NEO Exchange • 155 University Avenue • Suite 400 • Toronto, ON, M5H 3B7 • Canada • +1.416.933.5900 • www.aequitasneo.com
»Create a market where investors can build wealth through their investments, while helping companies raise the capital they need to grow.«
TERRY MACK CINDY PETLOCK JOS SCHMITT ERIK SLOANE JOACIM WIKLANDER
Chief Financial Officer Chief Legal Officer President & CEO Chief Revenue Officer Chief Operating Officer TABLE OF CONTENTS
NEO Exchange SHAREHOLDERS 3 EXCHANGE HISTORY 5 LISTING STANDARS & REQUIREMENTS 11 INITIAL & ONGOING LISTING FEES 13 GOING PUBLICS TIMELINE 17 NEO Exchange COMPOSITION 28 NEO Exchange INVESTORS 32 ACTIVE GOING PUBLICS IPO/PP 34
NEO Exchange Survey presented by Capital Lounge 2 NEO Exchange SHAREHOLDERS
NEO Exchange Survey presented by Capital Lounge 3 NEO Exchange SHAREHOLDERS
BRITISH COLUMBIA OMERS CAPITAL MARKETS BARCLAYS CORP. LTD. ROYAL BANK OF CANADA BCE INC. INVESTMENT MANAGEMENT CORP
MACKENZIE INVESTMENTS INVESCO CANADA LTD. VIRTU FINANCIAL LEEDE JONES GABLE INC. CI INVESTMENTS INC.
VERNON & PARK CAPITAL DAVIS REA LTD.
ITG CANADA AEQUITAS INNOVATIONS IGM FINANCIAL INC.
MAISON PLACEMENTS PSP PUBLIC MARKETS INC. CANADA INC. NEO EXCHANGE
NEO Exchange Survey presented by Capital Lounge 4 EXCHANGE HISTORY
NEO Exchange Survey presented by Capital Lounge 5 EXCHANGE HISTORY
2015-03 Launch of operations of Aequitas NEO Stock Exchange
2015-03 Designated Market Maker Network with Barclays, BBS Securities, BMO Capital Markets, Independent Trading Group, Jitneytrade, National Bank Financial, RBC Capital Markets, TD Securities, W.D. Latimer
2016-01 Launch of Trusted Service Provider Program to curate a group of Advisors and Service Providers
2016-01 NEO Exchange receives first listing application for PowerShares DWA Global Momentum Index ETF organized by Invesco Canada
2016-03 NEO Exchange starts trading its first listed security PowerShares DWA Global Momentum Index ETF
2016-05 NEO Exchange launches Investor Helpline for investment advisors, investors and businesses looking to raise capital
NEO Exchange Survey presented by Capital Lounge 6 EXCHANGE HISTORY
2016-07 Partnership with BMO InvestorLine to enable real-time quotes and direct online trading access to NEO-listed securities by the first bank owned online broker
2016-09 NEO-listed securities available on Globe and Mail with live quotes
2016-11 NEO Exchange wins Business Excellence Award for Innovative Technology by the Toronto Region Board of Trade
2016-12 Scotia iTrade enables real-time quotes and direct online trading access to NEO-listed securities
2017-01 NEO Exchange receives Designated Offshore Securities market status by the United States Securities and Exchange Commission („SEC“)
2017-01 TD Direct Investing makes real-time quotes and online trading available for NEO-listed securities through WebBroker, Advanced Dashboard and the TD App
NEO Exchange Survey presented by Capital Lounge 7 EXCHANGE HISTORY
2017-05 NEO receives Qualified Foreign Exchange Designation by OTC Markets Group
2017-06 NEO Exchange fund distribution platform („NEO Connect“) exceeds the $200 million mark of funds under management transacted on it
2017-10 NEO Exchange joins the Responsible Investment Association („RIA“)
2017-12 Cannabis Strategies Acquistion Corp. is the first Special Purpose Acquisition Corp („SPAC“) to start trading on NEO Exchange
2018-02 National Bank Financial Inc. rolls out Fund Distribution Platform access to NEO Connect
2018-04 Univeris integrates NEO Connect into its wealth management software utilized by 15,800 MFDA advisors, whom collectively represent over $178 BN in assets under administration
NEO Exchange Survey presented by Capital Lounge 8 EXCHANGE HISTORY
2018-06 NEO Connect welcomes Raymond James Ltd., holding over US$ 725 BN in clients assets as a New Dealer
2019-05 NEO Exchange brings retail investor experience to a new level making real-time market data for all NEO-listed securities available across the Yahoo! Finance platform in addition to the Apple Stocks app
2019-07 NEO Connect and Univeris announce that PEAK Investment Services, part of PEAK Financial Group („PEAK“) has become the first mutual fund dealer to offer its advisors direct access to Platform Traded Funds („PTFs“)
2019-08 NEO Exchange becomes the 3rd most active Marketplace in Canada in volume traded, surpassing the Canadian Securities Exchange with 1.8 billion shares having been traded in July 2019
2019-09 Stone Asset Management Limited („SAM“) will utilize the NEO Connect platform to distribute Series PTFTM of the Stone Dividend Growth Class Fund
2019-10 NEO Exchange introduces DealSquare, Canada‘s first centralized platform to simplify privvate placements in Canadam by digitally connecting capital raisers to dealers and their investment advisor networks
NEO Exchange Survey presented by Capital Lounge 9 EXCHANGE HISTORY
2019-10 NEO Connect welcomes AMUR Financial Group („AMUR“) to utilize the NEO Connect platform to distribute its Manchester Investments Mortgage Investment Corporation as a platform traded fundTM („PTFTM“)
2019-11 NEO Connect announces that Antrim Investments („Antrim“) will utilize the NEO Connect platform to distribute the Antrim Mortgage Investments Fund (the „Fund“) as a platform traded fundTM („PTFTM“)
2020-02 Initial Public Offerings on NEO Exchange raised $1.5 billion in 2019. Neo Exchange ranking par with the Toronto Stock Exchange and well ahead of the two Canadian venture exchanges
2020-02 Lendified Holdings Inc. („Lendified“), operating a lending platform for small businesses makes its Private Placement offering available on DealSquare
2020-03 Real-time data for NEO-listed securities and ETFs available on TradingView
2020-04 DealSquare achieves full digitization of private placement process in Canada with Version 2.0
NEO Exchange Survey presented by Capital Lounge 10 LISTING STANDARS & REQUIREMENTS
NEO Exchange Survey presented by Capital Lounge 11 LISTING STANDARDS & REQUIREMENTS
REQUIREMENT EQUITY STANDARD NET INCOME STANDARD MARKET VALUE STANDARD ASSETS & REVENUE
Shareholders‘ Equity 5,000,000 CAD 2,500,000 CAD 2,500,000 CAD -
Market Value of Public Float 10,000,000 CAD 5,000,000 CAD 10,000,000 CAD 5,000,000 CAD
Net Income from Continuing Ops - 750,000 CAD - -
Market Value of Listed Securities - - 50,000,000 CAD -
Operating History 2 years - - -
Assets and Revenue (each) - - - 50,000,000 CAD
Minimum Price per Share 2.00 CAD 2.00 CAD 2.00 CAD 2.00 CAD
Publicly Held Shares 1,000,000 1,000,000 1,000,000 1,000,000
Public Shareholders 300 300 300 300
Analyst / Investor Relations Req Yes Yes Yes Yes
NEO Exchange Survey presented by Capital Lounge 12 INITIAL & ONGOING LISTING FEES
NEO Exchange Survey presented by Capital Lounge 13 INITIAL & ONGOING LISTING FEES
Initial Listing Fees for a Corporate issuer, including a Special Purpose Acquisition Corporation (“SPAC”), are based on the Listing Capitalization, except for a new class or series of securities of an Other Listed Issuer (a supplemental listing), for which a flat rate applies. In the case of a migration or cross-listing of securities listed on another exchange, the initial listing fees may be discounted as set out below.
The Initial Listing Fee is calculated as 0.1% of the Listing Capitalization, subject to a minimum and maximum fee of 50,000 CAD and 150,000 CAD, respectively. If the listing application involves multiple classes or series of Listed Securities, an additional fee of 10,000 CAD for each additional class or series of securities to be listed will apply.
INITIAL FEES INITIAL The submission of the Listing Application must be accompanied by a non-refundable fee of 5,000 CAD plus applicable taxes, which will be applied against the initial listing fee. The NEO Exchange will calculate the total initial listing fee amount and will invoice the applicant for the balance, which is due prior to commencement of trading.
NEO Exchange Survey presented by Capital Lounge 14 INITIAL & ONGOING LISTING FEES
A Listed Issuer must pay an Annual Fee based on the aggregate Market Capitalization of its Listed Securities to maintain its listing(s). The NEO Exchange will issue an invoice each January for the applicable fee, calculated as 0.01% of the aggregate Market Capitalization of its Listed Securities, subject to a minimum and maximum fee of 15,000 CAD and 75,000 CAD, respectively.
The NEO Exchange will apply a 25% Discount to the Annual Fees of any issuer that lists its securities on the NEO Exchange while remaining listed on a regulated exchange or other organized market outside of Canada (Dual Listing).
A Listed Issuer must pay its Annual Fees even if its securities are suspended or halted. Failure to pay annual
fees may result in the delisting of the Listed Issuer’s securities. ANNUAL FEES ANNUAL
NEO Exchange Survey presented by Capital Lounge 15 INITIAL & ONGOING LISTING FEES
Late Notice Fees In addition to any other recourse available to the NEO Exchange, a fee of 250 CAD per calendar day may be charged for the late filing of any notice required to be filed with the NEO Exchange to a maximum of 10,000
CAD. OTHER FEES OTHER
NEO Exchange Survey presented by Capital Lounge 16 GOING PUBLICS TIMELINE
NEO Exchange Survey presented by Capital Lounge 17 GOING PUBLIC TIMELINE
2016-01 Aequitas NEO Exchange Receives Application For First Listing - PowerShares Canada1 has filed a preliminary prospectus with Canadian securities regulators for PowerShares DWA Global Momentum Index ETF, and applied to have the ETF listed on NEO.
2016-03 The NEO Exchange Starts Trading its First Listed Security - Invesco Canada’s PowerShares DWA Global Momentum Index ETF trading under the symbol DWG.
2016-09 BlackRock Canada Intends to Switch the Listing Venue of 5 iShares Funds consisting of 12 ETFs from the TSX to NEO
2017-01 Redwood To Launch Series Of Active Exchange Traded Funds On NEO - wholly owned subsidiary of Purpose Investments Inc. plans to launch four exchange traded funds, consisting of six ETF listings, on NEO.
2017-01 Invesco to Launch New ETFs on NEO - Invesco has applied to list two new PowerShares ETFs and received approval to list two new series of its NEO-listed PowerShares DWA Global Momentum Index ETF (DWG).
2017-02 BMO Asset Management To Launch New ETFs On NEO
NEO Exchange Survey presented by Capital Lounge 18 GOING PUBLIC TIMELINE
2017-04 Mackenzie Investments To Launch Active ETF On NEO. This is the fifth fund in Mackenzie Investment’s series of active fixed income ETFs to be launched on the public markets and the first to be launched on NEO.
2017-05 Redwood Launches New ETF Series of Connected Wealth Funds on NEO
2017-08 New Redwood Emerging Markets ETF Launches on NEO - the new ETF is represented by the ticker REM.
2017-09 RBC Global Asset Management Inc. Launches 7 New ETFs On NEO - with the launch of these new index-tracking ETFs, RBC GAM Inc. becomes the sixth and newest fund provider to list with NEO in 2017.
2017-09 New Invesco ETF Launches on NEO - Invesco received final approval from NEO and Canadian securities regulators to launch the PowerShares 1-10 Year Laddered Investment Grade Corporate Bond Index ETF.
2017-11 Invesco To Migrate Powershares ETF From TSX To NEO - Invesco Canada Ltd. intents to change the listing venue for the PowerShares Ultra Liquid Long Term Government Bond Index ETF (PGL) from the Toronto Stock Exchange to NEO
NEO Exchange Survey presented by Capital Lounge 19 GOING PUBLIC TIMELINE
2017-12 Mackenzie Global Leadership Impact ETF Launches On NEO
2017-12 Purpose Investments and Redwood Asset Management Have Received Conditional Approval to Switch the Listing Venue of Certain Closed-End Funds and Unit-Traded Funds from the TSX to NEO
2017-12 Cannabis Strategies Acquisition Corp. To Begin Trading On NEO - Cannabis Strategies, a newly organized special purpose acquisition corporation, completed an initial public offer of 125,000,000 USD.
2018-01 Purpose and Redwood migrate and launch selected funds on NEO
2018-02 Horizons Launches New Marijuana ETF On NEO - with the launch of the new ETF, represented by the ticker HMJR, Horizons ETFs becomes the ninth ETF provider to list products on NEO.
2018-02 AGF Launches Two New ETFs On NEO - AGF Investments Inc., through AGFiQ Asset Management launched two new ETFs on NEO: the AGFiQ Enhanced Global ESG Factors ETF and the AGFiQ Enhanced Global Infrastructure ETF.
NEO Exchange Survey presented by Capital Lounge 20 GOING PUBLIC TIMELINE
2018-03 Nobilis Health Receives Final Approval To List On NEO - Nobilis Health will be the first corporation to list its shares on both a US- based stock exchange and NEO.
2018-03 Invesco Canada Ltd. lists two new ETFs on NEO
2018-03 RBC Global Asset Management Inc. Launches Women’s Leadership ETF on NEO
2018-04 Evolve Active Core Fixed Income ETF Launches on NEO - Evolve ETFs became the tenth ETF provider to list products on NEO.
2018-04 Maple Leaf Green World Inc. to Graduate from TSXV to NEO - Maple Leaf is a public Canadian company that focuses on the cannabis industry in North America, operating cannabis projects in British Columbia and Nevada.
2018-04 Ether Capital Launches on NEO - Ether Capital is a Toronto-based technology company whose objective is to become the central business and investment hub for the Ethereum ecosystem.
NEO Exchange Survey presented by Capital Lounge 21 GOING PUBLIC TIMELINE
2018-09 Canada’s First Bitcoin Fund Now Available On NEO Connect - the FBC Bitcoin Trust is the first investment product of its kind in Canada and the only open-ended Bitcoin fund approved by the Canadian regulators.
2018-09 Canaccord Genuity Growth Corp. Launches on NEO - This newly-organized special purpose acquisition corporation raised over 40 million CAD in its initial public offering.
2018-09 Invesco S&P Europe 350 Equal Weight Index ETF launches on NEO
2018-10 Starlight Capital Launches Its First ETFs on NEO - Starlight Investments Capital LP launches the Starlight Global Infrastructure Fund and the Starlight Global Real Estate Fund on NEO.
2018-10 Halo Labs Launches on NEO - Halo, a cannabis extraction company, is focused on developing and manufacturing cannabis oil and concentrate products.
2018-10 FBC ‘Distributed Ledger Technology Adopters’ ETF Launches on NEO - This is the first Canadian ETF launched by FBC and the eleventh ETF provider to list products on NEO.
NEO Exchange Survey presented by Capital Lounge 22 GOING PUBLIC TIMELINE
2018-10 Ninepoint Alternative Health Fund Available On NEO Connect
2018-10 AGF Launches AGFiQ Enhanced Core Global Multi-Sector Bond ETF on NEO
2018-10 Mount Logan Capital Launches on NEO - Mount Logan is the first financial services company to list on NEO and represents an innovative financial structure with strategic investments in sponsor-backed loans & debt securities across a variety of sectors.
2018-12 Ninepoint Energy PTF Available on NEO Connect
2018-12 Starlight Hybrid Global Real Assets Trust Launches On NEO - the Starlight Hybrid Global Real Assets Trust has closed its initial public offering (“IPO”) of 28,500,000 CAD comprised of Series A, F, and C Units.
2018-12 Faircourt Asset Management to Migrate 2 Closed-End Funds from the TSX to NEO
NEO Exchange Survey presented by Capital Lounge 23 GOING PUBLIC TIMELINE
2019-01 CMI Mortgage Investment Corporation Fund Available on NEO Connect
2019-01 SmartBe Launches Debut ETF (the SmartBe Global Value Momentum Trend Index ETF) on NEO
2019-02 NEO Connect Welcomes Nine PTFs from Provisus - Provisus is the sixth company to distribute products on NEO Connect, which has allowed fund providers to raise close to $700 million in assets to date.
2019-04 Columbia Care Makes Public Market Debut On NEO - Opening its first day of trading with a market capitalization over 2 billion CAD, Columbia Care is the first company with an enterprise value of over one billion dollars to list on NEO.
2019-05 Mercer Park Brand Acquisition Corp. Lists on NEO - The newly-organized Special Purpose Acquisition Corporation raised 402,500,000 USD in its IPO to target businesses that operate in the cannabis industries.
2019-05 Gold Miners Split Corp. Lists On NEO – it is the first closed-end fund from Evolve Funds Group Inc., to list on NEO.
NEO Exchange Survey presented by Capital Lounge 24 GOING PUBLIC TIMELINE
2019-05 Ayr Strategies: U.S. Vertically Integrated Multi-state Operator Cannabis Venture Makes Public Market Debut
2019-06 Fidelity Launches First ESG ETF On NEO - Fidelity Sustainable World ETF leverages a quantitative multi-factor model and seeks to identify and invest in global companies that are believed to have favourable environmental, social and governance.
2019-06 Jushi Holdings Makes Public Market Debut On NEO - with a market capitalization of over 370 million USD this integrated multi-state cannabis and hemp operator is the tenth corporate issuer listed on NEO.
2019-07 NEO Welcomes Largest Canadian SPAC: Subversive Capital Acquisition Corp. - The newly organized special purpose acquisition corporation (SPAC) raised over 500,000,000 USD making it the largest SPAC IPO in Canadian history.
2019-07 Emerge Canada Launches five actively managed thematic funds, which focus on innovative sectors including genomics and biotech, autonomous tech and robotics, AI and big data, and fintech on NEO.
2019-09 NEO Connect Welcomes Stone Asset Management with its “The Stone Dividend Growth Class PTF”
NEO Exchange Survey presented by Capital Lounge 25 GOING PUBLIC TIMELINE
2019-09 CI First Asset Launches Debut ETF on NEO
2019-10 NEO Connect Welcomes AMUR Financial Group to distribute its Manchester Investments Mortgage Investment Corporation (“Manchester MIC”) as a platform traded fundTM (PTFTM).
2019-11 Merida Dual Lists on NEO and NASDAQ - Merida Merger Corp. I, a newly formed SPAC, made its Canadian public markets debut today on the NEO Exchange. In doing so, Merida has become the first SPAC to dual list and the first NEO and NASDAQ.
2019-11 NEO Connect Welcomes Antrim Investments And Canada’s Largest Residential MIC
2019-11 Manzil Launches First Shariah Compliant PTF On NEO Connect And DealSquare
2020-01 Subversive Real Estate Acquisition REIT Lists On NEO – this newly established Ontario limited partnership and SPAC for the purposes of the rules of the NEO Exchange closed a 200,000,000 USD IPO before.
NEO Exchange Survey presented by Capital Lounge 26 GOING PUBLIC TIMELINE
2020-03 MindMed Lists on NEO to Become World’s First Psychedelic Pharmaceutical Company to Go Public
2020-03 Ceres Acquisition Corp. Lists on NEO – this newly formed SPAC made its Canadian public markets debut on the NEO Exchange after having closed a 120,000,000 USD initial public offering.
NEO Exchange Survey presented by Capital Lounge 27 NEO Exchange COMPOSITION
NEO Exchange Survey presented by Capital Lounge 28 NEO Exchange COMPOSITION
On the NEO Exchange, there are currently 3,933 securities tradable, divided into 6 different security classes as shown in the graph below:
Closed-End Funds (2,7%) Common Stocks (70,2%) Exchange Traded Products (25,0%) Ltd Parts (0,2%)
The 3,933 securities represent all Canadian-listed securities. NEO trades stocks listed on the TSX, TSXV, CSE and of course, its own listed securities.
NEO Exchange Survey presented by Capital Lounge 29 NEO Exchange COMPOSITION
Beside the securities from TSX, TSXV and CSE, NEO has 13 corporates and over ETFs listed. Below you will find a list of the 15 entities responsible for those ETFS:
Purpose Investments Invesco Canada BlackRock Canada Mackenzie Investments Emerge Canada Evolve Funds Group Inc. BMO Asset Management AGF Investments 3 RBC Global Asset Management Starlight Capital Faircourt Asset Management Inc. Horizons ETFs SmartBe Wealth Fidelity Investments CI First Asset Exchange Traded Funds
0,0% 5,0% 10,0% 15,0% 20,0% 25,0%
NEO Exchange Survey presented by Capital Lounge 30 NEO Exchange COMPOSITION The 13 listed corporations – so far – have their origin in Canada with a few exceptions of companies with roots in the USA. ISSUER INDUSTRY AUDITOR ACCOUNTING TRANSFER A. LEGAL PLACEMENT TYPE Canaccord Genuity Growth II Cannabis Deloitte IFRS Odyssey Trust Company Goodmans LLP 87.000.000 USD (IPO) SPAC
Ceres Acquisition Cannabis MNP IFRS Odyssey Trust Company Stikeman Elliott LLP 120.000.000 USD (IPO) SPAC
Columbia Care Cannabis Deloitte IFRS Odyssey Trust Company nA 85.100.000 USD (PP) SPAC
Ether Capital Crypto Investor KPMG IFRS TSX Trust Company nA 50.000000 CAD (PP) Reverse IPO
Halo Labs Cannabis Davidson & Company CPA Odyssey Trust Company Dentons Canada LLP 46.256.699 USD (IPO) Reverse IPO
Maple Leaf Green World Cannabis Geib & Company CAGAAS Odyssey Trust Company nA nil Graduation / Migration
Mercer Park Brand Acq. Brand Holding MNP CAGAAS Odyssey Trust Company Goodmans LLP 350.000.000 USD (IPO) SPAC
Merida Merger Corp. I Cannabis Marcum PCAOB TSX Trust Company Marcum LLP 100.000.000 USD (IPO) Blank Check Company
Mind Medicine BioTech RSM Canada IFRS nA nA 32.044.668 CAD (PP) Reverse IPO
Mount Logan Capital Inc. Debt Investor KPMG IFRS nA nA 16.000.000 USD (PP) Reverse IPO Blake, Cassels & Starlight Capital Real Estate Deloitte IFRS TSX Trust Company 100.000.000 USD (IPO) Trust Graydon LLP Blake, Cassels & Subversive Capital AcquisitionCannabis Deloitte IFRS Odyssey Trust Company 500.000.000 USD (IPO) SPAC Graydon LLP Subversive Real Estate Acq. Real Estate Deloitte IFRS Alberta Goodmans LLP 200.000.000 USD (IPO) SPAC
NEO Exchange Survey presented by Capital Lounge 31 NEO Exchange INVESTORS
NEO Exchange Survey presented by Capital Lounge 32 NEO Exchange INVESTORS The 13 listed corporations – so far – have their origin in Canada with a few exceptions of companies with roots in the USA.
NEO Exchange Survey presented by Capital Lounge 33 ACTIVE GOING PUBLICS IPO/PP
NEO Exchange Survey presented by Capital Lounge 34 ACTIVE GOING PUBLICS
Ether Capital Corporation
Ownership Type: Geographic: Individual 89.88% Unknown 100.00% Other 10.12%
Incorporation Listing Website ISIN Quote Shares Market Cap Free-float Listing Abroad 01/11/2018 04/19/2018 www.ethcap.co CA29764T1012 0.28 CAD 22,985,164 6,435,845 CAD 84.314% yes
NEO Exchange Survey presented by Capital Lounge 35 ACTIVE GOING PUBLICS
Maple Leaf Green World Inc.
Ownership Type: Geographic: Individual 100.00% Unknown 100.00%
Incorporation Listing Website ISIN Quote Shares Market Cap Free-float Listing Abroad 10/04/2012 04/20/2018 www.mlgreenworld.com CA5652971089 0.06 CAD 158,785,302 9,527,118 CAD 96.515% yes
NEO Exchange Survey presented by Capital Lounge 36 ACTIVE GOING PUBLICS
Halo Labs Inc.
Ownership Type: Geographic: Individual 74.68% Unknown 88.06% Other 13.38% USA 8.83% Inv. Advisors 8.83% Canada 2.27% Unclassified 2.27% Israel 0.85% Brokerage 0.85%
Incorporation Listing Website ISIN Quote Shares Market Cap Free-float Listing Abroad 09/28/2018 10/03/2018 www.halocanna.com CA4063721027 0.14 CAD 427,140,145 59,799,620 CAD 95.078% yes
NEO Exchange Survey presented by Capital Lounge 37 ACTIVE GOING PUBLICS
Mount Logan Capital Inc.
Ownership Type: Geographic: Inv. Advisors 58.60% USA 46.01% Hedge Funds 16.92% Canada 29.51% Others 13.45% Unknown 24.48% Individual 11.03%
Incorporation Listing Website ISIN Quote Shares Market Cap Free-float Listing Abroad 10/19/2018 10/25/2018 www.mountlogancapital.ca CA6218862093 2.81 CAD 29,800,710 59,799,620 CAD 92.220% yes
NEO Exchange Survey presented by Capital Lounge 38 ACTIVE GOING PUBLICS
Starlight Hybrid Global Real Estate
Ownership Type: Geographic: Unknown 100.00% Unknown 100.00%
Incorporation Listing Website ISIN Quote Shares Market Cap Free-float Listing Abroad 10/11/2018 12/13/2018 www.starlightcapital.com CA85555G1046 7.56 CAD nA nA nA no
NEO Exchange Survey presented by Capital Lounge 39 ACTIVE GOING PUBLICS
Canaccord Genuity Growth II Corp
Ownership Type: Geographic: Inv. Advisors 56.09% Canada 56.09% Individual 38.06% Unkown 43.91% Other 5.86%
Incorporation Listing Website ISIN Quote Shares Market Cap Free-float Listing Abroad 03/13/2019 04/05/2019 www.canaccordgenuity.com CA85555G1046 2.92 CAD 33,350,000 97,382,000 CAD 99.849% no
NEO Exchange Survey presented by Capital Lounge 40 ACTIVE GOING PUBLICS
Columbia Care Inc.
Ownership Type: Geographic: Other 76.43% Unkown 94.97% Individual 18.55% Canada 4.36% Unclassified 2.47% Israel 0.57% Inv. Advisors 1.98% USA 0.10% Brokerage 0.57%
Incorporation Listing Website ISIN Quote Shares Market Cap Free-float Listing Abroad 08/13/2018 04/29/2019 www.col-care.com CA1973091079 2.34 CAD 216,096,354 505,665,468 CAD 93.234% yes
NEO Exchange Survey presented by Capital Lounge 41 ACTIVE GOING PUBLICS
Mercer Park Brand Acquisition Corp
Ownership Type: Geographic: Hedge Funds 81.78% Canada 100.00% Inv. Advisors 18.22%
Incorporation Listing Website ISIN Quote Shares Market Cap Free-float Listing Abroad 04/16/2019 05/13/2019 www.mercerparklp.com CA58810P1027 9.70 CAD 40,250,000 390,425,000 CAD 100.000% no
NEO Exchange Survey presented by Capital Lounge 42 ACTIVE GOING PUBLICS
Subversive Capital Acquisition Corp
Ownership Type: Geographic: Hedge Funds 67.46% Canada 72.64% Inv. Advisors 16.29% USA 27.36% Private Equity 16.25%
Incorporation Listing Website ISIN Quote Shares Market Cap Free-float Listing Abroad 06/17/2019 08/26/2019 www.subversivecapital.com CA8642961087 9.89 CAD 57,500,000 568,675,000 CAD 100.000% no
NEO Exchange Survey presented by Capital Lounge 43 ACTIVE GOING PUBLICS
Merida Merger Corp. I
Ownership Type: Geographic: Hedge Funds 59.90% USA 62.89% Other 22.13% Unknown 22.13% Inv. Advisors 11.44% Canada 11.44% Brokerage 0.48% UK 3.27% Switzerland 0.27%
Incorporation Listing Website ISIN Quote Shares Market Cap Free-float Listing Abroad 06/20/2019 11/07/2019 www.meridacap.com US58953M1062 9.65 CAD 16,571,552 159,915,477 CAD 80.386% no
NEO Exchange Survey presented by Capital Lounge 44 ACTIVE GOING PUBLICS
Subversive Real Estate REIT LP
Ownership Type: Geographic: Unknown 100.00% Unknown 100.00%
Incorporation Listing Website ISIN Quote Shares Market Cap Free-float Listing Abroad 11/12/2019 01/08/2020 www.subversivecapital.com CA8642982034 9.74 CAD 22,500,000 219,150,000 CAD 100.000% no
NEO Exchange Survey presented by Capital Lounge 45 ACTIVE GOING PUBLICS
Mind Medicine, Inc.
Ownership Type: Geographic: Other 89.17% Unknown 100.00% Individual 10.83%
Incorporation Listing Website ISIN Quote Shares Market Cap Free-float Listing Abroad 02/25/2020 03/03/2020 www.mindmed.co CA60255C1095 0.63 CAD 287,617,544 181,199,053 CAD 99.710% yes
NEO Exchange Survey presented by Capital Lounge 46 ACTIVE GOING PUBLICS
Ceres Acquisition Corp.
Ownership Type: Geographic: Unknown 100.00% Unknown 100.00%
Incorporation Listing Website ISIN Quote Shares Market Cap Free-float Listing Abroad 01/29/2020 03/03/2020 www.ceresacquisition.com CA1567342045 9.74 CAD 12,000,000 116,880,000 CAD 100.000% yes
NEO Exchange Survey presented by Capital Lounge 47 NEO Exchange Survey presented by Capital Lounge GmbH
Managing Director Alexander Coenen eMail [email protected] URL https://www.capitallounge.de Phone: 0049 151 5 88 88 8 26