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Alberta Securities Commission Page 1 of 2 Reporting Issuer List - Cover Page Alberta Securities Commission Page 1 of 2 Reporting Issuer List - Cover Page Reporting Issuers Default When a reporting issuer is noted in default, standardized codes (a number and, if applicable a letter, described in the legend below) will be appear in the column 'Nature of Default'. Every effort is made to ensure the accuracy of this list. A reporting issuer that does not appear on this list or that has inappropriately been noted in default should contact the Alberta Securities Commission (ASC) promptly. A reporting issuer’s management or insiders may be subject to a Management Cease Trade Order, but that order will NOT be shown on the list. Legend 1. The reporting issuer has failed to file the following continuous disclosure document prescribed by Alberta securities laws: (a) annual financial statements; (b) an interim financial report; (c) an annual or interim management's discussion and analysis (MD&A) or an annual or interim management report of fund performance (MRFP); (d) an annual information form; (AIF); (e) a certification of annual or interim filings under National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings (NI 52-109); (f) proxy materials or a required information circular; (g) an issuer profile supplement on the System for Electronic Disclosure By Insiders (SEDI); (h) a material change report; (i) a written update as required after filing a confidential report of a material change; (j) a business acquisition report; (k) the annual oil and gas disclosure prescribed by National Instrument 51-101 Standards of Disclosure for Oil and Gas Activities (NI 51-101) or a technical report for a mineral project required under National Instrument 43-101 Standards of Disclosure for Mineral Projects (NI 43-101); (l) a mandatory news release; (m) corporate governance disclosure as required by National Instrument 58-101 Disclosure of Corporate Governance Practices; (n) audit committee disclosure as required by National Instrument 52-110 Audit Committees; or (o) disclosure in a reporting issuer's MD&A relating to disclosure controls and procedures and/or internal control over financial reporting and their effectiveness that is referred to in a certificate filed under NI 52- 109. 2. The reporting issuer's continuous disclosure does not comply with Alberta securities laws because: (a) financial statements of the reporting issuer, or the auditor’s report accompanying the financial statements, do not comply with the requirements of National Instrument 51-102 Continuous Disclosure Obligations (NI 51-102), National Instrument 81-106 Investment Fund Continuous Disclosure (NI 81-106) or National Instrument 52-107 Acceptable Accounting Principles and Auditing Standards; (b) the reporting issuer has acknowledged that its financial statements, or the auditor’s report accompanying the financial statements, may no longer be relied upon; Please be advised that pursuant to the Securities Amendment Act, 2006, the ASC no longer issues certificates of no default. Individuals seeking information relating to an issuer's status in that regard may wish to refer to this reporting issuer list. Every effort is made to ensure the accuracy of information included in the reporting issuers’ list. A reporting issuer that does not appear on this list or that has inappropriately been noted in default should contact the ASC promptly. If appropriate, the list will be revised as necessary. Alberta Securities Commission Page 2 of 2 Reporting Issuer List - Cover Page (c) the reporting issuer's AIF, MD&A, MRFP, information circular, or a business acquisition report does not contain information for each of the items required by NI 51-102 or NI 81-106; or (d) the reporting issuer's technical disclosure or other reports do not comply with the disclosure requirements of NI 43-101 or NI 51-101; 3. The reporting issuer has failed to pay a fee required by Alberta securities laws. 4. The reporting issuer has failed to comply with a requirement related to continuous disclosure not referred to in 1 to 3, above. Cease Trade Order If a reporting issuer is subject to a cease trade order issued by the ASC or the Executive Director under section 33.1 of the Securities Act (Alberta) (Act) or by the ASC under section 198(1) or (2) of the Act, the existence of that order will be disclosed beside the name of the reporting issuer as “ASC CTO”. If a reporting issuer is subject to a cease trade order issued by another securities regulatory authority in Canada that applies in Alberta as a result of section 198.1 of the Act, and prohibits all trading of the securities of that issuer, the existence of that order will be disclosed beside the name of the reporting issuer as “Reciprocal CTO”. Securities that are subject to an ASC CTO or a Reciprocal CTO cannot be traded in Alberta. To determine if a person or company is the subject of a management cease trade order issued by the ASC, please refer to the “Proceedings, Decisions & Orders – Issuers” section on the ASC website (at www.albertasecurities.com). Additional information may be obtained by: - reviewing the filings made by the reporting issuer on SEDAR (at www.sedar.com); - contacting the reporting issuer directly; - reviewing the Commission website; or - reviewing the national cease trade order database located on the CSA website (at www.csa-acvm.ca). Please be advised that pursuant to the Securities Amendment Act, 2006, the ASC no longer issues certificates of no default. Individuals seeking information relating to an issuer's status in that regard may wish to refer to this reporting issuer list. Every effort is made to ensure the accuracy of information included in the reporting issuers’ list. A reporting issuer that does not appear on this list or that has inappropriately been noted in default should contact the ASC promptly. If appropriate, the list will be revised as necessary. Alberta Securities Commission Page 1 of 269 Reporting Issuer List Report Created on: 2020-05-05 Report as of: 2020-05-04 Name Cease Traded Nature of Default 01 COMMUNIQUE LABORATORY INC. 0941092 B.C. LTD. Reciprocal CTO 1a, 1b, 1c, 1e 1011704 BC LTD. Reciprocal CTO 1a, 1b, 1c, 1e 1011705 BC LTD. Reciprocal CTO 1a, 1b, 1c, 1e 1011707 BC LTD. Reciprocal CTO 1a, 1b, 1c, 1e 1011709 BC LTD. Reciprocal CTO 1a, 1b, 1c, 1e 1014379 B.C. LTD. 1020645 B.C. LTD. Reciprocal CTO 1a, 1b, 1c, 1e, 3 1020648 B.C. LTD. Reciprocal CTO 1a, 1b, 1c, 1e 1020650 B.C. LTD. Reciprocal CTO 1a, 1b, 1c, 1e 1020651 B.C. LTD. Reciprocal CTO 1a, 1b, 1c, 1e, 3 1024954 B.C. LTD. Reciprocal CTO 1a, 1b, 1c, 1e 1040436 BC LTD. Reciprocal CTO 1a, 1b, 1c, 1e 1040440 BC LTD. Reciprocal CTO 1a, 1b, 1c, 1e 10557510 CANADA CORP. 10557536 CANADA CORP. 1080854 ONTARIO LIMITED ASC CTO 1a, 1b, 1c, 1d, 1e, 1g 1132876 B.C. LTD. 1143990 BC LTD. Reciprocal CTO 1a, 1b, 1c, 1e 1169032 BC LTD. 1169071 BC LTD. 1169077 BC LTD. 1169082 BC LTD. 12 EXPLORATION INC. 1511419 ONTARIO INC. ASC CTO 1a, 1b, 1c, 1d, 1e 1603546 ALBERTA LTD. ASC CTO 1a, 1b, 1c, 1e 1608557 ONTARIO INC. ASC CTO 1a, 1b, 1c, 1d, 1e 1832 AM INVESTMENT GRADE CANADIAN CORPORATE BOND POOL 1832 AM U.S. $ INVESTMENT GRADE U.S. CORPORATE BOND POOL 1911 GOLD CORPORATION 1933 INDUSTRIES INC 1987 NO 2 MINTAX MINERAL LIMITED PARTNERSHIP ASC CTO 2242749 ONTARIO LIMITED Reciprocal CTO 1a, 1b, 1c, 1d, 1e 2583262 ONTARIO INC. 27 RED CAPITAL INC. Reciprocal CTO 1a, 1b, 1c, 1e 2980304 CANADA INC. ASC CTO 1a, 1b, 1c, 1e 3 SIXTY RISK SOLUTIONS LTD. 360NETWORKS INC. ASC CTO 1a, 1b, 1c, 1d, 1e, 1g 37 CAPITAL INC. Please be advised that pursuant to the Securities Amendment Act, 2006, the ASC no longer issues certificates of no default. Individuals seeking information relating to an issuer's status in that regard may wish to refer to this reporting issuer list. Every effort is made to ensure the accuracy of information included in the reporting issuers’ list. A reporting issuer that does not appear on this list or that has inappropriately been noted in default should contact the ASC promptly. If appropriate, the list will be revised as necessary. Alberta Securities Commission Page 2 of 269 Reporting Issuer List Report Created on: 2020-05-05 Report as of: 2020-05-04 Name Cease Traded Nature of Default 3DX INDUSTRIES INC. ASC CTO 1a, 1b, 1c, 1d, 1e, 4 3MV ENERGY CORP. ASC CTO 1a, 1b, 1c, 1e, 1k, 3 4 TOUCHDOWNS CAPITAL INC. 3 407 INTERNATIONAL INC. 4404980 CANADA INC. ASC CTO 1a, 1b, 1c, 1e 4504020 CANADA INC. ASC CTO 1a, 1b, 1c, 1d, 1e 48NORTH CANNABIS CORP. 49 NORTH RESOURCES INC. 4FRONT VENTURES CORP. 523976 ALBERTA LTD. ASC CTO 1a, 1b, 1c, 1e 55 NORTH MINING INC. 5N PLUS INC. 66 RESOURCES CORP. 7918534 CANADA INC. 855 BURRARD CAPITAL LIMITED PARTNERSHIP NO. 3 ASC CTO 1a, 1b, 1c, 1e 9 CAPITAL CORP. 9342-8530 QUÉBEC INC. Reciprocal CTO 1a, 1b, 1c, 1e A MAN CALLED INTREPID ASC CTO 1a, 1b, 1c, 1e A&W REVENUE ROYALTIES INCOME FUND A.E. VENTURES LTD. ASC CTO 1a, 1b, 1c, 1e, 1g A.H.A. AUTOMOTIVE TECHNOLOGIES CORPORATION ASC CTO 1a, 1b, 1c, 1e A.I.S. RESOURCES LIMITED A.O.G. AIR SUPPORT INC. ASC CTO 1a, 1b, 1c, 1e A2Z TECHNOLOGIES CANADA CORP. AAVANGEN INDUSTRIES INC. ASC CTO 1a, 1b, 1c, 1e, 1g ABACAN RESOURCE CORPORATION ASC CTO 1a, 1b, 1c, 1d, 1e, 1g ABACUS HEALTH PRODUCTS, INC. ABACUS MINING & EXPLORATION CORPORATION ABACUS SOFTWARE GROUP INC. ASC CTO 1a, 1b, 1c, 1e, 1g ABATTIS BIOCEUTICALS CORP.
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