell, Jim 4 2017-10-22 56 100,000 100,000 Therapeutics, Inc. Share Units (formerly T-Bird Pharma Inc.)
Emerald Health Rights Restricted Hill, Robert Charles 5 2017-11-15 00 Therapeutics, Inc. Share Units (formerly T-Bird Pharma Inc.)
Emerald Health Rights Restricted Hill, Robert Charles 5 2019-04-03 97 25,000 25,000 Therapeutics, Inc. Share Units (formerly T-Bird Pharma Inc.)
Emerald Health Rights Restricted Hill, Robert Charles 5 2019-04-03 56 50,000 25,000 Therapeutics, Inc. Share Units (formerly T-Bird Pharma Inc.)
Emerald Health Options Rai, Sukhwinder Singh 4 2017-12-22 50 4.25 325,000 75,000 Therapeutics, Inc. (formerly T-Bird Pharma Inc.)
July 18, 2019 (2019), 42 OSCB 6192
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Endeavour Mining Deferred Share Askew, James 4 2019-07-09 56 16.31 16,938 1,762 Corporation Units (Cash payment on Redemption) Endeavour Mining Deferred Share Beckett, Michael E. 4, 5 2019-07-09 56 16.31 76,818 1,226 Corporation Units (Cash payment on Redemption) Endeavour Mining Deferred Share Colom, Olivier Romain 4 2019-07-09 56 16.31 13,977 1,372 Corporation Units (Cash Michel payment on Redemption) Endeavour Mining Deferred Share Mahler, Livia 4 2019-07-09 56 16.31 9,230 1,241 Corporation Units (Cash payment on Redemption) Endeavour Mining Deferred Share McManus, Wayne W. 4 2019-07-09 56 16.31 50,317 1,287 Corporation Units (Cash payment on Redemption) Enerplus Corporation Options (Stock Daniels, Raymond John 5 2019-07-09 52 13.23 192,814 -29,252 Option Plan) Enerplus Corporation Options (Stock DUNDAS, Ian Charles 5 2019-07-09 52 13.23 639,113 -51,633 Option Plan) Enerplus Corporation Options (Stock DUNDAS, Ian Charles 5 2019-07-09 52 13.23 589,000 -50,113 Option Plan) Enerplus Corporation Options (Stock DUNDAS, Ian Charles 5 2019-07-09 52 13.23 538,887 -50,113 Option Plan) Enerplus Corporation Options (Stock Eichinger, Terry Scott 5 2019-07-09 52 13.23 41,275 -3,906 Option Plan) Enerplus Corporation Options (Stock Eichinger, Terry Scott 5 2019-07-09 52 13.23 37,483 -3,792 Option Plan) Enerplus Corporation Options (Stock Eichinger, Terry Scott 5 2019-07-09 52 13.23 33,691 -3,792 Option Plan) Enerplus Corporation Common Shares ENERPLUS 1 2019-07-05 38 10.16 101,296 -49,230 CORPORATION Enerplus Corporation Common Shares ENERPLUS 1 2019-07-05 38 9.87 0 -101,296 CORPORATION Enerplus Corporation Options (Stock Jenson Labrie, Jodine 5 2019-07-09 52 13.23 91,106 -4,899 Option Plan) Julene Enerplus Corporation Options (Stock Jenson Labrie, Jodine 5 2019-07-09 52 13.23 86,350 -4,756 Option Plan) Julene Enerplus Corporation Options (Stock Jenson Labrie, Jodine 5 2019-07-09 52 13.23 81,594 -4,756 Option Plan) Julene Enerplus Corporation Options (Stock MCCOY, David 5 2019-07-09 52 13.23 189,200 -22,634 Option Plan) Enerplus Corporation Options (Stock MCCOY, David 5 2019-07-09 52 13.23 167,233 -21,967 Option Plan) Enerplus Corporation Options (Stock MCCOY, David 5 2019-07-09 52 13.23 145,266 -21,967 Option Plan) Ensign Energy Rights Deferred Casswell, Gary William 4 2019-07-05 30 4.2296 27,947 488 Services Inc. Share Units (Common Shares) Ensign Energy Common Shares Edwards, Norman Murray 3, 4, 5 2019-07-09 35 4.0911 28,501,642 744,298 Services Inc. Ensign Energy Rights Deferred Howe, James Brian 4 2019-07-05 30 4.2296 16,097 331 Services Inc. Share Units (Common Shares) Ensign Energy Rights Deferred Kangas, Leonard 4 2019-07-05 30 4.2296 60,971 1,569 Services Inc. Share Units (Common Shares) Ensign Energy Rights Deferred Moomjian, Jr., Cary A. 4 2019-07-05 30 4.2296 54,401 1,359 Services Inc. Share Units (Common Shares) Ensign Energy Rights Deferred Schroeder, John G. 4 2019-07-05 30 4.2296 97,865 2,417 Services Inc. Share Units (Common Shares)
July 18, 2019 (2019), 42 OSCB 6193
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Ensign Energy Rights Deferred Surkan, Gail Donelda 4 2019-07-05 30 4.2296 46,323 995 Services Inc. Share Units (Common Shares) Enterprise Group, Inc. Common Shares JAROSZUK, LEONARD 4, 5 2019-07-08 10 0.185 4,963,856 25,000 Enterprise Group, Inc. Common Shares JAROSZUK, LEONARD 4, 5 2019-07-09 10 0.175 5,013,856 50,000 Epsilon Energy Ltd. Common Shares Epsilon Energy Ltd. 1 2019-07-02 38 3.9706 247,189 10,000 Epsilon Energy Ltd. Common Shares Epsilon Energy Ltd. 1 2019-07-08 38 4 249,139 1,950 Epsilon Energy Ltd. Common Shares Epsilon Energy Ltd. 1 2019-07-09 38 3.9376 252,739 3,600 Equinox Gold Corp. Warrants Milau, Christian 4, 5 2019-07-09 11 1.06 257,500 70,000 (formerly Trek Mining Inc.) Erdene Resource Common Shares Akerley, Peter 4, 5 2019-07-09 11 0.2 1,968,675 220,000 Development Corporation Erdene Resource Common Shares Akerley, Peter 4, 5 2004-03-15 00 110,000 Development Warrants Expire Corporation July 9, 2021 Erdene Resource Common Shares Biolik, Anna 4 2019-07-09 11 0.2 81,740 25,000 Development Corporation Erdene Resource Common Shares Biolik, Anna 4 2016-06-15 00 12,500 Development Warrants Expire Corporation July 9, 2021 Erdene Resource Common Shares Byrne, John Philip 4 2019-07-09 11 0.2 350,000 250,000 Development Corporation Erdene Resource Common Shares Byrne, John Philip 4 2004-08-26 00 125,000 Development Warrants Expire Corporation July 9, 2021 Erdene Resource Common Shares Croft, Thomas Layton 4 2019-07-09 11 0.2 1,058,478 40,000 Development Corporation Erdene Resource Common Shares Croft, Thomas Layton 4 2015-07-02 00 20,000 Development Warrants Expire Corporation July 9, 2021 Erdene Resource Common Shares Jenkins, Robert 5 2019-07-09 11 0.2 278,500 100,000 Development Corporation Erdene Resource Common Shares Jenkins, Robert 5 2019-05-01 00 50,000 Development Warrants Expire Corporation July 9, 2021 Erdene Resource Common Shares MacDonald, Kenneth 5 2019-07-09 11 0.2 951,352 50,000 Development Corporation Erdene Resource Common Shares MacDonald, Kenneth 5 2003-02-25 00 25,000 Development Warrants Expire Corporation July 9, 2021 Eureka 93 Inc. Common Shares Archambault, Steven 5 2019-04-29 22 402,200 Eureka 93 Inc. Common Shares Archambault, Steven 5 2019-04-29 22 431,387 402,199 Eureka 93 Inc. Common Shares Hoggan, Kent 3, 4 2019-04-29 00 11,819,443 Eureka 93 Inc. Options Hoggan, Kent 3, 4 2019-04-29 00 884,840 Eureka 93 Inc. Common Shares Kenney, Owen 3, 4 2019-04-29 00 10,941,685 Eureka 93 Inc. Common Shares Kenney, Owen 3, 4 2019-04-29 00 80,440 Eureka 93 Inc. Options Kenney, Owen 3, 4 2019-04-29 00 884,840 Eureka 93 Inc. Common Shares Leaker, Robert 5 2019-04-29 22 3,041,774 2,815,400 Eureka 93 Inc. Common Shares Leaker, Robert 5 2019-04-29 37 -119,231 Eureka 93 Inc. Common Shares Leaker, Robert 5 2019-04-29 37 8,515 -119,232 Eureka 93 Inc. Common Shares MacKinnon, William 4 2019-04-29 00 65,100 Eureka 93 Inc. Common Shares MacKinnon, William 4 2019-05-09 54 2.24 130,200 65,100 Eureka 93 Inc. Options MacKinnon, William 4 2019-04-29 00 120,660 Eureka 93 Inc. Warrants MacKinnon, William 4 2019-04-29 00 65,100 Eureka 93 Inc. Warrants MacKinnon, William 4 2019-05-09 54 2.24 0 -65,100 Eureka 93 Inc. Common Shares Mueller, Mike 4 2019-04-29 00 743,614 Eureka 93 Inc. Common Shares Mueller, Mike 4 2019-05-08 54 2.24 943,614 200,000 Eureka 93 Inc. Common Shares Mueller, Mike 4 2019-05-09 51 0.37 973,314 29,700 Eureka 93 Inc. Options Mueller, Mike 4 2019-04-29 00 Eureka 93 Inc. Options Mueller, Mike 4 2019-04-29 00 492,230 Eureka 93 Inc. Options Mueller, Mike 4 2019-05-09 51 0.37 462,530 -29,700 Eureka 93 Inc. Warrants Mueller, Mike 4 2019-04-29 00 676,114
July 18, 2019 (2019), 42 OSCB 6194
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Eureka 93 Inc. Warrants Mueller, Mike 4 2019-05-08 54 2.24 476,114 -200,000 Eureka 93 Inc. Common Shares Rendimonti, David 5 2018-06-21 00 133,554 Eureka 93 Inc. Common Shares Rendimonti, David 5 2019-04-29 37 8,903 -124,651 Eureka 93 Inc. Common Shares Rendimonti, David 5 2019-04-29 37 -3,096,623 Eureka 93 Inc. Common Shares Rendimonti, David 5 2019-04-29 37 221,186 -3,096,624 Exco Technologies Common Shares Posno, Matthew James 5 2019-05-06 00 100 Limited
Exco Technologies Common Shares Posno, Matthew James 5 2019-05-06 00 3,000 Limited
Exco Technologies Common Shares Posno, Matthew James 5 2019-05-06 00 2,000 Limited Experion Holdings Ltd. Common Shares Echino, Deni Mario 4 2019-07-08 10 0.248 214,583 43,500 (formerly Viridium Pacific Group Ltd.) Experion Holdings Ltd. Common Shares Echino, Deni Mario 4 2019-07-09 10 0.25 257,083 42,500 (formerly Viridium Pacific Group Ltd.) Experion Holdings Ltd. Common Shares Echino, Deni Mario 4 2019-07-11 10 0.25 293,083 36,000 (formerly Viridium Pacific Group Ltd.) Fairfax Africa Holdings Subordinate Voting Fairfax Africa Holdings 1 2019-06-25 38 8 547,350 547,350 Corporation Shares Corporation Fairfax Africa Holdings Subordinate Voting Fairfax Africa Holdings 1 2019-06-28 38 0 -547,350 Corporation Shares Corporation Falco Resources Ltd. Options Roosen, Sean 6 2019-06-19 52 0 -805,779 (formerly Falco Pacific Resource Group Inc.) Falcon Gold Corp. Common Shares Rayani, Karim 4 2019-07-11 10 0.035 565,000 100,000 Fiera Capital Performance Blandizzi, Sebastiano 5 2019-05-08 00 Corporation (formerly Share Units Fiera Sceptre Inc.) Fiera Capital Performance Blandizzi, Sebastiano 5 2019-07-09 56 11.32 14,355 14,355 Corporation (formerly Share Units Fiera Sceptre Inc.) Fiera Capital Restricted Share Bourdon, Franþois 5 2019-07-10 35 7,859 269 Corporation (formerly Units Fiera Sceptre Inc.) Fiera Capital Restricted Share Bourdon, Franþois 5 2019-07-10 57 -7,859 Corporation (formerly Units Fiera Sceptre Inc.) Fiera Capital Restricted Share Bourdon, Franþois 5 2019-07-10 57 11.21 0 -7,859 Corporation (formerly Units Fiera Sceptre Inc.) Fiera Capital Subordinate Voting Bourdon, Franþois 5 2019-07-10 57 7,859 Corporation (formerly Shares Class A Fiera Sceptre Inc.) Fiera Capital Subordinate Voting Bourdon, Franþois 5 2019-07-10 57 11.21 7,859 7,859 Corporation (formerly Shares Class A Fiera Sceptre Inc.) Fiera Capital Subordinate Voting Bourdon, Franþois 5 2019-07-10 10 11.3 3,669 -4,190 Corporation (formerly Shares Class A Fiera Sceptre Inc.) Fiera Capital Performance Desjardins, Jean-Guy 4, 6, 5 2019-07-10 35 274,359 610 Corporation (formerly Share Units Fiera Sceptre Inc.) Fiera Capital Performance Desjardins, Jean-Guy 4, 6, 5 2019-07-10 57 256,417 -17,942 Corporation (formerly Share Units Fiera Sceptre Inc.) Fiera Capital Performance Desjardins, Jean-Guy 4, 6, 5 2019-07-11 35 260,322 3,905 Corporation (formerly Share Units Fiera Sceptre Inc.) Fiera Capital Performance Desjardins, Jean-Guy 4, 6, 5 2019-07-11 57 11.261 -217,089 Corporation (formerly Share Units Fiera Sceptre Inc.)
July 18, 2019 (2019), 42 OSCB 6195
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Fiera Capital Performance Desjardins, Jean-Guy 4, 6, 5 2019-07-11 57 11.261 151,777 -108,545 Corporation (formerly Share Units Fiera Sceptre Inc.) Fiera Capital Performance Desjardins, Jean-Guy 4, 6, 5 2019-07-11 59 11.261 43,233 -108,544 Corporation (formerly Share Units Fiera Sceptre Inc.) Fiera Capital Subordinate Voting Desjardins, Jean-Guy 4, 6, 5 2010-09-01 00 Corporation (formerly Shares Class A Fiera Sceptre Inc.)
Fiera Capital Subordinate Voting Desjardins, Jean-Guy 4, 6, 5 2019-07-10 57 17,942 17,942 Corporation (formerly Shares Class A Fiera Sceptre Inc.) Fiera Capital Subordinate Voting Desjardins, Jean-Guy 4, 6, 5 2019-07-10 10 11.3 8,377 -9,565 Corporation (formerly Shares Class A Fiera Sceptre Inc.) Fiera Capital Subordinate Voting Desjardins, Jean-Guy 4, 6, 5 2019-07-11 57 11.261 116,922 108,545 Corporation (formerly Shares Class A Fiera Sceptre Inc.) Fiera Capital Performance Ecclestone, Edward John 7 2018-05-31 00 Corporation (formerly Share Units Fiera Sceptre Inc.) Fiera Capital Performance Ecclestone, Edward John 7 2019-07-09 56 11.32 15,459 15,459 Corporation (formerly Share Units Fiera Sceptre Inc.) Fiera Capital Restricted Share Lemay, Jean-Philippe 5 2019-07-10 35 40,800 385 Corporation (formerly Units Fiera Sceptre Inc.) Fiera Capital Restricted Share Lemay, Jean-Philippe 5 2019-07-10 57 29,473 -11,327 Corporation (formerly Units Fiera Sceptre Inc.) Fiera Capital Restricted Share Lemay, Jean-Philippe 5 2019-07-10 57 21,614 -7,859 Corporation (formerly Units Fiera Sceptre Inc.) Fiera Capital Restricted Share Lemay, Jean-Philippe 5 2019-07-10 35 21,883 269 Corporation (formerly Units Fiera Sceptre Inc.) Fiera Capital Subordinate Voting Lemay, Jean-Philippe 5 2019-07-10 57 11,327 11,327 Corporation (formerly Shares Class A Fiera Sceptre Inc.) Fiera Capital Subordinate Voting Lemay, Jean-Philippe 5 2019-07-10 10 11.3 0 -11,327 Corporation (formerly Shares Class A Fiera Sceptre Inc.)
Fiera Capital Subordinate Voting Lemay, Jean-Philippe 5 2019-07-10 57 7,859 7,859 Corporation (formerly Shares Class A Fiera Sceptre Inc.) Fiera Capital Subordinate Voting Lemay, Jean-Philippe 5 2019-07-10 10 11.3 3,669 -4,190 Corporation (formerly Shares Class A Fiera Sceptre Inc.) Fiera Capital Performance MORGAN, TODD MICHAEL 4 2019-07-11 57 0 -59,167 Corporation (formerly Share Units Fiera Sceptre Inc.) Fiera Capital Subordinate Voting MORGAN, TODD MICHAEL 4 2019-07-11 57 120,768 120,768 Corporation (formerly Shares Class A Fiera Sceptre Inc.) Fiera Capital Subordinate Voting MORGAN, TODD MICHAEL 4 2019-07-11 10 11.767 72,851 -47,917 Corporation (formerly Shares Class A Fiera Sceptre Inc.) Fiera Capital Subordinate Voting Richard, Daniel 5 2019-03-21 00 Corporation (formerly Shares Class A Fiera Sceptre Inc.) Fiera Capital Subordinate Voting Richard, Daniel 5 2019-07-10 10 11.337 1,200 1,200 Corporation (formerly Shares Class A Fiera Sceptre Inc.) Fiera Capital Performance Thompson, Benjamin S. 7 2019-07-11 57 56,166 -28,084 Corporation (formerly Share Units Fiera Sceptre Inc.)
July 18, 2019 (2019), 42 OSCB 6196
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings
Fiera Capital Subordinate Voting Thompson, Benjamin S. 7 2019-07-11 57 108,785 41,933 Corporation (formerly Shares Class A Fiera Sceptre Inc.) Fiera Capital Subordinate Voting Thompson, Benjamin S. 7 2019-07-11 10 11.767 66,852 -41,933 Corporation (formerly Shares Class A Fiera Sceptre Inc.) Fiera Capital Performance Valentini, John 5 2019-07-11 59 11.26 281,637 -51,121 Corporation (formerly Share Units Fiera Sceptre Inc.)
Fiera Capital Performance Valentini, John 5 2019-07-11 35 285,115 3,478 Corporation (formerly Share Units Fiera Sceptre Inc.) First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-08 10 10.2 20,890,090 -24,500 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-08 10 10.2 20,886,990 -3,100 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-08 10 10.2 20,882,790 -4,200 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-08 10 10.2 20,880,490 -2,300 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-08 10 10.201 20,876,879 -3,611 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-08 10 10.201 20,870,779 -6,100 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-08 10 10.205 20,867,979 -2,800 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-08 10 10.207 20,867,490 -489 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-08 10 10.21 20,867,290 -200 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-08 10 10.25 20,821,390 -45,900 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-08 10 10.25 20,820,790 -600 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-08 10 10.254 20,820,390 -400 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-08 10 10.255 20,814,990 -5,400 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-08 10 10.255 20,814,590 -400 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-09 10 10.25 20,775,495 -39,095 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-09 10 10.251 20,769,458 -6,037 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-09 10 10.255 20,769,158 -300 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-09 10 10.257 20,764,890 -4,268 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-09 10 10.264 20,764,590 -300 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-09 10 10.3 20,734,990 -29,600 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-09 10 10.3 20,733,790 -1,200 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-09 10 10.3 20,733,326 -464 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-09 10 10.301 20,729,126 -4,200 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-09 10 10.302 20,729,029 -97 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-09 10 10.305 20,727,429 -1,600 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-09 10 10.308 20,726,129 -1,300 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-09 10 10.31 20,717,229 -8,900 Corp. Corp.
July 18, 2019 (2019), 42 OSCB 6197
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-09 10 10.315 20,714,690 -2,539 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-09 10 10.315 20,714,590 -100 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-09 10 10.35 20,670,390 -44,200 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-09 10 10.355 20,669,790 -600 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-09 10 10.356 20,665,390 -4,400 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-09 10 10.363 20,664,190 -1,200 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-09 10 10.37 20,614,590 -49,600 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.65 20,598,590 -16,000 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.65 20,594,290 -4,300 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.655 20,593,290 -1,000 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.657 20,591,790 -1,500 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.66 20,590,890 -900 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.66 20,590,590 -300 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.661 20,589,590 -1,000 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.67 20,564,590 -25,000 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.6 20,524,590 -40,000 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.605 20,521,790 -2,800 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.607 20,520,190 -1,600 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.608 20,518,690 -1,500 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.61 20,517,790 -900 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.61 20,514,590 -3,200 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.5 20,502,890 -11,700 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.505 20,502,090 -800 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.506 20,499,390 -2,700 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.507 20,498,690 -700 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.51 20,498,190 -500 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.53 20,473,190 -25,000 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.6 20,470,190 -3,000 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.75 20,466,990 -3,200 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.755 20,464,690 -2,300 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.76 20,464,590 -100 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.68 20,464,490 -100 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.685 20,462,190 -2,300 Corp. Corp.
July 18, 2019 (2019), 42 OSCB 6198
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.69 20,461,890 -300 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.695 20,454,490 -7,400 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.7 20,423,590 -30,900 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.703 20,423,290 -300 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.708 20,420,490 -2,800 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.71 20,417,790 -2,700 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.715 20,413,790 -4,000 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.72 20,411,490 -2,300 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.722 20,408,790 -2,700 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.725 20,407,890 -900 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.73 20,406,890 -1,000 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.735 20,403,590 -3,300 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.74 20,400,890 -2,700 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.745 20,397,890 -3,000 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.75 20,394,490 -3,400 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-10 10 10.75 20,364,590 -29,900 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.6 20,364,190 -400 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.605 20,363,890 -300 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.61 20,340,690 -23,200 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.615 20,339,690 -1,000 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.62 20,339,590 -100 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.6 20,317,990 -21,600 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.601 20,314,490 -3,500 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.601 20,314,090 -400 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.601 20,309,090 -5,000 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.601 20,309,048 -42 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.602 20,308,448 -600 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.602 20,308,148 -300 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.604 20,307,848 -300 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.604 20,304,090 -3,758 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.604 20,303,690 -400 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.605 20,302,890 -800 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.605 20,301,690 -1,200 Corp. Corp.
July 18, 2019 (2019), 42 OSCB 6199
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.607 20,301,390 -300 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.608 20,299,490 -1,900 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.609 20,298,690 -800 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.61 20,292,190 -6,500 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.612 20,290,390 -1,800 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.614 20,289,590 -800 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.6 20,283,690 -5,900 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.605 20,283,290 -400 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.605 20,282,790 -500 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.55 20,270,990 -11,800 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.555 20,266,790 -4,200 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.559 20,266,190 -600 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.561 20,264,990 -1,200 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.56 20,262,690 -2,300 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.567 20,262,590 -100 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.56 20,261,690 -900 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.56 20,260,790 -900 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.54 20,259,890 -900 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.545 20,254,890 -5,000 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.547 20,253,990 -900 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.563 20,253,627 -363 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.525 20,247,227 -6,400 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.53 20,244,227 -3,000 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.52 20,243,827 -400 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.515 20,241,827 -2,000 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.535 20,240,727 -1,100 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.54 20,240,427 -300 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.57 20,240,027 -400 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.571 20,239,627 -400 Corp. Corp. First Majestic Silver Common Shares Wheaton Precious Metals 3 2019-07-11 10 10.571 20,239,590 -37 Corp. Corp. First Mining Gold Common Shares Bouchard, Michel 4 2019-07-09 11 0.225 400,000 -37,000 Corp. First Mining Gold Common Shares Bouchard, Michel 4 2019-07-09 11 0.225 228,000 37,000 Corp. First Quantum Common Shares Buck, Wyatt McKinlay 5 2018-03-13 00 Minerals Ltd
July 18, 2019 (2019), 42 OSCB 6200
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings First Quantum Common Shares Buck, Wyatt McKinlay 5 2019-07-09 57 11.55 11,609 11,609 Minerals Ltd
First Quantum Performance Buck, Wyatt McKinlay 5 2019-07-09 58 - 48,793 -7,740 Minerals Ltd Share Units Expiration of rights
First Quantum Performance Buck, Wyatt McKinlay 5 2019-07-09 57 11.55 37,184 -11,609 Minerals Ltd Share Units First Quantum Common Shares Meyer, Hannes 5 2019-07-10 57 11.55 70,117 7,459 Minerals Ltd
First Quantum Performance Meyer, Hannes 5 2019-07-10 58 - 53,856 -9,382 Minerals Ltd Share Units Expiration of rights
First Quantum Performance Meyer, Hannes 5 2019-07-10 57 11.55 39,782 -14,074 Minerals Ltd Share Units First Quantum Common Shares Newall, G. Clive 4, 5 2019-07-10 57 11.55 2,677,774 13,192 Minerals Ltd First Quantum Performance Newall, G. Clive 4, 5 2019-07-10 58 - 47,677 -8,794 Minerals Ltd Share Units Expiration of rights
First Quantum Performance Newall, G. Clive 4, 5 2019-07-10 57 11.55 34,485 -13,192 Minerals Ltd Share Units First Quantum Performance Pascall, Philip K.R. 4, 5 2019-07-09 58 - 261,846 -42,553 Minerals Ltd Share Units Expiration of rights
First Quantum Performance Pascall, Philip K.R. 4, 5 2019-07-09 59 11.55 198,016 -63,830 Minerals Ltd Share Units First Quantum Performance Pascall, Philip K.R. 4, 5 2019-07-10 58 - -42,553 Minerals Ltd Share Units Expiration of rights
First Quantum Common Shares Wozniak, Zenon 5 2019-07-10 57 11.55 33,878 18,284 Minerals Ltd First Quantum Performance Wozniak, Zenon 5 2019-07-10 57 11.55 49,106 -18,284 Minerals Ltd Share Units First Quantum Performance Wozniak, Zenon 5 2019-07-10 58 - 36,916 -12,190 Minerals Ltd Share Units Expiration of rights
Foraco International Common Shares Foraco International SA 1 2019-06-05 38 0.48 49,769 1,000 SA Foraco International Common Shares Foraco International SA 1 2019-06-07 38 0.45 50,769 1,000 SA Foraco International Common Shares Foraco International SA 1 2019-06-12 38 0.44 51,769 1,000 SA Foraco International Common Shares Foraco International SA 1 2019-06-17 38 0.44 52,769 1,000 SA Foraco International Common Shares Foraco International SA 1 2019-06-18 38 0.44 53,769 1,000 SA Foraco International Common Shares Foraco International SA 1 2019-06-19 38 0.39 54,769 1,000 SA Foraco International Common Shares Foraco International SA 1 2019-06-24 38 0.38 55,269 500 SA
July 18, 2019 (2019), 42 OSCB 6201
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Frankly Inc. (formerly Common Shares SOL GLOBAL 3 2019-07-04 10 3.3 4,961,100 4,000 WB III Acquisition INVESTMENTS CORP. Corp.) Frankly Inc. (formerly Common Shares SOL GLOBAL 3 2019-07-04 10 3.18 4,961,600 500 WB III Acquisition INVESTMENTS CORP. Corp.) Frankly Inc. (formerly Common Shares SOL GLOBAL 3 2019-07-05 10 3.13 4,961,800 200 WB III Acquisition INVESTMENTS CORP. Corp.) Frankly Inc. (formerly Common Shares SOL GLOBAL 3 2019-07-05 10 3.13 4,962,300 500 WB III Acquisition INVESTMENTS CORP. Corp.) Frankly Inc. (formerly Common Shares SOL GLOBAL 3 2019-07-05 10 3.13 4,962,700 400 WB III Acquisition INVESTMENTS CORP. Corp.) Frankly Inc. (formerly Common Shares SOL GLOBAL 3 2019-07-09 10 3.14 4,963,200 500 WB III Acquisition INVESTMENTS CORP. Corp.) Generation Mining Common Shares levy, Jamie 4 2019-07-09 36 1,964,600 334,000 Limited Generation Mining Common Shares levy, Jamie 4 2019-07-09 36 1,063,000 666,000 Limited Generation Mining Subscription levy, Jamie 4 2019-07-09 36 0 -334,000 Limited Receipts Generation Mining Subscription levy, Jamie 4 2019-07-09 36 0 -666,000 Limited Receipts Generation Mining Warrants levy, Jamie 4 2019-07-09 36 417,000 167,000 Limited Generation Mining Warrants levy, Jamie 4 2018-02-23 00 Limited Generation Mining Warrants levy, Jamie 4 2019-07-09 36 333,000 333,000 Limited Generation Mining Common Shares Zebra Holdings and 3 2019-07-09 16 10,221,429 3,571,429 Limited Investments S.Ó.r.l. Generation Mining Subscription Zebra Holdings and 3 2019-07-09 36 0 -3,571,429 Limited Receipts Investments S.Ó.r.l. Generation Mining Warrants Zebra Holdings and 3 2019-07-09 16 4,285,715 1,785,715 Limited Investments S.Ó.r.l. GENIUS METALS Common Shares Goulet, Guy 5 2019-07-09 10 0.16 1,053,186 5,000 INC. GENIUS METALS Common Shares Goulet, Guy 5 2019-07-10 10 0.163 1,056,186 3,000 INC. Geomega Resources Common Shares Bourdeau, Mathieu 5 2019-07-09 16 0.14 48,250 35,750 Inc. Geomega Resources Warrants Bourdeau, Mathieu 5 2018-10-24 00 Inc. Geomega Resources Warrants Bourdeau, Mathieu 5 2019-07-09 16 0.2 17,875 17,875 Inc. Geomega Resources Common Shares Mugerman, Kiril 4, 5 2019-07-02 16 0.14 582,500 100,000 Inc. Geomega Resources Warrants Mugerman, Kiril 4, 5 2019-07-02 16 0.2 50,000 50,000 Inc. Gildan Activewear Inc. Common Shares Gildan Activewear Inc. 1 2019-06-27 38 0 -273,508 Gildan Activewear Inc. Common Shares Pirie Woodbridge, Maria 5 2019-07-01 00 Andrea Gildan Activewear Inc. Restricted Share Pirie Woodbridge, Maria 5 2019-07-01 00 Units Andrea Glance Technologies Common Shares Hoyles, Jonathan 5 2019-07-11 10 0.095 126,900 10,000 Inc. Global Dividend Trust Units Global Dividend Growers 1 2019-07-08 38 12.5 5,309,905 400 Growers Income Fund Income Fund Global Dividend Trust Units Global Dividend Growers 1 2019-07-09 38 12.5 5,310,205 300 Growers Income Fund Income Fund Global Gaming Common Shares European High Growth 3 2019-03-21 00 10,000,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-03-21 10 0.2348 9,988,500 -11,500 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
July 18, 2019 (2019), 42 OSCB 6202
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Global Gaming Common Shares European High Growth 3 2019-03-22 10 0.2021 9,730,500 -258,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-03-25 10 0.22 9,725,000 -5,500 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-03-26 10 0.22 9,720,000 -5,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-03-27 10 0.2175 9,717,000 -3,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-04-01 10 0.1863 9,715,000 -2,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-04-02 10 0.1892 9,564,500 -150,500 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-04-03 10 0.1782 9,519,000 -45,500 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-04-04 10 0.1715 9,485,000 -34,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-04-05 10 0.1583 9,457,500 -27,500 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-04-08 10 0.1608 9,402,500 -55,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-04-09 10 0.1576 9,349,500 -53,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-04-10 10 0.1519 9,104,500 -245,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-04-11 10 0.1456 8,929,500 -175,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
July 18, 2019 (2019), 42 OSCB 6203
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Global Gaming Common Shares European High Growth 3 2019-04-12 10 0.1415 8,897,000 -32,500 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-04-15 10 0.145 8,877,000 -20,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-04-22 10 0.11 8,853,500 -23,500 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-04-24 36 0.23 9,070,891 217,391 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-04-24 10 0.1 9,005,391 -65,500 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-04-25 10 0.102 8,819,391 -186,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-04-26 10 0.22 8,814,391 -5,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-04-29 10 0.105 8,774,391 -40,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-04-29 10 0.105 8,759,391 -15,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-04-30 10 0.1 8,754,391 -5,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-05-01 10 0.095 8,715,391 -39,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-05-02 10 0.0864 8,694,391 -21,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-05-03 10 0.085 8,669,391 -25,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
July 18, 2019 (2019), 42 OSCB 6204
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Global Gaming Common Shares European High Growth 3 2019-05-03 10 0.085 8,652,391 -17,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-05-06 10 0.0852 8,562,391 -90,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-05-06 10 0.086 8,436,391 -126,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-05-07 10 0.095 7,794,391 -642,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-05-08 10 0.09 7,782,391 -12,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-05-10 10 0.08 7,702,391 -80,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-05-10 10 0.08 7,597,391 -105,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-05-13 10 0.08 7,527,391 -70,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-05-14 10 0.075 7,363,391 -164,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-05-15 10 0.0763 7,336,391 -27,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-05-16 10 0.071 7,271,391 -65,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-05-17 10 0.0702 7,096,391 -175,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-05-21 10 0.075 7,029,391 -67,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
July 18, 2019 (2019), 42 OSCB 6205
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Global Gaming Common Shares European High Growth 3 2019-05-22 10 0.0687 6,994,391 -35,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-05-23 10 0.065 6,989,391 -5,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-05-24 10 0.065 6,949,391 -40,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-05-28 10 0.06 6,944,391 -5,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-05-28 10 0.0595 6,894,391 -50,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-05-29 10 0.06 6,886,391 -8,000 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-06-04 36 0.23 9,060,304 2,173,913 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Common Shares European High Growth 3 2019-06-04 36 0.23 10,277,695 1,217,391 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Convertible European High Growth 3 2019-03-21 00 $830,000 Technologies Corp. Debentures Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Convertible European High Growth 3 2019-04-24 36 0.23 $780,000 -$50,000 Technologies Corp. Debentures Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Convertible European High Growth 3 2019-06-04 36 0.23 $280,000 -$500,000 Technologies Corp. Debentures Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Convertible European High Growth 3 2019-06-04 36 0.23 $0 -$280,000 Technologies Corp. Debentures Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Gaming Securities Lending European High Growth 3 2019-03-21 00 2 Technologies Corp. Arrangement Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
July 18, 2019 (2019), 42 OSCB 6206
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings
Global Gaming Warrants European High Growth 3 2019-03-21 00 4,249,999 Technologies Corp. Opportunities Securitization (formerly Global Fund Blockchain Technologies Corp.)
Global Innovation Trust Units Global Innovation Dividend 1 2019-07-08 38 9.9776 877,100 1,700 Dividend Fund Fund Global Innovation Trust Units Global Innovation Dividend 1 2019-07-09 38 9.9823 879,700 2,600 Dividend Fund Fund Global Real Estate & Trust Units Global Real Estate & E- 1 2019-07-08 38 10.477 313,000 1,700 E-Commerce Dividend Commerce Dividend Fund Fund Globex Mining Common Shares STOCH, JACK 4, 5 2019-07-10 11 0.4 962,282 150,000 Enterprises Inc.
Glorious Creation Common Shares Kong, Yuk Kan 3, 4, 5 2019-07-10 11 5,383,688 -5,530,057 Limited goeasy Ltd. (formerly, Common Shares Appel, Jason 5 2019-07-12 56 53.02 43 easyhome Ltd.) goeasy Ltd. (formerly, Common Shares Appel, Jason 5 2019-07-12 35 53.02 43 easyhome Ltd.) goeasy Ltd. (formerly, Common Shares Appel, Jason 5 2019-07-12 35 53.02 7,366 43 easyhome Ltd.) goeasy Ltd. (formerly, Common Shares Appel, Jason 5 2019-07-12 56 53.02 17 easyhome Ltd.) goeasy Ltd. (formerly, Common Shares Appel, Jason 5 2019-07-12 35 53.02 17 easyhome Ltd.) goeasy Ltd. (formerly, Common Shares Appel, Jason 5 2019-07-12 35 53.02 2,898 17 easyhome Ltd.) goeasy Ltd. (formerly, Common Shares Appel, Jason 5 2019-07-12 56 53.02 9 easyhome Ltd.) goeasy Ltd. (formerly, Common Shares Appel, Jason 5 2019-07-12 35 53.02 1,508 9 easyhome Ltd.) goeasy Ltd. (formerly, Common Shares Mullins, Jason 5 2019-07-12 56 53.02 349 easyhome Ltd.) goeasy Ltd. (formerly, Common Shares Mullins, Jason 5 2019-07-12 35 53.02 60,076 349 easyhome Ltd.) goeasy Ltd. (formerly, Common Shares Mullins, Jason 5 2019-07-12 56 53.02 54 easyhome Ltd.) goeasy Ltd. (formerly, Common Shares Mullins, Jason 5 2019-07-12 35 53.02 9,304 54 easyhome Ltd.)
goeasy Ltd. (formerly, Common Shares Mullins, Jason 5 2019-07-12 56 53.02 7 easyhome Ltd.) goeasy Ltd. (formerly, Common Shares Mullins, Jason 5 2019-07-12 35 53.02 1,255 7 easyhome Ltd.) Golden Hope Mines Options Chapdelaine, Michel 5 2019-07-08 00 Limited Golden Hope Mines Options Chapdelaine, Michel 5 2019-07-08 50 0.13 200,000 200,000 Limited Golden Hope Mines Options Heather, Kevin Bruce 4 2019-06-28 00 Limited Golden Hope Mines Options Heather, Kevin Bruce 4 2019-07-03 50 0.11 100,000 100,000 Limited Golden Hope Mines Options Zurowski, Michael T. 4 2019-07-04 50 0.11 258,333 100,000 Limited Golden Share Common Shares Zeng, Nick Nianqing 4, 5 2019-07-12 10 0.095 465,000 13,000 Resources Corporation Golden Star Options Crew, Graham John 4 2019-07-08 50 5.32 62,277 42,277 Resources Ltd. Golden Star Rights Crew, Graham John 4 2018-10-01 00 Resources Ltd. Performance Share Units (PSUs) Golden Star Rights Crew, Graham John 4 2019-07-08 56 5.32 32,113 32,113 Resources Ltd. Performance Share Units (PSUs)
July 18, 2019 (2019), 42 OSCB 6207
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings
Golden Star Rights Restricted Crew, Graham John 4 2018-10-01 00 Resources Ltd. Share Units
Goldmoney Inc. Common Shares Finkielsztain, Andres 4 2019-07-11 57 10,062 10,062 (formerly BitGold Inc.) Goldmoney Inc. Rights Restricted Finkielsztain, Andres 4 2019-07-11 56 51,002 10,062 (formerly BitGold Inc.) Share Units Goldmoney Inc. Rights Restricted Finkielsztain, Andres 4 2019-07-11 57 40,940 -10,062 (formerly BitGold Inc.) Share Units
Goldmoney Inc. Common Shares Fray, steve 5 2019-07-11 57 24,157 22,257 (formerly BitGold Inc.)
Goldmoney Inc. Rights Restricted Fray, steve 5 2019-07-11 56 114,193 22,257 (formerly BitGold Inc.) Share Units
Goldmoney Inc. Rights Restricted Fray, steve 5 2019-07-11 57 91,936 -22,257 (formerly BitGold Inc.) Share Units
Goldmoney Inc. Common Shares Mennega, Paul Michael 5 2019-07-11 57 27,257 22,257 (formerly BitGold Inc.)
Goldmoney Inc. Rights Restricted Mennega, Paul Michael 5 2019-07-11 56 104,340 22,257 (formerly BitGold Inc.) Share Units Goldmoney Inc. Rights Restricted Mennega, Paul Michael 5 2019-07-11 57 82,083 -22,257 (formerly BitGold Inc.) Share Units Goldmoney Inc. Common Shares Naik, Mahendra 4 2019-07-11 46 2.24 159,319 12,298 (formerly BitGold Inc.) Goldmoney Inc. Common Shares Premoli, Alessandro 5 2019-07-11 57 251,460 53,460 (formerly BitGold Inc.) Goldmoney Inc. Rights Restricted Premoli, Alessandro 5 2019-07-11 56 338,232 53,460 (formerly BitGold Inc.) Share Units Goldmoney Inc. Rights Restricted Premoli, Alessandro 5 2019-07-11 57 284,772 -53,460 (formerly BitGold Inc.) Share Units Goldmoney Inc. Common Shares Turk, James J 4 2019-07-11 57 2,097,892 14,534 (formerly BitGold Inc.) Goldmoney Inc. Rights Restricted Turk, James J 4 2019-07-11 56 14,534 14,534 (formerly BitGold Inc.) Share Units Goldmoney Inc. Rights Restricted Turk, James J 4 2019-07-11 57 0 -14,534 (formerly BitGold Inc.) Share Units Goldmoney Inc. Common Shares Wieler, Stefan 4, 5 2019-07-11 57 66,462 8,944 (formerly BitGold Inc.) Goldmoney Inc. Rights Restricted Wieler, Stefan 4, 5 2019-07-11 56 144,695 8,944 (formerly BitGold Inc.) Share Units Goldmoney Inc. Rights Restricted Wieler, Stefan 4, 5 2019-07-11 57 135,751 -8,944 (formerly BitGold Inc.) Share Units GOLDPLAY Common Shares Bailey, Blaine 5 2019-06-25 16 0.125 892,922 160,000 EXPLORATION LTD. (Formerly: Soleil Capital Corp.)
Goldspot Discoveries Common Shares Inwentash, Sheldon 6 2019-07-05 10 0.3 12,711,823 25,000 Corp. (formerly, Duckworth Capital Corp.) Goldspot Discoveries Common Shares Inwentash, Sheldon 6 2019-07-05 10 0.3 12,736,823 25,000 Corp. (formerly, Duckworth Capital Corp.) Goldspot Discoveries Common Shares Inwentash, Sheldon 6 2019-07-10 10 0.3 12,786,823 50,000 Corp. (formerly, Duckworth Capital Corp.) Goldspot Discoveries Common Shares Inwentash, Sheldon 6 2019-07-11 10 0.3 12,811,823 25,000 Corp. (formerly, Duckworth Capital Corp.) Goldspot Discoveries Common Shares ThreeD Capital Inc. 3 2019-07-05 10 0.3 12,711,823 25,000 Corp. (formerly, Duckworth Capital Corp.) Goldspot Discoveries Common Shares ThreeD Capital Inc. 3 2019-07-05 10 0.3 12,736,823 25,000 Corp. (formerly, Duckworth Capital Corp.)
July 18, 2019 (2019), 42 OSCB 6208
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Goldspot Discoveries Common Shares ThreeD Capital Inc. 3 2019-07-10 10 0.3 12,786,823 50,000 Corp. (formerly, Duckworth Capital Corp.) Goldspot Discoveries Common Shares ThreeD Capital Inc. 3 2019-07-11 10 0.3 12,811,823 25,000 Corp. (formerly, Duckworth Capital Corp.) GPM Metals Inc. Common Shares Burgess, Harry 4 2019-07-09 37 120,500 -120,500 GPM Metals Inc. Options Burgess, Harry 4 2019-07-09 37 175,000 -175,000 GPM Metals Inc. Options Drake, Shaun Anthony 5 2019-07-09 37 50,000 -50,000 GPM Metals Inc. Common Shares Mullens, Peter James 4, 5 2019-07-09 37 1,292,000 -1,292,000 GPM Metals Inc. Common Shares Mullens, Peter James 4, 5 2019-07-09 37 1,100,000 -1,100,000 GPM Metals Inc. Options Mullens, Peter James 4, 5 2019-07-09 37 250,000 -250,000 GPM Metals Inc. Warrants Mullens, Peter James 4, 5 2019-07-09 37 1,000,000 -1,000,000 GPM Metals Inc. Warrants Mullens, Peter James 4, 5 2019-07-09 37 550,000 -550,000 GPM Metals Inc. Common Shares Noone, Daniel Joseph 4 2019-07-09 37 1,221,000 -1,221,000 GPM Metals Inc. Options Noone, Daniel Joseph 4 2019-07-09 37 450,000 -450,000 GPM Metals Inc. Warrants Noone, Daniel Joseph 4 2019-07-09 37 400,000 -400,000 GPM Metals Inc. Common Shares rosenberg, bruce 4 2019-07-09 37 286,250 -286,250 GPM Metals Inc. Options rosenberg, bruce 4 2019-07-09 37 200,000 -200,000 GPM Metals Inc. Warrants rosenberg, bruce 4 2019-07-09 37 150,000 -150,000 GPM Metals Inc. Common Shares Sheridan, Patrick John 3 2019-07-09 37 4,772,562 -4,772,563 GPM Metals Inc. Common Shares Sheridan, Patrick John 3 2019-07-09 37 740,166 -740,167 GPM Metals Inc. Options Sheridan, Patrick John 3 2019-07-09 37 650,000 -650,000 GPM Metals Inc. Common Shares Wang, Ya Jian 5 2019-07-09 37 446,125 -446,125 GPM Metals Inc. Options Wang, Ya Jian 5 2019-07-09 37 250,000 -250,000 GPM Metals Inc. Warrants Wang, Ya Jian 5 2019-07-09 37 400,000 -400,000 Gran Tierra Energy Common Shares Gran Tierra Energy Inc. 1 2019-06-03 38 2.67 5,679,175 167,525 Inc. Gran Tierra Energy Common Shares Gran Tierra Energy Inc. 1 2019-06-04 38 2.66 5,846,700 167,525 Inc. Grande West DSU Miller, Joseph 4 2013-11-28 00 Transportation Group Inc. Grande West DSU Miller, Joseph 4 2019-07-04 50 11,972 11,972 Transportation Group Inc. Grande West DSU Strong, Christopher Davis 4 2018-05-28 00 Transportation Group Inc. Grande West DSU Strong, Christopher Davis 4 2019-07-04 50 12,371 12,371 Transportation Group Inc. Great Bear Resources Common Shares Taylor, Christopher Neil 5 2019-07-03 11 3.6 813,235 7,917 Ltd. Akehurst Great Bear Resources Common Shares Terry, David Andrew 4 2019-07-11 54 0.2 200,000 100,000 Ltd. Great Bear Resources Common Shares Terry, David Andrew 4 2019-07-11 54 0.35 192,241 25,000 Ltd. Great Bear Resources Warrants Terry, David Andrew 4 2019-07-11 54 0.2 0 -100,000 Ltd. Great Bear Resources Warrants Terry, David Andrew 4 2019-07-11 54 0.35 8,620 -25,000 Ltd. Great Canadian Units Restricted demarta, craig 5 2019-06-14 56 41.96 9,046 5,000 Gaming Corporation Shares Great Canadian Common Shares Great Canadian Gaming 1 2019-06-03 38 42.36 21,600 300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-03 38 42.39 21,900 300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-03 38 42.44 22,100 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-03 38 42.46 22,300 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-03 38 42.47 22,600 300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-03 38 42.48 23,700 1,100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-03 38 42.49 24,000 300 Gaming Corporation Corporation
July 18, 2019 (2019), 42 OSCB 6209
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Great Canadian Common Shares Great Canadian Gaming 1 2019-06-03 38 42.5 29,700 5,700 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-04 38 42.24 29,800 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-04 38 42.25 29,900 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-04 38 42.26 30,000 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-04 38 42.29 30,100 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-04 38 42.3 30,400 300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-04 38 42.31 30,800 400 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-04 38 42.34 31,200 400 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-04 38 42.36 31,400 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-04 38 42.37 31,700 300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-04 38 42.39 31,800 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-04 38 42.4 32,400 600 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-04 38 42.41 33,200 800 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-04 38 42.42 33,500 300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-04 38 42.43 33,900 400 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-04 38 42.44 34,300 400 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-04 38 42.45 34,400 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-04 38 42.46 34,700 300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-04 38 42.47 34,900 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-04 38 42.48 36,100 1,200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-04 38 42.49 36,400 300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-04 38 42.5 39,700 3,300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.6 39,800 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.61 40,100 300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.62 40,900 800 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.63 41,700 800 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.64 42,500 800 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.65 43,400 900 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.66 43,900 500 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.67 44,400 500 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.68 45,400 1,000 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.71 45,500 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.73 45,600 100 Gaming Corporation Corporation
July 18, 2019 (2019), 42 OSCB 6210
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.75 47,200 1,600 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.76 47,700 500 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.77 48,500 800 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.78 48,600 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.79 48,700 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.8 48,800 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.81 52,700 3,900 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.82 53,200 500 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.83 54,100 900 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.85 54,700 600 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.86 55,300 600 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.87 55,400 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.9 55,700 300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.91 56,000 300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.92 56,100 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.95 56,400 300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.96 56,800 400 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.97 57,000 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.98 57,700 700 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 40.99 57,900 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 41 58,300 400 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 41.03 58,400 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 41.04 58,500 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 41.09 58,900 400 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 41.1 59,400 500 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 41.11 59,600 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 41.15 60,000 400 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 41.17 60,200 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 41.18 60,300 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 41.19 60,400 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 41.2 60,500 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 41.22 60,600 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 41.23 60,700 100 Gaming Corporation Corporation
July 18, 2019 (2019), 42 OSCB 6211
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 41.25 60,800 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 41.27 60,900 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 41.34 61,100 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 41.36 61,400 300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 41.42 61,600 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 41.43 61,700 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 41.46 61,900 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 41.51 62,000 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 41.52 62,200 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 41.56 62,300 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 41.66 62,500 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 41.67 62,700 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 41.68 62,800 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 41.7 62,900 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 41.83 63,000 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 41.93 63,100 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 42.11 63,200 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 42.23 63,400 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 42.29 63,600 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 42.3 63,700 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 38 42.42 63,900 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-05 35 42.5 64,300 400 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.51 64,400 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.52 64,500 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.53 65,200 700 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.54 65,300 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.55 65,400 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.56 65,700 300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.57 65,900 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.58 66,600 700 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.59 69,000 2,400 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.6 70,500 1,500 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.61 72,200 1,700 Gaming Corporation Corporation
July 18, 2019 (2019), 42 OSCB 6212
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.62 73,900 1,700 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.63 75,300 1,400 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.64 77,700 2,400 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.65 79,070 1,370 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.66 79,770 700 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.67 81,170 1,400 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.68 83,670 2,500 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.69 85,070 1,400 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.7 88,070 3,000 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.71 88,570 500 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.72 88,970 400 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.73 89,170 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.735 89,270 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.74 92,470 3,200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.77 1,100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.75 93,570 1,100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.76 93,770 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.77 94,770 1,000 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.78 96,070 1,300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.79 96,670 600 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.81 98,770 2,100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.82 99,170 400 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.83 100,070 900 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.835 100,170 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.84 100,770 600 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.85 101,170 400 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.88 101,270 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.89 101,370 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.93 101,570 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 40.96 101,670 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 41.01 101,770 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 41.02 101,970 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 41.03 102,370 400 Gaming Corporation Corporation
July 18, 2019 (2019), 42 OSCB 6213
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 41.09 102,470 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 41.12 102,570 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 41.13 102,770 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 41.15 102,970 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 41.16 103,170 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 41.17 103,370 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 41.21 103,570 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 41.22 103,670 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 41.26 104,170 500 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 41.33 104,270 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-06 38 41.5 104,470 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 40.89 104,770 300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 40.9 105,170 400 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 40.93 105,270 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 40.94 105,370 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 40.95 105,870 500 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 40.96 105,970 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 40.97 106,170 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.01 106,270 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.02 106,670 400 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.03 106,970 300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.04 107,270 300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.05 107,470 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.06 107,870 400 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.07 108,670 800 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.08 108,770 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.09 109,370 600 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.11 109,470 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.12 109,870 400 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.13 110,170 300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.14 110,270 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.15 111,470 1,200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.17 111,770 300 Gaming Corporation Corporation
July 18, 2019 (2019), 42 OSCB 6214
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.18 112,370 600 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.19 113,070 700 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.2 113,670 600 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.21 113,770 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.22 113,870 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.23 114,770 900 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.24 115,170 400 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.25 116,070 900 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.26 117,370 1,300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.27 117,870 500 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.28 117,970 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.29 118,470 500 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.31 118,570 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.32 118,670 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.33 118,870 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.34 119,470 600 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.35 120,370 900 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.36 120,470 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.39 120,770 300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.4 120,970 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.41 121,070 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.42 121,870 800 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.43 122,170 300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.44 123,440 1,270 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.46 124,240 800 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.48 125,040 800 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.49 125,740 700 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.5 125,940 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.51 126,040 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.54 126,340 300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.58 126,440 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.59 126,540 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.61 126,640 100 Gaming Corporation Corporation
July 18, 2019 (2019), 42 OSCB 6215
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.62 127,240 600 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.63 127,340 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.64 127,440 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.65 127,640 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.66 128,440 800 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.67 129,840 1,400 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.68 130,940 1,100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.69 132,140 1,200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.7 132,840 700 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.71 132,940 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.72 134,040 1,100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.73 134,240 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.74 134,540 300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.75 135,640 1,100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.77 135,840 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.78 136,040 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.79 136,140 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.8 136,240 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.82 136,640 400 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.83 136,840 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.84 137,140 300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.86 137,440 300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.87 137,540 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.89 137,740 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.9 138,140 400 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.91 138,840 700 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.94 139,040 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 41.99 139,240 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 42.02 139,540 300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 42.05 140,540 1,000 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 42.06 140,640 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 42.09 140,940 300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 42.11 141,540 600 Gaming Corporation Corporation
July 18, 2019 (2019), 42 OSCB 6216
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 42.14 141,740 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 42.18 142,040 300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 42.19 142,840 800 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 42.24 143,040 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 42.26 143,140 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 42.29 143,440 300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 42.3 143,540 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 42.32 143,840 300 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 42.34 144,040 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 42.36 144,240 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 42.37 144,340 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 42.38 144,440 100 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-07 38 42.39 144,640 200 Gaming Corporation Corporation Great Canadian Common Shares Great Canadian Gaming 1 2019-06-28 38 0 -144,640 Gaming Corporation Corporation Great Canadian Units Restricted Singh, Sukvinder 5 2019-07-08 00 Gaming Corporation Shares Great Canadian Units Restricted Singh, Sukvinder 5 2019-07-08 56 44.56 4,500 4,500 Gaming Corporation Shares Green Thumb Subordinate Voting Kadens, Pete Albert 3 2019-07-03 10 14.39 450,409 -8,000 Industries Inc. Shares (formerly Bayswater Uranium Corporation) Green Thumb Subordinate Voting Kadens, Pete Albert 3 2019-07-04 10 13.9 448,309 -2,100 Industries Inc. Shares (formerly Bayswater Uranium Corporation) Green Thumb Subordinate Voting Kadens, Pete Albert 3 2019-07-04 10 14.09 -20,000 Industries Inc. Shares (formerly Bayswater Uranium Corporation) Green Thumb Subordinate Voting Kadens, Pete Albert 3 2019-07-04 10 14.09 -20,000 Industries Inc. Shares (formerly Bayswater Uranium Corporation) Green Thumb Subordinate Voting Kadens, Pete Albert 3 2019-07-05 10 14.09 428,309 -20,000 Industries Inc. Shares (formerly Bayswater Uranium Corporation) Green Thumb Subordinate Voting Kadens, Pete Albert 3 2019-07-08 10 13.86 420,809 -7,500 Industries Inc. Shares (formerly Bayswater Uranium Corporation) Green Thumb Subordinate Voting Kadens, Pete Albert 3 2019-07-10 10 13.17 385,809 -35,000 Industries Inc. Shares (formerly Bayswater Uranium Corporation) Green Thumb Subordinate Voting Kadens, Pete Albert 3 2019-07-11 10 13.33 370,809 -15,000 Industries Inc. Shares (formerly Bayswater Uranium Corporation) Green Thumb Subordinate Voting Kadens, Pete Albert 3 2019-07-12 10 12.79 362,409 -8,400 Industries Inc. Shares (formerly Bayswater Uranium Corporation) Green Thumb Rights Restricted Moore, Westley Watende 4 2019-07-10 57 -75,000 Industries Inc. Share Units Omari (formerly Bayswater Uranium Corporation)
July 18, 2019 (2019), 42 OSCB 6217
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings
Green Thumb Rights Restricted Moore, Westley Watende 4 2019-07-10 57 -75,000 Industries Inc. Share Units Omari (formerly Bayswater Uranium Corporation) Green Thumb Rights Restricted Moore, Westley Watende 4 2019-07-10 57 93,699 -75,500 Industries Inc. Share Units Omari (formerly Bayswater Uranium Corporation) Green Thumb Subordinate Voting Moore, Westley Watende 4 2018-07-10 00 Industries Inc. Shares Omari (formerly Bayswater Uranium Corporation) Green Thumb Subordinate Voting Moore, Westley Watende 4 2019-07-10 57 75,500 75,500 Industries Inc. Shares Omari (formerly Bayswater Uranium Corporation) Gungnir Resources Options Robbins, Christopher 4 2019-07-04 52 1,400,000 -700,000 Inc. Charles Hamilton Thorne Ltd. Options Edwards, Keith 5 2019-07-12 51 0.63 199,687 -6,250 Hamilton Thorne Ltd. Options Edwards, Keith 5 2019-07-12 51 0.22 174,687 -25,000 Hammond Power Common Shares HAMMOND, BILL 6 2019-06-28 30 1,061,762 560 Solutions Inc. Class A Hardwoods Common Shares Hardwoods Distribution Inc. 1 2019-06-03 38 11.949 63,300 6,600 Distribution Inc. Hardwoods Common Shares Hardwoods Distribution Inc. 1 2019-06-04 38 12 64,000 700 Distribution Inc. Hardwoods Common Shares Hardwoods Distribution Inc. 1 2019-06-04 38 7,300 -56,700 Distribution Inc. Hardwoods Common Shares Hardwoods Distribution Inc. 1 2019-06-05 38 12.442 12,300 5,000 Distribution Inc. Hardwoods Common Shares Hardwoods Distribution Inc. 1 2019-06-06 38 12.367 14,600 2,300 Distribution Inc. Hardwoods Common Shares Hardwoods Distribution Inc. 1 2019-06-07 38 12.354 17,600 3,000 Distribution Inc. Hardwoods Common Shares Hardwoods Distribution Inc. 1 2019-06-10 38 12.471 21,100 3,500 Distribution Inc. Hardwoods Common Shares Hardwoods Distribution Inc. 1 2019-06-11 38 12.437 23,000 1,900 Distribution Inc. Hardwoods Common Shares Hardwoods Distribution Inc. 1 2019-06-12 38 12.393 26,300 3,300 Distribution Inc. Hardwoods Common Shares Hardwoods Distribution Inc. 1 2019-06-13 38 12.435 29,800 3,500 Distribution Inc. Hardwoods Common Shares Hardwoods Distribution Inc. 1 2019-06-14 38 12.492 34,400 4,600 Distribution Inc. Hardwoods Common Shares Hardwoods Distribution Inc. 1 2019-06-17 38 12.39 37,800 3,400 Distribution Inc. Hardwoods Common Shares Hardwoods Distribution Inc. 1 2019-06-18 38 12.464 39,600 1,800 Distribution Inc. Hardwoods Common Shares Hardwoods Distribution Inc. 1 2019-06-19 38 12.322 40,100 500 Distribution Inc. Hardwoods Common Shares Hardwoods Distribution Inc. 1 2019-06-20 38 12.461 41,100 1,000 Distribution Inc. Hardwoods Common Shares Hardwoods Distribution Inc. 1 2019-06-21 38 12.5 41,200 100 Distribution Inc. Hardwoods Common Shares Hardwoods Distribution Inc. 1 2019-06-27 38 12.5 41,300 100 Distribution Inc. Harrys Manufacturing Options Chow, Tse Yeung Henry 4 2019-07-05 52 0.35 200,000 -100,000 Inc. (formerly, Westridge Resources Inc.) Harrys Manufacturing Options Chow, Tse Yeung Henry 4 2019-07-05 52 0.3 0 -200,000 Inc. (formerly, Westridge Resources Inc.) Harrys Manufacturing Options Chow, Tse Yeung Henry 4 2019-07-05 50 0.125 250,000 250,000 Inc. (formerly, Westridge Resources Inc.) HEXO Corp. Options Robillard, Isabelle, 5 2019-05-20 00 Dominique
July 18, 2019 (2019), 42 OSCB 6218
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings
HEXO Corp. Options Robillard, Isabelle, 5 2019-05-24 00 35,000 Dominique High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-03 38 3.3498 8,544 8,544 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-03 38 0 -8,544 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-04 38 3.2667 6,244 6,244 Services Inc. Inc., High Arctic Energy Services Inc.
High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-04 38 0 -6,244 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-05 38 3.202 9,544 9,544 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-05 38 0 -9,544 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-06 38 3.2029 9,544 9,544 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-06 38 0 -9,544 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-07 38 3.2525 8,544 8,544 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-07 38 0 -8,544 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-10 38 3.2548 9,544 9,544 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-10 38 0 -9,544 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-11 38 3.2407 9,544 9,544 Services Inc. Inc., High Arctic Energy Services Inc.
High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-11 38 0 -9,544 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-12 38 3.2423 9,544 9,544 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-12 38 0 -9,544 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-13 38 3.1862 8,944 8,944 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-13 38 0 -8,944 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-14 38 3.1881 9,544 9,544 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-14 38 0 -9,544 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-17 38 3.1899 9,544 9,544 Services Inc. Inc., High Arctic Energy Services Inc.
July 18, 2019 (2019), 42 OSCB 6219
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings
High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-17 38 0 -9,544 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-18 38 3.2762 6,244 6,244 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-18 38 0 -6,244 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-19 38 3.3518 4,644 4,644 Services Inc. Inc., High Arctic Energy Services Inc.
High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-19 38 0 -4,644 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-20 38 3.3279 3,744 3,744 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-20 38 0 -3,744 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-21 38 3.3821 6,544 6,544 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-21 38 0 -6,544 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-24 38 3.4424 9,544 9,544 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-24 38 0 -9,544 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-25 38 3.2579 8,144 8,144 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-25 38 0 -8,144 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-26 38 3.3442 6,644 6,644 Services Inc. Inc., High Arctic Energy Services Inc.
High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-26 38 0 -6,644 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-27 38 3.3961 5,844 5,844 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-27 38 0 -5,844 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-28 38 3.3415 2,044 2,044 Services Inc. Inc., High Arctic Energy Services Inc. High Arctic Energy Common Shares High Arctic Energy Services 1 2019-06-28 38 0 -2,044 Services Inc. Inc., High Arctic Energy Services Inc. High Tide Inc. Common Shares Kanji, Rahim 5 2019-05-27 00 High Tide Inc. Common Shares Kanji, Rahim 5 2019-07-11 10 0.31 35,000 35,000 Home Capital Group Common Shares Home Capital Group Inc. 1 2019-06-03 38 17.732 60,000 20,000 Inc. Home Capital Group Common Shares Home Capital Group Inc. 1 2019-06-04 38 18.295 80,000 20,000 Inc. Home Capital Group Common Shares Home Capital Group Inc. 1 2019-06-05 38 18.633 100,000 20,000 Inc. Home Capital Group Common Shares Home Capital Group Inc. 1 2019-06-06 38 19.029 120,000 20,000 Inc.
July 18, 2019 (2019), 42 OSCB 6220
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Home Capital Group Common Shares Home Capital Group Inc. 1 2019-06-07 38 18.982 140,000 20,000 Inc. Home Capital Group Common Shares Home Capital Group Inc. 1 2019-06-07 38 40,000 -100,000 Inc. Home Capital Group Common Shares Home Capital Group Inc. 1 2019-06-10 38 18.998 60,000 20,000 Inc. Home Capital Group Common Shares Home Capital Group Inc. 1 2019-06-11 38 18.956 80,000 20,000 Inc. Home Capital Group Common Shares Home Capital Group Inc. 1 2019-06-12 38 18.945 100,000 20,000 Inc. Home Capital Group Common Shares Home Capital Group Inc. 1 2019-06-13 38 18.831 120,000 20,000 Inc. Home Capital Group Common Shares Home Capital Group Inc. 1 2019-06-14 38 18.646 140,000 20,000 Inc. Home Capital Group Common Shares Home Capital Group Inc. 1 2019-06-14 38 40,000 -100,000 Inc. Home Capital Group Common Shares Home Capital Group Inc. 1 2019-06-17 38 18.761 60,000 20,000 Inc. Home Capital Group Common Shares Home Capital Group Inc. 1 2019-06-18 38 19.209 79,700 19,700 Inc. Home Capital Group Common Shares Home Capital Group Inc. 1 2019-06-19 38 19.343 99,700 20,000 Inc. Home Capital Group Common Shares Home Capital Group Inc. 1 2019-06-20 38 19.294 119,700 20,000 Inc. Home Capital Group Common Shares Home Capital Group Inc. 1 2019-06-21 38 19.002 169,700 50,000 Inc. Home Capital Group Common Shares Home Capital Group Inc. 1 2019-06-21 38 70,000 -99,700 Inc. Home Capital Group Common Shares Home Capital Group Inc. 1 2019-06-24 38 19.164 120,000 50,000 Inc. Home Capital Group Common Shares Home Capital Group Inc. 1 2019-06-25 38 19.118 170,000 50,000 Inc. Home Capital Group Common Shares Home Capital Group Inc. 1 2019-06-26 38 19.092 220,000 50,000 Inc. Home Capital Group Common Shares Home Capital Group Inc. 1 2019-06-27 38 19.208 270,000 50,000 Inc. Home Capital Group Common Shares Home Capital Group Inc. 1 2019-06-28 38 19.362 320,000 50,000 Inc. Home Capital Group Common Shares Home Capital Group Inc. 1 2019-06-28 38 100,000 -220,000 Inc. Home Capital Group Rights Deferred HUTCHISON, SUSAN 4 2019-06-28 56 18.99 2,728 88 Inc. Share Units Hudbay Minerals Inc. Common Shares GMT Capital Corp 3 2019-07-09 10 4.82 7,426,190 -22,500 (formerly HudBay Minerals Inc.) Hudbay Minerals Inc. Common Shares GMT Capital Corp 3 2019-07-10 10 4.93 7,396,690 -29,500 (formerly HudBay Minerals Inc.) Hudbay Minerals Inc. Common Shares GMT Capital Corp 3 2019-07-09 10 4.82 8,500,320 -25,800 (formerly HudBay Minerals Inc.) Hudbay Minerals Inc. Common Shares GMT Capital Corp 3 2019-07-10 10 4.93 8,466,620 -33,700 (formerly HudBay Minerals Inc.) Hudbay Minerals Inc. Common Shares GMT Capital Corp 3 2019-07-09 10 4.82 12,296,790 -37,200 (formerly HudBay Minerals Inc.) Hudbay Minerals Inc. Common Shares GMT Capital Corp 3 2019-07-10 10 4.93 12,247,990 -48,800 (formerly HudBay Minerals Inc.) Hudbay Minerals Inc. Common Shares GMT Capital Corp 3 2019-07-09 10 4.82 355,420 -1,100 (formerly HudBay Minerals Inc.) Hudbay Minerals Inc. Common Shares GMT Capital Corp 3 2019-07-10 10 4.93 354,020 -1,400 (formerly HudBay Minerals Inc.) Hudbay Minerals Inc. Common Shares GMT Capital Corp 3 2019-07-09 10 4.82 1,110,900 -3,400 (formerly HudBay Minerals Inc.) Hudbay Minerals Inc. Common Shares GMT Capital Corp 3 2019-07-10 10 4.93 1,106,500 -4,400 (formerly HudBay Minerals Inc.)
July 18, 2019 (2019), 42 OSCB 6221
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings
Hut 8 Mining Corp. Options Flinn, Joseph Patrick 4 2018-08-01 00 (formerly, Oriana Resources Corporation) Hydrogenics Deferred Share Alexander, Douglas Stewart 4 2019-07-10 56 69,636 685 Corporation Units Hydrogenics Deferred Share Elford, Sara 4 2019-07-10 56 15,056 629 Corporation Units Hydrogenics Deferred Share Ferguson, David Cadwell 4 2019-07-10 56 14,587 428 Corporation Units Hydrogenics Deferred Share LOWRY, Donald James 4 2019-07-10 56 24,631 713 Corporation Units iA Financial Common Shares MaillÚ, Ginette 4 2019-07-09 00 Corporation Inc. iAnthus Capital Common Shares Kalcevich, Julius John 4, 5 2016-08-12 00 Holdings, Inc. iAnthus Capital Common Shares Kalcevich, Julius John 4, 5 2019-07-11 10 3.7973 20,000 20,000 Holdings, Inc.
iAnthus Capital Options rosen, paul 4 2019-04-23 50 7.08 50,000 Holdings, Inc. iAnthus Capital Options rosen, paul 4 2019-04-23 50 7.08 50,000 Holdings, Inc. iAnthus Capital Options rosen, paul 4 2019-06-06 50 5.35 175,000 50,000 Holdings, Inc. iAnthus Capital Common Shares Stavola, Elizabeth M. 4, 5 2019-06-27 22 3.27 4,159,279 1,969,534 Holdings, Inc. iAnthus Capital Common Shares Stavola, Elizabeth M. 4, 5 2019-02-05 00 Holdings, Inc. iAnthus Capital Common Shares Stavola, Elizabeth M. 4, 5 2019-07-10 10 2.825 20,000 20,000 Holdings, Inc. IMAX Corporation Common Shares IMAX Corporation 1 2019-07-08 38 77,380 10,273 IMAX Corporation Common Shares IMAX Corporation 1 2019-07-09 38 78,487 1,107 IMAX Corporation Common Shares IMAX Corporation 1 2019-07-10 38 68,214 -10,273 IMAX Corporation Common Shares IMAX Corporation 1 2019-07-11 38 67,107 -1,107 Imperial Metals Common Shares Deepwell, Andre Henry 5 2019-07-08 30 2.22 297,974 2,301 Corporation Imperial Metals Common Shares Edwards, Norman Murray 3 2019-07-09 11 2.48 50,773,536 479,894 Corporation Imperial Metals Common Shares Fairholme Capital 3 2019-07-08 10 2.49 9,347,321 -13,002 Corporation Management, L.L.C. Imperial Metals Common Shares KYNOCH, J. BRIAN 4, 5 2019-07-08 30 2.22 1,312,605 2,635 Corporation Imperial Oil Limited Common Shares Exxon Mobil Corporation 3 2019-07-05 38 35.93 530,455,689 -108,551 Imperial Oil Limited Common Shares Exxon Mobil Corporation 3 2019-07-08 38 36.13 530,347,139 -108,550 Imperial Oil Limited Common Shares Exxon Mobil Corporation 3 2019-07-09 38 36.79 530,238,588 -108,551 Imperial Oil Limited Common Shares Exxon Mobil Corporation 3 2019-07-10 38 36.82 530,130,038 -108,550 Imperial Oil Limited Common Shares Exxon Mobil Corporation 3 2019-07-11 38 37.04 530,021,487 -108,551 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-03 38 36.049 48,914 48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-03 38 36.049 0 -48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-03 38 35.96 111,987 111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-03 38 35.96 0 -111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-04 38 35.949 48,914 48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-04 38 35.949 0 -48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-04 38 35.79 111,987 111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-04 38 35.79 0 -111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-05 38 36.125 48,914 48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-05 38 36.125 0 -48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-05 38 36.3 111,987 111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-05 38 36.3 0 -111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-06 38 36.529 48,914 48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-06 38 36.529 0 -48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-06 38 36.46 111,987 111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-06 38 36.46 0 -111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-07 38 36.375 48,914 48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-07 38 36.375 0 -48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-07 38 36.43 111,987 111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-07 38 36.43 0 -111,987
July 18, 2019 (2019), 42 OSCB 6222
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-10 38 36.279 48,914 48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-10 38 36.279 0 -48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-10 38 36.26 111,987 111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-10 38 36.26 0 -111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-11 38 36.172 48,914 48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-11 38 36.172 0 -48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-11 38 35.99 111,987 111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-11 38 35.99 0 -111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-12 38 36.054 48,914 48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-12 38 36.054 0 -48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-12 38 35.99 111,987 111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-12 38 35.99 0 -111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-13 38 36.036 48,914 48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-13 38 36.036 0 -48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-13 38 35.95 111,987 111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-13 38 35.95 0 -111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-14 38 36.304 48,914 48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-14 38 36.304 0 -48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-14 38 36.14 111,987 111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-14 38 36.14 0 -111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-17 38 36.402 48,914 48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-17 38 36.402 0 -48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-17 38 36.55 111,987 111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-17 38 36.55 0 -111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-18 38 36.752 48,914 48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-18 38 36.752 0 -48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-18 38 36.66 111,987 111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-18 38 36.66 0 -111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-19 38 36.782 48,914 48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-19 38 36.782 0 -48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-19 38 36.74 111,987 111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-19 38 36.74 0 -111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-20 38 37.382 48,914 48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-20 38 37.382 0 -48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-20 38 37.46 111,987 111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-20 38 37.46 0 -111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-21 38 37.281 48,914 48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-21 38 37.281 0 -48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-21 38 36.73 111,987 111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-21 38 36.73 0 -111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-24 38 36.81 48,914 48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-24 38 36.81 0 -48,914 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-24 38 36.62 111,987 111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-24 38 36.62 0 -111,987 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-25 38 36.658 48,915 48,915 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-25 38 36.658 0 -48,915 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-25 38 36.38 111,989 111,989 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-25 38 36.38 0 -111,989 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-26 38 36.654 48,915 48,915 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-26 38 36.654 0 -48,915 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-26 38 36.64 111,990 111,990 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-26 38 36.64 0 -111,990 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-27 38 36.658 48,915 Imperial Oil Limited Common Shares Imperial Oil Limited 1 2019-06-27 38 36.658 -48,915 InMed Common Shares Hsu, Eric Chih-Hsien 5 2018-03-12 00 Pharmaceuticals Inc. InMed Common Shares Hsu, Eric Chih-Hsien 5 2019-07-10 10 0.351 42,000 42,000 Pharmaceuticals Inc. InMed Options Sazdanoff, Catherine 4 2019-07-01 00 100,000 Pharmaceuticals Inc. INSCAPE Corporation Options Dyke, Dennis Robert 5 2019-07-11 50 1.37 123,922 47,171 INSCAPE Corporation Options Gerson, David 5 2019-07-11 50 1.37 199,603 79,956 INSCAPE Corporation Options Hirji, Aziz 5 2019-07-11 50 1.37 119,805 58,544 INSCAPE Corporation Subordinate Voting Hirji, Aziz 5 2019-07-12 30 1.95 4,269 2,947 Shares CLASS B INSCAPE Corporation Options Nugent, Cecilia 5 2019-07-11 50 1.37 82,316 39,859
July 18, 2019 (2019), 42 OSCB 6223
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings INSCAPE Corporation Options Parshad, David 5 2019-07-11 50 1.37 146,128 49,824 InterRent Real Estate Deferred Units Amirault, Paul 4 2019-06-30 56 128,231 2,634 Investment Trust
InterRent Real Estate Deferred Units Bouzanis, Paul 4 2019-06-30 56 87,082 2,474 Investment Trust InterRent Real Estate Deferred Units Clancy, Michael Robert 5 2019-06-30 56 24,637 1,739 Investment Trust
InterRent Real Estate Deferred Units JUSSUP, WILLIAM JOHN 4 2019-02-25 00 Investment Trust
InterRent Real Estate Deferred Units JUSSUP, WILLIAM JOHN 4 2019-06-30 56 2,099 2,099 Investment Trust
InterRent Real Estate Deferred Units Leslie, Ronald A. 4 2019-06-30 56 140,619 2,189 Investment Trust
InterRent Real Estate Deferred Units Pangborn, Cheryl Anne 4 2019-06-30 56 14,028 1,440 Investment Trust Intertape Polymer Deferred Share Beil, Robert 4 2019-07-08 56 17.99 34,608 352 Group Inc. Units Intertape Polymer Deferred Share DiTomaso, Frank 4 2019-07-08 56 17.99 28,567 290 Group Inc. Units Intertape Polymer Deferred Share Foster, Robert J 4 2019-07-08 56 17.99 52,163 555 Group Inc. Units Intertape Polymer Deferred Share Granovsky, Dahra 4 2019-07-08 56 17.99 6,837 70 Group Inc. Units Granovsky Intertape Polymer Deferred Share Pantelidis, James 4 2019-07-08 56 17.99 28,597 291 Group Inc. Units Intertape Polymer Deferred Share Quintas, Jorge Nelson 4 2019-07-08 56 17.99 46,996 498 Group Inc. Units Intertape Polymer Deferred Share Salomone, Mary Patricia 4 2019-07-08 56 17.99 23,731 241 Group Inc. Units Intertape Polymer Deferred Share Yull, Melbourne F. 4 2019-07-08 56 17.99 36,402 370 Group Inc. Units Intouch Insight Ltd. Common Shares Smith, Catherine 5 2019-07-05 10 0.38 25,000 Intouch Insight Ltd. Common Shares Smith, Catherine 5 2019-02-19 00 Intouch Insight Ltd. Common Shares Smith, Catherine 5 2019-07-05 10 0.38 25,000 25,000 Invictus MD Strategies Common Shares DIXON, Trevor Douglas 4, 5 2019-07-09 16 0.4 10,187,100 1,250,000 Corp. Invictus MD Strategies Warrants DIXON, Trevor Douglas 4, 5 2019-05-09 00 Corp. Invictus MD Strategies Warrants DIXON, Trevor Douglas 4, 5 2019-07-09 53 0.6 625,000 625,000 Corp.
Iplayco Corporation Options Banks, David 4 2019-05-08 00 Ltd. Iplayco Corporation Options Banks, David 4 2019-06-27 50 50,000 50,000 Ltd. Iplayco Corporation Options Parker, Patrick Eugene 4 2018-11-05 00 Ltd. Iplayco Corporation Options Parker, Patrick Eugene 4 2019-06-27 50 0.5 50,000 50,000 Ltd. Iplayco Corporation Options Plumpton, John 4 2017-01-30 00 Ltd. Iplayco Corporation Options Plumpton, John 4 2019-06-27 50 0.5 50,000 50,000 Ltd. Itafos (formerly, MBAC Common Shares Itafos (formerly, MBAC 1 2019-06-12 38 9.65 24,500 Fertilizer Corp.) Fertilizer Corp.) Itafos (formerly, MBAC Common Shares Itafos (formerly, MBAC 1 2019-06-12 38 0.65 24,500 24,500 Fertilizer Corp.) Fertilizer Corp.) Ivanhoe Mines Ltd. Common Shares Bawlf, Martin Forrester 5 2019-07-10 51 628,932 463,832 Class A Ivanhoe Mines Ltd. Common Shares Bawlf, Martin Forrester 5 2019-07-11 10 4.13 589,016 -39,916 Class A Ivanhoe Mines Ltd. Common Shares Bawlf, Martin Forrester 5 2019-07-11 10 4.135 587,516 -1,500 Class A Ivanhoe Mines Ltd. Common Shares Bawlf, Martin Forrester 5 2019-07-11 10 4.14 569,016 -18,500 Class A Ivanhoe Mines Ltd. Common Shares Bawlf, Martin Forrester 5 2019-07-11 10 4.145 568,816 -200 Class A Ivanhoe Mines Ltd. Common Shares Bawlf, Martin Forrester 5 2019-07-11 10 4.15 502,216 -66,600 Class A
July 18, 2019 (2019), 42 OSCB 6224
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Ivanhoe Mines Ltd. Common Shares Bawlf, Martin Forrester 5 2019-07-11 10 4.155 501,716 -500 Class A Ivanhoe Mines Ltd. Common Shares Bawlf, Martin Forrester 5 2019-07-11 10 4.16 482,616 -19,100 Class A Ivanhoe Mines Ltd. Common Shares Bawlf, Martin Forrester 5 2019-07-11 10 4.165 482,516 -100 Class A Ivanhoe Mines Ltd. Common Shares Bawlf, Martin Forrester 5 2019-07-11 10 4.17 430,116 -52,400 Class A Ivanhoe Mines Ltd. Common Shares Bawlf, Martin Forrester 5 2019-07-11 10 4.175 430,082 -34 Class A Ivanhoe Mines Ltd. Common Shares Bawlf, Martin Forrester 5 2019-07-11 10 4.18 418,382 -11,700 Class A Ivanhoe Mines Ltd. Common Shares Bawlf, Martin Forrester 5 2019-07-11 10 4.175 415,016 -3,366 Class A Ivanhoe Mines Ltd. Common Shares Bawlf, Martin Forrester 5 2019-07-11 10 4.19 397,016 -18,000 Class A Ivanhoe Mines Ltd. Common Shares Bawlf, Martin Forrester 5 2019-07-11 10 4.1 318,416 -78,600 Class A Ivanhoe Mines Ltd. Common Shares Bawlf, Martin Forrester 5 2019-07-11 10 4.105 318,316 -100 Class A Ivanhoe Mines Ltd. Common Shares Bawlf, Martin Forrester 5 2019-07-11 10 4.11 296,916 -21,400 Class A Ivanhoe Mines Ltd. Common Shares Bawlf, Martin Forrester 5 2019-07-11 10 4.12 295,916 -1,000 Class A Ivanhoe Mines Ltd. Common Shares Bawlf, Martin Forrester 5 2019-07-11 10 4.13 277,216 -18,700 Class A Ivanhoe Mines Ltd. Common Shares Bawlf, Martin Forrester 5 2019-07-11 10 4.14 252,316 -24,900 Class A Ivanhoe Mines Ltd. Common Shares Bawlf, Martin Forrester 5 2019-07-11 10 4.15 246,916 -5,400 Class A Ivanhoe Mines Ltd. Common Shares Bawlf, Martin Forrester 5 2019-07-11 10 4.16 238,716 -8,200 Class A Ivanhoe Mines Ltd. Common Shares Bawlf, Martin Forrester 5 2019-07-11 10 4.17 231,916 -6,800 Class A Ivanhoe Mines Ltd. Common Shares Bawlf, Martin Forrester 5 2019-07-12 10 4.115 226,616 -5,300 Class A Ivanhoe Mines Ltd. Common Shares Bawlf, Martin Forrester 5 2019-07-12 10 4.12 226,200 -416 Class A Ivanhoe Mines Ltd. Common Shares Bawlf, Martin Forrester 5 2019-07-12 10 4.125 192,000 -34,200 Class A Ivanhoe Mines Ltd. Common Shares Bawlf, Martin Forrester 5 2019-07-12 10 4.13 165,400 -26,600 Class A Ivanhoe Mines Ltd. Common Shares Bawlf, Martin Forrester 5 2019-07-12 10 4.14 165,100 -300 Class A Ivanhoe Mines Ltd. Options Bawlf, Martin Forrester 5 2019-07-10 51 0.99 250,000 -600,000 Ivanhoe Mines Ltd. Common Shares Carneiro, Tadeu 4 2019-07-12 10 4.2 223,486 9,500 Class A Ivanhoe Mines Ltd. Common Shares Carneiro, Tadeu 4 2019-07-12 10 4.19 223,986 500 Class A Ivanhoe Mines Ltd. Common Shares Meredith, Peter 4 2019-07-05 47 1,000,000 -304,825 Class A Ivanhoe Mines Ltd. Common Shares Mikhael, Elia 7 2019-07-04 51 0.64 252,048 37,500 Class A Ivanhoe Mines Ltd. Common Shares Mikhael, Elia 7 2019-07-04 51 0.99 302,048 50,000 Class A Ivanhoe Mines Ltd. Common Shares Mikhael, Elia 7 2019-07-04 10 4.48 282,148 -19,900 Class A Ivanhoe Mines Ltd. Common Shares Mikhael, Elia 7 2019-07-04 10 4.46 273,748 -8,400 Class A Ivanhoe Mines Ltd. Common Shares Mikhael, Elia 7 2019-07-04 10 4.4505 269,748 -4,000 Class A Ivanhoe Mines Ltd. Common Shares Mikhael, Elia 7 2019-07-04 10 4.45 214,548 -55,200 Class A Ivanhoe Mines Ltd. Options Mikhael, Elia 7 2019-07-04 51 0.64 492,500 -37,500 Ivanhoe Mines Ltd. Options Mikhael, Elia 7 2019-07-04 51 0.99 442,500 -50,000 Jade Leader Corp. Common Shares Ebert, Shane William 4 2019-07-10 10 0.1 774,123 130,000
July 18, 2019 (2019), 42 OSCB 6225
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Jade Leader Corp. Common Shares Ebert, Shane William 4 2019-07-10 10 0.23 708,123 -66,000 Jade Leader Corp. Options Ebert, Shane William 4 2019-07-10 51 0.1 130,000 -130,000 Jade Leader Corp. Common Shares McDowell, Cornell Dean 4 2015-07-14 00 Jade Leader Corp. Common Shares McDowell, Cornell Dean 4 2019-07-10 51 0.1 130,000 130,000 Jade Leader Corp. Options McDowell, Cornell Dean 4 2019-07-10 51 0.1 130,000 -130,000 Jade Leader Corp. Common Shares O'Neill, Barbara Michele 5 2019-07-10 51 0.1 227,169 130,000 Jade Leader Corp. Common Shares O'Neill, Barbara Michele 5 2019-07-10 10 0.23 180,800 -46,369 Jade Leader Corp. Options O'Neill, Barbara Michele 5 2019-07-10 51 0.1 130,000 -130,000 Jaguar Mining Inc. Common Shares 2176423 Ontario Ltd. 3 2019-07-05 00 11,545,455 Jaguar Mining Inc. Common Shares 2176423 Ontario Ltd. 3 2019-07-05 11 0.085 248,016,043 236,470,588 Jaguar Mining Inc. Common Shares Sprott, Eric S. 3 2019-07-05 11 0.085 248,016,043 236,470,588 Jaguar Mining Inc. Common Shares Tocqueville Asset 3 2019-07-05 11 0.085 132,249,707 67,620,000 Management, L.P. Jaguar Mining Inc. Common Shares Tocqueville Asset 3 2019-07-08 11 0.085 141,809,095 9,559,388 Management, L.P. James E. Wagner Common Shares FOSTER, LAURA EMMA 4, 5 2019-07-11 51 0.46 2,016,061 263,888 Cultivation ELIZABETH Corporation James E. Wagner Common Shares FOSTER, LAURA EMMA 4, 5 2019-07-11 11 0.6 1,752,173 -263,888 Cultivation ELIZABETH Corporation James E. Wagner Options FOSTER, LAURA EMMA 4, 5 2019-07-11 51 544,807 -263,888 Cultivation ELIZABETH Corporation James E. Wagner Common Shares Woodworth, Krysta Marie 5 2019-07-10 51 0.46 4,011,478 293,000 Cultivation Elizabeth Corporation James E. Wagner Options Woodworth, Krysta Marie 5 2019-07-10 51 515,695 -293,000 Cultivation Elizabeth Corporation James E. Wagner Common Shares Woodworth, Nathaniel 4, 5 2019-07-10 51 0.46 4,346,364 293,000 Cultivation Clinton James Corporation James E. Wagner Options Woodworth, Nathaniel 4, 5 2019-07-10 51 1,088,521 -293,000 Cultivation Clinton James Corporation Jemtec Inc. Common Shares Caton, Eric 4, 5 2019-07-05 10 2.25 602,297 -1,500 Jemtec Inc. Common Shares Caton, Eric 4, 5 2019-07-08 10 2.0883 601,097 -1,200 Jemtec Inc. Common Shares Caton, Eric 4, 5 2019-07-08 10 2.08 600,097 -1,000 Jemtec Inc. Common Shares Caton, Eric 4, 5 2019-07-09 10 2.07 595,097 -5,000 Jemtec Inc. Common Shares Caton, Eric 4, 5 2019-07-09 10 2.08 593,797 -1,300 Jemtec Inc. Common Shares Caton, Eric 4, 5 2019-07-09 10 2.08 592,297 -1,500 Jemtec Inc. Common Shares Caton, Eric 4, 5 2019-07-10 10 2.05 591,797 -500 Jemtec Inc. Common Shares Caton, Eric 4, 5 2019-07-10 10 1.9667 589,997 -1,800 Journey Energy Inc. Common Shares Gilewicz, Gerald 5 2019-07-10 10 2.5 219,515 -5,000 Just Energy Group Common Shares Andani, Amir 5 2019-07-08 36 46,420 33,916 Inc. Just Energy Group Rights Andani, Amir 5 2019-07-08 38 74,138 -39,069 Inc. Performance Bonus Incentive Plan Just Energy Group Rights Andani, Amir 5 2019-07-08 36 108,054 33,916 Inc. Performance Bonus Incentive Plan Just Energy Group Common Shares DAVIDS, JONAH 5 2019-07-08 36 108,381 33,916 Inc. Just Energy Group Rights DAVIDS, JONAH 5 2019-07-08 38 93,810 -39,069 Inc. Performance Bonus Incentive Plan Just Energy Group Rights DAVIDS, JONAH 5 2019-07-08 36 59,894 -33,916 Inc. Performance Bonus Incentive Plan K-Bro Linen Inc. Common Shares Inglis, Scott Ian 5 2019-05-21 00 K-Bro Linen Inc. Common Shares Inglis, Scott Ian 5 2019-05-21 00 K-Bro Linen Inc. Common Shares Jones, MICHAEL WILLIAM 5 2019-05-21 00
K-Bro Linen Inc. Common Shares Jones, MICHAEL WILLIAM 5 2019-05-21 00
K-Bro Linen Inc. Common Shares Renaut, Lucy Jane 5 2019-05-21 00
July 18, 2019 (2019), 42 OSCB 6226
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings
K-Bro Linen Inc. Common Shares Renaut, Lucy Jane 5 2019-05-21 00 K2 Gold Corporation Common Shares Robins, John Edward 3, 4, 5 2019-07-08 54 0.1 2,024,250 660,000 K2 Gold Corporation Warrants Robins, John Edward 3, 4, 5 2019-07-08 54 0.1 145,000 -660,000 Kelt Exploration Ltd. Common Shares Dales, Robert John 4 2018-07-13 51 4.38 1,794,255 30,000 Kelt Exploration Ltd. Options Dales, Robert John 4 2018-07-13 51 4.38 120,000 -30,000 Keyera Corp. Convertible Lock, Bradley Wayne 5 2019-06-25 10 0 -300 Preferred Shares Preference Shares, Series 2019-A Keyera Corp. Notes Series Lock, Bradley Wayne 5 2011-01-01 00 2019-A due June 13, 2079 Keyera Corp. Notes Series Lock, Bradley Wayne 5 2019-06-25 10 101.65 $300 $300 2019-A due June 13, 2079 Khiron Life Sciences Common Shares Torres, Alvaro Francisco 4, 6, 5 2018-05-16 00 20,325 Corp. Kinross Gold Common Shares Elliott, Thomas Ballantyne 5 2019-06-30 30 5.07 223,976 3,019 Corporation Kinross Gold Common Shares Etter, Gregory Van 5 2019-06-30 30 3.86 5,094 1,550 Corporation Kinross Gold Common Shares Freeborough, Andrea Susan 5 2019-06-30 30 5.07 139,824 2,400 Corporation Kinross Gold Common Shares Longenecker, Nathan M. 5 2019-06-30 30 5.07 41,677 3,201 Corporation Kinross Gold Common Shares Mittler, Andreas 5 2019-06-30 30 3.86 2,368 2,368 Corporation Kinross Gold Common Shares Rollinson, Jonathon Paul 4, 5 2019-06-30 30 5.07 2,007,955 10,361 Corporation Kinross Gold Common Shares Schimper, Claude J.S. 5 2019-06-30 30 3.86 20,322 2,539 Corporation Kinross Gold Common Shares Sims, John Lewis 5 2019-06-30 30 5.07 42,639 1,761 Corporation Kinross Gold Common Shares Sylvestre, Michel 5 2019-06-30 30 5.07 38,038 1,747 Corporation Kinross Gold Common Shares van Akkooi, Michiel 5 2019-06-30 30 5.07 13,899 1,540 Corporation Kinross Gold Common Shares Wiseman, Tara H. 5 2019-06-30 30 5.07 81,857 2,176 Corporation KuuHubb Inc. Options Keranen, Jouni 4, 5 2019-07-05 50 1,200,000 200,000 KuuHubb Inc. Options Kim, Elmer 4 2019-07-05 00 200,000 KuuHubb Inc. Options Kolster, Christian 4, 5 2019-07-05 50 1,400,000 200,000 KuuHubb Inc. Options Piipponen, Pasi Petteri 5 2019-07-05 50 400,000 100,000 KuuHubb Inc. Options Sung, Charles Chien-Hung 5 2019-07-05 00
KuuHubb Inc. Options Sung, Charles Chien-Hung 5 2019-07-05 50 66,666 66,666
KuuHubb Inc. Options Sung, Charles Chien-Hung 5 2019-07-05 50 200,000
KuuHubb Inc. Options Sung, Charles Chien-Hung 5 2019-07-05 50 133,334 133,334
LEAGOLD MINING Common Shares Giustra, Frank 4 2019-07-04 10 2.039 1,215,000 70,000 CORPORATION LEAGOLD MINING Common Shares Giustra, Frank 4 2019-07-08 10 2.0365 1,386,500 111,500 CORPORATION LEAGOLD MINING Common Shares Giustra, Frank 4 2019-07-09 10 2 1,446,500 60,000 CORPORATION LEAGOLD MINING Common Shares Giustra, Frank 4 2019-07-10 10 2.0407 1,547,500 101,000 CORPORATION LEAGOLD MINING Common Shares Giustra, Frank 4 2019-07-11 10 2.0205 1,627,500 80,000 CORPORATION Leon's Furniture Common Shares Leon's Furniture Limited 1 2019-06-17 38 15.1 100 100 Limited Leon's Furniture Common Shares Leon's Furniture Limited 1 2019-06-17 38 15.1 0 -100 Limited Leon's Furniture Common Shares Leon's Furniture Limited 1 2019-06-18 38 15.09 1,700 1,700 Limited Leon's Furniture Common Shares Leon's Furniture Limited 1 2019-06-18 38 15.09 0 -1,700 Limited Leon's Furniture Common Shares Leon's Furniture Limited 1 2019-06-19 38 15.243 2,005 2,005 Limited
July 18, 2019 (2019), 42 OSCB 6227
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Leon's Furniture Common Shares Leon's Furniture Limited 1 2019-06-19 38 15.243 0 -2,005 Limited Leon's Furniture Common Shares Leon's Furniture Limited 1 2019-06-20 38 15.623 2,005 2,005 Limited Leon's Furniture Common Shares Leon's Furniture Limited 1 2019-06-20 38 15.623 0 -2,005 Limited Leon's Furniture Common Shares Leon's Furniture Limited 1 2019-06-21 38 15.5 1,605 1,605 Limited Leon's Furniture Common Shares Leon's Furniture Limited 1 2019-06-21 38 15.5 0 -1,605 Limited Leon's Furniture Common Shares Leon's Furniture Limited 1 2019-06-24 38 15.418 1,105 1,105 Limited Leon's Furniture Common Shares Leon's Furniture Limited 1 2019-06-24 38 15.418 0 -1,105 Limited Leon's Furniture Common Shares Leon's Furniture Limited 1 2019-06-25 38 15.321 805 805 Limited Leon's Furniture Common Shares Leon's Furniture Limited 1 2019-06-25 38 15.321 0 -805 Limited Leon's Furniture Common Shares Leon's Furniture Limited 1 2019-06-26 38 15.495 405 405 Limited Leon's Furniture Common Shares Leon's Furniture Limited 1 2019-06-26 38 15.495 0 -405 Limited Leon's Furniture Common Shares Leon's Furniture Limited 1 2019-06-27 38 15.48 1,005 1,005 Limited Leon's Furniture Common Shares Leon's Furniture Limited 1 2019-06-27 38 15.48 0 -1,005 Limited Leon's Furniture Common Shares Leon's Furniture Limited 1 2019-06-28 38 15.168 1,405 1,405 Limited Leon's Furniture Common Shares Leon's Furniture Limited 1 2019-06-28 38 15.168 0 -1,405 Limited LeoNovus Inc. Options Chow, David 4 2019-07-04 50 0.06 100,000 LeoNovus Inc. Options Chow, David 4 2019-07-04 50 0.06 366,500 100,000 LeoNovus Inc. Options Pretli, George 5 2019-06-04 00 LeoNovus Inc. Options Pretli, George 5 2019-07-03 50 0.06 200,000 200,000 Leucrotta Exploration Common Shares Brussa, John Albert 4 2019-07-11 11 0.81 552,365 100,000 Inc. Leucrotta Exploration Common Shares Zakresky, Robert John 5 2019-07-11 10 0.81 5,232,720 -100,000 Inc. Linamar Corporation Common Shares Linamar Corporation 1 2019-07-08 38 45.806 30,000 10,000 Linamar Corporation Common Shares Linamar Corporation 1 2019-07-09 38 44.967 40,000 10,000 Linamar Corporation Common Shares McCulloch, Philip Andrew 5 2019-07-05 10 46.24 2,200 -2,600 Linamar Corporation Common Shares STODDART, MARK 4, 5 2019-07-10 10 44.54 -6,000 Linamar Corporation Common Shares STODDART, MARK 4, 5 2019-07-10 10 44.54 661,517 -6,000 LIONS GATE Common Shares Sanchez, Daniel E. 4 2018-09-11 00 ENTERTAINMENT Class A Voting CORP. LIONS GATE Common Shares Sanchez, Daniel E. 4 2018-09-11 00 ENTERTAINMENT Class A Voting CORP. LIONS GATE Non-Voting Shares Sanchez, Daniel E. 4 2018-09-11 00 ENTERTAINMENT Class B CORP. LIONS GATE Non-Voting Shares Sanchez, Daniel E. 4 2018-09-11 00 2,851 ENTERTAINMENT Class B CORP. LIONS GATE Non-Voting Shares Sanchez, Daniel E. 4 2019-04-04 10 15.63 1,308 -3,214 ENTERTAINMENT Class B CORP. Lithium Americas Rights Deferred Chubbs, Fabiana Elizabeth 4 2019-06-26 00 Corp. Share Units Lithium Americas Rights Deferred Chubbs, Fabiana Elizabeth 4 2019-07-08 56 246 246 Corp. Share Units Lithium Americas Rights Deferred Cohn, Gary Michael 4 2019-07-08 56 42,199 8,272 Corp. Share Units Lithium Americas Rights Deferred Fraser, Jean Margaret 4 2019-07-08 56 34,554 6,203 Corp. Share Units Lithium Americas Rights Deferred Ireland, George R. 4, 6 2019-07-08 56 44,441 7,275 Corp. Share Units Lithium Americas Rights Deferred Kovavisarach, Chaiwat 4 2019-07-08 56 23,846 4,087 Corp. Share Units Lithium Americas Rights Restricted Meikle, Alexander Hamilton 5 2019-06-27 56 342,876 23,262 Corp. Stock Unit Lithium Americas Rights Deferred Wang, Xiaoshen 4 2019-07-08 56 25,779 4,087 Corp. Share Units
July 18, 2019 (2019), 42 OSCB 6228
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Loblaw Companies Common Shares Loblaw Companies Limited 1 2019-06-03 38 69.25 982,270 42,800 Limited Loblaw Companies Common Shares Loblaw Companies Limited 1 2019-06-04 38 69.61 1,129,770 147,500 Limited Loblaw Companies Common Shares Loblaw Companies Limited 1 2019-06-05 38 70 1,134,770 5,000 Limited Loblaw Companies Common Shares Loblaw Companies Limited 1 2019-06-10 38 70.27 1,282,270 147,500 Limited Loblaw Companies Common Shares Loblaw Companies Limited 1 2019-06-11 38 70.17 1,429,770 147,500 Limited Loblaw Companies Common Shares Loblaw Companies Limited 1 2019-06-12 38 70.301 1,546,170 116,400 Limited
Loblaw Companies Common Shares Loblaw Companies Limited 1 2019-06-14 38 0 -1,546,170 Limited
Loncor Resources Inc. Options Chen, Zhengquan 4 2019-06-28 00 Loncor Resources Inc. Options Chen, Zhengquan 4 2019-07-02 50 150,000 150,000 Lydian International Common Shares Orion Mine Finance 3 2019-07-09 10 0.1 -9,843,000 Limited Management I Limited Lydian International Common Shares Orion Mine Finance 3 2019-07-09 10 0.1 -9,843,000 Limited Management I Limited Lydian International Common Shares Orion Mine Finance 3 2019-07-09 10 0.1001 98,836,000 -9,843,000 Limited Management I Limited Lydian International Warrants (Expiry Orion Mine Finance 3 2019-05-26 55 0 -4,391,892 Limited date May 26, Management I Limited 2019) Madison Pacific Common Shares Rees, Jonathan Hugh 4 2019-07-11 00 46,450 Properties Inc. Class B Voting Beaumont Madison Pacific Non-Voting Shares Rees, Jonathan Hugh 4 2019-07-11 00 3,488 Properties Inc. Class C Beaumont MAG Silver Corp. DSU Clark, Richard Peter 4 2019-06-30 97 96,214 1,763 MAG Silver Corp. DSU Rubenstein, Jonathan A. 4 2019-06-30 97 101,262 1,356 Magnum Goldcorp Inc. Common Shares Mason, Douglas Lawrence 3, 4, 5 2019-07-09 10 0.05 475,669 -213,000
Magnum Goldcorp Inc. Common Shares Mason, Douglas Lawrence 3, 4, 5 2019-07-09 10 0.05 505,669 30,000
Magnum Goldcorp Inc. Common Shares Mason, Douglas Lawrence 3, 4, 5 2019-07-09 10 0.05 539,701 -940,000
Major Drilling Group Options Graham, Benjamin Luke 5 2019-07-07 52 6.15 91,600 -10,000 International Inc. Mako Mining Corp. Common Shares Gonzalez, Cesar 4 2019-07-10 10 0.09 2,574,116 465,000 Mako Mining Corp. Options Kelly, Scott 5 2018-11-09 00 Mako Mining Corp. Common Shares Leisman, Akiba Jacob 4 2019-07-10 10 0.1125 8,474,234 1,077,000 Issachar Mako Mining Corp. Common Shares Leisman, Akiba Jacob 4 2019-07-11 10 0.11 9,204,234 730,000 Issachar Manitou Gold Inc. Options Dubreuil, Patrice Simon 5 2019-07-07 52 0 -1,240,000 Manitou Gold Inc. Options Dubreuil, Patrice Simon 5 2019-07-09 50 3,000,000 3,000,000 Manitou Gold Inc. Options Mahaffy, Guy 4 2019-07-07 52 0 -740,000 Manitou Gold Inc. Options Mahaffy, Guy 4 2019-07-09 50 1,400,000 1,400,000 Manitou Gold Inc. Options Marrelli, Carmelo 5 2019-07-07 52 0 -250,000 Manitou Gold Inc. Options Marrelli, Carmelo 5 2019-07-09 50 250,000 250,000 Manitou Gold Inc. Options McCORMACK, DANIEL 4 2019-06-20 00 Joseph Manitou Gold Inc. Options McCORMACK, DANIEL 4 2019-07-09 50 1,000,000 1,000,000 Joseph Manitou Gold Inc. Options Murphy, Richard 4, 5 2019-07-07 52 0 -2,240,000 Manitou Gold Inc. Options Murphy, Richard 4, 5 2019-07-09 50 4,000,000 4,000,000 Manitou Gold Inc. Options Stanley, Craig 4 2019-07-07 52 0 -740,000 Manitou Gold Inc. Options Stanley, Craig 4 2019-07-09 50 1,400,000 1,400,000 Maple Gold Mines Ltd. Common Shares Lang, Joness 5 2019-07-11 10 0.085 300,000 15,000 (formerly Aurvista Gold Corporation) Matachewan Common Shares McCloskey, Richard Duncan 4, 5 2019-07-09 10 0.13 4,035,000 20,000 Consolidated Mines, Limited
July 18, 2019 (2019), 42 OSCB 6229
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Matachewan Common Shares McCloskey, Richard Duncan 4, 5 2019-07-10 10 0.13 4,047,500 12,500 Consolidated Mines, Limited
MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-06-03 38 7.5586 14,753 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-06-03 38 7.5586 14,753 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-06-03 38 7.5586 14,753 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-06-03 38 7.5586 14,753 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-06-03 38 7.5586 14,753 14,753 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-06-04 38 7.5459 8,800 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-06-04 38 7.5459 8,800 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-06-04 38 7.5459 8,800 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-06-04 38 7.5459 8,800 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-06-04 38 7.5459 23,553 8,800 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-06-05 38 7.4898 12,400 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-06-05 38 7.4898 12,400 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-06-05 38 7.4898 12,400 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-06-05 38 7.4898 12,400 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-06-05 38 7.4898 35,953 12,400 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-06-06 38 7.4296 10,800 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-06-06 38 7.4296 10,800 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-06-06 38 7.4296 46,753 10,800 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-06-07 38 7.3889 61,506 14,753 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-06-10 38 7.3413 70,006 8,500 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-06-11 38 7.3999 83,806 13,800 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-06-12 38 7.4899 97,806 14,000 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-06-13 38 7.4524 100,306 2,500 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-06-14 38 7.4484 115,059 14,753 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-06-17 38 7.4063 128,259 13,200 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-06-18 38 7.4323 141,459 13,200 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-06-19 38 7.4048 148,959 7,500 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-06-30 38 0 -148,959 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-07-06 38 7.4296 10,800 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-07-06 38 7.4296 10,800 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-07-07 38 7.3889 14,753 Inc. MAV Beauty Brands Common Shares MAV Beauty Brands Inc. 1 2019-07-07 38 7.3889 14,753 Inc. Maverix Metals Inc. Common Shares Beaty, Ross J. 6 2019-05-23 37 27,583,500 -27,583,500 Maverix Metals Inc. Warrants Beaty, Ross J. 6 2019-05-23 36 11,500,000 -5,000,000 Maverix Metals Inc. Warrants Beaty, Ross J. 6 2019-05-23 37 8,250,000 -3,250,000 Maverix Metals Inc. Common Shares Busby, Steven 6 2019-05-23 37 27,583,500 -27,583,500 Maverix Metals Inc. Warrants Busby, Steven 6 2019-05-23 37 11,500,000 -5,000,000 Maverix Metals Inc. Warrants Busby, Steven 6 2019-05-23 37 8,250,000 -3,250,000 Maverix Metals Inc. Common Shares Carroll, Michael Louis 6 2019-05-23 37 27,583,500 -27,583,500 Maverix Metals Inc. Warrants Carroll, Michael Louis 6 2019-05-23 37 11,500,000 -5,000,000 Maverix Metals Inc. Warrants Carroll, Michael Louis 6 2019-05-23 37 8,250,000 -3,250,000
July 18, 2019 (2019), 42 OSCB 6230
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings
Maverix Metals Inc. Common Shares de Gelder, Neil 6 2019-05-23 37 27,583,500 -27,583,500 Maverix Metals Inc. Warrants de Gelder, Neil 6 2019-05-23 37 11,500,000 -5,000,000 Maverix Metals Inc. Warrants de Gelder, Neil 6 2019-05-23 37 8,250,000 -3,250,000 Maverix Metals Inc. Common Shares Doyle, Alun Robert 4 2019-05-23 37 27,583,500 -27,583,500 Maverix Metals Inc. Warrants Doyle, Alun Robert 4 2019-05-23 37 11,500,000 -5,000,000 Maverix Metals Inc. Warrants Doyle, Alun Robert 4 2019-05-23 37 8,250,000 -3,250,000 Maverix Metals Inc. Common Shares Jeannes, Charles A. 6 2019-05-23 37 27,583,500 -27,583,500 Maverix Metals Inc. Warrants Jeannes, Charles A. 6 2019-05-23 37 11,500,000 -5,000,000 Maverix Metals Inc. Warrants Jeannes, Charles A. 6 2019-05-23 37 8,250,000 -3,250,000 Maverix Metals Inc. Common Shares McArthur, C. Kevin 6 2019-05-23 37 27,583,500 -27,583,500 Maverix Metals Inc. Warrants McArthur, C. Kevin 6 2019-05-23 37 11,500,000 -5,000,000 Maverix Metals Inc. Warrants McArthur, C. Kevin 6 2019-05-23 37 8,250,000 -3,250,000 Maverix Metals Inc. Common Shares Pan American Silver Corp. 3 2019-05-23 37 27,583,500 -27,583,500
Maverix Metals Inc. Warrants Pan American Silver Corp. 3 2019-05-23 37 11,500,000 -5,000,000
Maverix Metals Inc. Warrants Pan American Silver Corp. 3 2019-05-23 37 8,250,000 -3,250,000
Maverix Metals Inc. Common Shares Segsworth, Walter Thomas 6 2019-05-23 37 27,583,500 -27,583,500
Maverix Metals Inc. Warrants Segsworth, Walter Thomas 6 2019-05-23 37 11,500,000 -5,000,000
Maverix Metals Inc. Warrants Segsworth, Walter Thomas 6 2019-05-23 37 8,250,000 -3,250,000
Maverix Metals Inc. Common Shares Steinmann, Michael 6 2019-05-23 37 27,583,500 -27,583,500 Maverix Metals Inc. Warrants Steinmann, Michael 6 2019-05-23 37 11,500,000 -5,000,000 Maverix Metals Inc. Warrants Steinmann, Michael 6 2019-05-23 37 8,250,000 -3,250,000 Maverix Metals Inc. Common Shares Winckler, Gillian 6 2019-05-23 37 27,583,500 -27,583,500 Maverix Metals Inc. Warrants Winckler, Gillian 6 2019-05-23 37 11,500,000 -5,000,000 Maverix Metals Inc. Warrants Winckler, Gillian 6 2019-05-23 37 8,250,000 -3,250,000 MBN Corporation Common Shares MBN Corporation 1 2019-07-08 38 6.49 200 200 Equity Shares MBN Corporation Common Shares MBN Corporation 1 2019-07-08 38 0 -200 Equity Shares MBN Corporation Common Shares MBN Corporation 1 2019-07-09 38 6.4133 900 900 Equity Shares MBN Corporation Common Shares MBN Corporation 1 2019-07-09 38 0 -900 Equity Shares MCAN Mortgage Common Shares DorÚ, Susan 4 2019-07-04 30 15.48 189,057 3,679 Corporation MCAN Mortgage Common Shares DorÚ, Susan 4 2019-07-04 30 15.48 4,460 90 Corporation MCAN Mortgage Common Shares DorÚ, Susan 4 2019-07-04 30 15.48 4,500 91 Corporation MCAN Mortgage Common Shares McIntosh, Loraine 4 2019-06-28 30 15.478 1,067 21 Corporation MCAN Mortgage Common Shares McIntosh, Loraine 4 2019-06-28 30 15.478 1,067 21 Corporation MCAN Mortgage Common Shares McIntosh, Loraine 4 2019-06-28 30 15.478 1,146 23 Corporation MCAN Mortgage Common Shares McIntosh, Loraine 4 2019-06-28 30 15.478 3,328 67 Corporation MCAN Mortgage Common Shares Morphet, Gaelen Jane 4 2018-01-01 00 Corporation MCAN Mortgage Common Shares Morphet, Gaelen Jane 4 2019-07-12 10 15.935 1,000 1,000 Corporation MCAN Mortgage Common Shares Morphet, Gaelen Jane 4 2018-01-01 00 Corporation MCAN Mortgage Common Shares Morphet, Gaelen Jane 4 2019-07-12 10 15.935 900 900 Corporation MCAN Mortgage Common Shares Morphet, Gaelen Jane 4 2018-01-01 00 Corporation MCAN Mortgage Common Shares Morphet, Gaelen Jane 4 2019-07-12 10 15.935 1,100 1,100 Corporation McLaren Resources Common Shares Danilovsky, Radovan 5 2019-07-09 10 0.035 173,000 73,000 Inc.
July 18, 2019 (2019), 42 OSCB 6231
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings
Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-03 00 20,200 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-04 38 4.91 23,200 3,000 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-04 38 4.92 28,200 5,000 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-04 38 4.94 30,200 2,000 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-04 38 4.95 31,200 1,000 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-04 38 4.98 31,300 100 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-04 38 4.99 35,200 3,900 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-05 38 4.9 38,900 3,700 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-05 38 4.94 40,900 2,000 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-05 38 4.95 54,900 14,000 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-05 38 4.96 55,400 500 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-06 38 4.8 56,400 1,000 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-06 38 4.85 56,500 100 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-06 38 4.9 61,800 5,300 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-07 38 4.92 67,300 5,500 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-07 38 4.94 68,800 1,500 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-10 38 4.92 75,900 7,100 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-11 38 4.76 76,700 800 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-11 38 4.9 77,800 1,100 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.)
July 18, 2019 (2019), 42 OSCB 6232
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-11 38 4.93 79,800 2,000 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-11 38 4.95 91,000 11,200 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-12 38 4.9 101,000 10,000 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-12 38 4.91 102,000 1,000 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-13 38 4.84 102,200 200 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-13 38 4.85 105,500 3,300 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-13 38 4.89 105,600 100 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-13 38 4.95 105,700 100 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-14 38 4.83 105,800 100 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-14 38 4.84 107,300 1,500 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-14 38 4.85 108,300 1,000 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-17 38 4.7 108,800 500 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-17 38 4.75 109,300 500 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-17 38 4.8 110,800 1,500 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-17 38 4.81 111,300 500 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-17 38 4.82 112,800 1,500 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-17 38 4.83 113,300 500 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-18 38 4.6 115,800 2,500 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-19 38 4.69 116,100 300 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.)
July 18, 2019 (2019), 42 OSCB 6233
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-19 38 4.79 117,100 1,000 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-20 38 4.5 117,200 100 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-20 38 4.6 118,200 1,000 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-20 38 4.64 119,200 1,000 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-21 38 4.54 120,200 1,000 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-21 38 4.55 121,200 1,000 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-24 38 4.54 121,600 400 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-24 38 4.66 122,100 500 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-24 38 4.68 122,600 500 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-24 38 4.69 123,100 500 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-24 38 4.7 123,600 500 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-25 38 4.62 124,100 500 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-25 38 4.67 126,200 2,100 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-25 38 4.7 127,000 800 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-25 38 4.73 127,100 100 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-26 38 4.65 129,400 2,300 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-26 38 4.66 129,500 100 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-27 38 4.63 132,100 2,600 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-27 38 4.64 132,600 500 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.)
July 18, 2019 (2019), 42 OSCB 6234
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-27 38 4.65 132,800 200 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-27 38 4.68 133,800 1,000 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-28 38 4.6 135,200 1,400 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-28 38 4.63 135,400 200 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-28 38 4.67 135,600 200 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medexus Common Shares Medexus Pharmaceuticals 1 2019-06-28 38 0 -135,600 Pharmaceuticals Inc. Inc. (formerly Pediapharm Inc.) Medicure Inc. Common Shares Friesen, Albert David 4, 5 2019-07-08 10 4.8 92,467 1,000 Medicure Inc. Common Shares Friesen, Albert David 4, 5 2019-07-09 10 4.94 92,867 400 Medicure Inc. Common Shares Friesen, Albert David 4, 5 2019-07-10 10 4.7 93,867 1,000 MEG Energy Corp. Notes 7% Senior Billing, Grant Donald 4 2019-06-13 00 Notes due 2024 MEG Energy Corp. Notes 7% Senior Billing, Grant Donald 4 2019-07-08 11 $1,000,000 $1,000,000 Notes due 2024 Melcor Real Estate Trust Units Melcor Real Estate 1 2019-07-10 38 7.6 13,016 2,908 Investment Trust Investment Trust Melcor Real Estate Trust Units Melcor Real Estate 1 2019-07-11 38 7.6 15,924 2,908 Investment Trust Investment Trust Metalla Royalty & Rights Restricted Heath, Brett 4, 5 2019-07-05 56 1 150,000 150,000 Streaming Ltd. Share Units Metalla Royalty & Common Shares Molyneux, Alexander 4 2019-07-05 30 327,000 12,000 Streaming Ltd. Metalla Royalty & Rights Restricted Molyneux, Alexander 4 2019-07-05 56 1 125,000 125,000 Streaming Ltd. Share Units Metalla Royalty & Rights Restricted Roulston, Lawrence 4 2019-07-09 56 24,000 12,000 Streaming Ltd. Share Units Methanex Corporation Common Shares M&G Investment 3 2019-07-10 10 43.184 4,835,707 3,446 Management Limited
Methanex Corporation Common Shares M&G Investment 3 2019-03-22 00 Management Limited Mexican Gold Corp. Common Shares Palisade Global Investments 3 2019-07-12 16 0.08 9,990,988 2,275,000 Ltd. Mexican Gold Corp. Warrants Palisade Global Investments 3 2019-07-12 16 5,258,500 2,275,000 Ltd. MGX Minerals Inc. Common Shares Patrick, Lyndon 4 2019-07-03 10 0.245 4,979,174 -40,000 MINT Income Fund Trust Units MINT Income Fund 1 2019-07-08 38 6.1242 71,548,651 1,200 MLI Marble Lending Common Shares Scharfe, Jason Wesley 4 2019-07-08 10 0.175 460,000 15,000 Inc. MLI Marble Lending Common Shares Scharfe, Jason Wesley 4 2019-07-08 10 0.175 480,000 20,000 Inc. MLI Marble Lending Common Shares Scharfe, Jason Wesley 4 2019-07-10 10 0.165 500,000 20,000 Inc. Mobi724 Global Common Shares Rosenhek, Allan 4 2019-07-05 10 0.431 66,000 Solutions Inc. Mobi724 Global Common Shares Rosenhek, Allan 4 2019-07-05 10 0.0431 6,290,685 66,000 Solutions Inc. Mobi724 Global Common Shares Rosenhek, Allan 4 2019-07-05 10 0.0469 6,497,685 207,000 Solutions Inc. Mobi724 Global Common Shares Rosenhek, Allan 4 2019-07-05 10 0.0508 6,812,685 315,000 Solutions Inc. Mobi724 Global Common Shares Rosenhek, Allan 4 2019-07-05 10 0.0507 7,124,685 312,000 Solutions Inc.
July 18, 2019 (2019), 42 OSCB 6235
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings
Mogo Inc. (formerly, Common Shares Feller, David Marshall 4, 5 2019-06-21 00 1,757,886 Difference Capital Financial Inc.)
Mogo Inc. (formerly, Common Shares Feller, David Marshall 4, 5 2019-06-21 00 13,320 Difference Capital Financial Inc.) Mogo Inc. (formerly, Common Shares Feller, David Marshall 4, 5 2019-06-21 00 25,000 Difference Capital Financial Inc.)
Mogo Inc. (formerly, Common Shares Feller, David Marshall 4, 5 2019-06-21 00 244,436 Difference Capital Financial Inc.)
Mogo Inc. (formerly, Options Feller, David Marshall 4, 5 2019-06-21 00 483,333 Difference Capital Financial Inc.)
Mogo Inc. (formerly, Rights (Restricted Feller, David Marshall 4, 5 2019-06-21 00 26,250 Difference Capital Share Units) Financial Inc.) Mogo Inc. (formerly, Common Shares Feller, Gregory Dean 4, 5 2019-06-21 00 762,453 Difference Capital Financial Inc.) Mogo Inc. (formerly, Common Shares Feller, Gregory Dean 4, 5 2019-06-21 00 307,511 Difference Capital Financial Inc.) Mogo Inc. (formerly, Common Shares Feller, Gregory Dean 4, 5 2019-06-21 00 354,880 Difference Capital Financial Inc.) Mogo Inc. (formerly, Options Feller, Gregory Dean 4, 5 2019-06-21 00 466,667 Difference Capital Financial Inc.) Mogo Inc. (formerly, Rights (Restricted Feller, Gregory Dean 4, 5 2019-06-21 00 26,250 Difference Capital Share Units) Financial Inc.) Mogo Inc. (formerly, Common Shares Mohamed, Minhas 4 2019-06-21 00 93,093 Difference Capital Financial Inc.) Mogo Inc. (formerly, Convertible Mohamed, Minhas 4 2019-06-21 00 $22,110 Difference Capital Debentures June Financial Inc.) 2017
Mogo Inc. (formerly, Options Mohamed, Minhas 4 2019-06-21 00 100,000 Difference Capital Financial Inc.)
Mogo Inc. (formerly, Rights (Restricted Mohamed, Minhas 4 2019-06-21 00 7,500 Difference Capital Share Units) Financial Inc.) Mongolia Growth Common Shares Mongolia Growth Group Ltd. 1 2019-06-05 38 0.3522 120,500 11,500 Group Ltd. Mongolia Growth Common Shares Mongolia Growth Group Ltd. 1 2019-06-11 38 11,500 -109,000 Group Ltd. Mongolia Growth Common Shares Mongolia Growth Group Ltd. 1 2019-06-19 38 0.3283 49,500 38,000 Group Ltd. National Bank of Common Shares Banque Nationale du 1 2019-06-12 38 100,000 -50,000 Canada Canada National Bank of Common Shares Banque Nationale du 1 2019-06-13 38 100,000 -50,000 Canada Canada National Bank of Common Shares Banque Nationale du 1 2019-06-14 38 100,000 -50,000 Canada Canada National Bank of Common Shares Banque Nationale du 1 2019-06-17 38 100,000 -50,000 Canada Canada National Bank of Common Shares Banque Nationale du 1 2019-06-18 38 100,000 -50,000 Canada Canada National Bank of Common Shares Banque Nationale du 1 2019-06-19 38 100,000 -50,000 Canada Canada National Bank of Common Shares Banque Nationale du 1 2019-06-20 38 100,000 -50,000 Canada Canada
July 18, 2019 (2019), 42 OSCB 6236
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings
National Bank of Common Shares Banque Nationale du 1 2019-06-21 38 100,000 -50,000 Canada Canada
National Bank of Common Shares Banque Nationale du 1 2019-06-25 38 100,000 -100,000 Canada Canada National Bank of Common Shares Banque Nationale du 1 2019-06-27 38 150,000 -50,000 Canada Canada National Bank of Common Shares Banque Nationale du 1 2019-06-27 38 100,000 -50,000 Canada Canada
National Bank of Common Shares Banque Nationale du 1 2019-06-28 38 100,000 -50,000 Canada Canada
National Bank of Common Shares Banque Nationale du 1 2019-07-02 38 50,000 -50,000 Canada Canada
National Bank of Common Shares Banque Nationale du 1 2019-07-03 38 0 -50,000 Canada Canada
Natures Hemp Corp. Common Shares Reddy, Donna 4 2019-07-05 00 Natures Hemp Corp. Options Reddy, Donna 4 2019-07-05 00 Natures Hemp Corp. Warrants Reddy, Donna 4 2019-07-05 00 Neptune Wellness Common Shares Cammarata, Michael Taylor 4 2019-07-08 00 Solutions Inc. (formerly Neptune Technologies & Bioressources Inc.) Neptune Wellness Options Cammarata, Michael Taylor 4 2019-07-08 00 Solutions Inc. (formerly Neptune Technologies & Bioressources Inc.) Neptune Wellness Options Cammarata, Michael Taylor 4 2019-07-08 50 4.43 9,200,000 9,200,000 Solutions Inc. (formerly Neptune Technologies & Bioressources Inc.) Neptune Wellness Restricted Share Cammarata, Michael Taylor 4 2019-07-08 00 Solutions Inc. Units (formerly Neptune Technologies & Bioressources Inc.) Neptune Wellness Restricted Share Cammarata, Michael Taylor 4 2019-07-08 56 4.43 2,800,000 2,800,000 Solutions Inc. Units (formerly Neptune Technologies & Bioressources Inc.) Neptune Wellness Deferred Share Hamilton, James Stuart 4, 5 2019-06-12 38 1.63 213,192 -73,840 Solutions Inc. Units (formerly Neptune Technologies & Bioressources Inc.) Neptune Wellness Deferred Share Timperio, Michel 5 2019-06-12 38 3.79 34,672 -6,596 Solutions Inc. Units (formerly Neptune Technologies & Bioressources Inc.) NexgenRx Inc. Common Shares Crossett, Paul Everett 3 2019-07-10 10 0.25 1,703,638 17,000 Next Green Wave Common Shares Chow, Paul 4 2019-07-09 10 0.3 4,801,833 30,000 Holdings Inc. Nextleaf Solutions Ltd. Common Shares Gillis, Timothy Cunningham 4 2019-07-03 00 242,000
Nextleaf Solutions Ltd. Warrants Gillis, Timothy Cunningham 4 2019-07-03 00 242,000
Nighthawk Gold Corp. Common Shares Cudney, Robert Douglas 3 2019-07-03 10 0.57 42,191,489 20,000 NioBay Metals Inc. Common Shares Dufresne, Claude 4, 5 2019-07-12 10 0.265 463,200 10,000 (formerly MDN INC.) Noront Resources Ltd. Common Shares Resource Capital Fund V 3 2019-07-11 11 75,475,663 1,649,938 L.P. Norsemont Capital Inc. Options Trivedi, Kant 4 2015-10-23 00 Norsemont Capital Inc. Options Trivedi, Kant 4 2015-10-30 50 50,000 50,000 Norsemont Capital Inc. Options Trivedi, Kant 4 2019-07-02 50 80,000 30,000 North American Deferred Share Ferron, Martin Robert 4, 5 2019-07-05 56 195,692 259 Construction Group Units Ltd. North American Restricted Share Ferron, Martin Robert 4, 5 2019-07-05 56 78,920 162 Construction Group Units
July 18, 2019 (2019), 42 OSCB 6237
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Ltd.
North American Rights Ferron, Martin Robert 4, 5 2019-07-05 56 204,184 421 Construction Group Performance Ltd. Share Units North American Performance Kallay, David Grant 5 2019-07-05 56 11,192 39 Construction Group Share Units Ltd. North American Restricted Share Kallay, David Grant 5 2019-07-05 56 7,461 26 Construction Group Units Ltd. North American Common Shares Lambert, Joseph Charles 5 2019-07-05 56 87,965 140 Construction Group Rights Ltd. Performance Share Units North American Deferred Share Lambert, Joseph Charles 5 2019-07-05 56 65,232 86 Construction Group Units Ltd. North American Restricted Share Lambert, Joseph Charles 5 2019-07-05 56 66,340 104 Construction Group Units Ltd. North American Deferred Share McIntosh, Ronald A 4 2019-07-05 56 242,659 320 Construction Group Units Ltd. North American Common Shares Palmer, Barry Wade 5 2019-07-05 56 57,721 108 Construction Group Rights Ltd. Performance Share Units North American Deferred Share Palmer, Barry Wade 5 2019-07-05 56 61,351 81 Construction Group Units Ltd. North American Restricted Share Palmer, Barry Wade 5 2019-07-05 56 43,610 79 Construction Group Units Ltd. North American Deferred Share Pinney, Bryan Daniel 4 2019-07-05 56 128,319 166 Construction Group Units Ltd. North American Deferred Share Pollesel, John Joseph 4 2019-07-05 56 13,110 14 Construction Group Units Ltd. North American Performance Slator, Jordan 5 2019-07-05 56 14,045 43 Construction Group Share Units Ltd. North American Restricted Share Slator, Jordan 5 2019-07-05 56 9,062 29 Construction Group Units Ltd. North American Deferred Share Stan, Thomas Paul 4 2019-07-05 56 31,487 40 Construction Group Units Ltd. North American Deferred Share Thornton, Jay 4 2019-07-05 56 127,897 166 Construction Group Units Ltd. North American Common Shares Veenstra, Jason William 5 2019-07-05 56 15,338 20 Construction Group Performance Ltd. Share Units North American Restricted Share Veenstra, Jason William 5 2019-07-05 56 10,226 14 Construction Group Units Ltd. Northcore Resources Options Beausoleil, Serge 3, 4 2019-06-06 00 Inc. (formerly Big Red Diamond Corporation) Northcore Resources Options Beausoleil, Serge 3, 4 2019-07-09 50 0.05 1,375,000 1,375,000 Inc. (formerly Big Red Diamond Corporation) Northcore Resources Options Desrosiers, Francois 3 2019-06-06 00 Inc. (formerly Big Red Diamond Corporation) Northcore Resources Options Desrosiers, Francois 3 2019-07-09 50 0.05 1,375,000 1,375,000 Inc. (formerly Big Red Diamond Corporation) Northcore Resources Options Di Maria, Joseph 4 2019-07-09 00 Inc. (formerly Big Red Diamond Corporation)
July 18, 2019 (2019), 42 OSCB 6238
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Northcore Resources Options Di Maria, Joseph 4 2019-07-09 50 0.05 200,000 200,000 Inc. (formerly Big Red Diamond Corporation) Northcore Resources Options Majerle, Garry 4, 5 2019-07-09 50 0.05 600,000 500,000 Inc. (formerly Big Red Diamond Corporation) Northcore Resources Options Sebastian, Scott (Taylor) 4 2019-07-09 50 0.05 660,000 400,000 Inc. (formerly Big Red Diamond Corporation) Northern Dynasty Common Shares Thiessen, Ronald William 4 2019-06-24 15 0.41 3,502,090 122,000 Minerals Ltd.
Northfield Capital Common Shares Northfield Capital 1 2019-07-05 38 0 -77,352 Corporation CLASS A Corporation RESTRICTED VOTING Northstar Gold Corp. Common Shares Fowler, Brian Philip 4, 5 2019-06-28 00 67,000 Northstar Gold Corp. Common Shares McKnight, Greg 4 2019-06-28 00 1,621,883 NorthWest Healthcare Deferred Units Baron, Robert 4 2019-07-12 56 11.84 147,792 2,746 Properties Real Estate Investment Trust NorthWest Healthcare Deferred Units Loudon, Colin 4 2019-07-12 56 11.84 42,244 1,901 Properties Real Estate Investment Trust NorthWest Healthcare Deferred Units Naylor, Christopher David 6 2019-07-12 56 11.84 86,207 2,894 Properties Real Estate (David) Investment Trust NorthWest Healthcare Deferred Units Petersen, Brian Kenneth 4 2019-07-12 56 11.84 42,015 1,901 Properties Real Estate Investment Trust NorthWest Healthcare Deferred Units Weaver, Karen Hainsworth 4 2019-07-12 56 11.84 11,085 3,253 Properties Real Estate Investment Trust NORZINC LTD. Common Shares Brown, Shelley Ann Marie 4 2019-06-06 00 NORZINC LTD. Common Shares Brown, Shelley Ann Marie 4 2019-06-06 00 94,000 NORZINC LTD. Deferred Share Brown, Shelley Ann Marie 4 2019-06-06 00 Units NORZINC LTD. Deferred Share Brown, Shelley Ann Marie 4 2019-06-30 56 0.095 21,689 21,689 Units NORZINC LTD. Common Shares MacDonald, Robert John 5 2019-07-08 10 0.09 4,150,000 25,000 NORZINC LTD. Deferred Share SWALLOW, MALCOLM 4 2019-06-30 46 0.095 452,525 76,962 Units JOHN ALEXANDER
Nouveau Monde Options Tarte, Charles-Olivier 5 2018-05-18 50 0.32 250,000 Graphite Inc. (auparavant Nouveau Monde Mining Enterprises Inc.) Nouveau Monde Options Tarte, Charles-Olivier 5 2018-05-18 50 0.32 625,000 250,000 Graphite Inc. (auparavant Nouveau Monde Mining Enterprises Inc.) NOVAGOLD Common Shares Levental, Igor 4 2019-07-08 51 3.18 153,545 96,400 RESOURCES INC. NOVAGOLD Common Shares Levental, Igor 4 2019-07-08 38 7.26 111,319 -42,226 RESOURCES INC. NOVAGOLD Common Shares Levental, Igor 4 2019-07-08 10 7.26 84,256 -27,063 RESOURCES INC. NOVAGOLD Options Levental, Igor 4 2019-07-08 51 3.18 389,500 -96,400 RESOURCES INC. NOVAGOLD Common Shares Madhavpeddi, Kalidas 4 2019-07-10 51 3.18 142,970 48,200 RESOURCES INC. NOVAGOLD Common Shares Madhavpeddi, Kalidas 4 2019-07-10 38 7.56 122,695 -20,275 RESOURCES INC. NOVAGOLD Common Shares Madhavpeddi, Kalidas 4 2019-07-10 10 7.57 94,770 -27,925 RESOURCES INC. NOVAGOLD Options Madhavpeddi, Kalidas 4 2019-07-10 51 3.18 437,700 -48,200 RESOURCES INC. NOVAGOLD Common Shares Williams, Richard 5 2019-07-10 51 3.18 316,824 40,000 RESOURCES INC.
July 18, 2019 (2019), 42 OSCB 6239
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings NOVAGOLD Common Shares Williams, Richard 5 2019-07-10 38 7.65 300,196 -16,628 RESOURCES INC. NOVAGOLD Common Shares Williams, Richard 5 2019-07-10 10 7.65 276,824 -23,372 RESOURCES INC. NOVAGOLD Options Williams, Richard 5 2019-07-10 51 3.18 1,041,509 -40,000 RESOURCES INC. Nutritional High Common Shares Presement, Brian 4 2019-07-07 51 0.1 500,429 400,000 International Inc.
Nutritional High Options Presement, Brian 4 2019-07-07 51 1,200,000 -400,000 International Inc.
Nutritional High Common Shares Szweras, Adam Kelley 4, 5 2019-07-07 51 0.1 200,000 International Inc.
Nutritional High Common Shares Szweras, Adam Kelley 4, 5 2019-07-07 51 0.1 200,000 International Inc.
Nutritional High Common Shares Szweras, Adam Kelley 4, 5 2019-07-07 51 0.1 200,000 International Inc.
Nutritional High Common Shares Szweras, Adam Kelley 4, 5 2019-07-07 51 0.1 200,000 International Inc. Nutritional High Common Shares Szweras, Adam Kelley 4, 5 2019-07-07 51 0.1 1,968,227 400,000 International Inc. Nutritional High Common Shares Szweras, Adam Kelley 4, 5 2019-07-07 11 1,768,227 -200,000 International Inc. Nutritional High Options Szweras, Adam Kelley 4, 5 2019-07-07 51 -400,000 International Inc. Nutritional High Options Szweras, Adam Kelley 4, 5 2019-07-07 51 -400,000 International Inc. Nutritional High Options Szweras, Adam Kelley 4, 5 2019-07-07 51 -400,000 International Inc. Nutritional High Options Szweras, Adam Kelley 4, 5 2019-07-07 51 -400,000 International Inc. Nutritional High Options Szweras, Adam Kelley 4, 5 2019-07-07 51 2,050,000 -400,000 International Inc. NXT Energy Solutions Options Liszicasz, George 3, 4, 5 2019-07-09 52 1.39 7,500 -7,500 Inc. NXT Energy Solutions Options Selby, Charles Vincent 4 2019-07-09 52 57,500 -7,500 Inc. NXT Energy Solutions Options Valentine, Thomas 4 2019-07-09 52 22,500 -7,500 Inc. Oceanus Resources Common Shares Anderson, Wade 4 2019-07-08 10 0.06 2,009,914 416,666 Corporation Oceanus Resources Common Shares Jessome, Glenn 5 2019-07-08 16 0.06 1,005,434 666,666 Corporation Oceanus Resources Common Shares Lindsey, John Kevin 4 2019-07-08 11 0.06 1,365,000 400,000 Corporation ONEX Options Daly, Andrea Elizabeth 5 2019-07-10 59 29.29 135,000 -10,000 CORPORATION ONEX Rights Deferred Etherington, William 4 2019-06-30 56 78.99 226 CORPORATION Share Units (cash settled) ONEX Rights Deferred Etherington, William 4 2019-06-30 56 78.99 69,517 422 CORPORATION Share Units (cash settled) ONEX Options Le Blanc, Robert Michael 7 2019-07-09 59 23.35 950,000 -40,000 CORPORATION ONEX Subordinate Voting Mersky, Seth Mitchell 5 2019-07-10 10 81.71 50,000 -6,840 CORPORATION Shares ONEX Subordinate Voting Moody, Jeffrey 7 2019-07-09 10 82.62 152,442 1,355 CORPORATION Shares ONEX Options Munk, Anthony 7 2019-07-10 59 56.92 375,000 -125,000 CORPORATION ONEX Rights Deferred Thorsteinson, Arni Clayton 4 2019-06-30 56 78.99 580 CORPORATION Share Units (cash settled) ONEX Rights Deferred Thorsteinson, Arni Clayton 4 2019-06-30 56 78.99 121,342 484 CORPORATION Share Units (cash settled) Orefinders Resources Options Beaudry, Charles 4 2019-07-09 50 0.07 1,700,000 400,000 Inc. Orefinders Resources Options Bouchard, Claude 4 2019-07-09 50 1,050,000 100,000 Inc.
July 18, 2019 (2019), 42 OSCB 6240
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings
Orefinders Resources Options Potwarka, Jeffrey 5 2019-07-09 50 225,000 100,000 Inc. Orefinders Resources Options Stewart, Alexander 4, 5 2019-07-10 50 3,573,000 900,000 Inc. Orefinders Resources Common Shares Stewart, Stephen Alexander 4 2019-07-10 10 0.06 1,874,000 10,000 Inc. Nelson Orefinders Resources Options Stewart, Stephen Alexander 4 2019-07-09 50 3,198,000 900,000 Inc. Nelson Orford Mining Common Shares Alamos Gold Inc. 3 2019-07-04 11 0.1 17,601,989 2,837,283 Corporation Orford Mining Common Shares Alamos Gold Inc. 3 2019-07-05 11 0.1 21,107,634 3,505,645 Corporation Orford Mining Warrants Alamos Gold Inc. 3 2019-05-17 00 Corporation Orford Mining Warrants Alamos Gold Inc. 3 2019-07-04 53 0.2 1,418,641 1,418,641 Corporation Orford Mining Common Shares Christie, David William 4, 5 2019-07-04 16 0.13 426,323 192,308 Corporation Orford Mining Common Shares Hollaar, Timothy Lee 5 2019-07-04 10 0.13 227,685 115,385 Corporation Orford Mining Common Shares Royal Nickel Corporation 3 2018-01-30 11 19,453,518 -2,000,000 Corporation Orford Mining Common Shares Royal Nickel Corporation 3 2019-07-04 16 0.1 21,644,608 2,191,090 Corporation Orford Mining Warrants Royal Nickel Corporation 3 2017-10-27 00 Corporation Orford Mining Warrants Royal Nickel Corporation 3 2019-07-04 16 1,095,545 1,095,545 Corporation ORIGIN GOLD Common Shares Depatie, Jean 3, 4 2019-07-11 10 0.09 6,344,983 50,000 CORPORATION (formerly OneCap Investment Corporation) ORIGIN GOLD Common Shares Depatie, Jean 3, 4 2019-07-11 10 0.09 50,000 CORPORATION (formerly OneCap Investment Corporation) ORIGIN GOLD Common Shares Depatie, Jean 3, 4 2019-07-11 10 0.09 50,000 CORPORATION (formerly OneCap Investment Corporation) Orla Mining Ltd. Common Shares Smit, Hans Quirinus 5 2019-07-05 54 0.62 382,900 100,000 Orla Mining Ltd. Warrants Smit, Hans Quirinus 5 2019-07-05 54 0 -100,000 Osisko Mining Inc. Common Shares Anderson, Patrick Fergus 4 2019-07-04 51 1.2 30,883 25,000 Neill Osisko Mining Inc. Common Shares Anderson, Patrick Fergus 4 2019-07-04 10 3.54 5,883 -25,000 Neill Osisko Mining Inc. Options Anderson, Patrick Fergus 4 2019-07-04 51 1.2 745,834 -25,000 Neill Osisko Mining Inc. Common Shares Roosen, Sean 3, 4 2019-07-03 10 3.4073 1,008,966 -55,000 Osisko Mining Inc. Common Shares Roosen, Sean 3, 4 2019-07-04 10 3.4973 988,966 -20,000 Otis Gold Corp. Common Shares Lindsay, Craig Thomas 3, 4, 5 2019-07-02 10 0.07 1,487,409 25,000 Otis Gold Corp. Options Lindsay, Craig Thomas 3, 4, 5 2019-05-23 50 0.1 5,975,000 1,000,000 Pacific Rim Cobalt Common Shares Sundher, Ranjeet 4 2019-07-08 10 0.13 2,760,000 -500,000 Corp. Painted Pony Energy Rights Deferred Carley, Glenn Robert 4 2019-07-02 56 1.04 46,778 11,145 Ltd. Share Units Pan American Silver Common Shares Andrews, Matthew Robert 5 2019-07-10 10 17.171 19,659 -11,668 Corp. Panoro Minerals Ltd. Common Shares Boden, William John 4 2019-07-08 10 0.144 12,311,120 5,000 Parex Resources Inc. Common Shares Bartlett, Curtis Darrell 4 2019-07-10 10 21.52 900,000 -100,000 Parex Resources Inc. Common Shares Kruchten, Michael 5 2019-07-10 57 75,571 15,534 Parex Resources Inc. Common Shares Kruchten, Michael 5 2019-07-10 10 21.717 60,037 -15,534 Parex Resources Inc. Restricted Share Kruchten, Michael 5 2019-07-10 57 0.01 70,000 -15,534 Unit Parex Resources Inc. Common Shares Miller, Ronald Douglas 4 2019-07-10 10 21.52 808,425 -100,000 Parex Resources Inc. Common Shares Parex Resources Inc. 1 2019-06-03 38 20.92 13,332,090 75,000 Parex Resources Inc. Common Shares Parex Resources Inc. 1 2019-06-04 38 20.92 13,407,090 75,000 Parex Resources Inc. Common Shares Parex Resources Inc. 1 2019-06-05 38 20.92 13,482,090 75,000 Parex Resources Inc. Common Shares Parex Resources Inc. 1 2019-06-06 38 20.92 13,557,090 75,000 Parex Resources Inc. Common Shares Parex Resources Inc. 1 2019-06-07 38 20.92 13,632,090 75,000
July 18, 2019 (2019), 42 OSCB 6241
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Parex Resources Inc. Common Shares Parex Resources Inc. 1 2019-06-10 38 20.92 13,707,090 75,000 Parex Resources Inc. Common Shares Parex Resources Inc. 1 2019-06-11 38 20.92 13,782,090 75,000 Parex Resources Inc. Common Shares Parex Resources Inc. 1 2019-06-12 38 20.92 13,857,090 75,000 Parex Resources Inc. Common Shares Parex Resources Inc. 1 2019-06-13 38 20.92 13,932,090 75,000 Parex Resources Inc. Common Shares Parex Resources Inc. 1 2019-06-14 38 20.92 14,007,090 75,000 Parex Resources Inc. Common Shares Parex Resources Inc. 1 2019-06-17 38 20.92 14,082,090 75,000 Parex Resources Inc. Common Shares Parex Resources Inc. 1 2019-06-18 38 20.92 14,157,090 75,000 Parex Resources Inc. Common Shares Parex Resources Inc. 1 2019-06-19 38 20.92 14,232,090 75,000 Parex Resources Inc. Common Shares Parex Resources Inc. 1 2019-06-19 38 20.92 75,000 Parex Resources Inc. Common Shares Parex Resources Inc. 1 2019-06-20 38 20.92 14,307,090 75,000 Parex Resources Inc. Common Shares Parex Resources Inc. 1 2019-06-21 38 20.92 14,382,090 75,000 Parex Resources Inc. Common Shares Parex Resources Inc. 1 2019-06-24 38 20.92 14,457,090 75,000 Parex Resources Inc. Common Shares Parex Resources Inc. 1 2019-06-25 38 20.92 14,532,090 75,000 Parex Resources Inc. Common Shares Parex Resources Inc. 1 2019-06-26 38 20.92 14,607,090 75,000 Parex Resources Inc. Common Shares Parex Resources Inc. 1 2019-06-27 38 20.92 14,657,090 50,000 Parex Resources Inc. Common Shares Parex Resources Inc. 1 2019-06-28 38 20.92 14,707,090 50,000 Parex Resources Inc. Common Shares Parex Resources Inc. 1 2019-07-04 38 20.92 75,000 Parkit Enterprise Inc. Common Shares Norowitz, Elie 4 2018-06-07 00 Parkit Enterprise Inc. Common Shares Norowitz, Elie 4 2018-12-06 10 0.22 22,636 22,636 Pembina Pipeline Options STUBBS, CATHERINE 5 2019-07-09 56 23,165 126 Corporation JENNIFER Pembina Pipeline Options STUBBS, CATHERINE 5 2019-07-09 56 24,099 934 Corporation JENNIFER Pembina Pipeline Options STUBBS, CATHERINE 5 2019-07-09 50 48.87 25,994 1,895 Corporation JENNIFER Petrolympic Ltd. Options Szweras, Adam Kelley 5 2019-06-20 52 800,000 -100,000 Petroteq Energy Inc. Common Shares Blyumkin, Aleksandr 4, 5 2019-07-05 11 0.19 749,070 210,526 Petrus Resources Ltd. Options New Booth, Brett Daniel 5 2019-07-11 52 1.49 239,390 -17,900 Options Petrus Resources Ltd. Options New Keilly, Ross Andrew 5 2019-07-11 52 1.49 198,806 -15,600 Options Petrus Resources Ltd. Options New Korchinski, Neil 5 2019-07-11 52 1.49 545,600 -33,000 Options Petrus Resources Ltd. Options New Schlegel, Marcus Nicholas 5 2019-07-11 52 1.49 251,928 -17,900 Options Petrus Resources Ltd. Options Schlegel, Marcus Nicholas 5 2019-07-09 52 13 0 -81,250 Predecessor Entity Options Petrus Resources Ltd. Options New Stephenson, Cheree 5 2019-07-11 52 1.49 381,880 -23,100 Options Pieridae Energy Options BÚlanger, Martin 5 2019-07-03 50 0.89 297,028 136,612 Limited (formerly Petrolia Inc.) Pieridae Energy Common Shares Boulanger, Charles 4 2019-06-27 11 0.89 139,189 87,209 Limited (formerly Petrolia Inc.) Pieridae Energy Common Shares Boulanger, Charles 4 2019-07-03 46 0.89 146,244 7,055 Limited (formerly Petrolia Inc.) Pieridae Energy Options Boulanger, Charles 4 2019-07-03 46 0.89 260,415 100,000 Limited (formerly Petrolia Inc.) Pine Cliff Energy Ltd. Common Shares Disbrow, Robert 3 2019-07-10 10 0.1792 19,352,683 -27,100 Pine Cliff Energy Ltd. Common Shares Rice, William Sanford 4 2019-07-03 10 0.18 235,000 35,000 Pine Cliff Energy Ltd. Common Shares Rice, William Sanford 4 2019-07-03 10 0.17 200,000 -35,000 Pine Cliff Energy Ltd. Common Shares Rice, William Sanford 4 2019-07-05 10 0.18 235,000 35,000 Pipestone Energy Common Shares GMT Capital Corp 4 2019-07-10 10 0.9 3,271,998 9,400 Corp. (formerly, Blackbird Energy Inc.) Pipestone Energy Common Shares GMT Capital Corp 4 2019-07-11 10 0.9 3,275,298 3,300 Corp. (formerly, Blackbird Energy Inc.) Pipestone Energy Common Shares GMT Capital Corp 4 2019-07-10 10 0.9 3,764,379 13,500 Corp. (formerly, Blackbird Energy Inc.) Pipestone Energy Common Shares GMT Capital Corp 4 2019-07-11 10 0.9 3,769,079 4,700 Corp. (formerly, Blackbird Energy Inc.)
July 18, 2019 (2019), 42 OSCB 6242
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Pipestone Energy Common Shares GMT Capital Corp 4 2019-07-10 10 0.9 6,106,402 17,600 Corp. (formerly, Blackbird Energy Inc.) Pipestone Energy Common Shares GMT Capital Corp 4 2019-07-11 10 0.9 6,112,602 6,200 Corp. (formerly, Blackbird Energy Inc.) Pipestone Energy Common Shares GMT Capital Corp 4 2019-07-10 10 0.9 145,571 300 Corp. (formerly, Blackbird Energy Inc.) Pipestone Energy Common Shares GMT Capital Corp 4 2019-07-11 10 0.9 145,671 100 Corp. (formerly, Blackbird Energy Inc.) Pipestone Energy Common Shares GMT Capital Corp 4 2019-07-10 10 0.9 598,680 1,900 Corp. (formerly, Blackbird Energy Inc.) Pipestone Energy Common Shares GMT Capital Corp 4 2019-07-11 10 0.9 599,280 600 Corp. (formerly, Blackbird Energy Inc.) Pivot Pharmaceuticals Common Shares Kenneth, Kessler Alec 4 2019-06-06 00 5,366,000 Inc. Pivot Pharmaceuticals Warrants Kenneth, Kessler Alec 4 2019-06-06 00 5,366,000 Inc. Planet 13 Holdings Restricted Share ONeal, Adrienne Lisa 4 2019-06-30 00 152,333 Inc. Units Plateau Energy Metals Common Shares Disbrow, Robert 3 2019-07-09 97 6,894,164 -15,000 Inc. Plaza Retail REIT Bonds 5.0% Babineau, Edouard 4 2019-07-08 38 $0 -$150,000 Mortgage Bonds (Series XI) Plaza Retail REIT Bonds 5.0% Brewer, Earl 4, 5 2019-07-08 38 $0 -$25,000 Mortgage Bonds (Series XI) Plaza Retail REIT Bonds 5.0% Brewer, Earl 4, 5 2019-07-08 38 $0 -$100,000 Mortgage Bonds (Series XI) Plaza Retail REIT Bonds 5.0% Johnson, Stephen Edward 4 2019-07-08 38 $0 -$100,000 Mortgage Bonds (Series XI) Plaza Retail REIT Bonds 5.0% Petrie, James M. 5 2019-07-08 38 $0 -$20,000 Mortgage Bonds (Series XI) Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-03 38 4.14 11,100 3,600 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-04 38 4.21 14,900 3,800 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-05 38 4.24 18,700 3,800 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-06 38 4.22 22,500 3,800 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-07 38 4.19 26,300 3,800 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-10 38 4.22 30,100 3,800 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-11 38 4.24 33,500 3,400 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-12 38 4.25 36,100 2,600 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-13 38 4.26 39,700 3,600 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-14 38 4.28 43,500 3,800 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-17 38 4.27 47,300 3,800 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-18 38 4.28 51,000 3,700 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-19 38 4.27 54,800 3,800 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-20 38 4.29 58,600 3,800 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-21 38 4.31 62,200 3,600 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-24 38 4.32 65,900 3,700 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-25 38 4.33 69,500 3,600 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-26 38 4.28 73,300 3,800 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-27 38 4.23 76,800 3,500 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-28 38 73,100 -3,700 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-28 38 69,300 -3,800 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-28 38 65,700 -3,600 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-28 38 61,900 -3,800 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-28 38 58,100 -3,800 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-28 38 54,300 -3,800 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-28 38 50,500 -3,800 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-28 38 46,700 -3,800 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-28 38 43,300 -3,400
July 18, 2019 (2019), 42 OSCB 6243
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings
Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-28 38 40,700 -2,600 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-28 38 37,100 -3,600 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-28 38 33,300 -3,800 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-28 38 29,500 -3,800 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-28 38 25,800 -3,700 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-28 38 22,000 -3,800 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-28 38 18,200 -3,800 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-28 38 14,600 -3,600 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-28 38 10,900 -3,700 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-28 38 7,300 -3,600 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-28 38 3,500 -3,800 Plaza Retail REIT Trust Units Plaza Retail REIT 1 2019-06-28 38 4.19 7,000 3,500 Plaza Retail REIT Bonds 5.0% Strange, Kimberly A. 5 2019-07-08 38 $0 -$10,000 Mortgage Bonds (Series XI) Plaza Retail REIT Bonds 5.0% Zakuta, Michael Aaron 3, 4, 5 2019-07-08 38 $0 -$50,000 Mortgage Bonds (Series XI) Plaza Retail REIT Bonds 5.0% Zakuta, Michael Aaron 3, 4, 5 2019-07-08 38 $0 -$50,000 Mortgage Bonds (Series XI) Points International Common Shares Georgiou, Erick James 5 2019-05-12 57 17.49 5,589 333 Ltd. Points International Rights Share Units Georgiou, Erick James 5 2019-05-12 57 17.49 20,304 -725 Ltd. Power Corporation of Equity Forward Power Corporation of 1 2019-04-17 70 31.977 1 Canada Contract Canada Power Corporation of Equity Forward Power Corporation of 1 2019-04-17 70 31.977 51 1 Canada Contract Canada Power Corporation of Equity Forward Power Corporation of 1 2019-07-10 70 28.21 52 1 Canada Contract Canada Power Financial Equity Forward POWER FINANCIAL 1 2019-07-10 70 30.126 69 1 Corporation Contract CORPORATION PowerOre Inc. Options Beaudry, Charles 4, 5 2019-07-08 50 0.1 700,000 300,000 PowerOre Inc. Options Gallagher, Timothy David 4 2019-07-08 50 500,000 100,000 PowerOre Inc. Options Millar, Paul 3 2019-07-08 50 350,000 100,000 PowerOre Inc. Options Potwarka, Jeffrey 5 2019-07-08 50 200,000 100,000 PowerOre Inc. Options Stewart, Alexander 4, 5 2019-07-09 50 2,375,000 375,000 PowerOre Inc. Common Shares Stewart, Stephen Alexander 4, 5 2019-07-08 10 0.09 422,815 50,000 Nelson PowerOre Inc. Options Stewart, Stephen Alexander 4, 5 2019-07-08 50 2,375,000 375,000 Nelson Premium Brands Common Shares BELIVEAU, JOHN 7 2019-07-09 30 76.58 61,023 23 Holdings Corporation STEPHEN Premium Brands Common Shares CARRIERE, DAVID 5 2019-07-09 30 76.58 75,242 21 Holdings Corporation JOSEPH LEONARD Premium Brands Common Shares Kalutycz, William Dion 5 2019-07-09 30 76.58 2,022 22 Holdings Corporation PreveCeutical Medical Warrants Van Deventer, Stephen 4 2019-05-29 53 0.06 6,800,000 5,000,000 Inc. (formerly, Carrara Exploration Corp.) Project One Common Shares Shenton, Ronald Gordon 4, 5 2018-03-22 00 Resources Ltd. Project One Common Shares Shenton, Ronald Gordon 4, 5 2019-07-12 10 0.2 21,000 21,000 Resources Ltd. Prometic Life Sciences Common Shares Consonance Capital 3 2019-06-28 37 758,224,676 - Inc. Management LP 756,709,742 Prometic Life Sciences Common Shares Consonance Capital 3 2019-06-28 97 1,514,934 - Inc. Management LP 756,709,742 Prometic Life Sciences Common Shares Consonance Capital 3 2019-06-28 97 758,224,676 - Inc. Management LP 756,709,742 Prometic Life Sciences Common Shares Consonance Capital 3 2019-06-28 97 1,514,935 - Inc. Management LP 756,709,741 Prometic Life Sciences Common Shares Consonance Capital 3 2019-06-28 37 257,442 - Inc. Management LP 257,184,702 Prometic Life Sciences Common Shares Soffer, Benny 6 2019-06-28 37 758,224,676 - Inc. 756,709,742
July 18, 2019 (2019), 42 OSCB 6244
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings
Prometic Life Sciences Common Shares Soffer, Benny 6 2019-06-28 97 1,514,934 - Inc. 756,709,742
Prometic Life Sciences Common Shares Soffer, Benny 6 2019-06-28 97 758,224,676 - Inc. 756,709,742 Prometic Life Sciences Common Shares Soffer, Benny 6 2019-06-28 97 1,514,935 - Inc. 756,709,741 Prometic Life Sciences Common Shares Soffer, Benny 6 2019-06-28 37 257,442 - Inc. 257,184,702
Providence Gold Common Shares coombes, ronald allan 4 2019-07-10 97 1,500,000 750,000 Mines Inc. Pure Nickel Inc. Common Shares Russell, R. David 4, 5 2019-07-09 46 0.05 982,000 807,000 QMX Gold Corporation Common Shares Leigh, Frederic 4 2019-06-17 16 0.05 3,000,000 2,000,000 (formerly Alexis Minerals Corporation) QMX Gold Corporation Warrants Leigh, Frederic 4 2019-06-17 16 0.05 1,500,000 1,000,000 (formerly Alexis Minerals Corporation) Quebecor Inc. Subordinate Voting Novak, Jean 7 2019-07-02 10 31.282 0 -3,984 Shares CatÚgorie B Quinsam Capital Common Shares Quinsam Capital 1 2019-07-10 38 0 -89,000 Corporation Corporation Ravensource Fund Trust Units Reid, Scott 3 2019-07-08 10 17.5 156,127 -100 (formerly The First Asia Income Fund) Ravensource Fund Trust Units Reid, Scott 3 2019-07-09 10 17.5 155,327 -800 (formerly The First Asia Income Fund) Razor Energy Corp. Common Shares Bailey, Douglas George 4, 5 2019-07-09 30 1.91 1,233,168 3,512 Razor Energy Corp. Common Shares Bergevin, Marc Jay 5 2019-07-09 30 1.91 22,178 3,054 Razor Energy Corp. Common Shares Braun, Kevin Edward 5 2019-07-09 30 1.91 164,160 3,054 Razor Energy Corp. Common Shares Mueller, Lisa Ann 5 2019-07-09 30 1.91 90,969 3,054 Razor Energy Corp. Common Shares Muller, Frank Peter 4, 5 2019-07-09 30 1.91 1,001,134 3,359 Razor Energy Corp. Common Shares Razor Energy Corp. 1 2019-06-07 38 0 -200 Razor Energy Corp. Common Shares Smith, Stanley Thomas 4 2019-07-09 30 1.91 258,077 14,397 Razor Energy Corp. Common Shares Sundstrom, Devin Kent 5 2019-07-09 30 1.91 213,911 3,054 Razor Energy Corp. Common Shares Sych, Stephen George 5 2019-07-09 30 1.91 180,215 2,290 Red Lake Gold Inc. Common Shares Kalt, Ryan 3, 4, 5 2019-07-10 11 0.07 1,713,500 715,000 Red Lake Gold Inc. Common Shares Kalt, Ryan 3, 4, 5 2019-07-12 10 0.15 3,426,000 5,000 Red Lake Gold Inc. Warrants Kalt, Ryan 3, 4, 5 2019-07-10 11 0.1 1,430,000 715,000 Reko International Common Shares Reko International Group 1 2019-07-05 38 3.68 100 100 Group Inc. Inc. Reko International Common Shares Reko International Group 1 2019-07-05 38 3.68 0 -100 Group Inc. Inc. Reko International Common Shares Reko International Group 1 2019-07-09 38 3.66 43,000 43,000 Group Inc. Inc. Reko International Common Shares Reko International Group 1 2019-07-09 38 3.66 43,000 Group Inc. Inc. Reko International Common Shares Reko International Group 1 2019-07-09 38 3.66 43,000 Group Inc. Inc. Reko International Common Shares Reko International Group 1 2019-07-09 38 3.66 0 -43,000 Group Inc. Inc. Relay Medical Corp. Common Shares Invidx Corp 3 2019-07-09 10 17,049,052 -30,000 (formerly, ChroMedX Corp). Reservoir Capital Common Shares Mathonnet, Vianney 4 2019-07-03 10 0.07 2,111,000 4,000 Corp. StÚphane Marie Nicolas Restaurant Brands Units Restricted Athayde, Felipe 7 2019-07-03 35 116,175 829 International Inc. Shares Restaurant Brands Units Restricted Cil, JosÚ E. 5 2019-07-03 35 599,080 4,277 International Inc. Shares Restaurant Brands Units Restricted Domanko, Jonathan 7 2019-07-03 35 2,455 18 International Inc. Shares Restaurant Brands Units Restricted Dunnigan, Matthew 5 2019-07-03 35 183,033 1,307 International Inc. Shares
July 18, 2019 (2019), 42 OSCB 6245
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings
Restaurant Brands Units Restricted Friesner, Jacqueline 5 2019-07-03 35 42,815 306 International Inc. Shares
Restaurant Brands Units Restricted Giles-Klein, Lisa 7 2019-07-03 35 18,256 130 International Inc. Shares Restaurant Brands Units Restricted Granat, Jill 5 2019-07-03 35 101,223 723 International Inc. Shares Restaurant Brands Units Restricted Kobza, Joshua 5 2019-07-03 35 690,279 4,928 International Inc. Shares
Restaurant Brands Units Restricted Macedo, Alexandre 5 2019-07-03 35 401,943 2,869 International Inc. Shares
Restaurant Brands Units Restricted Pagano, Antonio 7 2019-07-03 35 100,159 715 International Inc. Shares
Restaurant Brands Units Restricted Tome, Vicente 7 2019-07-03 35 6,954 50 International Inc. Shares Resverlogix Corp. Common Shares JOHANSSON, DR. JAN 5 2019-07-09 10 2.2712 144,160 -10,000 OVE Resverlogix Corp. Common Shares JOHANSSON, DR. JAN 5 2019-07-10 10 2.275 142,360 -1,800 OVE Ridgewood Canadian Units Ridgewood Capital Asset 3 2019-07-09 10 15.71 9,479,396 1,162 Investment Grade Management Bond Fund Ridgewood Canadian Units Ridgewood Capital Asset 3 2019-07-09 10 15.71 9,479,316 -80 Investment Grade Management Bond Fund Ridgewood Canadian Units Ridgewood Capital Asset 3 2019-07-10 10 15.55 9,481,316 2,000 Investment Grade Management Bond Fund Ridgewood Canadian Units Ridgewood Capital Asset 3 2019-07-11 10 15.542 9,486,007 4,691 Investment Grade Management Bond Fund Ridgewood Canadian Units Ridgewood Capital Asset 3 2019-07-11 10 15.52 9,485,816 -191 Investment Grade Management Bond Fund RIOCAN REAL Trust Units Sturm, Naftali 8 2019-07-08 30 693 18 ESTATE INVESTMENT TRUST RIOCAN REAL Trust Units Sturm, Naftali 8 2019-07-08 30 3,106 86 ESTATE INVESTMENT TRUST Rise Gold Corp. Common Shares Mossman, Benjamin Wyane 4, 5 2019-07-10 16 0.07 1,628,286 714,286
Rise Gold Corp. Warrants Mossman, Benjamin Wyane 4, 5 2019-07-10 16 0.1 457,143 357,143
Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-03 38 44.89 24,000 24,000 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-03 38 44.89 0 -24,000 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-03 38 33.35 48,903 48,903 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-03 38 33.35 0 -48,903 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-04 38 44.66 17,700 17,700 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-04 38 44.66 0 -17,700 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-04 38 33.33 56,352 56,352 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-04 38 33.33 0 -56,352 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-05 38 45 26,400 26,400 Auctioneers Incorporated Incorporated
July 18, 2019 (2019), 42 OSCB 6246
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-05 38 45 0 -26,400 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-05 38 33.53 40,433 40,433 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-05 38 33.53 0 -40,433 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-06 38 45.13 21,400 21,400 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-06 38 45.13 0 -21,400 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-06 38 33.72 30,025 30,025 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-06 38 33.72 0 -30,025 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-07 38 45.61 19,600 19,600 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-07 38 45.61 0 -19,600 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-07 38 34.37 33,927 33,927 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-07 38 34.37 0 -33,927 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-10 38 45.85 18,000 18,000 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-10 38 45.85 0 -18,000 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-10 38 34.6 33,336 33,336 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-10 38 34.6 0 -33,336 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-11 38 46.1 23,200 23,200 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-11 38 46.1 0 -23,200 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-11 38 34.69 37,758 37,758 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-11 38 34.69 0 -37,758 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-12 38 46.47 27,100 27,100 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-12 38 46.47 0 -27,100 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-12 38 34.9 51,296 51,296 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-12 38 34.9 0 -51,296 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-13 38 46.83 21,100 21,100 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-13 38 46.83 0 -21,100 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-13 38 35.15 35,713 35,713 Auctioneers Incorporated Incorporated
July 18, 2019 (2019), 42 OSCB 6247
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-13 38 35.15 0 -35,713 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-14 38 47.22 20,200 20,200 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-14 38 47.22 0 -20,200 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-14 38 35.44 49,475 49,475 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-14 38 35.44 0 -49,475 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-17 38 48.28 30,400 30,400 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-17 38 48.28 0 -30,400 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-17 38 36.02 50,233 50,233 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-17 38 36.02 0 -50,233 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-18 38 48.25 21,400 21,400 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-18 38 48.25 0 -21,400 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-18 38 36.01 32,675 32,675 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-18 38 36.01 0 -32,675 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-19 38 48.11 15,400 15,400 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-19 38 48.11 0 -15,400 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-19 38 36.1 37,572 37,572 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-19 38 36.1 0 -37,572 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-20 38 47.79 6,766 6,766 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-20 38 47.79 0 -6,766 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-21 38 47.55 5,830 5,830 Auctioneers Incorporated Incorporated Ritchie Bros. Common Shares Ritchie Bros. Auctioneers 1 2019-06-21 38 47.55 0 -5,830 Auctioneers Incorporated Incorporated Rockcliff Metals Common Shares Ross, Alistair Gavin 4, 5 2019-07-03 10 0.115 763,500 95,500 Corporation (formerly Rockcliff Copper Corporation)
Rockcliff Metals Common Shares Ross, Alistair Gavin 4, 5 2019-07-05 10 0.115 803,500 40,000 Corporation (formerly Rockcliff Copper Corporation)
Rokmaster Resources Common Shares Pankratz, Adam 4 2019-07-08 10 0.04 75,125 5,000 Corp. Royal Bank of Canada Common Shares Royal Bank of Canada 1 2019-06-03 38 101.87 400,000 200,000 Royal Bank of Canada Common Shares Royal Bank of Canada 1 2019-06-03 38 101.87 200,000 Royal Bank of Canada Common Shares Royal Bank of Canada 1 2019-06-03 38 101.87 200,000
July 18, 2019 (2019), 42 OSCB 6248
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings
Royal Bank of Canada Common Shares Royal Bank of Canada 1 2019-06-03 38 101.87 200,000 Royal Bank of Canada Common Shares Royal Bank of Canada 1 2019-06-03 38 101.87 200,000 Royal Bank of Canada Common Shares Royal Bank of Canada 1 2019-06-03 38 200,000 -200,000 Royal Bank of Canada Common Shares Royal Bank of Canada 1 2019-06-04 38 102.48 100,000 100,000 Royal Bank of Canada Common Shares Royal Bank of Canada 1 2019-06-04 38 0 -100,000 Royal Bank of Canada Common Shares Royal Bank of Canada 1 2019-06-05 38 102.96 100,000 100,000 Royal Bank of Canada Common Shares Royal Bank of Canada 1 2019-06-05 38 0 -100,000 Royal Bank of Canada Common Shares Royal Bank of Canada 1 2019-06-06 38 103.26 100,000 100,000 Royal Bank of Canada Common Shares Royal Bank of Canada 1 2019-06-06 38 0 -100,000 Royal Bank of Canada Common Shares Royal Bank of Canada 1 2019-06-07 38 103.21 50,000 50,000 Royal Bank of Canada Common Shares Royal Bank of Canada 1 2019-06-07 38 0 -50,000 Royal Bank of Canada Common Shares Royal Bank of Canada 1 2019-06-10 38 103.54 50,000 50,000 Royal Bank of Canada Common Shares Royal Bank of Canada 1 2019-06-10 38 0 -50,000 Royal Bank of Canada Common Shares Royal Bank of Canada 1 2019-06-11 38 103.23 50,000 50,000 Royal Bank of Canada Common Shares Royal Bank of Canada 1 2019-06-11 38 0 -50,000 Royal Bank of Canada Common Shares Royal Bank of Canada 1 2019-06-12 38 102.38 132,600 132,600 Royal Bank of Canada Common Shares Royal Bank of Canada 1 2019-06-12 38 0 -132,600 Royal Bank of Canada Common Shares Royal Bank of Canada 1 2019-06-13 38 102.93 100,000 100,000 Royal Bank of Canada Common Shares Royal Bank of Canada 1 2019-06-13 38 0 -100,000 Royal Bank of Canada Common Shares Royal Bank of Canada 1 2019-06-13 38 102.93 100,000 Royal Bank of Canada Common Shares Royal Bank of Canada 1 2019-06-13 38 102.93 100,000 Royal Bank of Canada Common Shares Royal Bank of Canada 1 2019-06-13 38 -100,000 Royal Bank of Canada Common Shares Royal Bank of Canada 1 2019-06-13 38 -100,000 Royal Bank of Canada Common Shares Vettese, Frank Michael 4 2019-06-13 00 Royal Bank of Canada Common Shares Vettese, Frank Michael 4 2019-07-10 00 9,570 Sanatana Resources Common Shares Miles, Peter Leighton 3, 4, 5 2019-07-04 10 0.04 11,593,886 140,000 Inc. Saputo Inc. Common Shares Atherton, Thomas 7 2019-05-08 00 Saputo Inc. Options Atherton, Thomas 7 2019-05-08 00 SBD Capital Corp. Common Shares Murray, Robert Brian 3, 4, 5 2019-07-09 10 0.14 2,470,500 -540,000 (formerly White Pine Resources Inc.) SBD Capital Corp. Common Shares Murray, Robert Brian 3, 4, 5 2019-07-10 10 0.14 1,828,000 -642,500 (formerly White Pine Resources Inc.) SBD Capital Corp. Common Shares Murray, Robert Brian 3, 4, 5 2019-07-11 10 0.135 1,838,000 10,000 (formerly White Pine Resources Inc.) SBD Capital Corp. Common Shares Murray, Robert Brian 3, 4, 5 2019-07-12 10 0.14 1,820,500 -17,500 (formerly White Pine Resources Inc.)
ScoZinc Mining Ltd. Common Shares Hopkins, Christopher John 4 2017-06-14 00
ScoZinc Mining Ltd. Common Shares Hopkins, Christopher John 4 2019-06-25 46 83,333 83,333
ScoZinc Mining Ltd. Options Hopkins, Christopher John 4 2019-07-04 50 0.45 58,333 25,000
Seabridge Gold Inc. Common Shares Miller, Melanie Renee 4 2019-06-26 00 Seabridge Gold Inc. Options Miller, Melanie Renee 4 2019-06-26 00 Seabridge Gold Inc. Options Miller, Melanie Renee 4 2019-06-26 50 17.72 50,000 50,000 Secure Energy Common Shares WADSWORTH, GEORGE 7 2019-07-05 10 7.02 554,328 -5,777 Services Inc. Secure Energy Common Shares WADSWORTH, GEORGE 7 2019-07-05 10 7.03 14,456 -1,655 Services Inc. Employee Share Ownership Plan SEMAFO INC. Common Shares Desormeaux, Benoit 4, 5 2019-07-08 51 2.03 449,701 12,400 SEMAFO INC. Common Shares Desormeaux, Benoit 4, 5 2019-07-08 10 5.03 437,301 -12,400 SEMAFO INC. Common Shares Desormeaux, Benoit 4, 5 2019-07-10 51 2.03 526,001 88,700 SEMAFO INC. Common Shares Desormeaux, Benoit 4, 5 2019-07-10 10 5.18 437,301 -88,700 SEMAFO INC. Common Shares Desormeaux, Benoit 4, 5 2019-07-11 51 2.03 462,201 24,900 SEMAFO INC. Common Shares Desormeaux, Benoit 4, 5 2019-07-11 10 5.15 437,301 -24,900 SEMAFO INC. Common Shares Desormeaux, Benoit 4, 5 2019-07-12 51 2.03 482,401 45,100 SEMAFO INC. Common Shares Desormeaux, Benoit 4, 5 2019-07-12 10 5.15 437,301 -45,100 SEMAFO INC. Options Desormeaux, Benoit 4, 5 2019-07-08 51 2.03 558,700 -12,400 SEMAFO INC. Options Desormeaux, Benoit 4, 5 2019-07-10 51 2.03 470,000 -88,700 SEMAFO INC. Options Desormeaux, Benoit 4, 5 2019-07-11 51 2.03 445,100 -24,900
July 18, 2019 (2019), 42 OSCB 6249
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings SEMAFO INC. Options Desormeaux, Benoit 4, 5 2019-07-12 51 2.03 400,000 -45,100 Seven Aces Limited Common Shares Seven Aces Limited 1 2019-06-03 38 0.8 125,000 125,000 Seven Aces Limited Common Shares Seven Aces Limited 1 2019-06-03 38 0 -125,000 Seven Aces Limited Common Shares Seven Aces Limited 1 2019-06-04 38 0.794 125,000 125,000 Seven Aces Limited Common Shares Seven Aces Limited 1 2019-06-04 38 0 -125,000 Seven Aces Limited Common Shares Seven Aces Limited 1 2019-06-06 38 0.79 162,400 162,400 Seven Aces Limited Common Shares Seven Aces Limited 1 2019-06-06 38 0 -162,400 Seven Aces Limited Common Shares Seven Aces Limited 1 2019-06-11 38 0.79 54,500 54,500 Seven Aces Limited Common Shares Seven Aces Limited 1 2019-06-11 38 0 -54,500 Seven Aces Limited Common Shares Seven Aces Limited 1 2019-06-12 38 0.79 163,500 163,500 Seven Aces Limited Common Shares Seven Aces Limited 1 2019-06-12 38 0 -163,500 Seven Aces Limited Common Shares Seven Aces Limited 1 2019-06-13 38 0.79 77,000 77,000 Seven Aces Limited Common Shares Seven Aces Limited 1 2019-06-13 38 0 -77,000 Seven Aces Limited Common Shares Seven Aces Limited 1 2019-06-14 38 0.8376 73,000 73,000 Seven Aces Limited Common Shares Seven Aces Limited 1 2019-06-14 38 0 -73,000 Seven Aces Limited Common Shares Seven Aces Limited 1 2019-06-17 38 0.86 30,000 30,000 Seven Aces Limited Common Shares Seven Aces Limited 1 2019-06-17 38 0 -30,000 Seven Aces Limited Common Shares Seven Aces Limited 1 2019-06-18 38 0.85 30,000 30,000 Seven Aces Limited Common Shares Seven Aces Limited 1 2019-06-18 38 0 -30,000 Seven Aces Limited Common Shares Seven Aces Limited 1 2019-06-19 38 0.84 20,000 20,000 Seven Aces Limited Common Shares Seven Aces Limited 1 2019-06-19 38 0 -20,000 Seven Aces Limited Common Shares Seven Aces Limited 1 2019-06-21 38 0.82 20,000 20,000 Seven Aces Limited Common Shares Seven Aces Limited 1 2019-06-21 38 0 -20,000 Seven Aces Limited Common Shares Seven Aces Limited 1 2019-06-24 38 0.82 20,000 20,000 Seven Aces Limited Common Shares Seven Aces Limited 1 2019-06-24 38 0 -20,000 Seven Aces Limited Common Shares Seven Aces Limited 1 2019-06-27 38 0.77 10,000 10,000 Seven Aces Limited Common Shares Seven Aces Limited 1 2019-06-27 38 0 -10,000 Seven Generations Common Shares Canada Pension Plan 3 2019-07-09 51 5.5 24,472,704 108,704 Energy Ltd. Class A Investment Board Seven Generations Options Pre-IPO Canada Pension Plan 3 2019-07-09 51 5.5 32,000 -108,704 Energy Ltd. Investment Board Sharc International Common Shares Pannu, Hanspaul 5 2018-07-06 00 Systems Inc. (formerly, International Wastewater Systems Inc.) Sharc International Common Shares Pannu, Hanspaul 5 2019-07-11 10 0.155 10,000 10,000 Systems Inc. (formerly, International Wastewater Systems Inc.) Shopify Inc. Multiple Voting Finkelstein, Harley Michael 5 2019-07-11 51 0.152 2,459 2,459 Shares Class B Multiple Voting Shares Shopify Inc. Multiple Voting Finkelstein, Harley Michael 5 2019-07-11 36 0 -2,459 Shares Class B Multiple Voting Shares Shopify Inc. Options Finkelstein, Harley Michael 5 2019-07-11 51 0.152 58,277 -2,459
Shopify Inc. Subordinate Voting Finkelstein, Harley Michael 5 2019-07-11 36 2,588 2,459 Shares Class A Subordinate Voting Shares
Shopify Inc. Subordinate Voting Finkelstein, Harley Michael 5 2019-07-11 30 317.81 129 -2,459 Shares Class A Subordinate Voting Shares
Shopify Inc. Subordinate Voting Lutke, Tobias Albin 4, 5 2019-07-08 30 323.74 88,000 -4,000 Shares Class A Subordinate Voting Shares
Shopify Inc. Options Shapero, Amy Elizabeth 5 2019-07-08 51 137.72 65,656 -782 Shopify Inc. Subordinate Voting Shapero, Amy Elizabeth 5 2019-07-08 51 137.72 7,083 782 Shares Class A Subordinate Voting Shares
July 18, 2019 (2019), 42 OSCB 6250
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Shopify Inc. Subordinate Voting Shapero, Amy Elizabeth 5 2019-07-08 30 314.83 6,301 -782 Shares Class A Subordinate Voting Shares
Shopify Inc. Subordinate Voting Shapero, Amy Elizabeth 5 2019-07-08 30 314.83 5,891 -410 Shares Class A Subordinate Voting Shares
Shopify Inc. Subordinate Voting Weiser, Jeffrey Kane 5 2019-07-12 30 315 1,543 -325 Shares Class A Subordinate Voting Shares
Silver Viper Minerals Common Shares Cope, Gary Gordon 4 2019-07-03 10 0.27 2,498,500 1,000 Corp. Silver Viper Minerals Common Shares Cope, Gary Gordon 4 2019-07-04 10 0.27 2,518,500 20,000 Corp. Silver Viper Minerals Common Shares Cope, Gary Gordon 4 2019-07-05 10 0.25 2,538,500 20,000 Corp. Silver Viper Minerals Common Shares Cope, Gary Gordon 4 2019-07-05 10 0.26 2,558,500 20,000 Corp. Sintana Energy Inc. Common Shares Gendron, Dean Paul 4 2018-03-16 00 Sintana Energy Inc. Common Shares Gendron, Dean Paul 4 2019-06-27 10 0.1 5,000 5,000 SITKA GOLD CORP. Common Shares Coe, Corwin 4, 5 2019-07-11 10 0.1 1,138,000 30,000 SITKA GOLD CORP. Common Shares COE, RYAN 4 2019-07-11 10 0.1 1,880,500 20,000 SITKA GOLD CORP. Common Shares COE, RYAN 4 2019-07-11 10 0.105 1,882,500 2,000 SITKA GOLD CORP. Common Shares COE, RYAN 4 2019-07-11 10 0.12 1,885,500 3,000 SITKA GOLD CORP. Common Shares COE, RYAN 4 2015-01-13 00 SITKA GOLD CORP. Common Shares COE, RYAN 4 2019-07-12 10 0.12 1,500 1,500 SITKA GOLD CORP. Common Shares COE, RYAN 4 2019-07-12 10 0.125 7,000 5,500 Skyharbour Resources Options Chow, Amanda 4 2019-07-08 52 0.4 307,500 -8,750 Ltd. Skyharbour Resources Options Huston, Donald Carl 4 2019-07-08 52 0.4 335,000 -11,250 Ltd. Skyharbour Resources Options Kusmirski, Rick T. 4 2019-07-08 52 0.4 490,000 -11,250 Ltd. Skyharbour Resources Options PETTIT, JAMES, GAYDON 4 2019-07-08 52 0.4 490,000 -11,250 Ltd. Skyharbour Resources Options Trimble, Jordan 4 2019-07-08 52 0.4 497,500 -17,500 Ltd. SLANG Worldwide Common Shares Heidl, Jeremy Neil 4 2019-07-08 00 6,008,693 Inc. (formerly Fire Cannabis Inc.)
SLANG Worldwide Options Heidl, Jeremy Neil 4 2019-07-08 00 500,000 Inc. (formerly Fire Cannabis Inc.) SLANG Worldwide Restricted Shares Heidl, Jeremy Neil 4 2019-07-08 00 1,467,169 Inc. (formerly Fire Cannabis Inc.) SLANG Worldwide Warrants Heidl, Jeremy Neil 4 2019-07-08 00 Inc. (formerly Fire Cannabis Inc.) SociÚtÚ d'exploration Common Shares Fedosiewich, Mark Brian 5 2019-07-04 10 0.115 5,123,000 5,000 miniÞre Vior Inc. SociÚtÚ d'exploration Common Shares Fedosiewich, Mark Brian 5 2019-07-05 10 0.11 5,138,000 15,000 miniÞre Vior Inc. SociÚtÚ d'exploration Common Shares Fedosiewich, Mark Brian 5 2019-07-08 10 0.1 5,146,000 8,000 miniÞre Vior Inc. SociÚtÚ d'exploration Common Shares Fedosiewich, Mark Brian 5 2019-07-09 10 0.095 5,173,000 27,000 miniÞre Vior Inc. SociÚtÚ d'exploration Common Shares Fedosiewich, Mark Brian 5 2019-07-09 10 0.1 5,208,000 35,000 miniÞre Vior Inc. SociÚtÚ d'exploration Options MARTIN, INGRID 5 2019-07-08 00 miniÞre Vior Inc. SociÚtÚ d'exploration Options MARTIN, INGRID 5 2019-07-08 50 0.11 150,000 150,000 miniÞre Vior Inc. Sonoro Metals Corp. Common Shares Taylor, James Gordon 4 2019-06-27 00 1,216,000
July 18, 2019 (2019), 42 OSCB 6251
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Source Energy Common Shares Source Energy Services Ltd. 1 2019-06-03 38 0.9854 87,488 16,594 Services Ltd. Source Energy Common Shares Source Energy Services Ltd. 1 2019-06-04 38 0.9728 104,082 16,594 Services Ltd. Source Energy Common Shares Source Energy Services Ltd. 1 2019-06-05 38 0.9919 120,676 16,594 Services Ltd. Source Energy Common Shares Source Energy Services Ltd. 1 2019-06-06 38 0.9892 137,270 16,594 Services Ltd. Source Energy Common Shares Source Energy Services Ltd. 1 2019-06-07 38 0.9715 153,864 16,594 Services Ltd. Source Energy Common Shares Source Energy Services Ltd. 1 2019-06-10 38 0.9108 170,458 16,594 Services Ltd. Source Energy Common Shares Source Energy Services Ltd. 1 2019-06-11 38 0.8776 186,958 16,500 Services Ltd. Source Energy Common Shares Source Energy Services Ltd. 1 2019-06-12 38 0.8628 203,552 16,594 Services Ltd. Source Energy Common Shares Source Energy Services Ltd. 1 2019-06-13 38 0.8718 220,146 16,594 Services Ltd. Source Energy Common Shares Source Energy Services Ltd. 1 2019-06-14 38 0.7773 236,646 16,500 Services Ltd. Source Energy Common Shares Source Energy Services Ltd. 1 2019-06-17 38 0.7951 253,240 16,594 Services Ltd. Source Energy Common Shares Source Energy Services Ltd. 1 2019-06-18 38 0.7831 260,939 7,699 Services Ltd. Source Energy Common Shares Source Energy Services Ltd. 1 2019-06-28 38 0 -260,939 Services Ltd. Spanish Mountain Options Beattie, Morris John 4 2019-07-03 50 0.08 500,000 Gold Ltd. Vreugde Spanish Mountain Options Beattie, Morris John 4 2019-07-03 50 0.08 900,000 500,000 Gold Ltd. Vreugde Spanish Mountain Options Clare, James 4 2019-07-03 50 400,000 200,000 Gold Ltd. Spanish Mountain Options Coxe, Donald Gordon 4 2019-07-12 50 600,000 200,000 Gold Ltd. Maxwell Spanish Mountain Options MacLean, William Terry 4 2019-06-26 00 Gold Ltd. Spanish Mountain Options MacLean, William Terry 4 2019-07-03 50 0.08 300,000 300,000 Gold Ltd. Speakeasy Cannabis Common Shares Geen, Patrick 4 2019-06-07 00 1,600,000 Club Ltd.
Speakeasy Cannabis Options Geen, Patrick 4 2019-06-07 00 175,000 Club Ltd. SponsorsOne Inc. Common Shares Bartholomew, Myles 3 2019-07-05 10 0.07 3,300,233 -2,852 Spot Coffee (Canada) Common Shares AYOUB, ANTON MICHEL 4, 5 2019-07-09 10 0.1 2,124,458 2,000 Ltd. Spot Coffee (Canada) Common Shares Lorenzo, John Michael 4 2019-07-05 10 0.1 9,038,900 12,000 Ltd. Spot Coffee (Canada) Common Shares Lorenzo, John Michael 4 2019-07-08 10 0.105 9,048,900 10,000 Ltd. Spot Coffee (Canada) Common Shares Lorenzo, John Michael 4 2019-07-09 10 0.1 9,068,900 20,000 Ltd. Stampede Drilling Inc. Common Shares Hawkins, Rodger Glen 4 2019-07-08 10 0.36 39,000 -8,000 (formerly known as MATRRIX Energy Technologies Inc.)
Stampede Drilling Inc. Options Russell, Thane Geoffrey 4 2019-07-05 51 0.36 317,140 -25,000 (formerly known as MATRRIX Energy Technologies Inc.)
Stans Energy Corp. Common Shares Aryev, Boris 4, 5 2019-07-08 10 0.05 5,911,052 1,000,000 Stans Energy Corp. Common Shares Aryev, Boris 4, 5 2019-07-10 10 0.05 6,061,052 150,000 Stans Energy Corp. Common Shares UNDERHILL, DOUGLAS 4 2019-07-08 16 0.05 1,891,952 300,000 HENRY Stans Energy Corp. Warrants UNDERHILL, DOUGLAS 4 2009-06-10 00 HENRY Stans Energy Corp. Warrants UNDERHILL, DOUGLAS 4 2019-07-08 16 300,000 300,000 HENRY
July 18, 2019 (2019), 42 OSCB 6252
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Starlight U.S. Multi- Limited Rosenbaum, Harry 4 2019-05-30 10 9.9 22,300 3,300 Family (No. 1) Value- Partnership Units Add Fund Class A Starlight U.S. Multi- Limited Rosenbaum, Harry 4 2019-07-05 10 10.55 26,500 4,200 Family (No. 1) Value- Partnership Units Add Fund Class A Stingray Group Inc. Deferred Share Boyko, ╔ric 3, 4, 5 2019-06-28 56 7.3145 156,293 24,385 Units (DSU) Stingray Group Inc. Performance Boyko, ╔ric 3, 4, 5 2019-03-15 35 6.35 84,787 247 Share Units (PSU) Stingray Group Inc. Performance Boyko, ╔ric 3, 4, 5 2019-06-28 59 7.3145 102,672 -24,385 Share Units (PSU) Stingray Group Inc. Performance Dubois, Mario 5 2019-03-15 35 6.35 28,545 101 Share Units (PSU) Stingray Group Inc. Performance Dubois, Mario 5 2019-06-28 59 7.3145 31,973 -9,980 Share Units (PSU) Stingray Group Inc. Performance Feldman, Lloyd Perry 5 2019-03-15 35 6.35 31,581 101 Share Units (PSU) Stingray Group Inc. Performance Feldman, Lloyd Perry 5 2019-06-28 59 7.3145 39,484 -9,980 Share Units (PSU) Stingray Group Inc. Performance Khuong, Ratha 5 2019-03-15 35 6.35 14,114 39 Share Units (PSU) Stingray Group Inc. Performance Khuong, Ratha 5 2019-05-28 59 7.3145 10,276 -3,838 Share Units (PSU) Stingray Group Inc. Performance PÚloquin, Mathieu 5 2019-03-15 35 6.35 28,545 101 Share Units (PSU) Stingray Group Inc. Performance PÚloquin, Mathieu 5 2019-06-28 59 7.3145 31,973 -9,980 Share Units (PSU) Stingray Group Inc. Performance Trahan, Jean-Pierre 5 2019-03-15 35 6.35 29,281 101 Share Units (PSU) Stingray Group Inc. Performance Trahan, Jean-Pierre 5 2019-06-28 59 7.3145 33,593 -9,980 Share Units (PSU) Stroud Resources Ltd. Common Shares Smeenk, Thomas 5 2019-06-14 00 Stroud Resources Ltd. Common Shares Smeenk, Thomas 5 2019-07-12 10 5000 500,000 500,000 SugarBud Craft Warrants MacDonald, William Colin 4 2019-07-10 10 0.105 3,157,815 93,000 Growers Corp. (formerly Relentless Resources Ltd.) SugarBud Craft Warrants MacDonald, William Colin 4 2019-07-11 10 0.105 3,164,815 7,000 Growers Corp. (formerly Relentless Resources Ltd.) Sulliden Mining Common Shares Bharti, Stan 4 2016-02-01 57 50000 4,060,620 50,000 Capital Inc. Sulliden Mining Restricted Share Bharti, Stan 4 2016-02-01 57 0.22 283,334 -50,000 Capital Inc. Units Sulliden Mining Restricted Share Bharti, Stan 4 2017-01-01 57 0.3 -183,333 Capital Inc. Units Sulliden Mining Restricted Share Bharti, Stan 4 2017-01-01 57 0.3 100,000 -183,334 Capital Inc. Units Sun Residential Real Trust Units Argiros, Daniel 4 2019-01-22 00 Estate Investment Trust Sun Residential Real Trust Units Argiros, Daniel 4 2019-03-25 11 0.05 888,880 Estate Investment Trust Sun Residential Real Trust Units Argiros, Daniel 4 2019-03-25 11 0.05 888,880 Estate Investment Trust Sun Residential Real Trust Units Argiros, Daniel 4 2019-06-14 00 Estate Investment Trust Sun Residential Real Trust Units Argiros, Daniel 4 2019-06-14 11 0.05 888,880 888,880 Estate Investment Trust Sun Residential Real Trust Units GOODALL, ROBERT 4 2019-01-22 00 Estate Investment Trust Sun Residential Real Trust Units GOODALL, ROBERT 4 2019-03-25 11 0.05 888,880 Estate Investment Trust
July 18, 2019 (2019), 42 OSCB 6253
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings
Sun Residential Real Trust Units GOODALL, ROBERT 4 2019-03-25 11 0.05 888,880 Estate Investment Trust Sun Residential Real Trust Units GOODALL, ROBERT 4 2019-06-14 00 Estate Investment Trust Sun Residential Real Trust Units GOODALL, ROBERT 4 2019-06-14 11 0.05 888,880 888,880 Estate Investment Trust Sun Residential Real Trust Units Harris, Paul 4 2019-01-22 00 Estate Investment Trust Sun Residential Real Trust Units Harris, Paul 4 2019-03-25 11 0.05 888,880 Estate Investment Trust Sun Residential Real Trust Units Harris, Paul 4 2019-03-25 11 0.05 888,880 Estate Investment Trust Sun Residential Real Trust Units Harris, Paul 4 2019-06-14 00 Estate Investment Trust Sun Residential Real Trust Units Harris, Paul 4 2019-06-14 11 0.05 888,880 888,880 Estate Investment Trust Sun Residential Real Trust Units Sherman, Jeffrey 5 2019-01-22 00 Estate Investment Trust Sun Residential Real Trust Units Sherman, Jeffrey 5 2019-03-25 11 0.05 888,880 Estate Investment Trust Sun Residential Real Trust Units Sherman, Jeffrey 5 2019-03-25 11 0.05 888,880 Estate Investment Trust Sun Residential Real Trust Units Sherman, Jeffrey 5 2019-06-14 00 Estate Investment Trust Sun Residential Real Trust Units Sherman, Jeffrey 5 2019-06-14 11 0.05 888,880 888,880 Estate Investment Trust Sun Residential Real Trust Units Vollmer, Gordon Paul 4 2019-01-22 00 Estate Investment Trust Sun Residential Real Trust Units Vollmer, Gordon Paul 4 2019-03-25 11 0.05 888,880 Estate Investment Trust Sun Residential Real Trust Units Vollmer, Gordon Paul 4 2019-03-25 11 0.05 888,880 Estate Investment Trust Sun Residential Real Trust Units Vollmer, Gordon Paul 4 2019-06-14 00 Estate Investment Trust Sun Residential Real Trust Units Vollmer, Gordon Paul 4 2019-06-14 11 0.05 888,880 888,880 Estate Investment Trust Sun Residential Real Trust Units Wetenhall Jr., Robert C. 4 2019-01-22 00 Estate Investment Trust Sun Residential Real Trust Units Wetenhall Jr., Robert C. 4 2019-03-25 11 0.05 888,880 Estate Investment Trust Sun Residential Real Trust Units Wetenhall Jr., Robert C. 4 2019-03-25 11 0.05 888,880 Estate Investment Trust Sun Residential Real Trust Units Wetenhall Jr., Robert C. 4 2019-06-14 00 Estate Investment Trust Sun Residential Real Trust Units Wetenhall Jr., Robert C. 4 2019-06-14 11 0.05 888,880 888,880 Estate Investment Trust Sun Residential Real Trust Units Wiebe, Gordon Milton 5 2019-01-22 00 Estate Investment Trust Sun Residential Real Trust Units Wiebe, Gordon Milton 5 2019-01-22 11 0.05 1 Estate Investment Trust Sun Residential Real Trust Units Wiebe, Gordon Milton 5 2019-01-22 11 0.05 1 Estate Investment Trust
July 18, 2019 (2019), 42 OSCB 6254
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings
Sun Residential Real Trust Units Wiebe, Gordon Milton 5 2019-03-25 11 0.05 888,959 Estate Investment Trust Sun Residential Real Trust Units Wiebe, Gordon Milton 5 2019-03-25 11 0.05 888,959 Estate Investment Trust Sun Residential Real Trust Units Wiebe, Gordon Milton 5 2019-06-14 00 Estate Investment Trust Sun Residential Real Trust Units Wiebe, Gordon Milton 5 2019-06-14 11 0.05 888,960 888,960 Estate Investment Trust Sunniva Inc. Common Shares Pedersen, Leith Campbell 3 2019-06-04 10 3.77 4,621,251 -57,000
Sunniva Inc. Common Shares Pedersen, Leith Campbell 3 2019-06-05 10 3.437 4,611,251 -10,000
Sunniva Inc. Common Shares Pedersen, Leith Campbell 3 2019-06-06 10 3.381 4,591,251 -20,000
Sunniva Inc. Common Shares Pedersen, Leith Campbell 3 2019-06-07 10 3.25 4,543,251 -48,000
Sunniva Inc. Common Shares Pedersen, Leith Campbell 3 2019-06-10 10 3.3231 4,527,251 -16,000
Sunniva Inc. Common Shares Pedersen, Leith Campbell 3 2019-06-11 10 3.142 4,512,251 -15,000
Sunniva Inc. Common Shares Pedersen, Leith Campbell 3 2019-06-12 10 3.195 4,483,251 -29,000
Sunniva Inc. Common Shares Pedersen, Leith Campbell 3 2019-06-13 10 3.021 4,465,251 -18,000
Sunniva Inc. Common Shares Pedersen, Leith Campbell 3 2019-06-14 10 2.97 4,461,251 -4,000
Sunniva Inc. Common Shares Pedersen, Leith Campbell 3 2019-06-17 10 2.972 4,449,551 -11,700
Sunniva Inc. Common Shares Pedersen, Leith Campbell 3 2019-06-18 10 2.946 4,428,401 -21,150
Sunniva Inc. Common Shares Pedersen, Leith Campbell 3 2019-06-19 10 2.915 4,390,201 -38,200
Sunniva Inc. Common Shares Pedersen, Leith Campbell 3 2019-06-20 10 2.889 4,338,101 -52,100
Sunniva Inc. Common Shares Pedersen, Leith Campbell 3 2019-06-21 10 2.804 4,314,801 -23,300
Sunniva Inc. Common Shares Pedersen, Leith Campbell 3 2019-06-24 10 2.645 4,264,501 -50,300
Sunniva Inc. Common Shares Pedersen, Leith Campbell 3 2019-06-25 10 2.543 4,226,001 -38,500
Sunniva Inc. Common Shares Pedersen, Leith Campbell 3 2019-06-26 10 2.486 4,168,701 -57,300
Sunniva Inc. Common Shares Pedersen, Leith Campbell 3 2019-06-27 10 2.552 4,098,901 -69,800
Sunniva Inc. Common Shares Pedersen, Leith Campbell 3 2019-06-28 10 2.696 4,041,001 -57,900
Sunniva Inc. Common Shares Pedersen, Leith Campbell 3 2019-07-02 10 2.718 3,997,101 -43,900
Sunniva Inc. Common Shares Pedersen, Leith Campbell 3 2019-07-03 10 2.656 3,963,001 -34,100
Sunniva Inc. Common Shares Pedersen, Leith Campbell 3 2019-07-04 10 2.56 3,958,901 -4,100
Sunniva Inc. Common Shares Pedersen, Leith Campbell 3 2019-07-05 10 2.627 3,949,801 -9,100
Sunniva Inc. Common Shares Pedersen, Leith Campbell 3 2019-07-08 10 2.65 3,905,651 -44,150
Sunniva Inc. Common Shares Pedersen, Leith Campbell 3 2019-07-10 10 2.615 3,886,151 -19,500
Sunniva Inc. Options Pedersen, Leith Campbell 3 2019-06-21 52 3.4 0 -250,000
Sunshine Oilsands Common Shares Hibberd, Michael John 4, 5 2019-07-11 46 0.0158 102,239,592 3,524,371 Ltd. Class A Taiga Gold Corp. Common Shares Termuende, Timothy Jay 4, 5 2019-07-09 10 0.08 1,281,458 15,000 Taiga Gold Corp. Common Shares Termuende, Timothy Jay 4, 5 2019-07-10 10 0.08 1,285,458 4,000
July 18, 2019 (2019), 42 OSCB 6255
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Taiga Gold Corp. Common Shares Termuende, Timothy Jay 4, 5 2019-07-11 10 0.085 1,297,458 12,000 Taiga Gold Corp. Common Shares Termuende, Timothy Jay 4, 5 2019-07-11 10 0.08 1,304,458 7,000 Taiga Gold Corp. Common Shares Termuende, Timothy Jay 4, 5 2019-07-11 10 0.08 4,000 Taiga Gold Corp. Common Shares Termuende, Timothy Jay 4, 5 2019-07-11 10 0.08 4,000 Taku Gold Corp. Warrants Golden Predator Mining 3 2019-07-04 55 0.15 0 -1,750,000 Corp. Taku Gold Corp. Warrants Lee-Sheriff, Janet 4 2019-07-04 55 0.15 0 -250,000 Tamarack Valley Common Shares GMT Capital Corp 3 2019-07-08 10 1.58 11,450,840 36,000 Energy Ltd. Tamarack Valley Common Shares GMT Capital Corp 3 2019-07-09 10 1.58 11,474,640 23,800 Energy Ltd. Tamarack Valley Common Shares GMT Capital Corp 3 2019-07-11 10 1.6 11,599,740 125,100 Energy Ltd. Tamarack Valley Common Shares GMT Capital Corp 3 2019-07-08 10 1.58 13,338,890 51,700 Energy Ltd. Tamarack Valley Common Shares GMT Capital Corp 3 2019-07-09 10 1.58 13,372,990 34,100 Energy Ltd. Tamarack Valley Common Shares GMT Capital Corp 3 2019-07-11 10 1.6 13,552,490 179,500 Energy Ltd. Tamarack Valley Common Shares GMT Capital Corp 3 2019-07-08 10 1.58 20,556,630 66,900 Energy Ltd. Tamarack Valley Common Shares GMT Capital Corp 3 2019-07-09 10 1.58 20,600,630 44,000 Energy Ltd. Tamarack Valley Common Shares GMT Capital Corp 3 2019-07-11 10 1.6 20,832,830 232,200 Energy Ltd. Tamarack Valley Common Shares GMT Capital Corp 3 2019-07-08 10 1.58 710,640 1,300 Energy Ltd. Tamarack Valley Common Shares GMT Capital Corp 3 2019-07-09 10 1.58 711,440 800 Energy Ltd. Tamarack Valley Common Shares GMT Capital Corp 3 2019-07-11 10 1.6 715,940 4,500 Energy Ltd. Tamarack Valley Common Shares GMT Capital Corp 3 2019-07-08 10 1.58 1,867,400 7,100 Energy Ltd. Tamarack Valley Common Shares GMT Capital Corp 3 2019-07-09 10 1.58 1,872,100 4,700 Energy Ltd. Tamarack Valley Common Shares GMT Capital Corp 3 2019-07-11 10 1.6 1,896,600 24,500 Energy Ltd. Tecsys Inc. Common Shares Bentler, Mark Joseph 5 2018-09-16 00 Tecsys Inc. Common Shares Bentler, Mark Joseph 5 2019-07-08 30 13.339 2,094 2,094 Tecsys Inc. Options Stock Bentler, Mark Joseph 5 2018-09-16 00 Options Tecsys Inc. Options Stock Bentler, Mark Joseph 5 2019-07-03 50 23,000 23,000 Options Tecsys Inc. Options Stock Bergandi, Frank J. 4 2019-07-03 50 17,927 11,327 Options Tecsys Inc. Options Stock Booth, David Alan 4 2019-07-03 50 17,927 11,327 Options Tecsys Inc. Options Stock Brereton, David 3, 4, 5 2019-07-03 50 125,105 75,405 Options Tecsys Inc. Options Stock Brereton, Peter 4, 5 2019-07-03 50 250,209 150,809 Options Tecsys Inc. Common Shares Ensign, John Adler 4 2019-07-08 10 10.174 2,475 975 Tecsys Inc. Options Stock Ensign, John Adler 4 2019-07-03 50 17,927 11,327 Options Tecsys Inc. Options Stock Lobo, Vernon 4 2019-07-03 50 17,927 11,327 Options Tecsys Inc. Options Stock Sasser, Stephen 4 2019-07-03 50 17,927 11,327 Options Tecsys Inc. Options Stock Wayland, David 4 2019-07-03 50 17,927 11,327 Options TerrAscend Corp. Common Shares Nashat, Michael 4, 6, 5 2019-07-01 54 1.75 4,325,714 95,238 TerrAscend Corp. Common Shares Nashat, Michael 4, 6, 5 2019-07-01 54 1.75 2,162,857 47,619 TerrAscend Corp. Warrants Nashat, Michael 4, 6, 5 2019-07-01 54 0 -95,238 TerrAscend Corp. Warrants Nashat, Michael 4, 6, 5 2019-07-01 54 0 -47,619 Tervita Corporation Common Shares Tervita Corporation 1 2019-06-03 38 6.4433 30,800 8,600 Tervita Corporation Common Shares Tervita Corporation 1 2019-06-04 38 6.4664 34,700 3,900 Tervita Corporation Common Shares Tervita Corporation 1 2019-06-05 38 6.4947 39,200 4,500 Tervita Corporation Common Shares Tervita Corporation 1 2019-06-06 38 6.6049 64,400 25,200 Tervita Corporation Common Shares Tervita Corporation 1 2019-06-07 38 6.6179 72,200 7,800
July 18, 2019 (2019), 42 OSCB 6256
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Tervita Corporation Common Shares Tervita Corporation 1 2019-06-10 38 6.4257 86,300 14,100 Tervita Corporation Common Shares Tervita Corporation 1 2019-06-11 38 6.366 92,800 6,500 Tervita Corporation Common Shares Tervita Corporation 1 2019-06-12 38 6.3577 103,300 10,500 Tervita Corporation Common Shares Tervita Corporation 1 2019-06-13 38 6.2882 108,400 5,100 Tervita Corporation Common Shares Tervita Corporation 1 2019-06-14 38 6.3859 117,600 9,200 Tervita Corporation Common Shares Tervita Corporation 1 2019-06-17 38 6.4256 124,500 6,900 Tervita Corporation Common Shares Tervita Corporation 1 2019-06-18 38 6.5874 132,200 7,700 Tervita Corporation Common Shares Tervita Corporation 1 2019-06-19 38 6.4958 135,300 3,100 Tervita Corporation Common Shares Tervita Corporation 1 2019-06-21 38 6.5562 165,800 30,500 Tervita Corporation Common Shares Tervita Corporation 1 2019-06-24 38 6.604 184,398 18,598 Tervita Corporation Common Shares Tervita Corporation 1 2019-06-25 38 6.5086 198,798 14,400 Tervita Corporation Common Shares Tervita Corporation 1 2019-06-26 38 6.6641 201,498 2,700 Tervita Corporation Common Shares Tervita Corporation 1 2019-06-27 38 7.3798 223,898 22,400 Tervita Corporation Common Shares Tervita Corporation 1 2019-06-27 38 22,400 -201,498 Tervita Corporation Common Shares Tervita Corporation 1 2019-06-28 38 6.8284 53,898 31,498 Tethys Petroleum Common Shares Wells, William Paul Wells 3, 4 2019-07-08 10 0.6 11,759,607 500 Limited Tethys Petroleum Common Shares Wells, William Paul Wells 3, 4 2019-07-09 10 0.6 11,766,607 7,000 Limited The Hash Corporation Common Shares Kline, Jesse 5 2019-07-08 00 (formerly, Senternet Phi Gamma Inc.) The Hash Corporation Warrants Kline, Jesse 5 2019-07-08 00 (formerly, Senternet Phi Gamma Inc.) The Hash Corporation Common Shares Metford, Tyler 5 2019-07-08 00 (formerly, Senternet Phi Gamma Inc.) The Hash Corporation Warrants Metford, Tyler 5 2019-07-08 00 (formerly, Senternet Phi Gamma Inc.) The Hash Corporation Common Shares Savoie, Chris 4, 5 2019-07-08 00 (formerly, Senternet Phi Gamma Inc.) The Hash Corporation Warrants Savoie, Chris 4, 5 2019-07-08 00 (formerly, Senternet Phi Gamma Inc.) The Second Cup Ltd. Common Shares Pelton, Steven 5 2019-06-05 00 The Second Cup Ltd. Common Shares Pelton, Steven 5 2019-07-05 30 1.7 397,600 397,600 The Second Cup Ltd. Common Shares Pelton, Steven 5 2019-07-05 30 1.7 515,241 117,641 The Yield Growth Common Shares Green, Penny Olga 3, 4, 5 2019-07-08 10 0.3961 439,000 27,000 Corp. The Yield Growth Common Shares Green, Penny Olga 3, 4, 5 2019-07-12 10 0.3795 461,000 22,000 Corp. The Yield Growth Common Shares Pineo, Krystal 4 2019-07-08 10 0.385 3,595,000 -10,000 Corp. The Yield Growth Common Shares Pineo, Krystal 4 2019-07-09 10 0.385 3,585,000 -10,000 Corp. The Yield Growth Common Shares Pineo, Krystal 4 2019-07-09 10 0.385 3,582,000 -3,000 Corp. The Yield Growth Common Shares Pineo, Krystal 4 2019-07-09 10 0.385 3,562,000 -20,000 Corp. The Yield Growth Common Shares Pineo, Krystal 4 2019-07-09 10 0.385 3,546,000 -16,000 Corp. The Yield Growth Common Shares Pineo, Krystal 4 2019-07-09 10 0.385 3,545,000 -1,000 Corp. The Yield Growth Common Shares Pineo, Krystal 4 2019-07-09 10 0.39 3,541,000 -4,000 Corp. The Yield Growth Common Shares Pineo, Krystal 4 2019-07-09 10 0.39 3,540,000 -1,000 Corp. The Yield Growth Common Shares Pineo, Krystal 4 2019-07-09 10 0.39 3,537,000 -3,000 Corp. The Yield Growth Common Shares Pineo, Krystal 4 2019-07-10 10 0.365 3,527,000 -10,000 Corp. The Yield Growth Common Shares Pineo, Krystal 4 2019-07-11 10 0.385 3,505,000 -22,000 Corp. Theratechnologies Inc. UnitÚs d'actions Frame, Sheila 4 2019-03-29 00 diffÚrÚes (DSU) Tidal Royalty Corp. Options rosen, paul 4, 5 2019-06-06 50 5.35 50,000 Tidal Royalty Corp. Options rosen, paul 4, 5 2019-06-06 50 5.35 50,000 Titan Mining Common Shares Warke, Richard William 4 2019-07-09 10 0.35 5,888,467 20,000
July 18, 2019 (2019), 42 OSCB 6257
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Corporation Titan Mining Common Shares Warke, Richard William 4 2019-07-11 10 0.385 5,893,467 5,000 Corporation Titan Mining Common Shares Warke, Richard William 4 2019-07-11 10 0.4 5,908,467 15,000 Corporation Torrent Capital Ltd. Common Shares Dawe, Wade K. 5 2019-07-05 10 0.335 2,671,500 1,000 Torrent Capital Ltd. Common Shares Dawe, Wade K. 5 2019-07-05 10 0.34 2,691,000 19,500 Torrent Capital Ltd. Common Shares Dawe, Wade K. 5 2019-07-05 10 0.35 2,701,000 10,000 Torrent Capital Ltd. Common Shares Dawe, Wade K. 5 2019-07-08 10 0.35 2,720,500 19,500 Torrent Capital Ltd. Common Shares Dawe, Wade K. 5 2019-07-09 10 0.35 2,725,000 4,500 Total Energy Services Common Shares Pachkowski, Bruce 4 2019-07-09 10 7.91 209,000 2,100 Inc. Lawrence Total Energy Services Common Shares Total Energy Services Inc 1 2019-07-11 10 7.83 44,450 17,450 Inc. Tourmaline Oil Corp. Common Shares Rose, Mike 5 2019-07-09 11 4,611,559 90,000 Tourmaline Oil Corp. Common Shares Rose, Mike 5 2019-07-09 11 10,458,470 -90,000 Tourmaline Oil Corp. Common Shares Rose, Mike 5 2019-07-09 10 16.11 10,464,330 5,860 Tourmaline Oil Corp. Common Shares Rose, Mike 5 2019-07-10 10 16.11 5,860 TransAlta Corporation Common Shares Kousinioris, John Harry 5 2019-07-05 30 118 37,485 118 TransAlta Corporation Common Shares TransAlta Corporation 1 2019-07-02 38 -211,600 TransAlta Corporation Common Shares TransAlta Corporation 1 2019-07-05 38 0 -211,600 Transcontinental Inc. Subordinate Voting Olivier, Franþois 4, 7, 5 2017-11-01 47 28.64 19,210 -2,230 Shares CatÚgorie A Treasury Metals Inc. Common Shares Vereecke, Christophe 4 2019-07-08 10 0.26 750,000 35,000 Trican Well Service Common Shares Trican Well Service Ltd. 1 2019-06-03 38 1.261 427,100 140,000 Ltd. Trican Well Service Common Shares Trican Well Service Ltd. 1 2019-06-04 38 1.248 519,700 92,600 Ltd. Trican Well Service Common Shares Trican Well Service Ltd. 1 2019-06-05 38 1.2098 727,000 207,300 Ltd. Trican Well Service Common Shares Trican Well Service Ltd. 1 2019-06-06 38 1.2026 768,400 41,400 Ltd. Trican Well Service Common Shares Trican Well Service Ltd. 1 2019-06-07 38 1.2263 777,300 8,900 Ltd. Trican Well Service Common Shares Trican Well Service Ltd. 1 2019-06-07 38 -727,100 Ltd. Trican Well Service Common Shares Trican Well Service Ltd. 1 2019-06-07 38 50,300 -727,000 Ltd. Trican Well Service Common Shares Trican Well Service Ltd. 1 2019-06-10 38 1.2366 140,300 90,000 Ltd. Trican Well Service Common Shares Trican Well Service Ltd. 1 2019-06-11 38 1.2152 185,300 45,000 Ltd. Trican Well Service Common Shares Trican Well Service Ltd. 1 2019-06-12 38 1.1579 237,900 52,600 Ltd. Trican Well Service Common Shares Trican Well Service Ltd. 1 2019-06-13 38 1.1656 257,900 20,000 Ltd. Trican Well Service Common Shares Trican Well Service Ltd. 1 2019-06-14 38 1.1339 338,300 80,400 Ltd. Trican Well Service Common Shares Trican Well Service Ltd. 1 2019-06-14 38 100,400 -237,900 Ltd. Trican Well Service Common Shares Trican Well Service Ltd. 1 2019-06-17 38 1.0917 150,700 50,300 Ltd. Trican Well Service Common Shares Trican Well Service Ltd. 1 2019-06-18 38 1.1367 155,100 4,400 Ltd. Trican Well Service Common Shares Trican Well Service Ltd. 1 2019-06-19 38 1.1901 179,600 24,500 Ltd. Trican Well Service Common Shares Trican Well Service Ltd. 1 2019-06-20 38 1.2098 190,700 11,100 Ltd. Trican Well Service Common Shares Trican Well Service Ltd. 1 2019-06-21 38 1.212 226,500 35,800 Ltd. Trican Well Service Common Shares Trican Well Service Ltd. 1 2019-06-24 38 1.2174 271,500 45,000 Ltd. Trican Well Service Common Shares Trican Well Service Ltd. 1 2019-06-25 38 1.1829 316,500 45,000 Ltd. Trican Well Service Common Shares Trican Well Service Ltd. 1 2019-06-25 38 136,900 -179,600 Ltd. Trican Well Service Common Shares Trican Well Service Ltd. 1 2019-06-26 38 1.1873 138,400 1,500 Ltd. Trican Well Service Common Shares Trican Well Service Ltd. 1 2019-06-27 38 1.197 183,400 45,000 Ltd. Trican Well Service Common Shares Trican Well Service Ltd. 1 2019-06-28 38 1.1797 203,400 20,000 Ltd. Trican Well Service Common Shares Trican Well Service Ltd. 1 2019-06-28 38 65,000 -138,400 Ltd.
July 18, 2019 (2019), 42 OSCB 6258
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Tricon Capital Group Deferred Share Douglas, Camille 4 2019-07-09 46 10.18 5,006 1,842 Inc. Units Tricon Capital Group Deferred Share Gluskin, Ira 4 2019-07-09 46 10.18 25,769 2,456 Inc. Units Tricon Capital Group Deferred Share KNOWLTON, JOHN 4 2019-07-09 46 10.18 23,392 1,842 Inc. Units MICHAEL ARTHUR Tricon Capital Group Deferred Share Matthews, Sian Margaret 4 2019-07-09 46 10.18 35,978 2,210 Inc. Units Tricon Capital Group Deferred Share Sacks, Peter 4 2019-07-09 46 10.18 11,921 1,842 Inc. Units Tricon Capital Group Deferred Share Sherren, Tracy 4 2019-06-11 00 Inc. Units Tricon Capital Group Deferred Share Sherren, Tracy 4 2019-07-09 46 10.18 409 409 Inc. Units Trilogy International Common Shares Davies, Andrew Michael 7 2019-07-04 57 20,895 7,965 Partners Inc.
Trilogy International Rights (Restricted Davies, Andrew Michael 7 2019-07-04 57 8,927 -7,965 Partners Inc. Share Units) Troilus Gold Corp. Common Shares Olesinski, Thomas 4 2019-07-11 10 0.75 95,416 40,000 (formerly Pitchblack Resources Ltd.) Tucows Inc. Common Shares Investmentaktiengesellschaft 3 2019-07-08 10 62.021 1,279,733 22,957 f³r langfristige Investoren TGV Uniserve Common Shares Scholz, Michael Curt 4 2019-07-05 10 0.1 854,747 108,000 Communications Corporation Uniserve Common Shares Scholz, Michael Curt 4 2019-07-08 10 0.1 906,247 51,500 Communications Corporation Ur-Energy Inc. Common Shares Klenda, Jeffrey T. 5 2019-07-05 47 0.908 12,500 Ur-Energy Inc. Common Shares Klenda, Jeffrey T. 5 2019-07-05 47 0.908 12,500 Ur-Energy Inc. Common Shares Klenda, Jeffrey T. 5 2019-07-05 47 0.908 2,740,513 -12,500 Urbanimmersive Inc. Common Shares Caisse de dÚp¶t et 3 2018-07-30 00 placement du QuÚbec Urbanimmersive Inc. Common Shares Caisse de dÚp¶t et 3 2019-01-03 97 427,777 427,777 placement du QuÚbec Urbanimmersive Inc. Common Shares Caisse de dÚp¶t et 3 2019-06-27 97 1,070,634 642,857 placement du QuÚbec Urbanimmersive Inc. Common Shares Pinstein, Alan 3 2019-07-08 97 0.07 1,031,520 696,427 Valener Inc. UnitÚs d'action Gervais, Franþois 4 2019-07-04 56 25.94 1,736 205 diffÚrÚes (UAD) Valener Inc. UnitÚs d'action Klees, Gwen 4 2019-07-04 56 25.94 4,997 598 diffÚrÚes (UAD) Vanadium One Iron Common Shares Brennan, Mark Peter 4 2019-07-10 10 0.9 1,400,500 173,000 Corp. Vapen MJ Ventures Options Offenberger, Eric Jay 5 2019-07-01 00 260,000 Corporation Vapen MJ Ventures Subordinate Voting Offenberger, Eric Jay 5 2019-07-01 00 90,541 Corporation Shares Victoria Gold Corp. Common Shares Harvey, T. Sean 4 2019-07-11 10 0.39 3,900,000 700,000 Victoria Gold Corp. Common Shares Orion Mine Finance 3 2019-07-09 11 0.455 388,554,360 70,400,000 Management II Limited Vigil Health Solutions Common Shares PEET, GREGORY 4 2019-06-24 10 0.3 3,309,450 15,000 Inc. Vigil Health Solutions Common Shares Vigil Health Solutions Inc. 1 2019-06-04 38 0.3 6,000 6,000 Inc. Vigil Health Solutions Common Shares Vigil Health Solutions Inc. 1 2019-06-12 38 0.3 17,000 11,000 Inc. Vigil Health Solutions Common Shares Vigil Health Solutions Inc. 1 2019-06-18 38 0.3 18,000 1,000 Inc. Vigil Health Solutions Common Shares Vigil Health Solutions Inc. 1 2019-06-19 38 0.276 76,500 58,500 Inc. Vigil Health Solutions Common Shares Vigil Health Solutions Inc. 1 2019-06-20 38 0.3 78,000 1,500 Inc. Vigil Health Solutions Common Shares Vigil Health Solutions Inc. 1 2019-06-21 38 0.3 93,500 15,500 Inc. Vigil Health Solutions Common Shares Vigil Health Solutions Inc. 1 2019-06-25 38 0.3 113,500 20,000 Inc. Vigil Health Solutions Common Shares Vigil Health Solutions Inc. 1 2019-06-26 38 0 -113,500 Inc.
July 18, 2019 (2019), 42 OSCB 6259
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Voleo Trading Common Shares Wilson, Glen Patrick 4 2019-07-08 10 0.135 2,956,683 3,000 Systems Inc. Voleo Trading Common Shares Wilson, Glen Patrick 4 2019-07-08 10 0.13 2,963,683 7,000 Systems Inc. Voleo Trading Common Shares Wilson, Glen Patrick 4 2019-07-09 10 0.125 2,968,683 5,000 Systems Inc. Voleo Trading Common Shares Wilson, Glen Patrick 4 2019-07-12 10 0.135 2,973,683 5,000 Systems Inc. Wallbridge Mining Rights DSU Day, Shawn 4 2019-07-08 56 0.354 232,511 7,062 Company Limited Wallbridge Mining Rights DSU Farsangi, Parviz 4 2019-07-08 56 0.354 1,606,667 15,890 Company Limited Wallbridge Mining Rights DSU HOLMES, WILLIAM 4 2019-07-08 56 0.354 2,489,424 22,952 Company Limited WARREN Wallbridge Mining Rights DSU Pesner, Michael 4 2019-07-08 56 0.354 25,706 15,350 Company Limited Wallbridge Mining Rights DSU Wilkinson, Janet 4 2019-07-08 56 0.354 65,259 15,890 Company Limited Waseco Resources Common Shares Williams, Richard David 4, 5 2019-07-09 11 0.05 3,721,581 100,000 Inc. Waseco Resources Warrants Williams, Richard David 4, 5 2019-07-09 11 100,000 100,000 Inc. Waterloo Brewing Ltd. Common Shares Tabata, Russell Noboru 5 2019-07-04 51 2.29 861,590 10,000 (formerly Brick Brewing Co. Limited) Waterloo Brewing Ltd. Common Shares Tabata, Russell Noboru 5 2019-07-04 51 3.18 871,590 10,000 (formerly Brick Brewing Co. Limited) Waterloo Brewing Ltd. Options Tabata, Russell Noboru 5 2019-07-04 51 826,000 -10,000 (formerly Brick Brewing Co. Limited) Waterloo Brewing Ltd. Options Tabata, Russell Noboru 5 2019-07-04 51 816,000 -10,000 (formerly Brick Brewing Co. Limited) Weekend Unlimited Common Shares Backus, Christopher Craig 4 2019-07-09 30 0.05 250,000 200,000 Inc. Weekend Unlimited Options Backus, Christopher Craig 4 2019-07-09 50 1,975,000 1,900,000 Inc. Weekend Unlimited Warrants Backus, Christopher Craig 4 2019-07-09 53 0.1 344,000 200,000 Inc.
Weekend Unlimited Common Shares Ernst, Kevin 4 2018-11-01 00 Inc. Weekend Unlimited Common Shares Ernst, Kevin 4 2019-07-09 30 0.05 600,000 600,000 Inc. Weekend Unlimited Warrants Ernst, Kevin 4 2018-11-01 00 Inc. Weekend Unlimited Warrants Ernst, Kevin 4 2019-07-09 53 0.1 600,000 600,000 Inc. Weekend Unlimited Common Shares Keane, Brian D. 4 2019-07-09 30 0.05 650,000 600,000 Inc. Weekend Unlimited Warrants Keane, Brian D. 4 2018-04-18 00 Inc. Weekend Unlimited Warrants Keane, Brian D. 4 2019-07-09 53 0.1 600,000 600,000 Inc. WELL Health Common Shares Kumar, Arjun 5 2019-07-01 00 Technologies Corp. WELL Health Common Shares Kumar, Arjun 5 2019-07-01 10 0.705 2,836,879 2,836,879 Technologies Corp. West Kirkland Mining Options Falcon, Kevin Matthew 4 2019-07-08 52 0.15 1,550,000 -750,000 Inc. West Kirkland Mining Options Hallam, Frank 5 2019-07-08 52 0.15 2,450,000 -900,000 Inc. West Kirkland Mining Options Jones, R. Michael 4 2019-07-08 52 0.15 2,900,000 -1,200,000 Inc. West Kirkland Mining Options Lebel, Pierre 4 2019-06-24 52 0.15 1,550,000 -750,000 Inc. West Kirkland Mining Options McVey, Sandy 5 2019-07-08 52 0.15 1,250,000 -300,000 Inc. Western Forest Deferred Share Arthurs, James Douglas 4 2019-07-05 56 1.64 65,941 8,765 Products Inc. Units (Cash Settled)
July 18, 2019 (2019), 42 OSCB 6260
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings Western Forest Deferred Share Bird, Jane Marie 4 2019-07-05 56 1.64 135,050 13,148 Products Inc. Units (Cash Settled) Western Forest Deferred Share Waites, Michael T. 4 2019-07-05 56 1.64 250,617 29,472 Products Inc. Units (Cash Settled) Westleaf Inc. Units Rights Radostits, John 4 2019-01-30 00 84,746 Restricted Share Units Willow Biosciences Common Shares Peters, Trevor Anthony 4, 5 2019-07-02 10 1.15 70,144,542 10,000 Inc. Willow Biosciences Common Shares Peters, Trevor Anthony 4, 5 2019-07-04 10 1.16 70,146,542 2,000 Inc. Willow Biosciences Common Shares Peters, Trevor Anthony 4, 5 2019-07-04 10 1.17 70,161,542 15,000 Inc. Willow Biosciences Common Shares Peters, Trevor Anthony 4, 5 2019-07-04 10 1.18 70,164,542 3,000 Inc. Willow Biosciences Common Shares Peters, Trevor Anthony 4, 5 2019-07-09 10 1 70,189,542 25,000 Inc. Willow Biosciences Common Shares Peters, Trevor Anthony 4, 5 2019-07-10 10 0.9 70,194,542 5,000 Inc. Willow Biosciences Common Shares Peters, Trevor Anthony 4, 5 2019-07-11 10 0.8 70,204,542 10,000 Inc. Willow Biosciences Common Shares Peters, Trevor Anthony 4, 5 2019-07-11 10 0.83 70,209,542 5,000 Inc. Willow Biosciences Common Shares Peters, Trevor Anthony 4, 5 2019-07-11 10 0.84 70,214,542 5,000 Inc. Winston Gold Corp. Common Shares Carrabba, Joe 3 2019-07-09 10 0.0345 21,874,817 5,000 (formerly Winston Gold Mining Corp.) Winston Gold Corp. Common Shares Carrabba, Joe 3 2019-07-09 10 0.0346 21,879,817 5,000 (formerly Winston Gold Mining Corp.) Winston Gold Corp. Common Shares Carrabba, Joe 3 2019-07-09 10 0.0347 21,892,817 13,000 (formerly Winston Gold Mining Corp.) Winston Gold Corp. Common Shares Carrabba, Joe 3 2019-07-11 10 0.0393 21,942,817 50,000 (formerly Winston Gold Mining Corp.) Winston Gold Corp. Common Shares Carrabba, Joe 3 2019-07-12 10 0.0385 21,992,817 50,000 (formerly Winston Gold Mining Corp.) Wow Unlimited Media Common Shares Chakravarti, Indranil 5 2019-07-10 10 0.72 591,100 30,000 Inc. (formerly, Voting Rainmaker Entertainment Inc.) Wow Unlimited Media Common Shares Graham, Craig Lawrence 4, 5 2010-06-01 00 Inc. (formerly, Voting Rainmaker Entertainment Inc.) Wow Unlimited Media Common Shares Graham, Craig Lawrence 4, 5 2019-07-08 10 0.75 100,000 100,000 Inc. (formerly, Voting Rainmaker Entertainment Inc.) Wow Unlimited Media Common Shares Hirsh, Michael 4 2016-12-15 00 Inc. (formerly, Voting Rainmaker Entertainment Inc.) Wow Unlimited Media Common Shares Hirsh, Michael 4 2019-07-05 10 0.75 100,000 100,000 Inc. (formerly, Voting Rainmaker Entertainment Inc.) Xebec Adsorption Inc. Common Shares Sorschak, Kurt 3, 4, 5 2019-07-08 10 1.55 3,555,296 -55,900 Xebec Adsorption Inc. Common Shares Sorschak, Kurt 3, 4, 5 2019-07-08 10 1.54 3,524,196 -31,100 Xebec Adsorption Inc. Common Shares Sorschak, Kurt 3, 4, 5 2019-07-08 10 1.565 3,523,996 -200 Xebec Adsorption Inc. Common Shares Sorschak, Kurt 3, 4, 5 2019-07-08 10 1.545 3,521,096 -2,900 Xebec Adsorption Inc. Common Shares Sorschak, Kurt 3, 4, 5 2019-07-08 10 1.535 3,504,096 -17,000 Xebec Adsorption Inc. Common Shares Sorschak, Kurt 3, 4, 5 2019-07-08 10 1.53 3,471,096 -33,000 Xebec Adsorption Inc. Common Shares Sorschak, Kurt 3, 4, 5 2019-07-08 10 1.56 2,611,196 -859,900 XPhyto Therapeutics Common Shares Rogers, Hugh 4 2017-12-17 00 525,000 Corp. (formerly, CannaBunker Development Corp.)
July 18, 2019 (2019), 42 OSCB 6261
Insider Reporting
Issuer Name Security Insider Name Rel'n Transaction T/O Unit Date/Month Acquired/ Date Price End Disposed Holdings
XPhyto Therapeutics Options Rogers, Hugh 4 2017-12-17 00 65,000 Corp. (formerly, CannaBunker Development Corp.) XPhyto Therapeutics Warrants Rogers, Hugh 4 2017-12-17 00 25,000 Corp. (formerly, CannaBunker Development Corp.) Yangarra Resources Common Shares Evaskevich, James Grant 4, 5 2019-07-09 10 1.88 2,537,118 10,000 Ltd. Yangarra Resources Common Shares Gill, Gurdeep Singh 5 2019-07-09 10 1.88 301,721 10,000 Ltd. Zargon Oil & Gas Ltd. Common Shares Doetzel, Randolph John 5 2019-07-10 10 0.35 14,030 -5,500 Zargon Oil & Gas Ltd. Common Shares Doetzel, Randolph John 5 2019-07-11 10 0.35 10,030 -4,000 Zymeworks Inc. Common Shares Hausman, Diana 5 2019-07-08 30 12.49 3,019 520 Zymeworks Inc. Common Shares Klompas, Neil 5 2019-07-08 30 12.49 8,441 464 Zymeworks Inc. Common Shares Polverino, Anthony John 5 2019-07-08 30 12.49 1,120 1,120
July 18, 2019 (2019), 42 OSCB 6262
Chapter 11
IPOs, New Issues and Secondary Financings
INVESTMENT FUNDS Issuer Name: Issuer Name: CI First Asset U.S. Tactical Sector Allocation Index ETF SmartBe Global Value Momentum Trend Index ETF Principal Regulator - Ontario Principal Regulator - Alberta (ASC) Type and Date: Type and Date: Amendment #1 to Final Long Form Prospectus dated July Amendment #1 to Final Long Form Prospectus dated July 10, 2019 12, 2019 Received on July 10, 2019 Received on July 15, 2019 Offering Price and Description: Offering Price and Description: - - Underwriter(s) or Distributor(s): Underwriter(s) or Distributor(s): N/A N/A Promoter(s): Promoter(s): N/A SmartBe Wealth Inc. Project #2887249 Project #2853464
______Issuer Name: Issuer Name: Counsel Canadian Growth Desjardins Global Total Return Bond Fund (formerly Principal Regulator - Ontario Desjardins Global Inflation Linked Bond Fund) Type and Date: Chorus II Conservative Low Volatility Portfolio Amendment #3 to Final Simplified Prospectus dated July Chorus II Moderate Low Volatility Portfolio 12, 2019 Chorus II Balanced Low Volatility Portfolio Received on July 12, 2019 Principal Regulator - Quebec Offering Price and Description: Type and Date: Series A, F and I securities Amendment #2 to Final Simplified Prospectus dated July 8, Underwriter(s) or Distributor(s): 2019 N/A NP 11-202 Receipt dated July 10, 2019 Promoter(s): Offering Price and Description: N/A - Project #2818942 Underwriter(s) or Distributor(s): N/A ______Promoter(s): Issuer Name: N/A iShares S&P Global Consumer Discretionary Index ETF Project #2870473 (CAD-Hedged) Principal Regulator - Ontario ______Type and Date: Issuer Name: Amendment #1 to Final Long Form Prospectus dated July CI First Asset U.S. Tactical Sector Allocation Index ETF 11, 2019 Principal Regulator - Ontario Received on July 11, 2019 Type and Date: Offering Price and Description: Amendment #1 to Final Long Form Prospectus dated July - 10, 2019 Underwriter(s) or Distributor(s): NP 11-202 Receipt dated July 11, 2019 BlackRock Asset Management Canada Limited Offering Price and Description: Promoter(s): - N/A Underwriter(s) or Distributor(s): Project #2878215 N/A Promoter(s): ______N/A Project #2887249
______
July 18, 2019 (2019), 42 OSCB 6263
IPOs, New Issues and Secondary Financings
Issuer Name: Issuer Name: Counsel Canadian Growth Lorica Canadian Fixed Income Fund (formerly Marquest Principal Regulator - Ontario Canadian Fixed Income Fund) Type and Date: Principal Regulator – Ontario Amendment #3 to Final Simplified Prospectus dated July Type and Date: 12, 2019 Preliminary Simplified Prospectus dated Jul 11, 2019 NP 11-202 Receipt dated July 15, 2019 NP 11-202 Preliminary Receipt dated Jul 12, 2019 Offering Price and Description: Offering Price and Description: Series A, F and I securities Class A Units, Class F Units Underwriter(s) or Distributor(s): Underwriter(s) or Distributor(s): N/A N/A Promoter(s): Promoter(s): N/A N/A Project #2818942 Project #2937978
______Issuer Name: Issuer Name: Purpose Emerging Markets Dividend Fund BMO Private U.S. Equity Portfolio Principal Regulator - Ontario Principal Regulator – Ontario\ Type and Date: Type and Date: Amendment #4 to Final Simplified Prospectus dated June Amendment #1 to Final Simplified Prospectus dated July 5, 25, 2019 2019 NP 11-202 Receipt dated July 9, 2019 NP 11-202 Final Receipt dated Jul 10, 2019 Offering Price and Description: Offering Price and Description: - Units Underwriter(s) or Distributor(s): Underwriter(s) or Distributor(s): N/A N/A Promoter(s): Promoter(s): Purpose Investments Inc. N/A Project #2823273 Project #2898245
______Issuer Name: Issuer Name: Dynamic Credit Absolute Return II Fund Purpose Credit Opportunities Fund Principal Regulator – Ontario Principal Regulator – Ontario Type and Date: Type and Date: Preliminary Simplified Prospectus dated Jul 9, 2019 Preliminary Simplified Prospectus dated Jul 11, 2019 NP 11-202 Preliminary Receipt dated Jul 9, 2019 NP 11-202 Preliminary Receipt dated Jul 11, 2019 Offering Price and Description: Offering Price and Description: Series A Units, Series O Units, Series F Units Series A units, Series I units, Series F units Underwriter(s) or Distributor(s): Underwriter(s) or Distributor(s): N/A N/A Promoter(s): Promoter(s): N/A N/A Project #2939057 Project #2939848
______
July 18, 2019 (2019), 42 OSCB 6264
IPOs, New Issues and Secondary Financings
Issuer Name: Phillips, Hager & North High Yield Bond Fund Principal Regulator – Ontario Type and Date: Amendment #1 to Final Simplified Prospectus dated July 10, 2019 NP 11-202 Final Receipt dated Jul 11, 2019 Offering Price and Description: Series A units, Series D units, Series O units, Series I units, Advisor Series, Series FT5 units, Series F units, Series T5 units, Series H units Underwriter(s) or Distributor(s): N/A Promoter(s): N/A Project #2917644
______
July 18, 2019 (2019), 42 OSCB 6265
IPOs, New Issues and Secondary Financings
NON-INVESTMENT FUNDS
Issuer Name: Issuer Name: Brookfield Renewable Partners L.P. Evergold Corp. Principal Regulator - Ontario Principal Regulator - Ontario Type and Date: Type and Date: Preliminary Shelf Prospectus dated July 9, 2019 Preliminary Long Form Prospectus dated July 8, 2019 NP 11-202 Preliminary Receipt dated July 10, 2019 NP 11-202 Preliminary Receipt dated July 11, 2019 Offering Price and Description: Offering Price and Description: Limited Partnership Units Minimum Public Offering of 12,500,000 Offered Units for Preferred Limited Partnership Units Gross Proceeds of $2,500,000.00 US$2,000,000,000.00 Maximum Public Offering of 15,000,000 Offered Units for Underwriter(s) or Distributor(s): Gross Proceeds of $3,000,000.00 - Price: C$0.20 per Unit Promoter(s): Underwriter(s) or Distributor(s): - Leede Jones Gable Inc. Project #2939282 Promoter(s): Kevin M. Keough ______Charles J. Greig Issuer Name: Project #2939482 Brookfield Renewable Partners ULC Principal Regulator - Ontario ______Type and Date: Issuer Name: Preliminary Shelf Prospectus dated July 9, 2019 Hemp for Health Inc. NP 11-202 Preliminary Receipt dated July 10, 2019 Principal Regulator - British Columbia Offering Price and Description: Type and Date: Debt Securities Preliminary Long Form Prospectus dated July 11, 2019 US$2,000,000,000.00 NP 11-202 Preliminary Receipt dated July 15, 2019 Underwriter(s) or Distributor(s): Offering Price and Description: - No securities are being offered pursuant to this prospectus Promoter(s): (the “Prospectus”). - Underwriter(s) or Distributor(s): Project #2939283 - Promoter(s): ______ROBERT EADIE Issuer Name: GARY ARCA Brookfield Renewable Power Preferred Equity Inc. Project #2940270 Principal Regulator - Ontario Type and Date: ______Preliminary Shelf Prospectus dated July 9, 2019 Issuer Name: NP 11-202 Preliminary Receipt dated July 10, 2019 HeyBryan Media Inc. Offering Price and Description: Principal Regulator - British Columbia Class A Preference Shares Type and Date: US$2,000,000,000.00 Amendment dated July 11, 2019 to Preliminary Long Form Underwriter(s) or Distributor(s): Prospectus dated April 12, 2019 - NP 11-202 Preliminary Receipt dated July 15, 2019 Promoter(s): Offering Price and Description: - Up to $3,000,000.00 Project #2939284 Maximum 10,000,000 Units, $3,000,000.00 Minimum 8,000,000 Units, $2,400,000.00 ______Price: C$0.30 per Unit Underwriter(s) or Distributor(s): LEEDE JONES GABLE INC. Promoter(s): LANCE MONTGOMERY PENNY GREEN Project #2901700
______
July 18, 2019 (2019), 42 OSCB 6266
IPOs, New Issues and Secondary Financings
Issuer Name: Issuer Name: TELUS Corporation Toronto Hydro Corporation Principal Regulator - British Columbia Principal Regulator - Ontario Type and Date: Type and Date: Preliminary Shelf Prospectus dated July 11, 2019 Preliminary Shelf Prospectus dated July 11, 2019 NP 11-202 Preliminary Receipt dated July 11, 2019 NP 11-202 Preliminary Receipt dated July 11, 2019 Offering Price and Description: Offering Price and Description: $3,000,000,000.00 - Debt Securities, Preferred Shares, $1,000,000,000.00 DEBENTURES Common Shares, Warrants to Purchase Equity Securities, (unsecured) Warrants to Purchase Debt Securities, Share Purchase Underwriter(s) or Distributor(s): Contracts, Share Purchase or Equity Units, Subscription BMO NESBITT BURNS INC. Receipts CIBC WORLD MARKETS INC. Underwriter(s) or Distributor(s): NATIONAL BANK FINANCIAL INC. - RBC DOMINION SECURITIES INC. Promoter(s): SCOTIA CAPITAL INC. - TD SECURITIES INC. Project #2939780 Promoter(s): - ______Project #2939739 Issuer Name: The Flowr Corporation (formerly The Needle Capital Corp.) ______Principal Regulator - Ontario Issuer Name: Type and Date: Avicanna Inc. Amendment dated July 12, 2019 to Preliminary Short Form Principal Regulator - Ontario Prospectus dated June 24, 2019 Type and Date: NP 11-202 Preliminary Receipt dated July 12, 2019 Final Long Form Prospectus dated July 8, 2019 Offering Price and Description: NP 11-202 Receipt dated July 10, 2019 $125,000,000.00 Offering Price and Description: [*] Common Shares 2,228,328 Common Shares and 1,114,164 Warrants Price: C$[*.**] per Offered Share issuable without payment Underwriter(s) or Distributor(s): upon the conversion of 2,228,328 Special Warrants Barclays Capital Canada Inc. Total: $17,826,624.00. Price per Warrant - $8.00 BMO Nesbitt Burns Inc. Underwriter(s) or Distributor(s): Credit Suisse Securities (Canada), Inc. Sprott Capital Partners LP by its general partner, Sprott AltaCorp Capital Inc. Capital Partners GP Inc. Clarus Securities Inc. Paradigm Capital Inc. Sprott Capital Partners LP Promoter(s): Promoter(s): Aras Azadian Thomas Flow Kyle Langstaff Steven Klein Setu Purohit Project #2933259 Project #2863765
______Issuer Name: Converge Technology Solutions Corp. Principal Regulator - Ontario Type and Date: Final Shelf Prospectus dated July 8, 2019 NP 11-202 Receipt dated July 12, 2019 Offering Price and Description: $500,000,000.00 - Common Shares, Debt Securities, Subscription Receipts, Warrants, Units Underwriter(s) or Distributor(s): - Promoter(s): - Project #2903376
______
July 18, 2019 (2019), 42 OSCB 6267
IPOs, New Issues and Secondary Financings
Issuer Name: Issuer Name: Enbridge Gas Inc. VALEO PHARMA INC. Principal Regulator - Ontario Principal Regulator - Quebec Type and Date: Type and Date: Final Shelf Prospectus dated July 11, 2019 Final Short Form Prospectus dated July 11, 2019 NP 11-202 Receipt dated July 12, 2019 NP 11-202 Receipt dated July 12, 2019 Offering Price and Description: Offering Price and Description: $2,000,000,000.00 - MEDIUM TERM NOTES $2,000,000.00 (Minimum Offering) $8,000,000.00 (UNSECURED) (Maximum Offering) Underwriter(s) or Distributor(s): Minimum of 4,000,000 Units Maximum of 16,000,000 Units - Price: $0.50 per Unit Promoter(s): - Underwriter(s) or Distributor(s): Project #2935539 MACKIE RESEARCH CAPITAL CORPORATION ECHELON WEALTH PARTNERS INC. ______Promoter(s): Issuer Name: MANITEX CAPITAL INC. LL One Inc. Project #2908717 Principal Regulator - Ontario Type and Date: ______Final CPC Prospectus dated July 5, 2019 NP 11-202 Receipt dated July 9, 2019 Offering Price and Description: Offering: Minimum of $375,000.00 and up to $420,000.00 Minimum of 3,750,000 Common Shares and up to 4,200,000 Price: $0.10 per Common Share Underwriter(s) or Distributor(s): Haywood Securities Inc. Promoter(s): - Project #2879806
______Issuer Name: Subversive Capital Acquisition Corp. Principal Regulator - Ontario Type and Date: Final Long Form Prospectus dated July 10, 2019 NP 11-202 Receipt dated July 10, 2019 Offering Price and Description: U.S.$500,000,000 - 50,000,000 Class A Restricted Voting Units Underwriter(s) or Distributor(s): CANACCORD GENUITY CORP. Promoter(s): SUBVERSIVE CAPITAL SPONSOR LLC Project #2931921
______
July 18, 2019 (2019), 42 OSCB 6268
Chapter 12
Registrations
12.1.1 Registrants
Type Company Category of Registration Effective Date
From: Portfolio Manager and Commodity Trading Manager Change in Registration Brookfield Public Securities July 10, 2019 Category Group LLC To: Investment Fund Manager, Portfolio Manager and Commodity Trading Manager
Portfolio Manager and New Registration Sharno Capital Corporation July 9, 2019 Exempt Market Dealer
From: Exempt Market Dealer, Portfolio Manager and Investment Fund Manager Change in Registration Trans-Canada Capital Inc. July 15, 2019 Category To: Exempt Market Dealer, Portfolio Manager, Investment Fund Manager and Commodity Trading Manager
July 18, 2019 (2019), 42 OSCB 6269
Registrations
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July 18, 2019 (2019), 42 OSCB 6270
Chapter 13
SROs, Marketplaces, Clearing Agencies and Trade Repositories
13.2 Marketplaces 13.3 Clearing Agencies
13.2.1 Nasdaq CXC Limited – Introduction of Point-In- 13.3.1 CDS Clearing and Depository Services Inc. – Time Closing Cross – Notice of Approval Proposed Material Amendments to CDS Rules – China Bond Link – Notice of Withdrawal
NASDAQ CXC LIMITED CDS CLEARING AND DEPOSITORY SERVICES INC.
NOTICE OF APPROVAL PROPOSED MATERIAL AMENDMENTS TO CDS RULES
INTRODUCTION OF POINT-IN-TIME CLOSING CROSS CHINA BOND LINK
In accordance with the requirements set out in the Process NOTICE OF WITHDRAWAL for the Review and Approval of Rules and the Information Contained in Form 21-101F1 and the Exhibits Thereto In accordance with the provisions of the rule protocol (Exchange Protocol), on July 11th, 2019, the Commission between the Ontario Securities Commission (“OSC”) and approved significant changes to Form 21-101F1 for Nasdaq CDS Clearing and Depository Services Inc. (“CDS®”), and CXC Limited (Nasdaq Canada) reflecting the introduction of pursuant to request from CDS’s principal regulators, CDS the Point-In-Time Closing Cross (Closing Cross) for the hereby officially withdraws the Notice and Request for Nasdaq Fixed Income trading system. Comments regarding proposed amendments to the CDS Rules related to the implementation of the China Bond Link. Nasdaq Canada’s Notice and Request for Comment on the The Notice and Request for Comments was submitted for proposed Closing Cross was published on the regulatory review on October 12, 2018, and published on Commission’s website and in the Commission’s Bulletin on October 18, 2018. June 13, 2019 at (2019) 42 OSCB 5415. No comment letters were received. CDS may re-submit the foregoing Notice and Request for Comments for re-publication, and further regulatory review, The Closing Cross is expected to become effective in the at such time as the proposed China Bond Link regains fourth quarter of 2019. momentum.
Tony Hoffmann Senior Legal Counsel CDS Clearing and Depository Services Inc.
July 18, 2019 (2019), 42 OSCB 6271
SROs, Marketplaces, Clearing Agencies and Trade Repositories
13.3.2 CDS Clearing and Depository Services Inc. – Proposed Material Amendments to CDS Fee Schedule – China Bond Link – Notice of Withdrawal
CDS CLEARING AND DEPOSITORY SERVICES INC.
PROPOSED MATERIAL AMENDMENTS TO CDS FEE SCHEDULE
CHINA BOND LINK
NOTICE OF WITHDRAWAL
In accordance with the provisions of the rule protocol between the Ontario Securities Commission (“OSC”) and CDS Clearing and Depository Services Inc. (“CDS®”), and pursuant to request from CDS’s principal regulators, CDS hereby officially withdraws its submission of proposed amendments to the CDS Fee Schedule related to the implementation of the China Bond Link. The Notice and Request for Comments was submitted for regulatory review on October 19, 2018, and published on November 1, 2018.
CDS may re-submit the foregoing submission for re- publication, and further regulatory review, at such time as the proposed China Bond Link regains momentum.
Tony Hoffmann Senior Legal Counsel CDS Clearing and Depository Services Inc.
July 18, 2019 (2019), 42 OSCB 6272
Chapter 25
Other Information
25.1 Applications for Variation of an Order
25.1.1 Martin Bernholtz – s. 144
File No.: 2018-16
IN THE MATTER OF MARTIN BERNHOLTZ
APPLICATION OF MARTIN BERNHOLTZ (For Variation of an Order Under Section 144 of the Securities Act, RSO 1990, c. S.5)
A. ORDER SOUGHT
The Applicant, Martin Bernholtz, request(s) that the Ontario Securities Commission make the following order(s):
1. an Order varying the order made in this matter dated May 21, 2019 to permit various transfers of securities from Martin Bernholtz, or companies under his control, to his son, David Bernholtz, to be completed.
B. GROUNDS
The grounds for the request are:
1. Pursuant to the order dated May 21, 2019, Martin Bernholtz was subject to a cease trade order as of July 5, 2019;
2. Weeks prior to July 5, 2019, Mr. Bernholtz had been advised by a registrant that various transfers of shares from him to his son could be carried out prior to July 5, 2019. On or about July 3, 2019, Mr. Bernholtz was advised by that registrant that the transfers could not be carried out. Mr. Bernholtz proceeded to have another registrant assist with the transfer of the shares to his son as of July 3, 2019;
3. A large number of the shares to be transferred have stock certificates that are stale dated and have changed their name and consolidated the number of shares. The second registrant submitted these through to the transfer agent to reflect the current name and shareholdings. The transfer agents of these securities could not complete them by July 4, 2019;
4. In addition, Martin Bernholtz had requested the transfer of various shares in his online brokerage account to his son. For some unknown reason, these transfers did not go through and Mr. Bernholtz was advised to resubmit the request for transfer;
5. It is likely that while these transfers complete, some further input or action from Martin Bernholtz will be required;
6. Staff have been advised of the details above, including the names of the registrants and the account numbers for Martin Bernholtz and his son and Staff have advised that they are prepared to consent to the requested order.
C. EVIDENCE
The Applicant(s) intend(s) to rely on the following evidence at the hearing:
1. Draft order consented to by Staff, attached.
DATED this 8th day of July, 2019
July 18, 2019 (2019), 42 OSCB 6273
Other Information
GROIA & COMPANY Professional Corporation ■ Lawyers 365 Bay Street, Suite 1100 Toronto, ON M5H 2V1 Fax: (416) 203-9231
Kevin Richard Tel: (416) 203-4485
Lawyers for the Respondent
TO: THE ONTARIO SECURITIES COMMISSION PO Box 55, 19th Floor 20 Queen Street West Toronto, ON M5H 3S8 Fax: (416) 593-2319
Matthew Britton
July 18, 2019 (2019), 42 OSCB 6274
Index
0985812 B.C. Ltd. Companion Policy 13-502CP Fees Notices of Hearing with Related Statements of Notice ...... 6097 Allegations – ss. 127(1), 127(10) ...... 6099 Rules and Policies ...... 6164 Notice from the Office of the Secretary ...... 6110 Companion Policy 13-503CP (Commodity Futures Act) 8022275 Canada Inc. Fees Notices of Hearing with Related Statements of Notice ...... 6097 Allegations – ss. 127(1), 127(10) ...... 6099 Rules and Policies ...... 6166 Notice from the Office of the Secretary ...... 6110 El-Bouji, Issam Bernholtz, Martin Notice from the Office of the Secretary ...... 6110 Notice of Hearing – s. 144...... 6098 Order ...... 6139 Notice from the Office of the Secretary ...... 6107 Notice from the Office of the Secretary ...... 1.4.5 Fakhry, Frank Order – s. 144 ...... 6131 Notice from the Office of the Secretary ...... 6109 Application for Variation of an Order – s. 144 ...... 6109 Decision ...... 6138
Braun Developments (B.C.) Ltd., Fassman, Steven Notices of Hearing with Related Statements of Notices of Hearing with Related Statements of Allegations – ss. 127(1), 127(10) ...... 6099 Allegations – ss. 127(1), 127(10) ...... 6099 Notice from the Office of the Secretary ...... 6110 Notice from the Office of the Secretary ...... 6110
Braun, Alan Fielding, John Notices of Hearing with Related Statements of Notice from the Office of the Secretary ...... 6109 Allegations – ss. 127(1), 127(10) ...... 6099 Decision ...... 6138 Notice from the Office of the Secretary ...... 6110 Gestion FÉRIQUE Braun, Jerry Decision ...... 6127 Notices of Hearing with Related Statements of Allegations – ss. 127(1), 127(10) ...... 6099 Goss, Donald Alexander (Sandy) Notice from the Office of the Secretary ...... 6110 Notice from the Office of the Secretary ...... 6109 Decision ...... 6138 Brookfield Public Securities Group LLC Change in Registration Category ...... 6269 IA Clarington Investments Inc. Decision ...... 6111 Caldwell Investment Management Ltd. Notice of Hearing – ss. 127(1), 127(2), and 127.1 .... 6098 iAnthus Capital Holdings, Inc. Notice from the Office of the Secretary ...... 6108 Decision ...... 6113
Callitas Health Inc. Kitmitto, Majd Cease Trading Order ...... 6161 Notice from the Office of the Secretary ...... 6109 Decision ...... 6138 Candusso, Christopher Notice from the Office of the Secretary ...... 6109 Mackenzie Anti-Benchmark Global Investment Grade Decision ...... 6138 Fund Decision ...... 6116 Candusso, Claudio Notice from the Office of the Secretary ...... 6109 Mackenzie Financial Corporation Decision ...... 6138 Decision ...... 6116
CDS Clearing and Depository Services Inc. Mackenzie Financial Corporation Clearing Agencies – Proposed Material Decision ...... 6119 Amendments to CDS Rules – China Bond Link – Notice of Withdrawal ...... 6271 Maxwell, Steven Clearing Agencies – Proposed Material Notices of Hearing with Related Statements of Amendments to CDS Fee Schedule – China Bond Allegations – ss. 127(1), 127(10) ...... 6099 Link – Notice of Withdrawal ...... 6272 Notice from the Office of the Secretary ...... 6110
July 18, 2019 (2019), 42 OSCB 6275
Index
Nasdaq CXC Limited Marketplaces – Introduction of Point-In-Time Closing Cross – Notice of Approval ...... 6271
OSC Rule 13-502 Fees Notice ...... 6097 Rules and Policies ...... 6163
OSC Rule 13-502 Fees Notice ...... 6097 Rules and Policies ...... 6164
OSC Rule 13-503 (Commodity Futures Act) Fees Notice ...... 6097 Rules and Policies ...... 6165
OSC Rule 13-503 (Commodity Futures Act) Fees Notice ...... 6097 Rules and Policies ...... 6166
Peeks Social Ltd. Cease Trading Order ...... 6161
Performance Sports Group Ltd. Cease Trading Order ...... 6161
Quadrus Investment Services Ltd. Decision ...... 6119
Rudensky, Andrew Paul Notice from the Office of the Secretary ...... 6107 Reasons and Decision – s. 21.7 ...... 6141
Sharno Capital Corporation New Registration ...... 6269
Soundvest Split Trust Order ...... 6138
StartMonday Technology Corp. Cease Trading Order ...... 6161
Terracorp Investment Ltd. Notices of Hearing with Related Statements of Allegations – ss. 127(1), 127(10) ...... 6099 Notice from the Office of the Secretary ...... 6110
Trans-Canada Capital Inc. Change in Registration Category ...... 6269
TransCanada PipeLines Limited Order ...... 6136
Vannatta, Steven Notice from the Office of the Secretary ...... 6109 Decision ...... 6138
July 18, 2019 (2019), 42 OSCB 6276