osc bulletin · file no.: 2018-76 in the matter of katanga mining limited, aristotelis mistakidis,...

The Ontario Securities Commission

OSC Bulletin

January 3, 2019

Volume 42, Issue 1

(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)

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January 3, 2019

(2019), 42 OSCB

Table of Contents

Chapter 1 Notices ......................................................... 1 1.1 Notices ................................................................ 1 1.1.1 Maria Psihopedas ................................................. 1 1.2 Notices of Hearing ......................................... (nil) 1.3 Notices of Hearing with Related Statements of Allegations ................................. 2 1.3.1 Katanga Mining Limited et al. – ss. 127, 127.1 ................................................... 2 1.4 Notices from the Office of the Secretary ................................................ 19 1.4.1 Katanga Mining Limited et al. ............................. 19 1.4.2 Issam El-Bouji .................................................... 19 1.4.3 Maria Psihopedas ............................................... 20 1.4.4 SBC Financial Group Inc. and Prabhjot Singh Bakshi ........................................ 20 1.5 Notices from the Office of the Secretary with Related Statements of Allegations ............................ (nil) Chapter 2 Decisions, Orders and Rulings ................ 21 2.1 Decisions .......................................................... 21 2.1.1 Investors Canadian Equity Fund et al. ................ 21 2.1.2 First Asset Investment Management Inc. et al. ............................................................. 26 2.1.3 Netgear, Inc. ....................................................... 29 2.1.4 Brandes Investment Partners & Co. and Greystone Canadian Equity Income & Growth Fund ....................................................... 32 2.1.5 Electrameccanica Vehicles Corp. ....................... 37 2.1.6 RBC Global Asset Management Inc. .................. 41 2.1.7 Héroux-Devtek Inc. ............................................. 45 2.1.8 Solium Capital Inc. and Brian Craig .................... 48 2.1.9 Teck Resources Limited ..................................... 51 2.1.10 NCM Asset Management Ltd. et al. .................... 54 2.1.11 Serinus Energy Plc ............................................ 58 2.1.12 Logan Resources Ltd. ........................................ 61 2.2 Orders................................................................ 64 2.2.1 Hiku Brands Company Ltd. ................................. 64 2.2.2 Mainstream Minerals Corporation – s. 144.............................................................. 66 2.2.3 Compass Gold Corporation – s. 1(11)(b) ....................................................... 68 2.2.4 Avion Gold Corporation ...................................... 70 2.2.5 SBC Financial Group Inc. and Prabhjot Singh Bakshi – ss. 127(1), 127(10) ......................................... 71 2.2.6 LME Clear Limited – s. 147 ................................ 72 2.2.7 PGIM, Inc. – s. 80 of the CFA ............................. 79 2.3 Orders with Related Settlement Agreements .................................................... (nil) 2.4 Rulings ........................................................... (nil)

Chapter 3 Reasons: Decisions, Orders and Rulings ...................................................... 89 3.1 OSC Decisions ................................................. 89 3.1.1 SBC Financial Group Inc. and Prabhjot Singh Bakshi – ss. 127(1), 127(10)......................................... 89 3.2 Director’s Decisions ...................................... (nil) Chapter 4 Cease Trading Orders .............................. 97 4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders ............................. 97 4.2.1 Temporary, Permanent & Rescinding Management Cease Trading Orders.................. 97 4.2.2 Outstanding Management & Insider Cease Trading Orders ....................................... 97 Chapter 5 Rules and Policies .................................. (nil) Chapter 6 Request for Comments .......................... (nil) Chapter 7 Insider Reporting ...................................... 99 Chapter 9 Legislation ............................................... (nil) Chapter 11 IPOs, New Issues and Secondary Financings ............................................... 275 Chapter 12 Registrations ........................................... 285 12.1.1 Registrants ....................................................... 285 Chapter 13 SROs, Marketplaces,

Clearing Agencies and Trade Repositories ................................. 287

13.1 SROs ............................................................... 287 13.1.1 MFDA – Housekeeping Amendments to Sample Auditor’s Reports in MFDA Form 1 – Notice of Commission Deemed Approval ............................................ 287 13.2 Marketplaces .................................................. (nil) 13.3 Clearing Agencies.......................................... 288 13.3.1 LME Clear Limited – Application for Exemptive Relief – Notice of Commission Order................................................................ 288 13.4 Trade Repositories ........................................ (nil) Chapter 25 Other Information ................................... 289 25.1 Consents 25.1.1 Kingsway Financial Services Inc. – s. 4(b) of Ont. Reg. 289/00 under the OBCA .............................................. 289 25.1.2 Canadian Premium Sand Inc. (formerly, Claim Post Resources Inc.) – s. 4(b) of Ont. Reg. 289/00 under the OBCA .................. 295 Index .............................................................................. 297

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Chapter 1

Notices 1.1 Notices 1.1.1 Maria Psihopedas

FILE NO: 2018-18

IN THE MATTER OF MARIA PSIHOPEDAS

NOTICE OF WITHDRAWAL

The Applicant, Maria Psihopedas, withdraws the application for hearing and review dated April 5, 2018 and amended on April 20, 2018. DATED this 20th day of December, 2018 Alexandra Grishanova (Counsel for the Applicant) Crawley MacKewn Brush LLP 800-179 John Street Toronto, ON M5T 1X4 [email protected] Tel: (416) 217-0859

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1.3 Notices of Hearing with Related Statements of Allegations 1.3.1 Katanga Mining Limited et al. – ss. 127, 127.1

FILE NO.: 2018-76

IN THE MATTER OF KATANGA MINING LIMITED, ARISTOTELIS MISTAKIDIS,

TIM HENDERSON, LIAM GALLAGHER,

JEFFREY BEST, JOHNNY BLIZZARD,

JACQUES LUBBE and MATTHEW COLWILL

NOTICE OF HEARING

Sections 127 and 127.1 of the Securities Act, RSO 1990, c S.5

PROCEEDING TYPE: Public Settlement Hearing HEARING DATE AND TIME: Tuesday, December 18, 2018 at 9:00 a.m. LOCATION: 20 Queen Street West, 17th Floor, Toronto, Ontario PURPOSE The purpose of this hearing is to consider whether it is in the public interest for the Commission to approve the Settlement Agreement dated December 14, 2018, between Staff of the Commission and the respondents in respect of the Statement of Allegations filed by Staff of the Commission dated December 14, 2018. 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 le plut tôt si le participant demande qu'une instance soit tenue entièrement ou partiellement en français. Dated at Toronto this 17th day of December, 2018. “Grace Knakowski” Secretary to the Commission For more information Please visit www.osc.gov.on.ca or contact the Registrar at [email protected].

http://www.osc.gov.on.ca/


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IN THE MATTER OF KATANGA MINING LIMITED, ARISTOTELIS MISTAKIDIS,



JACQUES LUBBE and MATTHEW COLWILL

STATEMENT OF ALLEGATIONS

(Subsection 127(1) and Section 127.1 of the Securities Act, RSO 1990, c S.5)

A. ORDER SOUGHT 1. Staff of the Enforcement Branch (“Enforcement Staff”) of the Ontario Securities Commission (the “Commission”)

request that the Commission make an order pursuant to subsection 127(1) and (2) and section 127.1 of the Securities Act, RSO 1990, c S.5 (the “Act”) to approve the settlement agreement dated December 14, 2018 between Aristotelis Mistakidis (“Mistakidis”), Tim Henderson (“Henderson”), Liam Gallagher (“Gallagher”), Jeffrey Best (“Best”), Johnny Blizzard (“Blizzard”), Jacques Lubbe (“Lubbe”), and Matthew Colwill (“Colwill”) (collectively, the “Individual Respondents”), Katanga Mining Limited (collectively with the Individual Respondents, the “Respondents”) and Enforcement Staff.

B. FACTS Enforcement Staff make the following allegations of fact: OVERVIEW 2. Directors and officers set the “tone from the top” and are responsible for establishing and enforcing a culture of

compliance. 3. In this case, the Individual Respondents engaged in conduct at Katanga Mining Limited1 that undermined Katanga’s

corporate governance and internal controls and, which, in the specific instances detailed in Part I below, resulted in Katanga making financial disclosure that was misleading in a material respect. This conduct breached Ontario securities law and was contrary to the public interest.

4. Katanga operates copper and cobalt mining and refinery facilities in the Democratic Republic of the Congo (“DRC”), a

country perceived to have significant risk of public sector corruption. 5. Glencore2 has been Katanga's majority shareholder since 2009. Glencore acquired control of Katanga through a series

of transactions that commenced in 2007. Glencore worked with and invested alongside entities associated with Dan Gertler (“Gertler”) in certain of these transactions. During the Material Time3 and until February 2017, entities associated with Gertler were beneficial shareholders of Katanga. In February 2017, entities associated with Gertler beneficially held at least 11% of Katanga’s common shares.

6. For differing periods during the Material Time, Gallagher, Henderson and Mistakidis (the “Glencore Respondents”)

served on Katanga's board of directors (the “Board”) and exercised significant influence over operational and financial decisions at Katanga. Together with Katanga's officers, the Glencore Respondents were involved in conduct that undermined Katanga's internal controls as detailed in Part I and Part III below. This conduct was contrary to the public interest and it manifested in Katanga failing to comply with Ontario securities law.

1 Hereafter, solely or collectively with its subsidiaries, “Katanga”. 2 Glencore plc (solely or collectively with its subsidiaries, “Glencore”) is one of the world's largest commodities firms and is based in

Switzerland with its primary listing on the London Stock Exchange. As further described in paragraphs 27-28 below, Glencore was Katanga’s sole customer, and financed Katanga's operations.

3 The conduct set out in this document concerns the 6-year period from January 1, 2012 to December 31, 2017 (the “Material Time”).

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7. In particular, Katanga: (a) Misstated its financial position and the results of its operations; and (b) Failed to maintain adequate disclosure controls and procedures (“DC&P”) and internal controls over financial

reporting (“ICFR”) and to disclose material weaknesses in its ICFR.

8. The Individual Respondents authorized, permitted or acquiesced in the above non-compliance with Ontario securities law by Katanga (Part I and Part III) and acted in a manner contrary to the public interest (Part II) in their roles as directors and officers of Katanga, as detailed below.

9. Separately, during the Material Time, Katanga’s Annual Information Form (“AIF”) disclosure failed to adequately describe

the heightened risks associated with: (i) its operating environment, specifically the elevated risk of public sector corruption in the DRC; and (ii) its reliance on individuals and entities associated with Gertler (the “Gertler Associates”), including the risk that a cessation or deterioration in Katanga's business relationships with the Gertler Associates could have an adverse impact on Katanga's business.

THE RESPONDENTS (1) Katanga 10. Katanga is an Ontario reporting issuer with its shares listed on the Toronto Stock Exchange. 11. Katanga was first incorporated under the laws of Bermuda in 1996 and continued under the Yukon Business Corporations

Act on August 31, 2011. Katanga's registered office is in Whitehorse, Yukon with its head office in Zug, Switzerland. 12. Katanga's operations are primarily carried out through its 75%-owned subsidiary, Kamoto Copper Company SA (“KCC”),

pursuant to a joint venture agreement (the “JV Agreement”) with La Génerale des Carrières et des Mines S.A. (“Gécamines”), which owns 25% of KCC.4 Gécamines is a DRC state-owned entity.

13. The JV Agreement was signed in July 2009 and required, among other things, that Katanga make certain payments to

Gécamines including: (i) royalties equivalent to 2.5% of KCC's net revenues; and (ii) a fixed pas de porte5 payable in installments at the end of each year up to 2016.

14. Between January 2012 and February 2017, Glencore owned approximately 75% of Katanga's shares. In February 2017,

Glencore purchased an additional approximately 11% of Katanga's shares from entities affiliated with Gertler following the September 2016 resolution of proceedings under the Foreign Corrupt Practices Act (US) brought by the US Securities and Exchange Commission and the US Department of Justice against Och-Ziff Capital Management Group LLC (“Och-Ziff”) which implicated Gertler in corrupt acts and bribery in the DRC (the “Och-Ziff Settlements”).

(2) Aristotelis Mistakidis 15. Mistakidis was a Glencore nominee director of Katanga from January 2008 to November 2017. 16. Mistakidis is a member of Glencore's senior management. From 2008 to 2013, Mistakidis was a co-head of Glencore's

global copper and zinc department, and from 2013 to November 2017, he headed Glencore's global copper department. Glencore's 2017 Annual Report identified Mistakidis as having the third highest shareholding of all Glencore management personnel, owning 3.12% of Glencore plc's voting shares. Gallagher and Henderson reported to Mistakidis.

(3) Tim Henderson 17. Henderson was a Glencore nominee director of Katanga from May 2015 to November 2017. 18. From 2008 to 2014, Henderson served as an operations consultant to Glencore pursuant to a consulting agreement with

the company. In this role, Henderson held the title of Glencore's executive director of operations for Africa and divided his time overseeing Glencore's various copper mining operations in Africa, including Katanga. In January 2015, Henderson's responsibilities with Glencore expanded to include Glencore's copper mining operations in South America and Australia.

4 Gécamines held 20% of KCC directly and 5% of KCC through its affiliate La Société Immobilière du Congo, another DRC state-owned

entity. 5 Katanga's public filings translate “pas de porte” as “entry premium”.

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(4) Liam Gallagher 19. Gallagher was a Glencore nominee director of Katanga and a member of Katanga's audit committee (the “Audit

Committee”) from November 2012 to November 2017. 20. From 2009 to November 2017, Gallagher was an employee of Glencore and held the position of Asset Manager for

Katanga. From 2013 and onward, Katanga was the only asset that Gallagher managed for Glencore. In the Asset Manager role, Gallagher managed Katanga as a financial asset of Glencore. His responsibilities as Asset Manager included, in particular, the review of the monthly financial results from the viewpoint of Glencore.

(5) Jeffrey Best 21. Best was the Chief Executive Officer (“CEO”) and a director of Katanga from September 2011 to February 2015. Best

first joined Katanga as its Chief Operating Officer (“COO”) in May 2011. (6) Johnny Blizzard 22. Blizzard is the current CEO and a director of Katanga. Blizzard first joined Katanga as its COO in January 2015 and

became its CEO on February 12, 2015. (7) Jacques Lubbe 23. Lubbe was the Chief Financial Officer (“CFO”) of Katanga from November 2013 to February 2015, and from October

2016 to November 2017. (8) Matthew Colwill 24. Colwill was the CFO of Katanga from February 2015 to October 2016. Between October 2011 and November 2013,

Colwill was a Finance Manager at KCC. BACKGROUND (1) Katanga's Operations 25. During the Material Time, KCC's principal operations were located in the DRC and comprised the following:

(a) Mining Operations:

Ore was mined at open-pit and underground mines; (b) Processing Operations at the KTC Concentrator (“KTC”):

Ore mined was then milled and treated to produce copper concentrate. During the Material Time, Katanga sold and designated some of this production as for sale (“Concentrate for Sale”);

(c) Processing Operations at the Luilu Metallurgical Plant (“Luilu”): Copper concentrate underwent further processing to produce copper cathode (“Copper Cathode”). Katanga reported the copper content of Concentrate for Sale (“Contained Copper”) and Copper Cathode as “Total Copper”; and

(d) Processing Operations at the Cobalt Plant: Residue from the processing at Luilu was further processed to produce cobalt metal.

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26. Between 2012 and 2015, Katanga reported the following production and sales of concentrate and Copper Cathode:

(Tonnes)

2012 2013 2014 2015

Concentrate produced 495,642 710,449 905,750 859,647

Concentrate for Sale6 141,935 224,394 - -

Contained Copper 31,523 48,713 1,010 6,858

Copper Cathode 61,440 87,479 157,016 106,816

Total Copper 92,963 136,192 158,026 113,674

Concentrate sold 83,134 108,171 0 0

Copper Cathode sold 59,368 90,626 151,474 116,469 27. Beginning in 2007, Katanga entered into a series of agreements for the sale of products of its mining operations to

Glencore (the “Off-take Agreements”). The Off-take Agreements provide for 100% of the produced copper and cobalt materials to be sold to Glencore for the life of any mines and plants operated, acquired and/or developed by Katanga in the DRC. Therefore, Glencore was Katanga's sole customer during the Material Time (with the exception of certain instances in which Katanga sold concentrate to third parties).

28. In addition to being Katanga's sole customer (other than as referred to in the paragraph above), Glencore financed

Katanga's operations. It did this through: (i) prepayments under the Off-take Agreements; and (ii) loan facilities for capital expenditures including improvements and expansion of Katanga's production facilities.

(2) Review, MCTO and Restatement 29. As a result of inquiries made during the course of Enforcement Staff's investigation, Katanga commenced an internal

review of certain of its accounting practices (the “Review”). This Review, announced on July 31, 2017, was led by Katanga's independent directors (the “Independent Directors”). The Independent Directors engaged Canadian legal counsel and a multinational accounting firm to assist the Independent Directors in conducting the Review, which was undertaken with the cooperation and assistance of management and in consultation with Katanga’s external auditor.

30. On August 14, 2017, Katanga issued a news release announcing, among other things, that: (i) its annual and interim

financial statements and related Management's Discussion & Analysis (“MD&A”) (collectively, the “Filings”) for the period Q4 2014 to Q1 2017 should not be relied upon; and (ii) the filing of Katanga's Q2 2017 interim Filings would be delayed.

31. On August 15, 2017, the Commission issued a Management Cease Trade Order against the directors and officers of

Katanga (the “MCTO”). The MCTO remains in effect. 32. On November 20, 2017, Katanga issued a news release announcing, among other things: (i) Enforcement Staff's

investigation; (ii) the conclusion of the Review; (iii) the restatement of its 2016 annual Filings and Q1 2017 interim Filings (the “Restatement”); and (iv) the resignation of the Glencore Respondents and Lubbe.

CONDUCT CONTRARY TO THE PUBLIC INTEREST AND ONTARIO SECURITIES LAW 33. The following Parts detail Enforcement Staff’s allegations of conduct contrary to Ontario securities law and the public

interest: (a) Part I: Misleading disclosure relating to the results of Katanga's operations; (b) Part II: Corporate governance deficiencies, and misleading compensation and reporting structure disclosure;

and (c) Part III: Internal control failures.

6 Concentrate for Sale was a subset of concentrate produced.

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34. In addition, Part IV details additional allegations against Katanga only with respect to misleading risk disclosure. PART I: MISLEADING DISCLOSURE RELATING TO THE RESULTS OF KATANGA’S OPERATIONS (1) Introduction 35. During the Material Time, Katanga and the Individual Respondents (as described below) engaged in practices that

resulted in Katanga misstating its financial position and the results of its operations by: (a) Overstating Total Copper by incorrectly recording Contained Copper in 2012 to 2014; (b) Improperly capitalizing impaired and overstated inventory; (c) Overstating 2014 Copper Cathode; and (d) Misstating 2015 Copper Cathode and Contained Copper. This resulted in Katanga making materially misleading disclosure in its annual and interim financial statements and MD&As during the Material Time.

(2) Misleading Disclosure Regarding Total Copper Production from 2012 to 2014 36. In 2012 and 2013, Katanga overstated its Total Copper production by incorrectly recording Contained Copper. 37. In 2012 and 2013, Katanga calculated Concentrate for Sale as the difference between: (i) the total concentrate

production; and (ii) the concentrate that was fed to Luilu. 38. However, during this time, the calculation of both concentrate production and feed were known to be flawed, primarily

due to weaknesses in Katanga's metal accounting practices, and the calculations failed to account for unrecorded discharges. This led to an overstatement of concentrate being reported on Katanga's books.

39. As a result, Katanga overstated:

(a) Concentrate for Sale:

In 2012 and 2013, Katanga reported an aggregate of 366,329 tonnes of Concentrate for Sale but only 191,305 tonnes of concentrate sold, a difference of approximately 175,000 tonnes, some portion of which was overstated.

(b) Contained Copper and therefore Total Copper: In 2012 and 2013, Katanga reported an aggregate of 80,236 tonnes of Contained Copper. However, the aggregate copper content of the 191,305 tonnes of concentrate reported as sold during that period only amounted to 39,331 tonnes, a difference of approximately 40,000 tonnes, some portion of which was overstated.

40. In addition, Katanga continued to report that copper concentrate was being produced for sale after the suspension of copper concentrate sales in August 2013. Katanga disclosed in its annual MD&A for 2013, that it halted concentrate sales in Q3 2013 due to an increase in export taxes and increased processing capacity downstream.

41. During this time, Katanga should have ceased reporting Concentrate for Sale. As a result, the Total Copper reported in

2013 was overstated by at least 15,501 tonnes, being the Contained Copper reported between September and December 2013.

42. Commencing in January 2014, Katanga did in fact cease reporting Concentrate for Sale. However, in April 2014, Katanga

reported 1,010 tonnes of Contained Copper, resulting in the overstatement of Contained Copper and Total Copper reported in Q2 2014 by 1,010 tonnes.

43. As a result of the above, Katanga made statements that were misleading in a material respect in its Q2 2014 interim

MD&A, and its 2012 and 2013 annual MD&As, contrary to section 122(1)(b) of the Act.

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(3) Misleading Disclosure Regarding Improper Capitalization of Impaired and Overstated Inventory 44. In Q2 2014, Katanga improperly capitalized impaired ore and overstated concentrate inventories totaling approximately

USD$122 million, as described below. 45. Overstated concentrate had been accumulating on Katanga's books since at least 2012 primarily as a result of Katanga's

metal accounting weaknesses and failure to account for unrecorded discharges, as described above. In or about May 2014, at the request of its CFO, Katanga's management undertook an exercise to quantify Katanga's actual concentrate inventory and determine the extent of the overstatement. In or around the same time, Katanga's management also undertook a net realizable value (“NRV”) analysis of its ore stockpiles. These exercises revealed that: (a) Concentrate inventories were overstated by approximately 121,000 tonnes, with a recorded value of USD$106.9

million; and (b) The book value of ore inventories exceeded its NRV by approximately USD$72 million.

46. According to the Restatement, by the end of Q2 2014, the book value continued to exceed the NRV of the ore inventories by USD$55.7 million.

47. Instead of writing down the overstated concentrate and impaired ore inventories in a single write-down when finalizing

Katanga's Q2 2014 financial results, Katanga inappropriately reclassified some of the inventory as fixed assets7 as follows: (a) USD$66.6 million of overstated concentrate inventory (approximately 80,000 tonnes) was transferred from

inventory and capitalized to fixed assets and depreciated using the unit of production method. According to the Restatement, USD$1.4 million had been depreciated at the time of the Restatement; and

(b) USD$55.7 million of ore inventory (being the NRV overstatement and comprising the equivalent of close to

860,000 tonnes of the recorded ore inventories) was transferred from inventory and capitalized to fixed assets and depreciated using the unit of production method. According to the Restatement, USD$2.6 million had been depreciated at the time of the Restatement.

48. On November 20, 2017, Katanga released its Restatement, which addressed various inappropriate accounting practices

and inaccurate historical disclosure, including the abovementioned improper adjustments. 49. The Restatement indicates that the balance of the overstated concentrate inventories (approximately USD$40 million)

was expensed during fiscal 2014. 50. The improper adjustments discussed above resulted in misstatements in Katanga's quarterly and annual Filings between

Q2 2014 and Q1 2017, including, on an annual basis: (a) An understatement of Katanga's 2014 and prior years cost of sales of approximately USD$88 million; (b) An overstatement of Katanga's fixed assets as at December 31, 2014 of approximately USD$118 million; and (c) An overstatement of Katanga's fixed assets as at December 31, 2015 and 2016 and March 31, 2017 of

approximately USD$116 million. 51. As set out above, Katanga made statements in its annual Filings for 2014, 2015 and 2016 and its interim Filings for Q1

2017 that were misleading in a material respect. As a result, Katanga breached section 122(1)(b) of the Act. 52. In their capacity as directors and officers, Gallagher, Best and Lubbe authorized, permitted or acquiesced in Katanga's

misleading statements, during the period in which they were directors and officers respectively, and are deemed to have failed to comply with Ontario securities law pursuant to section 129.2 of the Act. Additionally, as a member of Katanga's Audit Committee, Gallagher’s conduct was contrary to the principles of National Instrument 52-110 Audit Committees (“NI 52-110”).8

7 This would cause the overstatement to be written off through normal course depreciation of the fixed assets. 8 (2004), 27 OSCB 3252, as amended.

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(4) Misleading Disclosure Regarding Copper Cathode Production in 2014 53. In 2014, Katanga overstated its 2014 Copper Cathode production by approximately 8,000 tonnes. 54. Each month in 2014, Katanga engaged in a practice referred to internally as “borrowing” and “paying back” of Copper

Cathode. 55. Through “borrowing”, Copper Cathode produced in month two would be reported as having been produced in month one

(i.e. “borrowed”) and then be omitted from the reported Copper Cathode production results for month two (i.e. “paid back”). However, in practice, there was no direct correlation between “borrowings” and “pay-back” each month and an aggregate “borrowing” existed at each month-end in 2014.

56. Prior to Q4 2014, these aggregate “borrowings” caused misstatements of reported copper cathode production at each

reporting period. 57. However, by October 31, 2014, the aggregate “borrowings” had more than doubled to an overstatement of approximately

2,700 tonnes. At that time, Katanga recorded year-to-date production of 128,211 tonnes of Copper Cathode. 58. During a Glencore conference call with analysts on December 10, 2014, Mistakidis stated that Katanga's production

forecast for 2014 was 165,000 tonnes. 59. Katanga had recorded November 2014 year-to-date production of 139,713 tonnes of Copper Cathode. This meant that

Katanga had to report at least 17,277 tonnes of Copper Cathode for December 2014 to report 158,000 tonnes of Total Copper for the year.

60. In late December 2014, the Glencore Respondents participated in instructing management to report 2014 total copper of

approximately 158,000 tonnes. At this time, Mistakidis and Gallagher were directors of Katanga and Henderson was a de facto officer of Katanga.

61. Katanga ultimately reported Copper Cathode production of 17,303 tonnes in December 2014 that included a net

overstatement of 5,410 tonnes and, as a result, the aggregate overstatement had increased to approximately 8,000 tonnes by December 31, 2014.

62. On February 11, 2015, Katanga released its annual MD&A for 2014 and reported:

(a) 42,807 tonnes of Copper Cathode for Q4 2014, an overstatement of approximately 6,800 tonnes; and (b) 157,016 tonnes of Copper Cathode for 2014, an overstatement of approximately 8,000 tonnes.

63. The overstatement of Copper Cathode production in December 2014 was too large to be satisfied by “borrowing” January 2015 Copper Cathode alone. Instead, Katanga recorded the approximately 8,000 tonnes by: (a) “Borrowing” approximately 1,400 tonnes from January 2015 Copper Cathode (the “January 2015 Lots”9) and

reporting it as December 2014 production; and (b) Issuing a provisional invoice (the “December 2014 Invoice”) to Glencore for 6,650 tonnes of non-existent

Copper Cathode (the “Non-Existent Lots”). The invoice was dated December 31, 2014 in the amount of USD$43 million and was subsequently settled by Glencore.

64. Both the January 2015 Lots and the Non-Existent Lots were improperly recorded as stock-in-transit as at December 31,

2014. 65. The above-mentioned overstatement of Katanga's 2014 Copper Cathode resulted in the following misstatements:

(a) An understatement of Q4 2014 and 2014 cost of sales of approximately USD$41.8 million; and (b) An overstatement of finished product inventories as at December 31, 2014 of approximately USD$41.8 million,

(collectively, the “2014 Copper Cathode Misstatements”).10

9 Finished Copper Cathode was bundled into lots for shipping. Each lot comprised approximately 30 tonnes and was assigned a unique

sequential lot number. 10 According to the Restatement, the recording of the December 2014 Invoice also resulted in an overstatement of receivables and deferred

revenue of $41.9 million as at December 31, 2014.

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66. Best and Lubbe both resigned on February 12, 2015, and were succeeded by Blizzard and Colwill respectively. Blizzard and Colwill subsequently learned of the 2014 overstatement of Copper Cathode in Q1 2015.

67. As set out above, Katanga made statements in its 2014 annual Filings that were misleading in a material respect, contrary

to section 122(1)(b) of the Act. 68. To varying degrees, Mistakidis, Gallagher, Henderson, Best and Lubbe authorized, permitted or acquiesced in misleading

statements made by Katanga in the 2014 annual Filings and are deemed to have failed to comply with Ontario securities law pursuant to section 129.2 of the Act.

69. In addition, Blizzard and Colwill certified Katanga's 2014 annual Filings, which were misleading in a material respect,

contrary to section 2.1 of National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings (“NI 52-109”)11 and section 122(1)(b) of the Act. Additionally, as a member of Katanga's Audit Committee, Gallagher’s conduct was contrary to the principles of NI 52-110.

70. Blizzard and Colwill ought to have exercised the required due diligence and oversight and sought guidance in their review

and certification of the previously filed 2014 annual Filings. (5) Misleading Disclosure Regarding Production in 2015 71. In response to the 2014 Copper Cathode Misstatements, Katanga improperly:

(a) Issued credit notes to Glencore in respect of the Non-Existent Lots; (b) Understated 2015 Copper Cathode production; (c) Removed the Non-Existent Lots from stock-in-transit; and (d) Understated the amount of concentrate fed to Luilu and recorded the copper content of that concentrate as

Contained Copper.

72. As noted above, the 2014 “borrowings” of approximately 8,000 tonnes were reported as stock-in-transit as at December 31, 2014. By January 31, 2015, the January 2015 Lots had been shipped to Glencore and were no longer recorded as stock-in-transit. However, the January 2015 Lots were not “paid back” but instead recorded again as Copper Cathode production in January 2015.

73. The Non-Existent Lots were “paid back” and removed from stock-in-transit between May and August 2015. To do this,

Katanga issued credit notes to Glencore (the “2015 Credit Notes”) for the full value of the December 2014 Invoice and reduced the Copper Cathode reported in those months.

74. On September 11, 2015, Katanga announced that it was suspending the processing of copper and cobalt. 75. In order to reflect a “pay-back” of the January 2015 Lots “borrowed” in December 2014, Katanga reduced the Copper

Cathode recorded for September 14, 2015 by approximately 1,400 tonnes. 76. As a result of the above, Katanga reported 106,816 tonnes of Copper Cathode for 2015. This amount was understated

by approximately 8,225 tonnes. More specifically: (a) Katanga's Q2 2015 interim MD&A reported 35,974 tonnes of Copper Cathode, an understatement of 4,040

tonnes; (b) Katanga's Q3 2015 interim MD&A reported 33,709 tonnes of Copper Cathode, an understatement of 4,185

tonnes; and (c) These understatements resulted in an overstatement of Katanga's 2015 cost of sales by approximately

USD$41.8 million in its 2015 annual Filings, (collectively, the “2015 Copper Cathode Misstatements”).

77. In an effort to offset the impact of the 2015 Copper Cathode Misstatements, Katanga engaged in further inappropriate accounting practices by:

11 (2004), 27 OSCB 3230, as amended.

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(a) recording 6,857 tonnes of Contained Copper as part of Katanga's Total Copper between May and August 2015; and

(b) reducing the reported concentrate fed to Luilu between May and August 2015 (collectively, the “Related

Misstatements”).

78. There was not an adequate basis under applicable accounting practices for recording the abovementioned 6,857 tonnes of Contained Copper and Katanga’s system of metal accounting was prone to inaccuracies and manipulation. The recording of this Contained Copper meant that Katanga ultimately reported 2015 Total Copper that closely approximated its actual 2015 Copper Cathode production.

79. However, some part of the abovementioned concentrate feed adjustment was the result of actual measurements of

concentrate diverted to the Luilu ponds at that time. The unsupported portion of the adjustment to the concentrate feed caused: (a) The Q2 and Q3 2015 costs of sales to be understated by at least USD$18.5 million at the KCC level and

USD$9.7 million at the Katanga level after tax and minority interests; and (b) The value of concentrate inventory to be overstated at every quarter end between Q2 2015 and Q4 2017. This

amounted to approximately USD$18.5 million at the KCC level and USD$9.7 million at the Katanga level at September 30, 2015.12

80. The Related Misstatements were not addressed in the Restatement.13 In 2018, Katanga's financial management, with

input from the external auditors and the Audit Committee, assessed the effect of the Related Misstatements on the 2015 financial statements as immaterial.

81. As set out above, Katanga made statements in its 2015 annual Filings and its Q2 and Q3 2015 interim MD&As in respect

of the 2015 Copper Cathode Misstatements that were misleading in a material respect, contrary to section 122(1)(b) of the Act.

82. To varying degrees, Mistakidis, Henderson, Gallagher, Colwill and Blizzard authorized, permitted or acquiesced in

statements made by Katanga in the 2015 annual Filings that were misleading in a material respect at the time. 83. In addition, Blizzard and Colwill certified Katanga's 2015 annual Filings, which were misleading in a material respect,

contrary to section 2.1 of NI 52-109 and section 122(1)(b) of the Act. Additionally, as a member of Katanga's Audit Committee, Gallagher’s conduct was contrary to the principles of NI 52-110.

84. Blizzard and Colwill ought to have exercised the required due diligence and oversight and sought guidance in their review

and certification of the 2015 annual Filings. PART II: CORPORATE GOVERNANCE DEFICIENCIES, AND MISLEADING COMPENSATION AND REPORTING STRUCTURE DISCLOSURE 85. The Individual Respondents were responsible for setting the “tone from the top” at Katanga by establishing and enforcing

a culture of compliance. 86. During the Material Time, in addition to their formal reporting to the Board, Katanga's CEO and CFO reported to the

Glencore Respondents and the Glencore Respondents exercised significant influence over operational and financial decisions at Katanga.14

87. Additionally, certain members of Katanga management received additional compensation directly from Glencore (the

“Glencore Compensation”) that was not previously disclosed. The compensation was paid in cash and in equity of Glencore. Such compensation should have been disclosed in Katanga's executive compensation disclosure in Katanga's management information circulars during the Material Time. Katanga did not disclose the existence of the Glencore Compensation until the Restatement in November 2017.

12 The Restatement adjusted for the overstatement of $41.8 million in 2014 referred to in paragraph 65, but did not adjust for the Related

Misstatements. 13 After the processing suspension in or around September 2015, a clean up and pond excavation at the site resulted in the identification of

previously unaccounted for copper concentrate at the mine. Katanga sold 5,862 tonnes of copper contained in concentrate in 2017. 14 During the Material Time, the Board was comprised of the three Independent Directors, Katanga's CEO and two (later three) directors

nominated by Glencore.

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88. As set out in Part I above, the Individual Respondents engaged in conduct that undermined Katanga’s corporate governance, internal controls and culture of compliance. This resulted in matters not being adequately disclosed to, and discussed with, the Independent Directors and the external auditor. This conduct contributed to the breaches set out in Part I above. As a result, the Respondents acted in a manner contrary to the public interest.

89. This “tone from the top” contributed to a culture in which Katanga staff failed to adhere to documented policies and

overrode controls as set out in Part I. 90. In addition, as set out in Part I, Gallagher failed to exercise the impartial judgment necessary to fulfill his responsibilities

as a member of the Audit Committee and failed to disclose to the other members of the Audit Committee such knowledge as he had of the matters set out in Part I. Gallagher’s conduct was contrary to the principles of NI 52-110 and the public interest.

PART III: INTERNAL CONTROL FAILURES (1) Introduction 91. NI 52-109 is a core element of the continuous disclosure regime for reporting issuers. Its objective is to improve the

quality, reliability and transparency of annual filings, interim filings and other materials that issuers file or submit under securities legislation. It does this principally by requiring that: (a) Issuers establish and maintain DC&P and ICFR; (b) Issuers disclose any material weaknesses in their ICFR; and (c) The issuer's CEO and CFO certify its disclosure, including the existence of any material weaknesses and

conclusions regarding the effectiveness of the issuer's ICFR and DC&P.

92. Material weaknesses existed in Katanga's ICFR during the Material Time and contributed to misleading disclosure discussed in Part I above. Katanga did not disclose any material weaknesses in its ICFR until the Restatement.

93. In addition, the weaknesses in the culture of compliance at Katanga rendered Katanga's ICFR and DC&P ineffective

during the Material Time, leading to the misleading disclosure discussed in Part I and Part II above. As such, Katanga failed to maintain adequate ICFR and DC&P.

(2) Material Weaknesses in ICFR 94. As set out in Part I above, the Individual Respondents engaged in conduct that undermined Katanga’s corporate

governance, internal controls and culture of compliance. 95. In addition, Katanga's inadequate metal accounting practices did not provide reasonable assurance that information

required to be disclosed by Katanga was reported accurately. This included relying on: (a) Flawed calculations for its concentrate inventory balances as set out in Part I above; and (b) Manual systems to record key production metrics for the purposes of its financial and operational reporting.

These systems required manual inputs and did not maintain an adequate audit trail, making them susceptible to manipulation.

96. These weaknesses resulted in the misleading disclosure of production activities and costs as set out in Part I above. 97. In its Restatement in 2017, Katanga first disclosed the following material weaknesses in its ICFR:

Control environment material weaknesses – […] The Company has concluded that it did not adequately establish and enforce a strong culture of compliance and controls which includes the adherence to policies, procedures and controls necessary to present financial statements in accordance with IFRS; Management override material weaknesses – The Company did not maintain effective controls to prevent or detect the circumvention or override of controls. Certain of the accounting adjustments identified in the Review are a result of senior management and executive directors in office at that time overriding the Company's control processes; and

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Monitoring material weaknesses – […] The Company has determined that certain of the accounting adjustments identified in the Review were not identified earlier due to inadequate monitoring controls, including inadequate controls and procedures to properly quantify and verify the value of in-process concentrate inventories, inadequate controls with respect to quarter-end and year-end sales cut-off procedures, insufficient involvement of internal audit in the testing of the accuracy of external financial reporting and inadequate procedures to ensure the effective implementation of internal audit recommendations on high risk areas, particularly with respect to metal accounting.

98. Katanga failed to disclose these material weaknesses in its MD&As during the Material Time, contrary to section 3.2 of NI 52-109. As a result, Katanga's interim and annual MD&As for the reporting periods between January 1, 2012 to March 31, 2017 were misleading in a material respect, contrary to section 122(1)(b) of the Act.

99. In respect of the matters set out in Part I above, the Individual Respondents authorized, permitted or acquiesced in the

misleading statements Katanga made in its interim and annual MD&As relating to ICFR between January 1, 2012 and March 31, 2017, for the reporting periods in which they were officers and/or directors and are deemed to have failed to comply with Ontario securities law pursuant to section 129.2 of the Act.

100. In addition, Katanga's CEO and CFO certified Katanga's interim and annual MD&As for the reporting periods between

January 1, 2012 and March 31, 2017 which contained the misleading statements relating to ICFR and are deemed to have failed to comply with Ontario securities law pursuant to section 122(1)(b) and section 2.1 of NI 52-109 for the reporting periods in which they were officers respectively.

(3) Failed to Maintain ICFR and DC&P 101. ICFR and DC&P are more than written policies and procedures. It is the responsibility of the directors and officers to

communicate clear expectations within an issuer that its ICFR and DC&P must be followed. 102. In respect of the allegations in Part I above, the Individual Respondents authorized, permitted or acquiesced in Katanga's

failure to adhere to documented policies and controls for the reporting periods in which they were officers and/or directors respectively. This contributed to Katanga making materially misleading disclosure in its interim and annual MD&As as outlined above. As a result, Katanga failed to maintain adequate ICFR and DC&P, contrary to section 3.1 of NI 52-109.

103. Katanga stated in its interim and annual MD&As for the reporting periods between January 1, 2012 and March 31, 2017

that its CEO and CFO had concluded that: (a) Katanga's ICFR had been designed effectively to provide reasonable assurance regarding the reliability of the

preparation and presentation of the financial statements for external purposes and were effective; and (b) Katanga's DC&P provided a reasonable level of assurance that they were effective.

104. These statements were misleading in a material respect, contrary to section 122(1)(b) of the Act. 105. The Individual Respondents authorized, permitted or acquiesced in the misleading statements by Katanga relating to the

effectiveness of ICFR and DC&P in its interim and annual MD&As for the reporting periods between January 1, 2012 and March 31, 2017, for the reporting periods in which they were officers and/or directors respectively, and are deemed to have failed to comply with Ontario securities law pursuant to section 129.2 of the Act.

106. In addition, Katanga's CEO and CFO certified Katanga's interim and annual MD&As for the reporting periods between

January 1, 2012 and March 31, 2017 with respect to the effectiveness of Katanga's ICFR and DC&P, which were materially misleading. As such, Best, Blizzard, Lubbe and Colwill breached section 2.1 of NI 52-109 and section 122(1)(b) of the Act for the reporting periods in which they were officers respectively.

PART IV: ADDITIONAL ALLEGATIONS AGAINST KATANGA ONLY - MISLEADING RISK DISCLOSURE15 (1) Introduction 107. During the Material Time, Katanga failed to disclose the risks posed by its reliance on the Gertler Associates.

15 The allegations outlined in Part IV are made against Katanga only, and not against the Individual Respondents.

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(2) Gertler Associates Represented Katanga in its Dealings with the DRC Government 108. Glencore acquired control of Katanga through a series of transactions that commenced in 2007. Glencore worked with

and invested alongside entities associated with Gertler in certain of these transactions. During the Material Time and until February 2017, entities associated with Gertler were beneficial shareholders of Katanga. In February 2017, entities associated with Gertler beneficially held at least 11% of Katanga’s common shares.

109. During the Material Time, there were references in non-governmental reports, as well as media reports about Gertler's

close relationship with Joseph Kabila, the President of the DRC, and allegations of Gertler's possible involvement in corrupt activities in the DRC. Until September 2016, however, there were no allegations relating to Gertler by any government agency responsible for anti-corruption enforcement.

110. In September 2016, the US Securities and Exchange Commission and the US Department of Justice announced the

Och-Ziff Settlements. Och-Ziff’s deferred prosecution agreement refers to corrupt practices by an unidentified “DRC Partner” described as an “Israeli businessman”. Katanga’s senior management and the Board understood the “DRC Partner” to be Gertler.

111. Following the Och-Ziff Settlements in September 2016, Glencore bought out Gertler's interest in Katanga (approximately

11%) in February 2017 and Katanga took steps to terminate its business relationships with the Gertler Associates in 2017.

112. During the Material Time, Katanga relied upon and paid the Gertler Associates to maintain relations with the DRC

government and for a variety of other services which required interactions with DRC government officials to represent Katanga’s interests. These services, provided by Gertler Associates through their offices and employees in the DRC, included legal, tax, and customs clearing services.

113. For example:

(a) In or about October 2010, Pieter Deboutte (“Deboutte”), an individual who represented Gertler's interests in the

DRC, was tasked with responsibility for engaging with the DRC government on Katanga's behalf. (b) During the period from October 2010 to December 2013, Deboutte and his associates represented Katanga on

a number of matters involving the DRC government. (c) Katanga first formalized its relationship with Deboutte in December 2013, when KCC entered into a contract for

various services with De Novo Congo (“De Novo”), as referred to in paragraph 112 above, including the maintenance of relations with relevant sector ministries, the Presidency, national and provincial assemblies, the prime minister's office, the Governor and provincial government, the judicial system and responsible security bodies. The agreement provided that KCC pay De Novo a total fixed fee of USD$6 million plus applicable taxes for each of 2013 and 2014.

(d) Beginning in or about January 2015, Deboutte and his associates continued to provide services to KCC through

an entity named Jarvis Congo (“Jarvis”). KCC paid Jarvis at the same rate as it previously agreed to pay De Novo.

114. Katanga did not disclose its reliance on the Gertler Associates, including Deboutte, De Novo and Jarvis. (3) Katanga Paid Royalties and pas de porte to AHIL – a Gertler Associate 115. During the Material Time, Gécamines directed that royalties and pas de porte payable to Gécamines under the JV

Agreement be paid to a Gertler Associate instead of Gécamines.16 116. Between December 2013 and July 2015 and on the direction of Gécamines, Katanga paid the royalties and pas de porte

previously due to Gécamines under the JV Agreement to a Gertler Associate. Katanga was instructed by Gécamines to make the required royalty and pas de porte payments to Africa Horizons Investment Ltd. (“AHIL”), a Gertler Associate. Katanga did not disclose these facts until 2018.

117. In particular, in 2013, Katanga received instructions from Gécamines to make royalty and pas de porte payments to AHIL.

Katanga made the payments to AHIL in December 2013. In its 2013 AIF, Katanga disclosed that the royalties and pas de porte were payable to Gécamines but did not disclose that they were actually paid to AHIL.

16 This resulted in Katanga's liability to Gécamines being offset to the extent of the payments.

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118. Katanga continued to pay royalties and pas de porte in 2014 to AHIL pursuant to further directions from Gécamines. This included prepayments directed by Gécamines amounting to over USD$30 million. Katanga disclosed in its 2014 AIF that royalties and pas de porte were required to be paid under the JV Agreement, but did not disclose that they were paid to AHIL.

119. In January 2015, KCC entered into a formal agreement with Gécamines and AHIL (the “Tripartite Royalty Agreement”),

which formally assigned Gécamines' right to receive royalties to AHIL and amended the JV Agreement accordingly. 120. In March and July 2015, Katanga made a series of additional royalty and pas de porte prepayments to AHIL, totalling

over USD$83 million. Katanga disclosed in its 2015 AIF that royalties and pas de porte were required to be paid under the JV Agreement, without identifying the payee. Katanga did not disclose: (i) the amendment of the JV Agreement; (ii) the Tripartite Royalty Agreement; or (iii) that it prepaid royalties and pas de porte to AHIL.

121. Katanga disclosed in its 2016 AIF that KCC was required to pay royalties to a “third party”. Katanga did not disclose the

payment of royalties and pas de porte to AHIL prior to 2017 and did not disclose the connection between AHIL and Gertler until 2018.

122. During the Material Time, Katanga made royalty and pas de porte payments to AHIL totaling over USD$146 million. (4) Misleading Entity-Specific Risk Disclosure 123. As a reporting issuer operating in the DRC, Katanga did not properly consider the disclosure it was required to provide

in connection with its ongoing engagement of the Gertler Associates and the related risks. 124. Katanga's AIFs for the period 2012 to 2016 provided risk disclosure including:17

Katanga may also be subject to certain international laws including, but not limited to, the Corruption of Foreign Officials Act, the Bribery Act (UK) and Foreign Corrupt Practices Act (USA). Despite Katanga's efforts to comply with applicable requirements, there can be no assurance that the Corporation has been or will be at all times in complete compliance with such requirements, that compliance will not be challenged nor that the costs of complying with current and future requirements will not materially or adversely affect Katanga's future cash flow, results of operations and financial condition.

125. Katanga's AIF disclosure failed to adequately describe the heightened risks associated with: (i) its operating environment, specifically the elevated risk of public sector corruption in the DRC; and (ii) the nature and extent of its reliance on the Gertler Associates (including Deboutte, De Novo and Jarvis), including the risk that a cessation or deterioration in Katanga's business relationships with the Gertler Associates could have an adverse impact on Katanga's business.

126. As a result of the above, Katanga's AIFs for the period 2012 to 2016 failed to make appropriate entity-specific risk

disclosure and were misleading in a material respect, contrary to section 122(1)(b) of the Act. C. BREACHES AND CONDUCT CONTRARY TO THE PUBLIC INTEREST 127. Enforcement Staff allege the following breaches of Ontario securities law and/or conduct contrary to the public interest:

In respect of allegations in Parts I, II, III and IV, (a) Katanga:

(i) Made statements that were misleading in a material respect in its AIFs for 2012 to 2016, contrary to

section 122(1)(b) of the Act; (ii) Made statements that were misleading in a material respect in its interim and annual MD&As for the

reporting periods between January 1, 2012 and March 31, 2017, contrary to section 122(1)(b) of the Act;

(iii) Made statements that were misleading in a material respect in its interim financial statements for Q1

2017 and its annual financial statements for 2014 to 2016, contrary to section 122(1)(b) of the Act; (iv) Failed to maintain adequate ICFR and DC&P for the reporting periods between January 1, 2012 to

March 31, 2017, contrary to section 3.1 of NI 52-109;

17 This quotation is from Katanga's AIF dated March 28, 2014. There were different versions of this disclosure over the Material Time.

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(v) Failed to disclose material weaknesses in ICFR in its interim and annual MD&As for the reporting periods between January 1, 2012 to March 31, 2017, contrary to section 3.2 of NI 52-109; and

(vi) Acted in a manner contrary to the public interest.

In respect of allegations in Parts I, II and III only: (b) Mistakidis:

(i) Authorized, permitted or acquiesced in Katanga making statements that were misleading in a material

respect relating to the effectiveness of its ICFR and DC&P in its interim and annual MD&As for the reporting periods between January 1, 2012 and March 31, 2017, and in respect of the 2014 Copper Cathode Misstatements in its 2014 annual MD&A and in respect of its 2015 Copper Cathode Misstatements in its Q2 and Q3 2015 interim MD&As and 2015 annual MD&A, contrary to section 129.2 of the Act;

(ii) Authorized, permitted or acquiesced in Katanga making statements relating to the 2014 Copper

Cathode Misstatements and 2015 Copper Cathode Misstatements that were misleading in a material respect in its annual financial statements for 2014 and 2015, contrary to section 129.2 of the Act;

(iii) Authorized, permitted or acquiesced in Katanga failing to maintain adequate ICFR and DC&P for the

reporting periods between January 1, 2012 to March 31, 2017, contrary to section 129.2 of the Act; (iv) Authorized, permitted or acquiesced in Katanga failing to disclose material weaknesses in ICFR in its

interim and annual MD&As for the reporting periods between January 1, 2012 to March 31, 2017, contrary to section 129.2 of the Act; and

(v) Acted in a manner contrary to the public interest.

(c) Henderson: (i) Authorized, permitted or acquiesced in Katanga making statements that were misleading in a material

respect in its interim and annual MD&As for the reporting periods between January 1, 2014 and March 31, 2017, contrary to section 129.2 of the Act;

(ii) Authorized, permitted or acquiesced in Katanga making statements that were misleading in a material

respect in its annual financial statements for 2014 and 2015, contrary to section 129.2 of the Act; (iii) Authorized, permitted or acquiesced in Katanga failing to maintain adequate ICFR and DC&P for the


interim and annual MD&As for the reporting periods between January 1, 2014 to March 31, 2017, contrary to section 129.2 of the Act; and

(v) Acted in a manner contrary to the public interest.

(d) Gallagher: (i) Authorized, permitted or acquiesced in Katanga making statements that were misleading in a material

respect in its interim and annual MD&As for the reporting periods between October 1, 2012 and March 31, 2017, contrary to section 129.2 of the Act;


respect in its interim financial statements for Q1 2017 and its annual financial statements for 2014 to 2016, contrary to section 129.2 of the Act;


reporting periods between October 1, 2012 to March 31, 2017, contrary to section 129.2 of the Act; (iv) Authorized, permitted or acquiesced in Katanga failing to disclose material weaknesses in ICFR in its

interim and annual MD&As for the reporting periods between October 1, 2012 to March 31, 2017, contrary to section 129.2 of the Act; and

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(v) Acted in a manner contrary to the principles of NI 52-110 and the public interest.

(e) Best: (i) Authorized, permitted or acquiesced in Katanga making statements that were misleading in a material

respect in its interim and annual MD&As for the reporting periods between January 1, 2012 and December 31, 2014, contrary to section 129.2 of the Act;


respect in its annual financial statements for 2014, contrary to section 129.2 of the Act; (iii) Authorized, permitted or acquiesced in Katanga failing to maintain adequate ICFR and DC&P for the

reporting periods between January 1, 2012 and December 31, 2014, contrary to section 129.2 of the Act;

(iv) Authorized, permitted or acquiesced in Katanga failing to disclose material weaknesses in ICFR in

interim and annual MD&As for the reporting periods between January 1, 2012 and December 31, 2014, contrary to section 129.2 of the Act;

(v) Certified Katanga's interim and annual MD&As for the reporting periods between January 1, 2012 and

September 30, 2014, which were materially misleading, contrary to section 2.1 of NI 52-109 and section 122(1)(b) of the Act; and


(f) Blizzard: (i) Authorized, permitted or acquiesced in Katanga making statements that were misleading in a material

respect in its interim and annual MD&As for the reporting periods between January 1, 2015 and March 31, 2017, contrary to section 129.2 of the Act;




interim and annual MD&As for the reporting periods between January 1, 2015 and March 31, 2017, contrary to section 129.2 of the Act;

(v) Certified Katanga's interim MD&As for the reporting periods between January 1, 2015 and March 31,

2017, its annual MD&As for 2014 to 2016, and its annual financial statements for 2014 to 2015, which were materially misleading, contrary to section 2.1 of NI 52-109 and section 122(1)(b) of the Act; and


(g) Lubbe: (i) Authorized, permitted or acquiesced in Katanga making statements that were misleading in a material

respect in its (a) interim MD&As for the reporting periods between January 1, 2014 and September 30, 2014, and January 1, 2017 to March 31, 2017; and (b) annual MD&As for 2013, 2014 and 2016, contrary to section 129.2 of the Act;


respect in its interim financial statements for Q1 2017 and its annual financial statements for 2014 and 2016, contrary to section 129.2 of the Act;


reporting periods between November 1, 2013 and December 31, 2014, and between October 1, 2016 and March 31, 2017, contrary to section 129.2 of the Act;

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(iv) Authorized, permitted or acquiesced in Katanga failing to disclose material weaknesses in ICFR its: (a) interim MD&As for the reporting periods between January 1, 2014 and September 30, 2014, and January 1, 2017 to March 31, 2017; and (b) annual MD&As for 2013, 2014 and 2016, contrary to section 129.2 of the Act;

(v) Certified Katanga's: (a) interim MD&As for the reporting periods between January 1, 2014 and

September 30, 2014, and July 1, 2016 and March 31, 2017; and (b) annual MD&A for 2016, which were materially misleading, contrary to section 2.1 of NI 52-109 and section 122(1)(b) of the Act; and; and


(h) Colwill: (i) Authorized, permitted or acquiesced in Katanga making statements that were misleading in a material

respect in its interim and annual MD&As for the reporting periods between January 1, 2015 and September 30, 2016, contrary to section 129.2 of the Act;



reporting periods between January 1, 2015 and September 30, 2016, contrary to section 129.2 of the Act;

(iv) Authorized, permitted or acquiesced in Katanga failing to disclose material weaknesses in ICFR in its

interim and annual MD&As for the reporting periods between January 1, 2015 and September 30, 2016, contrary to section 129.2 of the Act;

(v) Certified Katanga's interim MD&As for the reporting periods between January 2015 and September

30, 2016, annual MD&A for 2015, and annual financial statements for 2014 and 2015, which were materially misleading, contrary to section 2.1 of NI 52-109 and section 122(1)(b) of the Act; and


Enforcement Staff reserve the right to make such other allegations as Enforcement Staff may advise and the Commission may permit.

DATED at Toronto, December 14, 2018. Carlo Rossi Senior Litigation Counsel Enforcement Branch Ontario Securities Commission 20 Queen Street West, 22nd Floor Toronto, ON M5H 3S8 Tel: (416) 204-8987 Email: [email protected] Lawyer for Staff of the Ontario Securities Commission

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1.4 Notices from the Office of the Secretary 1.4.1 Katanga Mining Limited et al.

FOR IMMEDIATE RELEASE December 17, 2018

KATANGA MINING LIMITED, ARISTOTELIS MISTAKIDIS,



JACQUES LUBBE and MATTHEW COLWILL,

File No. 2018-76 TORONTO – The Office of the Secretary issued a Notice of Hearing for a hearing to consider whether it is in the public interest to approve a settlement agreement entered into by Staff of the Commission and the respondents in the above named matter. The hearing will be held on December 18, 2018 at 9:00 a.m. on the 17th floor of the Commission's offices located at 20 Queen Street West, Toronto. A copy of the Notice of Hearing dated December 17, 2018 and Statement of Allegations dated December 14, 2018 are available at www.osc.gov.on.ca. OFFICE OF THE SECRETARY GRACE KNAKOWSKI SECRETARY TO THE COMMISSION For media inquiries: [email protected] For investor inquiries: OSC Contact Centre 416-593-8314 1-877-785-1555 (Toll Free)

1.4.2 Issam El-Bouji


ISSAM EL-BOUJI, File No. 2018-28

TORONTO – Take notice that the hearing on the merits in the above named matter shall commence on May 1, 2019 at 10:00 a.m. and continue on May 2, 6, 8, 9, 10, 14, 15, 16, 17 and 22, 2019. The April 29, 2019 date is vacated. OFFICE OF THE SECRETARY GRACE KNAKOWSKI SECRETARY TO THE COMMISSION For media inquiries: [email protected] For investor inquiries: OSC Contact Centre 416-593-8314 1-877-785-1555 (Toll Free)




Notices

January 3, 2019

(2019), 42 OSCB 20

1.4.3 Maria Psihopedas


MARIA PSIHOPEDAS,

File No. 2018-18 TORONTO – The Application filed on April 5, 2018 and amended on April 20, 2018, made by the party named above to review a decision of a Director of the Commission dated March 7, 2018 has been withdrawn. A copy of the Notice of Withdrawal dated December 20, 2018 is available at www.osc.gov.on.ca. OFFICE OF THE SECRETARY GRACE KNAKOWSKI SECRETARY TO THE COMMISSION For media inquiries: [email protected] For investor inquiries: OSC Contact Centre 416-593-8314 1-877-785-1555 (Toll Free)

1.4.4 SBC Financial Group Inc. and Prabhjot Singh Bakshi

FOR IMMEDIATE RELEASE

December 24, 2018

SBC FINANCIAL GROUP INC. and PRABHJOT SINGH BAKSHI,

File No. 2018-67 TORONTO – The Commission issued its Reasons and Decision and an Order pursuant to Subsections 127(1) and 127(10) of the Securities Act in the above noted matter. A copy of the Reasons and Decision and the Order dated December 21, 2018 are available at www.osc.gov.on.ca. OFFICE OF THE SECRETARY GRACE KNAKOWSKI SECRETARY TO THE COMMISSION For media inquiries: [email protected] For investor inquiries: OSC Contact Centre 416-593-8314 1-877-785-1555 (Toll Free)





January 3, 2019

(2019), 42 OSCB 21

Chapter 2

Decisions, Orders and Rulings 2.1 Decisions 2.1.1 Investors Canadian Equity Fund et al. Headnote National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – approval of mutual fund mergers – approval required because mergers do not meet the criteria for pre-approval – securityholders of merging funds provided with timely and adequate disclosure regarding the mergers. Applicable Legislative Provisions National Instrument 81-102 Investment Funds, ss. 5.5(1)(b), 5.6(1), 5.7(1)(b).

November 15, 2018

IN THE MATTER OF THE SECURITIES LEGISLATION OF

MANITOBA AND ONTARIO (the “Jurisdictions”)

AND

IN THE MATTER OF

THE PROCESS FOR EXEMPTIVE RELIEF APPLICATIONS IN MULTIPLE JURISDICTIONS

AND

IN THE MATTER OF THE MERGERS OF

INVESTORS CANADIAN EQUITY FUND, IG MACKENZIE CANADIAN EQUITY GROWTH FUND,

INVESTORS CANADIAN GROWTH FUND, INVESTORS CANADIAN LARGE CAP VALUE FUND,

INVESTORS CANADIAN SMALL CAP FUND, IG MACKENZIE IVY CANADIAN BALANCED FUND,

INVESTORS U.S. DIVIDEND GROWTH FUND, INVESTORS U.S. LARGE CAP VALUE FUND,

IG PUTNAM LOW VOLATILITY U.S. EQUITY FUND, INVESTORS CANADIAN BOND FUND,

IG PUTNAM EMERGING MARKETS INCOME FUND, IG MACKENZIE CUNDILL GLOBAL VALUE FUND,

INVESTORS GLOBAL REAL ESTATE FUND, ALTO MONTHLY INCOME & GLOBAL GROWTH FUND

(the “Merging Funds”) into INVESTORS CANADIAN SMALL CAP GROWTH FUND,

INVESTORS NORTH AMERICAN EQUITY FUND, INVESTORS MUTUAL OF CANADA,

INVESTORS CORE U.S. EQUITY FUND, IG MACKENZIE INCOME FUND,

IG PUTNAM U.S. HIGH YIELD INCOME FUND, INVESTORS GLOBAL FUND,

ALLEGRO BALANCED GROWTH FUND (the “Continuing Funds”, and collectively with the Merging Funds, referred to as the “Funds”)

Decisions, Orders and Rulings

January 3, 2019

(2019), 42 OSCB 22

AND

IN THE MATTER OF I.G. INVESTMENT MANAGEMENT, LTD.

(referred to as “IGIM” and collectively with the Funds referred to as the “Filers”)

DECISION Background The securities regulatory authority or regulator in each of the Jurisdictions (the “Decision Maker”) has received an application from the Filers for a decision under the securities legislation (the “Legislation”) of the Jurisdictions for approval under paragraph 5.5(1)(b) of National Instrument 81-102 Investment Funds (“NI 81-102”) of the mergers (the “Mergers”) of the Merging Funds into the applicable Continuing Funds (the “Exemption”). Under the Process for Exemptive Relief Applications in Multiple Jurisdictions (for a dual application):

(a) the Manitoba Securities Commission is the principal regulator for this application; (b) the Filers have provided notice that section 4.7(1) of Multi-Lateral Instrument 11-102 Passport System (“MI 11-

102”) is intended to be relied upon in British Columbia, Alberta, Saskatchewan, Québec, New Brunswick, Nova Scotia, Prince Edward Island, Newfoundland and Labrador, Yukon, Nunavut and the North West Territories; and

(c) the decision is the decision of the Principal Regulator and evidences the decision of the securities regulatory

authority or regulator in Ontario. Interpretation Defined terms contained in National Instrument 14-101 Definitions and MI 11-102 have the same meaning if used in this decision, unless they are otherwise defined. The following terms have the following meanings:

• The Merging Funds and the Continuing Funds (as defined below) managed by IGIM are herein individually and collectively referred to as the “Funds”;

• Investors Canadian Equity Fund, IG Mackenzie Canadian Equity Growth Fund, Investors Canadian Growth

Fund, Investors Canadian Large Cap Value Fund, Investors Canadian Small Cap Fund, IG Mackenzie Ivy Canadian Balanced Fund, Investors U.S. Dividend Growth Fund, Investors U.S. Large Cap Value Fund, IG Putnam Low Volatility U.S. Equity Fund, Investors Canadian Bond Fund, IG Putnam Emerging Markets Income Fund, IG Mackenzie Cundill Global Value Fund, Investors Global Real Estate Fund and Alto Monthly Income & Global Growth Fund are herein collectively referred to as the “Merging Funds”;

• Investors Canadian Small Cap Growth Fund, Investors North American Equity Fund, Investors Mutual of

Canada, Investors Core U.S. Equity Fund, IG Mackenzie Income Fund, IG Putnam U.S. High Yield Income Fund, Investors Global Fund and Allegro Balanced Growth Fund are herein collectively referred to as the “Continuing Funds”.

Representations This decision is based on the following facts represented by the Filers: The Filers 1. The head office of IGIM is in Winnipeg, Manitoba and, accordingly, Manitoba is the principal regulator. IGIM is a

corporation continued under the laws of Ontario. It is the trustee and manager of the Funds. 2. IGIM is registered as a Portfolio Manager and an Investment Fund Manager in Manitoba, Ontario, and Quebec and as

an Investment Fund Manager in Newfoundland and Labrador. 3. IGIM is not in default of any of the requirements of securities legislation of any of the provinces and territories in Canada.


January 3, 2019

(2019), 42 OSCB 23

The Funds 4. All of the Funds are open-end mutual funds established or continued under a Master Declaration of Trust under the laws

of Manitoba. 5. Securities of the Funds are qualified for distribution in each province and territory of Canada pursuant to a simplified

prospectus (“SP”), annual information form (“AIF”) and fund facts (“Fund Facts”) prepared in accordance with National Instrument 81-101 Mutual Fund Prospectus Disclosure dated June 30, 2018, as amended on September 30, 2018 (the “Prospectus”).

6. The net asset values of each series of the Funds are calculated on a daily basis on each day that IGIM is open for

business. 7. The Funds are reporting issuers under the Legislation in each Jurisdiction and are not on the list of defaulting reporting

issuers maintained under the Legislation in each Jurisdiction, and are not in default of any of the requirements of the Legislation of any of the provinces and territories of Canada.

The Mergers 8. IGIM proposes that each Merging Fund be merged into a corresponding Continuing Fund (each a “Merger” and

collectively the “Mergers”) as follows:

Merging Fund Continuing Fund

Investors Canadian Equity Fund Investors Mackenzie Canadian Equity Growth Fund Investors Canadian Growth Fund Investors Canadian Large Cap Value Fund

to merge into Investors North American Equity Fund

Investors Canadian Small Cap Fund to merge into Investors Canadian Small Cap Growth Fund

IG Mackenzie Ivy Canadian Balanced Fund to merge into Investors Mutual of Canada

Investors U.S. Dividend Growth Fund Investors U.S. Large Cap Value Fund IG Putnam Low Volatility U.S. Equity Fund

to merge into Investors Core U.S. Equity Fund

Investors Canadian Bond Fund to merge into IG Mackenzie Income Fund

IG Putnam Emerging Markets Income Fund to merge into IG Putnam U.S. High Yield Income Fund

IG Mackenzie Cundill Global Value Fund Investors Global Real Estate Fund

to merge into Investors Global Fund

Alto Monthly Income & Global Growth Portfolio to merge into Allegro Balanced Growth Portfolio 9. Approval of the Mergers is required because the Mergers do not satisfy all of the criteria for pre-approved reorganizations

and transfers set out in section 5.6 of NI 81-102. More specifically, contrary to section 5.6(1)(a)(ii), a reasonable person might consider that the fundamental investment objectives of the Continuing Funds and the Merging Funds are not substantially similar.

10. The Mergers will proceed on a tax-deferred basis so securityholders of the Merging Funds will not realize any capital

gain or loss as a result of the Mergers. 11. Except as set out in paragraph 9, the Mergers will comply with all of the other criteria for pre-approved reorganizations

and transfers set out in paragraph 5.6 of NI 81-102. 12. Subject to obtaining all necessary approvals, the Merging Funds will merge into the Continuing Funds on or about the

close of business on February 8, 2019 (the “Effective Date”), and the Continuing Funds will continue as publicly offered open-end mutual funds, whereas the Merging Funds will be wound up as soon as reasonably possible.

13. Securityholders of the Merging Funds will continue to have the right to redeem securities of the Merging Funds for cash

at any time up to the close of business on the Effective Date.


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(2019), 42 OSCB 24

14. The fee structure of each Continuing Fund is the same as the fee structure of its corresponding Merging Fund and, on the Effective Date, the fees payable by the Continuing Funds will be the same as, or lower than, the fees payable by their corresponding Merging Funds. Accordingly, there will be no increase in fees payable by securityholders of the Merging Funds as a result of the Mergers.

15. IGIM will pay for all costs associated with the securityholder meetings to vote on the Mergers, including legal, proxy

solicitation, printing, and mailing expenses, as well as any brokerage transaction fees associated with any Merger related trades and regulatory fees.

16. IGIM has determined that the Mergers will not be a material change to the Continuing Funds because they will not entail

a change in the business, operations or affairs of the Continuing Funds that would be considered important by a reasonable investor in determining whether to purchase or continue to hold securities of the Continuing Funds.

17. IGIM intends to proceed with any Merger that obtains securityholder and regulatory approval, even if other Mergers fail

to obtain securityholder and/or regulatory approval. 18. If implemented, IGIM intends to implement the Mergers as follows:

Step 1: Prior to the Merger, the Merging Fund and the Continuing Fund will determine the amount of income and net

capital gains each has realized during the taxation year up to the Effective Date. These Funds will then distribute sufficient income and net capital gains to their securityholders to ensure that the Funds will not pay any taxes.

Step 2: Each Merging Fund will transfer or sell all of its net assets (being its investment portfolio, other assets including

cash, and liabilities) to it's corresponding Continuing Fund in exchange for units of equivalent value in the Continuing Fund, as determined on the date of the Merger

Step 3: Following Step 2, each Merging Fund will immediately thereafter redeem its own units at their net asset value

per unit. Securityholders of the Merging Fund will receive units of the equivalent Series of the Continuing Fund in an amount equal to the fair market value of their units in the Merging Fund. After this step, securityholders of each Merging Fund will become securityholders of it's corresponding Continuing Fund.

Step 4: Within 60 days after the Merger, the Merging Funds each will be wound-up.

Securityholder Meetings 19. Securityholder meetings for the Merging Funds are being convened on or about December 4, 2018, to approve the

Mergers. This will give the securityholders the opportunity to approve the Mergers as required by paragraph 5.1(1)(f) of NI 81-102.

20. A notice of meeting in the form of a “Notice and Access” document (the “Notice Document”) along with a form of proxy

and the Fund Facts document(s) for the series of the Continuing Fund into which the investment of a securityholder of a Merging Fund will be merged as a result of the Merger of their Fund will be mailed to securityholders of the Merging Funds beginning on or about October 23, 2018 in compliance with the “Notice and Access” requirements pursuant to an exemption granted to IGIM on behalf of the Funds dated November 29, 2016 (the “2016 Exemption”).

21. A management information circular (the “Circular”) will be made available to securityholders and posted on the website

of IGIM or the Funds in compliance with the 2016 Exemption. The Circular will, among other things, describe the tax implications of the Mergers, as well as the material differences between each Merging Fund and the corresponding Continuing Fund for all the Mergers, so securityholders of the Merging Funds will have sufficient information to permit them to make an informed decision of whether or not to approve each Merger at the meetings of their Funds.

22. The Notice Document will disclose that the Circular and audited annual financial statements of the Continuing Funds can

be obtained by accessing them at the website of IGIM or the SEDAR website, or requesting paper copies of each by calling a toll-free telephone number as well as any other disclosure requirements mandated by the 2016 Exemption.

23. A news release was issued on September 17, 2018 announcing the proposed Mergers and amendments to the

Prospectus and Fund Facts of each retail series of each Merging Fund, and a material change report was filed on SEDAR on September 17, 2018 with respect to the Mergers as required by the Legislation of the Jurisdictions.


January 3, 2019

(2019), 42 OSCB 25

IRC Review 24. As required by National Instrument 81-107 Independent Review Committee for Investment Funds, IGIM has referred the

Mergers to the Funds’ independent review committee (the “IRC”) for its review. On September 14, 2018, the IRC provided a recommendation to the Manager that the Mergers, if implemented, would achieve a fair and reasonable result for the Funds.

Reasons for the Mergers 25. The Mergers are being proposed to simplify and streamline IGIM’s product offering by merging Funds whose investment

objectives have a large amount of overlap. It is expected that the elimination of similar fund offerings across product lines will result in a product line-up that is easier for investors to understand.

26. The Mergers are also being proposed because it is anticipated that the larger asset size of the combined Continuing

Funds may provide the potential for efficiencies in the management of the investment portfolios of the securityholders, which may include lower portfolio transaction costs in some instances.

27. In conjunction with the Mergers, IGIM has called a meeting of the securityholders of the Investors Canadian Small Cap

Growth Fund to approve a change of its investment objective that will permit the Fund to seek exposure to small- and mid- cap Canadian corporations, rather than simply small-cap Canadian Corporations. It is anticipated that this change, if approved by their securityholders, will benefit the Merging Fund involved in this Merger, Investors Canadian Small Cap Fund.

28. Overall, it is anticipated by IGIM that these changes will enhance the potential for improved long-term performance of the

Funds. Decision Each of the Decision Makers is satisfied that the decision meets the test set out in the Legislation of the Decision Maker to make the decision. The Decision of the Decision Makers under the Legislation is that the Exemption sought is granted, provided the securityholders of each Merging Fund approve the Merger. “Christopher Besko” Director, General Counsel The Manitoba Securities Commission


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2.1.2 First Asset Investment Management Inc. et al. Headnote National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – Relief granted to exchange traded mutual funds for extension of lapse date of their prospectus – Filer will incorporate offering of the ETFs under the same offering documents as related family of funds when they are renewed – Extension of lapse date will not affect the currency or accuracy of the information contained in the current prospectus. Applicable Legislative Provisions Securities Act, R.S.O. 1990, c. S.5, as am., s. 62(5).

December 5, 2018


ONTARIO (the Jurisdiction)

AND

IN THE MATTER OF


AND

IN THE MATTER OF

FIRST ASSET INVESTMENT MANAGEMENT INC. (the Filer)

AND

IN THE MATTER OF

FIRST ASSET CORE CANADIAN EQUITY ETF, FIRST ASSET CORE U.S. EQUITY ETF AND

FIRST ASSET ACTIVE CREDIT ETF (the Funds)

DECISION

Background The principal regulator in the Jurisdiction has received an application from the Filer on behalf of the Funds for a decision under the securities legislation of the Jurisdiction (the Legislation) that the time limits for the renewal of the prospectuses of the Funds, each dated February 1, 2018 (the Prospectuses) be extended to those time limits that would apply if the lapse date were April 27, 2019 (the Requested Relief). Under the Process for Exemptive Relief Applications in Multiple Jurisdictions (for a passport application):

(a) the Ontario Securities Commission is the principal regulator for the application; and (b) the Filer has provided notice that subsection 4.7(1) of Multilateral Instrument 11-102 Passport System (MI 11-

102) is intended to be relied upon in all of the provinces and territories of Canada other than the Jurisdiction (together with the Jurisdiction, the Jurisdictions).

Interpretation Terms defined in National Instrument 14-101 Definitions and MI 11-102 have the same meaning if used in this decision, unless otherwise defined.


January 3, 2019

(2019), 42 OSCB 27

Representations This decision is based on the following facts represented by the Filer: 1. The Filer is a corporation incorporated under the laws of Ontario. The Filer’s head office is located in Toronto, Ontario. 2. The Filer is registered as a portfolio manager in Ontario and as an investment fund manager under the securities

legislation of each of Ontario, Québec and Newfoundland and Labrador. The Filer is the investment fund manager of each Fund.

3. Each Fund is an exchange-traded mutual fund (ETF) established under the laws of Ontario, and is a reporting issuer as

defined in the securities legislation of each of the Jurisdictions. 4. None of the Filer or the Funds is in default of securities legislation in any of the Jurisdictions. 5. The Funds currently distribute securities in the Jurisdictions under the Prospectuses, and units of the Funds trade on the

Toronto Stock Exchange. 6. Pursuant to subsection 62(1) of the Act, the lapse date of each Prospectus is February 1, 2019 (the Lapse Date).

Accordingly, under subsection 62(2) of the Act, the distribution of securities of the Funds would have to cease on the Lapse Date unless: (i) each Fund files a pro forma prospectus at least 30 days prior to February 1, 2019; (ii) the final prospectus is filed no later than 10 days after February 1, 2019; and (iii) a receipt for the final prospectus is obtained within 20 days of February 1, 2019.

7. The Filer is also the investment fund manager of 16 other ETFs (the Affiliated Funds) that currently distribute their

securities to the public under a prospectus that has a lapse date of April 27, 2019 (the Master Prospectus). 8. As part of the renewal of the Master Prospectus in 2019, the Filer intends to consolidate the prospectus of all its ETFs

into the Master Prospectus, such that all ETFs for which the Filer acts as investment fund manager will be offered under the Master Prospectus.

9. Offering the Funds under the same prospectus as the other ETFs would assist in disseminating information with respect

to the ETFs in matters such as switching between a Fund and the other exchange-traded funds. Further, the Affiliated Funds share many common operational and administrative features with the Funds, and combining them in the same prospectus will allow investors to more easily compare their features.

10. Accordingly, the Filer would like to extend the times provided in subsection 62(2) of the Act in respect of the Lapse Date

to those times that would apply if the Lapse Date were April 27, 2019, in order to permit the Filer to combine the Prospectuses with the Master Prospectus.

11. It would be impractical to alter and modify all the dedicated systems, procedures and resources required to prepare the

Master Prospectus, and unreasonable to incur the costs and expenses associated therewith, so that the Master Prospectus can be filed on or before the Lapse Date.

12. Further, the Filer may make minor changes to the features of the Affiliated Funds as part of the process of renewing the

Master Prospectus. The ability to incorporate the Funds into the Master Prospectus will ensure that the Filer can make the operational and administrative features of the Funds and the Affiliated Funds consistent with each other, if necessary.

13. There have been no material changes in the affairs of the Funds since the date of the Prospectuses. Accordingly, the

Prospectus and current ETF Facts of each Fund represent current information regarding the Fund. 14. Given the disclosure obligations of the Funds, should any material changes occur, the applicable Prospectus will be

amended as required under the Legislation. 15. New investors of the Funds will receive delivery of the most recently filed ETF Facts of the applicable Fund(s). The

Prospectus will still be available upon request. 16. The Requested Relief will not affect the accuracy of the information contained in the Prospectus and will therefore not be

prejudicial to the public interest.


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(2019), 42 OSCB 28

Decision The principal regulator is satisfied that the decision meets the test set out in the Legislation for the principal regulator to make the decision. The decision of the principal regulator under the Legislation is that the Requested Relief is granted. “Darren McKall” Manager Investment Funds and Structured Products Ontario Securities Commission


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(2019), 42 OSCB 29

2.1.3 Netgear, Inc. Headnote Multilateral Instrument 11-102 Passport System and National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – Securities Act, s. 53 – Prospectus Requirements – Distributions by an issuer to its shareholders in securities of another company that it owns (e.g. spin-off transactions) – The issuer will distribute the shares of the other company as a dividend to the issuer’s shareholders; the other company is not a reporting issuer; the issuer has a de minimis connection to Canada; as a result of the transfer, the shareholders of the issuer will hold their interests in the subsidiary directly as opposed to indirectly through their shareholdings of the issuer. Applicable Legislative Provisions Securities Act, R.S.O. 1990, c. S.5, as am., ss. 53, 74(1).

December 18, 2018

IN THE MATTER OF THE SECURITIES LEGISLATION OF BRITISH COLUMBIA AND ONTARIO

(the Jurisdictions)

AND

IN THE MATTER OF THE PROCESS FOR EXEMPTIVE RELIEF APPLICATIONS

IN MULTIPLE JURISDICTIONS

AND

IN THE MATTER OF NETGEAR, INC.

(the Filer)

DECISION

Background 1 The securities regulatory authority or regulator in each of the Jurisdictions (the Decision Maker) has received an

application from the Filer for a decision under the securities legislation of the Jurisdictions (the Legislation) for an exemption (the Exemption Sought) from the prospectus requirement in the Legislation in connection with the proposed distribution (the Spin-Off) by the Filer of the common stock of Arlo Technologies Inc. (Arlo), a subsidiary of the Filer, by way of a dividend in specie to common stock shareholders of the Filer resident in Canada (Canadian Shareholders). Under the Process for Exemptive Relief Applications in Multiple Jurisdictions (for a dual application):

(a) the British Columbia Securities Commission is the principal regulator for this application; and (b) the Filer has provided notice that section 4.7(1) of Multilateral Instrument 11-102 Passport System (MI

11-102) is intended to be relied upon in each of the other provinces and territories of Canada other than Ontario; and

(c) the decision is the decision of the principal regulator and evidences the decision of the securities

regulatory authority or regulator in Ontario.

Interpretation 2 Terms defined in National Instrument 14-101 Definitions and MI 11-102 have the same meaning if used in this decision,

unless otherwise defined. Representations 3 This decision is based on the following facts represented by the Filer:


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(2019), 42 OSCB 30

1. the Filer is incorporated in Delaware with principal executive offices in San Jose, California, U.S.A.; the Filer is a global networking company that delivers innovative products to consumers, businesses and service providers;

2. the Filer is not a reporting issuer, and currently has no intention of becoming a reporting issuer, under the

securities laws of any jurisdiction of Canada; 3. the authorized capital stock of the Filer consists of 200 million shares of common stock (Netgear Shares),

U.S.$0.001 par value per share, and 5 million shares of preferred stock, U.S.$0.001 par value per share; as of October 26, 2018, there were 31,585,939 Netgear Shares and no preferred shares issued and outstanding;

4. the Netgear Shares are listed on the Nasdaq Stock Market (NASDAQ) and trade under the symbol “NTGR”;

other than the foregoing listing on NASDAQ, no securities of the Filer are listed or posted for trading on any exchange or market in Canada or outside of Canada; the Filer has no present intention of listing its securities on any Canadian stock exchange;

5. the Filer is subject to the 1934 Act; 6. based on a geographic breakdown snapshot of registered holders prepared for the Filer by the Filer’s transfer

agent, Computershare Trust Company, N.A., as of September 30, 2018 there were no registered Canadian Shareholders, so 0% of the outstanding Netgear Shares were held by registered Canadian Shareholders; the Filer does not expect this percentage to have materially changed since that date;

7. based on a geographic analysis of beneficial shareholders prepared for the Filer by Broadridge Financial

Solutions, Inc., as of October 22, 2018, there were 160 beneficial Canadian Shareholders, representing approximately 0.76% of the beneficial holders of Netgear Shares worldwide, holding approximately 551,043 Netgear Shares, representing approximately 1.7% of the outstanding Netgear Shares; the Filer does not expect these numbers to have materially changed since that date;

8. based on the information above, the number of registered and beneficial Canadian Shareholders and the

proportion of Netgear Shares held by such shareholders are de minimis; 9. the Filer separated its security camera business (the Arlo Business) from the rest of its global networking

business into its wholly-owned subsidiary, Arlo through a series of restructuring steps prior to Arlo’s initial public offering (IPO);

10. Arlo is a corporation incorporated in Delaware with principal executive offices in San Jose, California, U.S.A.;

the majority of its executive officers or directors ordinarily reside outside of Canada; it holds directly and through its subsidiaries the Arlo Business;

11. Arlo’s authorized capital stock is 500 million shares of common stock (Arlo Shares), par value U.S.$0.001 per

share and 50 thousand shares of preferred stock, par value $0.001 per share; as of October 19, 2018, it has 74,247,250 issued and outstanding Arlo Shares, of which 62,500,000 Arlo Shares or approximately 84.2% are held directly by the Filer;

12. under its IPO, Arlo distributed 11,747,250 Arlo Shares to the public; the IPO closed on August 7, 2018; the Filer

owns 62,500,000 Arlo Shares or approximately 84.2% of the outstanding Arlo Shares; the Filer is proposing to Spin-Off, pro rata to its shareholders, all of the Arlo Shares held by the Filer;

13. the distribution agent will distribute to each holder of Netgear Shares entitled to Arlo Shares, in connection with

the Spin-Off, the number of whole Arlo Shares to which the holder is entitled in the form of a book-entry authorization; no fractional Arlo Shares will be issued; instead, the distribution agent will aggregate fractional shares into whole shares, sell such whole shares in the open market at prevailing market prices and distribute the aggregate net cash proceeds (less applicable taxes, costs and expenses, including brokers fees and commissions) pro rata to each holder of Netgear Shares who would otherwise have been entitled to receive fractional shares; interest will not be paid on the amounts of payment made in lieu of fractional Arlo Shares;

14. holders of Netgear Shares will not be required to pay any consideration for the Arlo Shares, or to surrender or

exchange Netgear Shares or take any other action to receive their Arlo Shares; the Spin-Off will occur automatically and without any investment decision on the part of holders of Netgear Shares;

15. subject to the satisfaction of certain conditions, it is currently anticipated that the Spin-Off will become effective

on or about December 31, 2018; following the Spin-Off, Arlo will cease to be a subsidiary of the Filer;


January 3, 2019

(2019), 42 OSCB 31

16. the Arlo Shares to be distributed pursuant to the Spin-Off are listed on the New York Stock Exchange (the NYSE); Arlo is subject to the requirements of the 1934 Act and the rules and regulations of the NYSE;

17. after the completion of the Spin-Off, the Arlo Shares will continue to be listed and traded on the NYSE; 18. Arlo is not a reporting issuer in any jurisdiction of Canada nor are its securities listed on any stock exchange in

Canada; Arlo has no present intention to become a reporting issuer in any jurisdiction of Canada or to list its securities on any stock exchange in Canada after the completion of the Spin-Off;

19. the Spin-Off will be effected under the laws of the State of Delaware; 20. because the Spin-Off will be effected by way of a dividend of Arlo Shares to holders of Netgear Shares, no

shareholder approval of the Spin-Off is required (or being sought) under Delaware law; 21. in connection with the Spin-Off, Arlo will file with the SEC an information statement under the 1934 Act, detailing

the proposed Spin-Off (the Information Statement); 22. after the Information Statement has been filed with the SEC, holders of Netgear Shares will receive a notice of

internet availability of the Information Statement detailing the terms and conditions of the Spin-Off; all materials relating to the Spin-Off sent by or on behalf of the Filer and Arlo in the United States (including relating to the Information Statement) will be sent concurrently to Canadian Shareholders;

23. the Information Statement will contain prospectus level disclosure about Arlo; 24. Canadian Shareholders who receive Arlo Shares pursuant to the Spin-Off will have the benefit of the same

rights and remedies in respect of the disclosure documentation received in connection with the Spin-Off that are available to holders of Netgear Shares resident in the United States;

25. Arlo will send concurrently to holders of Arlo Shares resident in Canada the same disclosure materials required

to be sent under applicable United States securities laws to holders of Arlo Shares resident in the United States; 26. there will be no active trading market for the Arlo Shares in Canada following the Spin-Off and none is expected

to develop; consequently, it is expected that any resale of Arlo Shares distributed in connection with the Spin-Off will occur through the facilities of NYSE or any other exchange or market outside of Canada on which Arlo Shares may be quoted or listed at the time that the trade occurs or to a person or company outside of Canada;

27. the Spin-Off to Canadian Shareholders would be exempt from the prospectus requirement pursuant to section

2.31(2) of National Instrument 45-106 Prospectus Exemptions but for the fact that Arlo is not a reporting issuer under the securities legislation of any jurisdiction in Canada; and

28. neither the Filer nor Arlo is in default of any securities legislation in any jurisdiction of Canada.

Decision 4 Each of the Decision Makers is satisfied that the decision meets the test set out in the Legislation for the Decision Maker

to make the decision. The decision of the Decision Makers under the Legislation is that the Exemption Sought is granted provided that the first trade in the Arlo Shares acquired pursuant to the Spin-Off is deemed to be a distribution subject to section 2.6 of National Instrument 45-102 Resale of Securities.

“John Hinze” Director, Corporate Finance British Columbia Securities Commission


January 3, 2019

(2019), 42 OSCB 32

2.1.4 Brandes Investment Partners & Co. and Greystone Canadian Equity Income & Growth Fund Headnote National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – Approval of investment fund merger – approval required because merger do not meet the criteria for pre-approved reorganizations and transfers in National Instrument 81-102 – the fundamental investment objective of the terminating fund and continuing fund are not substantially similar and the merger may not be on a tax deferred transaction – unitholders of the terminating fund provided with timely and adequate disclosure regarding the merger. Applicable Legislative Provisions National Instrument 81-102 Investment Funds, ss. 5.5(1)(b), 19.1.

December 7, 2018



AND

IN THE MATTER OF


AND

IN THE MATTER OF

BRANDES INVESTMENT PARTNERS & CO. (the Filer)

AND

GREYSTONE CANADIAN EQUITY INCOME & GROWTH FUND

(the Terminating Fund)

DECISION Background The principal regulator in the Jurisdiction has received an application from the Filer on behalf of the Terminating Fund for a decision under the securities legislation of the Jurisdiction (the Legislation) approving the proposed merger (the Merger) of the Terminating Fund into Morningstar Strategic Canadian Equity Fund (the Continuing Fund, and together with the Terminating Fund, the Funds) pursuant to paragraph 5.5(1)(b) of National Instrument 81-102 Investment Funds (NI 81-102) (the Approval Sought). Under the Process for Exemptive Relief Applications in Multiple Jurisdictions (for a passport application):

(a) the Ontario Securities Commission is the principal regulator for this application; and (b) the Filer has provided notice that section 4.7(1) of Multilateral Instrument 11-102 Passport System (“MI 11-102”)

is intended to be relied upon in each of British Columbia, Alberta, Saskatchewan, Manitoba, Quebec, New Brunswick, Nova Scotia, Prince Edward Island, Newfoundland and Labrador, Yukon, Northwest Territories and Nunavut (collectively with the Jurisdiction, the “Jurisdictions”).

Interpretation Terms defined in National Instrument 14-101 Definitions and MI 11-102 have the same meaning if used in this decision, unless otherwise defined.


January 3, 2019

(2019), 42 OSCB 33

Representations This decision is based on the following facts represented by the Filer: The Filer 1. The Filer is a corporation existing under the laws of Nova Scotia having its registered head office in Toronto, Ontario.

The Filer operates under the retail trade name Bridgehouse Asset Managers. 2. The Filer is registered as an investment fund manager in each of Ontario, Quebec, and Newfoundland and Labrador, as

a portfolio manager and exempt market dealer in all provinces and territories, and as a mutual fund dealer in all provinces and territories except Quebec.

3. The Filer is the investment fund manager of each of the Funds. The Funds 4. The Funds are open-end mutual funds established as trusts under the laws of the province of Ontario. 5. Units of each of the Funds are currently qualified for sale by a simplified prospectus, annual information form and fund

facts dated May 10, 2018, as amended, which have been filed and receipted in Ontario and each of the Jurisdictions. 6. Each of the Funds is a reporting issuer under the applicable securities legislation of the Jurisdictions, and is subject to

the requirements of NI 81-102 and National Instrument 81-101 Mutual Fund Prospectus Disclosure. 7. Neither the Filer nor the Funds is in default under the securities legislation of any of the Jurisdictions. 8. Each of the Funds follows the standard investment restrictions and practices established under the Legislation, except

to the extent that the Fund has received an exemption to deviate therefrom. 9. The net asset value (NAV) of each Fund is calculated on each day that the Toronto Stock Exchange is open for business

in accordance with the Funds’ valuation policy and as described in each Fund’s prospectus. Reason for Approval Sought 10. Regulatory approval of the Merger is required because the Merger does not satisfy all of the criteria for pre-approved

reorganizations and transfers set out in section 5.6 of NI 81-102. In particular, the investment objectives of the Continuing Fund are not, or may be considered not to be, “substantially similar” to the investment objectives of the Terminating Fund. In addition, the Merger may not be a tax-deferred transaction as described in paragraph 5.6(1)(b) of NI 81-102. Except for these two reasons, the Merger will otherwise comply with all of the other criteria for pre-approved reorganizations and transfers set out in section 5.6 of NI 81-102.

11. The investment objectives of the Terminating Fund and the Continuing Fund are as follows:

Greystone Canadian Equity Income & Growth Fund

(Terminating Fund)

Morningstar Strategic Canadian Equity Fund

(Continuing Fund)

The fundamental investment objective of Greystone Canadian Equity Income & Growth Fund is to achieve long-term capital appreciation and dividend income by investing primarily in the equity securities of Canadian issuers.

The fundamental investment objective of Morningstar Strategic Canadian Equity Fund is to achieve long-term capital appreciation by investing primarily in the equity securities of Canadian issuers.

12. The Merger may be implemented on a tax-deferred basis or a taxable basis. Due to recent changes in market conditions,

the Filer, as of the date of this decision, is not in a position to fully assess and determine the tax consequences of the Merger. In deciding whether to proceed with the Merger on a tax-deferred basis or a taxable basis, the Filer is weighing the impact of the Merger on each of the Terminating Fund and Continuing Fund, and on the unitholders in the Terminating Fund and the Continuing Fund. The Filer’s determination will be communicated to unitholders in the Terminating Fund prior to, or on the day of, the Meeting. Disclosure as to the tax consequences of the implementation of the Merger on both a tax-deferred basis and a taxable basis is described in the Circular (as defined below).


January 3, 2019

(2019), 42 OSCB 34

13. Other than the criterion described in paragraph 10, the Merger complies with all the other criteria for pre-approved reorganizations and transfers set out in section 5.6 of NI 81-102.

The Proposed Merger 14. The Filer intends to merge the Terminating Fund into the Continuing Fund. 15. A press release describing the proposed Merger was issued and the press release and material change report, which

give notice of the proposed Merger, were filed via SEDAR on September 27, 2018. 16. As required by National Instrument 81-107 Independent Review Committee for Investment Funds (NI 81-107), the Filer

presented the terms of the Merger to the Independent Review Committee (IRC) for its review. The IRC determined that the Merger, if implemented, will achieve a fair and reasonable result for each of the Funds.

17. The Filer is convening a special meeting of the unitholders of the Terminating Fund in order to seek the approval of the

unitholders of the Terminating Fund to complete the Merger, as required by paragraph 5.1(1)(f) of NI 81-102 (the Meeting). The Meeting will be held on or about December 11, 2018.

18. The Filer has concluded that the Merger is not a material change to the Continuing Fund, and accordingly, there is no

intention to convene a meeting of unitholders of the Continuing Fund to approve the Merger pursuant to paragraph 5.1(1)(g) of NI 81-102.

19. By way of order dated December 5, 2016, the Filer was granted relief (the Notice-and-Access Relief) from the

requirement set out in paragraph 12.2(2)(a) of NI 81-106 to send a printed management information circular to unitholders while proxies are being solicited, and, subject to certain conditions, instead allows a notice-and-access document (as described in the Notice-and-Access Relief) to be sent to such unitholders. In accordance with the Filer’s standard of care owed to the Funds pursuant to securities legislation, the Filer will only use the notice-and-access procedure for a particular meeting where it has concluded that it is appropriate and consistent with the purposes of notice-and-access (as described in the Companion Policy to National Instrument 54-101 Communication with Beneficial Owners of Securities of a Reporting Issuer) to do so, also taking into account the purpose of the meeting and whether the Funds would obtain a better participation rate by sending the management information circular with the other proxy-related materials.

20. Pursuant to the requirements of the Notice-and-Access Relief, a notice-and-access document and form of proxy in

connection with the Meeting, along with the most recent fund facts of the relevant series of the Continuing Fund, was mailed to unitholders of the Terminating Fund commencing on November 6, 2018 and were concurrently filed via SEDAR. The management information circular (Circular), which the notice-and-access document provides a link to, was also filed via SEDAR at the same time.

21. If all required approvals for the Merger are obtained, it is intended that the Merger will occur after the close of business

on or about December 14, 2018 (the Effective Date). The Filer therefore anticipates that each unitholder of the Terminating Fund will become a unitholder of the Continuing Fund after the close of business on the Effective Date. The Terminating Fund will be wound up as soon as reasonably possible following the Merger.

22. The Circular describes all relevant facts concerning the Merger, including the investment objectives, strategies and fee

structure of the Funds, the tax implications and other consequences of the Merger, as well as the IRC’s recommendation of the Merger, so that unitholders of the Terminating Fund may make an informed decision before voting on whether to approve the Merger. The Circular also describes the various ways in which unitholders can obtain a copy of the simplified prospectus, annual information form and fund facts for the Continuing Fund, and the most recent interim and annual financial statements and management reports of fund performance.

23. Unitholders of the Terminating Fund will continue to have the right to redeem units of the Terminating Fund at any time

up to the close of business on the business day immediately preceding the Effective Date. Following the Merger, all optional plans which were established with respect to the Terminating Fund will be re-established in comparable plans with respect to the Continuing Fund unless unitholders advise otherwise.

24. The costs of effecting the Merger (consisting of primarily legal and regulatory fees, and proxy solicitation, printing and

mailing costs) will be borne by the Filer. 25. No sales charges will be payable by unitholders of the Funds in connection with the Merger.


January 3, 2019

(2019), 42 OSCB 35

26. The investment portfolio and other assets of the Terminating Fund to be acquired by the Continuing Fund in order to effect the Merger are currently, or will be on the Effective Date, acceptable to the portfolio manager of the Continuing Fund and are, or will be, consistent with the investment objectives of the Continuing Fund.

Merger Steps 27. The specific steps to implement the Merger are as follows:

(a) Prior to the Effective Date, the Terminating Fund will sell securities that do not meet the investment objective

and investment strategies of the Continuing Fund. As a result, the Terminating Fund may temporarily hold cash or cash equivalents and may not be fully invested in accordance with its objectives for a short period of time prior to the Merger.

(b) The value of the Terminating Fund’s investment portfolio and other assets will be determined at the close of

business on the Effective Date of the Merger in accordance with the constating documents of the Terminating Fund.

(c) Prior to the Effective Date, each of the Terminating Fund and the Continuing Fund will declare, pay and

automatically reinvest a distribution to its unitholders of net realized capital gains and net income, if any, to ensure that it will not be subject to tax for its current tax year.

(d) Prior to the Effective Date, the Terminating Fund will transfer substantially all of its assets to the Continuing

Fund. In return, the Continuing Fund will issue to the Terminating Fund units of the Continuing Fund having an aggregate NAV equal to the value of the assets transferred to the Continuing Fund.

(e) The Continuing Fund will not assume liabilities of the Terminating Fund and the Terminating Fund will retain

sufficient assets to satisfy its estimated liabilities, if any, as of the Effective Date of the Merger. (f) Immediately thereafter, units of the Continuing Fund received by the Terminating Fund will be distributed to

unitholders of the Terminating Fund in exchange for their securities in the Terminating Fund on a dollar-for-dollar, series-for-series basis.

(g) The Terminating Fund will be wound-up as soon as reasonably possible following the Merger.

28. The result of the Merger will be that unitholders of the Terminating Fund will cease to be unitholders of the Terminating

Fund and will become unitholders of the Continuing Fund. The Continuing Fund will continue as a publicly offered open-end mutual fund.

Benefits of the Merger 29. In the opinion of the Filer, the Merger will be beneficial to unitholders of the Funds for the following reasons:

(a) The Merger will result in a more streamlined and simplified product line-up that is easier for investors to understand.

(b) The Merger will eliminate similar fund offerings, thereby reducing the administrative and regulatory costs of

operating the Terminating Fund and the Continuing Fund as separate funds. (c) The Continuing Fund has a portfolio of greater value, allowing for increased portfolio diversification opportunities

compared to the corresponding Terminating Fund. (d) The Continuing Fund, as a result of greater size, benefits from a larger profile in the marketplace by potentially

attracting more unitholders and enabling it to maintain a “critical mass”. (e) The Continuing Fund, as a result of greater size, will allow the operating expenses to be spread over a larger

asset base, which may positively impact the management expense ratio of the Continuing Fund. (f) Unitholders of the Terminating Fund will receive units of the Continuing Fund that have a management fee that

is lower than that charged in respect of the series of units of the Terminating Fund that they currently hold.


January 3, 2019

(2019), 42 OSCB 36

Decision The principal regulator is satisfied that the decision meets the test set out in the Legislation for the principal regulator to make the decision. The decision of the principal regulator under the Legislation is that the Merger Approval is granted, provided that the Filer obtains the prior approval of the unitholders of the Terminating Fund for the applicable Merger at the applicable Meeting, or any adjournments thereof. “Stephen Paglia” Manager, Investment Funds and Structured Products Branch Ontario Securities Commission


January 3, 2019

(2019), 42 OSCB 37

2.1.5 Electrameccanica Vehicles Corp. Headnote Multilateral Instrument 11-102 Passport System and National Policy 11-206 Process for Cease to be a Reporting Issuer Applications – Securities Act s. 76 Prospectus Requirement Exemption from resale restrictions – The Filer was an OTC reporting issuer in British Columbia by operation of MI 51-105; the Filer ceased to be an OTC reporting issuer under MI 51-105 when its securities became listed on NASDAQ; the Filer has filed and continues to file all required continuous disclosure; the Filer has applied to be designated a reporting issuer in British Columbia. Applicable Legislative Provisions Securities Act, R.S.O. 1990, c. S.5, as am. s. 74.

October 23, 2018


(the Jurisdictions)

AND



AND

IN THE MATTER OF ELECTRAMECCANICA VEHICLES CORP.

(the Filer)

DECISION

Background 1 The securities regulatory authority or regulator in each of the Jurisdictions (Decision Maker) has received an application

from the Filer for a decision under the securities legislation of the Jurisdictions (the Legislation) that grants the Filer an exemption from the prospectus requirement for the first trade of Restricted Securities (defined below) held by certain security holders of the Filer (the Exemption Sought). Under the Process for Exemptive Relief Applications in Multiple Jurisdictions (for a dual application):

(a) the British Columbia Securities Commission is the principal regulator for this application; (b) the Filer has provided notice that section 4.7(1) of Multilateral Instrument 11-102 Passport System (MI

11-102) is intended to be relied upon by the Filer in Alberta; and (c) this decision is the decision of the principal regulator and evidences the decision of the securities


Interpretation 2 Terms defined in MI 11-102 and National Instrument 14-101 Definitions have the same meaning if used in this decision,


1. it is incorporated under the laws of British Columbia and its head office is located in Vancouver, British Columbia;


January 3, 2019

(2019), 42 OSCB 38

2. its authorized capital consists of an unlimited number of common shares and an unlimited number of preferred shares;

3. as of October 4, 2018, the Filer had 27,786,111 common shares (Shares), 18,171,450 common share purchase

warrants (Warrants) and 4,343,750 stock options (Options) outstanding; 4. the Filer is subject to the reporting obligations of section 13 of the 1934 Act; the Filer is not in default of its

reporting obligations under section 13 of the 1934 Act; 5. on June 27, 2017, the Filer became an “OTC reporting issuer” in British Columbia as defined in Multilateral

Instrument 51-105 Issuers Quoted in the U.S. Over-the-Counter Markets (MI 51-105) when the Financial Industry Regulatory Authority in the United States assigned a ticker symbol in respect of the Shares;

6. from July 19, 2017 to August 8, 2018, the Shares were posted for trading on the OTCQB in the United States; 7. the Filer ceased to be an OTC reporting issuer in British Columbia effective August 9, 2018 when its Shares

commenced trading on the NASDAQ Capital Market (NASDAQ) under the symbol “SOLO”; 8. under National Instrument 45-102 Resale of Securities (NI 45-102), the first trade of any outstanding Shares,

Warrants or Options issued by the Filer under certain prospectus exemptions when it was an OTC reporting issuer or before it was an OTC reporting issuer that were not traded by the original security holder in accordance with the provisions of MI 51-105 will be deemed to be a distribution unless, among other things, the Filer is and has been a reporting issuer in a jurisdiction of Canada for four months immediately preceding the trade (the Seasoning Period Requirement);

9. in addition, under NI 45-102, the first trade of any Shares to be distributed by the Filer on exercise of the

Warrants or Options (Underlying Shares) will be deemed to be a distribution unless, among other things, the Filer has satisfied the Seasoning Period Requirement;

10. the Restricted Securities are held by security holders located in British Columbia, Ontario and Alberta and by

security holders outside of Canada; 11. as of October 4, 2018, the Filer had 22,784,720 Shares, Warrants to acquire 12,657,856 Underlying Shares and

Options to acquire 4,343,750 Underlying Shares outstanding that are subject to the Seasoning Period Requirement (the Restricted Securities);

12. since June 30, 2017, the Filer has filed on SEDAR all disclosure documents it was required to file under MI 51-

105 and National Instrument 51-102 Continuous Disclosure Obligations; the Filer also files continuous disclosure reports under United States securities laws and all public documents of the Filer are available on the Filer’s EDGAR profile under the filings section of the SEC website (www.sec.gov);

13. the Filer is not in default of any of the requirements of securities legislation in any jurisdiction of Canada, except

for the failure to comply with the legending requirements in section 2.5 of NI 45-102 in connection with the distribution of securities to purchasers in Ontario when the Filer was an OTC reporting issuer; the certificates for the securities distributed to Ontario purchasers were imprinted with the following legend:

The Holder of this security must not trade the security in or from a jurisdiction of Canada unless the conditions in section 13 of Multilateral Instrument 51-105 Issuers Quoted in the U.S. Over-the-Counter Markets are met.;

14. the conditions for resale set out in subsection 13(1) of MI 51-105 include the following, which are equally or more restrictive than the conditions set out in section 2.5 of NI 45-102: (a) a four month period has passed from the date of distribution (at least six months has passed for a

control person); (b) the number of securities the person proposes to trade, plus the number of securities of the OTC

reporting issuer of the same class that the person has traded in the preceding 12 months period, does not exceed 5% of the OTC reporting issuer’s outstanding securities of the same class;

(c) the person trades the security through an investment dealer registered in a jurisdiction of Canada;


January 3, 2019

(2019), 42 OSCB 39

(d) the investment dealer executed the trade through any of the over-the-counter markets in the United States of America;

(e) there has been no unusual effort made to prepare the market or create demand for the security; (f) no extraordinary commission or other consideration is paid to a person for the trade; and (g) if the person trading the security is an insider of the OTC reporting issuer, the person reasonably

believes that the OTC reporting issuer is not in default of securities legislation;

15. during the time it was an OTC reporting issuer, the Filer complied with the applicable legending requirements in MI 51-105;

16. after ceasing to be an OTC reporting issuer, the Filer has complied with the applicable legending requirements

in subsection 2.5(2)3(ii) of NI 45-102 by having the following legend imprinted on the certificates for any securities distributed:

Unless permitted under securities legislation, the holder of this security must not trade the security before the date that is 4 months and a day after the later of (i) [insert the distribution date], and (ii) the date the issuer became a reporting issuer in any province or territory; and

17. the British Columbia Securities Commission designated the Filer to be a reporting issuer in British Columbia on October 15, 2018.


to make the decision. The decision of the Decision Makers under the Legislation is that the Exemption Sought is granted provided that:

(a) the Filer is a reporting issuer in a jurisdiction of Canada at the time of the trade; (b) for Restricted Securities that were distributed under a prospectus exemption listed in Appendix D of NI

45-102 or to which section 2.5 of NI 45-102 applies: (i) at least four months have elapsed from the distribution date of the Restricted Securities or, in

the case of Underlying Shares, at least four months have elapsed from the distribution date of the Warrants or Options that entitled the security holder to acquire the Underlying Shares;

(ii) the Filer has provided to security holders holding Restricted Securities where at least four

months have not elapsed from the distribution date of the Restricted Securities written notice of the applicable legend restriction notation set out in subparagraph (i) or subparagraph (ii) of item 3 of section 2.5 of NI 45-102, as applicable;

(iii) the trade is not a control distribution as defined in NI 45-102; (iv) no unusual effort is made to prepare the market or to create a demand for the Restricted

Securities that are the subject of the trade; (v) no extraordinary commission or consideration is paid to a person in respect of the trade; and (vi) if the selling security holder is an insider or officer of the Filer, the selling security holder has

no reasonable grounds to believe that the Filer is in default of securities legislation in any jurisdiction; and

(c) for Restricted Securities that were distributed under a prospectus exemption listed in Appendix E of NI

45-102 or to which section 2.6 of NI 45-102 applies: (i) the trade is not a control distribution as defined in NI 45-102; (ii) no unusual effort is made to prepare the market or to create a demand for the shares that are

the subject of the trade;


January 3, 2019

(2019), 42 OSCB 40

(iii) no extraordinary commission or consideration is paid to a person in respect of the trade; and (iv) if the selling security holder is an insider or officer of the Filer, the selling security holder has

no reasonable grounds to believe that the Filer is in default of securities legislation in any jurisdiction.

“Nigel P. Cave” Vice Chair British Columbia Securities Commission


January 3, 2019

(2019), 42 OSCB 41

2.1.6 RBC Global Asset Management Inc. Headnote National Policy 11-203 Process for Exemption Relief Applications in Multiple Jurisdictions – relief from section 4.1 of NI 81-102 for dealer-managed mutual funds to invest in distributions of debt securities for which dealer-manager acts as underwriter during distribution period or 60 day period following distribution – debt securities will not have “approved rating” by “credit rating organization” as required by subsection 4.1(4) – limited supply of new debt offerings have approved ratings, and trend is expected to continue – dominant position of related dealers in debt underwriting limits funds’ ability to acquire debt securities for the funds – all purchases must be consistent with fund investment objectives and subject to approval of independent review committee – debt offerings must have at least one underwriter in addition to related dealer and at least one arm’s length purchaser purchasing at least 5% of the offerings – related funds can collectively purchase no more than 50% of offering and must pay no more than lowest price paid by arm’s length purchaser(s) – funds must not be money market fund funds and cannot purchase asset backed commercial paper pursuant to relief. National Instrument 81-102 Mutual Funds, section 4.1. Applicable Legislative Provisions National Instrument 81-102 Mutual Funds, ss. 4.1, 19.1.

November 16, 2018



AND

IN THE MATTER OF


AND

IN THE MATTER OF

RBC GLOBAL ASSET MANAGEMENT INC. (the Filer)

AND

IN THE MATTER OF

THE EXISTING AND FUTURE MUTUAL FUNDS TO WHICH NATIONAL INSTRUMENT 81-102 (NI 81-102) APPLIES

AND OF WHICH THE FILER OR AN AFFILIATE OR ASSOCIATE OF THE FILER IS NOW OR IN THE FUTURE THE MANAGER AND/OR A PORTFOLIO ADVISER

(each, a Fund and, collectively, the Funds)

DECISION

Background The principal regulator in the Jurisdiction has received an application from the Filer, in respect of the Filer, any associate or affiliate of the Filer and each Fund, for a decision under the securities legislation of the Jurisdiction (the Legislation) for a decision:

(a) for relief (the Requested Relief) from the prohibition in section 4.1(1) of NI 81-102 (the Investment Prohibition) to permit the investment by the Funds in debt securities of an issuer during the period of the distribution (the Distribution) or during the period of 60 days after the Distribution (the 60-Day Period, together with the Distribution, the Distribution Period), notwithstanding the involvement of the Filer or an associate or affiliate of the Filer as an underwriter in the Distribution and notwithstanding that the debt securities do not have a designated rating by a designated rating organization as contemplated by section 4.1(4)(b) of NI 81-102; and

(b) to revoke and replace the relief granted by the principal regulator dated July 30, 2010 as it pertains to the Filer

and any associate or affiliate of the Filer and the Funds (the Existing Relief) by the decision herein.


January 3, 2019

(2019), 42 OSCB 42

Under the Process for Exemptive Relief Applications in Multiple Jurisdiction (for a passport application):

(a) the Ontario Securities Commission is the principal regulator for this application; and (b) the Filer has provided notice that section 4.7(1) of Multilateral Instrument 11-102 Passport System (MI 11-102)

is intended to be relied on in each of the other provinces and territories of Canada (together with the Jurisdiction, the Jurisdictions).

Interpretation Unless otherwise defined herein, terms defined in MI 11-102, in National Instrument 14-101 Definitions, in NI 81-102 and in National Instrument 81-107 Independent Review Committee for Investment Funds (NI 81-107), have the same meaning in this decision. Representations This decision is based on the following facts represented by the Filer: 1. The Filer is organized under the Canada Business Corporations Act with its head office located in Toronto, Ontario. 2. The Filer is registered under securities legislation in each of the jurisdictions of Canada as an adviser in the category of

portfolio manager and as a dealer in the category of exempt market dealer, and under securities legislation in Ontario, Quebec and Newfoundland and Labrador as an investment fund manager. The Filer is also registered as a commodity trading manager in Ontario only.

3. The Filer or an affiliate or associate of the Filer is or will be the manager and/or portfolio adviser or both of the Funds. 4. Each of the Funds is or will be a mutual fund established under the laws of Ontario or one of the other Jurisdictions. None

of the Funds are or will be a “money market fund” as defined in NI 81-102. 5. The securities of the Funds are or will be offered for sale pursuant to a prospectus filed in one or more of the Jurisdictions.

Each of the Funds is or will be a dealer managed mutual fund that is or will be a reporting issuer in one or more of the Jurisdictions.

6. Each of the Funds has or will have an independent review committee (IRC) appointed under NI 81-107. 7. None of the Filer and any of the Funds is in default of securities legislation in any Jurisdiction. 8. RBC GAM is currently an affiliate of RBC Dominion Securities Inc. and RBC Capital Markets Corporation as well as

certain other dealers, and the Filer may become an affiliate or associate of additional dealers in the future (each, a Related Dealer and, collectively, the Related Dealers), any of which may act as an underwriter in a Distribution.

9. The Existing Relief, among other things, exempts the Filer and any affiliate and associate of the Filer and the Funds from

the prohibition in section 4.1(1) of NI 81-102 (previously defined as the Investment Prohibition) to permit the investment by the Funds in debt securities of an issuer during the Distribution or the 60-Day Period, notwithstanding the involvement of the Filer or any associate or affiliate of the Filer as an underwriter in the Distribution and notwithstanding that the debt securities do not have a “designated rating” by a “designated rating organization”.

10. Under the Existing Relief, if securities are acquired in the Distribution, a Fund and any related Funds for which the Filer

or its affiliate or associate acts as manager and/or portfolio adviser can collectively acquire no more than 20% of the securities distributed under the Distribution in which a Related Dealer acts as underwriter (the 20% Limit).

11. The Filer is seeking to revoke the Existing Relief and replace it with the Requested Relief in order to replace the 20%

Limit with a condition that permits a Fund and any related Funds for which the Filer or its affiliate or associate acts as manager and/or portfolio adviser to acquire up to 50% of the securities distributed under the Distribution in which a Related Dealer acts as underwriter (the 50% Limit).


January 3, 2019

(2019), 42 OSCB 43

12. The Funds need the Requested Relief from the Investment Prohibition because: (a) there is a limited supply of debt securities issued by an issuer other than the federal or a provincial government

(Non-Government Debt Securities); (b) frequently, the only source of new issues of Non-Government Debt Securities will be offerings that are, in whole

or in part, underwritten by a Related Dealer; and (c) frequently, Non-Government Debt Securities that the Filer wishes to purchase for the Funds do not have an

“designated rating” by an “designated rating organization”.

13. In practice, the Filer is rarely able to purchase 20% of an offering on behalf of the Funds pursuant to the Existing Relief. This is due to the fact that high yield debt securities offerings are routinely oversubscribed and the Filer cannot submit an order for more than 20% of the offering due to the 20% Limit. As a result, much less than 20% of the securities offered are purchased on behalf of the Funds. The 50% Limit reflects the offering participation rate that the Filer believes is required to enhance the ability of the Funds to obtain meaningful exposure to high yield debt securities in order to meet the Funds’ investment objectives based on the average size of offerings of high yield debt securities and the assets under management of the Funds that invest in high yield debt securities.

14. The Filer makes investment decisions independently of their Related Dealers concerning Distributions in which Related

Dealers act as underwriters, and this is reflected in policies and procedures approved by the IRCs of the Funds. 15. In almost all Distributions in respect of which the Requested Relief is required, the details of the Distribution and a Related

Dealer’s involvement as an underwriter in the particular Distribution will not be known by the Filer sufficiently long enough in advance to make an application for relief on a case-by-case basis.

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 as follows:

(a) the Existing Relief, as it pertains to the Filer and any associate or affiliate of the Filer and the Funds, is revoked; and

(b) the Requested Relief is granted in respect of purchases of Non-Government Debt Securities by each Fund

provided that: (i) at the time of each investment, the purchase is consistent with, or is necessary to meet, the investment

objective of a Fund and represents the business judgment of the manager and/or portfolio adviser of a Fund uninfluenced by considerations other than the best interests of that Fund or in fact is in the best interests of that Fund;

(ii) the manager of a Fund complies with section 5.1 of NI 81-107 and the manager and IRC of a Fund

comply with section 5.4 of NI 81-107 for any standing instructions the IRC provides in connection with the investment in the securities;

(iii) the IRC of a Fund has approved the transaction in accordance with section 5.2(2) of NI 81-107; (iv) if the Non-Government Debt Securities are acquired during the Distribution,

(1) at least one underwriter acting as underwriter in the Distribution is not a Related Dealer, (2) at least one purchaser who is independent and arm’s length to the Fund(s) and the Related

Dealers must purchase at least 5% of the securities distributed under the Distribution, (3) the price paid for the securities by a Fund in the Distribution shall be no higher than the lowest

price paid by any of the arm’s length purchasers who participate in the Distribution, and (4) a Fund and any related Funds for which the Filer or any of the affiliate or associate of the Filer

acts as manager and/or portfolio adviser can collectively acquire no more than 50% of the securities distributed under the Distribution in which a Related Dealer acts as underwriter;


January 3, 2019

(2019), 42 OSCB 44

(v) if the Non-Government Debt Securities are acquired in the 60-Day Period, (1) the ask price of the securities is readily available as provided in Commentary 7 to section 6.1

of NI 81-107, (2) the price paid for the securities by a Fund is not higher than the available ask price of the

security, and (3) the purchase is subject to market integrity requirements as defined in NI 81-107;

(vi) the Non-Government Debt Securities acquired by the Funds pursuant to the Requested Relief cannot be asset backed commercial paper; and

(vii) no later than the time a Fund files its annual financial statements, the manager of the Fund will file the

particulars of each investment made by the Fund pursuant to the Requested Relief during its most recently completed financial year.

“Stephen Paglia” Manager Investment Funds and Structured Products Branch Ontario Securities Commission


January 3, 2019

(2019), 42 OSCB 45

2.1.7 Héroux-Devtek Inc. Headnote Multilateral Instrument 11-102 Passport System and National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – Relief from the requirements related to acceptable accounting principles for acquisition statements in respect of a business acquisition report to allow the report to include acquisition statements to be prepared in accordance with Spanish generally accepted accounting principles (Spanish GAAP) provided that: (i) the statements include notes describing the material differences between IFRS and Spanish GAAP that relate to recognition, measurement and presentation, quantifying the effect of each such difference and including a tabular reconciliation between profit or loss reported in such financial statements and profit or loss computed in accordance with IFRS; and (ii) the statements are accompanied by an auditor’s report and audited in accordance with International Standards on Auditing. Applicable Legislative Provisions National Policy 52-107 Acceptable Accounting Principles

and Auditing Standards, ss. 3.11, 5.1.

December 11, 2018


QUÉBEC AND ONTARIO (the “Jurisdictions”)

AND

IN THE MATTER OF


AND

IN THE MATTER OF

HÉROUX-DEVTEK INC. (the “Filer”)

DECISION

Background The securities regulatory authority or regulator in each of the Jurisdictions (each a “Decision Maker”) has received an application from the Filer for a decision under the securities legislation of the Jurisdictions (the “Legislation”) for exemptive relief, pursuant to Section 5.1 of National Instrument 52-107 – Acceptable Accounting Principles and Auditing Standards (“NI 52-107”), from the requirements related to acceptable accounting principles for acquisition statements in Section 3.11 of NI 52-107 in respect of the business acquisition report (the “BAR”) to be filed by the Filer pursuant to Part 8 of National Instrument 51-102 – Continuous Disclosure Obligations (“NI 51-102”) in connection with the indirect acquisition by the Filer of 100%

of the share capital of Compañia Española de Sistemas Aeronáuticos, S.A. (the “Exemption Sought”). Under the Process for Exemptive Relief Applications in Multiple Jurisdictions (for a dual application):

(a) the Autorité des marchés financiers is the principal regulator for this application;

(b) the Filer has provided notice that section

4.7(1) of Multilateral Instrument 11-102 – Passport System (“MI 11-102”) is intended to be relied upon in British Columbia, Alberta, Saskatchewan, Mani-toba, New Brunswick, Nova Scotia, Prince Edward Island, Newfoundland and Labrador, Northwest Territories, Yukon and Nunavut (the “Passport Jurisdic-tions”); and

(c) the decision is the decision of the principal

regulator and evidences the decision of the securities regulatory authority or regulator in Ontario.

Interpretation Terms defined in National Instrument 14-101 – Definitions and MI 11-102 have the same meaning if used in this decision, unless otherwise defined. Representations This decision is based on the following facts represented by the Filer: 1. The Filer was initially incorporated on March 17,

1942 by letters patent issued pursuant to Part I of the Companies Act (Québec), was continued under Part IA of the Companies Act (Québec) on September 30, 1982 and is now governed by the Business Corporations Act (Québec) which was enacted on February 14, 2011.

2. The Filer’s head and registered office is located at

Suite 658, East Tower, 1111 Saint-Charles Street West, Longueuil, Québec, J4K 5G4.

3. The Filer is an international company specializing

in the design, development, manufacture and repair and overhaul of landing gear and actuation systems and components for the aerospace market. The Filer is the third largest landing gear company worldwide, supplying both the commercial and defence sectors of the aerospace market with new landing gear systems and components, as well as aftermarket products and services. The Filer also manufactures, hydraulic systems, fluid filtration systems and electronic enclosures.


January 3, 2019

(2019), 42 OSCB 46

4. The Filer’s common shares are listed on the Toronto Stock Exchange under the “HRX” ticker symbol.

5. The Filer is a reporting issuer under the securities

legislation in each of the Jurisdictions and Passport Jurisdictions, and is not in default under the securities legislation of the Jurisdictions and the Passport Jurisdictions.

6. The financial statements of the Filer are prepared

in accordance with International Financial Reporting Standards (“IFRS”), as required pursuant Section 3.2 of NI 52-107. The financial year end of the Filer is March 31 of each year.

7. On October 1, 2018, the Filer completed the

indirect acquisition, through its subsidiary Heroux-Devtek Spain, S.L.U., of 100% of the share capital of Compañia Española de Sistemas Aeronáuticos, S.A. (“CESA”) from Airbus Defence and Space, S.A.U. for total consideration of €137 million (approx. $206 million) (the “CESA Acquisition”).

8. CESA is a company incorporated under the laws of

Spain, with registered office at Avenia de John Lennon, 28096 Getafe (Madrid), Spain. Prior to the CESA Acquisition, the financial year end of CESA was December 31 of each year.

9. The CESA Acquisition qualifies as a “significant

acquisition” for the Filer since, based on the audited financial statements of the Filer for the year ended March 31, 2018 and the audited financial statements of CESA for the year December 31, 2017, the assets of CESA represent approximately 26% of the Filer’s consolidated assets, the Filer’s consolidated investments in and advances to CESA represent approximately 32% of the Filer’s consolidated assets, and CESA’s loss represents, in absolute value, approximately 21% of the Filer’s consolidated profit.

10. As a result of this qualification, the Filer must file,

on or before December 14, 2018, a BAR containing, among other disclosure, the following financial statements required pursuant to Section 8.4 of NI 51-102: (a) the annual financial statements of CESA

for the years ended December 31, 2017 and 2016, consisting of a statement of comprehensive income, a statement of changes in equity and a statement of cash flows for the years ended December 31, 2017 and 2016, a statement of financial position as at December 31, 2017 and 2016 and notes to the financial statements;

(b) the interim financial statements of CESA for the nine-month periods ended September 30, 2018 and 2017; and

(c) pro forma financial statements of the Filer,

consisting of a pro forma statement of financial position of the Filer as at September 30, 2018 that gives effect, as if it had taken place as at such date, to the CESA Acquisition, and pro forma income statements and pro forma earnings per share of the Filer for the year ended March 31, 2018 and the six-month period ended September 30, 2018 that give effect to the CESA Acquisition as if it had taken place on April 1, 2017 (using the financial results of CESA for the year ended December 31, 2017 and the six month period ended June 30, 2018), with adjustments to conform amounts for CESA to the Filer’s accounting policies.

11. Pursuant to legislation applicable to Spanish

businesses, the annual financial statements of CESA prepared in accordance with generally accepted accounting principles in Spain (“Spanish GAAP”) and audited in accordance with Spanish auditing standards must be filed with a Spanish governmental authority, Registro Mercantil Central, and are made accessible to the public, even though CESA’s securities are not listed on any marketplace.

12. From the beginning of its due diligence process, the

Filer analyzed in detail the recognition, measurement, classification, presentation and disclosure differences between CESA’s accounting policies under Spanish GAAP and those followed by the Filer under IFRS. Spanish experts informed the Filer that Spanish GAAP were largely harmonized with IFRS, and the Filer’s analysis of CESA’s financial statements found differences mainly related to accounting policy choices rather than accounting standard requirements. The only accounting treatment that the Filer, as part of its due diligence process, found not in compliance with IFRS pertained to the classification of government grants, which would result in a reclassification of approximately €700,000 mainly in shareholder’s equity.

13. When faced with the possibility of converting

CESA’s financial statements to IFRS in order to file the BAR, the Filer engaged local experts to specifically look at the differences between Spanish GAAP and IFRS in connection with CESA’s financial statements. The Filer was informed that Spanish GAAP had largely been harmonized with IFRS in 2007-2008. The Filer’s local experts performed a gap analysis of differences between Spanish GAAP and IFRS and found the only difference which affected CESA’s financial statements would be related to the


January 3, 2019

(2019), 42 OSCB 47

classification of government grants, thereby confirming the Filer’s prior analysis. While other differences exist between Spanish GAAP and IFRS, these differences either do not apply to CESA due to the nature of its business, recent transactions or policy elections, or do not constitute a material difference.

14. CESA’s independent auditors advised the Filer that

they would be able to confirm that their audit of CESA’s annual financial statements complies with International Standards on Auditing, as required pursuant to Section 3.12 of NI 52-107.

15. Prior to the CESA Acquisition, CESA did not

prepare financial statements for any interim period. 16. Since CESA does not qualify as a “designated

foreign issuer” under NI 52-107 because its shares are not listed on any marketplace, and the Spanish legislation requiring filing of its annual financial statements does not qualify as “foreign disclosure requirements” under NI 52-107 because it does not relate to securities laws or the rules of a marketplace, the Filer is not able to rely on Subsection 3.11(1)(e) of NI 52-107 to include in the BAR financial statements of CESA prepared in accordance with Spanish GAAP and, instead, would be required to perform a full IFRS conversion and prepare new financial statements for CESA in accordance with IFRS.

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 provided that:

(a) the financial statements of CESA included in the BAR are prepared in accordance with Spanish GAAP and contain notes describing the material differences between IFRS and Spanish GAAP that relate to recognition, measurement and presentation, quantifying the effect of each such difference, and also contain a tabular reconciliation between profit or loss reported in such financial statements and profit or loss computed in accordance with IFRS; and

(b) the annual financial statements of CESA

included in the BAR, including the notes referred to in (a) above, are accompanied by an auditor’s report and audited in accordance with International Standards on Auditing, as required pursuant to Section 3.12 of NI 52-107.

“Gilles Leclerc” Surintendant des marches de valeurs


January 3, 2019

(2019), 42 OSCB 48

2.1.8 Solium Capital Inc. and Brian Craig Headnote National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – reporting insider granted relief from the requirement in subsection 107(2) of the Securities Act (Ontario) to file an insider report within five days of each disposition of securities occurring pursuant to an automatic securities disposition plan, provided that the insider files an insider report in respect of all dispositions under the automatic securities disposition plan on an annual basis. Applicable Legislative Provisions Securities Act, R.S.O. 1990, c. S.5, as am., s. 107(2). National Instrument 55-104 Insider Reporting Requirements

and Exemptions, s. 3.3. Citation: Re Solium Capital Inc., 2018 ABASC 185

December 14, 2018


ALBERTA AND ONTARIO (the Jurisdictions)

AND

IN THE MATTER OF


AND

IN THE MATTER OF

SOLIUM CAPITAL INC. (Solium)

AND

BRIAN CRAIG

(Craig) (collectively, the Filers)

DECISION

Background The securities regulatory authority or regulator in each of the Jurisdictions (each a Decision Maker) has received an application from the Filers for a decision (the Exemption Sought) under the securities legislation (the Legislation) of the Jurisdictions exempting Craig, a director of Solium, from the requirement in section 3.3 of National Instrument 55-104 Insider Reporting Requirements and Exemptions (NI 55-104) and subsection 107(2) of the Securities Act (Ontario) (the Ontario Act) to file an insider report within five days following the disposition of securities under his ASDP (as defined below), subject to certain conditions.

Under the Process for Exemptive Relief Applications in Multiple Jurisdictions (for a dual application):

(a) the Alberta Securities Commission is the principal regulator for this application;

(b) the Filers have provided notice that sub-

section 4.7(1) of Multilateral Instrument 11-102 Passport System (MI 11-102) is intended to be relied upon in British Columbia, Saskatchewan, Manitoba, Québec, New Brunswick, Nova Scotia, Newfoundland and Labrador and Prince Edward Island; and

(c) this 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 National Instrument 14-101 Definitions, MI 11-102 or NI 55-104 have the same meaning if used in this decision, unless otherwise defined herein. Representations This decision is based on the following facts represented by the Filers: Solium 1. Solium is a corporation existing under the laws of

the Province of Alberta and is a reporting issuer under the securities legislation of each of the provinces of Canada. Solium is not in default of securities legislation in any jurisdiction.

2. The head office of Solium is located in Calgary,

Alberta. 3. The authorized share capital of Solium consists of

an unlimited number of common shares (Common Shares) and an unlimited number of preferred shares, issuable in series. As at November 9, 2018, Solium had 56,623,640 Common Shares and no preferred shares of any series issued and outstanding.

4. The Common Shares are listed and posted for

trading on the Toronto Stock Exchange under the symbol “SUM”.

Craig 5. Craig is a director of Solium, is a reporting insider

and is not in default of securities legislation in any jurisdiction.

6. As at November 9, 2018, Craig beneficially owned,

controlled or directed 3,041,300 Common Shares (representing approximately 5.4% of the then


January 3, 2019

(2019), 42 OSCB 49

outstanding Common Shares) as well as 12,624 restricted share units.

7. Craig wishes to sell up to a total of 600,000

Common Shares pursuant to the ASDP (as defined below).

The Automatic Securities Disposition Plan 8. Scotia Capital Inc. (the Broker), Solium and Craig

entered into an automatic securities disposition plan (the ASDP) dated effective November 9, 2018 to facilitate the automatic sale of up to 600,000 Common Shares beneficially owned by Craig that have been deposited into an account managed by the Broker in accordance with the trading parameters and other instructions set out in the ASDP.

9. As set out in the ASDP and as otherwise

covenanted by Craig, Craig can only make changes to the trading parameters and other instructions set out in the ASDP or voluntarily terminate the ASDP if all of the following conditions are met: (a) Craig has obtained the prior written

consent of Solium in accordance with Solium's disclosure policy;

(b) Craig has provided notice to the public of

the proposed change or termination by describing it in a filing on the System for Electronic Disclosure by Insiders (SEDI) and in a news release, which shall include a representation that, at the time of the amendment or termination, there is no blackout period in effect in respect of the securities of Solium and that Craig is not aware of any material fact or material change about Solium that has not been generally disclosed;

(c) Craig has provided the Broker with a

certificate from Solium confirming, among other things, compliance with Solium’s disclosure and insider trading policies and that, to its knowledge, Craig does not have knowledge of a material fact or material change about Solium that has not been generally disclosed; and

(d) such termination or amendment is made

in good faith and not as a part of a plan or scheme to evade the prohibitions of Section 147 of the Securities Act (Alberta) (the Alberta Act), Section 76 of the Ontario Act or comparable provisions in other applicable securities legislation

10. The ASDP does not provide for any waiting period

following the voluntary termination of the ASDP by Craig before he can enroll in a new ASDP.

However, this decision does not provide the Requested Relief in respect of any new ASDP.

11. The Broker is a securities broker that is at arm’s

length to Solium and Craig. 12. The Broker has been appointed as an independent

broker to effect sales of the Common Shares pursuant to the terms and conditions of the ASDP. The dispositions under the ASDP will be effected by the Broker in accordance with the pre-determined instructions as to the number and dollar value of the Common Shares to be sold, and other relevant information, all as set out in the ASDP.

13. Subject to the restrictions set forth in the ASDP, the

Broker will execute the trades in such a way as to attempt to minimize the negative price impact on the market and to attempt to maximize the prices obtained for the Common Shares.

14. Except to set trading parameters in the manner

described, Craig does not have the authority to make investment decisions or influence or control any disposition effected by the Broker pursuant to the ASDP and the Broker and Craig will not consult regarding any disposition.

15. Craig will not disclose to the Broker any information

concerning Solium that could reasonably be expected to influence the execution of any disposition under the ASDP.

16. The ASDP includes a waiting period of 30 days

between the date of adoption of the ASDP and the date that the first disposition may be made under the ASDP.

17. The ASDP has been structured to comply with

applicable securities legislation and guidance, including section 147(7)(c) of the Alberta Act, section 175(2)(b) of the General Regulation under the Ontario Act and Ontario Securities Commission Staff Notice 55-701 Automatic Securities Disposition Plans and Automatic Securities Purchase Plans.

18. At the time of execution of, and entering into the

ASDP, Craig represented that he did not possess knowledge of a material fact or material change with respect to Solium that had not been generally disclosed and that he was entering into the ASDP in good faith and not as part of a plan or scheme to evade the insider trading prohibitions under applicable Canadian securities legislation.

19. At the time of execution of, and entering into the

ASDP, Solium certified to the Broker that, to the knowledge of Solium, Craig did not have knowledge of any material fact or material change with respect to Solium that has not been generally disclosed.


January 3, 2019

(2019), 42 OSCB 50

20. The Common Shares are not subject to any liens, security interests or other impediments to transfer (except for limitations imposed by any applicable laws).

21. The ASDP will terminate on the earliest to occur of:

(a) December 9, 2020; (b) the completion of all sales contemplated

by the ASDP; (c) receipt by the Broker of notice of: (i)

Solium having entered into a definitive agreement pursuant to which it will be subject to a take-over bid, tender or exchange offer with respect to the Common Shares or an arrangement, merger, acquisition, reorganization, recapitalization or comparable transaction affecting the securities of Solium as a result of which the Common Shares are to be exchanged or converted into shares of another company; (ii) Craig’s death or mental incapacity; or (iii) the com-mencement or impending commence-ment of any proceedings in respect of or triggered by Craig’s bankruptcy or insolvency;

(d) the termination of the ASDP by the Broker

following receipt of notice of the occurrence of any legal, contractual or regulatory restriction applicable to Craig;

(e) the termination of the ASDP by Solium

following three business days’ prior written notice to the Broker and to the public by way of news release; and

(f) the voluntary termination of the ASDP by

Craig in accordance with paragraph 9 above.

22. Craig will not amend or terminate the ASDP if a

blackout period is in effect in respect of the securities of Solium or if he has knowledge of a material fact or material change about Solium that has not been generally disclosed. Craig will only amend or terminate the ASDP in good faith and not as part of a plan or scheme to evade the prohibitions of section 147 of the Alberta Act, section 76 of the Ontario Act or comparable prohibitions in other applicable securities legislation.

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, provided that Craig shall file a report through SEDI, by March 31 of each calendar year, of all dispositions under the ASDP during the prior calendar year not previously disclosed in a SEDI filing, disclosing either of the following:

(a) each disposition on a transaction-by-transaction basis; or

(b) all dispositions as a single transaction

using the average unit price of the securities.

“Tom Graham, CA” Director, Corporate Finance Alberta Securities Commission


January 3, 2019

(2019), 42 OSCB 51

2.1.9 Teck Resources Limited Headnote National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – National Instrument 43-101 Standards of Disclosure for Mineral Projects – Prohibition against including inferred resources in an economic analysis – An issuer wants to disclose the results of a study containing an economic evaluation using inferred mineral resources – The economic analysis using inferred resources is reasonable from a technical point of view and is a material fact in the affairs of the issuer; the issuer will include appropriate cautionary language in all disclosure of the economic analysis using inferred resources; any such disclosure will be accompanied by disclosure of an economic analysis that does not include inferred resources. Applicable Legislative Provisions National Instrument 43-101 Standards of Disclosure for Mineral Projects, ss. 2.3(1)(b), 9.1(1).

December 4, 2018


(the Jurisdictions)

AND

IN THE MATTER OF THE PROCESS FOR EXEMPTIVE RELIEF


AND

IN THE MATTER OF TECK RESOURCES LIMITED

(the Filer)

DECISION


application from the Filer for a decision (the Exemption Sought) under the securities legislation of the Jurisdictions (the Legislation) exempting the Filer from the prohibition in section 2.3(1)(b) of National Instrument 43-101 Standards of Disclosure for Mineral Projects (NI 43-101) against making any disclosure of results of an economic analysis that includes or is based on inferred mineral resources. Under the Process of Exemptive Relief Applications in Multiple Jurisdictions (for a dual application):

(a) the British Columbia Securities Commission is the principal regulator for this application; (b) the Filer has provided notice that section 4.7(1) of Multilateral Instrument 11-102 Passport System (MI

11-102) is intended to be relied upon in Alberta, Saskatchewan, Manitoba, Quebec, New Brunswick, Nova Scotia, Prince Edward Island, Newfoundland and Labrador, the Yukon Territory, the Northwest Territories and Nunavut; and



Interpretation 2 Terms defined in National Instrument 14-101 Definitions or MI 11-102 have the same meaning if used in this decision,

unless otherwise defined.


January 3, 2019

(2019), 42 OSCB 52

Representations 3 The decision is based on the following facts represented by the Filer:

The Filer 1. the Filer is a company continued under the Canada Business Corporations Act with its registered and principal

offices located at Suite 3300, 550 Burrard Street, Vancouver, British Columbia, V6C 0B3; 2. the Filer is a diversified resource company committed to responsible mining and mineral development with major

business units focused on copper, steelmaking coal, zinc and energy; the Filer has interests in mining and processing operations in Canada, the United States, Peru and Chile, including the Quebrada Blanca copper mine in Chile;

3. the share capital of the Filer consists of an unlimited number of Class A common shares, Class B subordinate

voting shares and preference shares, issuable in series; as at October 31, 2018, the Filer had a total of 7,768,304 Class A common shares, 566,405,116 Class B subordinate voting shares and no preference shares issued and outstanding; the Class A common shares are listed on the Toronto Stock Exchange under the ticker symbol TECK.A; the Class B subordinate voting shares are listed on the Toronto Stock Exchange under the ticker symbol TECK.B and on the New York Stock Exchange under the symbol TECK;

4. the Filer is a reporting issuer or its equivalent in each of the provinces and territories of Canada and is not in

default of securities legislation in any of those jurisdictions; The Quebrada Blanca Property 5. the Quebrada Blanca property, located in northern Chile, is owned by a Chilean private company, Compañía

Minera Teck Quebrada Blanca S.A. (CMTQB); the Filer currently owns, indirectly, 100% of the Series A shares of CMTQB through two wholly-owned Chilean subsidiaries, representing a 90% equity interest in CMTQB; Empresa Nacional de Minera, a Chilean government entity, owns 100% of the Series B preferred shares of CMTQB, which are non-funding and participating only, representing a 10% equity interest in CMTQB;

6. in addition to developing the Quebrada Blanca Phase II project (QB2 or Project), CMTQB currently operates the

“Quebrada Blanca mine”, relating to the supergene deposit at the site, and open-pit mining operation and dump leach circuit; the supergene deposit was exhausted earlier in 2018 although cathode production is expected to continue through 2019 as leaching of dump material and secondary extraction from old heap material continues;

7. the Project has involved developing a plan to mine the hypogene resource at the Quebrada Blanca property; it

will be an open pit mine and include the construction of a concentrator, tailings storage facility, concentrate pipeline, water supply pipeline, desalination plant, concentrate filtration plan and port to produce copper and molybdenum concentrates;

8. in February, 2017, the Filer filed a technical report in respect of the Project entitled “QUEBRADA BLANCA

PHASE II FEASIBILITY STUDY 2016” prepared in accordance with NI 43-101 (Prior Technical Report), which included an economic analysis that did not include an inferred resource; since the filing of the Prior Technical Report, further exploration has been carried out by the Filer and its affiliates in respect of QB2 to further define the confidence level associated with the hypogene resource, as well as to update geological models and undertake further metallurgical testing; further engineering studies and optimizations have also been undertaken by the Filer and its affiliates;

9. the Filer commenced a further economic analysis (Economic Analysis) with respect to QB2 through 2018, and

it is undergoing final internal review; the Economic Analysis was prepared under the supervision of qualified persons employed by Teck or its affiliates;

10. the mine pit design considered by the Economic Analysis includes 409 million tonnes of proven reserves, 793

million tonnes of probable reserves and 199 million tonnes of inferred resources from the hypogene deposit; the Economic Analysis identifies a further 36 million tonnes of measured resources, 1.436 billion tonnes of indicated resources and 3.194 billion tonnes of inferred resources outside of the mine pit design, but within the resource shell; various factors restricted infill drilling of the hypogene deposit within the mine pit area; the Economic Analysis optimization, mine planning and financial analysis considered realistic mining conditions and the likely continuity of the ore body; the mine plan used for the Economic Analysis contemplates a long-life operation of approximately 28 years, constrained by tailings capacity; inferred resources constitute approximately 14% of the scheduled reserves and resources of 1.401 billion tonnes included in the mine pit design considered by the


January 3, 2019

(2019), 42 OSCB 53

Economic Analysis (which includes a portion of the supergene resource not previously included in the supergene mine plan and associated low grade supergene material); approximately 66% of the inferred material will only be processed after 2039;

11. the Filer intends to:

(a) disclose the results of the updated Economic Analysis on the Project after such analysis is complete

following the Filer’s internal review process; to the extent the final results of the Economic Analysis are available, the Filer expects to include discussion of such results in a press release as soon as possible (Press Release); the timing and issuance of the Press Release is dependent on a number of factors relating to developments at the Project; the Filer may also discuss the final results of the Economic Analysis in subsequent press releases, investor presentations or other documents; the Press Release and other documents first filed or made available to the public in a jurisdiction of Canada containing the results of the Economic Analysis are referred to as the “Initial Disclosure Documents”; and

(b) subsequently file a subsequent technical report, if required, that includes the Economic Analysis within

the applicable time periods prescribed under section 4.2 of NI 43-101 (Subsequent Technical Report);

12. both the Initial Disclosure Documents and Subsequent Technical Report will include disclosure of the Economic Analysis that includes or is based on inferred mineral resources, (which is referred to in this Decision as the “Sanction Case”), in addition and as supplement to a comparison base case economic analysis that will exclude or is not based on inferred mineral resources (which is referred to in this Decision as the “Base Case”);

13. the Sanction Case continues to form the basis of the Filer’s continued investment decisions regarding QB2, and

will form the basis upon which the Filer’s Board of Directors will consider moving ahead with the Project; 14. the Filer considers the inclusion of the Sanction Case Economic Analysis in the Subsequent Technical Report,

and the disclosure of the Sanction Case Economic Analysis in the Initial Disclosure Documents, in addition and as a supplement to the Base Case Economic Analysis, as reasonable from a technical point of view; and

15. the Sanction Case Economic Analysis is a material fact in the affairs of the Filer.

Decision 4 Each of the Decision Makers is satisfied that this 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 provided that:

(a) the Filer includes, in the Initial Disclosure Documents and all other disclosure of the Sanction Case Economic Analysis, proximate cautionary statements to investors regarding the uncertainty associated with inferred resources, which addresses the substance of the cautionary language set out in subsection 2.3(3) of NI 43-101; and

(b) any disclosure of the Sanction Case Economic Analysis is accompanied by disclosure of the Base

Case Economic Analysis.



January 3, 2019

(2019), 42 OSCB 54

2.1.10 NCM Asset Management Ltd. et al. Headnote National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – approval of mutual fund mergers pursuant to paragraph 5.5(1)(b) of National Instrument 81-102 Investment Funds – approval required because mergers do not meet the criteria for pre-approved reorganizations and transfers – the fundamental investment objectives of the terminating funds and the continuing funds are not substantially similar, the mergers cannot be completed on a tax-deferred basis and the portfolio assets of the terminating funds are not acceptable to the portfolio manager of the continuing funds because the assets are not consistent with the continuing fund’s investment objectives – securityholders are provided with timely and adequate disclosure regarding the mergers. Applicable Legislative Provisions National Instrument 81-102 Investment Funds, ss. 5.5(1)(b),

19.1. Citation: Re NCM Asset Management Ltd., 2018 ABASC 170

October 30, 2018



AND

IN THE MATTER OF

THE PROCESS FOR EXEMPTIVE RELIEF APPLICATIONS


AND

IN THE MATTER OF NCM ASSET MANAGEMENT LTD. (the Manager)

AND

NCM HIGH INCOME FUND (HIF),

NCM TACTICAL OPPORTUNITIES FUND (TO), AND NCM PREMIUM GROWTH CLASS (PG)

(each, a Terminating Fund)

AND

NCM CONSERVATIVE INCOME PORTFOLIO (CIP), NCM GROWTH AND INCOME PORTFOLIO (GIP), AND

NCM BALANCED INCOME PORTFOLIO (BIP) (each, a Continuing Fund, and together with the

Terminating Funds, the Funds)

DECISION

Background The securities regulatory authority or regulator in each of the Jurisdictions (each a Decision Maker) has received an application from the Manager and the Funds (collectively, the Filers) for a decision under the securities legislation (the Legislation) of the Jurisdictions approving (the Requested Approval) the proposed mergers of HIF with CIP, TO with GIP and PG with BIP (each, a Proposed Merger) pursuant to paragraph 5.5(1)(b) of National Instrument 81-102 Investment Funds (NI 81-102). Under the Process for Exemptive Relief Applications in Multiple Jurisdictions (for a dual application):


(b) the Filers have provided notice that sub-

section 4.7(1) of Multilateral Instrument 11-102 Passport System (MI 11-102) is intended to be relied upon in British Columbia, Saskatchewan, Manitoba, Québec, New Brunswick, Newfoundland and Labrador, Nova Scotia and Prince Edward Island; and

(c) this decision is the decision of the

principal regulator and evidences the decision of the securities regulatory authority or regulator in Ontario.

Interpretation Unless otherwise defined herein, terms defined in National Instrument 14-101 Definitions, MI 11-102, National Instrument 81-101 Investment Funds (NI 81-101), and NI 81-102 have the same meaning if used in this decision. Representations This decision is based on the following facts represented by the Filers: The Manager and the Funds 1. The Manager is a corporation continued under the

federal laws of Canada with its head office in Calgary, Alberta. The Manager is registered as an investment fund manager in Alberta, Newfound-land and Labrador, Ontario and Québec, and as a portfolio manager in Alberta and Ontario. The Manager acts as investment fund manager and portfolio manager of each Fund.

2. HIF is a trust formed under the laws of the Province

of Alberta. TO is a separate class of special shares of NCM Opportunities Corp. (NOC), a mutual fund corporation amalgamated under the laws of the Province of Alberta. PG is a separate class of special shares of NCM Core Portfolios Ltd. (NCP), a mutual fund corporation incorporated under the laws of the Province of Alberta.


January 3, 2019

(2019), 42 OSCB 55

3. Each Continuing Fund is an open-end trust formed

under the laws of the Province of Alberta. 4. Each Fund is a reporting issuer in each of the

provinces of Canada and is subject to the requirements of NI 81-101 and NI 81-102. Securities of each Fund are currently offered for sale in each of the provinces of Canada under a simplified prospectus, annual information form, and fund facts document dated August 27, 2018.

5. None of the Filers are in default of securities

legislation in any jurisdiction of Canada. 6. Each Fund follows the standard investment

restrictions and practices in NI 81-102, except pursuant to the terms of any exemptive relief that has been previously obtained.

7. The net asset value for each series of securities of

each Fund is calculated on a daily basis on each day that the Toronto Stock Exchange is open for trading (each, a Business Day) and securities of each Fund are generally redeemable on any Business Day.

The Proposed Mergers 8. Upon receipt of this approval, the following steps

will be carried out to effect the Proposed Mergers: (a) Each of HIF, TO and PG will liquidate their

investment portfolios by converting portfolio investments into cash or cash equivalent instruments.

(b) HIF, TO or PG, as applicable, may

declare, pay, and automatically reinvest distributions or ordinary dividends or capital gains dividends to securityholders of the applicable Terminating Fund in a manner determined by the Manager to be fair and equitable.

(c) The value of the portfolio and other assets

and liabilities of each Terminating Fund will be determined at the close of business on the Business Day immedi-ately preceding the effective date of termination (the Effective Date) in accordance with the constating docu-ments of the Terminating Fund.

(d) On the Effective Date, each Continuing

Fund will acquire all or substantially all of the assets and assume all or substantially all of the liabilities attributed to the applicable Terminating Fund from such Terminating Fund in exchange for the issuance by the Continuing Fund to the Terminating Fund of securities of the Continuing Fund having an aggregate net

asset value equal to the value of the assets and liabilities so transferred or assumed.

(e) Immediately following such transfer and

assumption, such Terminating Fund will redeem the securities of the Terminating Fund at their net asset value and distribute securities of the corresponding series of the applicable Continuing Fund in payment of the redemption proceeds on a series by series basis, such that the securityholders of the Terminating Fund will become securityholders of the Continuing Fund following such redemption and distribution, and the assets and liabilities attributable to the Terminating Fund will be included in the portfolio of the Continuing Fund.

(f) The securities of each Continuing Fund

received by the applicable Terminating Fund, as applicable, will have an aggregate net asset value equal to the value of the portfolio assets that the Continuing Fund is so acquiring, less the assumed liabilities.

(g) As soon as reasonably possible following

the applicable Effective Date, each Terminating Fund will be terminated.

9. Upon completion of each Proposed Merger, except

as set out herein, the fee structures, valuation procedures, investment fund manager, and portfolio manager in respect of each Continuing Fund will be identical, in all material respects, to those in respect of the applicable Terminating Fund. Further, upon completion of each Proposed Merger, securityholders of each Terminating Fund will receive the equivalent value of the corresponding series of securities of the respective Continuing Fund with comparable rights and privileges as the series of securities of the Terminating Fund they previously held. Except for the MG Series of PG, the management fee of each series of each Continuing Fund will be the same as or lower than that of the corresponding series of its respective Terminating Fund.

10. The following are the only material differences

between each Terminating Fund and its respective Continuing Fund: (a) Each of TO and PG is a class of shares of

a mutual fund corporation, whereas its corresponding Continuing Fund will be an open-end trust.

(b) Except for the MG Series of PG, the

management fee of each series of each Continuing Fund will be the same as or lower than that of the corresponding


January 3, 2019

(2019), 42 OSCB 56

series of its respective Terminating Fund; the MG Series of PG is today available only to investors who acquire shares through BMO Nesbitt Burns Inc. and maintain a minimum investment in PG, and this arrangement will be discontinued upon the completion of the Proposed Mergers.

(c) TO may pay a performance fee to the

Manager; no performance fee is payable in respect of any other Fund, including GIP, the Continuing Fund of TO.

(d) Each Terminating Fund has different

investment objectives and investment strategies from its corresponding Continuing Fund.

11. As required by National Instrument 81-107

Independent Review Committee for Investment Funds, the Manager presented the terms of the Proposed Mergers to the Independent Review Committee (IRC) of the Terminating Funds for its review. The IRC reviewed the potential conflict of interest matters related to the Proposed Mergers and determined that the Proposed Mergers, if implemented, would achieve a fair and reasonable result for each of the Terminating Funds.

12. Disclosure relating to the Proposed Mergers are

contained in the simplified prospectus, annual information form, and fund facts document of the Funds filed on August 27, 2018.

13. A special meeting of securityholders of each

Terminating Fund was held on October 18, 2018 to vote on the applicable Proposed Merger, as required pursuant to paragraph 5.1(1)(f) of NI 81-102 and pursuant to the Terminating Fund’s constating documents and the Business Corporations Act (Alberta). The Proposed Mergers were approved.

14. The management information circular dated

September 14, 2018 (the Circular) in respect of the special meetings contained a description of the Proposed Mergers and of the Continuing Funds, a summary of the IRC’s determination, the related Canadian federal income tax considerations for each Terminating Fund and its securityholders, and a description of the material differences between being a shareholder of a corporation and being a unitholder of a trust. The Circular also included the most recently filed fund facts document of each Continuing Fund and disclosed that securityholders of each Terminating Fund may obtain, at no cost, the applicable Continuing Fund’s current simplified prospectus, annual information form, and fund facts document by contacting the Manager or by accessing the website of the Manager or SEDAR. The Circular provided sufficient information to

securityholders to permit them to make an informed decision about the Proposed Mergers.

15. Securities of each Continuing Fund received by

securityholders of the applicable Terminating Fund as a result of the applicable Proposed Merger will be deemed to have been purchased under the front end sales charge option (without payment of any sales charge). As a result, any securityholders in a Terminating Fund whose securities were subject to a deferred sale commission (DSC) will receive securities in the Continuing Fund which have no DSC.

16. Securityholders of each Terminating Fund will

continue to have the right to redeem their securities or exchange their securities for securities of any other mutual funds in the NCM family of mutual funds or to redeem their securities for cash at any time up to the close of business on the Business Day immediately before the Effective Date. Securityholders of a Terminating Fund who switch their securities for securities of other mutual funds for which the Manager is the manager will not incur any charges. Securityholders of a Terminating Fund who redeem their securities may be subject to redemption charges.

17. None of the costs and expenses associated with

any of the Proposed Mergers will be borne by the Funds. All such costs will be borne by the Manager. There are no charges payable by securityholders of any Terminating Fund who acquire securities of a Continuing Fund as a result of a Proposed Merger. Securityholders of the Terminating Funds will continue to have the right to redeem or switch into another mutual fund in the NCM Group of Funds at any time up to the close of business on the Business Day prior to the Proposed Mergers occuring.

18. No sales charges will be payable in connection with

the acquisition by a Continuing Fund of the investment portfolio of the applicable Terminating Fund. The Proposed Mergers are planned to take place on or about October 31, 2018 (the Merger Date). As soon as reasonably possible following its Merger Date, the Terminating Fund will be terminated in accordance with its constating documents.

19. The Filers have complied, or will comply, with Part

11 of NI 81-106 in connection with the making of the decision to proceed with each Proposed Merger.

Reasons for Requested Approval 20. The investment objectives of each Terminating

Fund are not substantially similar to the invest-ment objectives of its corresponding Continuing Fund, as required by subparagraph 5.6(1)(a)(ii) of NI 81-102, because (a) each Continuing Fund is designed to


January 3, 2019

(2019), 42 OSCB 57

be a fund of funds while each Terminating Fund was established to make direct investments; and (b) in the case of the TO merger with GIP, the Terminating Fund’s investment objectives are to produce cash distributions and the potential for long term capital appreciation by investing primarily in corporate debt securities and other similar investments, whereas the Continuing Fund’s investment objectives are to provide investors with long term capital appreciation by investing in underlying funds in a diversified portfolio consisting primarily of fixed-income securities and to a lesser extent equity securities, together with some current income; and (c) in the case of the PG merger with BIP, the Terminating Fund's investment objectives are to provide investors with dividend income and potential for long term capital appreciation, whereas the Continuing Fund’s investment objectives are to provide investors with a balance of income and long term capital appreciation.

21. The management fee for Series A of BIP will not be

equal to or lower than the management fee for Series MG of PG.

22. The Proposed Mergers are intended to be

completed on a taxable basis and will not be a “qualifying exchange” or other form of tax-deferred transaction and so will not satisfy the requirement under paragraph 5.6(1)(b) of NI 81-102. However, except for a small proportion of securityholders that will realize a capital gain, securityholders of each Terminating Fund are generally not expected to be materially affected by the disposition of their securities pursuant to the applicable Proposed Mergers at their fair market value because they will either realize a capital loss or they hold their securities in a registered plan.

23. Prior to each Proposed Merger, the Terminating

Fund will liquidate its portfolio assets, which will cause the Terminating Fund to realize income, losses, capital gains or capital losses. If a Terminating Fund has insufficient losses or expenses to offset such amounts, HIF, or NCP, in respect of PG, or NOC, in respect of TO, as applicable, may declare, pay, and automatically reinvest distributions or capital gains dividends to securityholders of such Terminating Fund, with the aim of ensuring that any tax liabilities attributed to such Terminating Fund are borne by the securityholders of the Terminating Fund.

24. The portfolio sub-advisor of the Continuing Funds

has been provided with a copy of the current investment portfolios of the Terminating Funds and has determined that substantially all of the portfolio securities of the Terminating Funds are not acceptable to it, if such securities were to be transferred to the Continuing Funds.

25. Each Proposed Merger satisfies all of the criteria for pre-approved reorganizations and transfers set forth in subsection 5.6(1) of NI 81-102, except as follows: (a) A reasonable person would not consider

each Terminating Fund to have substantially similar fundamental invest-ment objectives as its respective Continuing Fund, as contemplated by subparagraph 5.6(1)(a)(ii) of NI 81-102.

(b) A reasonable person would not consider

PG to have a substantially similar fee structure as BIP, due to the difference in fees between the terminating Series MG and the continuing Series A, as contem-plated by subparagraph 5.6(1)(a)(ii) of NI 81-102.

(c) Each Proposed Merger will not be a

“qualifying exchange” within the meaning of section 132.2 of the ITA or a tax-deferred transaction under section 85(1), 85.1(1), 86(1), or 87(1) of the ITA, as required by paragraph 5.6(1)(b) of NI 81-102.

(d) The portfolio assets of each Terminating

Fund to be acquired by its respective Continuing Fund as part of the transaction are not currently acceptable to the portfolio adviser of such Continuing Fund and are not currently consistent with such Continuing Fund’s fundamental investment objectives, as contemplated by subparagraph 5.6(1)(d)(ii) of NI 81-102.

26. Section 5.6 of NI 81-102 is not available in these

circumstances for the reasons set out above. Therefore, in accordance with paragraph 5.5(1)(b) of NI 81-102, the Filers applied, pursuant to section 5.7 of NI 81-102, for approval in order to effect each Proposed Merger as described above.

Benefits of the Mergers 27. The anticipated benefits to securityholders of the

Proposed Mergers are as follows: (a) The Manager believes each Continuing

Fund will have greater appeal to prospective investors and will have the benefit of a more significant profile in the marketplace. The Continuing Funds each have a significant fixed income com-ponent, which the Manager believes will attract more investors and hence increase the asset base of the Contin-uing Funds allowing such Continuing Funds to realize economies of scale. The Manager will be able to concentrate its marketing efforts


January 3, 2019

(2019), 42 OSCB 58

by streamlining its platform. The ability to attract assets in the Continuing Funds will benefit investors by helping to ensure that the Continuing Funds remain viable, long-term, and attractive investment vehicles for existing and potential investors.

(b) It is expected that each of the Continuing

Funds will be able to attract a larger amount of assets under management than its corresponding Terminating Fund, which will allow the Continuing Fund’s portfolio managers to achieve increased efficiencies and flexibility. On the other hand, administrative and regulatory costs of operating the Terminating Funds as stand-alone mutual funds are expected to increase if the Terminating Funds continue their current growth trajectories.

(c) The Proposed Mergers will allow the

Manager to provide investors with a more streamlined, single solution range of products that the Manager believes will make it easier for investors to understand and to select a suitable mutual fund based on their risk tolerance and investment objectives.

(d) Except for the MG Series of PG, which will

be continued into the A Series of BIP, the Continuing Funds will have the same, or lower, fees than the Terminating Funds.

(e) It is expected that increased asset bases

in each of the Continuing Funds will likely result in a lower expense ratio.

(f) The investment objectives of the

Continuing Funds are broader and more conservative than those of the applicable Terminating Funds.

Decision Each of the Decision Makers is satisfied that the decision meets the test set out in the Legislation for the Decision Makers to make the decision. The decision of the Decision Makers is that the Requested Approval is granted. “Timothy Robson” Manager, Legal Corporate Finance Alberta Securities Commission

2.1.11 Serinus Energy Plc Headnote National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – exemption from the requirements of National Instrument 51-101 Standards of Disclosure for Oil and Gas Activities – less than 10% of the aggregate of any class or series of issuer’s securities are beneficially owned by residents of Canada – relief conditional on issuer complying with disclosure requirements of the United Kingdom, including the rules and regulations of the AIM and and filing such disclosure, and other conditions. Applicable Legislative Provisions National Instrument 51-101 Standards of Disclosure for Oil

and Gas Activities, s. 8.1. Citation: Re Serinus Energy Plc, 2018 ABASC 189

December 21, 2018



AND

IN THE MATTER OF


AND

IN THE MATTER OF

SERINUS ENERGY PLC (the Filer)

DECISION

Background The securities regulatory authority or regulator in each of the Jurisdictions (Decision Maker) has received an application from the Filer for a decision (the Exemption Sought) under the securities legislation of the Jurisdictions (the Legislation) that the Filer be exempted from the requirements of National Instrument 51-101 Standards of Disclosure for Oil and Gas Activities (NI 51-101). Under the Process for Exemptive Relief Applications in Multiple Jurisdictions (for a dual application):


(b) the Filer has provided notice that sub-

section 4.7(1) of Multilateral Instrument 11-102 Passport System (MI 11-102) is intended to be relied upon in British


January 3, 2019

(2019), 42 OSCB 59

Columbia, Saskatchewan, Manitoba, New Brunswick, Nova Scotia, Prince Edward Island and Newfoundland and Labrador; and

(c) the decision is the decision of the principal

regulator and evidences the decision of the securities regulatory authority or regulator in Ontario.

Interpretation Terms defined in National Instrument 14-101 Definitions, MI 11-102 or National Instrument 13-101 System for Electronic Document Analysis and Retrieval have the same meaning if used in this decision, unless otherwise defined herein. Representations This decision is based on the following facts represented by the Filer: 1. The Filer is an international oil and gas exploration

and production company whose business consists primarily of the exploration for, and development, production and acquisition of, petroleum and natural gas interests in Tunisia and Romania.

2. In May 2018, the Filer completed a corporate

reorganization whereby, among other things, it continued from under the Business Corporations Act (Alberta) to under the Companies (Jersey) Law, 1991, listed its ordinary shares (Ordinary Shares) on the Alternative Investment Market (AIM) of the London Stock Exchange and voluntarily delisted such shares from the Toronto Stock Exchange.

3. The Filer has a number of subsidiaries that are

directly or indirectly wholly-owned by the Filer. 4. The head office of the Filer is located in Calgary,

Alberta. 5. The Filer is a reporting issuer in British Columbia,

Alberta, Saskatchewan, Manitoba, Ontario, New Brunswick, Nova Scotia, Prince Edward Island and Newfoundland and Labrador (the Reporting Jurisdictions), and is not in default of any securities legislation in any jurisdiction of Canada.

6. The authorized share capital of the Filer consists of

an unlimited number of Ordinary Shares, of which approximately 217,318,805 are issued and outstanding. The Filer has no debt securities outstanding.

7. The Ordinary Shares are listed on the AIM under the symbol “SENX” and the Warsaw Stock Exchange under the symbol “SEN”. As a result of the Filer’s listing on AIM, the Filer is subject to the disclosure requirements of the United Kingdom, including the AIM Rules for Companies (the AIM Rules), which regulate, among other things, reporting by oil and gas companies.

8. The Filer is not in default of any of the disclosure

requirements of the United Kingdom, including the AIM Rules.

9. None of the Ordinary Shares are listed for trading

on any “marketplace” in Canada (as such term is defined in National Instrument 21-101 Marketplace Operation), and the Filer has no current intention to list any securities on any marketplace in Canada.

10. The Filer prepares disclosure with respect to its oil

and natural gas activities in accordance with the AIM Rules (the Oil and Gas Disclosure).

11. The Filer made a good faith investigation effective

October 1, 2018 to confirm the residency of the holders of the Ordinary Shares. The investigation included obtaining geographical surveys of beneficial holders of Ordinary Shares and a list of registered holders of Ordinary Shares from the Filer’s transfer agent, Computershare Investor Services (Jersey) Limited (the Searches). On the basis of the Searches, and applying the principles of interpretation set forth in National Instrument 71-102 Continuous Disclosure and Other Exemptions Relating to Foreign Issuers (NI 71-102), the Filer has concluded that residents of Canada do not beneficially own more than 10% of the Ordinary Shares on a fully-diluted basis.

12. The Filer qualifies as a "designated foreign issuer"

under NI 71-102, and as such relies on and complies with the exemptions from Canadian continuous disclosure requirements afforded to designated foreign issuers under Part 5 of NI 71-102.

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 provided that:

(a) the Filer continues to be subject to and in

compliance with the disclosure require-ments of the United Kingdom, including the AIM Rules;


January 3, 2019

(2019), 42 OSCB 60

(b) residents of Canada do not beneficially own more than 10% of the aggregate number of any class or series of securities of the Filer or a subsidiary of the Filer, on a fully-diluted basis, or more than 10% of the aggregate principal amount of any debt securities of the Filer or a subsidiary of the Filer;

(c) the Filer issues in Canada, and files on

SEDAR, a news release stating that it will provide the Oil and Gas Disclosure prepared in accordance with the AIM Rules rather than in accordance with NI 51-101; and

(d) the Filer files the Oil and Gas Disclosure

with the securities regulatory authority or regulator in each of the Reporting Jurisdictions as soon as practicable after the earlier of the date the Oil and Gas Disclosure is required to be filed under the AIM Rules and the date it is filed under the AIM Rules.

“Timothy Robson” Manager, Legal Corporate Finance Alberta Securities Commission


January 3, 2019

(2019), 42 OSCB 61

2.1.12 Logan Resources Ltd. Headnote National Instrument 44-101 Short Form Prospectus Offerings – requirement to have a current AIF and not be an issuer whose operations have ceased, or whose principal asset is cash, cash equivalents, or its exchange listing – Qualification – An issuer that does not have a current AIF or whose operations have ceased, or whose principal asset is cash, cash equivalents, or its exchange listing wishes to use the short form prospectus system in NI 44-101 – the issuer seeks to complete a reverse-takeover transaction – transaction is conditional on the issuer completing a public offering of subscription receipts, and to save time and costs issuer would like to file a short form prospectus – issuer does not meet the qualification criteria for a short form prospectus without an exemption because, it is a venture issuer and has never filed an AIF and it has ceased its operations as a mining company and its principal asset is cash – issuer has shown that there is an adequate market following and adequate disclosure without meeting the qualification criteria, and in such cases relief may be appropriate. Applicable Legislative Provisions National Instrument 44-101 Short Form Prospectus Offerings, ss. 2.2, 8.1.

December 21, 2018


(the Jurisdictions)

AND



AND

IN THE MATTER OF LOGAN RESOURCES LTD.

(the Filer)

DECISION


application from the Filer for a decision under the securities legislation of the Jurisdictions (the Legislation) that the qualification criteria in sections 2.2(d)(ii) and 2.2(e) (the Qualification Criteria) of National Instrument 44-101 Short Form Prospectus Distributions (NI 44-101) that the Filer have a current annual information form (AIF) and not be an issuer whose operations have ceased, or whose principal asset is cash, cash equivalents or its exchange listing, do not apply to the Filer in connection with the Offering, as such term is defined below (the Exemption Sought). Under the Process for Exemptive Relief Application in Multiple Jurisdictions (for a dual application):

(a) the British Columbia Securities Commission is the principal regulator for this application, (b) the Filer has provided notice that subsection 4.7(1) of Multilateral Instrument 11-102 Passport System

(MI 11-102) is intended to be relied upon in Alberta, Saskatchewan, Manitoba, Nova Scotia, Newfoundland and Labrador, New Brunswick, Prince Edward Island, the Yukon, Northwest Territories and Nunavut, and




January 3, 2019

(2019), 42 OSCB 62

Interpretation 2 Terms defined in National Instrument 14-101 Definitions and MI 11-102 have the same meaning if used in this decision,


1. the Filer was incorporated under the laws of the Province of British Columbia on June 26, 1978; 2. the head office of the Filer is located in Vancouver, British Columbia; 3. the Filer is a reporting issuer under the securities legislation of British Columbia and Alberta, and an electronic

filer within the meaning of National Instrument 13-101 System for Electronic Document Analysis and Retrieval (SEDAR);

4. the Filer is not in default of securities legislation in any jurisdiction or any of the rules, regulations or polices of

the TSX Venture Exchange (the TSXV); 5. the Filer has filed current audited annual financial statements for its fiscal year ended March 31, 2018 on

SEDAR; 6. as a venture issuer under National Instrument 51-102 Continuous Disclosure Obligations (NI 51-102), the Filer

is not required to file an AIF; 7. the Filer is authorized to issue an unlimited number of common shares (each, a Share), of which 42,737,750

Shares are issued and outstanding as at December 20, 2018; the Shares are listed for trading on the TSXV under the symbol “LGR”;

8. on January 30, 2018, the Filer announced its proposed acquisition of Voleo, Inc. (Voleo), a private company

incorporated under the laws of Canada, which, if completed, will result in Voleo becoming a wholly-owned subsidiary of the Filer (the Transaction);

9. the Transaction will result in a reverse takeover of the Filer by Voleo and thus will be a restructuring transaction

for the purposes of NI 44-101; 10. the Transaction is subject to the prior approval of the TSXV and the Filer meeting TSXV Initial Listing

Requirements upon completion of the Transaction; 11. in connection with the Transaction, the Filer is required to undertake a public offering of subscription receipts

(each, a Subscription Receipt) to raise minimum gross proceeds of $5,000,000 and maximum gross proceeds of $10,000,000, or such other amount as is determined by the Filer and Voleo (the Offering);

12. each Subscription Receipt will entitle the holder thereof to receive one unit (Unit), without payment of additional

consideration, upon the completion of the Transaction; each Unit will consist of one Share and one half of one common share purchase warrant (each whole warrant, a Warrant); each Warrant will entitle the holder thereof to purchase one additional Share of the Filer at any time up to 24 months from the closing of the Offering;

13. at the closing of the Offering, the subscription funds will be deposited with TSX Trust Company, as escrow

agent; if the Transaction does not close within 120 days of the closing of the Offering, the applicable subscription funds will be returned by the Filer to the holder;

14. prior completion of the Offering is a condition to the closing of the Transaction; 15. assuming completion of the Transaction, the Filer will adopt the business of Voleo, Voleo will be the reverse

takeover acquirer and the Filer will be the reverse takeover acquiree; 16. the Filer wishes to file a short form prospectus pursuant to NI 44-101 to qualify the distribution of the Subscription

Receipts under the Offering (the Prospectus), but the Filer does not meet the Qualification Criteria because the Filer does not have a current AIF, its operations have ceased and its principal assets are cash and cash equivalents;


January 3, 2019

(2019), 42 OSCB 63

17. the Filer and Voleo were both required to obtain the approval of their respective shareholders for completion of the Transaction, and such approvals were obtained on July 18, 2018 and June 18, 2018, respectively;

18. in connection with obtaining shareholder approval, the Filer and Voleo prepared a joint management information

circular in the form prescribed by TSXV Form 3D1 Information Required in an Information Circular for a Reverse Take-Over or Change of Business (the Information Circular);

19. the Information Circular is dated May 30, 2018; after review by the TSXV, it was mailed to shareholders of the

Filer and Voleo, and filed on SEDAR; 20. the Information Circular includes prospectus-level disclosure with respect to Voleo and its business, including

audited annual consolidated financial statements of Voleo for the fiscal years ended December 31, 2017 and 2016, including the notes thereto, and the unaudited consolidated financial statements of Voleo for the fiscal years ended December 31, 2016 and 2015, including the notes thereto, and information with respect to the Filer, on a pro forma consolidated basis, assuming completion of the Transaction;

21. the Filer will incorporate the Information Circular by reference into the Prospectus; 22. an exemption from paragraph 2.2(d) of NI 44-101 is provided under subsection 2.7(2) of NI 44-101 to permit a

successor issuer that does not have a current AIF to qualify to file a prospectus in the form of a short form prospectus, subject to certain conditions; in particular, the condition in paragraph 2.7(2) of NI 44-101 that an information circular relating to the restructuring transaction that resulted in the successor issuer was filed by the successor issuer or an issuer that was a party to the restructuring transaction, and such information circular: (i) complied with applicable securities legislation; and (ii) included disclosure in accordance with section 14.2 or 14.5 of Form 51-102F5 Information Circular (51-102F5) for the successor issuer;

23. the Filer is unable to rely on the exemption in subsection 2.7(2) of NI 44-101 because it has not yet completed

the Transaction and is therefore not a “successor issuer” as defined in NI 44-101; and 24. the Filer has filed on SEDAR a notice pursuant to section 2.8 of NI 44-101 declaring its intention to be qualified

to file a short form prospectus at least 10 business days prior to the filing of any preliminary short form prospectus.


to make the decision. The decision of the Decision Makers under the Legislation is that the Exemption Sought is granted, provided that:

(a) the Information Circular complies with applicable securities legislation and includes disclosure in accordance with section 14.2 or 14.5 of 51-102F5 in relation to the Transaction; and

(b) the Filer complies with the representations in sections 11, 12, 13, 14, 15, 20 and 21.



January 3, 2019

(2019), 42 OSCB 64

2.2 Orders 2.2.1 Hiku Brands Company Ltd. Headnote National Policy 11-206 Process for Cease to be a Reporting Issuer Applications – Application for an order than the issuer is not a reporting issuer under applicable securities laws – The issuer is not an OTC reporting issuer; the securities of the issuer are beneficially owned by fewer than 15 securityholders in each of the jurisdictions of Canada and fewer than 51 securityholders worldwide; no securities of the issuer are traded on a market in Canada or another country; the issuer is not in default of securities legislation except it has not filed certain continuous disclosure documents Applicable Legislative Provisions National Policy 11-206 Process for Cease to be a Reporting Issuer Applications. Securities Act, R.S.O. 1990, c. S.5, as am., s. 1(10)(a)(ii).

December 11, 2018


(the Jurisdictions)

AND

IN THE MATTER OF THE PROCESS FOR CEASE TO BE A REPORTING ISSUER APPLICATIONS

AND

IN THE MATTER OF

HIKU BRANDS COMPANY LTD. (the Filer)

ORDER

Background 1 The securities regulatory authority or regulator in each of the Jurisdictions (Decision Maker) has received an application

from the Filer for a decision under the securities legislation of the Jurisdictions (the Legislation) that the Filer has ceased to be a reporting issuer in all jurisdictions of Canada in which it is a reporting issuer (the Order Sought). Under the Process for Cease to be a Reporting Issuer Applications (for a dual application):

(a) the British Columbia Securities Commission is the principal regulator for this application, (b) the Filer has provided notice that subsection 4C.5(1) of Multilateral Instrument 11-102 Passport System

(MI 11-102) is intended to be relied upon in Alberta, and (c) this order is the order of the principal regulator and evidences the decision of the securities regulatory

authority or regulator in Ontario.

Interpretation 2 Terms defined in National Instrument 14-101 Definitions and MI 11-102 have the same meaning if used in this order,

unless otherwise defined. Representations 3 This order is based on the following facts represented by the Filer:


January 3, 2019

(2019), 42 OSCB 65

1. the Filer is incorporated under the Business Corporations Act (British Columbia); 2. the Filer’s head office is located in Vancouver, British Columbia; 3. the Filer’s authorized share capital consists of an unlimited number of common shares (Common Shares) and

an unlimited number of preferred shares; 4. on September 5, 2018, all of the Common Shares were acquired by Canopy Growth Corporation by way of a

plan of arrangement under the Business Corporations Act (British Columbia); 5. the Common Shares were delisted from the Canadian Securities Exchange at the close of business on

September 6, 2018; 6. the Filer is not an OTC reporting issuer under Multilateral Instrument 51-105 Issuers Quoted in the U.S. Over-

the-Counter Markets; 7. the outstanding securities of the Filer, including debt securities, are beneficially owned, directly or indirectly, by

fewer than 15 securityholders in each of the jurisdictions of Canada and fewer than 51 securityholders in total worldwide;

8. no securities of the Filer, including debt securities, are traded in Canada or another country on a marketplace

as defined in National Instrument 21-101 Marketplace Operation or any other facility for bringing together buyers and sellers of securities where trading data is publicly reported;

9. the Filer is applying for an order that the Filer has ceased to be a reporting issuer in all of the jurisdictions of

Canada in which it is a reporting issuer; 10. the Filer is not in default of securities legislation in any jurisdiction, other than the obligation of the Filer to file on

or before November 29, 2018 its interim financial statements and related management’s discussion and analysis for the interim period ended September 30, 2018 as required under National Instrument 51-102 Continuous Disclosure Obligations and the related certificates as required under National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings (collectively, the Filings); and

11. the Filer is not eligible to use the simplified procedure under National Policy 11-206 Process for Cease to be a

Reporting Issuer Applications as it is in default for failure to file the Filings. Order 4 Each of the Decision Makers is satisfied that the order meets the test set out in the Legislation for the Decision Maker to

make the order. The decision of the Decision Makers under the Legislation is that the Order Sought is granted.



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(2019), 42 OSCB 66

2.2.2 Mainstream Minerals Corporation – s. 144 Headnote Application by an issuer for a revocation of a cease trade order issued by the Commission – cease trade order issued because the issuer had failed to file certain continuous disclosure materials required by Ontario securities law – defaults subsequently remedied by bringing continuous disclosure filings up-to-date – cease trade order revoked. Applicable Legislative Provisions Securities Act, R.S.O. 1990, c. S.5, as am., ss. 127, 144.

IN THE MATTER OF

THE SECURITIES ACT, R.S.O. 1990, CHAPTER S.5, AS AMENDED

(the Act)

AND

IN THE MATTER OF MAINSTREAM MINERALS CORPORATION

ORDER

(Section 144 of the Act)

WHEREAS the securities of Mainstream Minerals Corporation (the Applicant) are subject to a cease trade order dated April 25, 2016, issued by the Director of the Ontario Securities Commission (the Commission), pursuant to paragraph 2 of subsection 127(1) and subsection 127(4.1) of the Act (the Ontario Cease Trade Order), directing that all trading in the securities of the Applicant, whether direct or indirect, cease until the Ontario Cease Trade Order is revoked by the Director; AND WHEREAS the Ontario Cease Trade Order was made on the basis that the Applicant was in default of certain filing requirements under Ontario securities law, as described in the Ontario Cease Trade Order; AND WHEREAS the Applicant has applied to the Commission for a full revocation of the Ontario Cease Trade Order (the Application) pursuant to section 144 of the Act; AND UPON the Applicant having represented to the Commission that: 1. The Applicant is a corporation formed pursuant to

articles of incorporation under the Canada Business Corporations Act on July 19, 2006. The Applicant’s head office is located at 47 Fordham Bay, Winnipeg, Manitoba, R3T 3B8.

2. The Applicant is a mineral exploration company,

owning the Bobjo mineral exploration property located in Kenora, Ontario, and intends to continue carrying on its business as a mineral exploration company.

3. The Applicant has been a reporting issuer under the Act and is currently a reporting issuer in the Provinces of British Columbia, Alberta, Saskatch-ewan, Manitoba and Ontario (collectively, the Reporting Jurisdictions) and is not a reporting issuer or equivalent in any other jurisdiction in Canada. The Applicant’s principal regulator is the Manitoba Securities Commission.

4. The Applicant’s authorized capital consists of an

unlimited number of common shares (the Common Shares), of which 67,102,130 Common Shares are issued and outstanding.

5. The Applicant has no other securities, including

debt securities, issued and outstanding. 6. The Common Shares were delisted from trading on

the TSX Venture Exchange (the TSXV) on August 17, 2017 for failure to maintain minimum TSXV listing requirements. The Common Shares have not been, and are not currently, listed on any other exchange or market in Canada or elsewhere.

7. The Ontario Cease Trade Order was issued as a

result of the Applicant’s failure to file the following continuous disclosure materials within the timeframe stipulated by the applicable legislation: (a) audited annual financial statements for

the year ended November 30, 2015; (b) management’s discussion and analysis

relating to the audited annual financial statements for the year ended November 30, 2015; and

(c) certification of the foregoing filings as

required by National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings (NI 52-109);

(collectively, the 2015 Annual Filings).

8. As a result of the failure to file the 2015 Annual Filings within the timeframe stipulated by the applicable legislation, the Applicant is also subject to: (a) a cease trade order dated April 21, 2016 issued by the Manitoba Securities Commission (the Manitoba Cease Trade Order) and; (b) a cease trade order dated April 22, 2016 issued by the British Columbia Securities Commission (the BC Cease Trade Order) (collectively with the Ontario Cease Trade Order, the Cease Trade Orders).

9. The Applicant has concurrently applied to the

Manitoba Securities Commission for a full revocation of the Manitoba Cease Trade Order and the British Columbia Securities Commission for a full revocation of the BC Cease Trade Order.

10. Subsequent to the issuance of the Ontario Cease

Trade Order, the Applicant also failed to file, within


January 3, 2019

(2019), 42 OSCB 67

the timeframe stipulated by the applicable legislation: (a) interim financial statements, interim management discussion and analysis and certifications required by NI 52-109 for the periods ended February 28, 2016, May 31, 2016 and August 31, 2016 (collectively, the 2016 Interim Filings); (b) audited annual financial statements, management’s discussion and analysis and certifications required by NI 52-109 for the year ended November 30, 2016 (collectively, the 2016 Annual Filings); (c) interim financial statements, management’s discussion and analysis and certifications required by NI 52-109 for the periods ended February 28, 2017, May 31, 2017 and August 31, 2017 (collectively, the 2017 Interim Filings); and (d) audited annual financial statements, management’s discussion and analysis and certifications required by NI 52-109 for the year ended November 30, 2017 (collectively, the 2017 Annual Filings); and (e) interim financial statements, management’s discussion and analysis and certifications required by NI 52-109 for the periods ended February 28, 2018, May 31, 2018 and August 31, 2018 (collectively, the 2018 Interim Filings).

11. Since the issuance of the Ontario Cease Trade

Order, the Applicant has filed the following on the System for Electronic Document Analysis and Retrieval (SEDAR): (a) the 2015 Annual Filings; (b) the 2016 Annual Filings; (c) the 2017 Annual Filings; and (d) the 2018 Interim Filings.

12. The Applicant has not filed: (a) the 2016 Interim

Filings; or (b) the 2017 Interim Filings (collectively, the Outstanding Interim Filings) and has requested the Commission to exercise its discretion in accordance with section 6 of National Policy 12-202 Revocation of Certain Cease Trade Orders and elect not to require the Applicant to file the Outstanding Interim Filings.

13. Except for the Outstanding Interim Filings, the

Applicant is: (a) up-to-date with all of its continuous disclosure obligations; (b) not in default of any requirements under applicable securities legislation or the rules and regulations made pursuant thereto in any of the Reporting Jurisdictions, except for the existence of the Cease Trade Orders; and (c) not in default of any of its obligations under the Cease Trade Orders.

14. The Applicant has paid all outstanding participation

fees, filing fees and late fees owing and has filed all forms associated with such payments in each Reporting Jurisdiction.

15. The Applicant’s SEDAR and System for Electronic

Disclosure by Insiders profiles are current and accurate.

16. The Applicant is not considering nor is it involved in

any discussions related to, a reverse take-over,

merger, amalgamation or other form of combination or transaction similar to any of the foregoing.

17. Since the issuance of the Cease Trade Orders,

there have not been any material changes in the business, operations or affairs of the Applicant that have not been disclosed to the public.

18. The Applicant held an annual and special meeting

of shareholders on September 25, 2018, which was adjourned and reconvened on October 23, 2018 (the Annual Meeting). The management proxy materials mailed in connection with the Annual Meeting were posted on SEDAR on September 18, 2018. All matters of business at the Annual Meeting were passed, except for a special resolution that would have authorized a consolidation of the Common Shares.

19. Upon revocation of the Cease Trade Orders, the

Applicant will disseminate a news release announcing the revocation of the Cease Trade Orders, and will concurrently file such news release on SEDAR.

AND UPON considering the Application and the recommendation of the staff of the Commission; AND UPON the Director being satisfied that it would not be prejudicial to the public interest to revoke the Ontario Cease Trade Order; IT IS ORDERED pursuant to section 144 of the Act that the Ontario Cease Trade Order is revoked. DATED at Toronto, Ontario on this 11th day of December, 2018. “Winnie Sanjoto” Manager, Corporate Finance Ontario Securities Commission


January 3, 2019

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2.2.3 Compass Gold Corporation – s. 1(11)(b) Headnote Subsection 1(11)(b) – Order that the issuer is a reporting issuer for the purposes of Ontario securities law – Issuer is already a reporting issuer in Alberta and British Columbia – Issuer's securities listed for trading on the TSX Venture Exchange – Continuous disclosure requirements in Alberta and British Columbia are substantially the same as those in Ontario – Issuer has a significant connection to Ontario. Statutes Cited Securities Act, R.S.O. 1990, c. S.5, as am., s. 1(11)(b).

IN THE MATTER OF


(the Act)

AND

IN THE MATTER OF COMPASS GOLD CORPORATION

ORDER

(clause 1(11)(b))

UPON the application of Compass Gold Corporation (the Applicant) to the Ontario Securities Commission (the Commission) for an order pursuant to clause 1(11)(b) of the Act that the Applicant is a reporting issuer for the purposes of Ontario securities law; AND UPON considering the application and the recommendation of the staff of the Commission; AND UPON the Applicant representing to the Commission as follows: 1. The Applicant was incorporated under the

Business Corporations Act (Alberta) on February 26, 1988 under the name “Quebont Gold Resources Inc.”, changed its name to “Nordic Gold Corporation” pursuant to articles of amendment dated July 12, 1988 and continued under the name “Compass Gold Corporation” under the Business Corporations Act (British Columbia) on October 2, 2008. The Applicant was continued under the Business Corporations Act (Ontario) on December 4, 2017.

2. The head office of the Applicant is located at 330

Bay Street, Suite 1400, Toronto, Ontario M5H 2S8. The registered office of the Applicant is located at 365 Bay Street, Suite 800, Toronto, Ontario M5H 2V1.

3. The authorized share capital of the Applicant

consists of an unlimited number of common shares (Common Shares) and an unlimited number of

preferred shares, issuable in series (Preferred Shares).

4. As of the date hereof, 29,738,522 Common

Shares, options exercisable to purchase an aggregate of 2,145,000 Common Shares and warrants exercisable to purchase an aggregate of 13,426,079 Common Shares are issued and outstanding. No Preferred Shares are issued and outstanding.

5. The Applicant became a reporting issuer under the

Securities Act (British Columbia) (the BC Act) on November 29, 1999.

6. The Applicant made its first filing with the Alberta

Securities Commission on June 9, 1989. 7. The Applicant is not a reporting issuer or the

equivalent in any jurisdiction in Canada other than Alberta or British Columbia.

8. The Applicant is not on the list of defaulting

reporting issuers maintained pursuant to the BC Act or the Securities Act (Alberta) (the Alberta Act) and is not in default of any of its obligations under the BC Act or the Alberta Act or the rules and regulations made thereunder.

9. The continuous disclosure materials filed by the

Applicant under the securities legislation in British Columbia and Alberta are available on the System for Electronic Document Analysis and Retrieval.

10. The continuous disclosure materials filed by the

Applicant under the requirements of the BC Act and the Alberta Act are substantially the same as the continuous disclosure requirements under the Act.

11. The Common Shares of the Applicant are listed

and posted for trading on the TSX Venture Exchange (the TSXV) under the symbol "CVB". The Common Shares are not traded on any other stock exchange or trading or quotation system.

12. The Applicant is not in default of any of the rules,

regulations or policies of the TSXV. 13. The TSXV requires all of its listed issuers, which

are not otherwise reporting issuers in Ontario, to assess whether they have a significant connection with Ontario, as defined in Policy 1.1 of the TSXV Corporate Finance Manual, and, upon first becoming aware that it has a significant connection to Ontario, to promptly make a bona fide application to the Commission to be designated a reporting issuer in Ontario.

14. The Applicant has determined that it has a

significant connection to Ontario in accordance with the policies of the TSXV. Following the completion of a reverse take-over transaction on November 29, 2017 (the RTO), the head office of the Applicant


January 3, 2019

(2019), 42 OSCB 69

was moved to Ontario and the mind and management of the Applicant now reside in Ontario. Further, following completion of a private placement conducted by the Applicant in connection with the RTO, more than 20% of the total number of equity securities of the Applicant are owned by registered and beneficial shareholders resident in Ontario.

15. The Applicant’s principal regulator is the British

Columbia Securities Commission. The Commission will be the principal regulator of the Applicant once it has obtained reporting issuer status in Ontario. Upon granting of this Order, the Applicant will amend its SEDAR profile to indicate that the Commission is its principal regulator.

16. The Applicant does not have a shareholder that

holds sufficient securities of the Applicant to affect materially the control of the Applicant.

17. Neither the Applicant nor any of its officers or

directors has: (a) been subject to any penalties or sanctions

imposed by a court relating to Canadian securities legislation or by a Canadian securities regulatory authority;

(b) entered into a settlement agreement with

a Canadian securities regulatory authority; or

(c) been subject to any other penalties or

sanctions imposed by a court or regulatory body that would be likely to be considered important to a reasonable investor making an investment decision.

18. Neither the Applicant nor any of its officers or

directors is or has been subject to: (a) any known ongoing or concluded

investigation by a Canadian securities regulatory authority, or a court or regulatory body, other than a Canadian securities regulatory authority, that would be likely to be considered important to a reasonable investor making an invest-ment decision; or

(b) any bankruptcy or insolvency proceed-

ings, or other proceedings, arrangements or compromises with creditors, or the appointment of a receiver, receiver manager or trustee, within the preceding 10 years.

19. None of the officers or directors of the Applicant, is

or has been at the time of such event an officer or director of any other issuer which is or has been subject to:

(a) any cease trade or similar orders, or orders that denied access to any exemptions under Ontario securities law, for a period of more than 30 consecutive days, within the preceding 10 years; or

(b) any bankruptcy or insolvency proceed-

ings, or other proceedings, arrangements or compromises with creditors, or the appointment of a receiver, receiver manager or trustee, within the preceding 10 years.

AND UPON considering the Application and the recommendation of the staff of the Commission; AND UPON the Commission being satisfied that granting this Order would not be prejudicial to the public interest; IT IS HEREBY ORDERED, pursuant to clause 1(11)(b) of the Act, that the Applicant is a reporting issuer for the purposes of Ontario securities law. Dated this 26th day of November, 2018. “Winnie Sanjoto” Manager, Corporate Finance Ontario Securities Commission


January 3, 2019

(2019), 42 OSCB 70

2.2.4 Avion Gold Corporation Headnote National Policy 11-206 Process for Cease to be a Reporting Issuer Applications – The issuer ceased to be a reporting issuer under securities legislation. Applicable Legislative Provisions Securities Act, R.S.O. 1990, c. S.5, as am., s. 1(10)(a)(ii).

December 20, 2018


ONTARIO (the "Jurisdiction")

AND

IN THE MATTER OF

THE PROCESS FOR CEASE TO BE A REPORTING

ISSUER APPLICATIONS

AND

IN THE MATTER OF AVION GOLD CORPORATION

(the "Filer")

ORDER

Background The principal regulator in the Jurisdiction has received an application from the Filer for an order under the securities legislation of the Jurisdiction of the principal regulator (the "Legislation") that the Filer has ceased to be a reporting issuer in all jurisdictions of Canada in which it is a reporting issuer (the "Order Sought"). Under the Process for Cease to be a Reporting Issuer Applications (for a passport application):

(a) the Ontario Securities Commission is the principal regulator for this application, and

(b) the Filer has provided notice that

subsection 4C.5(1) of Multilateral Instrument 11-102 Passport System ("MI 11-102") is intended to be relied upon in British Columbia, Alberta, Saskatchewan, Manitoba, New Brunswick, Nova Scotia, Prince Edward Island and Newfoundland and Labrador.

Interpretation Terms defined in National Instrument 14-101 Definitions and MI 11-102 have the same meaning if used in this order, unless otherwise defined. Representations This order is based on the following facts represented by the Filer: 1. the Filer is not an OTC reporting issuer under

Multilateral Instrument 51-105 Issuers Quoted in the U.S. Over-the-Counter Markets;

2. the outstanding securities of the Filer, including

debt securities, are beneficially owned, directly or indirectly, by fewer than 15 securityholders in each of the jurisdictions of Canada and fewer than 51 securityholders in total worldwide;

3. no securities of the Filer, including debt securities,

are traded in Canada or another country on a marketplace as defined in National Instrument 21-101 Marketplace Operation or any other facility for bringing together buyers and sellers of securities where trading data is publicly reported;

4. the Filer is applying for an order that the Filer has

ceased to be a reporting issuer in all of the jurisdictions of Canada in which it is a reporting issuer; and

5. the Filer is not in default of securities legislation in

any jurisdiction. Order The principal regulator is satisfied that the order meets the test set out in the Legislation for the principal regulator to make the order. The decision of the principal regulator under the Legislation is that the Order Sought is granted. “Winnie Sanjoto” Manager, Corporate Finance Ontario Securities Commission


January 3, 2019

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2.2.5 SBC Financial Group Inc. and Prabhjot Singh Bakshi – ss. 127(1), 127(10)

FILE NO.: 2018-67

IN THE MATTER OF

SBC FINANCIAL GROUP INC. and PRABHJOT SINGH BAKSHI

D. Grant Vingoe, Vice-Chair and Chair of the Panel

December 21, 2018

ORDER (Subsections 127(1) and 127(10) of the

Securities Act, RSO 1990, c S.5) WHEREAS the Ontario Securities Commission held a hearing in writing, to consider a request by staff of the Ontario Securities Commission (Staff) for an order imposing sanctions against SBC Financial Group Inc. (SBC) and Prabhjot Singh Bakshi (Bakshi) pursuant to subsections 127(1) and 127(10) of the Securities Act, RSO 1990, c S.5 (the Act); ON READING the decision of the British Columbia Securities Commission (the BCSC) dated April 16, 2018 and the sanctions decision of the BCSC dated September 5, 2018 with respect to SBC and Bakshi, and on reading the materials filed by Staff; IT IS ORDERED: 1. Against SBC that:

(a) pursuant to paragraph 2 of subsection

127(1) of the Act, trading in any securities or derivatives by SBC shall cease until September 5, 2028;

(b) pursuant to paragraph 2.1 of subsection

127(1) of the Act, the acquisition of any securities by SBC shall cease until September 5, 2028;

(c) pursuant to paragraph 3 of subsection

127(1) of the Act, any exemptions contained in Ontario securities law shall not apply to SBC until September 5, 2028; and

(d) pursuant to paragraph 8.5 of subsection

127(1) of the Act, SBC is prohibited until September 5, 2028 from becoming or acting as a registrant or promoter;

2. Against Bakshi that:

until the later of September 5, 2028 and the date that Bakshi pays to the BCSC the amounts set out in paragraphs 87(c) and 87(d) of the BCSC’s Sanctions Decision dated September 5, 2018 (the BCSC Sanctions Decision):

(a) pursuant to paragraph 2 of subsection 127(1) of the Act, trading in any securities or derivatives by Bakshi shall cease, except that he may trade for his own account (including one RRSP account) through a registered dealer, if he provides the registered dealer with copies of the BCSC Sanctions Decision and this order;

(b) pursuant to paragraph 2.1 of subsection

127(1) of the Act, the acquisition of any securities by Bakshi shall cease, except that he may purchase securities for his own account (including one RRSP account) through a registered dealer, if he provides the registered dealer with copies of the BCSC Sanctions Decision and this order;

(c) pursuant to paragraph 3 of subsection

127(1) of the Act, any exemptions contained in Ontario securities law shall not apply to Bakshi;

(d) pursuant to paragraphs 7, 8.1 and 8.3 of

subsection 127(1) of the Act, Bakshi shall resign any positions that he holds as a director or officer of any issuer or registrant;

(e) pursuant to paragraphs 8, 8.2 and 8.4 of

subsection 127(1) of the Act, Bakshi is prohibited from becoming or acting as a director or officer of any issuer or registrant; and

(f) pursuant to paragraph 8.5 of subsection

127(1) of the Act, Bakshi is prohibited from becoming or acting as a registrant or promoter.

“D. Grant Vingoe”


January 3, 2019

(2019), 42 OSCB 72

2.2.6 LME Clear Limited – s. 147 Headnote Application under section 147 of the Securities Act (Ontario) (Act) for an order exempting LME Clear Limited from the requirement in subsection 21.2(0.1) of the Act to be recognized as a clearing agency. Applicable Legislative Provisions Securities Act, R.S.O. 1990, c. S.5, as am., ss. 21.2(0.1), 147.

IN THE MATTER OF


(THE OSA)

AND

IN THE MATTER OF LME CLEAR LIMITED

ORDER

(Section 147 of the OSA)

WHEREAS LME Clear Limited (LMEC) has filed an application (Application) with the Ontario Securities Commission (Commission) pursuant to section 147 of the OSA requesting an order exempting LMEC from the requirement to be recognized as a clearing agency under subsection 21.2(0.1) of the OSA in order to provide its central counterparty (CCP) services to Ontario market participants; AND WHEREAS LMEC has represented to the Commission that: 1.1 LMEC is a private company incorporated in England and Wales on April 21, 2011, under registered number 07611628.

LMEC’s registered office and head office is at 10 Finsbury Square, London EC2A 1AJ. All corporate documentation relating to LMEC is filed with Companies House in the United Kingdom (UK).

1.2 LMEC is 100% owned by HKEX Investment UK Limited (HKEX UK), a holding company which also owns 100% of the

shares in the London Metal Exchange (LME), through LME Holdings Limited. LMEC has no subsidiaries. 1.3 LMEC is authorised as a CCP pursuant to Regulation (EU) No. 648/2012 of the European Parliament and of the Council

of 4 July 2012 on OTC derivatives, central counterparties and trade repositories (EMIR), which sets out clearing and bilateral risk-management requirements for derivative contracts, reporting requirements for derivative contracts, and uniform requirements for the performance of activities of CCPs and trade repositories. LMEC is primarily supervised by the Bank of England (the Bank), is regulated as a Recognised Central Counterparty in accordance with the Financial Services and Markets Act 2000 (FSMA) in the United Kingdom, and is a designated system under the Financial Markets and Insolvency (Settlement Finality) Regulations 1999. Its authorisation was obtained on 3 September 2014. LMEC is also authorised to provide Automated Trading Services in Hong Kong and is the clearing organisation for the LME under its Foreign Board of Trade Licence in the US.

1.4 LMEC is of the opinion that it fully observes the international standards applicable to financial market infrastructures

described in the April 2012 report named Principles for financial market infrastructures (PFMI), having prepared a detailed assessment of its compliance against the PFMI and the associated disclosure framework as of September 2018, which has been reviewed and validated by the Bank.

1.5 LMEC is subject to regulatory supervision by the Bank. LMEC is required to deliver to the Bank monthly returns showing

LME Clear’s activities, including: • initial margin; • default fund size; • cash and non-cash collateral data; • stress testing results for counterparty credit and liquidity risk;


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(2019), 42 OSCB 73

• capital data; and • details of any significant changes in the organisation, governance, structure or ownership of LMEC.

1.6 The Bank reviews LMEC’s annual financial statements and auditors’ reports and does an annual risk classification of LMEC, including an assessment of the adequacy of LMEC’s capital and risk management procedures. In addition, the Bank may carry out site audits.

1.7 In addition, LME Clear provides quarterly updates to the Securities & Futures Commission of Hong Kong (SFC) as part

of its Automated Trading System Licence on the total volume of all trades cleared and settled and open interest, as well as details of the margin and collateral balances, and the default fund contribution of each Hong Kong Member (if any).

1.8 A member of LMEC (Member) is a member of the London Metal Exchange who has been admitted to use the clearing

system of LMEC in accordance with Rule 3 of the LMEC Rules and Procedures (LMEC Rules) and the membership procedures. Members may be either an Individual Clearing Member (ICM) or a General Clearing Member (GCM). ICMs are permitted to clear transactions on their own behalf only. GCMs may clear transactions on their own behalf and also in respect of transactions effected (i) by the GCM with its clients, or (ii) by its clients with other non-members. Members may elect to use either the LME Base Service, the LMEprecious Service or both.

1.9 LMEC anticipates that banks based in Ontario and certain other market participants that have a head office or principal

place of business in Ontario may be interested in becoming Members of LMEC. 1.10 The LMEC Rules act as the master agreement between LMEC and its Members in respect of all transactions cleared by

LMEC. 1.11 LMEC provides services to persons who are admitted to membership on the terms of the LMEC Rules (LMEC Rule

3.1.1). The LMEC Rules are binding on Members (LMEC Rule 2.1.1) by virtue of the LME Clear Membership Agreement. LMEC's membership criteria have been designed to operate on an objective basis to all applicants. LMEC applies its membership criteria to applicants on a non-discriminatory basis, with the aim of ensuring fair and open access to its clearing system.

1.12 LMEC’s membership criteria covers professional qualifications, financial integrity, regulated status of an applicant, and

the ability of the applicant to meet and continue to meet the standards set out by LMEC. 1.13 The membership criteria are set out in membership procedures which are contained in the LMEC Rules, Part B. There

are some additional criteria for applicants applying to become a GCM which are summarised below. 1.14 The criteria to become a GCM are that the applicant must:

(a) meet the conditions (if any) in LMEC’s pro forma membership agreement; (b) satisfy the minimum net capital for a Member; and (c) pay its contribution to the LMEC default fund.

1.15 A Member clearing for the LME business must also: (a) be a clearing member of the LME (this status is only available to certain categories of LME member specified

in the LME Rules); (b) be a member of the LMEsmart system; and (c) meet the minimum net capital requirement for a Member of US$10,000,000;

1.16 A GCM is required be regulated in the conduct of its business under the securities and/or banking legislation of an European Economic Area State or of any other country or countries acceptable to LMEC, and must not be prohibited by such legislation or its regulator from becoming a Member or from performing the obligations of a Member under the LMEC Rules. A GCM must also have sufficient financial resources and operational capacity to clear transactions on behalf of clients.

1.17 The LMEC Executive Risk Committee may approve an application to become a Member upon a determination that the

applicant meets the membership criteria and after conducting a risk assessment and assigning an internal credit rating to the applicant.


January 3, 2019

(2019), 42 OSCB 74

1.18 Each Member shall provide to LMEC and maintain on a daily basis for so long as it is a Member, eligible collateral with a value sufficient to satisfy its margin requirement, which shall comprise as security, cover and/or credit support for the performance by that Member of all of its present and future obligations to LMEC pursuant to the LME Rules or the operation of the LMEC’s clearing system.

1.19 The margin requirement for each Member will be the amount which LME Clear may determine and notify the Member

from time to time. 1.20 LMEC requires all Members posting non-cash collateral to execute one or more security deeds and/or pledge agreements

granting charges in favour of LMEC over all collateral and default fund contributions held by Members with LMEC. 1.21 The LMEC Rules (including in particular the default procedures contained within them) govern the processes that apply

to Members in the case of a clearing Member default; clearing Members remain responsible for the credit risk of their Clients. These procedures facilitate transparent and practical market action in stress situations. In broad terms LMEC will look to neutralise risk by hedging the overall house position of a defaulting Member against the most liquid market dates and roll forward any prompt physical delivery positions to manage its risk. LMEC will then seek to auction the defaulting Member’s remaining house portfolio to other participants as its preferred method of disposal; however it will also be able to execute the close out of all remaining open house positions if required. A Member must successfully complete simulated default tests to demonstrate they have the appropriate expertise and operational processes in place prior to beginning clearing operations. Once live, all Members are required to participate in fire drills regularly to confirm their operational readiness to manage a Member default.

1.22 LMEC seeks an exemption from the clearing agency recognition requirement in relation to all products eligible to be

cleared on LMEC (Eligible Products). The Eligible Products as at the time of this order are as follows: (a) Exchange Traded Forwards relating to metals; (b) Exchange Traded Futures relating to metals; (c) Exchange Traded Futures relating to metal indices; (d) Exchange Traded American Options relating to metals; (e) Exchange Traded Average Price Options (TAPOs) relating to metals; (f) Exchange Traded Monthly Average Futures relating to metals; (g) Exchange Traded LMEprecious futures; and (h) Exchange Traded LMEprecious options.

1.23 LMEC would provide its services to participants in Ontario without establishing an office, accessing systems from, or having a physical presence in Ontario or elsewhere in Canada.

1.24 LMEC submits that it does not pose a significant risk to the Ontario capital markets and is subject to an appropriate

regulatory and oversight regime in a foreign jurisdiction. AND WHEREAS LMEC has agreed to the respective terms and conditions as set out in Schedule “A” to this order; AND WHEREAS based on the Application and the representations that LMEC has made to the Commission, the Commission has determined that granting an order to exempt LMEC from the requirement to be recognized as a clearing agency would not be prejudicial to the public interest; AND WHEREAS LMEC has acknowledged to the Commission that the scope of and the terms and conditions imposed by the Commission attached hereto as Schedule “A” to this order, or the determination whether it is appropriate that LMEC continue to be exempted from the requirement to be recognized as a clearing agency, may change as a result of the Commission's monitoring of developments in international and domestic capital markets, LMEC's activities, or as a result of any changes to the laws in Ontario affecting trading in or clearing and settlement of derivatives or securities; IT IS HEREBY ORDERED by the Commission that pursuant to section 147 of the OSA, LMEC is exempt from the requirement to be recognized as a clearing agency under subsection 21.2(0.1) of the OSA; PROVIDED THAT LMEC complies with the terms and conditions attached hereto as Schedule “A”.


January 3, 2019

(2019), 42 OSCB 75

DATED this 21st day of December 2018. “Deborah Leckman” “Robert P. Hutchison”


January 3, 2019

(2019), 42 OSCB 76

SCHEDULE “A”

Terms and Conditions Definitions: For the purposes of this Schedule “A”: “client clearing” means the ability of a Clearing Member to clear transactions on LMEC for and on behalf of a client. Unless the context requires otherwise, other terms used in this Schedule “A” shall have the meanings ascribed to them in Ontario securities law (including terms defined elsewhere in this order). COMPLIANCE WITH ONTARIO LAW 1. LMEC will comply with Ontario securities law (as defined in the OSA) and, where applicable, Ontario commodity futures

law (as defined in the Commodity Futures Act (Ontario)). SCOPE OF PERMITTED CLEARING SERVICES IN ONTARIO 2. LMEC’s activities in Ontario will be limited to the clearing of transactions described in paragraph 1.22 of LMEC’s

representations set out above in this order. REGULATION OF LMEC 3. LMEC will maintain its status as a CCP under EMIR and FSMA or any comparable successor legislation and will continue

to be subject to the regulatory oversight of the Bank or any successor supervisory authority. 4. LMEC will continue to comply with its ongoing regulatory requirements as a CCP under EMIR and FSMA or any

comparable successor legislation and with the ongoing regulatory requirements of the Bank or any successor supervisory authority.

GOVERNANCE 5. LMEC will promote within LMEC a governance structure that minimizes the potential for any conflict of interest between

LMEC and its shareholders that could adversely affect the clearing services permitted under this order or the effectiveness of LMEC's risk management policies, controls and standards.

FILING REQUIREMENTS Filings with the Bank 6. LMEC will provide staff of the Commission the following information to the extent that it is required to provide or to file

such information with the Bank or its successor: (a) details of any material legal proceeding instituted against LMEC; (b) notification that LMEC has failed to comply with an undisputed obligation to pay money or deliver property to a

Clearing Member for a period of thirty days after receiving notice from the Clearing Member of LMEC's past due obligation;

(c) notification that LMEC has instituted a petition for a judgment of bankruptcy or insolvency or similar relief, or to

wind up or liquidate LMEC or has a proceeding for any such petition instituted against it; (d) notification that LMEC has initiated its recovery plan; (e) the appointment of a receiver or the making of any voluntary arrangement with creditors; (f) the entering of LMEC into any resolution regime or the placing of LMEC into resolution by a resolution authority; (g) material changes to its bylaws and rules where such changes would impact the services permitted by this order

to be used by Ontario residents (whether as a Clearing Member or otherwise); and


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(2019), 42 OSCB 77

(h) new services or clearing of new types of products to be offered to a Clearing Member having a head office or principal place of business in Ontario (Ontario Clearing Member) or services or products that will no longer be available to an Ontario Clearing Member.

Prompt Notice 7. LMEC will promptly notify staff of the Commission of any of the following:

(a) any material change or proposed material change to LMEC’s status as a CCP under EMIR or FSMA or in its

regulatory oversight by the Bank. (b) any material problems with the clearing and settlement of transactions that could materially affect the safety and

soundness of LMEC; (c) the admission of any new Ontario Clearing Members; (d) any event of default by, or removal of the ability to clear transactions through LMEC of, any Ontario Clearing

Member; and (e) any system failure, malfunction or delay, or security incident, at LMEC that is material and that affects an Ontario

Clearing Member including cybersecurity incidents. Quarterly Reporting 8. LMEC will maintain and submit the following information to the Commission in a manner and form acceptable to the

Commission on a quarterly basis within 30 days of the end of each calendar quarter, and at any time promptly upon the request of staff of the Commission:

(a) current list of all Ontario Clearing Members with their corresponding legal entity identifier (LEI), if any; (b) a list of all Ontario Clearing Members against whom disciplinary or legal action has been taken in the quarter by

LMEC with respect to activities at LMEC, or to the best of LMEC's knowledge, by any other authority that has or may have jurisdiction with respect to the relevant Ontario Clearing Member’s clearing activities at LMEC;

(c) a list of all investigations by LMEC in the quarter relating to Ontario Clearing Members; (d) a list of all Ontario-resident applicants who have been denied Clearing Member status in the quarter by LMEC; (e) quantitative information in respect of the services used by Ontario Clearing Members for transactions in the

asset classes listed in paragraph 1.22 of LMEC’s representations set out above in this order, including in particular the following: (i) as at the end of the quarter, level, maximum and average daily open interest, number of transactions

and notional value of transactions cleared during the quarter for each Ontario Clearing Member; (ii) the percentage of end of quarter level and average daily open interest, number of transactions and the

notional value cleared during the quarter for all Clearing Members that represents the end of quarter and average daily open interest, number of transactions and the notional value of transactions cleared during the quarter for each Ontario Clearing Member;

(iii) the aggregate initial margin amount required by LMEC ending on the last trading day during the quarter

for each Ontario Clearing Member; (iv) the portion of the initial margin required by LMEC ending on the last trading day of the quarter for all

Clearing Members that represents the initial margin required during the quarter for each Ontario Clearing Member; and

(v) the aggregate total margin amount required by LMEC ending on the last trading day during the quarter

for each Ontario Clearing Member;

(f) the default fund contribution, for each Ontario Clearing Member on the last trading day during the quarter, and its proportion to the total default fund contributions;


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(g) if known to LMEC, for each Clearing Member (identified by LEI) offering client clearing to an Ontario resident that seeks to clear transactions through such Clearing Member, the identity of the Ontario resident client (including LEI, if any) receiving such services, and the value and volume cleared by asset class or transaction type during the quarter for and on behalf of each Ontario resident client;

(h) a summary of the risk management analysis related to the adequacy of LMEC’s default funds, including but not

limited to stress testing and backtesting results; and (i) a copy of all circulars published during the quarter that describe and show changes to the LMEC Rules made

during the quarter. INFORMATION SHARING 9. LMEC will promptly provide such information as may be requested from time to time by, and otherwise cooperate with,

the Commission or its staff, subject to any applicable privacy or other laws that would prevent the sharing of such information and subject to the application of solicitor-client privilege.

10. Unless otherwise prohibited under applicable law, LMEC will share information relating to regulatory and enforcement

matters and otherwise cooperate with other recognized and exempt clearing agencies on such matters, as appropriate.


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2.2.7 PGIM, Inc. – s. 80 of the CFA Headnote Section 80 of the Commodity Futures Act (Ontario) – Foreign adviser exempted from the adviser registration requirement in paragraph 22(1)(b) of the CFA where such adviser acts as an adviser in respect of commodity futures contracts or commodity futures options (Contracts) for certain investors in Ontario who meet the definition of “permitted client” in National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations – Contracts are primarily traded on commodity futures exchanges outside of Canada and primarily cleared outside of Canada. Terms and conditions of exemption correspond to the relevant terms and conditions of the comparable exemption from the adviser registration requirement available to international advisers in respect of securities set out in section 8.26 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations – Exemption also subject to a “sunset clause” condition. Applicable Legislative Provisions Commodity Futures Act, R.S.O. 1990, c. C.20. as am., ss. 1(1), 22(1)(b), 80. Securities Act, R.S.O. 1990, c. S.5, as am., s. 25(3). National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, ss. 1.1, 8.26. Ontario Securities Commission Rule 13-502 Fees.

December 17, 2018

IN THE MATTER OF THE COMMODITY FUTURES ACT,

R.S.O. 1990, CHAPTER C.20, AS AMENDED (the CFA)

AND

IN THE MATTER OF

PGIM, INC.

ORDER (Section 80 of the CFA)

UPON the application (the Application) of PGIM, Inc. (the Applicant) to the Ontario Securities Commission (the Commission) for an order of the Commission, pursuant to section 80 of the CFA that the Applicant and any individuals engaging in, or holding themselves out as engaging in, the business of advising others as to trading in Contracts (as defined below) on the Applicant’s behalf (the Representatives) be exempt, for a specified period of time, from the adviser registration requirement in paragraph 22(1)(b) of the CFA, subject to certain terms and conditions. AND UPON considering the Application and the recommendation of staff of the Commission; AND WHEREAS for the purposes of this Order: “CFA Adviser Registration Requirement” means the provisions of section 22 of the CFA that prohibit a person or company from acting as an adviser with respect to trading in Contracts unless the person or company is registered in the appropriate category of registration under the CFA; “CFTC” means the Commodity Futures Trading Commission of the United States; “Contract” has the meaning ascribed to that term in subsection 1(1) of the CFA; “Foreign Contract” means a Contract that is primarily traded on one or more organized exchanges that are located outside of Canada and primarily cleared through one or more clearing corporations that are located outside of Canada; “International Adviser Exemption” means the exemption set out in section 8.26 of NI 31-103 from the OSA Adviser Registration Requirement; “NFA” means the National Futures Association of the United States;


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“NI 31-103” means National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, as amended from time to time; “OSA” means the Securities Act, R.S.O. 1990, c. S.5, as amended from time to time; “OSA Adviser Registration Requirement” means the provisions of section 25 of the OSA that prohibit a person or company from acting as an adviser with respect to investing in, buying or selling securities unless the person or company is registered in the appropriate category of registration under the OSA; “Permitted Client” means a client in Ontario that is a “permitted client”, as that term is defined in section 1.1 of NI 31-103, except that for purposes of this Order such definition shall exclude a person or company registered as an adviser or dealer under the securities or derivatives legislation, including commodity futures legislation, of a jurisdiction of Canada; “SEC” means the Securities and Exchange Commission of the United States; “specified affiliate” has the meaning ascribed to that term in Form 33-109F6 to National Instrument 33-109 Registration Information; and “United States” means the United States of America AND UPON the Applicant having represented to the Commission that: 1. The Applicant is a company incorporated under the laws of the State of Delaware, United States. Its principal place of

business is located in New Jersey, U.S.A. 2. The Applicant engages in the business of an adviser with respect to securities and with respect to Contracts in the United

States. The Applicant provides investment management services on a fully discretionary basis to its clients through funds and separately managed accounts across multiple strategies and financial instruments including Foreign Contracts.

3. The Applicant is currently (a) registered with the SEC as an investment adviser; (b) registered with the CFTC as a

commodity trading advisor and commodity pool operator; and (c) a member of the NFA. 4. The Applicant is not registered in any capacity under the CFA or the OSA, however it is currently availing itself of the

International Adviser Exemption in each of Ontario, Alberta, British Columba, Nova Scotia and Québec. 5. The Applicant is not in default of securities legislation, commodity futures legislation or derivatives legislation of any

jurisdiction in Canada. The Applicant is in compliance in all material respects with securities laws, commodity futures laws and derivatives laws of the United States.

6. In Ontario, certain institutional investors that are Permitted Clients seek to engage the Applicant as a discretionary

investment manager for purposes of implementing certain specialized investment strategies. 7. The Applicant seeks to act as a discretionary commodity futures advisory manager for Canadian institutional investors

that are Permitted Clients. The Applicant’s advisory services to Permitted Clients would primarily include the use of specialized investment strategies employing Foreign Contracts.

8. Were the proposed advisory services limited to securities (as defined in subsection 1(1) of the OSA) the Applicant would

be able to rely on the International Adviser Exemption and carry out such activities for Permitted Clients on a basis that would be exempt from the OSA Adviser Registration Requirement.

9. There is currently no exemption from the CFA Adviser Registration Requirement that is equivalent to the International

Adviser Exemption. Consequently, in order to advise Permitted Clients as to trading in Foreign Contracts, in the absence of this Order, the Applicant would be required to satisfy the CFA Adviser Registration Requirement by applying for and obtaining registration in Ontario as an adviser under the CFA in the category of commodity trading manager.

10. To the best of the Applicant’s knowledge, the Applicant confirms that there are currently no regulatory actions of the type

contemplated by the Notice of Regulatory Action attached as Appendix “B”, except as otherwise disclosed to the Commission.


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AND UPON being satisfied that it would not be prejudicial to the public interest for the Commission to make this Order; IT IS ORDERED, pursuant to section 80 of the CFA, that the Applicant and the Representatives are exempt from the adviser registration requirement in paragraph 22(1)(b) of the CFA in respect of providing advice to Permitted Clients as to the trading of Foreign Contracts provided that:

(a) the Applicant provides advice to Permitted Clients only as to trading in Foreign Contracts and does not advise

any Permitted Client as to trading in Contracts that are not Foreign Contracts, unless providing such advice is incidental to its providing advice on Foreign Contracts;

(b) the Applicant’s head office or principal place of business remains in the United States; (c) the Applicant is registered in a category of registration, or operates under an exemption from registration, under

the applicable securities or commodity futures legislation of the United States that permits it to carry on the activities in the United States that registration under the CFA as an adviser in the category of commodity trading manager would permit it to carry on in Ontario;

(d) the Applicant continues to engage in the business of an adviser (as defined in the CFA) in the United States; (e) as at the end of the Applicant's most recently completed financial year, not more than 10% of the aggregate

consolidated gross revenue of the Applicant, its affiliates and its affiliated partnerships (excluding the gross revenue of an affiliate or affiliated partnership of the Applicant if the affiliate or affiliated partnership is registered under securities legislation, commodity futures legislation or derivatives legislation of a jurisdiction of Canada) was derived from the portfolio management activities of the Applicant, its affiliates and its affiliated partnerships in Canada (which, for greater certainty, includes both securities-related and commodity-futures-related activities);

(f) before advising a Permitted Client with respect to Foreign Contracts, the Applicant notifies the Permitted Client

of all of the following:

(i) the Applicant is not registered in Ontario to provide the advice described in paragraph (a) of this Order; (ii) the foreign jurisdiction in which the Applicant’s head office or principal place of business is located; (iii) all or substantially all of the Applicant’s assets may be situated outside of Canada; (iv) there may be difficulty enforcing legal rights against the Applicant because of the above; and (v) the name and address of the Applicant’s agent for service of process in Ontario;

(g) if the Applicant is not registered under the OSA and does not rely on the International Adviser Exemption, the Applicant has submitted to the Commission a completed Submission to Jurisdiction and Appointment of Agent for Service in the form attached as Appendix “A”;

(h) the Applicant notifies the Commission of any regulatory action initiated after the date of this Order with respect

to the Applicant or, to the best of the Applicant’s knowledge after reasonable inquiry, any predecessors or the specified affiliates of the Applicant by completing and filing Appendix “B” within 10 days of the commencement of each such action, provided that the Applicant may also satisfy this condition by filing with the Commission, (i) within 10 days of the date of this Order, a notice making reference to and incorporating by reference

the disclosure made by the Applicant pursuant to federal securities laws of the United States that is identified on the Investment Adviser Public Disclosure website, and

(ii) promptly, a notification of any Form ADV amendment and/or filing with the SEC that relates to legal

and/or regulatory actions; and

(i) if the Applicant is not subject to the requirement to pay a participation fee in Ontario because it is not registered under the OSA and does not rely on the International Adviser Exemption, by December 31st of each year, the Applicant pays a participation fee based on its specified Ontario revenues for its previous financial year in compliance with the requirements of Part 3 and section 6.4 of Ontario Securities Commission Rule 13-502 Fees as if the Applicant relied on the International Adviser Exemption; and

IT IS FURTHER ORDERED that this Order will terminate on the earliest of:


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(a) the expiry of any transition period as may be provided by law, after the effective date of the repeal of the CFA; (b) six months, or such other transition period as may be provided by law, after the coming into force of any

amendment to Ontario commodity futures law (as defined in the CFA) or Ontario securities law (as defined in the OSA) that affects the ability of the Applicant to act as an adviser to a Permitted Client; and

(c) five years after the date of this Order.

Dated at Toronto, Ontario, this 21st day of December 2018. ”Deborah Leckman” Commissioner Ontario Securities Commission “Robert.P.Hutchison” Commissioner Ontario Securities Commission


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APPENDIX “A”

SUBMISSION TO JURISDICTION AND APPOINTMENT OF AGENT FOR SERVICE

INTERNATIONAL DEALER OR INTERNATIONAL ADVISER EXEMPTED FROM REGISTRATION UNDER THE COMMODITY FUTURES ACT (ONTARIO)

1. Name of person or company (“International Firm”): 2. If the International Firm was previously assigned an NRD number as a registered firm or an unregistered exempt

international firm, provide the NRD number of the firm: 3. Jurisdiction of incorporation of the International Firm: 4. Head office address of the International Firm: 5. The name, e-mail address, phone number and fax number of the International Firm's individual(s) responsible for the

supervisory procedure of the International Firm, its chief compliance officer, or equivalent. Name: E-mail address: Phone: Fax:

6. The International Firm is relying on an exemption order under section 38 or section 80 of the Commodity Futures Act (Ontario) that is similar to the following exemption in National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (the “Relief Order”):

Section 8.18 [international dealer]

Section 8.26 [international adviser]

Other [specify]:

7. Name of agent for service of process (the “Agent for Service”): 8. Address for service of process on the Agent for Service: 9. The International Firm designates and appoints the Agent for Service at the address stated above as its agent upon

whom may be served a notice, pleading, subpoena, summons or other process in any action, investigation or administrative, criminal, quasi-criminal or other proceeding (a “Proceeding”) arising out of or relating to or concerning the International Firm's activities in the local jurisdiction and irrevocably waives any right to raise as a defence in any such proceeding any alleged lack of jurisdiction to bring such Proceeding.

10. The International Firm irrevocably and unconditionally submits to the non-exclusive jurisdiction of the judicial, quasi-

judicial and administrative tribunals of the local jurisdiction in any Proceeding arising out of or related to or concerning the International Firm's activities in the local jurisdiction.

11. Until 6 years after the International Firm ceases to rely on the Relief Order, the International Firm must submit to the

regulator a. a new Submission to Jurisdiction and Appointment of Agent for Service in this form no later than the 30th day

before the date this Submission to Jurisdiction and Appointment of Agent for Service is terminated; b. an amended Submission to Jurisdiction and Appointment of Agent for Service no later than the 30th day before

any change in the name or above address of the Agent for Service; and. c. a notice detailing a change to any information submitted in this form, other than the name or above address of

the Agent for Service, no later than the 30th day after the change.

12. This Submission to Jurisdiction and Appointment of Agent for Service is governed by and construed in accordance with the laws of the local jurisdiction.


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Dated: ____________________ _____________________________________________________________ (Signature of the International Firm or authorized signatory) _____________________________________________________________ (Name of signatory) _____________________________________________________________ (Title of signatory)


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(2019), 42 OSCB 85

Acceptance The undersigned accepts the appointment as Agent for Service of ____________________ [Insert name of International Firm] under the terms and conditions of the foregoing Submission to Jurisdiction and Appointment of Agent for Service. Dated: ____________________ _____________________________________________________________ (Signature of the Agent for Service or authorized signatory) _____________________________________________________________ (Name of signatory) _____________________________________________________________ (Title of signatory) This form, and notice of a change to any information submitted in this form, is to be submitted through the Ontario Securities Commission’s Electronic Filing Portal: https://www.osc.gov.on.ca/filings

https://www.osc.gov.on.ca/filings


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APPENDIX B

NOTICE OF REGULATORY ACTION1 1. Has the firm, or any predecessors or specified affiliates of the firm entered into a settlement agreement with any financial

services regulator, securities or derivatives exchange, SRO or similar agreement with any financial services regulator, securities or derivatives exchange, SRO or similar organization? Yes _____ No _____ If yes, provide the following information for each settlement agreement:

Name of entity

Regulator/organization

Date of settlement (yyyy/mm/dd)

Details of settlement

Jurisdiction 2. Has any financial services regulator, securities or derivatives exchange, SRO or similar organization:

Yes No

(a) Determined that the firm, or any predecessors or specified affiliates of the firm violated any securities regulations or any rules of a securities or derivatives exchange, SRO or similar organization? ___ ___

(b) Determined that the firm, or any predecessors or specified affiliates of the firm made a false statement or omission? ___ ___

(c) Issued a warning or requested an undertaking by the firm, or any predecessors or specified affiliates of the firm? ___ ___

(d) Suspended or terminated any registration, licensing or membership of the firm, or any predecessors or specified affiliates of the firm? ___ ___

(e) Imposed terms or conditions on any registration or membership of the firm, or predecessors or specified affiliates of the firm? ___ ___

(f) Conducted a proceeding or investigation involving the firm, or any predecessors or specified affiliates of the firm? ___ ___

(g) Issued an order (other than an exemption order) or a sanction to the firm, or any predecessors or specified affiliates of the firm for securities or derivatives-related activity (e.g. cease trade order)? ___ ___

If yes, provide the following information for each action:

Name of entity

Type of action


Date of action (yyyy/mm/dd) Reason for action

Jurisdiction 1 Terms defined for the purposes of Form 33-506F6 Firm Registration to Ontario Securities Commission Rule 33-506 (Commodity Futures Act)

Registration Information have the same meaning if used in this Appendix except that any reference to “firm” means the person or company relying on relief from the requirement to register as an adviser or dealer under the Commodity Futures Act (Ontario).


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3. Is the firm aware of any ongoing investigation of which the firm or any of its specified affiliates is the subject? Yes _____ No _____ If yes, provide the following information for each investigation:

Name of entity

Reason or purpose of investigation


Date investigation commenced (yyyy/mm/dd)

Jurisdiction

Name of firm:

Name of firm’s authorized signing officer or partner

Title of firm’s authorized signing officer or partner

Signature

Date (yyyy/mm/dd) Witness The witness must be a lawyer, notary public or commissioner of oaths.

Name of witness

Title of witness

Signature

Date (yyyy/mm/dd) This form is to be submitted through the Ontario Securities Commission’s Electronic Filing Portal: https://www.osc.gov.on.ca/filings

https://www.osc.gov.on.ca/filings


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Chapter 3

Reasons: Decisions, Orders and Rulings 3.1 OSC Decisions 3.1.1 SBC Financial Group Inc. and Prabhjot Singh Bakshi – ss. 127(1), 127(10)

IN THE MATTER OF SBC FINANCIAL GROUP INC. and

PRABHJOT SINGH BAKSHI

REASONS AND DECISION (Subsections 127(1) and 127(10) of the

Securities Act, RSO 1990, c S.5)

Citation: SBC Financial Group Inc. (Re), 2018 ONSEC 60 Date: 2018-12-21 File No. 2018-67

Hearing: In Writing

Decision: December 21, 2018

Panel: D. Grant Vingoe Vice-Chair and Chair of the Panel

Appearances: Vivian Lee For Staff of the Commission

No submissions made by or on behalf of SBC Financial Group Inc. and Prabhjot Singh Bakshi

TABLE OF CONTENTS I. INTRODUCTION AND BACKGROUND II. BRITISH COLUMBIA SECURITIES COMMISSION PROCEEDING

A. The Respondents B. The SBC Loan Transactions C. The Hawaiian Land Transactions D. Findings – Breach of sections 34(a), 61 and 168.2(1) of the BC Act E. BCSC Sanctions Decision

III. SERVICE AND PARTICIPATION IV. ANALYSIS

A. Introduction B. Statutory authority to make public interest orders C. Orders against dissolved corporations D. Appropriate sanctions E. Differences between BC and Ontario sanctions

V. CONCLUSION

Reasons: Decisions, Orders and Rulings

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REASONS AND DECISION I. INTRODUCTION AND BACKGROUND [1] In a decision issued by the British Columbia Securities Commission (the BCSC) on April 16, 2018,1 the BCSC Hearing

Panel (the BCSC Panel) found that SBC Financial Group Inc. (SBC) and Prabhjot Singh Bakshi (Bakshi) (together, the Respondents) engaged in unregistered trading and illegal distributions of securities, contrary to sections 34(a) and 61 of the British Columbia Securities Act (the BC Act).2 The BCSC Panel also found that Bakshi was liable for SBC’s contraventions of BC securities law, contrary to section 168.2(1) of the BC Act.

[2] In a second decision, dated September 5, 2018 (the BCSC Sanctions Decision),3 the BCSC Panel imposed various

sanctions on the Respondents. The BCSC Panel ordered that, among other things: a. Bakshi be prohibited from trading in securities for a period of at least ten years, subject to a limited exception; b. Bakshi be prohibited from becoming or acting as a director or officer of any issuer or registrant, for a period of

at least ten years; c. Bakshi disgorge funds and pay an administrative penalty; d. SBC be prohibited from trading in securities for a period of ten years; and

e. SBC disgorge funds.

[3] Staff of the Ontario Securities Commission (Staff or the Commission) relies on the inter-jurisdictional enforcement provisions found in subsection 127(10) of the Ontario Securities Act (the Act)4 and requests that the Commission issue an order that replicates the non-monetary sanctions imposed by the BCSC Panel.

[4] For the reasons that follow, I find that it is in the public interest to issue an order substantially in the form requested by

Staff. II. BRITISH COLUMBIA SECURITIES COMMISSION PROCEEDING A. The Respondents [5] Bakshi was the sole officer, director and shareholder of SBC.5 He was also a former registrant in various categories,

however he ceased to be registered in any capacity under the BC Act in February 2009, before the start of the misconduct that was sanctioned by the BCSC Panel.6

[6] SBC was a British Columbia corporation controlled by Bakshi. SBC was placed into bankruptcy on January 23, 2015 and

subsequently dissolved for failing to file records on November 21, 2016. SBC was never registered in any capacity under the BC Act.7

[7] Neither Respondent ever filed a prospectus under the BC Act.8 [8] The Respondents held themselves out to investors as being in the investment management and financial services

business.9 [9] Between August 2010 and September 201410 (the Material Time) the Respondents solicited investments in two different

products: an interest-bearing loan arrangement between investors and SBC, and a Hawaiian real estate transaction.11

1 Re SBC Financial Group Inc., 2018 BCSECCOM 113 (BC Merits Decision). 2 RSBC 1996, c 418. 3 Re SBC Financial Group Inc., 2018 BCSECCOM 267 (BC Sanctions Decision). 4 RSO 1990 c S.5. 5 BC Merits Decision at para 12. 6 BC Merits Decision at para 9. 7 BC Merits Decision at para 10. 8 BC Merits Decision at para 11. 9 BC Merits Decision at paras 18 and 119. 10 BC Merits Decision at paras 72 and 139. 11 BC Merits Decision at para 14.


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B. The SBC Loan Transactions [10] The interest-bearing loan arrangements between investors and SBC were typically documented by at least one of the

following documents: a Lender Loan Questionnaire, a letter agreement or a promissory note. The terms of the notes varied among investors. Promised returns were between 5-30% and maturity dates varied from two months to 5 years. The most common term to maturity was three years.12

[11] Bakshi provided investors with regular account statements which purported to show their investments and returns.13

Investors had the option of receiving their purported interest payments or allowing their returns to compound.14 [12] The BCSC Panel found that the limitation period operational under section 159 of the BC Act operated to reduce the

possible contraventions of issuances of a security without a prospectus15 from the 53 issuances of securities alleged by the Executive Director to 48 issuances, for proceeds totalling $1,735,238.16 The limitation period did not impact the allegations relating to trading in securities without registration17 as the trading constituted a continuous course of conduct.18

C. The Hawaiian Land Transactions [13] Three investors invested a total of $400,000 with SBC in relation to what Bakshi claimed was a transaction to invest in

parcels of land in Hawaii. Once re-zoned, title to the land was to be transferred to investors, at which time they were told they could choose to sell the lot or build a vacation home on the lot.19

[14] The BCSC Panel found that all elements of this investment were fabricated by Bakshi.20 [15] Notwithstanding the above findings, the BCSC Panel found that although Bakshi engaged in deceitful conduct relating to

these transactions, they did not satisfy the “common enterprise” aspect of the “investment contract” test in Pacific Coast Coin Exchange of Canada v. Ontario Securities Commission.21 Having held that the transactions were not a “security” as defined by the BC Act, the BCSC Panel dismissed the fraud allegations against Bakshi and reduced the magnitude of the wrongdoing involved in the remaining allegations of contraventions of section 34(a) and section 61 of the BC Act.22

D. Findings – Breach of sections 34(a), 61 and 168.2(1) of the BC Act [16] The BCSC Panel found that the Respondents contravened section 34(a) of the BC Act with respect to trading in securities

between October 2010 and September 2014 in the amount of $2,675,238. They also found the Respondents contravened section 61 of the BC Act with respect to 45 issuances of securities for $1,535,238. Finally, they found that Bakshi contravened section 168.2(1) of the BC Act as he was an officer and director SBC and authorized, permitted or acquiesced in the contraventions of the BC Act by SBC.23

E. BCSC Sanctions Decision [17] In the BCSC Sanctions Decision, the BCSC Panel imposed both monetary and market conduct sanctions against the

Respondents. Staff does not seek an order replicating the monetary sanctions. [18] The BCSC Panel imposed the following non-monetary sanctions:

12 BC Merits Decision at para 15. 13 BC Merits Decision at para 19. 14 BC Merits Decision at para 20. 15 BC Act, s 61. 16 BC Merits Decision at para 92. 17 BC Act, s 34(a). 18 BC Merits Decision at paras 78 and 82. 19 BC Merits Decision at paras 28, 31. 20 BC Merits Decision at para 42. 21 [1978] 2 SCR 112. 22 BC Merits Decision at paras 95, 106, 108, 110. 23 BC Merits Decision at paras 139 and 140.


January 3, 2019

(2019), 42 OSCB 92

Bakshi a. under section 161(1)(d)(i) of the BC Act, Bakshi resign any position he holds as a director or officer of an issuer

or registrant; b. Bakshi is prohibited until the later of 10 years from the date of the BCSC Order and the date that he pays the

amounts set out in paragraphs 87(c) and 87(d) of the BCSC Sanctions Decision: 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 (including one RRSP 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;

SBC c. SBC is prohibited for 10 years:

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; iii. under section 161(1)(d)(iii) of the BC Act, from becoming or acting as a registrant or promoter; iv. 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 v. under section 161(1)(d)(v) of the BC Act, from engaging in investor relations activities.

III. SERVICE AND PARTICIPATION [19] In this proceeding, the Respondents were served via email on November 16, 2018, with the Notice of Hearing, Statement

of Allegations, Staff’s written submissions, and hearing brief.24 Bakshi was served personally and on behalf of SBC via courier at his home address, and SBC was also served at their last known registered office address.25 I find that service was properly effected on the Respondents.

[20] Pursuant to Rule 11(3) of the Ontario Securities Commission Rules of Procedure and Forms (OSC Rules of

Procedure)26 the deadline for the Respondents to serve and file written submissions was December 14, 2018. Although properly served, no materials were filed on behalf of the Respondents.

[21] I am satisfied that the Respondents were provided with adequate notice of this proceeding. Pursuant to the Statutory

Powers Procedure Act and the OSC Rules of Procedure, the Commission may proceed in the absence of a party where that party has been given adequate notice of the hearing.27

24 Hearing Brief marked as Exhibit 1. 25 Affidavit of Service of Lee Crann, sworn November 20, 2018, marked as Exhibit 2. 26 Ontario Securities Commission Rules of Procedure and Forms (2017), 40 OSCB 8988, r 11(3)(g). 27 Statutory Powers Procedure Act, RSO 1990, c S.22, s 7(2); OSC Rules of Procedure, r 21(3).


January 3, 2019

(2019), 42 OSCB 93

IV. ANALYSIS A. Introduction [22] The issues for me to consider are:

a. whether one of the circumstances under subsection 127(10) of the Act applies to the Respondents, namely, are

the Respondents subject to an order made by a securities regulatory authority imposing sanctions, conditions, restrictions or requirements (s. 127(10)(4)); and if so

b. whether the Commission should exercise its jurisdiction to make a protective order in the public interest in

respect of the Respondents pursuant to subsection 127(1) of the Act. [23] The BCSC is a securities regulatory authority. In the BCSC Sanctions Decision, the BCSC Panel made the orders set

out in paragraph [18] above, imposing sanctions on the Respondents. The test under paragraph 4 of subsection 127(10) of the Act is therefore satisfied.

[24] I must therefore consider whether it is in the public interest for the Commission to make an order against the

Respondents, and if so, what that order should be. B. Statutory authority to make public interest orders [25] Subsection 127(10) of the Act facilitates the inter-jurisdictional enforcement of orders imposed following breaches of

securities law. The subsection does not itself empower the Commission to make an order; rather it provides a basis for an order under subsection 127(1).

[26] Orders made under subsection 127(1) of the Act are “protective and preventative” and are made to restrain potential

conduct that could be detrimental to the integrity of the capital markets and therefore prejudicial to the public interest.28 [27] In exercising its jurisdiction to make an order in reliance on subsection 127(10) of the Act, the Commission does not

require that the underlying conduct have a connection to Ontario.29 C. Orders against dissolved corporations [28] Following its bankruptcy, SBC was dissolved on November 21, 2016, for failure to file records.30 [29] The BCSC Panel acknowledged this fact in their Sanctions Decision, but determined that sanctions against SBC were

warranted and in the public interest: Although SBC has been dissolved, we find it to be in the public interest to make our market prohibition orders against the company. Dissolved companies can be reinstated relatively easily and we would not be adequately protecting the public if we did not make orders to cover off that possibility.31

[30] Additionally, there is a provision of the British Columbia Business Corporations Act, which provides that legal proceedings may be pursued against a company within two years of its dissolution, as if it had not been dissolved.32 Staff’s Statement of Allegations in this matter is dated the 14th day of November 2018, and thus this proceeding was commenced within the two-year period.

[31] I agree with the reasoning of the BCSC Panel in this respect and accordingly will reciprocate the non-monetary sanctions

ordered by the BCSC against both Bakshi and SBC.

28 Committee for Equal Treatment of Asbestos Minority Shareholders v. Ontario (Securities Commission), 2001 SCC 26, [2001] 2 SCR 132

(SCC) at paras 42-43. 29 Wong Sang Shen Cho (Craig Cho), 2014 ONSEC 20, (2014) 37 OSCB 7285 at para 48. 30 BCSC Merits Decision at para 10. 31 BCSC Sanctions Decision at para 45. 32 British Columbia Business Corporations Act, SBC 2002, c 57, subsection 346 (1)(b).


January 3, 2019

(2019), 42 OSCB 94

D. Appropriate sanctions [32] Staff submits that the Respondents’ conduct warrants an order designed to protect Ontario investors from the

Respondents, by limiting the Respondents’ participation in Ontario’s capital markets. I agree that such an order would be in the public interest.

[33] In determining specific sanctions, the Commission may consider a number of factors, including the seriousness of the

misconduct, the harm suffered by investors, specific and general deterrence and any aggravating or mitigating factors.33 [34] In this case, the misconduct was serious. The BCSC Panel found that sections 34 and 61 of the BC Act are “cornerstone”

provisions, “as they relate directly to the protection of the investing public in the purchase and sale of securities.34” [35] The BCSC Panel went on to note the harm that was caused to investors by the Respondents’ lack of registration saying:

The investors lost substantial investments without having received sufficient information regarding SBC and its securities with which to make an informed investment decision and the respondents dealt with investors in an unregistered capacity and without fulfilling basic obligations that, as a registrant, they would have owed their clients.35

[36] The harm suffered by investors was significant. While some investors received interest payments on their investments, many did not. All the investors’ investments were lost when SBC was petitioned into bankruptcy, and the investors did not receive any distributions from the bankruptcy proceedings.36

[37] In contrast, the Respondents were personally enriched by their misconduct in the amount of $2,115,040, as SBC was

the beneficiary of the proceeds of its unregistered trading and illegal distributions, and Bakshi, as the owner and directing mind of SBC was indirectly enriched by SBC’s enrichment. The BCSC Panel also found that Bakshi was personally enriched as he directly obtained a portion of the investors’ funds.37

[38] The BCSC Panel found no mitigating factors with respect to the Respondents, and no aggravating factors with respect

to SBC. The BCSC Panel found that Bakshi’s previous registration status was an aggravating factor. As a former registrant Bakshi should have known that the conduct he and SBC carried out required registration. He also should have been familiar with the prospectus requirements and available exemptions under the BC Act, and understood that certain SBC investors did not qualify for the exemptions they claimed in relation to SBC’s offering of securities.38

[39] It is important that this Commission impose sanctions that will protect Ontario investors by specifically deterring the

Respondents from engaging in similar or other misconduct in Ontario, and by acting as a general deterrent to other like-minded persons. I accept Staff’s submission that the sanctions imposed by the BCSC Panel are proportionate to the Respondents’ misconduct and that it would be appropriate for me to issue a substantially similar order.

E. Differences between BC and Ontario sanctions [40] Due to differences between the Act and the BC Act, some of the sanctions I impose cannot be identical to those imposed

by the BCSC Panel. This is true with respect to two aspects of the sanctions. [41] First, the BCSC Sanctions Decision prohibits the Respondents from trading in or purchasing “exchange contracts”.

Subsection 127(1) of the Act does not expressly refer to exchange contracts. The BC Act defines “exchange contract” to mean a futures contract or option that meets certain specified requirements. As a result, Staff seeks an order permanently prohibiting the Respondents from trading in derivatives. In my view, when considering the factors described above that support the making of orders prohibiting trading, there is no reason to distinguish between securities and derivatives. In the circumstances of this case, it is equally in the public interest to protect Ontario investors and the capital markets by prohibiting the Respondents from trading in derivatives. I will therefore make the order requested by Staff.

[42] Second, the BCSC Sanctions Decision prohibits the Respondents from engaging in “investor relations activities” and

from “acting in a management or consultative capacity in connection with activities in the securities market”. In Ontario, the Act does not use those terms. Instead, such activities would largely be covered by the prohibitions already requested, against Bakshi acting as a director or officer of an issuer, or against either Respondent acting as a registrant or promoter.

33 Belteco Holdings Inc. (Re) (1998), 21 OSCB 7743 at 7746-7747; MCJC Holdings (2002), 25 OSCB 1133 at 1136. 34 BCSC Sanctions Decision at para 14. 35 BCSC Sanctions Decision at para 18. 36 BCSC Sanctions Decision at para 20 37 BCSC Sanctions Decision at paras 22 – 24. 38 BCSC Sanctions Decision at paras 29 and 31.


January 3, 2019

(2019), 42 OSCB 95

I find that it is in the public interest to make the order as requested by Staff, and that such an order effectively mirrors the relevant provisions of the BCSC Sanctions Decision.

V. CONCLUSION [43] For the reasons set out above, I find that it is in the public interest to impose the sanctions requested by Staff. I will

therefore order: Against SBC that: a. pursuant to paragraph 2 of subsection 127(1) of the Act, trading in any securities or derivatives by SBC shall

cease until September 5, 2028; b. pursuant to paragraph 2.1 of subsection 127(1) of the Act, the acquisition of any securities by SBC shall cease

until September 5, 2028; c. pursuant to paragraph 3 of subsection 127(1) of the Act, any exemptions contained in Ontario securities law

shall not apply to SBC until September 5, 2028; and d. pursuant to paragraph 8.5 of subsection 127(1) of the Act, SBC is prohibited until September 5, 2028 from

becoming or acting as a registrant or promoter; Against Bakshi that: until the later of September 5, 2028 and the date that Bakshi pays to the BCSC the amounts set out in paragraphs 87(c) and 87(d) of the BCSC’s Sanctions Decision: a. pursuant to paragraph 2 of subsection 127(1) of the Act, trading in any securities or derivatives by Bakshi shall

cease, except that he may trade for his own account (including one RRSP account) through a registered dealer, if he provides the registered dealer with copies of the BCSC Sanctions Decision and this order;

b. pursuant to paragraph 2.1 of subsection 127(1) of the Act, the acquisition of any securities by Bakshi shall

cease, except that he may purchase securities for his own account (including one RRSP account) through a registered dealer, if he provides the registered dealer with copies of the BCSC Sanctions Decision and this order;

c. pursuant to paragraph 3 of subsection 127(1) of the Act, any exemptions contained in Ontario securities law

shall not apply to Bakshi; d. pursuant to paragraphs 7, 8.1 and 8.3 of subsection 127(1) of the Act, Bakshi shall resign any positions that he

holds as a director or officer of any issuer or registrant; e. pursuant to paragraphs 8, 8.2 and 8.4 of subsection 127(1) of the Act, Bakshi is prohibited from becoming or

acting as a director or officer of any issuer or registrant; and f. pursuant to paragraph 8.5 of subsection 127(1) of the Act, Bakshi is prohibited from becoming or acting as a

registrant or promoter. Dated at Toronto this 21st day of December, 2018. “D. Grant Vingoe”


January 3, 2019

(2019), 42 OSCB 96


January 3, 2019

(2019), 42 OSCB 97

Chapter 4

Cease Trading Orders 4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders

Company Name Date of Temporary Order

Date of Hearing

Date of Permanent Order

Date of Lapse/Revoke

THERE IS NOTHING TO REPORT THIS WEEK. Failure to File Cease Trade Orders

Company Name Date of Order Date of Revocation

THERE IS NOTHING TO REPORT THIS WEEK. 4.2.1 Temporary, Permanent & Rescinding Management Cease Trading Orders

Company Name Date of Order Date of Lapse

THERE IS NOTHING TO REPORT THIS WEEK. 4.2.2 Outstanding Management & Insider Cease Trading Orders

Company Name Date of Order or Temporary Order

Date of Hearing

Date of Permanent Order

Date of Lapse/ Expire

Date of Issuer

Temporary Order

Performance Sports Group Ltd.

19 October 2016 31 October 2016 31 October 2016

Company Name Date of Order Date of Lapse

Blocplay Entertainment Inc. 04 December 2018

Katanga Mining Limited 15 August 2017

Cease Trading Orders

January 3, 2019

(2019), 42 OSCB 98


January 3, 2019

(2019), 42 OSCB 99

Chapter 7

Insider Reporting The following is a weekly summary of insider transactions by insiders of Ontario reporting issuers in SEDI ® (the System for Electronic Disclosure by Insiders).1 The weekly summary contains insider transactions reported during the 7-day period ending Sunday at 11:59 p.m. (i.e. the Sunday prior to the Bulletin Issue date).2

Guide to Codes

Relationship of Insider to Issuer (Rel=n) 1 Issuer 2 Subsidiary of Issuer 3 10% Security Holder of Issuer 4 Director of Issuer 5 Senior Officer of Issuer 6 Director or Senior Officer of 10% Security Holder 7 Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6) 8 Deemed Insider – 6 Months before becoming Insider

Nature of Transaction (T/O)

00 Opening Balance-Initial SEDI Report 10 Acquisition or disposition in the public market 11 Acquisition or disposition carried out privately 15 Acquisition or disposition under a prospectus 16 Acquisition or disposition under a prospectus exemption 22 Acquisition or disposition pursuant to a take-over bid, merger or acquisition 30 Acquisition or disposition under a purchase/ ownership plan 35 Stock dividend 36 Conversion or exchange 37 Stock split or consolidation 38 Redemption, retraction, cancellation, repurchase 40 Short sale 45 Compensation for property 46 Compensation for services 47 Acquisition or disposition by gift 48 Acquisition by inheritance or disposition by bequest 50 Grant of options 51 Exercise of options 52 Expiration of options 53 Grant of warrants 54 Exercise of warrants 55 Expiration of warrants 56 Grant of rights 57 Exercise of rights 59 Exercise for cash 70 Acquisition or disposition (writing) of third party derivative 71 Exercise of third party derivative 72 Other settlement of third party 73 Expiration of third party derivative 90 Change in nature of ownership 97 Other 99 Correction of Information

Note: The asterisk in the “Date/Month End Holding” column indicates the insider disagreed with the system calculated balance when the

transaction was reported. 1 SEDI® is a registered trademark owned by CDS INC. 2 ©CDS INC.

Insider Reporting

January 3, 2019

(2019), 42 OSCB 100

Due to the holiday, this week’s Bulletin contains two Chapter 7 summaries for the weeks ending December 23, 2018 and December 30, 2018. The following summary is for the week ending December 23, 2018.

Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit

Price Date/Month End

Holdings Acquired/ Disposed

This is the summary for the week ending December 23, 2018. 37 Capital Inc. Common Shares Kalpakian, Bedo H 3 12/14/2018 10 0.135 10,020 -48,444 37 Capital Inc. Common Shares Kalpakian, Bedo H 3 12/18/2018 54 0.12 110,020 100,000 37 Capital Inc. Common Shares Kalpakian, Bedo H 3 12/18/2018 10 0.15 10,020 -100,000 37 Capital Inc. Warrants Kalpakian, Bedo H 3 12/18/2018 54 0.12 75,000 -100,000 37 Capital Inc. Common Shares Kalpakian, Isabel A 3 12/21/2018 10 0.11 892,424 -25,000 37 Capital Inc. Common Shares Kalpakian, Isabel A 3 12/21/2018 10 0.105 854,424 -38,000 37 Capital Inc. Common Shares Kalpakian, Jacob H 4 12/14/2018 10 0.135 10,020 -48,444 37 Capital Inc. Common Shares Kalpakian, Jacob H 4 12/18/2018 54 0.12 110,020 100,000 37 Capital Inc. Common Shares Kalpakian, Jacob H 4 12/18/2018 10 0.15 10,020 -100,000 37 Capital Inc. Warrants Kalpakian, Jacob H 4 12/18/2018 54 0.12 75,000 -100,000 49 North Resources Inc. Common Shares MacNeill, Tom 3, 4, 7, 5 12/18/2018 10 0.02 6,391,494 90,000 Abattis Bioceuticals Corp. Common Shares Wilson, Cedric Paul 4 10/1/2018 00 Abattis Bioceuticals Corp. Common Shares Wilson, Cedric Paul 4 11/22/2018 46 150,000 150,000 ABCOURT MINES INC. Options Adam, Daniel 4 12/14/2018 00 ABCOURT MINES INC. Options Adam, Daniel 4 12/18/2018 50 0.07 300,000 300,000 Absolute Software Corporation

Common Shares Wakerley, Todd 5 12/13/2018 57 4,450 81

Absolute Software Corporation

Common Shares Wakerley, Todd 5 12/13/2018 10 8.31 4,417 -33

Absolute Software Corporation

Rights Phantom Share Units

Wakerley, Todd 5 12/13/2018 57 0 -81

Acadian Timber Corp. Common Shares Cockwell, Jack Lynn 6 12/13/2018 10 14.37 82,600 25,000 Acadian Timber Corp. Common Shares Cockwell, Jack Lynn 6 12/19/2018 10 14.25 83,000 400 Accord Financial Corp. Convertible Debentures Adair, Stuart Adair 5 9/4/2002 00 Accord Financial Corp. Convertible Debentures Adair, Stuart Adair 5 12/18/2018 15 1000 $225 $225 Accord Financial Corp. Convertible Debentures Henderson, Thomas

Lawrence 5 4/1/2005 00

Accord Financial Corp. Convertible Debentures Henderson, Thomas Lawrence

5 12/18/2018 15 1000 $130 $130

Accord Financial Corp. Convertible Debentures HITZIG, KENNETH 3, 4, 5 4/1/1992 00 Accord Financial Corp. Convertible Debentures HITZIG, KENNETH 3, 4, 5 12/18/2018 15 1000 $750 $750 Accord Financial Corp. Common Shares Hitzig, Simon Jonathan 4 12/21/2018 10 9.2 191,600 1,600 Accord Financial Corp. Convertible Debentures Hitzig, Simon Jonathan 4 5/7/2008 00 Accord Financial Corp. Convertible Debentures Hitzig, Simon Jonathan 4 12/18/2018 15 1000 $1,850 $1,850 Accord Financial Corp. Convertible Debentures Jang, James Chadwick 7 2/2/2016 00 Accord Financial Corp. Convertible Debentures Jang, James Chadwick 7 12/18/2018 15 1000 $250 $250 Accord Financial Corp. Convertible Debentures Jang, James Chadwick 7 2/2/2016 00 Accord Financial Corp. Convertible Debentures Jang, James Chadwick 7 12/18/2018 15 1000 $250 $250 Accord Financial Corp. Convertible Debentures Pfeffer, Jeffry Steven 5 11/1/2018 00 Accord Financial Corp. Convertible Debentures Pfeffer, Jeffry Steven 5 12/18/2018 11 1000 $50 $50 Accord Financial Corp. Convertible Debentures Prager, Gary 4 5/7/2015 00 Accord Financial Corp. Convertible Debentures Prager, Gary 4 12/18/2018 10 1000 $330,000 Accord Financial Corp. Convertible Debentures Prager, Gary 4 12/18/2018 11 1000 $330,000 $330,000 Acerus Pharmaceuticals Corporation

Common Shares Gudaitis, Edward Joseph 4, 5 12/17/2018 10 0.13 5,113,500 225,500

Acerus Pharmaceuticals Corporation

Common Shares Gudaitis, Edward Joseph 4, 5 12/20/2018 10 0.1199 5,213,500 100,000

ACGT DNA Technologies Corporation

Common Shares Macdonald, Glen Colin 4 6/26/2017 10 0.4 100,000 100,000

Ackroo Inc. Options Cole, Samuel 4 12/14/2018 50 325,000 50,000 Ackroo Inc. Common Shares Donville, Jason 4 12/17/2018 00 928,000 Ackroo Inc. Options Donville, Jason 4 12/17/2018 00 100,000 Ackroo Inc. Options Levely, Stephen Alexander 5 12/14/2018 50 0.1 3,075,000 50,000 Ackroo Inc. Options O'Connell, Wayne 4 12/14/2018 50 0.1 150,000 50,000 Ackroo Inc. Options Ronka, Kristaps 4 12/17/2018 50 0.1 250,000 50,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 101

Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price

Date/Month End Holdings

Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Ackroo Inc. Options SCHAAF, DEREK 5 12/14/2018 50 0.1 725,000 50,000 AcuityAds Holdings Inc. Common Shares Pollack, Sheldon M. 4 12/18/2018 10 1.03 376,085 2,800 ADVANZ PHARMA Corp. (formerly Concordia International Corp.)

Limited Voting Shares Solus Alternative Asset Management LP

3 12/12/2018 10 26.014 8,475,273 -3,600

ADVANZ PHARMA Corp. (formerly Concordia International Corp.)


3 12/13/2018 10 26.324 8,471,273 -4,000



3 12/14/2018 10 26.517 8,468,273 -3,000



3 12/17/2018 10 26.299 8,461,073 -7,200



3 12/18/2018 10 26.415 8,434,573 -26,500



3 12/19/2018 10 26.4 8,430,573 -4,000



3 12/20/2018 10 26.4 8,430,373 -200



3 12/21/2018 10 26.01 8,418,673 -11,700

Adventus Zinc Corporation Common Shares Kwong, Frances 5 12/17/2018 10 0.7776 42,500 12,500 Adventus Zinc Corporation Common Shares Kwong, Frances 5 12/20/2018 10 0.72 47,500 5,000 Adventus Zinc Corporation Common Shares Kwong, Frances 5 12/21/2018 10 0.72 50,000 2,500 Adventus Zinc Corporation Common Shares Leung, Sam Yee Cheng 5 12/18/2018 10 0.793 113,000 13,000 Adventus Zinc Corporation Common Shares Leung, Sam Yee Cheng 5 12/21/2018 10 0.7085 123,000 10,000 Africa Oil Corp. Options Dingley, Mark 7 12/18/2018 50 1.06 1,246,000 486,000 Ag Growth International Inc. Common Shares Anderson, Gary Keith 4, 5 12/19/2018 10 46.4 102,348 6,475 Agellan Commercial Real Estate Investment Trust

Deferred Units Barazzuol, Renzo 4, 6 12/20/2018 30 2,803 68

Agellan Commercial Real Estate Investment Trust

Units Camenzuli, Francis Xavier 4, 7, 5 12/31/2016 30 194,157 269


Units Caswell, Chris 7 11/23/2017 97 12.02 34,000 -3,718


Deferred Units Gibbs, Dayna 4 12/20/2018 30 2,409 66


Deferred Units Ladouceur, Glen Joseph 7 12/20/2018 30 9,307 384


Deferred Units Lazer, Rafael 4 12/21/2018 30 2,134 60


Deferred Units Meyer, Yisrael Dov 4 12/20/2018 30 2,669 63


Units Millett, Daniel 5 12/20/2018 30 8,136 361


Deferred Units Tammer, Aida Evelyn 4 12/20/2018 30 1,220 25

Agnico Eagle Mines Limited Common Shares Laing, R. Gregory 5 12/19/2018 51 28.03 47,158 2,000 Agnico Eagle Mines Limited Common Shares Laing, R. Gregory 5 12/19/2018 10 55.11 45,158 -2,000 Agnico Eagle Mines Limited Common Shares Laing, R. Gregory 5 12/20/2018 51 28.03 45,658 500 Agnico Eagle Mines Limited Common Shares Laing, R. Gregory 5 12/20/2018 10 54.75 45,158 -500 Agnico Eagle Mines Limited Options Laing, R. Gregory 5 12/19/2018 51 28.03 182,500 -2,000 Agnico Eagle Mines Limited Options Laing, R. Gregory 5 12/20/2018 51 28.03 182,000 -500 Agnico Eagle Mines Limited Common Shares Roberts, John Merfyn 4 12/17/2018 10 52.29 12,760 -1,000 AgraFlora Organics International Inc.

Common Shares Hornung, Christopher Paul 4 12/13/2018 10 0.195 2,375,500 -64,000

AgraFlora Organics International Inc.




Insider Reporting

January 3, 2019

(2019), 42 OSCB 102



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. AgraFlora Organics International Inc.

Common Shares Hornung, Christopher Paul 4 12/18/2018 54 0.08 2,709,500 600,000


Common Shares Hornung, Christopher Paul 4 12/18/2018 16 0.1667 4,202,825 1,493,325


Warrants Hornung, Christopher Paul 4 12/18/2018 54 0.08 0 -600,000

Aimia Inc. Common Shares Mittleman Investment Management, LLC

3 12/21/2018 10 2.4587 28,706,247 -73,000

AirIQ Inc. Common Shares Mosaic Capital Partners LP 3 12/17/2018 54 0.05 5,949,999 700,000 AirIQ Inc. Warrants Mosaic Capital Partners LP 3 12/17/2018 54 0.05 0 -700,000 Akita Drilling Ltd. Non-Voting Shares Dease, Colin 5 12/14/2018 30 4 19,162 4,500 Alamos Gold Inc. Rights Deferred Share

Units Daniel, Mark 4 4/30/2018 30 55,537 103

Alamos Gold Inc. Rights Deferred Share Units

Daniel, Mark 4 10/31/2018 30 55,676 139


Ellingham, Elaine 4 10/31/2018 30 14,322 36


Fleck, David Alexander 4 4/30/2018 30 79,161 146


Fleck, David Alexander 4 10/31/2018 30 79,359 198


Gower, David Patrick 4 4/30/2018 30 72,542 134


Gower, David Patrick 4 10/31/2018 30 72,723 181


Kennedy, Claire Marie Catherine

4 4/30/2018 30 67,691 125


Kennedy, Claire Marie Catherine

4 10/31/2018 30 67,860 169


Murphy, Paul 4 4/30/2018 30 127,423 235


Murphy, Paul 4 10/31/2018 30 127,741 318


Smith, Ronald 4 4/30/2018 30 64,878 120


Smith, Ronald 4 10/31/2018 30 65,040 162


Stowe, Kenneth George 4 4/30/2018 30 72,542 134


Stowe, Kenneth George 4 10/31/2018 30 72,723 181

Alcanna Inc. (formerly Liquor Stores N.A. Ltd.)

Common Shares Burns, James Franklin Charles

4 6/20/2017 00



4 12/19/2018 10 4.1892 50,000 50,000



4 12/20/2018 10 4.1237 77,700 27,700



4 12/20/2018 10 4.2 50,000 25,000



4 12/21/2018 10 4.23 70,000 20,000



4 12/19/2018 10 4.059 85,000 10,000



4 12/19/2018 10 4.0672 100,300 15,300



4 12/19/2018 10 4.05 125,300 25,000



4 12/20/2018 10 4.2212 165,300 40,000



4 12/21/2018 10 4.08 166,900 1,600



4 12/21/2018 10 4.0868 176,900 10,000



4 12/21/2018 10 4.1066 186,900 10,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 103



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Alcanna Inc. (formerly Liquor Stores N.A. Ltd.)

Common Shares Gordey, David Nathan 5 3/26/2012 00


Common Shares Gordey, David Nathan 5 12/21/2018 10 4.07 2,400 2,400


Common Shares Gordey, David Nathan 5 3/26/2012 00


Common Shares Gordey, David Nathan 5 12/21/2018 10 4.07 6,550 6,550


Common Shares Kiziak, Marcie Catherine 5 3/14/2018 00


Common Shares Kiziak, Marcie Catherine 5 12/21/2018 10 4.497 20 20


Common Shares Kiziak, Marcie Catherine 5 3/14/2018 00


Common Shares Kiziak, Marcie Catherine 5 12/21/2018 10 4.206 365 365


Common Shares Reid, Paul Keith 5 4/23/2018 00


Common Shares Reid, Paul Keith 5 12/20/2018 10 4.26 5,000 5,000


Common Shares Reid, Paul Keith 5 12/21/2018 10 4.1 10,000 5,000


Common Shares Ryan, Denis 4 12/18/2018 10 4.27 10,000


Common Shares Ryan, Denis 4 12/18/2018 10 4.27 15,000 10,000


Common Shares Ryan, Denis 4 12/21/2018 10 4.12 20,000 5,000

Alianza Minerals Ltd. (formerly Tarsis Resources Ltd.)

Common Shares Brown, Mark Thomas 4 12/13/2018 10 0.065 310,000 10,000

Alimentation Couche-Tard Inc.

Unité d'action différée Bourque, Nathalie 4 12/20/2018 35 66.73 19,275 29


Unité d'action différée Boyko, Éric 4 12/20/2018 35 66.73 2,524 3


Unité d'action différée D'Amours, Jacques 4 12/20/2018 35 66.73 7,569 11


Unité d'action différée Élie, Jean André 4 12/20/2018 35 66.73 34,078 51


Unité d'action différée Fortin, Richard 4, 6, 7, 5 12/20/2018 35 66.73 21,362 32


Unité d'action différée Kau, Mélanie 4 12/20/2018 35 66.73 69,012 104


Unité d'action différée Leroux, Monique F. 4 12/20/2018 35 66.73 6,223 10


Unité d'action différée Plourde, Réal 4, 6, 7, 5 12/20/2018 35 66.73 7,529 11


Subordinate Voting Shares Catégorie B

Rabinowicz, Daniel 5 12/10/2018 47 67.91 837 -500



Rabinowicz, Daniel 5 12/21/2018 47 65.52 0 -837


Unité d'action différée Rabinowicz, Daniel 5 12/20/2018 35 66.73 5,843 9

Allied Properties Real Estate Investment Trust

Units Emory, Michael R. 4, 5 12/14/2018 47 864,132 -2,230

Allied Properties Real Estate Investment Trust

Units Emory, Michael R. 4, 5 12/20/2018 47 861,902 -2,230

Almadex Minerals Ltd. (formerly 1154229 B.C. Ltd.)

Options McDonald, Douglas John 4 12/17/2018 52 0.35 260,000 -90,000


Options McDonald, Douglas John 4 12/19/2018 50 0.27 350,000 90,000


Options Poliquin, Morgan James 4 12/19/2018 50 0.27 1,700,000 210,000


Options Trieu, Korm 5 12/19/2018 50 0.27 350,000 30,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 104



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. AltaGas Canada Inc. Rights Deferred Share

Unit (DSU) Aarssen, Gregory Allan 4 10/18/2018 00

AltaGas Canada Inc. Rights Deferred Share Unit (DSU)

Aarssen, Gregory Allan 4 12/20/2018 56 15.48 1,760 1,760


Athaide, Judith 4 10/18/2018 00


Athaide, Judith 4 12/20/2018 56 15.48 828 828


Chakma, Amitabha 4 10/10/2018 00


Chakma, Amitabha 4 12/20/2018 56 15.48 1,657 1,657

AltaGas Canada Inc. Common Shares Crawford, Randall Loy 7 12/10/2018 00 AltaGas Canada Inc. Rights Deferred Share

Unit (DSU) Demcoe, William 4 10/18/2018 00


Demcoe, William 4 12/20/2018 56 15.48 880 880

AltaGas Canada Inc. Common Shares Green, Jared Blake 4 12/19/2018 10 15.82 38,700 200 AltaGas Canada Inc. Common Shares Green, Jared Blake 4 12/19/2018 10 15.84 38,800 100 AltaGas Canada Inc. Common Shares Green, Jared Blake 4 12/19/2018 10 15.95 42,500 3,700 AltaGas Canada Inc. Common Shares Green, Jared Blake 4 12/20/2018 10 15.74 10,000 3,500 AltaGas Ltd. Rights Deferred Share

Unit (DSU) Aarssen, Gregory Allan 5 7/1/2010 00

AltaGas Ltd. Rights Deferred Share Unit (DSU)

Aarssen, Gregory Allan 5 7/1/2010 00


Aarssen, Gregory Allan 5 12/20/2018 56 15.48 1,760


Aarssen, Gregory Allan 5 12/20/2018 56 15.48 1,760


Best, Catherine May 4 12/20/2018 56 14.35 17,887 2,090

AltaGas Ltd. Rights Restricted Units (RU)

Best, Catherine May 4 12/17/2018 56 5,244 2,700

AltaGas Ltd. Options Bushfield, Corine Renae Knight

5 12/1/2016 00

AltaGas Ltd. Options Bushfield, Corine Renae Knight

5 12/17/2018 50 14.52 150,000 150,000

AltaGas Ltd. Rights Performance Units (PU)

Bushfield, Corine Renae Knight

5 12/17/2018 56 50,925 22,000


Calvert, Victoria Anne 4 12/20/2018 56 14.35 9,811 1,045


Calvert, Victoria Anne 4 12/17/2018 56 5,244 2,700

AltaGas Ltd. Common Shares Chapman, Adrian Phillip 7 7/6/2018 00 AltaGas Ltd. Subsidiary PUs Chapman, Adrian Phillip 7 7/6/2018 00 AltaGas Ltd. Subsidiary PUs Chapman, Adrian Phillip 7 12/17/2018 56 907,200 907,200 AltaGas Ltd. Subsidiary RUs Chapman, Adrian Phillip 7 7/6/2018 00 AltaGas Ltd. Subsidiary RUs Chapman, Adrian Phillip 7 12/17/2018 56 226,800 226,800 AltaGas Ltd. Common Shares Crawford, Randall Loy 4 12/10/2018 00 AltaGas Ltd. Options Crawford, Randall Loy 4 12/10/2018 00 AltaGas Ltd. Options Crawford, Randall Loy 4 12/17/2018 50 14.52 500,000 500,000 AltaGas Ltd. Rights Performance Units

(PU) Crawford, Randall Loy 4 12/10/2018 00


Crawford, Randall Loy 4 12/17/2018 56 163,000 163,000


Edgeworth, Allan Leslie 4 12/20/2018 56 14.35 8,940 1,045


Edgeworth, Allan Leslie 4 12/17/2018 56 5,244 2,700

AltaGas Ltd. Common Shares Fredrick Kaye, Dalena 5 12/10/2018 00 AltaGas Ltd. Options Fredrick Kaye, Dalena 5 12/10/2018 00 AltaGas Ltd. Options Fredrick Kaye, Dalena 5 12/17/2018 50 14.52 110,000 110,000 AltaGas Ltd. Rights Performance Units

(PU) Fredrick Kaye, Dalena 5 12/10/2018 00

Insider Reporting

January 3, 2019

(2019), 42 OSCB 105



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. AltaGas Ltd. Rights Performance Units

(PU) Fredrick Kaye, Dalena 5 12/17/2018 56 25,000 25,000


Gilbert, Daryl Harvey 4 12/17/2018 56 5,244 2,700

AltaGas Ltd. Options Grant, Bradley, Bertram 5 5/19/2015 00 AltaGas Ltd. Options Grant, Bradley, Bertram 5 12/17/2018 50 14.52 150,000 150,000 AltaGas Ltd. Rights Performance Units

(PU) Grant, Bradley, Bertram 5 12/17/2018 56 38,297 22,000


Hodgins, Robert Bruce 4 12/20/2018 56 14.35 11,440 1,045


Hodgins, Robert Bruce 4 12/17/2018 56 5,244 2,700


Johnston, Cynthia 4 12/20/2018 56 14.35 1,512 1,045


Johnston, Cynthia 4 7/25/2018 00


Johnston, Cynthia 4 12/17/2018 56 2,700 2,700

AltaGas Ltd. Common Shares KARKKAINEN, PENTTI OLAVI

4 7/25/2018 00

AltaGas Ltd. Common Shares KARKKAINEN, PENTTI OLAVI

4 12/17/2018 10 14 7,000 7,000


KARKKAINEN, PENTTI OLAVI

4 12/20/2018 56 14.35 1,512 1,045



4 7/25/2018 00



4 12/17/2018 56 2,700 2,700

AltaGas Ltd. Options Karl, Peter Lauren 5 7/28/2010 00 AltaGas Ltd. Options Karl, Peter Lauren 5 7/28/2010 00 AltaGas Ltd. Options Karl, Peter Lauren 5 12/17/2018 50 14.52 37,500 AltaGas Ltd. Options Karl, Peter Lauren 5 12/17/2018 50 14.52 37,500 AltaGas Ltd. Common Shares Knoll, Phillip R. 4, 5 11/1/2015 00 AltaGas Ltd. Common Shares Knoll, Phillip R. 4, 5 12/19/2018 10 13.97 1,500 1,500 AltaGas Ltd. Common Shares Knoll, Phillip R. 4, 5 12/17/2018 10 14.3 6,016 1,000 AltaGas Ltd. Common Shares Knoll, Phillip R. 4, 5 12/18/2018 10 13.74 7,516 1,500 AltaGas Ltd. Common Shares Knoll, Phillip R. 4, 5 12/17/2018 10 14.23 4,000 1,500 AltaGas Ltd. Common Shares Knoll, Phillip R. 4, 5 12/18/2018 10 13.81 5,000 1,000 AltaGas Ltd. Rights Deferred Share

Unit (DSU) McCallister, Terry Dwight 4 12/20/2018 56 14.35 2,268 1,567


McCallister, Terry Dwight 4 7/6/2018 00


McCallister, Terry Dwight 4 12/17/2018 56 2,700 2,700


McCrank, Michael Neil 4 12/20/2018 56 14.35 17,887 2,090


McCrank, Michael Neil 4 12/17/2018 56 5,244 2,700


O'Brien, John Dennis 7 12/17/2018 56 51,042 30,000


O'Brien, John Dennis 7 12/17/2018 56 8,000 8,000

AltaGas Ltd. Options Toone, Randy Warren 5 12/1/2016 00 AltaGas Ltd. Options Toone, Randy Warren 5 12/17/2018 50 14.52 150,000 150,000 AltaGas Ltd. Rights Performance Units

(PU) Toone, Randy Warren 5 12/17/2018 56 37,397 22,000

AltaGas Ltd. Subsidiary PUs Vincent Louis Jr., Ammann 7 7/6/2018 00 AltaGas Ltd. Subsidiary PUs Vincent Louis Jr., Ammann 7 12/17/2018 56 546,000 546,000 AltaGas Ltd. Subsidiary RUs Vincent Louis Jr., Ammann 7 7/6/2018 00 AltaGas Ltd. Subsidiary RUs Vincent Louis Jr., Ammann 7 12/17/2018 56 136,500 136,500 AltaGas Ltd. Options Watson, Timothy, William 5 3/16/2015 00 AltaGas Ltd. Options Watson, Timothy, William 5 12/17/2018 50 14.52 150,000 150,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 106



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. AltaGas Ltd. Rights Performance Units

(PU) Watson, Timothy, William 5 12/17/2018 56 60,074 30,000

Altiplano Metals Inc. Common Shares Williamson, John 3, 4 12/19/2018 10 0.14 1,996,571 68,500 Altius Minerals Corporation Common Shares Mifflin, Frederick James 4 12/20/2018 10 11.215 42,000 296 Altius Minerals Corporation Common Shares Mifflin, Frederick James 4 12/21/2018 10 10.953 44,000 2,000 Altius Minerals Corporation Common Shares Wells, Chad 5 12/21/2018 10 10.66 69,236 1,850 Alvopetro Energy Ltd. Options Fraser, Roderick Learoyd 4 12/16/2018 52 231,250 -85,700 Alvopetro Energy Ltd. Options Hatzinikolas, Andrea 5 12/16/2018 52 574,250 -300,000 Alvopetro Energy Ltd. Options Howard, Alison Leanne 5 12/16/2018 52 1,252,000 -300,000 Alvopetro Energy Ltd. Options McKINNON, KENNETH

RICHARD 4 12/16/2018 52 238,750 -90,597

Alvopetro Energy Ltd. Options Ruttan, Corey Christopher 4, 5 12/16/2018 52 2,020,000 -500,000 Alvopetro Energy Ltd. Options Talakshi, Firoz Karmali 4 12/16/2018 52 235,000 -88,149 Alvopetro Energy Ltd. Options WRIGHT, JOHN DAVID 4 12/16/2018 52 285,000 -107,738 Alvopetro Energy Ltd. Options Ytreland, Geir Kristian 4 12/16/2018 52 227,500 -83,252 Amarillo Gold Corporation Common Shares Raykov, Rostislav Christov 4 12/17/2018 10 0.235 2,442,214 5,000 Amarillo Gold Corporation Common Shares Raykov, Rostislav Christov 4 12/17/2018 10 0.24 2,446,214 4,000 Amarillo Gold Corporation Common Shares Raykov, Rostislav Christov 4 12/17/2018 10 0.245 2,450,714 4,500 Amarillo Gold Corporation Common Shares Raykov, Rostislav Christov 4 12/18/2018 10 0.26 2,530,214 79,500 American Core Sectors Dividend Fund

Trust Units American Core Sectors Dividend Fund

1 12/20/2018 38 11.506 3,987,527 2,500

American Hotel Income Properties REIT LP

Restricted Stock Lalani, Azim 5 12/14/2018 57 69,283 -3,374


Restricted Stock Lalani, Azim 5 12/14/2018 58 - Expiration of rights

65,936 -3,347


Restricted Stock Lalani, Azim 5 12/19/2018 58 - Expiration of rights

56,262 -9,674


Units Lalani, Azim 5 12/14/2018 57 79,329 3,374


Restricted Stock McAuley, Ian 5 12/14/2018 57 65,031 -2,581


Restricted Stock McAuley, Ian 5 12/14/2018 58 - Expiration of rights

62,470 -2,561


Units McAuley, Ian 5 12/14/2018 57 113,066 2,581


Units Murphy, William Michael 4 12/10/2018 10 4.937 2,000


Units Murphy, William Michael 4 12/10/2018 10 4.937 33,500 2,000


Units Murphy, William Michael 4 12/14/2018 10 4.721 34,500 500


Units O'Neill, John Christopher 5 12/20/2018 10 6.15 385,855 25,000


Restricted Stock O'Neill, Robert Francis 4, 5 12/14/2018 57 188,386 -296


Restricted Stock O'Neill, Robert Francis 4, 5 12/14/2018 58 - Expiration of rights

167,110 -21,276


Restricted Stock O'Neill, Robert Francis 4, 5 12/19/2018 58 - Expiration of rights

141,716 -25,394


Units O'Neill, Robert Francis 4, 5 12/14/2018 57 362,560 296


Units O'Neill, Robert Francis 4, 5 12/17/2018 10 6.243 403,953 41,393




Units O'Neill, Robert Francis 4, 5 12/20/2018 10 6.15 25,000


Units O'Neill, Robert Francis 4, 5 12/20/2018 10 6.15 25,000





Insider Reporting

January 3, 2019

(2019), 42 OSCB 107



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. American Hotel Income Properties REIT LP



Units O'Neill, Robert Francis 4, 5 12/19/2018 10 62499 27,800






Units van der Lee, Charles 4 12/7/2018 10 6.62 15,279 2,500


Units van der Lee, Charles 4 12/7/2018 10 6.62 3,558 2,500


Restricted Stock Yu, Anne 5 12/14/2018 57 17,384 -2,360


Restricted Stock Yu, Anne 5 12/14/2018 58 - Expiration of rights

15,050 -2,334


Units Yu, Anne 5 12/14/2018 57 4,322 2,360

American Manganese Inc. Common Shares Reaugh, Larry 4 12/12/2018 10 0.135 3,769,175 -47,500 Amerigo Resources Ltd Common Shares Toor, Nauman (Nick) 3 12/20/2018 10 0.8 24,527,900 100,000 Amerigo Resources Ltd Common Shares Toor, Nauman (Nick) 3 12/17/2018 10 0.86 2,551,719 -41,881 Aquila Resources Inc. Options Boushy, Andrew 5 12/17/2018 50 2,330,990 266,990 Aquila Resources Inc. Options Boushy, Andrew 5 12/17/2018 50 2,530,990 200,000 Aquila Resources Inc. Rights Restricted Share

Units Boushy, Andrew 5 12/17/2018 56 966,765 161,765

Aquila Resources Inc. Options Hildred, David Barrett 5 12/17/2018 50 9,150,728 563,228 Aquila Resources Inc. Options Hildred, David Barrett 5 12/17/2018 50 9,400,728 250,000 Aquila Resources Inc. Rights Restricted Share

Units Hildred, David Barrett 5 12/17/2018 56 3,441,250 341,250

Aquila Resources Inc. Options Lynott, Jeffrey Stephen 7 12/17/2018 50 400,000 150,000 Aquila Resources Inc. Options Malec, Stephanie Anne 5 12/17/2018 50 106,155 Aquila Resources Inc. Options Malec, Stephanie Anne 5 12/17/2018 50 106,155 Aquila Resources Inc. Options Malec, Stephanie Anne 5 12/17/2018 50 1,302,500 200,000 Aquila Resources Inc. Options Malec, Stephanie Anne 5 12/17/2018 50 1,405,655 103,155 Aquila Resources Inc. Rights Restricted Share

Units Malec, Stephanie Anne 5 12/17/2018 56 337,500 62,500

Aquila Resources Inc. Options Welch, Michael James 5 12/17/2018 50 1,476,942 226,942 Aquila Resources Inc. Options Welch, Michael James 5 12/17/2018 50 1,676,942 200,000 Aquila Resources Inc. Rights Restricted Share

Units Welch, Michael James 5 12/17/2018 56 887,500 137,500

Arbutus Biopharma Corporation

Common Shares McElhaugh, Michael John 5 12/11/2018 00 1,387,457


Common Shares McElhaugh, Michael John 5 12/11/2018 00 377,358


Options McElhaugh, Michael John 5 12/11/2018 00 66,268

ARC Resources Ltd. Common Shares Berrett, Ryan Victor 5 12/21/2018 10 8.2 8,417 3,145 ARC Resources Ltd. Common Shares Bibby, Kristen Jon 5 8/11/2014 00 ARC Resources Ltd. Common Shares Bibby, Kristen Jon 5 12/21/2018 10 8.3 2,500 2,500 ARC Resources Ltd. Common Shares Bibby, Kristen Jon 5 8/11/2014 00 ARC Resources Ltd. Common Shares Bibby, Kristen Jon 5 12/21/2018 10 8.3 2,500 2,500 ARC Resources Ltd. Common Shares Dyment, Fred J. 4 12/18/2018 10 7.99 151,582 1,300 ARC Resources Ltd. Common Shares Dyment, Fred J. 4 12/18/2018 10 7.99 152,182 600 ARC Resources Ltd. Common Shares Dyment, Fred J. 4 12/18/2018 10 8 167,982 15,800 ARC Resources Ltd. Common Shares Dyment, Fred J. 4 12/18/2018 10 7.99 171,782 3,800 ARC Resources Ltd. Common Shares Dyment, Fred J. 4 12/18/2018 10 7.98 187,282 15,500 ARC Resources Ltd. Common Shares Dyment, Fred J. 4 12/18/2018 10 7.99 190,282 3,000 ARC Resources Ltd. Common Shares Dyment, Fred J. 4 12/18/2018 10 7.99 200,282 10,000 Arctic Star Exploration Corp. Common Shares Power, Patrick Edward 4, 5 12/17/2018 10 0.055 5,910,862 -80,000 Arctic Star Exploration Corp. Common Shares Power, Patrick Edward 4, 5 12/18/2018 10 0.045 -140,000 Arctic Star Exploration Corp. Common Shares Power, Patrick Edward 4, 5 12/18/2018 10 0.05 5,871,862 -39,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 108



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Arctic Star Exploration Corp. Common Shares Power, Patrick Edward 4, 5 12/19/2018 10 0.05 6,022,862 151,000 Arctic Star Exploration Corp. Common Shares Power, Patrick Edward 4, 5 12/20/2018 10 0.045 4,522,862 -1,500,000 Arctic Star Exploration Corp. Common Shares Power, Patrick Edward 4, 5 12/21/2018 10 0.045 4,382,862 -140,000 ARHT Media Inc. (formerly known as Vast Exploration Inc.)

Common Shares OREILLY, LARRY 4, 5 2/15/2018 00 250,000

ARHT Media Inc. (formerly known as Vast Exploration Inc.)

Common Shares OREILLY, LARRY 4, 5 11/23/2018 16 0.09 1,916,667 1,666,667


Options OREILLY, LARRY 4, 5 2/15/2018 00


Options OREILLY, LARRY 4, 5 2/20/2018 50 0.74 1,125,000 1,125,000


Warrants OREILLY, LARRY 4, 5 2/15/2018 00 250,000


Warrants OREILLY, LARRY 4, 5 11/23/2018 16 0.09 1,916,667 1,666,667


Common Shares Steers, William 4 3/5/2018 00 125,000


Common Shares Steers, William 4 12/19/2018 16 0.09 1,791,667 1,666,667


Options Steers, William 4 3/5/2018 00 150,000


Warrants Steers, William 4 3/5/2018 00


Warrants Steers, William 4 3/5/2018 00 62,500


Warrants Steers, William 4 12/19/2018 16 0.09 1,729,167 1,666,667

Artis Real Estate Investment Trust

Preferred Shares Series A Artis Real Estate Investment Trust

1 2/15/2007 00



1 12/19/2018 38 20.627 1,000 1,000



1 12/20/2018 38 20.607 2,000 1,000



1 12/21/2018 38 20.268 3,000 1,000


Preferred Shares Series E Artis Real Estate Investment Trust

1 2/15/2007 00



1 12/19/2018 38 19.25 800 800



1 12/20/2018 38 19.181 1,800 1,000



1 12/21/2018 38 18.838 2,800 1,000


Preferred Shares Series G Artis Real Estate Investment Trust

1 2/15/2007 00



1 12/19/2018 38 19.8 800 800



1 12/20/2018 38 19.636 1,800 1,000



1 12/21/2018 38 19.542 2,800 1,000


Units Artis Real Estate Investment Trust

1 12/17/2018 38 9.5463 952,909 151,200



1 12/18/2018 38 9.2732 1,036,837 83,928

Insider Reporting

January 3, 2019

(2019), 42 OSCB 109



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Artis Real Estate Investment Trust


1 12/19/2018 38 9.2905 1,120,765 83,928



1 12/20/2018 38 9.122 1,204,693 83,928



1 12/21/2018 38 9.0262 1,288,621 83,928


Units Green, James 5 12/18/2018 10 9.31 87,000 3,000


Restricted Units Johnson, David Lyall 5 12/15/2018 56 9.53 11,357 2,520


Restricted Units Johnson, David Lyall 5 12/17/2018 59 9.25 9,939 -1,418


Restricted Units Martens, Armin 4, 5 12/14/2018 59 9.53 139,625 -19,345


Units Martens, Armin 4, 5 12/17/2018 10 9.4834 5,000


Units Martens, Armin 4, 5 12/17/2018 10 9.4834 335,633 5,000










Restricted Units Martens, Philip 5 12/15/2018 56 9.53 8,377 2,520


Units Rimer, Ronald Albert 4 12/18/2018 10 9.2847 20,000 10,000


Restricted Units Sherlock, Stephen Francis Patrick

5 12/15/2018 56 9.53 11,357 2,520


Restricted Units Wong, Dennis San 5 12/15/2018 56 9.53 11,842 2,520


Restricted Units Wong, Dennis San 5 12/17/2018 59 9.25 10,294 -1,548

Asian Television Network International Limited

Common Shares CHANDRASEKAR, SUBRAHMAN

4, 5 12/14/2018 10 0.14 16,104,678 100,000



4, 5 12/17/2018 10 0.14 16,154,678 50,000



4, 5 12/17/2018 10 0.135 16,191,678 37,000



4, 5 12/18/2018 10 0.135 16,204,678 13,000

Aston Bay Holdings Ltd. Common Shares Ullrich, Thomas David 4 12/14/2018 10 0.065 1,850,000 50,000 Athabasca Minerals Inc. Common Shares Beekhuizen, Robet James 5 6/19/2017 00 Athabasca Minerals Inc. Common Shares Beekhuizen, Robet James 5 6/19/2017 00 Athabasca Minerals Inc. Common Shares Beekhuizen, Robet James 5 12/17/2018 90 0.2 500,000 500,000 Athabasca Minerals Inc. Common Shares Beekhuizen, Robet James 5 12/17/2018 90 0.2 75,000 -500,000 Athabasca Minerals Inc. Warrants Beekhuizen, Robet James 5 6/19/2017 00 Athabasca Minerals Inc. Warrants Beekhuizen, Robet James 5 12/17/2018 90 0.35 250,000 250,000 Athabasca Minerals Inc. Warrants Beekhuizen, Robet James 5 12/17/2018 90 0.35 0 -250,000 Athabasca Minerals Inc. Common Shares Paulencu, Donald 4 12/21/2018 10 0.24 893,000 143,000 Athabasca Oil Corporation Common Shares Downey, Anne 4 12/14/2018 10 1.09 17,300 5,000 Atico Mining Corporation Common Shares Dutina, Igor 8 12/20/2018 10 0.24 100,278 13,000 Atlas Blockchain Group Inc. Options Stearman, Fred 4, 5 11/13/2018 38 900,000 -500,000 Atrium Mortgage Investment Corporation

Common Shares Scoffield, Jennifer Lynn 5 12/21/2018 10 12.74 4,566 500

ATS Automation Tooling Systems Inc.

Common Shares Martino, Michael E. 4 12/20/2018 10 14.05 17,675,375 100,000

ATS Automation Tooling Systems Inc.

Common Shares Martino, Michael E. 4 12/20/2018 10 13.852 17,825,375 150,000

Aurcana Corporation Warrants Huerta, Salvador 5 6/30/2013 55 6,250 -6,250 Aurcana Corporation Warrants Huerta, Salvador 5 12/7/2014 55 0 -6,250

Insider Reporting

January 3, 2019

(2019), 42 OSCB 110



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Aurinia Pharmaceuticals Inc. Common Shares Bourgeault, Dennis 5 12/18/2018 10 7.65 21,452 1,000 Aurinia Pharmaceuticals Inc. Common Shares Solomons, Neil 5 12/14/2018 54 2.14 405,599 3,500 Aurinia Pharmaceuticals Inc. Warrants Solomons, Neil 5 12/14/2018 37 3,500 -171,477 Aurinia Pharmaceuticals Inc. Warrants Solomons, Neil 5 12/14/2018 54 0 -3,500 AutoCanada Inc. Deferred share units Antony, Paul 4 12/15/2018 35 2,123 20 AutoCanada Inc. Deferred share units DesRosiers, Dennis

Stephan 4 12/15/2018 35 15,857 147

AutoCanada Inc. Deferred share units Green, Stephen 4 12/15/2018 35 4,349 40 AutoCanada Inc. Deferred share units James, Barry Lee 4 12/15/2018 35 7,427 69 AutoCanada Inc. Deferred share units Keller, Maryann Natalie 4 12/15/2018 35 22,529 209 AutoCanada Inc. Deferred share units Olmeta, Elias 4 12/15/2018 35 4,349 40 AutoCanada Inc. Restricted share units Oor, Erin Duncan 5 12/15/2018 35 4,414 41 Automotive Properties Real Estate Investment Trust

Trust Units Kalra, Andrew Atul 6, 5 12/18/2018 10 8.96 3,500 500

Automotive Properties Real Estate Investment Trust

Trust Units Lamb, Milton Donald 5 12/17/2018 10 9 104,500 2,500


Trust Units Lazier, Francis Stuart 4 12/18/2018 10 8.954 42,400 13,400


Trust Units Matthews, James Whitney 4, 6 12/17/2018 10 9.3 11,100 5,000

Auxly Cannabis Group Inc. Common Shares Rifici, Charles 4, 6, 5 12/14/2018 90 0 -6,082,908 Auxly Cannabis Group Inc. Common Shares Rifici, Charles 4, 6, 5 12/14/2018 90 14,312,908 6,082,908 Avesoro Resources Inc. Options Eyre, Geoffrey Peter 4, 5 7/15/2016 00 312,500 Avesoro Resources Inc. Options Eyre, Geoffrey Peter 4, 5 12/19/2018 50 1.53 437,500 125,000 Avesoro Resources Inc. Options Eyre, Geoffrey Peter 4, 5 12/20/2018 50 1.53 125,000 Avesoro Resources Inc. Options Martin, Jean-Guy 4 6/3/2011 00 104,500 Avesoro Resources Inc. Options Martin, Jean-Guy 4 12/19/2018 50 1.53 144,500 40,000 Avesoro Resources Inc. Options Netherway, David 4 2/1/2011 00 118,000 Avesoro Resources Inc. Options Netherway, David 4 12/19/2018 50 1.53 158,000 40,000 Avesoro Resources Inc. Options Owen, Loudon 4 5/7/2014 00 102,250 Avesoro Resources Inc. Options Owen, Loudon 4 12/19/2018 50 1.53 142,250 40,000 Avesoro Resources Inc. Options Umurhan, Serhan 4, 5 7/15/2016 00 362,000 Avesoro Resources Inc. Options Umurhan, Serhan 4, 5 12/19/2018 50 1.53 497,000 135,000 Azucar Minerals Ltd. (formerly Almadex Minerals Limited)

Stock Options McDonald, Douglas John 4 12/17/2018 52 0.83 310,000 -90,000

Azucar Minerals Ltd. (formerly Almadex Minerals Limited)

Stock Options McDonald, Douglas John 4 12/17/2018 50 0.39 400,000 90,000


Stock Options Poliquin, Morgan James 4, 5 12/17/2018 50 0.39 1,800,000 210,000


Stock Options Trieu, Korm 5 12/17/2018 50 0.39 400,000 30,000

B2Gold Corp. Common Shares Craig, Dale Alton 5 12/17/2018 51 2 45,189 30,000 B2Gold Corp. Common Shares Craig, Dale Alton 5 12/17/2018 10 3.6 15,189 -30,000 B2Gold Corp. Common Shares Craig, Dale Alton 5 12/18/2018 10 3.75 17,189 2,000 B2Gold Corp. Common Shares Craig, Dale Alton 5 12/21/2018 51 2 57,189 40,000 B2Gold Corp. Common Shares Craig, Dale Alton 5 12/21/2018 10 3.72 17,189 -40,000 B2Gold Corp. Options Stock Options Craig, Dale Alton 5 12/17/2018 51 2 958,600 -30,000 B2Gold Corp. Options Stock Options Craig, Dale Alton 5 12/21/2018 51 2 918,600 -40,000 B2Gold Corp. Common Shares Garagan, Thomas 5 12/14/2018 51 2 3,736,924 3,000 B2Gold Corp. Common Shares Garagan, Thomas 5 12/14/2018 10 3.51 3,733,924 -3,000 B2Gold Corp. Common Shares Garagan, Thomas 5 12/17/2018 51 2 3,833,924 100,000 B2Gold Corp. Common Shares Garagan, Thomas 5 12/17/2018 10 3.59 3,733,924 -100,000 B2Gold Corp. Common Shares Garagan, Thomas 5 12/19/2018 51 2 3,833,924 100,000 B2Gold Corp. Common Shares Garagan, Thomas 5 12/19/2018 10 3.75 3,733,924 -100,000 B2Gold Corp. Common Shares Garagan, Thomas 5 12/20/2018 51 2 3,833,924 100,000 B2Gold Corp. Common Shares Garagan, Thomas 5 12/20/2018 10 3.65 3,733,924 -100,000 B2Gold Corp. Common Shares Garagan, Thomas 5 12/21/2018 51 2 3,833,924 100,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 111



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. B2Gold Corp. Common Shares Garagan, Thomas 5 12/21/2018 10 3.73 3,733,924 -100,000 B2Gold Corp. Options Garagan, Thomas 5 12/14/2018 51 2 778,000 -3,000 B2Gold Corp. Options Garagan, Thomas 5 12/17/2018 51 2 678,000 -100,000 B2Gold Corp. Options Garagan, Thomas 5 12/19/2018 51 2 578,000 -100,000 B2Gold Corp. Options Garagan, Thomas 5 12/20/2018 51 2 478,000 -100,000 B2Gold Corp. Options Garagan, Thomas 5 12/21/2018 51 2 378,000 -100,000 B2Gold Corp. Common Shares Mackinnon, Hugh 5 12/21/2018 51 1.12 342,654 20,000 B2Gold Corp. Common Shares Mackinnon, Hugh 5 12/21/2018 10 3.61 322,654 -20,000 B2Gold Corp. Common Shares Mackinnon, Hugh 5 12/21/2018 51 2 332,654 10,000 B2Gold Corp. Common Shares Mackinnon, Hugh 5 12/21/2018 10 3.61 322,654 -10,000 B2Gold Corp. Options Mackinnon, Hugh 5 12/21/2018 51 1.12 605,000 -20,000 B2Gold Corp. Options Mackinnon, Hugh 5 12/21/2018 51 2 595,000 -10,000 BacTech Environmental Corporation

Common Shares Orr, Murray Ross 7 12/14/2018 10 0.025 6,108,827 5,000

Badger Daylighting Ltd. Common Shares Badger Daylighting Ltd. 1 12/14/2018 38 69,846 -174,615 Badger Daylighting Ltd. Common Shares Badger Daylighting Ltd. 1 12/17/2018 38 32.28 104,769 34,923 Badger Daylighting Ltd. Common Shares Badger Daylighting Ltd. 1 12/18/2018 38 31.45 139,692 34,923 Badger Daylighting Ltd. Common Shares Badger Daylighting Ltd. 1 12/19/2018 38 31.31 174,615 34,923 Badger Daylighting Ltd. Common Shares Badger Daylighting Ltd. 1 12/20/2018 38 31.5 209,538 34,923 Badger Daylighting Ltd. Common Shares Roane, Glen Dawson 4 12/18/2018 10 31.5 70,700 10,000 Badger Daylighting Ltd. Common Shares Roane, Glen Dawson 4 12/18/2018 10 30.85 70,800 100 Badger Daylighting Ltd. Common Shares Roane, Glen Dawson 4 12/19/2018 10 30.95 75,700 4,900 Ballard Power Systems Inc. Common Shares Sidhu, Sarbjot 5 12/1/2018 00 34,127 Ballard Power Systems Inc. Options Sidhu, Sarbjot 5 12/1/2018 00 155,000 Bank of Montreal Options Ares, Jean-Michel 5 12/17/2018 50 89.9 17,902 Bank of Montreal Options Ares, Jean-Michel 5 12/17/2018 50 89.9 118,470 17,902 Bank of Montreal Performance Share Units Ares, Jean-Michel 5 12/17/2018 56 98.55 16,200 Bank of Montreal Performance Share Units Ares, Jean-Michel 5 12/17/2018 56 98.55 43,711 16,200 Bank of Montreal Restricted Share Units Ares, Jean-Michel 5 12/17/2018 56 98.55 66,012 20,294 Bank of Montreal Options Barclay, Daniel 5 12/17/2018 50 89.9 17,381 Bank of Montreal Options Barclay, Daniel 5 12/17/2018 50 89.9 69,214 17,381 Bank of Montreal Restricted Share Units Barclay, Daniel 5 12/17/2018 56 98.55 26,319 Bank of Montreal Restricted Share Units Barclay, Daniel 5 12/17/2018 56 98.55 64,214 26,319 Bank of Montreal Options Casper, David Robert 5 12/17/2018 50 89.9 27,255 Bank of Montreal Options Casper, David Robert 5 12/17/2018 50 89.9 119,136 27,255 Bank of Montreal Performance Share Units Casper, David Robert 5 12/17/2018 56 98.55 24,812 Bank of Montreal Performance Share Units Casper, David Robert 5 12/17/2018 56 98.55 62,644 24,812 Bank of Montreal Options Cronin, Patrick 5 12/17/2018 50 89.9 68,132 Bank of Montreal Options Cronin, Patrick 5 12/17/2018 50 89.9 294,026 68,132 Bank of Montreal Performance Share Units Cronin, Patrick 5 12/17/2018 56 98.55 39,168 Bank of Montreal Performance Share Units Cronin, Patrick 5 12/17/2018 56 98.55 70,122 39,168 Bank of Montreal Common Shares Farmer, Ron 4 12/21/2018 10 87.92 4,000 1,000 Bank of Montreal Options Fish, Simon Adrian 5 12/17/2018 50 89.9 14,252 Bank of Montreal Options Fish, Simon Adrian 5 12/17/2018 50 89.9 150,241 14,252 Bank of Montreal Restricted Share Units Fish, Simon Adrian 5 12/17/2018 56 98.55 23,462 8,371 Bank of Montreal Options Flynn, Thomas Earl 7 12/17/2018 50 89.9 30,434 Bank of Montreal Options Flynn, Thomas Earl 7 12/17/2018 50 89.9 142,253 30,434 Bank of Montreal Performance Share Units Flynn, Thomas Earl 7 12/17/2018 56 98.55 17,506 Bank of Montreal Performance Share Units Flynn, Thomas Earl 7 12/17/2018 56 98.55 48,672 17,506 Bank of Montreal Common Shares Fowler, Cameron McAskile 5 12/10/2018 90 699 699 Bank of Montreal Common Shares Fowler, Cameron McAskile 5 12/20/2018 47 -669 Bank of Montreal Common Shares Fowler, Cameron McAskile 5 12/20/2018 47 0 -699 Bank of Montreal Common Shares Fowler, Cameron McAskile 5 12/10/2018 30 102 699 102 Bank of Montreal Common Shares Fowler, Cameron McAskile 5 12/10/2018 90 0 -699 Bank of Montreal Options Fowler, Cameron McAskile 5 12/17/2018 50 89.9 41,714 Bank of Montreal Options Fowler, Cameron McAskile 5 12/17/2018 50 89.9 122,300 41,714 Bank of Montreal Performance Share Units Fowler, Cameron McAskile 5 12/17/2018 56 98.55 24,353 Bank of Montreal Performance Share Units Fowler, Cameron McAskile 5 12/17/2018 56 98.55 63,273 24,353

Insider Reporting

January 3, 2019

(2019), 42 OSCB 112



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Bank of Montreal Options Johannson, Erminia 5 12/17/2018 50 89.9 11,124 Bank of Montreal Options Johannson, Erminia 5 12/17/2018 50 89.9 42,876 11,124 Bank of Montreal Performance Share Units Johannson, Erminia 5 2/1/2018 00 Bank of Montreal Performance Share Units Johannson, Erminia 5 12/17/2018 56 98.55 10,655 Bank of Montreal Performance Share Units Johannson, Erminia 5 12/17/2018 56 98.55 10,655 10,655 Bank of Montreal Options Ouellette, Gilles Gerard 5 12/17/2018 50 89.9 30,242 Bank of Montreal Options Ouellette, Gilles Gerard 5 12/17/2018 50 89.9 300,421 30,242 Bank of Montreal Performance Share Units Ouellette, Gilles Gerard 5 12/17/2018 56 98.55 18,011 Bank of Montreal Performance Share Units Ouellette, Gilles Gerard 5 12/17/2018 56 98.55 18,011 Bank of Montreal Performance Share Units Ouellette, Gilles Gerard 5 12/17/2018 56 98.55 51,035 18,011 Bank of Montreal Options Rajpal, Surjit 5 12/17/2018 50 89.9 25,407 Bank of Montreal Options Rajpal, Surjit 5 12/17/2018 50 89.9 100,033 25,407 Bank of Montreal Performance Share Units Rajpal, Surjit 5 12/17/2018 56 98.55 23,800 Bank of Montreal Performance Share Units Rajpal, Surjit 5 12/17/2018 56 98.55 63,868 23,800 Bank of Montreal Options Roche, Catherine Margaret 5 12/17/2018 50 89.9 12,514 Bank of Montreal Options Roche, Catherine Margaret 5 12/17/2018 50 89.9 27,410 12,514 Bank of Montreal Restricted Share Units Roche, Catherine Margaret 5 12/17/2018 56 98.55 19,897 7,560 Bank of Montreal Common Shares Rotenberg, Joanna Michelle 5 12/14/2018 47 1,317 -730 Bank of Montreal Options Rotenberg, Joanna Michelle 5 12/17/2018 50 89.9 28,504 Bank of Montreal Options Rotenberg, Joanna Michelle 5 12/17/2018 50 89.9 88,469 28,504 Bank of Montreal Performance Share Units Rotenberg, Joanna Michelle 5 12/17/2018 56 98.55 17,757 Bank of Montreal Performance Share Units Rotenberg, Joanna Michelle 5 12/17/2018 56 98.55 30,349 17,757 Bank of Montreal Common Shares Rudderham, Richard D. 5 12/20/2018 47 0 -377 Bank of Montreal Options Rudderham, Richard D. 5 12/17/2018 50 89.9 16,338 Bank of Montreal Options Rudderham, Richard D. 5 12/17/2018 50 89.9 131,364 16,338 Bank of Montreal Performance Share Units Rudderham, Richard D. 5 12/17/2018 56 98.55 9,538 Bank of Montreal Performance Share Units Rudderham, Richard D. 5 12/17/2018 56 98.55 26,729 9,538 Bank of Montreal Options Seabrook, Lucas R 5 12/17/2018 50 89.9 35,457 Bank of Montreal Options Seabrook, Lucas R 5 12/17/2018 50 89.9 195,741 35,457 Bank of Montreal Restricted Share Units Seabrook, Lucas R 5 12/17/2018 56 98.55 146,716 44,546 Bank of Montreal Common Shares Techar, Frank J. 5 12/14/2018 47 35,628 -2,290 Bank of Montreal Common Shares Techar, Frank J. 5 12/19/2018 47 35,515 -113 Bank of Montreal Common Shares Techar, Frank J. 5 12/20/2018 47 -113 Bank of Montreal Common Shares Techar, Frank J. 5 12/20/2018 47 -113 Bank of Montreal Options Techar, Frank J. 5 12/17/2018 50 89.9 34,014 Bank of Montreal Options Techar, Frank J. 5 12/17/2018 50 89.9 325,640 34,014 Bank of Montreal Restricted Share Units Techar, Frank J. 5 12/17/2018 56 98.55 58,616 36,319 Bank of Montreal Options Tennyson, Steven Lloyd 5 12/17/2018 50 89.9 20,857 Bank of Montreal Options Tennyson, Steven Lloyd 5 12/17/2018 50 89.9 103,753 20,857 Bank of Montreal Restricted Share Units Tennyson, Steven Lloyd 5 12/17/2018 56 98.55 26,804 12,177 Bank of Montreal Common Shares White, William Darryl 7, 5 11/1/2014 00 Bank of Montreal Common Shares White, William Darryl 7, 5 12/20/2018 51 60.11 20,263 20,263 Bank of Montreal Options White, William Darryl 7, 5 12/17/2018 50 89.9 80,559 Bank of Montreal Options White, William Darryl 7, 5 12/17/2018 50 89.9 266,329 80,559 Bank of Montreal Options White, William Darryl 7, 5 12/20/2018 51 60.11 246,066 -20,263 Bank of Montreal Performance Share Units White, William Darryl 7, 5 12/17/2018 56 98.55 45,726 Bank of Montreal Performance Share Units White, William Darryl 7, 5 12/17/2018 56 98.55 121,528 45,726 Bank of Nova Scotia, The Options Arellano, Ian 5 12/17/2018 50 72.28 42,702 19,164 Bank of Nova Scotia, The Options Arellano, Ian 5 12/18/2018 50 72.28 52,746 10,044 Bank of Nova Scotia, The Rights Performance Share

Units (PSU) Arellano, Ian 5 1/16/2018 56 82.22 49,547 17,332

Bank of Nova Scotia, The Rights Performance Share Units (PSU)

Arellano, Ian 5 11/30/2018 30 50,535 988


Arellano, Ian 5 11/30/2018 30 70.85 31,153 -19,382


Arellano, Ian 5 12/17/2018 56 70.85 41,711 10,558


Arellano, Ian 5 12/17/2018 56 70.85 47,243 5,532

Insider Reporting

January 3, 2019

(2019), 42 OSCB 113



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Bank of Nova Scotia, The Options Branion, Andrew 5 12/17/2018 50 72.28 84,152 18,446 Bank of Nova Scotia, The Rights Performance Share

Units (PSU) Branion, Andrew 5 11/30/2018 30 32,638 674


Branion, Andrew 5 11/30/2018 30 70.85 18,477 -14,161


Branion, Andrew 5 12/17/2018 56 70.85 28,639 10,162

Bank of Nova Scotia, The Options Deschamps, Ignacio 5 3/3/2016 00 Bank of Nova Scotia, The Options Deschamps, Ignacio 5 12/17/2018 50 72.28 65,588 65,588 Bank of Nova Scotia, The Rights Performance Share

Units (PSU) Deschamps, Ignacio 5 11/30/2018 30 70.85 76,236 -38,962


Deschamps, Ignacio 5 12/17/2018 56 70.85 112,369 36,133

Bank of Nova Scotia, The Common Shares Lawrence, Jason 5 12/17/2018 47 2,390 -150 Bank of Nova Scotia, The Options Lawrence, Jason 5 12/17/2018 50 72.28 46,504 20,188 Bank of Nova Scotia, The Rights Performance Share

Units (PSU) Lawrence, Jason 5 12/17/2018 56 70.85 20,224 11,122

Bank of Nova Scotia, The Options Mason, Barbara Frances 5 12/17/2018 50 72.28 33,614 Bank of Nova Scotia, The Options Mason, Barbara Frances 5 12/17/2018 50 72.28 326,474 33,614 Bank of Nova Scotia, The Rights Performance Share

Units (PSU) Mason, Barbara Frances 5 11/30/2018 30 57,344 1,161


Mason, Barbara Frances 5 11/30/2018 30 70.85 32,955 -24,389


Mason, Barbara Frances 5 12/17/2018 56 70.85 51,473 18,518

Bank of Nova Scotia, The Options Moore, Daniel 5 12/17/2018 50 72.28 218,620 30,232 Bank of Nova Scotia, The Rights Performance Share

Units (PSU) Moore, Daniel 5 11/30/2018 30 40,829 488


Moore, Daniel 5 11/30/2018 30 70.85 30,589 -10,240


Moore, Daniel 5 11/30/2018 30 30,846 257


Moore, Daniel 5 11/30/2018 30 70.85 25,449 -5,397


Moore, Daniel 5 12/17/2018 56 70.85 42,104 16,655

Bank of Nova Scotia, The Options Neate, James 5 12/17/2018 50 72.28 85,066 22,752 Bank of Nova Scotia, The Rights Performance Share

Units (PSU) Neate, James 5 12/17/2018 56 70.85 30,012 12,534

Bank of Nova Scotia, The Common Shares O'Sullivan, James Patrick 5 12/18/2018 47 57,104 -845 Bank of Nova Scotia, The Common Shares O'Sullivan, James Patrick 5 12/19/2018 47 56,819 -285 Bank of Nova Scotia, The Options O'Sullivan, James Patrick 5 12/17/2018 50 72.28 258,808 54,930 Bank of Nova Scotia, The Rights Performance Share

Units (PSU) O'Sullivan, James Patrick 5 11/30/2018 30 76,117 1,199


O'Sullivan, James Patrick 5 11/30/2018 30 70.85 50,942 -25,175


O'Sullivan, James Patrick 5 12/17/2018 56 70.85 81,203 30,261

Bank of Nova Scotia, The Options Porter, Brian J 4, 5 12/17/2018 50 72.28 890,704 153,724 Bank of Nova Scotia, The Rights Performance Share

Units (PSU) Porter, Brian J 4, 5 11/30/2018 30 248,483 4,870


Porter, Brian J 4, 5 11/30/2018 30 70.85 146,208 -102,275


Porter, Brian J 4, 5 12/17/2018 56 70.85 230,894 84,686

Bank of Nova Scotia, The Options Rees, Daniel Llewellyn 5 12/17/2018 50 72.28 98,020 24,186 Bank of Nova Scotia, The Rights Performance Share

Units (PSU) Rees, Daniel Llewellyn 5 11/30/2018 30 21,809 299


Rees, Daniel Llewellyn 5 11/30/2018 30 70.85 15,515 -6,294


Rees, Daniel Llewellyn 5 12/17/2018 56 70.85 28,839 13,324

Bank of Nova Scotia, The Options Viswanathan, Rajagopal 5 12/17/2018 50 72.28 50,872 10,248

Insider Reporting

January 3, 2019

(2019), 42 OSCB 114



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Bank of Nova Scotia, The Rights Performance Share

Units (PSU) Viswanathan, Rajagopal 5 11/30/2018 30 10,406 206


Viswanathan, Rajagopal 5 11/30/2018 30 70.85 6,079 -4,327


Viswanathan, Rajagopal 5 12/17/2018 56 70.85 11,725 5,646

Bank of Nova Scotia, The Options Zerbs, Michael 5 12/17/2018 50 72.28 88,102 30,130 Bank of Nova Scotia, The Rights Deferred Stock

Units (DSU) Zerbs, Michael 5 12/17/2018 56 83.09 20,632 5,295


Zerbs, Michael 5 11/30/2018 30 30,854 487


Zerbs, Michael 5 11/30/2018 30 70.85 20,627 -10,227


Zerbs, Michael 5 12/17/2018 56 70.85 37,225 16,598

Bannerman Resources Limited

Options Beevor, Ronald Hugh 4 7/27/2009 00


Options Beevor, Ronald Hugh 4 12/20/2018 50 2,365,300 2,365,300


Options Burvill, Ian Charles 4 12/20/2018 50 6,377,400 1,182,600


Rights Dalton, Robert John 5 12/20/2018 56 4,946,450 1,560,000


Rights Dalton, Robert John 5 12/20/2018 58 - Expiration of rights

4,870,263 -76,187


Rights Ewald, Werner Otto 5 12/20/2018 56 16,681,716 3,492,700


Rights Ewald, Werner Otto 5 12/20/2018 58 - Expiration of rights

16,541,156 -140,560


Options Jones, Clive Bruce 4 12/20/2018 50 7,458,700 1,182,600


Options Leech, Michael David 4 12/20/2018 50 5,705,900 1,866,900


Rights Munro, Brandon Mackay 5 12/20/2018 56 21,045,500 6,666,700


Options RCF Management LLC 4 11/15/2018 52 0 -1,809,800

Banyan Gold Corp. Options Burleton, Stephen 4 12/18/2018 50 0.05 525,000 75,000 Banyan Gold Corp. Options Christie, Tara 4 12/18/2018 50 0.05 2,400,000 500,000 Banyan Gold Corp. Options Gray, Paul Dunstan 8 12/18/2018 50 0.05 550,000 100,000 Banyan Gold Corp. Options Rutt, David 3, 4, 5 12/18/2018 50 0.05 503,350 150,000 Barkerville Gold Mines Ltd. Common Shares Coates, Bryan A. 6 12/18/2018 16 0.5 177,632 125,000 Barkerville Gold Mines Ltd. Common Shares Kutkevicius, John Joseph 4 12/18/2018 16 0.4 1,455,000 100,000 Barkerville Gold Mines Ltd. Common Shares OBRADOVICH, THOMAS

JOHN 4 12/18/2018 16 0.4 1,077,000 100,000

Barkerville Gold Mines Ltd. Common Shares OSISKO GOLD ROYALTIES LTD

3 12/18/2018 16 0.34 162,864,251 20,554,941

Barkerville Gold Mines Ltd. Common Shares Osisko Mining Inc. 3 12/18/2018 11 0.34 82,401,740 11,176,470 Barkerville Gold Mines Ltd. Common Shares Vézina, François 5 3/30/2017 00 Barkerville Gold Mines Ltd. Common Shares Vézina, François 5 12/18/2018 16 0.4 25,000 25,000 Barkerville Gold Mines Ltd. Common Shares Vizquerra, Jose 6 12/18/2018 10 0.34 2,078,843 1,942,000 Bayhorse Silver Inc. Common Shares O'Neill, Graeme 5 12/11/2018 11 0.1 1,036,358 -250,000 Bayhorse Silver Inc. Common Shares O'Neill, Graeme 5 12/14/2018 11 0.095 816,358 -220,000 Bayhorse Silver Inc. Common Shares O'Neill, Graeme 5 12/16/2018 11 0.1 -183,642 -1,000,000 Bayhorse Silver Inc. Convertible Debentures O'Neill, Graeme 5 12/19/2018 16 5000 $55 $55 Bayhorse Silver Inc. Warrants O'Neill, Graeme 5 12/19/2018 16 6,175,268 1,100,000 Baytex Energy Corp. Common Shares Lundberg, Chad 5 12/18/2018 57 3.93 46,807 4,760 Baytex Energy Corp. Common Shares Lundberg, Chad 5 12/18/2018 30 2.03 44,579 -2,228 Baytex Energy Corp. Restricted Awards (RRX) Lundberg, Chad 5 12/18/2018 57 3.93 29,920 -4,760 Baytex Energy Corp. Common Shares Pearce, David Lawrence 4 12/21/2018 10 2.03 100,000 100,000 BCE Inc. Common Shares Jamal, Rizwan 7 12/20/2018 51 39.73 25,631 20,227 BCE Inc. Common Shares Jamal, Rizwan 7 12/20/2018 10 54.8 5,404 -20,227 BCE Inc. Options Jamal, Rizwan 7 12/20/2018 51 39.73 306,734 -20,227

Insider Reporting

January 3, 2019

(2019), 42 OSCB 115



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Bear Creek Mining Corporation

Common Shares Antunez de Mayolo, Elsiario 5 2/1/2011 00

Bear Creek Mining Corporation

Common Shares Antunez de Mayolo, Elsiario 5 12/17/2018 10 1.27 25,000 25,000

Beleave Inc. (formerly Stream Ventures Inc.)

Common Shares Krasic, Bojan 4 6/9/2017 46 1.68 1,350,000 500,000


Common Shares Krasic, Bojan 4 1/18/2018 10 2.9 1,183,109 -45,000










Common Shares Krasic, Bojan 4 4/13/2018 46 1.96 2,480,109 1,000,000













BELLUS Health Inc. Common Shares BELLINI, FRANCESCO 4 12/18/2018 15 0.95 693,889 269,710 BELLUS Health Inc. Common Shares BERGER, FRANKLIN

MILAN 4 12/18/2018 15 0.95 1,452,108 263,158

BELLUS Health Inc. Common Shares Desjardins, Clarissa 4 9/27/2017 00 BELLUS Health Inc. Common Shares Desjardins, Clarissa 4 12/18/2018 15 0.95 52,632 52,632 BELLUS Health Inc. Common Shares Khuong, Chau 4, 6 12/18/2018 00 BELLUS Health Inc. Common Shares Orbimed Advisors LLC 3 12/18/2018 00 1,784,700 BELLUS Health Inc. Common Shares Orbimed Advisors LLC 3 12/18/2018 15 0.95 5,984,700 4,200,000 BELLUS Health Inc. Common Shares Orbimed Advisors LLC 3 12/18/2018 00 2,625,800 BELLUS Health Inc. Common Shares Orbimed Advisors LLC 3 12/18/2018 15 0.95 15,325,600 12,699,800 Benchmark Botanics Inc. Common Shares Dorin, George Graham 4 12/17/2018 10 0.32 50,000 -8,500 Benchmark Botanics Inc. Common Shares Dorin, George Graham 4 12/18/2018 10 0.32 48,500 -1,500 Benchmark Botanics Inc. Common Shares Dorin, George Graham 4 12/19/2018 10 0.33 43,500 -5,000 Benchmark Botanics Inc. Common Shares Dorin, George Graham 4 12/20/2018 10 0.33 38,500 -5,000 Bengal Energy Ltd. Common Shares Chakrabarty, Chayan 4, 5 12/18/2018 30 0.1147 985,109 16,706 Bengal Energy Ltd. Common Shares MacMahon, Gordon R 5 12/18/2018 30 0.1147 816,431 13,074 Bengal Energy Ltd. Common Shares Moorman, Matthew Joseph 5 12/18/2018 30 0.1147 176,161 13,074 Big Rock Brewery Inc. Common Shares Noone, Patrick Donnell 4 12/14/2018 10 4.47 1,589,900 3,500 Big Rock Brewery Inc. Common Shares Noone, Patrick Donnell 4 12/17/2018 10 4.46 1,591,900 2,000 BioSyent Inc. Common Shares - Options Goehrum, Rene Christopher 3, 4, 5 12/21/2018 51 4.45 330,784 8,375 BioSyent Inc. Common Shares - Options Goehrum, Rene Christopher 3, 4, 5 12/21/2018 10 7.8 322,509 -8,275 BioSyent Inc. Common Shares - Options Goehrum, Rene Christopher 3, 4, 5 12/21/2018 10 7.81 322,409 -100 Birchcliff Energy Ltd. Common Shares Carlsen, Christopher

Andrew 5 12/18/2018 10 2.84 23,525 2,100

Birchcliff Energy Ltd. Common Shares Carlsen, Christopher Andrew

5 12/20/2018 10 2.78 30,225 6,700

Birchcliff Energy Ltd. Common Shares Gerlach, Debra 4 12/18/2018 10 2.8 25,000 5,000 Birchcliff Energy Ltd. Common Shares Surbey, James William 4 12/14/2018 10 3 196,600 15,000 Birchcliff Energy Ltd. Common Shares Surbey, James William 4 12/14/2018 10 2.99 211,600 15,000 Birchcliff Energy Ltd. Common Shares Surbey, James William 4 12/14/2018 10 2.98 221,600 10,000 Birchcliff Energy Ltd. Common Shares Surbey, James William 4 12/14/2018 10 2.97 226,600 5,000 Birchcliff Energy Ltd. Common Shares Surbey, James William 4 12/14/2018 10 2.96 231,600 5,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 116



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Birchcliff Energy Ltd. Common Shares Surbey, James William 4 12/20/2018 10 2.82 475,900 10,000 Birchcliff Energy Ltd. Common Shares Surbey, James William 4 12/20/2018 10 2.78 485,900 10,000 Bird Construction Inc. MTIP (Phantom Shares) Bergman, J. Paul 5 12/20/2018 35 11,954 65 Bird Construction Inc. Deferred Share Units Bird, John Richard 4 12/20/2018 35 5,299 30 Bird Construction Inc. MTIP (Phantom Shares) Boyd, Ian Jeffrey 4, 5 12/20/2018 35 19,431 105 Bird Construction Inc. Deferred Share Units Brooks, Karyn Anne 4 12/20/2018 35 18,228 103 Bird Construction Inc. MTIP (Phantom Shares) CAZA, Charles Joseph 5 12/20/2018 35 7,364 40 Bird Construction Inc. Deferred Share Units Charette, Paul Alphonse 4 12/20/2018 35 9,111 51 Bird Construction Inc. Deferred Share Units Doyle, Donald Gregory 4 12/20/2018 35 59,026 333 Bird Construction Inc. Deferred Share Units DuPont, Bonnie Dianne

Rose 4 12/20/2018 35 44,639 251

Bird Construction Inc. MTIP (Phantom Shares) GINGRICH, WAYNE RICHARD

5 12/20/2018 35 11,454 62

Bird Construction Inc. Deferred Share Units Messier, Luc Jean-Francois 4 12/20/2018 35 20,276 115 Bird Construction Inc. Deferred Share Units Munkley, Ronald David 4 12/20/2018 35 47,330 266 Bird Construction Inc. Deferred Share Units Raboud, Paul Robert 4 12/20/2018 35 4,704 26 Bird Construction Inc. MTIP (Phantom Shares) ROYER, GILLES GERALD 5 12/20/2018 35 23,100 125 Bird Construction Inc. Deferred Share Units Thorsteinson, Arni Clayton 4 12/20/2018 35 49,117 276 Black Diamond Group Limited

Common Shares Haynes, Trevor 4, 5 12/18/2018 10 2.1 2,430,866 3,269

Black Diamond Group Limited





Common Shares Kernaghan, Edward James 3 12/18/2018 10 2.05 6,281,200 6,900


Common Shares Kernaghan, Edward James 3 12/18/2018 10 2.04 6,281,300 100












Common Shares Kernaghan, Edward James 3 12/18/2018 10 2 6,321,500 11,800

























Insider Reporting

January 3, 2019

(2019), 42 OSCB 117



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Black Diamond Group Limited



































Common Shares Klukas, Harry Henry 5 12/20/2018 10 1.97 148,017 -5,400

BlackBerry Limited (formerly Research In Motion Limited)

Common Shares Fairfax Financial Holdings Limited

3 11/13/2013 00



3 12/17/2018 90 7.6 1,838,100 1,838,100



3 11/13/2013 00



3 12/21/2018 90 7.1 3,943,661 3,943,661



3 12/21/2018 90 7.1 2,079,839 -3,943,661



3 12/17/2018 90 7.6 0 -1,838,100


Debentures 3.75% Convertible Unsecured due November 13, 2020

Fairfax Financial Holdings Limited

3 12/19/2018 90 105.53 $0 ($35,119,000)




3 11/13/2013 00




3 12/19/2018 90 $149,733,000 $149,733,000




3 12/19/2018 90 105.53 $35,119,000




3 12/19/2018 90 105.53 $35,119,000




3 12/19/2018 90 105.53 $184,852,000 $35,119,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 118



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. BlackBerry Limited (formerly Research In Motion Limited)



3 12/19/2018 90 $0 ($149,733,000)

Blackline Safety Corp. Common Shares DAK Capital Inc. 3 12/18/2018 10 4.9858 11,935,064 5,000 Blackline Safety Corp. Common Shares DAK Capital Inc. 3 12/18/2018 10 4.998 11,936,064 1,000 Blackline Safety Corp. Common Shares DAK Capital Inc. 3 12/19/2018 10 5 11,948,464 12,400 BlackPearl Resources Inc. Common Shares Cook, Donald Wayne 5 12/14/2018 57 9,561,299 325,000 BlackPearl Resources Inc. Common Shares Cook, Donald Wayne 5 12/14/2018 51 9,758,899 197,600 BlackPearl Resources Inc. Common Shares Cook, Donald Wayne 5 12/14/2018 22 0 -9,758,899 BlackPearl Resources Inc. Options Cook, Donald Wayne 5 12/14/2018 51 1,802,400 -197,600 BlackPearl Resources Inc. Options Cook, Donald Wayne 5 12/14/2018 52 0 -1,802,400 BlackPearl Resources Inc. Rights Restricted Share

Units Cook, Donald Wayne 5 12/14/2018 57 0 -325,000

BlackPearl Resources Inc. Common Shares Craig, John Hunter 4 12/14/2018 57 330,000 100,000 BlackPearl Resources Inc. Common Shares Craig, John Hunter 4 12/14/2018 11 388,515 58,515 BlackPearl Resources Inc. Common Shares Craig, John Hunter 4 12/14/2018 22 0 -388,515 BlackPearl Resources Inc. Options Craig, John Hunter 4 12/14/2018 38 0 -550,000 BlackPearl Resources Inc. Rights Restricted Share

Units Craig, John Hunter 4 12/14/2018 57 0 -100,000

BlackPearl Resources Inc. Common Shares Edgar, Brian Douglas 4 12/14/2018 57 863,900 52,000 BlackPearl Resources Inc. Common Shares Edgar, Brian Douglas 4 12/14/2018 51 908,373 44,473 BlackPearl Resources Inc. Common Shares Edgar, Brian Douglas 4 12/14/2018 22 0 -908,373 BlackPearl Resources Inc. Options Edgar, Brian Douglas 4 12/14/2018 51 505,527 -44,473 BlackPearl Resources Inc. Options Edgar, Brian Douglas 4 12/14/2018 52 0 -505,527 BlackPearl Resources Inc. Rights Restricted Share

Units Edgar, Brian Douglas 4 12/14/2018 57 0 -100,000

BlackPearl Resources Inc. Common Shares Festival, John Larry 4, 5 12/14/2018 57 10,157,799 325,000 BlackPearl Resources Inc. Common Shares Festival, John Larry 4, 5 12/14/2018 51 10,355,399 197,600 BlackPearl Resources Inc. Common Shares Festival, John Larry 4, 5 12/14/2018 22 0 -10,355,399 BlackPearl Resources Inc. Common Shares Festival, John Larry 4, 5 12/14/2018 22 0 -177,900 BlackPearl Resources Inc. Options Festival, John Larry 4, 5 12/14/2018 51 1,802,400 -197,600 BlackPearl Resources Inc. Options Festival, John Larry 4, 5 12/14/2018 52 0 -1,802,400 BlackPearl Resources Inc. Rights Restricted Share

Units Festival, John Larry 4, 5 12/14/2018 57 0 -325,000

BlackPearl Resources Inc. Common Shares Hogue, Chris W. 5 12/14/2018 57 5,642,799 169,000 BlackPearl Resources Inc. Common Shares Hogue, Chris W. 5 12/14/2018 51 5,792,972 150,173 BlackPearl Resources Inc. Common Shares Hogue, Chris W. 5 12/14/2018 22 0 -5,792,972 BlackPearl Resources Inc. Options Hogue, Chris W. 5 12/14/2018 51 1,849,827 -150,173 BlackPearl Resources Inc. Options Hogue, Chris W. 5 12/14/2018 52 0 -1,849,827 BlackPearl Resources Inc. Rights Restricted Share

Units Hogue, Chris W. 5 12/14/2018 57 0 -325,000

BlackPearl Resources Inc. Common Shares Hruska, Joanne Angela 4 12/14/2018 57 145,600 50,000 BlackPearl Resources Inc. Common Shares Hruska, Joanne Angela 4 12/14/2018 22 0 -145,600 BlackPearl Resources Inc. Rights Restricted Share

Units Hruska, Joanne Angela 4 12/14/2018 54 -50,000

BlackPearl Resources Inc. Rights Restricted Share Units

Hruska, Joanne Angela 4 12/14/2018 57 0 -50,000

BlackPearl Resources Inc. Common Shares Lorito Holdings S.à.r.l. 3 12/14/2018 36 0 -13,736,443 BlackPearl Resources Inc. Common Shares Luhowy, Victor M. 4 12/14/2018 57 221,401 52,000 BlackPearl Resources Inc. Common Shares Luhowy, Victor M. 4 12/14/2018 51 265,874 44,473 BlackPearl Resources Inc. Common Shares Luhowy, Victor M. 4 12/14/2018 22 0 -265,874 BlackPearl Resources Inc. Options Luhowy, Victor M. 4 12/14/2018 51 505,527 -44,473 BlackPearl Resources Inc. Options Luhowy, Victor M. 4 12/14/2018 52 0 -505,527 BlackPearl Resources Inc. Rights Restricted Share

Units Luhowy, Victor M. 4 12/14/2018 57 0 -100,000

BlackPearl Resources Inc. Common Shares SOBEL, EDWARD 5 12/14/2018 57 325,000 BlackPearl Resources Inc. Common Shares SOBEL, EDWARD 5 12/14/2018 57 1,169,000 169,000 BlackPearl Resources Inc. Common Shares SOBEL, EDWARD 5 12/14/2018 51 1,319,173 150,173 BlackPearl Resources Inc. Common Shares SOBEL, EDWARD 5 12/14/2018 22 -1,475,173 BlackPearl Resources Inc. Common Shares SOBEL, EDWARD 5 12/14/2018 22 0 -1,319,173

Insider Reporting

January 3, 2019

(2019), 42 OSCB 119



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. BlackPearl Resources Inc. Common Shares SOBEL, EDWARD 5 12/14/2018 22 0 -6,693,899 BlackPearl Resources Inc. Options SOBEL, EDWARD 5 12/14/2018 51 1,849,827 -150,173 BlackPearl Resources Inc. Options SOBEL, EDWARD 5 12/14/2018 52 0 -1,849,827 BlackPearl Resources Inc. Rights Restricted Share

Units SOBEL, EDWARD 5 12/14/2018 57 0 -325,000

BlackPearl Resources Inc. Common Shares Zebra Holdings and Investments S.à.r.l.

3 12/14/2018 36 0 -26,482,542

Block One Capital Inc. Common Shares Thillairajah, Sothi 5 2/1/2018 00 BLOCKCHAIN HOLDINGS LTD.

Common Shares Gardner, Jeremy 4 12/21/2018 46 0.5 280,682 36,820

BLOCKCHAIN HOLDINGS LTD.

Common Shares Kallinikos, Gregory 4 4/9/2018 00


Common Shares Kallinikos, Gregory 4 12/21/2018 46 0.5 36,820 36,820


Common Shares Lloyd, Wayne 4, 5 4/9/2018 00


Common Shares Lloyd, Wayne 4, 5 12/21/2018 46 0.5 80,000 80,000

Blockchain Power Trust (formerly Transeastern Power Trust)

Matching Units Huxley, John M.H. 4 12/15/2018 30 56,689 -7,062

Blockchain Power Trust (formerly Transeastern Power Trust)

Trust Units Huxley, John M.H. 4 12/15/2018 30 294,760 7,062

BNK Petroleum Inc. Options Johnson, Gary 5 12/10/2018 52 1.74 625,000 -228,000 BNK Petroleum Inc. Options Nicholson, Ford 4 12/10/2018 52 1.74 1,090,000 -333,000 BNK Petroleum Inc. Options Regener, Wolf 4, 5 12/10/2018 52 1.74 1,165,000 -333,000 BNK Petroleum Inc. Options Warshauer, Steven Michael 5 12/10/2018 52 1.74 435,000 -37,000 Bonterra Energy Corp. Common Shares Fink, George Frederick 3, 4, 5 12/17/2018 10 6.2407 3,497,799 20,000 Bonterra Energy Corp. Common Shares Fink, George Frederick 3, 4, 5 12/18/2018 10 6.1311 3,507,799 10,000 Bonterra Energy Corp. Common Shares Fink, George Frederick 3, 4, 5 12/20/2018 10 6.2184 3,517,799 10,000 Boston Pizza Royalties Income Fund

Units Boston Pizza Royalties Income Fund

1 12/14/2018 38 14.988 98,300 1,100

Boston Pizza Royalties Income Fund

Units Holm, Jordan 5 12/14/2018 10 14.85 5,050 400


Units Holm, Jordan 5 12/21/2018 10 13.99 5,450 400


Units Merrell, David L. 4 12/19/2018 10 14.894 1,350 1,250


Units Treliving, Walter James 6 1/3/2003 00 2,000


Units Treliving, Walter James 6 4/16/2015 10 22.1 4,000 2,000





BQE Water Inc. Common Shares Fleming, Christopher Andrew

4 12/14/2018 11 0.06 1,660,058 1,540,933

BQE Water Inc. Convertible Debentures Fleming, Christopher Andrew

4 12/14/2018 36 $0 ($86,000)

BQE Water Inc. Common Shares Gleeson, Peter 4 12/14/2018 36 0.06 4,445,569 2,866,850 BQE Water Inc. Convertible Debentures Gleeson, Peter 4 12/14/2018 36 $0 ($160,000) BQE Water Inc. Loan to Company Gleeson, Peter 4 11/30/2018 38 $0 ($40,000) BQE Water Inc. Common Shares Henderson, Robert Duncan 4 12/14/2018 00 BQE Water Inc. Common Shares Henderson, Robert Duncan 4 12/14/2018 10 0.06 333,333 333,333 BQE Water Inc. Common Shares hubbard, richard 3 12/14/2018 36 0.06 20,645,910 7,953,250 BQE Water Inc. Convertible Debentures hubbard, richard 3 12/14/2018 36 $0 ($300,000) BQE Water Inc. Common Shares Kratochvil, David 5 12/14/2018 36 0.06 1,312,550 1,262,550 BQE Water Inc. Convertible Debentures Kratochvil, David 5 12/14/2018 36 0.06 $1,262,550 BQE Water Inc. Convertible Debentures Kratochvil, David 5 12/14/2018 36 $0 ($50,000) BQE Water Inc. Loan to Company Kratochvil, David 5 11/30/2018 11 $0 ($25,000) BQE Water Inc. Convertible Debentures Pelletier, Clement A 4 12/14/2018 38 $0 ($300,000)

Insider Reporting

January 3, 2019

(2019), 42 OSCB 120



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. BQE Water Inc. Common Shares Tingley, Hall 3 12/14/2018 36 0.06 8,549,848 6,666,666 BQE Water Inc. Convertible Debentures Tingley, Hall 3 12/14/2018 36 $0 ($300,000) BQE Water Inc. Common Shares Wong, Heman 5 9/1/2018 00 BQE Water Inc. Common Shares Wong, Heman 5 12/14/2018 11 0.06 166,700 166,700 BQE Water Inc. Loan to Company Wong, Heman 5 11/30/2018 38 $0 ($10,000) BRAMPTON BRICK LIMITED

Subordinate Voting Shares - Class A

Brampton Brick Limited 1 12/13/2018 38 0 -7,000

BRAMPTON BRICK LIMITED

Options Grant, Peter David 4 12/14/2018 51 4.99 2,500


Options Grant, Peter David 4 12/14/2018 51 4.99 -2,500


Options Grant, Peter David 4 12/14/2018 51 4.99 -2,500

Braveheart Resources Inc. Common Shares Berzins, Ian Martin 4, 5 12/17/2018 10 0.0884 1,387,500 16,000 Braveheart Resources Inc. Common Shares Berzins, Ian Martin 4, 5 12/17/2018 10 0.09 1,389,500 2,000 Briko Energy Corp. Common Shares de Freitas, Timothy 4 12/20/2018 00 Briko Energy Corp. Common Shares de Freitas, Timothy 4 12/20/2018 16 116,638 116,638 Briko Energy Corp. Warrants de Freitas, Timothy 4 12/20/2018 00 Briko Energy Corp. Warrants de Freitas, Timothy 4 12/20/2018 16 52,000 52,000 Briko Energy Corp. Warrants Expiry June 28,

2019 de Freitas, Timothy 4 12/20/2018 00

Briko Energy Corp. Warrants Expiry June 28, 2019

de Freitas, Timothy 4 12/20/2018 16 116,638 116,638

Briko Energy Corp. Warrants Guinan, William Charles 5 12/20/2018 00 Briko Energy Corp. Warrants Guinan, William Charles 5 12/20/2018 16 46,667 46,667 Briko Energy Corp. Warrants Expiry June 28,

2019 Guinan, William Charles 5 12/20/2018 00


Guinan, William Charles 5 12/20/2018 16 57,798 57,798

Brixton Metals Corporation Common Shares Ball, Ian 4 12/18/2018 16 0.17 185,650 17,650 Brixton Metals Corporation Options Ball, Ian 4 12/17/2018 50 575,000 240,000 Brixton Metals Corporation Options Ball, Ian 4 12/18/2018 50 240,000 Brixton Metals Corporation Options Hering, Carl William 4 12/17/2018 50 840,000 240,000 Brixton Metals Corporation Options Posescu, Sorin 5 12/17/2018 50 0.15 1,240,000 240,000 Brixton Metals Corporation Common Shares Thompson, Gary Robert 6 12/18/2018 11 0.15 2,055,584 89,000 Brixton Metals Corporation Options Thompson, Gary Robert 6 12/17/2018 50 0.15 2,530,000 480,000 Brookfield Asset Management Inc.

Preferred Shares Cass A Series 18

Brookfield Asset Management Inc.

1 12/13/2018 38 19.89 1,107 1,107




1 12/14/2018 38 19.639 2,214 1,107




1 12/14/2018 38 1,107 -1,107


Preferred Shares Class A Series 13


1 12/13/2018 38 13.87 1,901 1,901




1 12/13/2018 38 0 -1,901




1 12/13/2018 38 19.625 1,232 1,232




1 12/13/2018 38 0 -1,232




1 12/14/2018 38 19.617 1,232 1,232




1 12/14/2018 38 0 -1,232




1 12/18/2018 38 19.46 1,232 1,232




1 12/18/2018 38 0 -1,232




1 12/13/2018 38 13.883 1,483 1,483




1 12/13/2018 38 0 -1,483

Insider Reporting

January 3, 2019

(2019), 42 OSCB 121



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Brookfield Asset Management Inc.



1 12/14/2018 38 13.54 1,483 1,483




1 12/14/2018 38 0 -1,483




1 12/13/2018 38 16.946 1,358 1,358




1 12/13/2018 38 0 -1,358




1 12/14/2018 38 17.191 1,358 1,358




1 12/14/2018 38 0 -1,358




1 12/13/2018 38 16.9 1,000 1,000




1 12/13/2018 38 0 -1,000




1 12/14/2018 38 17.342 1,000 1,000




1 12/14/2018 38 0 -1,000




1 12/13/2018 38 16.921 3,168 1,584




1 12/13/2018 38 1,584 -1,584




1 12/14/2018 38 17.191 3,168 1,584




1 12/14/2018 38 1,584 -1,584




1 12/13/2018 38 15.713 1,710 1,710




1 12/13/2018 38 0 -1,710




1 12/14/2018 38 15.445 1,710 1,710




1 12/14/2018 38 0 -1,710




1 12/13/2018 38 20.278 2,184 2,184




1 12/13/2018 38 0 -2,184




1 12/14/2018 38 21.79 2,184 2,184




1 12/14/2018 38 0 -2,184




1 12/13/2018 38 21.497 3,239 3,239




1 12/13/2018 38 0 -3,239




1 12/14/2018 38 22.009 3,239 3,239




1 12/14/2018 38 0 -3,239




1 12/13/2018 38 19.215 1,271 1,271




1 12/13/2018 38 0 -1,271




1 12/14/2018 38 19.879 1,271 1,271




1 12/14/2018 38 0 -1,271




1 12/13/2018 38 20.12 1,199 1,199




1 12/13/2018 38 0 -1,199




1 12/14/2018 38 20.043 1,199 1,199

Insider Reporting

January 3, 2019

(2019), 42 OSCB 122



Acquired/ Disposed




1 12/14/2018 38 0 -1,199




1 12/13/2018 38 20.5 1,644 1,644




1 12/13/2018 38 0 -1,644




1 12/14/2018 38 20.6 1,644 1,644




1 12/14/2018 38 0 -1,644




1 12/13/2018 38 19.288 1,132 1,132




1 12/13/2018 38 0 -1,132




1 12/14/2018 38 18.711 1,132 1,132




1 12/14/2018 38 0 -1,132




1 12/13/2018 38 13.691 818 818




1 12/13/2018 38 0 -818




1 12/14/2018 38 13.33 818 818




1 12/14/2018 38 0 -818




1 12/13/2018 38 19.904 2,085 2,085




1 12/13/2018 38 0 -2,085




1 12/14/2018 38 20.125 2,085 2,085




1 12/14/2018 38 0 -2,085




1 12/13/2018 38 20.529 1,400 1,400




1 12/13/2018 48 - Acquisition by inheritance or disposition by bequest

0 -1,400




1 12/14/2018 38 20.461 1,400 1,400




1 12/14/2018 38 0 -1,400




1 12/13/2018 38 25.453 1,746 1,746




1 12/13/2018 38 0 -1,746




1 12/14/2018 38 25.652 1,746 1,746




1 12/14/2018 38 0 -1,746




1 12/13/2018 38 25.043 2,183 2,183




1 12/13/2018 38 0 -2,183




1 12/14/2018 38 25.2 2,183 2,183




1 12/14/2018 38 0 -2,183




1 12/13/2018 38 24.718 3,123 3,123




1 12/13/2018 38 0 -3,123




1 12/14/2018 38 24.756 3,123 3,123

Insider Reporting

January 3, 2019

(2019), 42 OSCB 123



Acquired/ Disposed




1 12/14/2018 38 0 -3,123




1 12/14/2018 38 20.25 1,000 1,000




1 12/14/2018 38 0 -1,000




1 12/13/2018 38 19.52 1,067 1,067




1 12/13/2018 38 0 -1,067


Common Shares Class A Limited Voting

Lawson, Brian 6, 5 12/19/2018 11 54.12 808,871 -14,000



Lawson, Brian 6, 5 12/19/2018 11 54.12 871,900 14,000

Brookfield Business Partners L.P.

Limited Partnership Units Hamill, David John 4 12/17/2018 30 35.28 6,328 124

BSM Technologies Inc. Common Shares De Jong, Louis Anthony 5 12/21/2018 10 0.69 206,319 50,000 BSM Technologies Inc. Options Donnelly, Matthew Kevin

Joseph 5 12/21/2018 50 175,000 150,000

BSM Technologies Inc. Restricted Share Units Donnelly, Matthew Kevin Joseph

5 12/21/2018 56 65,300 20,300

BSM Technologies Inc. Deferred Share Units Edmison, John Kelly 4 12/21/2018 56 126,587 20,290 BSM Technologies Inc. Deferred Share Units Gutman, Andrew 4 12/21/2018 56 128,041 12,681 BSM Technologies Inc. Deferred Share Units Maw, Frank 4 12/21/2018 56 0.69 119,103 14,167 BSM Technologies Inc. Deferred Share Units Metcalfe, Leonard Harold 4 12/21/2018 56 134,383 20,290 BSM Technologies Inc. Deferred Share Units Monahan, Gregory Rush 4 12/21/2018 56 96,404 13,315 BSM Technologies Inc. Deferred Share Units Sgro, David Daniel 4 12/21/2018 56 102,060 15,489 BSM Technologies Inc. Restricted Share Units Swanson, Douglas 5 12/21/2018 56 161,915 71,800 Buffalo Coal Corp. (formerly Forbes & Manhattan Coal Corp.)

Options RCF Management (Toronto) Inc

4 6/1/2018 52 0 -446,349

Buhler Industries Inc. Common Shares Buhler, John 3, 4 12/17/2018 10 3.6 3,797,786 400 Buhler Industries Inc. Common Shares Buhler, John 3, 4 12/20/2018 10 3.6 3,798,686 900 Buhler Industries Inc. Common Shares Buhler, John 3, 4 12/21/2018 10 3.6 3,798,986 300 Builders Capital Mortgage Corp.

Non-Voting Shares Class A

Loutitt, Sandy Luke 3, 4 12/21/2018 10 9.85 7,795 300

BURCON NUTRASCIENCE CORPORATION

Common Shares Tergesen, Johann Franz 4, 5, 2 12/17/2018 10 0.165 522,419 20,000











Calfrac Well Services Ltd. Common Shares Brown, James Michael 5 12/18/2018 10 1.55 18,310 750 Cameco Corporation Rights Restricted Share

Units Breker, Jeremy Andrew 5 12/14/2018 56 3,295 16

Cameco Corporation Rights Deferred Share Units

Bruce, Ian 4 12/14/2018 56 47,548 240


Camus, Daniel Robert 4 12/14/2018 56 76,362 385


Clappison, John 4 12/14/2018 56 53,344 269

Cameco Corporation Rights Performance Share Units

Clark, Dale Robert 5 12/14/2018 56 30,123 63


Deranger, Donald Hearl Felix

4 12/14/2018 56 57,726 291


Doerksen, David Fehr 5 12/14/2018 56 29,061 61

Insider Reporting

January 3, 2019

(2019), 42 OSCB 124



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Cameco Corporation Rights Deferred Share

Units Gignac, Catherine 4 12/14/2018 56 34,459 174


Girard, Rachelle Spring 5 12/14/2018 56 9,055 45


Gitzel, Tim Scott 5 12/14/2018 56 475,611 961


Gorsalitz, Caroline Marie 5 12/14/2018 56 28,991 61


Gowans, James Kitchener 4 12/14/2018 56 63,760 322


Huntington, Jonathan 5 12/14/2018 56 9,055 45


Isaac, Grant Everett 5 12/14/2018 56 179,713 363


Jackson, Kathryn 4 12/14/2018 56 16,739 84


Kayne, Donald Blair 4 12/14/2018 56 46,349 234


Leach, Mark Sean 5 12/14/2018 56 26,806 56


McHardy, Scott 5 12/14/2018 56 26,806 56


McLellan, A. Anne 4 12/14/2018 56 47,437 239


McNally-Power, Lynn Debra 5 12/14/2018 56 26,806 56


Mooney, Ronald Liam 5 12/14/2018 56 28,991 61


Orr, Kelly Lovern 5 12/14/2018 56 13,507 67


Quinn, Sean Anthony 5 12/14/2018 56 112,427 227


Reilly, Brian Arthur 5 12/14/2018 56 61,682 262


Shockey, Heidi Lynn 5 12/14/2018 56 27,801 61


Thorne, Andrew Miles 5 12/14/2018 56 31,767 67


Wong, Alice Louise 5 12/14/2018 56 116,285 235

Canaccord Genuity Acquisition Corp.

Units Class A Restricted Voting Units

CG Investments Inc. 3 8/1/2017 15 3 1,802,550



CG Investments Inc. 3 8/1/2017 15 3 1,802,550



CG Investments Inc. 3 8/1/2017 15 3 824,400



CG Investments Inc. 3 8/1/2017 15 3 707,720 707,720

Canaccord Genuity Growth Corp.

Class A Restricted Voting Units

CG Investments Inc. 3 9/14/2018 00



CG Investments Inc. 3 9/14/2018 00










Canacol Energy Ltd. Common Shares Canacol Energy Ltd. 1 11/30/2018 38 0 -33,600 Canacol Energy Ltd. Common Shares Canacol Energy Ltd. 1 12/11/2018 38 4.15 32,700 2,500 Canacol Energy Ltd. Common Shares Canacol Energy Ltd. 1 12/12/2018 38 4.13 46,700 14,000 Canacol Energy Ltd. Common Shares Canacol Energy Ltd. 1 12/13/2018 38 4.1 58,700 12,000 Canacol Energy Ltd. Common Shares Canacol Energy Ltd. 1 12/14/2018 38 4.11 64,800 6,100 Canacol Energy Ltd. Common Shares Canacol Energy Ltd. 1 12/17/2018 38 4.1 79,800 15,000 Canacol Energy Ltd. Common Shares Canacol Energy Ltd. 1 12/19/2018 38 4 110,926 31,126

Insider Reporting

January 3, 2019

(2019), 42 OSCB 125



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Canacol Energy Ltd. Common Shares Canacol Energy Ltd. 1 12/20/2018 38 3.9 142,052 31,126 Canadian Apartment Properties Real Estate Investment Trust

Trust Units Stein, Michael 4, 5 12/18/2018 47 45.41 542,405 -5,000

Canadian Imperial Bank of Commerce

Common Shares SHARMAN, SANDY 5 12/17/2018 51 90.52 625 620


Common Shares SHARMAN, SANDY 5 12/17/2018 47 106.57 5 -620


Options SHARMAN, SANDY 5 12/17/2018 51 49,006 -620

Canadian Metals Inc. Options Renaud, Pierre 4 11/5/2018 00 Canadian Metals Inc. Options Renaud, Pierre 4 11/5/2018 00 Canadian Metals Inc. Options Renaud, Pierre 4 11/5/2018 00 59,186 Canadian National Railway Company

Common Shares Finn, Sean 5 12/19/2018 10 102.09 82 -60

Canadian National Railway Company

Common Shares Finn, Sean 5 12/19/2018 10 102.06 16,602 -150






Common Shares Finn, Sean 5 12/19/2018 10 102.06 82 -60

Canadian Orebodies Inc. Common Shares Cudney, Robert Douglas 3 12/13/2018 10 0.22 9,509,250 10,000 Canadian Orebodies Inc. Common Shares Cudney, Robert Douglas 3 12/18/2018 10 0.2187 9,524,250 15,000 Canadian Pacific Railway Limited

Common Shares Paull, Matthew 4 12/19/2018 10 180.7 3,000 2,000

Canadian Spirit Resources Inc.

Common Shares Dyck, Jeffrey Earl 4 12/3/2018 57 0.08 642,642

Canadian Spirit Resources Inc.

Common Shares Dyck, Jeffrey Earl 4 12/3/2018 57 0.08 2,752,176 668,842

Canadian Tire Corporation, Limited



1 12/17/2018 38 141.27 45,000 45,000




1 12/17/2018 38 0 -45,000




1 12/18/2018 38 143.23 45,000 45,000




1 12/18/2018 38 0 -45,000




1 12/19/2018 38 142.68 45,000 45,000




1 12/19/2018 38 0 -45,000




1 12/20/2018 38 142.68 45,000




1 12/20/2018 38 141.65 45,000 45,000




1 12/20/2018 38 0 -45,000




1 12/21/2018 38 142.32 45,000 45,000




1 12/21/2018 38 0 -45,000

Canadian Western Bank Rights Deferred Share Units

Bellstedt, Albrecht Wilhelm Albert

4 12/17/2018 56 26.284 13,749 475


Bibby, Andrew John 4 12/17/2018 56 26.284 9,029 475

Canadian Western Bank Common Shares Boles, Niall 5 12/13/2018 10 26.3 1,500 500 Canadian Western Bank Common Shares Boles, Niall 5 12/20/2018 10 25.05 2,000 500 Canadian Western Bank Common Shares Cudjoe, Himabindu 5 12/10/2018 00 Canadian Western Bank Options Cudjoe, Himabindu 5 12/10/2018 00 Canadian Western Bank Rights Performance Share

Units Cudjoe, Himabindu 5 12/10/2018 00

Canadian Western Bank Rights Restricted Share Units

Cudjoe, Himabindu 5 12/10/2018 00

Insider Reporting

January 3, 2019

(2019), 42 OSCB 126



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Canadian Western Bank Rights Deferred Share

Units Hohol, Linda Margaret Owerri

4 12/17/2018 56 26.284 11,417 475


Manning, Robert Adrian 4 12/17/2018 56 26.284 20,172 951


Morgan-Silvester, Sarah Alyson

4 12/17/2018 56 26.284 11,264 475

Canadian Western Bank Common Shares Mulligan, Margaret Jean 4 12/17/2018 90 -1,008 Canadian Western Bank Common Shares Mulligan, Margaret Jean 4 12/17/2018 90 -1,008 Canadian Western Bank Common Shares Mulligan, Margaret Jean 4 12/17/2018 90 5,392 -1,008 Canadian Western Bank Common Shares Mulligan, Margaret Jean 4 12/17/2018 90 3,608 1,008 Canadian Western Bank Rights Deferred Share

Units Mulligan, Margaret Jean 4 12/17/2018 56 26.284 4,846 1,426


Phillips, Robert L. 4 12/17/2018 56 26.284 18,215 951


Protti, Raymond Joseph 4 12/17/2018 56 26.284 14,715 642


Reid, Ian MacNevin 4 12/17/2018 56 26.284 21,917 689


Riley, Sanford 4 12/17/2018 56 26.284 21,896 951

Canadian Western Bank Common Shares Rowe, Alan Macdonald 4 12/17/2018 10 25.84 23,000 1,000 Canadian Western Bank Rights Deferred Share

Units Rowe, Alan Macdonald 4 12/17/2018 56 26.284 28,444 1,070

Canadian Western Bank Common Shares Stephen, Allen David 5 12/18/2018 10 25.65 11,277 220 Cannabis Strategies Acquisition Corp.

Subordinate Voting Shares (Class A Restricted Voting Shares)

Schenker, Curtis 3 12/19/2018 10 10.527 56,850 2,500

Cannabis Strategies Acquisition Corp.


Schenker, Curtis 3 12/19/2018 10 10.527 52,500 2,500



Schenker, Curtis 3 12/13/2018 10 10.961 230,000 6,900



Schenker, Curtis 3 12/19/2018 10 10.276 235,000 5,000

Cannabix Technologies Inc Common Shares Loree, Bryan 4, 5 12/17/2018 54 0.2 2,775,000 500,000 Cannabix Technologies Inc Warrants Loree, Bryan 4, 5 12/17/2018 54 0.2 0 -500,000 Cannabix Technologies Inc Common Shares Mlait, Ravinder 4 12/16/2018 11 2,633,500 250,000 Cannabix Technologies Inc Warrants Mlait, Ravinder 4 12/16/2018 54 0 -250,000 CannaRoyalty Corp. dba Origin House

Common Shares Harris, Robert Paul 4 12/12/2018 10 6.516 61,667 -5,000

CannaRoyalty Corp. dba Origin House








Canoe EIT Income Fund Trust Units Canoe EIT Income Fund 1 12/14/2018 38 5,020,878 -802,586 Canopy Growth Corporation Options Krahn, Reinhold 5 12/1/2018 00 250,000 Canso Select Opportunities Corporation

Multiple Voting Shares Class A

Burns, Brenda Ellen 4 12/12/2018 10 2.66 508 1

Canso Select Opportunities Corporation







Subordinate Voting Shares Class B








Insider Reporting

January 3, 2019

(2019), 42 OSCB 127



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Canso Select Opportunities Corporation


Canso Partners II Fund 3 12/12/2018 10 2.66 890,231 3,000









Canso Partners II Fund 3 12/20/2018 10 2.7 894,731 500















Carney, Brian 5 12/12/2018 10 2.66 6,355 22



Carney, Brian 5 12/13/2018 10 2.65 6,368 13



Carney, Brian 5 12/17/2018 10 2.6909 6,383 15



Carney, Brian 5 12/20/2018 10 2.7 6,387 4



Carney, Brian 5 12/12/2018 10 2.55 84 14



Carney, Brian 5 12/13/2018 10 2.5533 101 17



Carney, Brian 5 12/17/2018 10 2.4211 207 106



Carney, Brian 5 12/21/2018 10 2.35 214 7



Carswell, Kim Maria 7 12/12/2018 10 2.66 13,059 44












Carswell, Kim Maria 7 12/12/2018 10 2.55 173 29












GRIP Investments Limited 3 12/12/2018 10 2.66 713,402 2,404









GRIP Investments Limited 3 12/20/2018 10 2.7 717,008 400












GRIP Investments Limited 3 12/21/2018 10 2.35 24,041 801



Hicks, Timothy John 7 12/12/2018 10 2.66 6,355 22

Insider Reporting

January 3, 2019

(2019), 42 OSCB 128



Acquired/ Disposed












Hicks, Timothy John 7 12/12/2018 10 2.55 84 14












Mason-Wood, Heather Elizabeth

7 12/12/2018 10 2.66 12,710 43




7 12/13/2018 10 2.65 12,735 25




7 12/17/2018 10 2.6909 12,767 32




7 12/20/2018 10 2.7 12,774 7




7 12/12/2018 10 2.55 168 28




7 12/13/2018 10 2.5533 203 35




7 12/17/2018 10 2.4211 414 211




7 12/21/2018 10 2.35 428 14



Mudie, Gail Roberta 7 12/12/2018 10 2.66 25,420 86












Mudie, Gail Roberta 7 12/12/2018 10 2.55 337 57






Mudie, Gail Roberta 7 12/17/2018 10 2.4211 423



Mudie, Gail Roberta 7 12/17/2018 10 2.4211 423









Sit, Elizabeth 7 12/12/2018 10 2.66 508 1



Sit, Elizabeth 7 12/13/2018 10 2.65 509 1



Sit, Elizabeth 7 12/17/2018 10 2.6909 511 2



Sit, Elizabeth 7 12/12/2018 10 2.55 7 1



Sit, Elizabeth 7 12/13/2018 10 2.5533 8 1



Sit, Elizabeth 7 12/17/2018 10 2.4211 17 9



Usher-Jones, Brian Richard 7 12/12/2018 10 2.66 7,626 26




Insider Reporting

January 3, 2019

(2019), 42 OSCB 129



Acquired/ Disposed









Usher-Jones, Brian Richard 7 12/12/2018 10 2.55 101 17










CanWel Building Materials Group Ltd.

Common Shares Doman, Amar 4 12/14/2018 10 4.4071 13,315,370 70,000


Common Shares Doman, Amar 4 12/14/2018 10 4.37 13,575,370 260,000


Common Shares Doman, Rupinder (Rob) Singh

5 12/17/2018 10 4.31 26,332 7,500

Capital Power Corporation Common Shares Chisholm, Burness Kathryn 5 12/17/2018 51 24.27 34,626 21,886 Capital Power Corporation Common Shares Chisholm, Burness Kathryn 5 12/17/2018 10 27.903 12,740 -21,886 Capital Power Corporation Options Chisholm, Burness Kathryn 5 12/17/2018 51 24.27 335,328 -21,886 Capstone Mining Corp. Common Shares Grm Investments Ltd. 3 12/21/2018 10 0.5563 74,194,661 2,650,000 Capstone Mining Corp. Common Shares Zimmer, Richard Norman 4 12/14/2018 10 0.5 35,069 8,000 Capstone Mining Corp. Common Shares Zimmer, Richard Norman 4 12/14/2018 10 0.51 77,069 42,000 Cardinal Energy Ltd. Common Shares Brussa, John Albert 4 12/14/2018 10 2.27 1,220,270 4,650 Cardinal Energy Ltd. Common Shares Brussa, John Albert 4 12/18/2018 10 2.01 1,261,270 41,000 Cardinal Energy Ltd. Common Shares Ratushny, M. Scott 4, 5 12/18/2018 10 1.95 205,000 5,000 Cardinal Energy Ltd. Common Shares Ratushny, M. Scott 4, 5 12/19/2018 10 1.95 210,000 5,000 Cardinal Energy Ltd. Common Shares Ratushny, M. Scott 4, 5 12/17/2018 10 2.15 25,000 5,000 Cardiol Therapeutics Inc. Common Shares (Class

A) Bolton, Anthony Ernest 5 1/19/2017 00 1,200,000

Cardiol Therapeutics Inc. Options Bolton, Anthony Ernest 5 1/19/2017 00 Cardiol Therapeutics Inc. Common Shares (Class

A) Brown, Deborah 4 8/20/2018 00

Cardiol Therapeutics Inc. Options Brown, Deborah 4 8/20/2018 00 60,000 Cardiol Therapeutics Inc. Common Shares (Class

A) Chalmers, Iain 4 8/21/2018 00

Cardiol Therapeutics Inc. Options Chalmers, Iain 4 8/21/2018 00 60,000 Cardiol Therapeutics Inc. Common Shares (Class

A) Elsley, David 4, 5 1/19/2017 00 3,000,000

Cardiol Therapeutics Inc. Options PEKOS, PETER 4 12/15/2017 00 60,000 Cardiol Therapeutics Inc. Common Shares (Class

A) Waddick, Christopher James

5 8/16/2018 00 100,000

Cardiol Therapeutics Inc. Options Waddick, Christopher James

5 8/16/2018 00 200,000

Caribbean Utilities Company, Ltd.

Common Shares Class A Ordinary Shares

Dilbert, Jennifer Pearl 4 12/17/2018 30 12.33 1,203 15



Ebanks, Sheree 4 12/17/2018 30 12.33 1,154 12



Ebanks, Sheree 4 12/17/2018 30 12.33 935 6



Powell, Eddinton M. 4 12/17/2018 30 12.33 810 10



Ritch, David E. 4 12/17/2018 30 12.33 332 4



Ritch, David E. 4 12/17/2018 30 12.33 3,399 47



Thomson, Peter A. 4 12/17/2018 30 12.33 4,099 56



Thomson, Peter A. 4 12/17/2018 30 12.33 5,096 69



Thomson, Peter A. 4 12/17/2018 30 12.33 5,390 74

Insider Reporting

January 3, 2019

(2019), 42 OSCB 130



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Caribbean Utilities Company, Ltd.


Tibbetts, Sacha Nikolai 5 12/17/2018 30 12.33 19,404 271



Watler, David 5 12/17/2018 30 12.33 6,430 105



Watler, David 5 12/17/2018 30 12.33 1,251 17



Watler, David 5 12/17/2018 30 12.33 432 5

Cartier Iron Corporation (Formerly Northfield Metals Inc.)

Common Shares Champion Iron Mines Limited (formerly Champion Minerals Inc.)

3 9/19/2018 16 0.08 14,644,971 3,125,000

Cartier Iron Corporation (Formerly Northfield Metals Inc.)

Warrants Champion Iron Mines Limited (formerly Champion Minerals Inc.)

3 9/19/2018 16 0.12 6,213,235 3,125,000

Carube Copper Corp. (formerly Miocene Resources Limited)

Common Shares Manini, Anthony 4 12/12/2018 11 0.05 3,977,180 232,180

Carube Copper Corp. (formerly Miocene Resources Limited)

Common Shares Manini, Anthony 4 12/12/2018 11 0.05 3,135,319 285,319

Cascades Inc. Common Shares Cascades inc. 1 12/20/2018 38 11.27 34,000 34,000 Cascades Inc. Common Shares Cascades inc. 1 12/20/2018 38 11.27 0 -34,000 Cascades Inc. Equity Swap - Long

Position 556 000 actions Cascades inc. 1 5/25/2003 00

Cascades Inc. Equity Swap - Long Position 556 000 actions

Cascades inc. 1 12/20/2018 70 12.15 1 1

Cascades Inc. Common Shares Sellyn, Laurence G. 4 12/19/2018 10 11.627 30,000 2,000 CCL Industries Inc. Non-Voting Shares Class

B Birkner, Gunther Johann 7 6/24/2014 10 105 22,036 -2,000

CCL Industries Inc. Non-Voting Shares Class B

Birkner, Gunther Johann 7 7/10/2014 10 105 14,036 -8,000


Birkner, Gunther Johann 7 12/18/2015 10 224.88 21,578 -1,600


Birkner, Gunther Johann 7 5/10/2017 10 309.65 9,142 -12,436


Birkner, Gunther Johann 7 6/5/2017 37 132,712


Birkner, Gunther Johann 7 6/5/2017 37 45,710 36,568

Cenovus Energy Inc. Common Shares Pourbaix, Alex 4, 5 12/20/2018 10 9.1 617,531 108,000 Cenovus Energy Inc. Common Shares Sandhar, Karamjit Singh 5 12/20/2018 10 9.3062 4,629 2,149 Century Global Commodities Corporation (formerly known as Century Iron Mines Corporation)

Common Shares Chim, Sandy Chun Kwan 4, 6, 7, 5 12/20/2018 10 0.17 2,724,900 6,000

Cequence Energy Ltd. Warrants with an exercise price of $2.00, expiring September 13, 2022

Archibald, Donald 4, 5 7/30/2009 00


Archibald, Donald 4, 5 12/17/2018 11 176,780 176,780

Cequence Energy Ltd. Common Shares Crone, Howard James 4, 5 12/18/2018 10 0.62 0 -390 Cequence Energy Ltd. Warrants with an exercise

price of $2.00, expiring September 13, 2022

Crone, Howard James 4, 5 7/30/2009 00


Crone, Howard James 4, 5 12/17/2018 11 176,780 176,780

CERRO DE PASCO RESOURCES INC. (formerly Genius Properties Ltd.)

Common Shares Alpha Capital Anstalt 3 12/21/2018 16 0.25 58,150,923 600,000


Warrants Alpha Capital Anstalt 3 12/21/2018 16 1,033,333 600,000


Common Shares Booth, John Geoffrey 4 12/21/2018 16 0.25 720,000 20,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 131



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. CERRO DE PASCO RESOURCES INC. (formerly Genius Properties Ltd.)

Warrants Booth, John Geoffrey 4 12/21/2018 16 195,000 20,000


Common Shares Gordaldo Ltd. 3 12/21/2018 16 0.25 36,429,296 20,000


Warrants Gordaldo Ltd. 3 10/5/2018 00


Warrants Gordaldo Ltd. 3 12/21/2018 16 20,000 20,000


Common Shares Goulet, Guy 4, 5 12/18/2018 10 0.287 3,075,044 8,000




Warrants Goulet, Guy 4, 5 12/21/2018 16 620,001 20,000

CGI Group Inc. Subordinate Voting Shares Classe A

Groupe CGI inc. 1 12/3/2018 38 84.663 289,100 105,000


Groupe CGI inc. 1 12/3/2018 38 195,000 -94,100


Groupe CGI inc. 1 12/4/2018 38 84.665 285,000 90,000


Groupe CGI inc. 1 12/4/2018 38 195,000 -90,000


Groupe CGI inc. 1 12/5/2018 38 85 208,300 13,300


Groupe CGI inc. 1 12/5/2018 38 103,300 -105,000


Groupe CGI inc. 1 12/6/2018 38 84.566 228,300 125,000


Groupe CGI inc. 1 12/6/2018 38 138,300 -90,000


Groupe CGI inc. 1 12/7/2018 38 83.953 283,000 144,700


Groupe CGI inc. 1 12/7/2018 38 269,700 -13,300


Groupe CGI inc. 1 12/10/2018 38 83.573 391,300 121,600


Groupe CGI inc. 1 12/10/2018 38 266,300 -125,000


Groupe CGI inc. 1 12/11/2018 38 84.765 396,300 130,000


Groupe CGI inc. 1 12/11/2018 38 251,600 -144,700


Groupe CGI inc. 1 12/12/2018 38 85.8 323,500 71,900


Groupe CGI inc. 1 12/12/2018 38 201,900 -121,600


Groupe CGI inc. 1 12/13/2018 38 84.49 326,900 125,000


Groupe CGI inc. 1 12/13/2018 38 196,900 -130,000


Groupe CGI inc. 1 12/14/2018 38 84.562 346,900 150,000


Groupe CGI inc. 1 12/14/2018 38 275,000 -71,900

Champion Iron Limited Common Shares Ordinary Shares (as per Australian securities law)

Devalia, Pradipkumar 5 6/23/2017 51 0.5 150,000 150,000

Champion Iron Limited Common Shares Ordinary Shares (as per Australian securities law)

Marcotte, Michael 5 12/17/2018 00 17,700

Insider Reporting

January 3, 2019

(2019), 42 OSCB 132



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Champion Iron Limited Common Shares Ordinary

Shares (as per Australian securities law)

Marcotte, Michael 5 12/21/2018 10 0.995 22,700 5,000

Chinook Energy Inc. Common Shares Vrataric, Walter 5 12/18/2018 10 0.155 197,500 30,000 Choice Properties Real Estate Investment Trust

Trust Units Wasti, Rashid 7 12/20/2018 10 11.795 18,000 1,000

CI Financial Corp. Restricted Share Unit Anderson, Peter W. 4, 5 12/17/2018 30 3,913 CI Financial Corp. Restricted Share Unit Anderson, Peter W. 4, 5 12/17/2018 30 106,114 3,913 CI Financial Corp. Common Shares Blair, Lorraine P. 7 12/17/2018 57 22,209 2,975 CI Financial Corp. Common Shares Blair, Lorraine P. 7 12/17/2018 10 17.171 20,610 -1,599 CI Financial Corp. Common Shares Blair, Lorraine P. 7 12/19/2018 10 17.397 18,110 -2,500 CI Financial Corp. Restricted Share Unit Blair, Lorraine P. 7 12/17/2018 30 286 CI Financial Corp. Restricted Share Unit Blair, Lorraine P. 7 12/17/2018 30 7,579 286 CI Financial Corp. Restricted Share Unit Blair, Lorraine P. 7 12/17/2018 57 4,604 -2,975 CI Financial Corp. Common Shares Donald, Steven J. 5 12/17/2018 57 32,990 5,129 CI Financial Corp. Common Shares Donald, Steven J. 5 12/17/2018 10 17.171 30,237 -2,753 CI Financial Corp. Restricted Share Unit Donald, Steven J. 5 12/17/2018 30 33,490 1,296 CI Financial Corp. Restricted Share Unit Donald, Steven J. 5 12/17/2018 57 28,361 -5,129 CI Financial Corp. Common Shares Glaab, Peter W. 7 12/17/2018 57 5,548 2,855 CI Financial Corp. Common Shares Glaab, Peter W. 7 12/17/2018 10 17.171 4,013 -1,535 CI Financial Corp. Restricted Share Unit Glaab, Peter W. 7 12/17/2018 30 7,011 266 CI Financial Corp. Restricted Share Unit Glaab, Peter W. 7 12/17/2018 57 4,156 -2,855 CI Financial Corp. Common Shares Gramegna, Mike 7 12/17/2018 57 73,860 3,102 CI Financial Corp. Common Shares Gramegna, Mike 7 12/17/2018 10 17.171 72,193 -1,667 CI Financial Corp. Restricted Share Unit Gramegna, Mike 7 12/17/2018 30 7,724 294 CI Financial Corp. Restricted Share Unit Gramegna, Mike 7 12/17/2018 57 4,622 -3,102 CI Financial Corp. Common Shares Holland, William Thomas 4 12/17/2018 57 238,697 4,974 CI Financial Corp. Common Shares Holland, William Thomas 4 12/17/2018 10 17.171 236,027 -2,670 CI Financial Corp. Restricted Share Unit Holland, William Thomas 4 12/17/2018 30 9,946 402 CI Financial Corp. Restricted Share Unit Holland, William Thomas 4 12/17/2018 57 4,972 -4,974 CI Financial Corp. Common Shares Iannicca, Fabio 7 12/17/2018 57 27,267 2,630 CI Financial Corp. Common Shares Iannicca, Fabio 7 12/17/2018 10 17.171 25,853 -1,414 CI Financial Corp. Restricted Share Unit Iannicca, Fabio 7 12/17/2018 30 6,669 252 CI Financial Corp. Restricted Share Unit Iannicca, Fabio 7 12/17/2018 57 4,039 -2,630 CI Financial Corp. Common Shares Jamieson, Douglas J.R. 5 12/17/2018 57 3107 63,107 3,107 CI Financial Corp. Common Shares Jamieson, Douglas J.R. 5 12/17/2018 10 17.171 61,438 -1,669 CI Financial Corp. Restricted Share Unit Jamieson, Douglas J.R. 5 12/17/2018 30 19,748 763 CI Financial Corp. Restricted Share Unit Jamieson, Douglas J.R. 5 12/17/2018 57 16,641 -3,107 CI Financial Corp. Common Shares Kelterborn, Edward Douglas 5 9/6/2018 00 CI Financial Corp. Common Shares Kelterborn, Edward Douglas 5 12/17/2018 57 2,475 CI Financial Corp. Common Shares Kelterborn, Edward Douglas 5 12/17/2018 57 2,475 2,475 CI Financial Corp. Common Shares Kelterborn, Edward Douglas 5 12/17/2018 10 17.171 1,144 -1,331 CI Financial Corp. Restricted Share Unit Kelterborn, Edward Douglas 5 12/17/2018 30 6,348 233 CI Financial Corp. Restricted Share Unit Kelterborn, Edward Douglas 5 12/17/2018 57 3,873 -2,475 CI Financial Corp. Common Shares Kerr, Neal A. 5 12/17/2018 57 25,674 2,897 CI Financial Corp. Common Shares Kerr, Neal A. 5 12/17/2018 10 17.171 24,119 -1,555 CI Financial Corp. Restricted Share Unit Kerr, Neal A. 5 12/17/2018 30 17,523 676 CI Financial Corp. Restricted Share Unit Kerr, Neal A. 5 12/17/2018 57 14,626 -2,897 CI Financial Corp. Common Shares MacLeod, Mark D. 7 12/17/2018 57 43,444 2,770 CI Financial Corp. Common Shares MacLeod, Mark D. 7 12/17/2018 10 17.171 41,954 -1,490 CI Financial Corp. Restricted Share Unit MacLeod, Mark D. 7 12/17/2018 30 6,789 258 CI Financial Corp. Restricted Share Unit MacLeod, Mark D. 7 12/17/2018 57 4,019 -2,770 CI Financial Corp. Common Shares Mehta, Rohit Dev 5 12/17/2018 57 4,602 2,112 CI Financial Corp. Common Shares Mehta, Rohit Dev 5 12/17/2018 10 17.171 3,468 -1,134 CI Financial Corp. Restricted Share Unit Mehta, Rohit Dev 5 12/17/2018 30 6,335 231 CI Financial Corp. Restricted Share Unit Mehta, Rohit Dev 5 12/17/2018 57 4,223 -2,112 CI Financial Corp. Restricted Share Unit Murray, Sheila A. 4, 5 12/17/2018 30 94,167 3,489 CI Financial Corp. Restricted Share Unit Pauli, David C. 7 12/17/2018 30 8,655 351

Insider Reporting

January 3, 2019

(2019), 42 OSCB 133



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. CI Financial Corp. Common Shares Ramsay, Anne F 7 12/17/2018 57 1,523 1,431 CI Financial Corp. Common Shares Ramsay, Anne F 7 12/17/2018 10 17.171 752 -771 CI Financial Corp. Restricted Share Unit Ramsay, Anne F 7 12/17/2018 30 4,081 149 CI Financial Corp. Restricted Share Unit Ramsay, Anne F 7 12/17/2018 57 2,650 -1,431 CI Financial Corp. Common Shares Ratnavel, Roy 7 12/17/2018 57 147,172 2,172 CI Financial Corp. Common Shares Ratnavel, Roy 7 12/17/2018 10 17.171 146,005 -1,167 CI Financial Corp. Restricted Share Unit Ratnavel, Roy 7 12/17/2018 30 470 CI Financial Corp. Restricted Share Unit Ratnavel, Roy 7 12/17/2018 30 12,420 470 CI Financial Corp. Restricted Share Unit Ratnavel, Roy 7 12/17/2018 57 10,248 -2,172 CI Financial Corp. Common Shares Sampson, Jan 7 12/17/2018 57 2,441 1,992 CI Financial Corp. Common Shares Sampson, Jan 7 12/17/2018 10 17.171 1,369 -1,072 CI Financial Corp. Restricted Share Unit Sampson, Jan 7 12/17/2018 30 4,960 188 CI Financial Corp. Restricted Share Unit Sampson, Jan 7 12/17/2018 57 2,968 -1,992 CI Financial Corp. Common Shares Urbanky, Darie 5 12/17/2018 57 31,404 3,422 CI Financial Corp. Common Shares Urbanky, Darie 5 12/17/2018 10 17.171 29,565 -1,839 CI Financial Corp. Restricted Share Unit Urbanky, Darie 5 12/17/2018 30 8,744 330 CI Financial Corp. Restricted Share Unit Urbanky, Darie 5 12/17/2018 57 5,322 -3,422 CIBT Education Group Inc. Common Shares CIBT Education Group Inc 1 12/17/2018 10 0.7 1,815,000 7,500 CIBT Education Group Inc. Common Shares CIBT Education Group Inc 1 12/19/2018 10 0.7 1,822,500 7,500 CIBT Education Group Inc. Common Shares CIBT Education Group Inc 1 12/20/2018 10 0.7 1,872,500 50,000 CIBT Education Group Inc. Common Shares Weir, Shane 4 12/20/2018 10 0.68 1,064,000 4,000 Cielo Waste Solutions Corp. Common Shares Class A Allan, Douglas Charles 3 12/17/2018 16 0.13 22,854,356 2,000,000 Cielo Waste Solutions Corp. Warrants Allan, Douglas Charles 3 12/17/2018 16 2,000,000 2,000,000 Cineplex Inc. Deferred Share Units McGrath, Daniel F. 5 12/17/2018 59 24.79 7,994 -4,569 Cineplex Inc. Deferred Share Units Nelson, Gordon 5 12/17/2018 59 24.79 8,706 -2,701 Cineplex Inc. Deferred Share Units Nonis, Paul 5 11/30/2018 30 1,232 45 Cineplex Inc. Deferred Share Units Nonis, Paul 5 12/17/2018 59 24.79 0 -1,232 Cipher Pharmaceuticals Inc. Common Shares Beaudet, Mark 4 12/17/2018 30 1.51 84,752 3,571 Cipher Pharmaceuticals Inc. Common Shares Godin, Christian 4 12/17/2018 30 1.51 38,496 591 Cipher Pharmaceuticals Inc. Common Shares Lemieux, Stephen 5 12/17/2018 30 1.51 23,407 836 Cipher Pharmaceuticals Inc. Options Milloy, Michael 5 12/3/2018 00 Cipher Pharmaceuticals Inc. Options Milloy, Michael 5 12/14/2018 50 1.75 40,000 40,000 Cipher Pharmaceuticals Inc. Common Shares Mull, John 3 12/19/2018 10 1.71 395,115 10,000 Cipher Pharmaceuticals Inc. Common Shares Mull, John 3 12/20/2018 10 1.7 435,115 40,000 Cipher Pharmaceuticals Inc. Common Shares Mull, John 3 12/21/2018 10 1.7 485,115 50,000 Cipher Pharmaceuticals Inc. Common Shares Watters, Chris 5 12/17/2018 30 1.51 4,045 331 Cipher Pharmaceuticals Inc. Common Shares Wolkin, Harold Morton 4 12/17/2018 30 1.51 181,945 2,564 Colabor Group Inc. Common Shares Johnston, Robert Bruce 4 12/14/2018 10 0.425 85,000 10,000 Colabor Group Inc. Common Shares The Article 6 Marital Trust

created under the First Amended and Restated Jerry Zucker Revocable Trust dated 4-2-07

3 12/19/2018 10 0.425 11,503,652 49,500

Colabor Group Inc. Common Shares The Article 6 Marital Trust created under the First Amended and Restated Jerry Zucker Revocable Trust dated 4-2-07

3 12/20/2018 10 0.425 11,548,652 45,000

Cominar Real Estate Investment Trust

Parts différées Bechard, Todd Patrick 5 12/18/2018 57 8,290 -2,153


Trust Units Bechard, Todd Patrick 5 12/14/2018 10 12.097 5,580 -2,150


Trust Units Bechard, Todd Patrick 5 12/18/2018 57 7,733 2,153


Parts différées Deslauriers, Manon 5 12/18/2018 57 4,690 -1,033


Trust Units Deslauriers, Manon 5 12/18/2018 57 22,477 1,033


Parts différées Hamel, Gilles 5 12/18/2018 57 30,548 -10,189

Insider Reporting

January 3, 2019

(2019), 42 OSCB 134



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Cominar Real Estate Investment Trust

Trust Units Hamel, Gilles 5 12/18/2018 57 68,188 10,189


Parts différées Pepin, Carl 5 12/18/2018 57 5,717 -1,848


Trust Units Pepin, Carl 5 12/18/2018 57 13,679 1,848

Computer Modelling Group Ltd.

Common Shares Dedeluk, Kenneth Michael 4 12/17/2018 10 5.977 680,000 5,000


Common Shares Kinash, Peter Harry 4 12/14/2018 10 6.03 45,000 1,000


Common Shares Kinash, Peter Harry 4 12/17/2018 10 5.99 46,000 1,000

Conifex Timber Inc. Common Shares Bell, Patrick Ward 4 12/18/2018 90 0 -1,440 Conifex Timber Inc. Common Shares Bell, Patrick Ward 4 12/18/2018 90 12,940 1,440 Consolidated Tanager Limited

Common Shares Watson, Carolyn 4 12/21/2018 00 20

Consolidated Tanager Limited

Common Shares Watson, Carolyn 4 12/21/2018 11 0.55 70 50

Constantine Metal Resources Ltd.

Common Shares Adamson, David William 4 12/20/2018 51 0.28 120,515 62,500


Options Adamson, David William 4 12/20/2018 51 0.28 93,750 -62,500

Constellation Software Inc. Debentures - Subordinated Floating Rate, Series 1 due March 31, 2040

Scotchmer, Steven 4 12/14/2018 10 122.5 $0 ($15,647)

Continental Gold Inc. Common Shares Sussman, Ari B 4, 5 12/19/2018 10 2.13 1,660,480 2,000 Continental Gold Inc. Common Shares Sussman, Ari B 4, 5 12/20/2018 10 2.1 1,664,680 4,200 Continental Gold Inc. Common Shares Sussman, Ari B 4, 5 12/20/2018 10 2.12 1,666,080 1,400 Continental Gold Inc. Common Shares Sussman, Ari B 4, 5 12/20/2018 10 2.13 1,690,480 24,400 Continental Gold Inc. Common Shares Teicher, Leon 4, 5 12/19/2018 10 2.12 229,313 25,000 Copper Mountain Mining Corporation

Common Shares Aunger, Bruce William 4 12/18/2018 10 0.69 195,000 40,000

Copper Mountain Mining Corporation







Common Shares Clausen, Gilmour 5 12/17/2018 10 0.7 1,865,000 500,000


Common Shares Holbek, Peter Michael 5 12/20/2018 10 0.675 330,000 12,000


Common Shares Newman, Lance Carl 5 12/17/2018 10 0.52 102,500 2,500






Common Shares Washington, William Albert 4 12/18/2018 10 0.656 150,000 60,000


Common Shares Wong, Letitia 5 12/17/2018 10 0.7 93,500 10,000

COPPER REEF MINING CORPORATION

Common Shares Masson, Stephen Leo 3 12/20/2018 10 0.015 2,931,016 82,200

COPPER REEF MINING CORPORATION


Copperbank Resources Corp.

Common Shares Kovacevic, John Gianni 4, 5 12/19/2018 10 0.045 17,470,415 50,000

Corby Spirit and Wine Limited (formerly Corby Distilleries Limited)

Common Shares Class A Cote, Stephane 5 10/1/2018 35 20.3 8,902 94


Common Shares Class A Cote, Stephane 5 10/19/2018 30 20.396 9,033 131

Insider Reporting

January 3, 2019

(2019), 42 OSCB 135



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Corby Spirit and Wine Limited (formerly Corby Distilleries Limited)

Common Shares Class A Llewellyn, Robert 4 10/1/2018 35 20.3 3,659 33


Common Shares Class A Llewellyn, Robert 4 10/9/2018 30 20.747 3,779 120


Common Shares Class A Lussier, Donald Vincent 4 10/1/2018 35 20.3 5,242 56


Common Shares Class A Lussier, Donald Vincent 4 10/9/2018 30 20.747 5,362 120


Common Shares Class A Mayle, Edward 4, 5 10/1/2018 00


Common Shares Class A Mayle, Edward 4, 5 10/19/2018 30 20.396 41 41


Common Shares Class A McCarthy, George 4 10/1/2018 35 20.3 24,375 222


Common Shares Class A McCarthy, George 4 10/9/2018 30 20.747 24,579 204


Common Shares Class A Nielsen, Patricia 4 10/1/2018 35 20.3 22,575 202


Common Shares Class A Nielsen, Patricia 4 10/9/2018 30 20.747 22,695 120


Common Shares Class A O'Driscoll, Roland Patrick 4, 5 10/1/2018 35 20.3 16,485 175


Common Shares Class A O'Driscoll, Roland Patrick 4, 5 10/19/2018 30 20.396 16,608 123


Common Shares Class A Valencia, Marc Andrew 5 10/1/2018 35 20.3 27,953 298


Common Shares Class A Valencia, Marc Andrew 5 10/19/2018 30 20.396 28,112 159

Coro Mining Corp. Common Shares Bias, Nicholas 5 4/20/2018 00 Coro Mining Corp. Common Shares Bias, Nicholas 5 12/14/2018 10 0.05 2,080,000 2,080,000 Corridor Resources Inc. Options Creemer, Andrea Anita 5 12/21/2018 50 0.72 292,500 115,000 Corridor Resources Inc. Options Graves, David Graves 8 12/21/2018 50 0.72 152,500 95,000 Corridor Resources Inc. Options Hachey, Lisette France 5 12/21/2018 50 0.72 475,000 155,000 Corridor Resources Inc. Options Moran, Stephen John 5 12/21/2018 50 0.72 1,710,000 315,000 Corvus Gold Inc. Common Shares AngloGold Ashanti Limited 3 12/20/2018 16 2.6 21,986,449 800,000 Covalon Technologies Ltd. Common Shares miller, murray 4 12/20/2018 10 4.65 103,700 3,000 Covalon Technologies Ltd. Common Shares miller, murray 4 12/21/2018 47 100,700 -3,000 Covalon Technologies Ltd. Common Shares miller, murray 4 12/21/2018 10 4.9 101,200 500 Crescent Point Energy Corp. Restricted Share Units Tuttle, Andrew Scott 5 12/18/2018 38 0 -60,000 Crest Resources Inc. Common Shares John, Paul Valdimar 3, 4 12/21/2018 10 0.1 2,250,000 -250,000 Crown Capital Partners Inc. Common Shares Johnson, Christopher Allen 4, 5 12/19/2018 10 10 31,400 700 CryptoStar Corp. Options Cahill, Brendan Thomas 4 12/20/2018 50 720,000 600,000 CryptoStar Corp. Options Dozhier, Corey Oscar 5 12/20/2018 50 6,000,000 5,000,000 CryptoStar Corp. Options Kline, Adam 4 12/20/2018 50 720,000 600,000 CryptoStar Corp. Options Merkur, James 4 12/20/2018 50 720,000 600,000 Cuspis Capital Ltd. Common Shares Elliott, C. Fraser 4 10/5/2018 00 Cuspis Capital Ltd. Common Shares Elliott, C. Fraser 4 10/5/2018 00 Cuspis Capital Ltd. Common Shares Elliott, C. Fraser 4 12/19/2018 11 0.1 750,000 750,000 Cuspis Capital Ltd. Common Shares McCutcheon, Grant 4, 5 12/19/2018 00 750,000 Cuspis Capital Ltd. Common Shares Ollerhead, William 3, 4, 5 10/5/2018 00 375,000 Cuspis Capital Ltd. Common Shares Ollerhead, William 3, 4, 5 10/5/2018 00 375,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 136



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Cuspis Capital Ltd. Common Shares Schoenmakers, Jack

Theodorus 4 12/19/2018 00 750,000

CWC Energy Services Corp. Common Shares Apps, Robert Charles Nelson

5 12/17/2018 57 0.13 508,835 55,667

CWC Energy Services Corp. Common Shares Apps, Robert Charles Nelson

5 12/17/2018 57 0.13 582,835 74,000

CWC Energy Services Corp. Restricted Share Units Apps, Robert Charles Nelson

5 12/17/2018 57 0.13 549,665 -55,667

CWC Energy Services Corp. Restricted Share Units Apps, Robert Charles Nelson

5 12/17/2018 57 0.13 475,665 -74,000

CWC Energy Services Corp. Common Shares Au, Duncan Tak-Yan 4, 5 12/10/2018 30 0.13 50,000 CWC Energy Services Corp. Common Shares Au, Duncan Tak-Yan 4, 5 12/10/2018 57 0.13 4,811,000 50,000 CWC Energy Services Corp. Common Shares CWC Energy Services

Corp. 1 12/17/2018 10 0.145 7,858,000 10,000

CWC Energy Services Corp. Common Shares CWC Energy Services Corp.

1 12/21/2018 38 0 -7,858,000

CWC Energy Services Corp. Common Shares Donohue, Paul Francis 5 12/18/2018 57 0.13 265,000 50,000 CWC Energy Services Corp. Common Shares Donohue, Paul Francis 5 12/18/2018 57 0.13 320,667 55,667 CWC Energy Services Corp. Common Shares Donohue, Paul Francis 5 12/18/2018 57 0.13 394,667 74,000 CWC Energy Services Corp. Restricted Share Units Donohue, Paul Francis 5 12/18/2018 57 0.13 605,332 -50,000 CWC Energy Services Corp. Restricted Share Units Donohue, Paul Francis 5 12/18/2018 57 0.13 549,665 -55,667 CWC Energy Services Corp. Restricted Share Units Donohue, Paul Francis 5 12/18/2018 57 0.13 475,665 -74,000 CWC Energy Services Corp. Common Shares King, Stuart James 5 12/11/2017 00 CWC Energy Services Corp. Common Shares King, Stuart James 5 12/14/2018 57 0.13 74,000 74,000 CWC Energy Services Corp. Restricted Share Units King, Stuart James 5 12/14/2018 57 370,000 -74,000 CWC Energy Services Corp. Common Shares McGowan, Wade John 4 12/14/2018 57 0.13 1,966,624 88,333 CWC Energy Services Corp. Restricted Share Units McGowan, Wade John 4 12/14/2018 57 0.13 258,334 -88,333 CWC Energy Services Corp. Common Shares McIntyre, Darwin Lloyd 5 12/21/2018 57 0.13 625,000 50,000 CWC Energy Services Corp. Restricted Share Units McIntyre, Darwin Lloyd 5 12/21/2018 57 0.13 686,000 -50,000 Cymbria Corporation Non-Voting Shares Class

J Shares Farmer, Patrick 4, 6 12/18/2018 47 49.952 463,661 -5,000

D-Box Technologies Inc. Options Bernier, Louis 4 12/17/2018 50 130,000 40,000 D-Box Technologies Inc. Options Collins, Gary 4 12/17/2018 50 0.19 130,000 40,000 D-Box Technologies Inc. Options Copple, Robert D. 4 12/17/2018 50 0.19 90,000 40,000 D-Box Technologies Inc. Options Desautels, Robert 5 12/17/2018 50 0.19 425,000 125,000 D-Box Technologies Inc. Options Gemme, Yannick 5 12/18/2018 50 0.19 600,000 125,000 D-Box Technologies Inc. Options Halde, Jean-Rene 4 12/17/2018 50 0.19 160,000 80,000 D-Box Technologies Inc. Options Lacroix, Jean-François 5 12/17/2018 50 0.19 325,000 125,000 D-Box Technologies Inc. Options Lafrance, Sylvain 4 12/17/2018 50 0.19 130,000 40,000 D-Box Technologies Inc. Options Mailhot, Sébastien 5 12/17/2018 50 0.19 700,000 200,000 D-Box Technologies Inc. Options Mcmaster, Claude 4, 5 12/17/2018 50 0.19 7,437,500 437,500 D-Box Technologies Inc. Common Shares Class A PHÉNIX, ÉLAINE C. 4 12/19/2018 10 0.17 237,500 -52,500 D-Box Technologies Inc. Common Shares Class A PHÉNIX, ÉLAINE C. 4 12/19/2018 10 0.16 230,000 -7,500 D-Box Technologies Inc. Options PHÉNIX, ÉLAINE C. 4 12/17/2018 50 0.19 310,000 40,000 D-Box Technologies Inc. Options Roy, Philippe 5 12/17/2018 50 0.19 1,277,550 125,000 Datable Technology Corporation (formerly 3TL Technologies Corp.)

Common Shares Oishi, Kim 4 12/14/2018 10 0.05 2,212,643 11,000

DECISIVE DIVIDEND CORPORATION

Common Shares Redekop, David 4, 5 12/17/2018 10 3.86 168,400 2,000

Delphi Energy Corp. Common Shares CAMPBELL, HARRY SINCLAIR

4 12/18/2018 10 0.38 1,422,075 145,000

Delphi Energy Corp. Common Shares Tolley, Lamont, Clement 4 12/17/2018 10 0.385 400,000 60,500 Detour Gold Corporation Common Shares Anwyll, Edward William

Drew 5 12/13/2018 57 10.3 71,945

Detour Gold Corporation Common Shares Anwyll, Edward William Drew

5 12/13/2018 57 10.3 71,945

Detour Gold Corporation Rights Performance Share Units

Anwyll, Edward William Drew

5 12/13/2018 57 -46,311



5 12/13/2018 59 0 -46,311

Insider Reporting

January 3, 2019

(2019), 42 OSCB 137



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Detour Gold Corporation Rights Restricted Share

Units Anwyll, Edward William Drew

5 12/13/2018 57 -25,634

Detour Gold Corporation Rights Restricted Share Units


5 12/13/2018 59 -25,634



5 12/13/2018 59 0 -25,634

Detour Gold Corporation Common Shares Bourchier, Frazer William 5 12/13/2018 57 10.3 180,397 Detour Gold Corporation Common Shares Bourchier, Frazer William 5 12/13/2018 57 10.3 180,397 Detour Gold Corporation Rights Restricted Share

Units Bourchier, Frazer William 5 12/13/2018 57 -180,397


Bourchier, Frazer William 5 12/13/2018 59 0 -180,397

Detour Gold Corporation Rights Deferred Share Units

Feldman, Steven Mark 4 12/13/2018 00


Feldman, Steven Mark 4 12/17/2018 10 11,826


Feldman, Steven Mark 4 12/17/2018 10 11,826


Feldman, Steven Mark 4 12/17/2018 56 11,826 11,826

Detour Gold Corporation Common Shares Gaborit, Laurence 5 12/13/2018 57 10.3 57,986 Detour Gold Corporation Common Shares Gaborit, Laurence 5 12/13/2018 57 10.3 57,986 Detour Gold Corporation Rights Performance Share

Units Gaborit, Laurence 5 12/13/2018 57 -21,766


Gaborit, Laurence 5 12/13/2018 59 0 -21,766


Gaborit, Laurence 5 12/13/2018 57 -36,220


Gaborit, Laurence 5 12/13/2018 59 0 -36,220

Detour Gold Corporation Common Shares Galloway, Julie 5 12/13/2018 57 10.3 175,507 Detour Gold Corporation Common Shares Galloway, Julie 5 12/13/2018 57 10.3 175,507 Detour Gold Corporation Rights Performance Share

Units Galloway, Julie 5 12/13/2018 57 -55,184


Galloway, Julie 5 12/13/2018 59 0 -55,184


Galloway, Julie 5 12/13/2018 57 -120,323


Galloway, Julie 5 12/13/2018 59 0 -120,323

Detour Gold Corporation Common Shares Heredia, Alberto Francis 5 12/13/2018 57 10.3 13,420 Detour Gold Corporation Common Shares Heredia, Alberto Francis 5 12/13/2018 57 10.3 13,420 Detour Gold Corporation Rights Performance Share

Units Heredia, Alberto Francis 5 12/13/2018 57 -8,496


Heredia, Alberto Francis 5 12/13/2018 59 0 -8,496


Heredia, Alberto Francis 5 12/13/2018 57 -4,924


Heredia, Alberto Francis 5 12/13/2018 59 0 -4,924

Detour Gold Corporation Common Shares Mavor, James Whyte 5 12/13/2018 57 10.3 187,759 Detour Gold Corporation Common Shares Mavor, James Whyte 5 12/13/2018 57 10.3 187,759 Detour Gold Corporation Rights Performance Share

Units Mavor, James Whyte 5 12/13/2018 57 -66,718


Mavor, James Whyte 5 12/13/2018 59 0 -66,718


Mavor, James Whyte 5 12/13/2018 57 -121,041


Mavor, James Whyte 5 12/13/2018 59 0 -121,041


Robison, Christopher James 4 12/13/2018 00


Robison, Christopher James 4 12/17/2018 56 10.57 11,826 11,826

Insider Reporting

January 3, 2019

(2019), 42 OSCB 138



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Detour Gold Corporation Rights Deferred Share

Units Simkus, Ronald Stanley 4 12/13/2018 00


Simkus, Ronald Stanley 4 12/17/2018 10 11,826


Simkus, Ronald Stanley 4 12/17/2018 10 11,826


Simkus, Ronald Stanley 4 12/17/2018 56 11,826 11,826

Detour Gold Corporation Common Shares Wallin, Ruben 5 10/1/2015 00 Detour Gold Corporation Common Shares Wallin, Ruben 5 10/1/2015 00 Detour Gold Corporation Common Shares Wallin, Ruben 5 12/13/2018 57 10.3 67,239 Detour Gold Corporation Common Shares Wallin, Ruben 5 12/13/2018 57 10.3 67,239 Detour Gold Corporation Rights Performance Share

Units Wallin, Ruben 5 12/13/2018 57 -17,780


Wallin, Ruben 5 12/13/2018 59 -17,780


Wallin, Ruben 5 12/13/2018 59 0 -17,780


Wallin, Ruben 5 12/13/2018 57 -49,459


Wallin, Ruben 5 12/13/2018 59 0 -49,459


Whittaker, Dawn Patricia 4 12/13/2018 00


Whittaker, Dawn Patricia 4 12/17/2018 11 11,826


Whittaker, Dawn Patricia 4 12/17/2018 11 11,826


Whittaker, Dawn Patricia 4 12/17/2018 56 11,826 11,826


Williams, William Conard 4 12/13/2018 00


Williams, William Conard 4 12/17/2018 10 11,826


Williams, William Conard 4 12/17/2018 10 11,826


Williams, William Conard 4 12/17/2018 56 11,826 11,826

Devonian Health Group Inc. Subordinate Voting Shares

Bernier, Jacques 4 11/13/2018 36 586,463 167,561

DHX Media Ltd. Variable Voting Shares Cupples, Amanda Suzanne 4 12/18/2018 00 DHX Media Ltd. Variable Voting Shares Ellenbogen, Eric 4 12/18/2018 00 DHX Media Ltd. Common Voting Shares Machum, Donald Geoffrey 4 12/18/2018 10 2.59 132,065 3,000 Diagnos Inc. Common Shares Gestion Maurice

Pinsonnault inc. 3 12/20/2018 10 0.035 24,871,750 1,000,000

DionyMed Brands Inc. (formerly Sixonine Ventures Corp.)

Debentures (Series A Convertible Debentures)

Hilliard, Peter Emmett 5 11/27/2018 00 $10

DMG Blockchain Solutions Inc.

Common Shares Reitzik, Daniel 4, 5 12/5/2018 10 0.18 5,680


Common Shares Reitzik, Daniel 4, 5 12/5/2018 10 0.18 1,531,500 31,500


Common Shares Reitzik, Daniel 4, 5 12/6/2018 10 0.16 4,000


Common Shares Reitzik, Daniel 4, 5 12/6/2018 10 0.16 1,556,500 25,000

Dollarama Inc. Common Shares Gunn, Stephen 4 12/20/2018 47 85,394 -160 Dollarama Inc. Common Shares Gunn, Stephen 4 12/20/2018 47 84,554 -840 Dolly Varden Silver Corporation

Warrants Zicherman, Jeffrey 3 12/19/2018 55 0.72 0 -223,405

Dorel Industries Inc. Subordinate Voting Shares Class B

Schwartz, Jeffrey 3, 4, 5 12/21/2018 10 15.25 576,980 10,000

Dorel Industries Inc. Subordinate Voting Shares Class B

Segel, Jeffrey 3, 4, 5 12/21/2018 10 15.1 10,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 139



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Dorel Industries Inc. Subordinate Voting

Shares Class B Segel, Jeffrey 3, 4, 5 12/21/2018 10 15.1 550,250 10,000

Dream Global Real Estate Investment Trust

Rights Deferred Trust Units

DREAM Unlimited Corp. 3 12/19/2018 57 762,867 -9,168

Dream Global Real Estate Investment Trust

Units DREAM Unlimited Corp. 3 12/19/2018 57 332,734 9,168

DREAM Unlimited Corp. Subordinate Voting Shares Class A

Cooper, Michael 4, 7, 5 12/17/2018 10 6.6954 891,900 39,700


Cooper, Michael 4, 7, 5 12/18/2018 10 6.6582 904,600 12,700


Cooper, Michael 4, 7, 5 12/19/2018 10 6.6005 912,100 7,500


Cooper, Michael 4, 7, 5 12/20/2018 10 6.6353 954,300 42,200


Cooper, Michael 4, 7, 5 12/21/2018 10 6.6173 1,002,200 47,900

Dundee Precious Metals Inc. Common Shares GMT Capital Corp 3 12/17/2018 10 2.44 5,139,690 3,200 Dundee Precious Metals Inc. Common Shares GMT Capital Corp 3 12/18/2018 10 2.6 5,205,090 65,400 Dundee Precious Metals Inc. Common Shares GMT Capital Corp 3 12/17/2018 10 2.44 6,544,970 4,300 Dundee Precious Metals Inc. Common Shares GMT Capital Corp 3 12/18/2018 10 2.6 6,631,670 86,700 Dundee Precious Metals Inc. Common Shares GMT Capital Corp 3 12/17/2018 10 2.44 9,697,600 6,500 Dundee Precious Metals Inc. Common Shares GMT Capital Corp 3 12/18/2018 10 2.6 9,829,000 131,400 Dundee Precious Metals Inc. Common Shares GMT Capital Corp 3 12/17/2018 10 2.44 274,980 400 Dundee Precious Metals Inc. Common Shares GMT Capital Corp 3 12/18/2018 10 2.6 277,380 2,400 Dundee Precious Metals Inc. Common Shares GMT Capital Corp 3 12/17/2018 10 2.44 1,014,200 700 Dundee Precious Metals Inc. Common Shares GMT Capital Corp 3 12/18/2018 10 2.6 1,028,100 13,900 Dundee Precious Metals Inc. Common Shares Young, Donald Walter 4 12/20/2018 10 3.6 1,700 -15,800 DXI Energy Inc. Common Shares Sullivan, Steven Sean 4, 5 12/12/2018 00 1,520,000 DXI Energy Inc. Common Shares Sullivan, Steven Sean 4, 5 12/12/2018 00 7,480,000 E-L Financial Corporation Limited

Common Shares Jackman, Duncan Newton Rowell

4, 5 12/20/2018 10 750 3,926 100

E3 Metals Corp. Options Florence, Gregory C. 5 8/21/2018 50 0.4 20,000 E3 Metals Corp. Options Florence, Gregory C. 5 11/7/2018 50 0.4 20,000 20,000 Earth Alive Clean Technologies Inc.

Common Shares Saviuk, Steve 4 12/19/2018 10 0.19 6,423,834 32,000

East Coast Investment Grade Income Fund

Units Arrow Capital Management Inc.

7 12/21/2018 10 9.0224 1,060,000 5,000

EcoSynthetix Inc. Common Shares EcoSynthetix Inc 1 12/1/2018 38 1.96 9,900 9,900 EcoSynthetix Inc. Common Shares EcoSynthetix Inc 1 12/1/2018 38 1.95 763,900 754,000 EcoSynthetix Inc. Common Shares EcoSynthetix Inc 1 12/4/2018 38 2.03 764,400 500 EcoSynthetix Inc. Common Shares EcoSynthetix Inc 1 12/5/2018 38 2.02 764,600 200 EcoSynthetix Inc. Common Shares EcoSynthetix Inc 1 12/6/2018 38 1.96 770,800 6,200 EcoSynthetix Inc. Common Shares EcoSynthetix Inc 1 12/10/2018 38 2 771,200 400 EcoSynthetix Inc. Common Shares EcoSynthetix Inc 1 12/11/2018 38 1.99 777,500 6,300 EcoSynthetix Inc. Common Shares EcoSynthetix Inc 1 12/12/2018 38 1.96 780,000 2,500 EcoSynthetix Inc. Common Shares EcoSynthetix Inc 1 12/13/2018 38 1.94 786,300 6,300 EcoSynthetix Inc. Common Shares EcoSynthetix Inc 1 12/14/2018 38 1.94 796,200 9,900 EcoSynthetix Inc. Common Shares EcoSynthetix Inc 1 12/17/2018 38 1.93 799,500 3,300 EcoSynthetix Inc. Common Shares EcoSynthetix Inc 1 12/18/2018 38 1.89 809,400 9,900 EcoSynthetix Inc. Common Shares EcoSynthetix Inc 1 12/19/2018 38 1.9 819,300 9,900 EcoSynthetix Inc. Common Shares EcoSynthetix Inc 1 12/21/2018 38 1.9 829,200 9,900 EcoSynthetix Inc. Common Shares EcoSynthetix Inc 1 12/23/2018 38 0 -829,200 EcoSynthetix Inc. Common Shares Haire, Robert Martin 5 12/18/2018 10 1.86 71,689 -100,000 EcoSynthetix Inc. Common Shares VanEgdom, Edward (Ted) 5 12/18/2018 10 1.86 155,951 -200,000 Edgewater Wireless Systems Inc.

Common Shares Skafel, Andrew 5 12/21/2018 10 0.085 1,310,500 15,000

Element Fleet Management Corp. (formerly Element Financial Corporation)

Common Shares Denison, David Francis 4 12/13/2018 00

Insider Reporting

January 3, 2019

(2019), 42 OSCB 140



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Element Fleet Management Corp. (formerly Element Financial Corporation)

Common Shares Denison, David Francis 4 12/14/2018 10 7.0734 30,000 30,000

Empire Company Limited Non-Voting Shares Class A

Sobey, Frank C. 7 12/21/2018 90 24,876 -8,111

Empire Company Limited Non-Voting Shares Class A

Sobey, Frank C. 7 12/21/2018 90 705,269 8,111

Empire Industries Ltd. Common Shares Xie, Junliang 3 12/14/2018 10 0.36 16,658,375 -984,500 Empire Industries Ltd. Common Shares Xie, Junliang 3 12/14/2018 10 0.365 16,508,375 -150,000 Empire Industries Ltd. Common Shares Xie, Junliang 3 12/14/2018 10 37 16,497,875 -10,500 Empire Industries Ltd. Common Shares Xie, Junliang 3 12/14/2018 10 0.375 16,492,875 -5,000 Enbridge Inc. Common Shares Cazalot, Jr., Clarence Peter 4 12/17/2018 22 95,587 82,658 Enbridge Inc. Common Shares Cazalot, Jr., Clarence Peter 4 12/20/2018 22 132,955 37,368 Enbridge Inc. Common Shares Ebel, Gregory Lorne 4 12/17/2018 22 647,745 24,770 Enbridge Inc. Common Shares Ebel, Gregory Lorne 4 12/20/2018 22 648,080 335 Enbridge Inc. Common Shares England, James Herbert 4 9/1/2018 30 33.62 241 Enbridge Inc. Common Shares England, James Herbert 4 9/1/2018 30 33.62 241 Enbridge Inc. Common Shares England, James Herbert 4 9/1/2018 30 33.62 18,992 242 Enbridge Inc. Common Shares England, James Herbert 4 9/21/2018 30 44.91 20,403 1,411 Enbridge Inc. Common Shares England, James Herbert 4 12/14/2018 30 43.26 21,913 1,510 Enbridge Inc. Common Shares England, James Herbert 4 12/20/2018 22 24,803 2,890 Enbridge Inc. Common Shares Hansen, Cynthia Lynn 5 12/20/2018 51 19.805 103,538 50,000 Enbridge Inc. Options $19.805 ($39.61)

- February 25, 2019 Hansen, Cynthia Lynn 5 12/20/2018 51 19.805 0 -50,000

Enbridge Inc. Common Shares Monaco, Albert 4, 5 12/21/2018 51 19.805 633,998 20,000 Enbridge Inc. Options $19.805 ($39.61)

- February 25, 2019 Monaco, Albert 4, 5 12/21/2018 51 19.805 0 -20,000

Enbridge Inc. Common Shares Neiles, Byron Craig 5 12/14/2018 51 64000 128,667 64,000 Enbridge Inc. Common Shares Neiles, Byron Craig 5 12/14/2018 10 43.1 64,667 -64,000 Enbridge Inc. Options $19.805 ($39.61)

- February 25, 2019 Neiles, Byron Craig 5 12/14/2018 51 19.805 0 -64,000

Enbridge Inc. Common Shares Tutcher, Dan Curtis 4 9/1/2018 30 34.253 166,122 2,071 Enbridge Inc. Common Shares Tutcher, Dan Curtis 4 12/20/2018 22 203,838 37,716 Enbridge Inc. Common Shares Tutcher, Dan Curtis 4 9/1/2018 30 34.253 493,685 6,151 Enbridge Inc. Common Shares Yardley, William Turner 5 12/17/2018 22 94,730 760 Enbridge Inc. Common Shares Yu, Vernon Dai-Chung 5 12/20/2018 22 59,120 4,620 Encana Corporation Common Shares Fowler, Fred John 4 12/18/2018 10 5.64 25,000 10,000 Encana Corporation Common Shares Nimocks, Suzanne Paquin 4 12/19/2018 10 5.9085 15,648 2,500 Encana Corporation Common Shares Suttles, Douglas James 4, 5 12/20/2018 10 5.55 183,994 5,000 Enerdynamic Hybrid Technologies Corp.

Common Shares Woolford, David 4 12/20/2018 10 0.045 6,888,914 350,000

Enerdynamic Hybrid Technologies Corp.

Common Shares Woolford, David 4 12/20/2018 10 0.04 6,988,914 100,000


Common Shares Woolford, David 4 9/15/2017 00


Common Shares Woolford, David 4 12/20/2018 11 0.05 678,000 678,000


Common Shares Woolford, David 4 12/21/2018 10 0.04 878,000 200,000


Warrants Woolford, David 4 9/15/2017 00


Warrants Woolford, David 4 12/20/2018 11 0.075 678,000 678,000

Enerplus Corporation Common Shares DUNDAS, Ian Charles 5 12/20/2018 10 10.915 83,852 2,000 Enerplus Corporation Common Shares DUNDAS, Ian Charles 5 12/21/2018 10 10.25 85,852 2,000 Enerplus Corporation Common Shares ENERPLUS

CORPORATION 1 12/7/2018 38 12.876 0 -125,430

Enerplus Corporation Common Shares Roane, Glen Dawson 4 12/18/2018 10 10.94 20,000 20,000 Enerplus Corporation Common Shares Roane, Glen Dawson 4 12/19/2018 10 10.6 30,000 10,000 Engagement Labs Inc. Common Shares Boyer, Gilbert 5 12/21/2018 57 0.18 226,724 70,982

Insider Reporting

January 3, 2019

(2019), 42 OSCB 141



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Engagement Labs Inc. Restricted Share Award

(RSA) Boyer, Gilbert 5 12/21/2018 57 0.18 0 -138,889

Engagement Labs Inc. Common Shares Brown, Steven 5 12/21/2018 57 0.04 896,688 396,688 Engagement Labs Inc. Restricted Share Award

(RSA) Brown, Steven 5 12/21/2018 57 0.04 0 -500,000

Engagement Labs Inc. Common Shares Cazettes de Saint Léger, Cédric

5 10/23/2018 57 40741 40,741


5 10/23/2018 57 0.06 239,716 40,741


5 12/20/2018 57 0.055 248,049 8,333


5 12/21/2018 57 0.18 331,382 83,333

Engagement Labs Inc. Restricted Share Award (RSA)

Cazettes de Saint Léger, Cédric

5 12/21/2018 57 0.18 0 -83,333

Engagement Labs Inc. Restricted Stock Units Cazettes de Saint Léger, Cédric

5 12/20/2018 57 0.055 283,333 -8,333

Engagement Labs Inc. Common Shares Fay, William Bradford 5 12/21/2018 57 0.18 3,615,546 256,800 Engagement Labs Inc. Restricted Share Award

(RSA) Fay, William Bradford 5 12/21/2018 57 0.18 0 -428,000

Engagement Labs Inc. Common Shares Keller, Edward 4, 5 12/21/2018 57 0.18 7,998,839 324,566 Engagement Labs Inc. Common Shares Keller, Edward 4, 5 12/21/2018 57 0.05 11,248,876 3,250,037 Engagement Labs Inc. Restricted Share Award

(RSA) Keller, Edward 4, 5 12/21/2018 57 0.18 5,000,000 -499,333

Engagement Labs Inc. Restricted Share Award (RSA)

Keller, Edward 4, 5 12/21/2018 57 0.05 0 -5,000,000

Enghouse Systems Limited Common Shares Sadler, Stephen 3, 4, 5 12/19/2018 10 69.7 3,892,400 -15,800 Ensign Energy Services Inc. Common Shares Conway, Brent John 5 12/18/2018 00 92,000 ENTREC Corporation Common Shares Vandenberg, Jason Neil 4 12/17/2018 10 0.16 200,000 167,000 Entree Resources Ltd. Options Bailey, Mark 4 12/19/2018 50 0.55 800,000 200,000 Entree Resources Ltd. Options Edwards, Alan R. 4 12/19/2018 50 725,000 200,000 Entree Resources Ltd. Options Harris, James Lindsay 4 12/19/2018 50 800,000 200,000 Entree Resources Ltd. Options LO, DUANE 5 12/19/2018 50 800,000 250,000 Entree Resources Ltd. Options McLeod, Susan Elizabeth 5 12/19/2018 50 1,010,000 250,000 Entree Resources Ltd. Options Price, Michael 4 12/19/2018 50 300,000 200,000 Entree Resources Ltd. Common Shares SANDSTORM GOLD LTD. 3 12/14/2018 10 0.54 28,405,380 55,000 Entree Resources Ltd. Common Shares SANDSTORM GOLD LTD. 3 12/14/2018 10 0.53 28,422,880 17,500 Entree Resources Ltd. Common Shares SANDSTORM GOLD LTD. 3 12/17/2018 10 0.55 28,453,880 31,000 Entree Resources Ltd. Common Shares SANDSTORM GOLD LTD. 3 12/18/2018 10 0.55 28,522,880 69,000 Entree Resources Ltd. Common Shares SANDSTORM GOLD LTD. 3 12/19/2018 10 0.55 28,559,880 37,000 Entree Resources Ltd. Options Scott, Stephen Victor 5 12/19/2018 50 1,725,000 500,000 Entree Resources Ltd. Options Stylianides, Anna 4 12/19/2018 50 725,000 200,000 EnWave Corporation Restricted Share Units Budreski, John Philip Adrian 4 12/18/2018 56 135,000 60,000 EnWave Corporation Restricted Share Units McKinnon, Hugh Crawford 4 12/18/2018 56 100,000 25,000 EnWave Corporation Restricted Share Units Ritchie, Mary C. 4 12/18/2018 56 100,000 25,000 EnWave Corporation Restricted Share Units Ritchie, Stewart John 4 12/18/2018 56 80,000 20,000 Epsilon Energy Ltd. Common Shares AZVALOR ASSET

MANAGEMENT SGIIC 3 12/18/2018 10 211,049 -47,879

Epsilon Energy Ltd. Common Shares AZVALOR ASSET MANAGEMENT SGIIC

3 12/18/2018 10 5,516,280 47,879

Epsilon Energy Ltd. Common Shares Epsilon Energy Ltd. 1 12/14/2018 38 3.02 25,004 2,700 Epsilon Energy Ltd. Common Shares Epsilon Energy Ltd. 1 12/17/2018 38 3.01 27,504 2,500 Epsilon Energy Ltd. Common Shares Epsilon Energy Ltd. 1 12/18/2018 38 3 31,905 4,401 Epsilon Energy Ltd. Common Shares Epsilon Energy Ltd. 1 12/20/2018 38 3.058 36,306 4,401 Equinox Gold Corp. (formerly Trek Mining Inc.)

Rights Restricted Share Units - Time Based

Currie, James Alexander 5 11/6/2018 00

Equinox Gold Corp. (formerly Trek Mining Inc.)

Rights Restricted Share Units - Time Based

Currie, James Alexander 5 12/14/2018 56 125,000 125,000

Equinox Gold Corp. (formerly Trek Mining Inc.)

Warrants Currie, James Alexander 5 11/6/2018 00 50,000

Equitable Group Inc. Rights Performance Share Units

Braude, Aviva 7 12/15/2018 30 581 2

Insider Reporting

January 3, 2019

(2019), 42 OSCB 142



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Equitable Group Inc. Rights Performance Share

Units Braude, Aviva 7 12/15/2018 59 409 -172

Equitable Group Inc. Rights Restricted Share Units

Braude, Aviva 7 12/15/2018 30 580 2


Braude, Aviva 7 12/15/2018 59 408 -172


Dickinson, Daniel Lee 7 12/15/2018 30 1,029 3


Dickinson, Daniel Lee 7 12/15/2018 59 795 -234


Dickinson, Daniel Lee 7 12/15/2018 30 989 3


Dickinson, Daniel Lee 7 12/15/2018 59 755 -234


Farella, Isabelle 5 12/15/2018 30 942 5


Farella, Isabelle 5 12/15/2018 59 599 -343


Farella, Isabelle 5 12/15/2018 30 604 5


Farella, Isabelle 5 12/15/2018 59 261 -343


Kukulowicz, Kimberly 7 12/15/2018 30 896 3


Kukulowicz, Kimberly 7 12/15/2018 59 635 -261


Kukulowicz, Kimberly 7 12/15/2018 30 920 3


Kukulowicz, Kimberly 7 12/15/2018 59 659 -261


Leland, Brian 7 12/15/2018 30 878 3


Leland, Brian 7 12/15/2018 59 633 -245


Leland, Brian 7 12/15/2018 30 839 3


Leland, Brian 7 12/15/2018 59 594 -245


Lorimer, Darren 7 12/15/2018 30 994 4


Lorimer, Darren 7 12/15/2018 59 687 -307


Lorimer, Darren 7 12/15/2018 30 994 4


Lorimer, Darren 7 12/15/2018 59 687 -307


Moor, Andrew 5 12/15/2018 30 23,601 103


Moor, Andrew 5 12/15/2018 59 15,928 -7,673


Poddar, Mahima 7 12/15/2018 30 800 3


Poddar, Mahima 7 12/15/2018 59 549 -251


Sperling, Jody Lynn 5 12/15/2018 30 840 3


Sperling, Jody Lynn 5 12/15/2018 59 595 -245


Sperling, Jody Lynn 5 12/15/2018 30 801 3


Sperling, Jody Lynn 5 12/15/2018 59 556 -245


Tratch, Ronald Walter 7 12/15/2018 30 4,675 20


Tratch, Ronald Walter 7 12/15/2018 59 3,142 -1,533

Insider Reporting

January 3, 2019

(2019), 42 OSCB 143



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Equitable Group Inc. Rights Performance Share

Units Wilson, Timothy James 5 12/15/2018 30 6,280 28


Wilson, Timothy James 5 12/15/2018 59 4,217 -2,063

Equitorial Exploration Corp. Common Shares Power, Patrick Edward 4, 5 12/14/2018 10 0.035 182,000 32,000 Equitorial Exploration Corp. Common Shares Power, Patrick Edward 4, 5 12/18/2018 10 0.035 116,000 -66,000 Equitorial Exploration Corp. Common Shares Power, Patrick Edward 4, 5 12/19/2018 10 0.035 82,000 -34,000 Equitorial Exploration Corp. Common Shares Power, Patrick Edward 4, 5 12/21/2018 10 0.03 0 -82,000 Eskay Mining Corp Common Shares Balkam, Hugh McLellan 4 12/21/2018 10 0.08 3,523,428 56,000 European Focused Dividend Fund

Trust Units European Focused Dividend Fund

1 12/14/2018 38 7.655 849,600 5,400

European Focused Dividend Fund


1 12/17/2018 38 7.5812 853,800 4,200

European Focused Dividend Fund


1 12/20/2018 38 7.4563 856,500 2,700

Excelsior Mining Corp. Common Shares Goodgame, Roland 5 12/6/2018 52 0.25 1,325,606 Excelsior Mining Corp. Common Shares Goodgame, Roland 5 12/6/2018 51 0.25 2,142,788 1,325,606 Excelsior Mining Corp. Rights Restricted Share

Units Goodgame, Roland 5 11/16/2018 57 0 -75,000

Exchange Income Corporation

Common Shares Exchange Income Corporation

1 12/14/2018 30 26.297 223,359 5,000


Common Shares Pyle, Michael 4 12/20/2018 10 27.232 13,877 1,000

Explorex Resources Inc. Common Shares BELLA, JEROME , MICHAEL

4 12/19/2018 11 0.32 55,000 15,000

Explorex Resources Inc. Warrants BELLA, JEROME , MICHAEL

4 12/19/2018 11 0.5 7,500 7,500

Extendicare Inc. Common Shares Hibben, Alan Roy 4 12/19/2018 10 6.45 29,400 5,000 Extendicare Inc. Common Shares Torrie, Alan D. 4 1/6/2016 00 Extendicare Inc. Common Shares Torrie, Alan D. 4 12/19/2018 10 6.3957 15,000 15,000 Fairfax Financial Holdings Limited

Subordinate Voting Shares

McLean, Christine N. 4 6/20/2018 10 764.17 711 10



McLean, Christine N. 4 9/12/2018 10 685 722 11



McLean, Christine N. 4 12/19/2018 10 578.5 736 14

Fairfax India Holdings Corporation


Bradstreet, F. Brian 7 12/13/2018 10 13.73 93,500 14,000



Bradstreet, F. Brian 7 12/13/2018 10 13.73 0 -14,000

Fandom Sports Media Corp. Common Shares Hollinger, Christopher 5 12/17/2018 00 Fandom Sports Media Corp. Options 10% rolling

options plan Hollinger, Christopher 5 12/17/2018 00 100,000

FinCanna Capital Corp. (formerly Astar Minerals Ltd.)

Common Shares Scott, Robert James 5 12/21/2018 10 0.085 1,579,000 100,000

Finning International Inc. Performance Share Units Amar, Juan Pablo 5 12/19/2018 30 30.61 16,733 266 Finning International Inc. Restricted Share Unit

(RSU) Amar, Juan Pablo 5 12/19/2018 30 30.61 8,689 213

Finning International Inc. Units Deferred Share Units

Avril, Vicki 4 12/20/2018 30 30.61 11,003 240


Avril, Vicki 4 12/20/2018 56 23.47 12,739 1,736


Avril, Vicki 4 12/20/2018 99 12,740 1


Awad, Marcelo 4 12/20/2018 30 30.61 34,371 828


Awad, Marcelo 4 12/20/2018 56 23.47 36,629 2,258

Finning International Inc. Performance Share Units Breukels, Cornelis Mauritius H.J.

5 12/18/2018 30 30.61 8,690 122

Finning International Inc. Restricted Share Unit (RSU)

Breukels, Cornelis Mauritius H.J.

5 12/18/2018 30 30.61 2,736 66


Carter, James Edward Clark 4 12/20/2018 30 30.61 70,142 1,768

Insider Reporting

January 3, 2019

(2019), 42 OSCB 144



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Finning International Inc. Units Deferred Share

Units Carter, James Edward Clark 4 12/20/2018 56 23.47 71,420 1,278

Finning International Inc. Performance Share Units Chavez, Cristian 5 12/19/2018 30 30.61 14,790 225 Finning International Inc. Performance Share Units Chavez, Cristian 5 12/19/2018 99 14,789 -1 Finning International Inc. Restricted Share Unit

(RSU) Chavez, Cristian 5 12/19/2018 30 30.61 4,692 111


Chavez, Cristian 5 12/19/2018 30 30.61 4,697 121


Cote, Jacynthe 4 12/20/2018 30 30.61 31,278 745


Cote, Jacynthe 4 12/20/2018 56 23.47 33,632 2,354


Cote, Jacynthe 4 12/20/2018 99 33,633 1

Finning International Inc. Performance Share Units Cummings, David William 5 12/18/2018 30 30.61 665 Finning International Inc. Performance Share Units Cummings, David William 5 12/18/2018 30 30.61 44,575 665 Finning International Inc. Restricted Share Unit

(RSU) Cummings, David William 5 12/18/2018 30 30.61 338


Cummings, David William 5 12/18/2018 30 30.61 14,110 338

Finning International Inc. Performance Share Units Damjanic Yutronic, Pedro Antonio

5 12/19/2018 30 30.61 17,761 239


Damjanic Yutronic, Pedro Antonio

5 12/19/2018 30 30.61 5,566 135

Finning International Inc. Performance Share Units Day, Russell Willard 5 12/18/2018 30 30.61 19,254 233 Finning International Inc. Performance Share Units Day, Russell Willard 5 12/18/2018 99 19,253 -1 Finning International Inc. Restricted Share Unit

(RSU) Day, Russell Willard 5 12/18/2018 30 30.61 5,990 144

Finning International Inc. Performance Share Units Erdman, Jeff 5 12/18/2018 30 30.61 10,079 130 Finning International Inc. Restricted Share Unit

(RSU) Erdman, Jeff 5 12/18/2018 30 30.61 3,147 76

Finning International Inc. Performance Share Units Guridi, Sebastian Tomas 5 12/19/2018 30 30.61 19,413 266 Finning International Inc. Restricted Share Unit

(RSU) Guridi, Sebastian Tomas 5 12/19/2018 30 30.61 9,804 242

Finning International Inc. Performance Share Units Hale, Mona 5 12/19/2018 30 30.61 17,652 234 Finning International Inc. Restricted Share Unit

(RSU) Hale, Mona 5 12/19/2018 30 30.61 5,529 133


Hale, Mona 5 12/19/2018 30 30.61 1,469 38


Hale, Mona 5 12/19/2018 99 1,468 -1

Finning International Inc. Performance Share Units Harrod, Darcy Joel 5 12/19/2018 30 30.61 210 Finning International Inc. Performance Share Units Harrod, Darcy Joel 5 12/19/2018 30 30.61 14,312 213 Finning International Inc. Performance Share Units Harrod, Darcy Joel 5 12/19/2018 99 14,311 -1 Finning International Inc. Restricted Share Unit

(RSU) Harrod, Darcy Joel 5 12/19/2018 30 30.61 4,529 108


Harrod, Darcy Joel 5 12/19/2018 99 4,530 1


Harrod, Darcy Joel 5 12/19/2018 30 30.61 5,153 132


Harrod, Darcy Joel 5 12/19/2018 99 5,154 1


Hartery, Nicholas 4 12/20/2018 30 30.61 34,743 831


Hartery, Nicholas 4 12/20/2018 56 23.47 37,161 2,418


Hartery, Nicholas 4 12/20/2018 99 37,160 -1

Finning International Inc. Performance Share Units Hiley, Chad, Stephen 5 12/18/2018 30 30.61 42,505 665 Finning International Inc. Restricted Share Unit

(RSU) Hiley, Chad, Stephen 5 12/18/2018 30 30.61 13,520 323


Hiley, Chad, Stephen 5 12/18/2018 99 13,519 -1

Insider Reporting

January 3, 2019

(2019), 42 OSCB 145



Acquired/ Disposed


Units Hiley, Chad, Stephen 5 12/18/2018 30 30.61 7,388 181

Finning International Inc. Performance Share Units Hogg, Mark Stephen 5 12/19/2018 30 30.61 5,983 90 Finning International Inc. Restricted Share Unit

(RSU) Hogg, Mark Stephen 5 12/19/2018 30 30.61 2,951 71


Hogg, Mark Stephen 5 12/19/2018 99 2,950 -1

Finning International Inc. Performance Share Units Hummel, Gracielle 5 12/19/2018 30 30.61 5,867 136 Finning International Inc. Restricted Share Unit

(RSU) Hummel, Gracielle 5 12/19/2018 30 30.61 1,956 45


Kelley, Mary Lou 4 12/20/2018 30 30.2 4,629 65


Kelley, Mary Lou 4 12/20/2018 56 23.47 6,823 2,194


Kelley, Mary Lou 4 12/20/2018 99 6,824 1


Kvisle, Harold N. 4 12/20/2018 30 30.61 8,443 160


Kvisle, Harold N. 4 12/20/2018 56 23.47 10,637 2,194


Kvisle, Harold N. 4 12/20/2018 99 10,638 1


Levenick, Stuart L. 4 12/20/2018 30 30.61 20,915 473


Levenick, Stuart L. 4 12/20/2018 56 23.47 23,376 2,461


Levenick, Stuart L. 4 12/20/2018 99 23,377 1

Finning International Inc. Performance Share Units Marchese, Marchello 5 12/19/2018 30 30.61 46,169 602 Finning International Inc. Restricted Share Unit

(RSU) Marchese, Marchello 5 12/19/2018 30 30.61 14,433 349

Finning International Inc. Performance Share Units Marks, Anna Pia 5 12/18/2018 30 30.61 18,504 233 Finning International Inc. Performance Share Units Marks, Anna Pia 5 12/18/2018 99 18,503 -1 Finning International Inc. Restricted Share Unit

(RSU) Marks, Anna Pia 5 12/18/2018 30 30.61 10,000 247


Marks, Anna Pia 5 12/18/2018 30 30.61 25,142 646

Finning International Inc. Performance Share Units Murdoch, Heather Jane 5 12/18/2018 30 30.61 17,340 225 Finning International Inc. Performance Share Units Murdoch, Heather Jane 5 12/18/2018 99 17,339 -1 Finning International Inc. Restricted Share Unit

(RSU) Murdoch, Heather Jane 5 12/18/2018 30 30.61 5,423 130


Murdoch, Heather Jane 5 12/18/2018 99 5,424 1

Finning International Inc. Performance Share Units Nielsen, Steven Mathew 5 12/18/2018 30 30.61 79,263 967 Finning International Inc. Restricted Share Unit

(RSU) Nielsen, Steven Mathew 5 12/18/2018 30 30.61 24,649 597


Nielsen, Steven Mathew 5 12/18/2018 99 24,650 1


Nielsen, Steven Mathew 5 12/18/2018 30 28.2 15,834 224


O'Neill, Kathleen M. 4 12/20/2018 30 30.61 62,162 1,563


O'Neill, Kathleen M. 4 12/20/2018 56 23.47 63,440 1,278


O'Neill, Kathleen M. 4 12/20/2018 99 63,441 1

Finning International Inc. Performance Share Units Palaschuk, Gregory 5 12/19/2018 30 30.6 19,888 328 Finning International Inc. Restricted Share Unit

(RSU) Palaschuk, Gregory 5 12/19/2018 30 30.61 6,346 153

Finning International Inc. Performance Share Units Parkes, Kevin 5 12/19/2018 30 30.61 44,925 665 Finning International Inc. Restricted Share Unit

(RSU) Parkes, Kevin 5 12/19/2018 30 30.61 14,212 340


Parkes, Kevin 5 12/19/2018 30 30.61 6,396 149

Insider Reporting

January 3, 2019

(2019), 42 OSCB 146



Acquired/ Disposed


Units Patterson, Christopher William

4 12/20/2018 30 30.61 30,918 763


Patterson, Christopher William

4 12/20/2018 56 23.47 32,196 1,278

Finning International Inc. Performance Share Units Primrose, David Francis Neil

5 12/19/2018 30 30.61 26,277 385


Primrose, David Francis Neil

5 12/19/2018 30 30.61 8,302 199



5 12/19/2018 30 30.61 5,153 132



5 12/19/2018 99 5,154 1

Finning International Inc. Performance Share Units Reber, Jordan Fox 5 12/19/2018 30 30.61 9,810 225 Finning International Inc. Performance Share Units Reber, Jordan Fox 5 12/19/2018 99 9,809 -1 Finning International Inc. Restricted Share Unit

(RSU) Reber, Jordan Fox 5 12/19/2018 30 30.61 11,442 228

Finning International Inc. Performance Share Units Thomson, Scott 5 12/19/2018 30 30.61 286,441 3,627 Finning International Inc. Restricted Share Unit

(RSU) Thomson, Scott 5 12/19/2018 30 30.61 89,351 2,161


Thomson, Scott 5 12/19/2018 30 30.61 8,567 220

Finning International Inc. Performance Share Units Villegas, Juan Carlos 5 12/19/2018 30 30.61 79,263 967 Finning International Inc. Restricted Share Unit

(RSU) Villegas, Juan Carlos 5 12/19/2018 30 30.61 24,649 597


Villegas, Juan Carlos 5 12/19/2018 99 24,650 1


Villegas, Juan Carlos 5 12/19/2018 30 30.61 90,323 2,319


Whitehead, Douglas William Geoffrey

4, 5 12/20/2018 30 30.61 89,469 2,240



4, 5 12/20/2018 56 23.47 91,706 2,237



4, 5 12/20/2018 99 91,707 1

FireFox Gold Corp. Common Shares Löfberg, Carl 4 12/21/2018 15 0.4 212,500 12,500 FireFox Gold Corp. Warrants Löfberg, Carl 4 8/1/2017 00 FireFox Gold Corp. Warrants Löfberg, Carl 4 12/21/2018 15 0.6 6,250 6,250 FireFox Gold Corp. Common Shares MacRitchie, Andrew 5 8/1/2017 00 FireFox Gold Corp. Common Shares MacRitchie, Andrew 5 12/21/2018 15 0.4 25,000 25,000 FireFox Gold Corp. Common Shares Warrants MacRitchie, Andrew 5 8/1/2017 00 FireFox Gold Corp. Common Shares Warrants MacRitchie, Andrew 5 8/1/2017 00 FireFox Gold Corp. Warrants MacRitchie, Andrew 5 8/1/2017 00 FireFox Gold Corp. Warrants MacRitchie, Andrew 5 12/21/2018 15 0.6 12,500 12,500 FireFox Gold Corp. Common Shares Magnus Minerals Ltd. 3 12/21/2018 15 0.4 7,612,500 112,500 FireFox Gold Corp. Warrants Magnus Minerals Ltd. 3 8/1/2017 00 FireFox Gold Corp. Warrants Magnus Minerals Ltd. 3 12/21/2018 15 0.6 56,250 56,250 Firm Capital Mortgage Investment Corporation

Convertible Debentures 5.40% (FC.DB.I)

Dadouch, Eli 4, 5 1/1/2011 00

Firm Capital Mortgage Investment Corporation


Dadouch, Eli 4, 5 12/18/2018 10 95 $50,000 $50,000


Convertible Debentures FC.DB.G 5.20%

Dadouch, Eli 4, 5 1/1/2011 00


Convertible Debentures FC.DB.G 5.20%

Dadouch, Eli 4, 5 12/20/2018 10 95 $50,000 $50,000


Common Shares Mair, Jonathon 4, 5 12/12/2018 10 13.12 82,100 -1,000


Common Shares Mair, Jonathon 4, 5 12/13/2018 10 13.24 80,100 -2,000

Firm Capital Property Trust Options Goldfarb, Stanley 4 12/14/2018 51 5.3 60,000 -18,000 Firm Capital Property Trust Units Goldfarb, Stanley 4 12/14/2018 51 5.3 43,000 18,000 First Capital Realty Inc. Common Shares Segal, Dori 4, 6, 5 12/17/2018 11 20.101 1,128,952 10,000 First Capital Realty Inc. Units Restricted Share

Units Segal, Dori 4, 6, 5 12/17/2018 38 20.101 66,141 -17,673

Insider Reporting

January 3, 2019

(2019), 42 OSCB 147



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. First Cobalt Corp. Common Shares Snyder, Ryan Matthew

Jonathan 5 12/20/2018 10 0.18 50,000 10,000

First Mexican Gold Corp. Common Shares Voisin, James Arthur Robert 4 12/18/2018 10 0.01 3,722,615 -20,000 First Mining Gold Corp. Options Marshall, Andrew Colin 5 12/10/2018 50 0.4 2,350,000 750,000 First Mining Gold Corp. Options Neumeyer, Keith 4 12/10/2018 50 0.4 6,890,000 700,000 First Mining Gold Corp. Common Shares SHAW, DAVID ANDREW 4, 5 12/18/2018 10 0.24 800,750 50,000 First Mining Gold Corp. Common Shares SHAW, DAVID ANDREW 4, 5 12/21/2018 10 0.245 850,750 50,000 First National Financial Corporation

Preferred Shares FN.PR.A Tawse, Moray 4, 7, 5 12/14/2018 10 13.214 21,050 4,000

First National Financial Corporation











Preferred Shares FN.PR.B Tawse, Moray 4, 7, 5 12/18/2018 10 13.25 2,200 1,100


Preferred Shares FN.PR.B Tawse, Moray 4, 7, 5 12/18/2018 10 13.25 3,300 1,100


Preferred Shares FN.PR.B Tawse, Moray 4, 7, 5 12/19/2018 10 13.25 4,200 900

FIRSTSERVICE CORPORATION


FirstService Corporation 1 12/18/2018 10 68.55 200 200



FirstService Corporation 1 12/18/2018 10 68.45 700 500



FirstService Corporation 1 12/18/2018 10 68.51 1,757 1,057



FirstService Corporation 1 12/18/2018 10 68.4 2,057 300

















































Insider Reporting

January 3, 2019

(2019), 42 OSCB 148



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. FIRSTSERVICE CORPORATION





























FirstService Corporation 1 12/20/2018 10 68 24,514 500




































FirstService Corporation 1 12/20/2018 10 67.15 1,257










Fission Uranium Corp. Common Shares Chang, Robby Sai Kit 4 12/17/2018 46 29,245 24,505 Fission Uranium Corp. Common Shares Chen, Deshao 4 12/17/2018 46 34,662 24,505 Fission Uranium Corp. Common Shares Estergaard, Eyler Frank 4 12/17/2018 46 1,002,525 24,505 Fission Uranium Corp. Common Shares Ma, Shiming 4 12/17/2018 46 88,156 24,505 Fission Uranium Corp. Common Shares Marsh, William 4 12/17/2018 46 121,856 24,505 Fission Uranium Corp. Common Shares McElroy, Ross E. 5 12/17/2018 46 1,994,323 24,505 Fission Uranium Corp. Common Shares Randhawa, Devinder 5 12/17/2018 46 4,531,142 24,505 Fission Uranium Corp. Common Shares Yip, Darian Heung-Yeung 4 8/9/2018 00 Fission Uranium Corp. Common Shares Yip, Darian Heung-Yeung 4 12/17/2018 46 19,400 19,400 Five Star Diamonds Limited Common Shares de Azevedo, Luis Mauricio

F. 4, 5 4/20/2017 00

Five Star Diamonds Limited Common Shares de Azevedo, Luis Mauricio F.

4, 5 4/20/2017 00


4, 5 12/21/2018 97 0.2 796,932

Insider Reporting

January 3, 2019

(2019), 42 OSCB 149



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Five Star Diamonds Limited Common Shares de Azevedo, Luis Mauricio

F. 4, 5 12/21/2018 97 0.2 796,932


4, 5 4/20/2017 00


4, 5 12/21/2018 97 0.2 796,932 796,932


4, 5 12/21/2018 97 0.2 1,573,060 1,373,060

Five Star Diamonds Limited Common Shares South, Jeremy Thomas 5 3/1/2018 00 Five Star Diamonds Limited Common Shares South, Jeremy Thomas 5 12/21/2018 97 0.2 314,616 314,616 Five Star Diamonds Limited Common Shares Waraich, Aneel Singh 4 12/21/2018 97 0.2 3,345,085 595,505 Five Star Diamonds Limited Common Shares Waraich, Aneel Singh 4 12/12/2018 10 0.05 96,300 9,000 Five Star Diamonds Limited Common Shares Waraich, Aneel Singh 4 12/12/2018 10 0.055 96,800 500 Five Star Diamonds Limited Common Shares Waraich, Aneel Singh 4 12/12/2018 10 0.055 2,745,080 5,000 Five Star Diamonds Limited Common Shares Waraich, Aneel Singh 4 12/18/2018 10 0.06 2,749,580 4,500 Five Star Diamonds Limited Common Shares Wood, Matthew Gaden

Western 4, 5 12/21/2018 97 0.2 6,398,071 1,373,248

Fortis Inc. Common Shares Zurel, Jo Mark 4 12/20/2018 10 46.12 10,000 51 Fortress Global Enterprises Inc. (formerly Fortress Paper Ltd.)

Common Shares Class A voting without par value

Iadeluca, Giovanni 5 12/13/2018 10 1.8 16,200 1,500

Fortress Global Enterprises Inc. (formerly Fortress Paper Ltd.)








Iadeluca, Giovanni 5 12/14/2018 10 1.792 20,700 500







Fountain Asset Corp. Subordinate Voting Shares

Daher, Roger 4 12/13/2018 10 0.42 510,500 500,000


Kelly, Paul Albert 4 12/14/2018 10 0.42 4,215,000 200,000


Leskovec, Michael George 5 5/1/2018 00


Leskovec, Michael George 5 5/1/2018 00


Leskovec, Michael George 5 12/13/2018 10 0.42 30,000 30,000

Franco-Nevada Corporation Common Shares Harquail, David 4, 5 12/18/2018 10 97.81 109,264 -5,736 Franco-Nevada Corporation Common Shares Harquail, David 4, 5 12/19/2018 10 98.66 85,864 -23,400 Franco-Nevada Corporation Common Shares Harquail, David 4, 5 12/18/2018 51 59.52 1,042,860 35,803 Franco-Nevada Corporation Common Shares Harquail, David 4, 5 12/18/2018 51 65.76 1,085,613 42,753 Franco-Nevada Corporation Common Shares Harquail, David 4, 5 12/18/2018 10 97.04 1,007,057 -78,556 Franco-Nevada Corporation Options Harquail, David 4, 5 12/18/2018 51 59.52 139,677 -35,803 Franco-Nevada Corporation Options Harquail, David 4, 5 12/18/2018 51 65.76 96,924 -42,753 Franco-Nevada Corporation Common Shares O'Connell, Jason 5 12/18/2018 10 96.354 6,527 -842 Franco-Nevada Corporation Common Shares Sparkes, Kerry Elwyn 5 12/18/2018 51 59.52 1,897 1,219 Franco-Nevada Corporation Common Shares Sparkes, Kerry Elwyn 5 12/18/2018 51 65.76 4,227 2,330 Franco-Nevada Corporation Common Shares Sparkes, Kerry Elwyn 5 12/18/2018 51 75.45 6,140 1,913 Franco-Nevada Corporation Common Shares Sparkes, Kerry Elwyn 5 12/18/2018 10 96.35 678 -5,462 Franco-Nevada Corporation Common Shares Sparkes, Kerry Elwyn 5 12/18/2018 10 97.5 0 -329 Franco-Nevada Corporation Options Sparkes, Kerry Elwyn 5 12/18/2018 51 59.52 7,345 -1,219 Franco-Nevada Corporation Options Sparkes, Kerry Elwyn 5 12/18/2018 51 65.76 5,015 -2,330 Franco-Nevada Corporation Options Sparkes, Kerry Elwyn 5 12/18/2018 51 75.45 3,102 -1,913 Galane Gold Ltd. Common Shares Bhalla, Amar 4 12/19/2018 11 0.045 12,989,689 2,000,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 150



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Galaxy Digital Holdings Ltd. Common Shares Tavoso, Richard 7, 5 12/14/2018 10 1 400,000 48,400 Galaxy Digital Holdings Ltd. Common Shares Tavoso, Richard 7, 5 12/17/2018 10 0.9688 425,000 25,000 Galaxy Digital Holdings Ltd. Common Shares Tavoso, Richard 7, 5 12/18/2018 10 0.97 450,000 25,000 Galaxy Digital Holdings Ltd. Common Shares Tavoso, Richard 7, 5 12/19/2018 10 1.01 458,500 8,500 Galaxy Digital Holdings Ltd. Common Shares Tavoso, Richard 7, 5 12/19/2018 10 1.02 483,500 25,000 Galway Metals Inc. Common Shares Cartafalsa, Joseph Blaise 4 12/21/2018 11 0.17 1,939,968 294,117 Galway Metals Inc. Common Shares Hinchcliffe, Robert 3, 4, 5 12/21/2018 11 0.17 588,235 Galway Metals Inc. Common Shares Hinchcliffe, Robert 3, 4, 5 12/21/2018 11 0.17 12,421,119 588,235 Galway Metals Inc. Common Shares Strauss, Lawrence Jay 4 12/21/2018 11 0.17 1,050,000 275,000 Galway Metals Inc. Common Shares Trowbridge, Maria Michelle 5 12/21/2018 11 0.17 780,390 147,058 Gamehost Inc. Common Shares Thomas, Craig McLeod 5 12/20/2018 10 9.2 300 200 Gamehost Inc. Common Shares WILL, DARCY 4, 6, 5 12/14/2018 10 9.7345 19,168 2,300 Gamehost Inc. Common Shares WILL, DARCY 4, 6, 5 12/18/2018 10 9.6915 24,933 5,765 Gamehost Inc. Common Shares WILL, DARCY 4, 6, 5 12/14/2018 10 9.7345 19,266 2,300 Gamehost Inc. Common Shares WILL, DARCY 4, 6, 5 12/18/2018 10 9.6915 25,031 5,765 Gamehost Inc. Common Shares WILL, DARCY 4, 6, 5 12/14/2018 10 9.7345 19,566 2,300 Gamehost Inc. Common Shares WILL, DARCY 4, 6, 5 12/18/2018 10 9.6915 25,336 5,770 Generation Mining Limited Common Shares Knoll, Kerry 4 12/13/2018 90 431,000 200,000 Generation Mining Limited Common Shares Knoll, Kerry 4 12/14/2018 90 1,938,802 1,507,802 Generation Mining Limited Common Shares Knoll, Kerry 4 12/13/2018 90 1,507,802 -200,000 Generation Mining Limited Common Shares Knoll, Kerry 4 12/14/2018 90 0 -1,507,802 Generation Mining Limited Common Shares levy, Jamie 4 12/17/2018 10 0.1 167,500 6,500 Genesis Land Development Corp.

Common Shares Genesis Land Development Corp.

1 12/10/2018 38 0 -769,100

GENIUS METALS INC. Common Shares Boisjoli, Robert 5 12/21/2018 16 0.35 76,233 42,900 GENIUS METALS INC. Common Shares Boisjoli, Robert 5 12/21/2018 16 0.35 42,900 GENIUS METALS INC. Common Shares Boisjoli, Robert 5 12/21/2018 16 0.35 42,900 GENIUS METALS INC. Common Shares Boisjoli, Robert 5 10/5/2018 00 GENIUS METALS INC. Common Shares Boisjoli, Robert 5 12/21/2018 16 0.35 14,300 14,300 GENIUS METALS INC. Common Shares Boisjoli, Robert 5 10/5/2018 00 GENIUS METALS INC. Common Shares Boisjoli, Robert 5 12/21/2018 16 0.35 14,300 14,300 GENIUS METALS INC. Warrants Boisjoli, Robert 5 12/21/2018 16 0.45 38,117 21,450 GENIUS METALS INC. Warrants Boisjoli, Robert 5 10/5/2018 00 GENIUS METALS INC. Warrants Boisjoli, Robert 5 12/21/2018 16 0.45 7,150 7,150 GENIUS METALS INC. Warrants Boisjoli, Robert 5 10/5/2018 00 GENIUS METALS INC. Warrants Boisjoli, Robert 5 12/21/2018 16 0.45 7,150 7,150 GENIUS METALS INC. Common Shares Booth, John Geoffrey 4 12/21/2018 16 0.25 186,667 20,000 GENIUS METALS INC. Warrants Booth, John Geoffrey 4 12/21/2018 16 99,167 20,000 GENIUS METALS INC. Common Shares Goulet, Guy 5 12/13/2018 10 0.2 796,686 6,000 GENIUS METALS INC. Common Shares Goulet, Guy 5 12/14/2018 10 0.195 798,686 2,000 GENIUS METALS INC. Common Shares Vallée, Hubert 4 12/21/2018 16 0.25 120,667 24,000 GENIUS METALS INC. Warrants Vallée, Hubert 4 12/21/2018 16 82,333 24,000 Genworth MI Canada Inc. Executive DSU Hurley, Brian Leo 4, 5 12/17/2018 57 41.46 0 -23,936 Geodrill Limited Common Shares Sustainable Capital Ltd 3 12/18/2018 10 1.42 6,024,600 200 Geodrill Limited Common Shares Sustainable Capital Ltd 3 12/19/2018 10 1.42 6,031,300 6,700 George Weston Limited Common Shares Wasti, Rashid 5 12/21/2018 10 89.26 6,600 -200 Global Atomic Corporation Options Campbell, Timothy Norman 5 12/19/2018 50 689,036 300,000 Global Atomic Corporation Options Cronin, Paul 4 12/19/2018 50 350,000 50,000 Global Atomic Corporation Options Faucher, Richard Regis 4 4/4/2018 50 81,818 Global Atomic Corporation Options Faucher, Richard Regis 4 4/4/2018 50 81,818 Global Atomic Corporation Options Faucher, Richard Regis 4 12/19/2018 50 0.35 350,000 50,000 Global Atomic Corporation Options Faucher, Richard Regis 4 12/19/2018 50 50,000 Global Atomic Corporation Options Faucher, Richard Regis 4 12/19/2018 50 50,000 Global Atomic Corporation Options Flach, George Andrew 4, 5 12/19/2018 50 2,278,073 700,000 Global Atomic Corporation Options Lehari, Rein Arnold 5 12/19/2018 50 2,189,036 349,900 Global Atomic Corporation Options Rance, Derek C. 4 12/19/2018 50 350,000 50,000 Global Atomic Corporation Options Roman, Stephen G. 4, 5 12/19/2018 50 3,978,073 500,000 Global Atomic Corporation Options Zarraonandia Ayo, Asier 4 12/19/2018 50 731,818 50,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 151



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Global Dividend Growers Income Fund

Trust Units Global Dividend Growers Income Fund

1 12/19/2018 38 11.906 5,305,705 700

Global Dividend Growers Income Fund

Trust Units Global Dividend Growers Income Fund

1 12/20/2018 38 11.771 5,307,105 1,400

Global Hemp Group Inc. Warrants Huber, Curtis Ralph William 4 12/12/2018 53 0.012 7,211,187 6,000,000 Global Innovation Dividend Fund

Trust Units Global Innovation Dividend Fund

1 12/14/2018 38 9.1965 668,800 4,300

Global Innovation Dividend Fund


1 12/17/2018 38 9.0141 672,500 3,700



1 12/18/2018 38 8.8961 678,100 5,600



1 12/19/2018 38 8.8915 685,300 7,200



1 12/20/2018 38 8.838 693,200 7,900

Global Real Estate & E-Commerce Dividend Fund

Trust Units Global Real Estate & E-Commerce Dividend Fund

1 12/14/2018 38 9.2362 81,300 8,200



1 12/17/2018 38 9.031 89,400 8,100



1 12/18/2018 38 8.9877 97,700 8,300



1 12/19/2018 38 8.9933 101,300 3,600



1 12/20/2018 38 8.7845 106,200 4,900

Global Real Estate Dividend Growers Corp.

Common Shares Equity Shares

Global Real Estate Dividend Growers Corp.

1 12/19/2018 38 8 7,190,889 600

Globalive Technology Inc. (formerly, Corporate Catalyst Acquisition Inc.)

Common Shares Lacavera, Anthony 3, 4, 5 12/17/2018 10 0.21 56,925,902 10,000








Common Shares Lacavera, Anthony 3, 4, 5 12/20/2018 10 0.195 56,946,402 500




Common Shares Nirenberski, Gerald Scott 5 6/8/2018 00


Common Shares Nirenberski, Gerald Scott 5 12/12/2018 10 100


Common Shares Nirenberski, Gerald Scott 5 12/12/2018 10 0.1526 100 100


Common Shares Shah, Bhavin 5 6/8/2018 00


Common Shares Shah, Bhavin 5 12/17/2018 10 20,000


Common Shares Shah, Bhavin 5 12/17/2018 10 0.21 20,000 20,000

GMP Capital Inc. Common Shares James Richardson & Sons, Limited

3 12/13/2018 97 10,290,693 -7,879,882


3 12/13/2018 90 0 -10,290,693

Insider Reporting

January 3, 2019

(2019), 42 OSCB 152



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. GMP Capital Inc. Common Shares James Richardson & Sons,

Limited 3 12/13/2018 90 18,170,575 10,290,693


3 11/12/2009 00


3 12/13/2018 90 10,290,693 10,290,693


3 12/13/2018 90 0 -10,290,693

Go Cobalt Mining Corp. Common Shares Murray, Robert Brian 4, 5 12/19/2018 10 0.26 279,500 74,500 GoGold Resources Inc. Options Hatfield, Dana Murray 5 12/9/2018 52 300,000 -200,000 GoGold Resources Inc. Options Nehme, Anis Zafer 5 12/9/2018 52 300,000 -200,000 Goldbelt Empires Limited Common Shares Kahn, Michael 4 6/26/2018 00 Goldbelt Empires Limited Common Shares Kahn, Michael 4 9/5/2018 00 800,000 Goldbelt Empires Limited Options Kahn, Michael 4 6/26/2018 00 Goldbelt Empires Limited Options Kahn, Michael 4 9/5/2018 00 263,667 Golden Share Resources Corporation

Common Shares Huang, Zhen 4 12/17/2018 51 0.1 720,000 120,000

Golden Share Resources Corporation

Options Huang, Zhen 4 12/17/2018 51 0.1 200,000 -120,000

Golden Star Resources Ltd. Options Owiredu, Daniel 5 10/30/2018 37 541,096 -2,164,390 Golden Star Resources Ltd. Options Owiredu, Daniel 5 11/22/2018 52 3.5 -91,000 Golden Star Resources Ltd. Options Owiredu, Daniel 5 11/22/2018 52 3.5 522,896 -18,200 Golden Star Resources Ltd. Deferred Share Units Quartey, Mona Helen

Kabuki 4 10/30/2018 37 -93,008

Golden Star Resources Ltd. Deferred Share Units Quartey, Mona Helen Kabuki

4 10/30/2018 37 21,001 -84,008

Golden Valley Mines Ltd. Common Shares mccartney, william david 4 12/17/2018 10 0.23 40,000 10,000 Goldeneye Resources Corp. Common Shares Bal, Jatinder Singh 4 12/13/2018 11 0.1 3,210,000 -1,000,000 Goldeneye Resources Corp. Common Shares Bal, Jatinder Singh 4 12/13/2018 11 0.1 3,206,850 -3,150 Goldeneye Resources Corp. Common Shares Bal, Jatinder Singh 4 12/19/2018 10 0.095 3,146,850 -60,000 Goldeneye Resources Corp. Warrants Bal, Jatinder Singh 4 6/15/2015 00 1,500,000 GOLDPLAY EXPLORATION LTD. (Formerly: Soleil Capital Corp.)

Options Bailey, Blaine 5 12/19/2018 50 0.22 488,945 200,000

GOLDPLAY EXPLORATION LTD. (Formerly: Soleil Capital Corp.)

Options DeMichele, Luigi Gino 4 12/19/2018 50 400,698 200,000


Options Fonseca, Marcio Bastos 4 3/1/2018 50 0.3 1,235,028 617,514





Gowest Gold Ltd. Common Shares Elliott, C. Fraser 4 12/21/2018 11 0.05 27,790,478 1,000,000 Gowest Gold Ltd. Common Shares Elliott, C. Fraser 4 12/21/2018 11 0.05 38,790,478 11,000,000 Gowest Gold Ltd. Warrants Elliott, C. Fraser 4 12/21/2018 11 0.07 9,926,837 500,000 Gowest Gold Ltd. Warrants Elliott, C. Fraser 4 12/21/2018 11 0.07 15,426,837 5,500,000 Gowest Gold Ltd. Common Shares Quintiliani, Peter 4 12/21/2018 11 0.05 7,461,401 500,000 Gowest Gold Ltd. Warrants Quintiliani, Peter 4 12/21/2018 11 0.07 1,019,834 250,000 Granite Oil Corp. (formerly DeeThree Exploration Ltd.)

Common Shares Carrigy, Brendan Richard 4, 5 12/21/2018 16 0.52 1,038,285 480,000

Granite Oil Corp. (formerly DeeThree Exploration Ltd.)

Common Shares Kabanuk, Michael Lyle 4, 5 12/21/2018 16 0.52 1,133,976 480,800


Common Shares Turgeon, Kathy 4 12/21/2018 16 0.52 43,000 40,000

Granite Real Estate Investment Trust

Trust Units (traded as a component of stapled units)


1 12/20/2018 38 52.99 16,456 16,456




1 12/20/2018 38 0 -16,456

Insider Reporting

January 3, 2019

(2019), 42 OSCB 153



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Granite REIT Inc. Deferred Share Units Aghar, Peter 4 12/14/2018 35 54.29 3,775 16 Granite REIT Inc. Deferred Share Units Clow, Donald Everett 4 12/14/2018 35 54.29 5,834 24 Granite REIT Inc. Deferred Share Units Daal, Remco 4 12/14/2018 35 54.29 3,468 14 Granite REIT Inc. Performance Share Units Gorrie, Kevan Stuart 4, 5 12/14/2018 35 54.29 3,746 16 Granite REIT Inc. Restricted Share Units Gorrie, Kevan Stuart 4, 5 12/14/2018 35 54.29 46,583 194 Granite REIT Inc. Common Shares (traded

as a component of stapled units)

Granite REIT Inc. 1 12/20/2018 38 52.99 16,456 16,456

Granite REIT Inc. Common Shares (traded as a component of stapled units)

Granite REIT Inc. 1 12/20/2018 38 0 -16,456

Granite REIT Inc. Restricted Share Units Konstantopoulos, Ilias 5 12/14/2018 35 54.29 12,637 53 Granite REIT Inc. Restricted Share Units KUMER, LORNE 5 12/14/2018 35 54.29 16,094 67 Granite REIT Inc. Deferred Share Units Manji, Samir Aziz 4 12/14/2018 35 54.29 3,067 13 Granite REIT Inc. Deferred Share Units Marshall, Kelly John 4 12/14/2018 35 54.29 4,998 21 Granite REIT Inc. Deferred Share Units Mawani, Al 4 12/14/2018 35 54.29 3,984 17 Granite REIT Inc. Deferred Share Units Miller, Gerald 4 12/14/2018 35 54.29 9,549 40 Granite REIT Inc. Deferred Share Units Warren, Edna Jennifer 4 12/14/2018 35 54.29 838 3 Gratomic Inc. (formerly CKR Carbon Corporation)

Options Bloch, Daniel Nathan 4 12/18/2018 50 750,000 250,000

Gratomic Inc. (formerly CKR Carbon Corporation)

Options Bloch, Daniel Nathan 4 12/18/2018 50 1,000,000 250,000


Options Brand, Arno 4 12/18/2018 50 3,750,000 2,000,000


Common Shares Inwentash, Sheldon 4, 5 12/21/2018 10 0.1095 3,000,000 -1,000,000


Options Inwentash, Sheldon 4, 5 12/18/2018 50 5,950,000 2,000,000


Options Johnstone, William Roy 5 12/18/2018 50 775,000 200,000


Options Laviolette, Denis Roland 4 12/18/2018 50 450,000 200,000


Options Roden, Rodger 5 11/29/2018 00


Options Roden, Rodger 5 12/18/2018 50 0.13 250,000 250,000

Green 2 Blue Energy Corp. (formerly Brigade Resource Corp.)

Common Shares CM-Equity AG 4 12/19/2018 00 2,259,600


Options CM-Equity AG 4 12/19/2018 00 1,000,000


Warrants CM-Equity AG 4 12/19/2018 00 1,000,400

Green Thumb Industries Inc. (formerly Bayswater Uranium Corporation)


Berger, Wendy Alison 4 6/12/2018 00 114,177








Super Voting Shares Georgiadis, Anthony Valentino

4, 5 6/12/2018 00 479



4, 5 6/12/2018 00 328



4, 5 12/12/2018 10 26,306 17


Super Voting Shares Grossman, Andrew 5 6/12/2018 00 2,303

Insider Reporting

January 3, 2019

(2019), 42 OSCB 154



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Green Thumb Industries Inc. (formerly Bayswater Uranium Corporation)


Kadens, Pete Albert 4, 5 12/12/2018 36 0 -5,747,900


Super Voting Shares Kadens, Pete Albert 4, 5 6/12/2018 00


Super Voting Shares Kadens, Pete Albert 4, 5 6/12/2018 00


Super Voting Shares Kadens, Pete Albert 4, 5 6/12/2018 00 3,665


Super Voting Shares Kadens, Pete Albert 4, 5 12/12/2018 10 -12,521






Super Voting Shares Kadens, Pete Albert 4, 5 12/12/2018 36 249,656 -12,521



Kovler, Benjamin 4, 5 12/12/2018 36 8 -5,581,592



Kovler, Benjamin 4, 5 12/12/2018 36 0 -5,747,900



Kovler, Benjamin 4, 5 12/12/2018 36 0 -6,122,100


Super Voting Shares Kovler, Benjamin 4, 5 6/12/2018 00 85




Super Voting Shares Kovler, Benjamin 4, 5 6/12/2018 00 2,246


Super Voting Shares Kovler, Benjamin 4, 5 12/12/2018 36 50,208 -4,184




Super Voting Shares Kovler, Benjamin 4, 5 6/12/2018 00 3,817






Super Voting Shares Kovler, Benjamin 4, 5 12/12/2018 36 56,067 3,821



Senk, Glen Todd 4 6/11/2018 00 69,252



Senk, Glen Todd 4 6/11/2018 00



Senk, Glen Todd 4 6/11/2018 00

Insider Reporting

January 3, 2019

(2019), 42 OSCB 155



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. GTA Resources and Mining Inc.

Warrants Clausi, Peter Michael 4, 5 12/11/2018 55 0 -100,000

GTA Resources and Mining Inc.

Warrants Crawford, Brian Lorne 4, 5 12/11/2018 55 0 -100,000

GTEC Holdings Ltd. Common Shares Singhavon, Norton 3, 4, 5 12/14/2018 10 0.497 10,854,872 100,000 GTEC Holdings Ltd. Common Shares Singhavon, Norton 3, 4, 5 12/20/2018 10 0.47 10,870,872 16,000 Guardian Capital Group Limited


Guardian Capital Group Limited

1 12/20/2018 10 21.5 32,000 32,000

H&R Real Estate Investment Trust

Units Lebovic, Laurence A. 4 12/19/2018 47 5,000 5,000

H&R Real Estate Investment Trust

Units Lebovic, Laurence A. 4 12/20/2018 10 21.054 0 -5,000

Halo Labs Inc. (formerly Apogee Opportunities Inc.)

Common Shares Sidhu, Kiranjit Singh 4 12/17/2018 10 0.278 3,354,852 34,000

Halo Labs Inc. (formerly Apogee Opportunities Inc.)

Common Shares Sidhu, Kiranjit Singh 4 12/18/2018 10 0.2815 3,468,352 113,500

Hamilton Thorne Ltd. Common Shares Wolf, David 4, 5 12/19/2018 51 0.18 1,285,865 38,000 Hamilton Thorne Ltd. Options Wolf, David 4, 5 12/19/2018 51 0.18 2,702,106 -38,000 Hardwoods Distribution Inc. Common Shares Bull, Peter Morris 3 12/17/2018 10 10.296 4,356,939 9,400 Hardwoods Distribution Inc. Common Shares Bull, Peter Morris 3 12/18/2018 10 10.425 4,368,339 11,400 Heatherdale Resources Ltd. Common Shares Dickinson, Robert Allan 4 12/18/2018 11 901,515 -100,168 Heritage Cannabis Holdings Corp. (formerly Umbral Energy Corp.)

Common Shares Sharples, Clint 4 12/18/2018 10 0.165 2,865,000 50,000

Heritage Cannabis Holdings Corp. (formerly Umbral Energy Corp.)

Common Shares Sharples, Clint 4 12/19/2018 10 0.16 2,915,000 50,000

Heroux-Devtek Inc. Common Shares Gravel, Jean 5 12/21/2018 10 11.92 44,162 1,995 HEXO Corp. Options Bursey, William James 5 12/17/2018 50 5.09 54,000 54,000 HEXO Corp. Common Shares Chiara, Vincent 4 12/17/2018 10 4.94 114,700 40,000 High Hampton Holdings Corp.

Common Shares Allen, Robert 4 12/14/2018 10 75,000

High Hampton Holdings Corp.

Common Shares Allen, Robert 4 12/14/2018 10 0.295 75,000 75,000

High Hampton Holdings Corp.

Common Shares Allen, Robert 4 12/20/2018 10 0.195 130,000 55,000

High Tide Inc. Convertible Debentures - Dec. 12/18 (expire Dec. 12/20)

Kwan, Arthur 4 11/20/2018 00

High Tide Inc. Convertible Debentures - Dec. 12/18 (expire Dec. 12/20)

Kwan, Arthur 4 12/12/2018 70 0.75 333,333 333,333

Holloway Lodging Corporation

Convertible Debentures HLC.DB 6.25% due Feb 28, 2020

Clarke Inc. 3 12/19/2018 10 98 $1,272,000 $43,000



Clarke Inc. 3 12/20/2018 10 98.25 $1,308,000 $36,000

Home Capital Group Inc. Common Shares Berkshire Hathaway Inc. 3 12/21/2018 38 16.5 2,750,291 -13,294,289 Home Capital Group Inc. Rights Restricted Share

Units Karthaus, Edward 5 12/15/2018 59 871 -435

Home Capital Group Inc. Common Shares Kotush, Bradley William 5 12/21/2018 10 14.14 36,500 10,000 Home Capital Group Inc. Common Shares Lamoureux, Claude 4 12/21/2018 10 14.19 22,000 7,000 Horizon North Logistics Inc. Common Shares Becker, Mark Alan 7 9/4/2018 00 Horizon North Logistics Inc. Common Shares Becker, Mark Alan 7 9/24/2018 10 2.89 59,635 59,635 Horizon North Logistics Inc. Common Shares Becker, Mark Alan 7 12/18/2018 90 359,680 300,045 Horizon North Logistics Inc. Common Shares Becker, Mark Alan 7 12/19/2018 10 1.58 0 -359,680 Horizon North Logistics Inc. Common Shares Becker, Mark Alan 7 12/18/2018 90 0 -300,045 Horizon North Logistics Inc. Common Shares Garden, Mary 4 12/17/2018 10 1.68 52,550 50 Horizon North Logistics Inc. Common Shares Garden, Mary 4 12/17/2018 10 1.65 53,750 1,200 Horizon North Logistics Inc. Common Shares Nabholz, Kevin Drew 4 12/14/2018 10 1.6 7,000 7,000 Horizon North Logistics Inc. Common Shares Nabholz, Kevin Drew 4 12/17/2018 10 1.65 100,000 93,000 Horizon North Logistics Inc. Common Shares Newmark, Russell 4 12/18/2018 10 1.5475 193,000 25,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 156



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Horizon North Logistics Inc. Common Shares Rooney, Ann Isabel 4 12/18/2018 10 1.57 29,800 3,200 Horizonte Minerals PLC Common Shares Fisher, William J. 4 12/14/2018 10 0.03 1,775,000 95,000 Horizonte Minerals PLC Common Shares Retter, Simon James 5 12/20/2018 10 1.81 1,138,121 138,121 Hudbay Minerals Inc. (formerly HudBay Minerals Inc.)

Common Shares Waterton Global Resource Management, Inc.

3 12/13/2018 10 6.3041 13,477,363 413,757

Hudbay Minerals Inc. (formerly HudBay Minerals Inc.)


3 12/14/2018 10 6.2042 13,560,625 83,262



3 12/17/2018 10 6.2126 13,961,763 401,138



3 12/18/2018 10 6.1926 14,211,763 250,000



3 12/19/2018 10 6.0962 14,481,334 269,571



3 12/13/2018 10 6.3041 13,477,368 413,758



3 12/14/2018 10 6.2042 13,560,631 83,263



3 12/17/2018 10 6.2126 13,961,769 401,138



3 12/18/2018 10 6.1926 14,211,769 250,000



3 12/19/2018 10 6.0962 14,481,341 269,572

Hudson's Bay Company Common Shares Zator, Todd 5 12/15/2018 57 9,942 5,623 Hudson's Bay Company Common Shares Zator, Todd 5 12/15/2018 57 6,932 -3,010 Hudson's Bay Company Restricted Share Units Zator, Todd 5 12/15/2018 57 41,523 -5,623 HUSKY ENERGY INC. Options Hart, Jeffrey Ryan 5 12/17/2018 50 213,505 82,000 HUSKY ENERGY INC. Performance Share Units Hart, Jeffrey Ryan 5 12/17/2018 56 108,396 50,660 Hyduke Energy Services Inc. Common Shares Kololian, Vahan 4 12/21/2018 10 0.02 0 -1,100,000 Hyduke Energy Services Inc. Warrants Kololian, Vahan 4 6/29/2018 00 Hyduke Energy Services Inc. Warrants Kololian, Vahan 4 12/19/2018 53 2,920,000 2,920,000 Icon Exploration Inc. Common Shares Fia, Roberto 3, 4, 5 12/17/2018 54 0.15 4,613,312 312,500 Icon Exploration Inc. Warrants Fia, Roberto 3, 4, 5 11/10/2014 00 312,500 Icon Exploration Inc. Warrants Fia, Roberto 3, 4, 5 12/17/2018 54 0.15 0 -312,500 IGM Financial Inc. Common Shares Carney, Jeffrey 4, 5 12/17/2018 30 32.27 4,313 300 IGM Financial Inc. Common Shares Carney, Jeffrey 4, 5 12/17/2018 30 32.25 4,413 100 IGM Financial Inc. Common Shares Carney, Jeffrey 4, 5 12/17/2018 30 32.25 4,476 63 Ikkuma Resources Corp. Common Shares Benders, Kimberley Eve 5 10/22/2018 30 0.65 183,954 2,305 Ikkuma Resources Corp. Common Shares Benders, Kimberley Eve 5 10/31/2018 30 0.66 186,226 2,272 Ikkuma Resources Corp. Common Shares Benders, Kimberley Eve 5 11/20/2018 30 0.55 188,953 2,727 Ikkuma Resources Corp. Common Shares de Freitas, Timothy 4, 5 10/22/2018 30 0.65 557,621 3,009 Ikkuma Resources Corp. Common Shares de Freitas, Timothy 4, 5 10/31/2018 30 0.66 560,588 2,967 Ikkuma Resources Corp. Common Shares de Freitas, Timothy 4, 5 11/20/2018 30 0.55 564,149 3,561 Ikkuma Resources Corp. Common Shares Feltham, Gregory Ronald 5 10/22/2018 30 0.65 456,763 2,561 Ikkuma Resources Corp. Common Shares Feltham, Gregory Ronald 5 10/31/2018 30 0.66 459,288 2,525 Ikkuma Resources Corp. Common Shares Feltham, Gregory Ronald 5 11/20/2018 30 0.55 462,318 3,030 Ikkuma Resources Corp. Common Shares Feltham, Gregory Ronald 5 12/4/2018 30 0.57 465,239 2,921 Ikkuma Resources Corp. Common Shares Feltham, Gregory Ronald 5 12/18/2018 30 0.5 468,572 3,333 Ikkuma Resources Corp. Common Shares McLeod, Yvonne Margarita 5 10/22/2018 30 0.65 399,686 1,761 Ikkuma Resources Corp. Common Shares McLeod, Yvonne Margarita 5 10/31/2018 30 0.66 401,422 1,736 Ikkuma Resources Corp. Common Shares McLeod, Yvonne Margarita 5 11/20/2018 30 0.55 403,505 2,083 Ikkuma Resources Corp. Common Shares McLeod, Yvonne Margarita 5 12/4/2018 30 0.57 405,513 2,008 Ikkuma Resources Corp. Common Shares McLeod, Yvonne Margarita 5 12/18/2018 30 0.5 407,805 2,292

Insider Reporting

January 3, 2019

(2019), 42 OSCB 157



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Ikkuma Resources Corp. Common Shares Rowe, James Richmond 5 10/22/2018 30 0.65 187,585 2,561 Ikkuma Resources Corp. Common Shares Rowe, James Richmond 5 10/31/2018 30 0.66 190,110 2,525 Ikkuma Resources Corp. Common Shares Van de Pol, John 5 10/22/2018 30 0.65 391,072 2,753 Ikkuma Resources Corp. Common Shares Van de Pol, John 5 10/31/2018 30 0.66 393,786 2,714 Ikkuma Resources Corp. Common Shares Van de Pol, John 5 11/20/2018 30 0.55 397,044 3,258 Ikkuma Resources Corp. Common Shares Van de Pol, John 5 12/4/2018 30 0.57 400,184 3,140 Ikkuma Resources Corp. Common Shares Van de Pol, John 5 12/18/2018 30 0.5 403,767 3,583 iMining Blockchain and Cryptocurrency Inc.

Common Shares Arca, Gary Vittorio 4, 5 12/17/2018 10 0.04 231,333 100,000

iMining Blockchain and Cryptocurrency Inc.

Common Shares Arca, Gary Vittorio 4, 5 12/17/2018 10 0.04 100,000

iMining Blockchain and Cryptocurrency Inc.

Common Shares Arca, Gary Vittorio 4, 5 12/17/2018 10 0.04 100,000

Imperial Oil Limited Common Shares Exxon Mobil Corporation 3 12/17/2018 38 35.1 545,172,276 -126,935 Imperial Oil Limited Common Shares Exxon Mobil Corporation 3 12/18/2018 38 35.05 545,045,341 -126,935 Imperial Oil Limited Common Shares Exxon Mobil Corporation 3 12/19/2018 38 35.04 544,918,406 -126,935 Imperial Oil Limited Common Shares Exxon Mobil Corporation 3 12/20/2018 38 34.44 544,791,471 -126,935 Imperial Oil Limited Common Shares Exxon Mobil Corporation 3 12/21/2018 38 34.66 544,664,561 -126,910 IMV Inc. (formerly Immunovaccine Inc.)

Common Shares Labbé, Pierre 5 12/19/2018 10 7.3 103,081 3,000

IMV Inc. (formerly Immunovaccine Inc.)

Common Shares Labbé, Pierre 5 12/19/2018 10 7.29 105,081 2,000


Common Shares SCARDINO, ALBERT JAMES

4 12/20/2018 10 5.1 1,727,880 200



4 12/20/2018 10 5.12 1,728,380 500



4 12/20/2018 10 5.14 1,728,980 600



4 12/20/2018 10 5.16 1,729,980 1,000



4 12/20/2018 10 5.18 1,730,980 1,000



4 12/20/2018 10 5.19 1,731,480 500



4 12/20/2018 10 5.2 1,731,780 300



4 12/20/2018 10 5.22 1,732,380 600



4 12/20/2018 10 5.25 1,732,480 100



4 12/20/2018 10 5.28 1,733,480 1,000



4 12/20/2018 10 5.32 1,734,480 1,000



4 12/20/2018 10 5.34 1,735,480 1,000



4 12/21/2018 10 5.26 1,736,181 701



4 12/21/2018 10 5.28 1,737,181 1,000



4 12/21/2018 10 5.3 1,738,181 1,000


Common Shares Sheldon, Andrew J. 4 12/17/2018 10 7.25 72,374 2,500

Inca One Gold Corp. Common Shares HART, Kevin Ryan 5 12/21/2018 51 0.05 3,000,000 2,000,000 Inca One Gold Corp. Options HART, Kevin Ryan 5 12/20/2018 50 0.05 4,000,000 2,000,000 Inca One Gold Corp. Options HART, Kevin Ryan 5 12/20/2018 50 0.05 5,900,000 1,900,000 Inca One Gold Corp. Options HART, Kevin Ryan 5 12/21/2018 51 0.05 3,900,000 -2,000,000 Inca One Gold Corp. Options Stevens, Rodney 4 12/20/2018 50 1,800,000 1,000,000 Inca One Gold Corp. Options Wright, Mark St. John 5 12/20/2018 50 0.05 907,000 300,000 Inca One Gold Corp. Options Wright, Mark St. John 5 12/20/2018 50 0.05 1,507,000 600,000 Industrial Alliance Insurance and Financial Services inc.

Common Shares Bélanger, Martin 5 12/19/2018 10 43.8 1,874 1,140

Insider Reporting

January 3, 2019

(2019), 42 OSCB 158



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Industrial Alliance Insurance and Financial Services inc.

Common Shares Industrielle Alliance, Assurance et services financiers inc

1 12/6/2018 38 45.129 178,326 40,826

Industrial Alliance Insurance and Financial Services inc.


1 12/7/2018 38 45.486 78,326 37,500



1 12/10/2018 38 44.654 127,652 49,326



1 12/11/2018 38 44.851 176,978 49,326



1 12/12/2018 38 44.446 226,304 49,326



1 12/14/2018 38 0 -226,304


Common Shares Lamoureux, Claude 4 12/20/2018 10 43 11,000 3,000


Common Shares Miron, Pierre 5 12/21/2018 10 42.68 2,000 2,000


Common Shares Morin, Danielle G. 4 12/17/2018 10 43.5 4,935 200


Common Shares Morin, Danielle G. 4 12/21/2018 10 42.5 5,135 200


Common Shares Potvin, Jacques 5 12/21/2018 10 42.75 7,104 1,700


Common Shares Ricard, Denis 5 12/21/2018 10 42.4 30,000 2,000


Preferred Shares IAG.PR.G Catégorie A, série G

Tremblay, Michel 5 12/19/2018 10 21.15 12,000 1,000

Information Services Corporation

Class A Limited Voting Shares

Musgrave, Scott 4 12/18/2018 10 15.11 1,052



Musgrave, Scott 4 12/18/2018 10 15.112 6,052 1,052



Musgrave, Scott 4 12/19/2018 10 15.1 4,000



Musgrave, Scott 4 12/19/2018 10 15.105 10,052 4,000



Musgrave, Scott 4 12/19/2018 10 14.95 10,177 125



Musgrave, Scott 4 12/19/2018 10 15.08 110



Musgrave, Scott 4 12/19/2018 10 15.082 10,287 110

Inner Spirit Holdings Ltd. Common Shares Bondar, Darren Hartley 3, 4, 5 12/17/2018 10 0.17 13,921,000 -379,000 Inner Spirit Holdings Ltd. Common Shares Gulka, Christopher David 4, 5 12/18/2018 10 0.15 984,833 -431,833 Input Capital Corp. Rights Deferred Share

Units Brown, David 4 12/21/2018 56 1.0076 282,141 77,412

Input Capital Corp. Rights Deferred Share Units

Budreski, John Philip Adrian 4 12/21/2018 56 1.0076 156,792 69,472

Input Capital Corp. Options Burgess, James 5 12/21/2018 50 0.8 482,800 239,300 Input Capital Corp. Rights Deferred Share

Units Hepworth, Lorne 4 12/21/2018 56 1.0076 253,203 69,472

Input Capital Corp. Rights Deferred Share Units

Laidley, David Howard 4 12/21/2018 56 1.0076 282,141 77,412

Intact Financial Corporation Common Shares Young, William 4 12/19/2018 10 99.62 8,100 400 Intact Financial Corporation Common Shares Young, William 4 12/19/2018 10 99.63 8,200 100 INTEGRATED ASSET MANAGEMENT CORP.

Common Shares Pappin, David 5 9/9/2016 30 1.13 91,095 88,495

Inter Pipeline Ltd. Common Shares Bayle, Christian 5 12/20/2018 10 19.289 485,000 25,000 Interfor Corporation Common Shares Interfor Corporation 1 12/14/2018 38 129,410 -141,410 Interfor Corporation Common Shares Interfor Corporation 1 12/14/2018 38 14 194,115 64,705 Interfor Corporation Common Shares Interfor Corporation 1 12/17/2018 38 13.78 296,915 102,800

Insider Reporting

January 3, 2019

(2019), 42 OSCB 159



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Interfor Corporation Common Shares Interfor Corporation 1 12/18/2018 38 13.877 338,915 42,000 Interfor Corporation Common Shares Interfor Corporation 1 12/19/2018 38 14.061 403,620 64,705 Interfor Corporation Common Shares Interfor Corporation 1 12/20/2018 38 13.908 468,325 64,705 International Petroleum Corporation

Common Shares Festival, John Larry 4 12/14/2018 00

International Petroleum Corporation

Common Shares Festival, John Larry 4 12/14/2018 00


Common Shares Festival, John Larry 4 12/14/2018 00 2,278,187


Common Shares Festival, John Larry 4 12/14/2018 00 39,138


Common Shares Heppenstall, C. Ashley 4 12/14/2018 36 1,127,501 663,740


Common Shares Hogue, Chris W. 5 12/14/2018 00


Common Shares Hogue, Chris W. 5 12/14/2018 00 1,274,454


Common Shares Lorito Holdings S.à.r.l. 3 12/14/2018 00 3,022,018


Common Shares Lundin, Lukas Henrik 4 12/14/2018 36 3,104,935 2,842,158


Common Shares Nemesia S.a.r.l. 3 12/17/2018 10 29,055,580 288,010


Common Shares SOBEL, EDWARD 5 12/14/2018 00


Common Shares SOBEL, EDWARD 5 12/14/2018 00 290,218


Common Shares SOBEL, EDWARD 5 12/14/2018 00 1,472,658


Common Shares Zebra Holdings and Investments S.à.r.l.

3 12/14/2018 00 5,826,159

Internet of Things Inc. (formerly HTN Inc.)

Options Shuttleworth, Ronald Edward

4, 5 12/5/2018 00

Internet of Things Inc. (formerly HTN Inc.)

Options Shuttleworth, Ronald Edward

4, 5 12/11/2018 50 2,000,000 2,000,000

Intertape Polymer Group Inc. Common Shares Intertape Polymer Group, Inc.

1 12/17/2018 38 15.207 38,000 38,000


1 12/18/2018 38 15.427 76,000 38,000


1 12/19/2018 38 16.28 114,000 38,000


1 12/20/2018 38 16.384 152,000 38,000

Intertape Polymer Group Inc. Common Shares Pantelidis, James 4 12/14/2018 10 15.49 25,500 500 Intertape Polymer Group Inc. Common Shares Pantelidis, James 4 12/17/2018 10 14.8 26,500 1,000 Intertape Polymer Group Inc. Common Shares Pantelidis, James 4 5/16/2012 00 Intertape Polymer Group Inc. Common Shares Pantelidis, James 4 12/14/2018 10 15.37 1,000 1,000 Intertape Polymer Group Inc. Common Shares Pantelidis, James 4 5/16/2012 00 Intertape Polymer Group Inc. Common Shares Pantelidis, James 4 12/14/2018 10 15.88 1,000 1,000 Intertape Polymer Group Inc. Common Shares Pantelidis, James 4 5/16/2012 00 Intertape Polymer Group Inc. Common Shares Pantelidis, James 4 12/14/2018 10 15.43 1,000 1,000 Intertape Polymer Group Inc. Common Shares Pantelidis, James 4 5/16/2012 00 Intertape Polymer Group Inc. Common Shares Pantelidis, James 4 12/14/2018 10 15.74 1,500 1,500 Intertape Polymer Group Inc. Common Shares Quintas, Jorge Nelson 4 12/17/2018 10 14.8 73,008 7,500 Intrinsyc Technologies Corporation

Common Shares Intrinsyc Technologies Corporation

1 12/17/2018 10 1.37 3,300 3,300

Intrinsyc Technologies Corporation


1 12/17/2018 38 0 -3,300



1 12/18/2018 10 1.39 300 300



1 12/18/2018 10 1.37 3,300 3,000



1 12/18/2018 38 0 -3,300

Insider Reporting

January 3, 2019

(2019), 42 OSCB 160



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Intrinsyc Technologies Corporation


1 12/19/2018 10 1.4 1,800 1,800



1 12/19/2018 10 1.38 3,300 1,500



1 12/19/2018 38 0 -3,300

INV Metals Inc. Common Shares MacGibbon, Terry 4 3/14/2006 00 INV Metals Inc. Common Shares MacGibbon, Terry 4 12/20/2018 97 3,261,455 3,261,455 INV Metals Inc. Common Shares MacGibbon, Terry 4 12/21/2018 10 0.6195 3,292,455 31,000 INV Metals Inc. Common Shares MacGibbon, Terry 4 12/19/2018 11 0.65 4,372,810 -65,201 INV Metals Inc. Common Shares MacGibbon, Terry 4 12/19/2018 11 0.65 4,438,011 65,201 INV Metals Inc. Common Shares Shaver, William M 5 12/14/2018 10 0.575 606,000 157,500 Invesque Inc. (formerly, Mainstreet Health Investments Inc.)

Common Shares Wigmore, Elisabeth Shirley 4 3/19/2018 00

Invesque Inc. (formerly, Mainstreet Health Investments Inc.)

Common Shares Wigmore, Elisabeth Shirley 4 12/20/2018 10 6.82 2,200

Invesque Inc. (formerly, Mainstreet Health Investments Inc.)

Common Shares Wigmore, Elisabeth Shirley 4 12/20/2018 10 6.82 2,220 2,220

Itasca Capital Ltd. Common Shares Swets, Jr., Larry Gene 4, 5 6/9/2016 00 Itasca Capital Ltd. Common Shares Swets, Jr., Larry Gene 4, 5 12/17/2018 10 0.13 74,000 74,000 Itasca Capital Ltd. Common Shares Swets, Jr., Larry Gene 4, 5 12/18/2018 10 0.14 174,000 100,000 Ivanhoe Mines Ltd. Rights Restricted Share

Units Bawlf, Martin Forrester 5 12/15/2018 59 125,562 -154,863

Ivanhoe Mines Ltd. Rights Restricted Share Units

Bos, Matthieu 7 12/15/2018 59 94,933 -104,168


Cloete, Martie 7, 5 12/15/2018 59 192,648 -153,475

Ivanhoe Mines Ltd. Common Shares Class A de Selliers de Moranville, Guy Jacques

4 12/17/2018 90 10,000 10,000

Ivanhoe Mines Ltd. Common Shares Class A de Selliers de Moranville, Guy Jacques

4 12/17/2018 90 810,000 -10,000

Ivanhoe Mines Ltd. Common Shares Class A Farren, Mark Sean 5 12/15/2018 57 142,187 74,479 Ivanhoe Mines Ltd. Rights Restricted Share

Units Farren, Mark Sean 5 12/15/2018 57 295,558 -74,479


Farren, Mark Sean 5 12/15/2018 59 234,619 -60,939

Ivanhoe Mines Ltd. Common Shares Class A Friedland, Robert Martin 3, 4, 6, 5 12/15/2018 57 34,248,008 583,336 Ivanhoe Mines Ltd. Rights Restricted Share

Units Friedland, Robert Martin 3, 4, 6, 5 12/15/2018 57 497,867 -583,336


Johansson, Lars-Eric 7, 5 12/15/2018 59 497,867 -340,279

Ivanhoe Mines Ltd. Common Shares Class A Mahler, Livia 4 12/19/2018 10 2.27 6,400 6,400 Ivanhoe Mines Ltd. Common Shares Class A Mahler, Livia 4 12/19/2018 10 2.265 6,500 100 Ivanhoe Mines Ltd. Common Shares Class A Mahler, Livia 4 12/21/2018 10 2.16 14,500 8,000 Ivanhoe Mines Ltd. Common Shares Class A Makhesha, Setha Patricia 7 12/17/2018 51 0.64 100,000 100,000 Ivanhoe Mines Ltd. Common Shares Class A Makhesha, Setha Patricia 7 12/17/2018 10 2.31 28,600 -71,400 Ivanhoe Mines Ltd. Common Shares Class A Makhesha, Setha Patricia 7 12/17/2018 10 2.32 18,800 -9,800 Ivanhoe Mines Ltd. Common Shares Class A Makhesha, Setha Patricia 7 12/17/2018 10 2.33 0 -18,800 Ivanhoe Mines Ltd. Options Makhesha, Setha Patricia 7 12/17/2018 51 0.64 100,000 -100,000 Ivanhoe Mines Ltd. Rights Restricted Share

Units Makhesha, Setha Patricia 7 12/15/2018 59 139,542 -58,334

Ivanhoe Mines Ltd. Common Shares Class A Mikhael, Elia 7 12/15/2018 57 195,564 33,334 Ivanhoe Mines Ltd. Rights Restricted Share

Units Mikhael, Elia 7 12/15/2018 57 50,371 -33,334


Nzuru Solo, Guy Benjamin 7 12/15/2018 59 0 -17,361

Ivanhoe Mines Ltd. Common Shares Class A Vincelli, Mary 5 12/15/2018 57 38,638 6,000 Ivanhoe Mines Ltd. Rights Restricted Share

Units Vincelli, Mary 5 12/15/2018 57 37,754 -6,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 161



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Ivanhoe Mines Ltd. Rights Restricted Share

Units Vincelli, Mary 5 12/15/2018 59 33,754 -4,000


Watum, Louis Kabamba 7 12/15/2018 59 0 -76,043

James E. Wagner Cultivation Corporation

Common Shares ALARIE, Raymond Leopold 4 12/20/2018 10 0.55 318,533 44,620

Jamieson Wellness Inc. Common Shares Chan, Robert 5 12/13/2018 51 0.0005 25,824 2,000 Jamieson Wellness Inc. Common Shares Chan, Robert 5 12/13/2018 10 21.5 23,824 -2,000 Jamieson Wellness Inc. Common Shares Chan, Robert 5 12/14/2018 51 0.0005 25,824 2,000 Jamieson Wellness Inc. Common Shares Chan, Robert 5 12/14/2018 10 21.1 23,824 -2,000 Jamieson Wellness Inc. Options Chan, Robert 5 12/13/2018 51 0.0005 57,281 -2,000 Jamieson Wellness Inc. Options Chan, Robert 5 12/14/2018 51 0.0005 55,281 -2,000 Jemtec Inc. Options BAKER, GORDON 4 5/14/2018 50 0.75 82,805 25,000 Jewett-Cameron Trading Company Ltd.

Common Shares Nasser, Michael Charles 5 12/18/2018 10 8.175 169,433 -15,600

Jourdan Resources Inc. Options Rompel, Andreas 5 12/14/2018 00 Jourdan Resources Inc. Options Rompel, Andreas 5 12/14/2018 50 0.05 300,000 300,000 Jourdan Resources Inc. Options Woodhead, Stephen 5 12/14/2018 00 Jourdan Resources Inc. Options Woodhead, Stephen 5 12/14/2018 50 0.05 60,000 60,000 K-Bro Linen Inc. Common Shares Gannon, Jeffrey Ronald 5 12/19/2018 10 32.34 7,066 -1,219 K-Bro Linen Inc. Common Shares Matyas, Steven Emanuel 4 12/20/2018 10 32.5 15,129 1,500 K-Bro Linen Inc. Common Shares Matyas, Steven Emanuel 4 12/21/2018 10 32.5 16,629 1,500 Karnalyte Resources Inc. Rights Favreau, Danielle 5 12/31/2015 00 Karnalyte Resources Inc. Rights Favreau, Danielle 5 12/20/2018 10 0.01 27,500 27,500 Karnalyte Resources Inc. Rights Favreau, Danielle 5 12/20/2018 58 -

Expiration

of rights

0.01 55,000 27,500

Karnalyte Resources Inc. Common Shares Rowan, William Todd 4 12/17/2018 57 0.17 199,500 66,500 Karnalyte Resources Inc. Rights Rowan, William Todd 4 12/17/2018 57 0 -133,000 Karnalyte Resources Inc. Common Shares Zachanowich, Mark 4 12/20/2018 36 0.17 350,250 138,750 Karnalyte Resources Inc. Rights Zachanowich, Mark 4 12/14/2018 10 0.005 256,500 100,000 Kelso Technologies Inc. Common Shares Lee, Richard Manning 5 12/19/2018 10 0.56 143,000 8,500 Kelso Technologies Inc. Common Shares Lee, Richard Manning 5 12/20/2018 10 0.56 144,500 1,500 Killam Apartment Limited Partnership

Exchangeable Shares Class B LP Units

Lawley, James C. 4 12/19/2018 45 16.51 793,991 180,217

Killam Apartment Real Estate Investment Trust

Rights Restricted Units Banks, Timothy 4 12/17/2018 57 16.52 6,646 -1,807


Trust Units Banks, Timothy 4 12/17/2018 57 16.52 40,971 879


Rights Restricted Units Buckle-McIntosh, Ruth Mary 5 12/17/2018 57 16.52 22,888 -4,423


Trust Units Buckle-McIntosh, Ruth Mary 5 12/17/2018 57 16.52 9,109 2,212


Rights Restricted Units Cleveland, Erin Nicole 5 12/17/2018 57 16.52 15,113 -3,563


Trust Units Cleveland, Erin Nicole 5 12/17/2018 57 16.52 8,100 1,639


Rights Restricted Units Crowell, Pamela Florence 5 12/17/2018 57 16.52 18,600 -3,503


Trust Units Crowell, Pamela Florence 5 12/17/2018 57 16.52 9,217 1,752


Rights Restricted Units Fraser, Philip 4 12/17/2018 57 16.52 120,159 -24,666


Trust Units Fraser, Philip 4 12/17/2018 47 16.04 17,155 -1,000


Trust Units Fraser, Philip 4 12/17/2018 57 16.52 258,307 11,346


Rights Restricted Units Jackson, Jeremy Winston 5 12/17/2018 57 16.52 16,486 -3,104


Trust Units Jackson, Jeremy Winston 5 12/17/2018 57 16.52 11,370 1,552

Insider Reporting

January 3, 2019

(2019), 42 OSCB 162



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Killam Apartment Real Estate Investment Trust

Rights Restricted Units Karine, MacIndoe 4 12/17/2018 57 16.52 3,151 -1,807


Trust Units Karine, MacIndoe 4 12/17/2018 57 16.52 45,757 1,265


Trust Units Lawley, James C. 4 12/19/2018 45 16.51 426,048 277,181


Rights Restricted Units Lloyd, Arthur G. 4 12/17/2018 57 16.52 10,991 -1,657


Trust Units Lloyd, Arthur G. 4 12/17/2018 57 16.52 15,778 862


Rights Restricted Units McCarville, Colleen 5 12/17/2018 57 16.52 13,505 -2,340


Trust Units McCarville, Colleen 5 12/17/2018 57 16.52 3,253 1,170


Rights Restricted Units McLean, Mike 5 12/17/2018 57 16.52 20,948 -3,620


Trust Units McLean, Mike 5 12/17/2018 57 16.52 5,441 1,665


Rights Restricted Units Noseworthy, Dale 5 12/17/2018 57 16.52 25,854 -3,462


Trust Units Noseworthy, Dale 5 12/17/2018 57 16.52 6,094 1,593


Rights Restricted Units Richardson, Robert 4 12/17/2018 57 16.52 75,131 -21,589


Trust Units Richardson, Robert 4 12/17/2018 57 16.52 39,451 9,931


Rights Restricted Units WALT, MANFRED 4 12/17/2018 57 16.52 11,894 -1,807


Trust Units WALT, MANFRED 4 12/17/2018 57 16.52 15,045 1,807


Rights Restricted Units Watson, Wayne 4 12/17/2018 57 16.52 2,694 -564


Trust Units Watson, Wayne 4 12/17/2018 57 16.52 5,158 302

Kinaxis Inc. Common Shares Monkman, Richard George 5 12/21/2018 47 2,000 Kinaxis Inc. Common Shares Monkman, Richard George 5 12/21/2018 47 2,000 Kinaxis Inc. Common Shares Monkman, Richard George 5 12/21/2018 10 64.74 -2,000 Kinaxis Inc. Common Shares Monkman, Richard George 5 12/21/2018 10 64.74 -2,000 Kinaxis Inc. Common Shares Monkman, Richard George 5 12/21/2018 47 2,000 2,000 Kinaxis Inc. Common Shares Monkman, Richard George 5 12/21/2018 10 64.74 0 -2,000 Kinaxis Inc. Common Shares Monkman, Richard George 5 12/18/2018 51 3.2 2,000 Kinaxis Inc. Common Shares Monkman, Richard George 5 12/18/2018 51 3.2 2,000 Kinaxis Inc. Common Shares Monkman, Richard George 5 12/18/2018 51 3.2 2,000 Kinaxis Inc. Common Shares Monkman, Richard George 5 12/18/2018 51 3.2 2,000 Kinaxis Inc. Common Shares Monkman, Richard George 5 12/18/2018 51 3.2 22,816 2,000 Kinaxis Inc. Common Shares Monkman, Richard George 5 12/21/2018 47 -2,000 Kinaxis Inc. Common Shares Monkman, Richard George 5 12/21/2018 47 -2,000 Kinaxis Inc. Common Shares Monkman, Richard George 5 12/21/2018 47 20,816 -2,000 Kinaxis Inc. Options Monkman, Richard George 5 12/18/2018 51 3.2 -2,000 Kinaxis Inc. Options Monkman, Richard George 5 12/18/2018 51 3.2 -2,000 Kinaxis Inc. Options Monkman, Richard George 5 12/18/2018 51 3.2 -2,000 Kinaxis Inc. Options Monkman, Richard George 5 12/18/2018 51 3.2 -2,000 Kinaxis Inc. Options Monkman, Richard George 5 12/18/2018 51 3.2 179,500 -2,000 Kingsway Financial Services Inc.

Common Shares Baqar, Hassan Raza 5 12/17/2018 10 2.2747 43,708 440

Kingsway Financial Services Inc.

Common Shares Fitzgerald, John Taylor Maloney

4, 5 12/17/2018 10 2.2747 414,732 916


Common Shares Hickey, William A. 5 12/17/2018 10 2.2747 84,600 658

Kinross Gold Corporation Restricted Shares Mittler, Andreas 5 8/3/2018 00 Kinross Gold Corporation Restricted Shares Mittler, Andreas 5 11/12/2018 56 3.42 87,719 87,719 Kirkland Lake Gold Ltd. Common Shares Parr, Jeffrey Scott 4 12/17/2018 10 4.95 30,500 20,000 Kirkland Lake Gold Ltd. Common Shares Parr, Jeffrey Scott 4 12/17/2018 10 32.704 10,500 -20,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 163



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Kirkland Lake Gold Ltd. Options Parr, Jeffrey Scott 4 12/17/2018 51 4.95 130,002 -20,000 Kirkland Lake Gold Ltd. Common Shares Sprott, Eric S. 4 12/14/2018 47 33.39 -650,000 Kirkland Lake Gold Ltd. Common Shares Sprott, Eric S. 4 12/14/2018 47 33.39 -650,000 Kirkland Lake Gold Ltd. Common Shares Sprott, Eric S. 4 12/14/2018 47 33.39 750,024 -650,000 kneat.com, inc. Common Shares Ainsworth, Ian 4 12/18/2018 10 0.97 708,385 5,000 Knight Therapeutics Inc. Common Shares Goodman, Jonathan Ross 4, 6, 5 12/17/2018 30 8.44 335,193 1,042 Koios Beverage Corp. Common Shares LEVANG, ERIK 4 12/4/2018 00 Koios Beverage Corp. Options LEVANG, ERIK 4 12/4/2018 00 Koios Beverage Corp. Warrants LEVANG, ERIK 4 12/4/2018 00 KP Tissue Inc. Common Shares Gosselin, Mario 6, 7, 5 12/18/2018 10 8.0001 8,700 -5,300 KP Tissue Inc. Common Shares Gosselin, Mario 6, 7, 5 12/18/2018 10 8.0205 5,100 -3,600 KP Tissue Inc. Common Shares Gosselin, Mario 6, 7, 5 12/18/2018 10 8.069 4,000 -1,100 KP Tissue Inc. Common Shares Letellier, Michel 4 12/6/2012 00 KP Tissue Inc. Common Shares Letellier, Michel 4 12/19/2018 10 7.85 1,780 1,780 Largo Resources Ltd. Common Shares Beeck, Alberto Luis 4 12/13/2018 10 3.1518 13,726,489 -200,000 Largo Resources Ltd. Common Shares Beeck, Alberto Luis 4 12/14/2018 10 3.1 13,318,489 -408,000 Lassonde Industries Inc. Options Simard, Michel 5 5/15/1987 00 Lassonde Industries Inc. Options Simard, Michel 5 5/15/1987 00 Lassonde Industries Inc. Options Simard, Michel 5 5/15/1987 00 50,000 Lassonde Industries Inc. Options Simard, Michel 5 10/26/2018 00 Lassonde Industries Inc. Subordinate Voting

Shares Catégorie A Simard, Michel 5 5/15/1987 00

Lassonde Industries Inc. Subordinate Voting Shares Catégorie A

Simard, Michel 5 5/15/1987 00 400


Simard, Michel 5 10/26/2018 00


Simard, Michel 4 10/26/2018 00 3,400

LAURENTIAN BANK OF CANADA

Options Allidina, Azmina 7 6/20/2016 00


Options Allidina, Azmina 7 12/13/2018 50 38.97 6,148


Options Allidina, Azmina 7 12/13/2018 50 38.97 6,148 6,148


Options Artinian, Vania 5 9/10/2010 00


Options Artinian, Vania 5 12/13/2018 50 38.97 9,758


Options Artinian, Vania 5 12/13/2018 50 38.97 9,758 9,758


Options Backman, Craig 5 8/20/2018 00


Options Backman, Craig 5 12/13/2018 50 38.97 23,654


Options Backman, Craig 5 12/13/2018 50 38.97 23,654 23,654


Options Bernier, Julie 5 11/3/2014 00


Options Bernier, Julie 5 12/13/2018 50 38.97 5,502


Options Bernier, Julie 5 12/13/2018 50 38.97 5,502 5,502


Options De Broux, Christian 5 10/7/2013 00


Options De Broux, Christian 5 12/13/2018 50 38.97 8,589


Options De Broux, Christian 5 12/13/2018 50 38.97 8,589 8,589


Options Deschamps, Yvan 5 4/4/2016 00


Options Deschamps, Yvan 5 12/13/2018 50 38.97 7,054

Insider Reporting

January 3, 2019

(2019), 42 OSCB 164



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. LAURENTIAN BANK OF CANADA

Options Deschamps, Yvan 5 12/13/2018 50 38.97 7,054 7,054


Options Desjardins, François 4, 5 12/13/2018 50 38.97 53,279




Options Desjardins, François 4, 5 12/13/2018 50 38.97 53,279 53,279




Options Desjardins, François 4, 5 12/13/2018 50 38.97 153,651 100,372


Options Farooqi, Sarim 5 2/6/2018 00


Options Farooqi, Sarim 5 12/13/2018 50 38.97 9,563


Options Farooqi, Sarim 5 12/13/2018 50 38.97 9,563 9,563


Options King, Donald Fisher 7 9/6/2016 00


Options King, Donald Fisher 7 12/13/2018 50 38.97 6,063


Options King, Donald Fisher 7 12/13/2018 50 38.97 6,063 6,063


Options LAFRESNAYE, DIANE 7 12/10/2002 00


Options LAFRESNAYE, DIANE 7 12/13/2018 50 38.97 5,962


Options LAFRESNAYE, DIANE 7 12/13/2018 50 38.97 5,962 5,962


Options Laurin, François 5 12/13/2018 50 38.97 12,012




Options Laurin, François 5 12/13/2018 50 38.97 12,012 12,012




Options Laurin, François 5 12/13/2018 50 38.97 45,068 33,056


Options Mason, William James Alexander

5 6/4/2018 00



5 12/13/2018 50 38.97 33,056



5 12/13/2018 50 38.97 33,056 33,056


Options Migliara, Antonino 5 5/12/2014 00


Options Migliara, Antonino 5 12/13/2018 50 38.97 8,220


Options Migliara, Antonino 5 12/13/2018 50 38.97 8,220 8,220


Common Shares Mueller, Mike 4 12/17/2018 00


Options O'Neill, David 7 10/5/2015 00


Options O'Neill, David 7 12/13/2018 50 38.97 9,470


Options O'Neill, David 7 12/13/2018 50 38.97 9,470 9,470


Options Penhale, John 5 6/4/2018 00


Options Penhale, John 5 12/13/2018 50 38.97 8,197


Options Penhale, John 5 12/13/2018 50 38.97 8,197 8,197

Insider Reporting

January 3, 2019

(2019), 42 OSCB 165



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. LAURENTIAN BANK OF CANADA

Options Pilote, Diane 5 9/7/2015 00


Options Pilote, Diane 5 12/13/2018 50 38.97 9,173


Options Pilote, Diane 5 12/13/2018 50 38.97 9,173 9,173


Options Pinsonneault, Denis 5 10/6/2015 00


Options Pinsonneault, Denis 5 12/13/2018 50 38.97 6,569 6,569


Options Provost, Éric 5 10/29/2012 00


Options Provost, Éric 5 12/13/2018 50 38.97 10,461


Options Provost, Éric 5 12/13/2018 50 38.97 10,461 10,461


Options Rose, Deborah 5 12/13/2018 50 38.97 27,898




Options Rose, Deborah 5 12/13/2018 50 38.97 27,898 27,898




Options Rose, Deborah 5 12/13/2018 50 38.97 64,433 36,535


Options Stamadianos, Eva 5 6/27/2001 00


Options Stamadianos, Eva 5 12/13/2018 50 38.97 9,388


Options Stamadianos, Eva 5 12/13/2018 50 38.97 9,388 9,388


Options Therrien, Stéphane 5 12/13/2018 50 38.97 31,773




Options Therrien, Stéphane 5 12/13/2018 50 38.97 31,773 31,773




Options Therrien, Stéphane 5 12/13/2018 50 38.97 68,308 36,535

Libero Copper Corporation (Formerly Libero Mining Corporation)

Options Bell, Robert Wiltshire 4 12/11/2018 51 0.075 300,000


Options Bell, Robert Wiltshire 4 12/11/2018 50 0.075 850,000 300,000


Options McCall, Judith Alicia 5 12/11/2018 50 0.075 150,000 50,000


Options Pease, Robert 4 12/11/2018 50 0.075 550,000 300,000


Options Slater, Ian 4, 5 12/11/2018 50 0.075 1,900,000 1,200,000


Options Wong, Chui 5 12/11/2018 99 0.075 450,000 300,000

Liberty Gold Corp. (formerly Pilot Gold Inc.)

Options Bailey, Joanna 5 12/18/2018 50 0.32 778,750 225,000


Rights Restricted Share Units

Bailey, Joanna 5 12/18/2018 56 0.32 381,250 225,000


Common Shares Everett, Calvin Clovis 5 12/18/2018 10 0.315 4,639,500 25,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 166



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Liberty Gold Corp. (formerly Pilot Gold Inc.)

Options Everett, Calvin Clovis 5 12/18/2018 50 0.32 2,850,000 375,000


Options Everett, Calvin Clovis 5 12/18/2018 56 0.32 3,225,000 375,000


Options Lincoln, James Bruce 7 12/18/2018 50 0.32 525,000 130,000


Options Lincoln, James Bruce 7 12/18/2018 56 0.32 635,000 110,000


Options McInnes, Donald Arthur 4 12/18/2018 50 800,000 100,000


Rights McInnes, Donald Arthur 4 12/19/2018 56 371,000 100,000


Options O'Dea, Mark Gerard 4 12/18/2018 50 0.32 1,895,000 175,000


Options O'Dea, Mark Gerard 4 12/18/2018 56 2,070,000 175,000


Options Pease, Robert 4 12/18/2018 50 0.32 1,121,000 100,000


Options Pease, Robert 4 12/18/2018 56 1,221,000 100,000


Options Smith, Moira Tracey 5 12/18/2018 50 0.32 1,630,000 225,000


Options Smith, Moira Tracey 5 12/18/2018 56 0.32 1,840,000 210,000


Options Tetzlaff, Sean Allan 4 12/18/2018 50 0.32 800,000 100,000


Rights Deferred Share Unit

Tetzlaff, Sean Allan 4 12/18/2018 56 371,000 100,000

Linamar Corporation Common Shares Fulton, Roger 5 12/18/2018 10 44.117 6,924 428 Linamar Corporation Common Shares HASENFRATZ, LINDA 4, 5 12/17/2018 10 45.361 292,357 50,000 Linamar Corporation Options JARRELL, JAMES 5 12/13/2018 50 45.4 798,375 100,000 Linamar Corporation Common Shares Merchant, Christopher John 5 12/14/2018 10 45 1,607 431 Linamar Corporation Common Shares Rose, Roxanne Phyllis 5 12/13/2018 10 45 1,337 431 Linamar Corporation Common Shares Russell, Michael Willard 5 12/13/2018 10 45 1,607 431 Linamar Corporation Common Shares Schneider, Dale 5 12/18/2018 10 44.117 18,597 580 Linamar Corporation Common Shares STODDART, MARK 4, 5 12/18/2018 10 44.117 28,610 373 Linamar Corporation Common Shares Wade, Brian 5 12/13/2018 10 45 4,124 862 Lineage Grow Company Ltd. Common Shares Bilodeau, Peter 4 12/17/2018 51 0.165 292,481 166,667 Lineage Grow Company Ltd. Options Bilodeau, Peter 4 12/17/2018 51 1,083,333 -166,667 Lineage Grow Company Ltd. Common Shares Sutherland, Hugh Hamish 4 12/14/2018 51 0.1 354,800 250,000 Lineage Grow Company Ltd. Options Sutherland, Hugh Hamish 4 12/14/2018 51 500,000 -250,000 Lineage Grow Company Ltd. Options Useche Gutierrez, Aurelio

Antonio 4 12/14/2018 50 0.165 735,000 300,000

LIONS GATE ENTERTAINMENT CORP.

Non-Voting Shares Class B

Barge, James 5 12/21/2018 10 13.58 10,000



Barge, James 5 12/21/2018 10 13.58 10,000



Barge, James 5 12/21/2018 10 13.58 135,517 10,000


Common Shares Class A Voting

Crawford, Gordon 4 12/20/2018 10 14.212 248,560 75,000



Rachesky, Dr. Mark H. 3, 4, 6 12/19/2018 10 14.47 141,197 47,889



Rachesky, Dr. Mark H. 3, 4, 6 12/19/2018 10 14.47 1,022,094 323,711

LiteLink Technologies Inc. (formerly AXS Blockchain Solutions Inc.)

Options Churn, Kent Gordon Richard

5 11/28/2018 00 250,000

Lithium Americas Corp. Common Shares Kanellitsas, John 4 12/6/2018 10 3.51 980,570 50,000 Lithium Americas Corp. Common Shares Kanellitsas, John 4 12/20/2018 10 2.98 986,090 5,520 Lithium Americas Corp. Common Shares Kanellitsas, John 4 12/21/2018 10 2.99 1,030,570 44,480 Loblaw Companies Limited Common Shares Davis, Sarah Ruth 5 12/18/2018 57 61.222 13,934 12,457 Loblaw Companies Limited Common Shares Davis, Sarah Ruth 5 12/18/2018 10 61.222 1,477 -12,457

Insider Reporting

January 3, 2019

(2019), 42 OSCB 167



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Loblaw Companies Limited Performance Share Units Davis, Sarah Ruth 5 11/1/2018 22 44,204 1,755 Loblaw Companies Limited Performance Share Units Davis, Sarah Ruth 5 11/1/2018 22 45,389 1,185 Loblaw Companies Limited Performance Share Units Davis, Sarah Ruth 5 11/1/2018 22 47,878 2,489 Loblaw Companies Limited Performance Share Units Davis, Sarah Ruth 5 11/1/2018 22 50,476 2,598 Loblaw Companies Limited Performance Share Units Davis, Sarah Ruth 5 12/18/2018 56 51,870 1,394 Loblaw Companies Limited Performance Share Units Davis, Sarah Ruth 5 12/18/2018 57 61.222 39,413 -12,457 Loblaw Companies Limited Restricted Share Units Davis, Sarah Ruth 5 11/1/2018 22 48,939 1,185 Loblaw Companies Limited Restricted Share Units Davis, Sarah Ruth 5 11/1/2018 22 51,428 2,489 Loblaw Companies Limited Restricted Share Units Davis, Sarah Ruth 5 11/1/2018 22 54,026 2,598 Loblaw Companies Limited Restricted Share Units Davis, Sarah Ruth 5 11/1/2018 22 56,794 2,768 Loblaw Companies Limited Common Shares Dufresne, Richard 6 12/18/2018 57 61.222 12,457 12,457 Loblaw Companies Limited Common Shares Dufresne, Richard 6 12/18/2018 10 61.222 0 -12,457 Loblaw Companies Limited Options Dufresne, Richard 6 11/1/2018 22 0 -100,515 Loblaw Companies Limited Options Dufresne, Richard 6 11/1/2018 22 816 816 Loblaw Companies Limited Options Dufresne, Richard 6 11/1/2018 22 36,281 35,465 Loblaw Companies Limited Options Dufresne, Richard 6 11/1/2018 22 36,792 511 Loblaw Companies Limited Options Dufresne, Richard 6 11/1/2018 22 68,193 31,401 Loblaw Companies Limited Options Dufresne, Richard 6 11/1/2018 22 104,182 35,989 Loblaw Companies Limited Options Dufresne, Richard 6 11/1/2018 22 119,398 15,216 Loblaw Companies Limited Performance Share Units Dufresne, Richard 6 11/1/2018 22 21,655 1,755 Loblaw Companies Limited Performance Share Units Dufresne, Richard 6 11/1/2018 22 22,484 829 Loblaw Companies Limited Performance Share Units Dufresne, Richard 6 11/1/2018 22 23,323 839 Loblaw Companies Limited Performance Share Units Dufresne, Richard 6 11/1/2018 22 23,667 344 Loblaw Companies Limited Performance Share Units Dufresne, Richard 6 12/18/2018 56 25,061 1,394 Loblaw Companies Limited Performance Share Units Dufresne, Richard 6 12/18/2018 57 61.222 12,604 -12,457 Loblaw Companies Limited Restricted Share Units Dufresne, Richard 6 11/1/2018 22 11,421 829 Loblaw Companies Limited Restricted Share Units Dufresne, Richard 6 11/1/2018 22 12,260 839 Loblaw Companies Limited Restricted Share Units Dufresne, Richard 6 11/1/2018 22 12,604 344 Loblaw Companies Limited Common Shares Motz, Michael James 7 12/18/2018 57 61.222 54,446 11,499 Loblaw Companies Limited Common Shares Motz, Michael James 7 12/18/2018 10 61.222 42,947 -11,499 Loblaw Companies Limited Options Motz, Michael James 7 11/1/2018 22 0 -255,728 Loblaw Companies Limited Options Motz, Michael James 7 11/1/2018 22 31,625 31,625 Loblaw Companies Limited Options Motz, Michael James 7 11/1/2018 22 64,268 32,643 Loblaw Companies Limited Options Motz, Michael James 7 11/1/2018 22 75,871 11,603 Loblaw Companies Limited Options Motz, Michael James 7 11/1/2018 22 131,082 55,211 Loblaw Companies Limited Options Motz, Michael James 7 11/1/2018 22 194,359 63,277 Loblaw Companies Limited Options Motz, Michael James 7 11/1/2018 22 303,145 108,786 Loblaw Companies Limited Performance Share Units Motz, Michael James 7 11/1/2018 22 38,231 1,620 Loblaw Companies Limited Performance Share Units Motz, Michael James 7 11/1/2018 22 39,690 1,459 Loblaw Companies Limited Performance Share Units Motz, Michael James 7 11/1/2018 22 41,165 1,475 Loblaw Companies Limited Performance Share Units Motz, Michael James 7 11/1/2018 22 43,532 2,367 Loblaw Companies Limited Performance Share Units Motz, Michael James 7 12/18/2018 56 44,819 1,287 Loblaw Companies Limited Performance Share Units Motz, Michael James 7 12/18/2018 57 61.222 33,320 -11,499 Loblaw Companies Limited Restricted Share Units Motz, Michael James 7 11/1/2018 22 52,841 1,459 Loblaw Companies Limited Restricted Share Units Motz, Michael James 7 11/1/2018 22 54,316 1,475 Loblaw Companies Limited Restricted Share Units Motz, Michael James 7 11/1/2018 22 58,742 4,426 Loblaw Companies Limited Restricted Share Units Motz, Michael James 7 11/1/2018 22 61,109 2,367 Logistec Corporation Common Shares Class A LOGISTEC

CORPORATION 1 12/10/2018 38 45 500 500

Logistec Corporation Common Shares Class A LOGISTEC CORPORATION

1 12/11/2018 38 44.39 1,000 500

Logistec Corporation Common Shares Class A LOGISTEC CORPORATION

1 12/20/2018 38 0 -1,000

Logistec Corporation Subordinate Voting Shares Class B

LOGISTEC CORPORATION

1 12/5/2018 38 47 2,000 1,000



1 12/10/2018 38 44.62 1,500 500



1 12/11/2018 38 44.49 2,000 500

Insider Reporting

January 3, 2019

(2019), 42 OSCB 168



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Logistec Corporation Subordinate Voting

Shares Class B LOGISTEC CORPORATION

1 12/11/2018 38 43.8 2,500 500



1 12/12/2018 38 43.25 3,400 900



1 12/13/2018 38 43 3,900 500



1 12/13/2018 38 42.65 4,000 100



1 12/20/2018 38 0 -4,000

Lomiko Metals Inc. Common Shares Gill, Amrit Paul Singh 5 12/12/2018 10 0.05 1,870,610 -280,000 Lomiko Metals Inc. Common Shares Gill, Amrit Paul Singh 5 12/13/2018 16 0.05 2,070,610 200,000 Lomiko Metals Inc. Common Shares Gill, Amrit Paul Singh 5 12/17/2018 51 0.05 2,190,610 120,000 Lomiko Metals Inc. Options Gill, Amrit Paul Singh 5 12/17/2018 51 500 -120,000 Loopshare Ltd. Convertible Debentures Primus, Joel 4 11/23/2018 00 Loopshare Ltd. Convertible Debentures Primus, Joel 4 11/23/2018 00 Loopshare Ltd. Convertible Debentures Primus, Joel 4 11/23/2018 11 1 $50,000 Loopshare Ltd. Convertible Debentures Primus, Joel 4 11/26/2018 11 1 $50,000 Loopshare Ltd. Convertible Debentures Primus, Joel 4 11/26/2018 11 1 $50,000 Loopshare Ltd. Convertible Debentures Primus, Joel 4 11/26/2018 00 Loopshare Ltd. Convertible Debentures Primus, Joel 4 11/26/2018 11 1 $50,000 $50,000 Loopshare Ltd. Warrants Primus, Joel 4 11/23/2018 00 Loopshare Ltd. Warrants Primus, Joel 4 11/26/2018 00 Loopshare Ltd. Warrants Primus, Joel 4 11/26/2018 11 1,000,000 1,000,000 Lucara Diamond Corp. Rights Share Units Armstrong, John Patrick 5 12/20/2018 56 191,808 3,363 Lucara Diamond Corp. Rights Share Units Boldt, Zara Elizabeth 5 12/20/2018 56 130,126 2,282 Lucara Diamond Corp. Rights Share Units Hira, Ayesha 5 12/20/2018 56 51,457 902 Lucara Diamond Corp. Rights Share Units Lahri, Naseem Banu 7 12/20/2018 56 46,312 812 Lucara Diamond Corp. Rights Share Units Mchive, Johane 7 12/20/2018 56 46,312 812 Lucara Diamond Corp. Rights Share Units Thomas, Eira Margaret 4 12/20/2018 56 210,704 3,696 Lumina Gold Corp. Common Shares Hicks, Scott Victor Andrew 5 12/18/2018 10 0.47 88,000 2,742 Lumina Gold Corp. Common Shares Hicks, Scott Victor Andrew 5 12/20/2018 10 0.47 91,000 3,000 Macro Enterprises Inc. Options Albo, Wayne Paul 4 12/13/2018 50 145,000 40,000 Macro Enterprises Inc. Options McFetridge, William James 4 12/13/2018 50 155,000 50,000 Macro Enterprises Inc. Options Miles, Frank Dorsey 3, 4, 5 12/13/2018 50 175,000 70,000 Macro Enterprises Inc. Options Nielsen, Michael 4, 5 12/13/2018 50 155,000 50,000 Macro Enterprises Inc. Options Redmond, Jeffrey Andrew 5 12/13/2018 50 135,000 30,000 Madalena Energy Inc. Common Shares Gillcrist, John Ralph 4 9/13/2017 00 Madalena Energy Inc. Common Shares Gillcrist, John Ralph 4 12/21/2018 10 0.15 71,000 71,000 Magna International Inc. Common Shares Apfalter, Guenther Friedrich 5 12/19/2018 51 24.11 130,247 66,666 Magna International Inc. Common Shares Apfalter, Guenther Friedrich 5 12/19/2018 10 62.16 63,581 -66,666 Magna International Inc. Options Apfalter, Guenther Friedrich 5 12/19/2018 51 24.11 293,201 -66,666 Magnolia Colombia Ltd. Common Shares Colson, Maurice 4 12/19/2018 10 0.065 285,000 35,000 Magnolia Colombia Ltd. Common Shares Lanthier, James Andre

Charles 4, 5 10/1/2018 00

Magnolia Colombia Ltd. Common Shares Lanthier, James Andre Charles

4, 5 12/21/2018 10 0.075 80,000 80,000

Mainstreet Equity Corp. Common Shares Amantea, Joe 4 12/18/2018 10 42.92 20,633 -200 Mainstreet Equity Corp. Common Shares Amantea, Joe 4 12/19/2018 10 42.02 20,433 -200 Mainstreet Equity Corp. Common Shares Amantea, Joe 4 12/20/2018 10 42.003 20,133 -300 Mako Mining Corp. Common Shares Gonzalez, Cesar 4 11/9/2018 00 Mako Mining Corp. Common Shares Gonzalez, Cesar 4 11/9/2018 00 Mako Mining Corp. Common Shares Gonzalez, Cesar 4 11/9/2018 00 1,384,116 Mako Mining Corp. Common Shares Leisman, Akiba Jacob

Issachar 4 7/10/2014 00 5,070,234

Manson Creek Resources Ltd.

Options Difley, Shari Lynn 5 3/14/2018 50 0.34 150,000


Options Difley, Shari Lynn 5 3/14/2018 50 0.365 150,000 150,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 169



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Manson Creek Resources Ltd.

Options Megaw, Peter 4 3/14/2018 50 0.34 130,000


Options Megaw, Peter 4 3/14/2018 50 0.365 255,000 130,000

Manulife Financial Corporation

Common Shares Gori, Rocco 4, 5 12/15/2018 90 184,929 124,235


Common Shares subject to forfeiture and transfer restrictions

Gori, Rocco 4, 5 12/15/2018 90 236,563 -124,235


Common Shares subject to forfeiture and transfer restrictions

Gori, Rocco 4, 5 12/15/2018 58 - Expiration of rights

234,351 -2,212

Maple Leaf Foods Inc. Common Shares Lederer, John A. 4 12/20/2018 10 26.92 75,000 25,000 Marathon Gold Corporation Common Shares Faught, George D. 4 12/20/2018 10 0.75 1,659,250 3,500 Marathon Gold Corporation Common Shares Faught, George D. 4 12/21/2018 10 0.75 1,662,750 3,500 Marathon Gold Corporation Common Shares Walford, Phillip Charles 4, 5 12/19/2018 10 0.76 319,750 2,650 Marathon Gold Corporation Common Shares Walford, Phillip Charles 4, 5 12/19/2018 10 0.77 330,100 10,350 Maricann Group Inc. Options Kosar, David Geoffrey 5 2/12/2018 00 Maricann Group Inc. Options Kosar, David Geoffrey 5 2/12/2018 00 Maricann Group Inc. Options Kosar, David Geoffrey 5 10/3/2018 50 2 200,000 Maricann Group Inc. Options Kosar, David Geoffrey 5 10/3/2018 50 2 200,000 200,000 Maricann Group Inc. Options Kosar, David Geoffrey 5 12/12/2018 50 2 500,000 300,000 Maricann Group Inc. Options McLeod, Matthew Graham

Lewis 5 11/19/2018 00 250,000

Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.56 200 200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.57 300 100 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.58 1,920 1,620 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.59 2,620 700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.6 4,020 1,400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.61 4,320 300 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.62 4,820 500 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.63 5,420 600 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.64 5,620 200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.65 6,620 1,000 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.66 7,220 600 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.67 7,520 300 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.68 7,720 200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.69 7,920 200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.7 8,120 200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.72 8,420 300 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.73 8,720 300 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.75 9,220 500 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.76 9,720 500 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.77 11,020 1,300 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.78 12,720 1,700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.79 13,620 900 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.8 14,620 1,000 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.81 16,220 1,600 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.82 17,920 1,700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.83 18,720 800 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.84 21,720 3,000 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.85 28,220 6,500 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.86 39,520 11,300 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.87 40,420 900 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 9.88 49,420 9,000 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/17/2018 38 0 -49,420 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 9.57 200 200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 9.58 600 400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 9.62 800 200

Insider Reporting

January 3, 2019

(2019), 42 OSCB 170



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 9.76 1,000 200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 9.78 1,300 300 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 9.79 1,500 200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 9.8 3,200 1,700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 9.81 3,700 500 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 9.82 4,300 600 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 9.84 7,800 3,500 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 9.86 10,300 2,500 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 9.87 10,500 200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 9.89 12,400 1,900 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 9.9 13,100 700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 9.91 13,200 100 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 9.92 15,100 1,900 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 9.93 15,500 400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 9.94 17,200 1,700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 9.95 17,400 200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 9.96 20,200 2,800 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 9.98 20,700 500 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 9.99 22,400 1,700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 10 23,800 1,400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 10.01 25,600 1,800 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 10.03 27,100 1,500 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 10.05 27,400 300 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 10.055 27,700 300 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 10.06 30,600 2,900 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 10.07 31,500 900 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 10.08 32,400 900 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 10.085 32,500 100 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 10.09 33,100 600 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 10.1 33,400 300 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 10.11 33,900 500 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 10.12 34,100 200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 10.13 34,800 700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 10.14 35,300 500 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 10.16 35,500 200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 10.17 35,820 320 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 10.18 36,320 500 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 10.19 36,620 300 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 10.2 39,120 2,500 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 10.21 42,120 3,000 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 10.22 44,120 2,000 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 10.23 47,120 3,000 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 10.24 48,720 1,600 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 10.25 49,420 700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/18/2018 38 0 -49,420 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.28 100 100 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.31 1,400 1,300 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.36 1,800 400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.37 2,900 1,100 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.47 3,700 800 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.5 4,100 400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.51 4,900 800 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.55 6,200 1,300 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.56 6,900 700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.57 8,100 1,200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.58 9,200 1,100 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.59 10,500 1,300

Insider Reporting

January 3, 2019

(2019), 42 OSCB 171



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.6 11,100 600 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.61 11,900 800 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.63 12,300 400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.64 13,100 800 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.65 14,100 1,000 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.63 15,100 1,000 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.66 16,700 1,600 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.67 18,700 2,000 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.68 18,900 200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.69 19,800 900 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.7 22,120 2,320 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.71 26,820 4,700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.72 27,820 1,000 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.73 29,620 1,800 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.75 29,720 100 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.76 30,320 600 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.77 30,420 100 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.78 31,820 1,400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.79 31,920 100 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.8 32,920 1,000 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.81 33,420 500 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.82 33,820 400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.83 35,620 1,800 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.84 36,720 1,100 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.85 37,220 500 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.86 37,820 600 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.87 37,920 100 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.88 39,720 1,800 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.89 41,820 2,100 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.9 45,220 3,400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.91 47,520 2,300 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.92 47,620 100 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.93 48,220 600 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.94 49,120 900 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 10.96 49,420 300 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/19/2018 38 0 -49,420 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.26 500 500 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.27 900 400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.28 1,600 700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.29 1,900 300 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.3 2,600 700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.31 2,800 200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.32 4,100 1,300 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.33 5,500 1,400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.34 6,400 900 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.35 7,800 1,400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.36 8,400 600 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.37 11,200 2,800 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.38 13,800 2,600 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.39 16,500 2,700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.4 19,800 3,300 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.41 22,400 2,600 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.42 24,100 1,700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.43 25,300 1,200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.44 26,400 1,100 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.45 27,200 800 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.46 27,800 600

Insider Reporting

January 3, 2019

(2019), 42 OSCB 172



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.47 28,200 400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.48 28,600 400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.49 29,300 700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.5 29,900 600 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.51 31,800 1,900 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.52 33,500 1,700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.53 34,900 1,400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.54 37,220 2,320 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.55 39,820 2,600 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.56 41,920 2,100 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.57 43,120 1,200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.58 43,220 100 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.6 46,020 2,800 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.61 46,420 400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.62 46,620 200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.63 47,820 1,200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.64 48,620 800 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.66 49,020 400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 10.68 49,420 400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/20/2018 38 0 -49,420 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.4 700 700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.41 900 200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.42 2,200 1,300 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.43 3,800 1,600 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.44 5,000 1,200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.45 6,700 1,700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.46 11,300 4,600 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.47 14,500 3,200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.48 16,500 2,000 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.49 19,400 2,900 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.5 20,800 1,400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.51 22,100 1,300 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.52 23,300 1,200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.53 26,200 2,900 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.54 29,700 3,500 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.55 30,800 1,100 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.56 34,900 4,100 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.57 35,500 600 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.58 38,200 2,700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.59 38,600 400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.6 39,800 1,200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.61 40,000 200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.62 40,900 900 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.63 41,300 400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.64 42,000 700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.65 42,400 400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.66 46,100 3,700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.41 46,120 20 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.67 47,720 1,600 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.68 48,420 700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.69 48,620 200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 10.7 49,420 800 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/21/2018 38 0 -49,420 Matachewan Consolidated Mines, Limited

Common Shares McCloskey, Richard Duncan 4, 5 12/13/2018 10 0.15 3,982,000 1,000

Maxar Technologies Ltd. Common Shares Frazier, Leon Anthony 5 12/18/2018 57 16.42 19,067 3,451 Maxar Technologies Ltd. Rights RSUs Frazier, Leon Anthony 5 12/18/2018 57 16.42 14,197 -3,451 Maxar Technologies Ltd. Common Shares Hascall, Timothy Mark 5 12/18/2018 57 16.42 58,896 5,551

Insider Reporting

January 3, 2019

(2019), 42 OSCB 173



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Maxar Technologies Ltd. Common Shares Hascall, Timothy Mark 5 12/18/2018 10 16.42 57,181 -1,715 Maxar Technologies Ltd. Rights RSUs Hascall, Timothy Mark 5 12/18/2018 57 16.42 20,871 -5,551 Maxar Technologies Ltd. Common Shares Jablonsky, Daniel Lee 5 12/18/2018 57 16.42 45,785 4,241 Maxar Technologies Ltd. Common Shares Jablonsky, Daniel Lee 5 12/18/2018 10 16.42 44,475 -1,310 Maxar Technologies Ltd. Rights RSUs Jablonsky, Daniel Lee 5 12/18/2018 57 16.42 16,114 -4,241 Maxar Technologies Ltd. Common Shares Kley, Michelle 5 12/18/2018 57 16.42 5,135 2,910 Maxar Technologies Ltd. Common Shares Kley, Michelle 5 12/18/2018 10 16.42 4,236 -899 Maxar Technologies Ltd. Rights RSUs Kley, Michelle 5 12/18/2018 57 16.42 5,910 -2,910 Maxar Technologies Ltd. Common Shares Lance, Howard 5 12/18/2018 57 16.42 138,641 21,830 Maxar Technologies Ltd. Common Shares Lance, Howard 5 12/18/2018 10 16.42 131,898 -6,743 Maxar Technologies Ltd. Rights RSUs Lance, Howard 5 12/18/2018 57 16.42 44,323 -21,830 Maxar Technologies Ltd. Common Shares Scott, Walter Stewart 5 12/18/2018 57 16.42 52,970 6,237 Maxar Technologies Ltd. Common Shares Scott, Walter Stewart 5 12/18/2018 10 16.42 51,043 -1,927 Maxar Technologies Ltd. Rights RSUs Scott, Walter Stewart 5 12/18/2018 57 16.42 20,523 -6,237 Maxar Technologies Ltd. Common Shares Stephenson, Bruce 5 12/18/2018 57 16.42 21,740 4,740 Maxar Technologies Ltd. Common Shares Stephenson, Bruce 5 12/18/2018 10 16.42 19,993 -1,747 Maxar Technologies Ltd. Rights RSUs Stephenson, Bruce 5 12/18/2018 57 16.42 9,625 -4,740 Maxar Technologies Ltd. Common Shares Zamarian, Dario 7 12/18/2018 57 16.42 16,222 6,237 Maxar Technologies Ltd. Common Shares Zamarian, Dario 7 12/18/2018 10 16.42 13,923 -2,299 Maxar Technologies Ltd. Rights RSUs Zamarian, Dario 7 12/18/2018 57 16.42 12,664 -6,237 MAYA GOLD & SILVER INC. Common Shares Taub, Robert 3, 4 12/14/2018 10 1.76 4,793,137 5,400 MAYA GOLD & SILVER INC. Common Shares Taub, Robert 3, 4 12/18/2018 10 1.81 4,803,137 10,000 MBN Corporation Units MBN Corporation 1 12/14/2018 38 6.7167 6,600 6,600 MBN Corporation Units MBN Corporation 1 12/14/2018 38 0 -6,600 MBN Corporation Units MBN Corporation 1 12/17/2018 38 6.7676 6,200 6,200 MBN Corporation Units MBN Corporation 1 12/17/2018 38 0 -6,200 MBN Corporation Units MBN Corporation 1 12/18/2018 38 6.7782 14,700 14,700 MBN Corporation Units MBN Corporation 1 12/18/2018 38 0 -14,700 MBN Corporation Units MBN Corporation 1 12/19/2018 38 6.7239 6,700 6,700 MBN Corporation Units MBN Corporation 1 12/19/2018 38 0 -6,700 MBN Corporation Units MBN Corporation 1 12/20/2018 38 6.6447 3,000 3,000 MBN Corporation Units MBN Corporation 1 12/20/2018 38 0 -3,000 MCAN Mortgage Corporation Common Shares Pinto, Sylvia 5 9/28/2018 30 17.78 3,422 69 MCAN Mortgage Corporation Common Shares Pinto, Sylvia 5 9/28/2018 30 17.78 3,064 62 MCAN Mortgage Corporation Common Shares Pinto, Sylvia 5 9/28/2018 30 17.78 5,252 107 MCAN Mortgage Corporation Common Shares Pinto, Sylvia 5 8/7/2018 30 18.2 9,467 32 MCAN Mortgage Corporation Common Shares Pinto, Sylvia 5 8/31/2018 30 18.93 9,498 31 MCAN Mortgage Corporation Common Shares Pinto, Sylvia 5 9/12/2018 30 19.41 9,528 30 MCAN Mortgage Corporation Common Shares Pinto, Sylvia 5 9/14/2018 30 19.11 9,558 30 MCAN Mortgage Corporation Common Shares Pinto, Sylvia 5 9/27/2018 30 17.44 9,591 33 MCAN Mortgage Corporation Common Shares Pinto, Sylvia 5 9/28/2018 30 17.781 9,789 198 MCAN Mortgage Corporation Common Shares Pinto, Sylvia 5 10/15/2018 30 15.99 9,825 36 MCAN Mortgage Corporation Common Shares Pinto, Sylvia 5 10/30/2018 30 13.459 9,868 43 MCAN Mortgage Corporation Common Shares Pinto, Sylvia 5 11/14/2018 30 13.648 9,910 42 MCAN Mortgage Corporation Common Shares Pinto, Sylvia 5 11/29/2018 30 14.022 9,951 41 MCAN Mortgage Corporation Common Shares Pinto, Sylvia 5 12/13/2018 30 13.74 9,995 44 MCAN Mortgage Corporation Performance Deferred

Share Units Pinto, Sylvia 5 9/28/2018 30 17.989 6,596 34

MCAN Mortgage Corporation Performance Deferred Share Units

Pinto, Sylvia 5 9/28/2018 30 17.989 6,658 62

MCAN Mortgage Corporation Performance Deferred Share Units

Pinto, Sylvia 5 9/28/2018 30 17.989 6,697 39

MCAN Mortgage Corporation Common Shares Sutherland, Ian 3, 4 12/18/2018 10 13.05 90,000 4,300 MCAN Mortgage Corporation Common Shares Sutherland, Ian 3, 4 12/18/2018 10 12.96 100,000 10,000 McCoy Global Inc. Common Shares Loberg, Carmen Richard 4 12/13/2018 10 1.15 50,000 8,000 McCoy Global Inc. Rights DSU Loberg, Carmen Richard 4 12/20/2018 56 42,352 6,757 McCoy Global Inc. Rights DSU Seaver, Christopher Tiernan 4 12/20/2018 56 1.11 39,747 6,757 McCoy Global Inc. Rights DSU Tremblay, Dale E. 4 12/20/2018 56 1.11 31,398 6,757

Insider Reporting

January 3, 2019

(2019), 42 OSCB 174



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Medexus Pharmaceuticals Inc. (formerly Pediapharm Inc.)

Common Shares 9346-4626 Québec Inc. 3 12/19/2018 37 1,372,549 -19,215,686

Medexus Pharmaceuticals Inc. (formerly Pediapharm Inc.)

Warrants 9346-4626 Québec Inc. 3 12/19/2018 37 686,274 -9,607,843


Common Shares Boivin, Roland 5 12/19/2018 37 25,431 -356,027


Common Shares Boivin, Roland 5 12/19/2018 37 10,667 -149,333


Options Boivin, Roland 5 12/19/2018 37 55,333 -774,667



Boivin, Roland 5 12/10/2013 00



Boivin, Roland 5 12/19/2018 56 214,000 214,000


Common Shares Chretien, Sylvain 4, 5 12/19/2018 37 178,919 -2,504,865


Common Shares Chretien, Sylvain 4, 5 12/19/2018 37 377,334 -5,282,679


Options Chretien, Sylvain 4, 5 12/19/2018 37 69,667 -975,333



Chretien, Sylvain 4, 5 12/10/2013 00



Chretien, Sylvain 4, 5 12/19/2018 56 321,000 321,000


Common Shares d'Entremont, Kenneth 4, 5 12/19/2018 37 133 -1,867


Common Shares d'Entremont, Kenneth 4, 5 12/19/2018 37 32,435 -454,085


Common Shares d'Entremont, Kenneth 4, 5 12/19/2018 37 133 -1,867


Common Shares d'Entremont, Kenneth 4, 5 12/19/2018 37 325,667 -4,559,335


Common Shares d'Entremont, Kenneth 4, 5 12/19/2018 37 668,334 -9,356,676


Common Shares d'Entremont, Kenneth 4, 5 12/19/2018 37 32,435 -454,085



d'Entremont, Kenneth 4, 5 10/16/2018 00



d'Entremont, Kenneth 4, 5 12/19/2018 56 321,000 321,000


Common Shares Gravel, Benoit 4 12/19/2018 37 16,667 -233,333


Options Gravel, Benoit 4 12/19/2018 37 6,667 -93,333



Gravel, Benoit 4 9/22/2017 00

Insider Reporting

January 3, 2019

(2019), 42 OSCB 175



Acquired/ Disposed



Gravel, Benoit 4 12/19/2018 56 8,888 8,888


Warrants Gravel, Benoit 4 12/19/2018 37 3,333 -46,667


Common Shares Hébert, Benoît 5 12/19/2018 37 26,554 -371,751


Options Hébert, Benoît 5 12/19/2018 37 64,667 -905,333



Hébert, Benoît 5 12/10/2013 00



Hébert, Benoît 5 12/19/2018 56 107,000 107,000


Common Shares Labelle, Richard 5 12/19/2018 37 13,797 -193,162


Options Labelle, Richard 5 12/19/2018 37 48,000 -672,000



Labelle, Richard 5 2/17/2014 00



Labelle, Richard 5 12/19/2018 56 107,000 107,000


Common Shares Lapalme, Pierre 4 12/19/2018 37 170,916 -2,392,828


Convertible Debentures 12% senior secured

Lapalme, Pierre 4 12/12/2018 36 $0 ($100,000)


Options Lapalme, Pierre 4 12/19/2018 37 40,667 -569,333


Options Lapalme, Pierre 4 12/19/2018 50 4.5 44,000 3,333


Warrants Lapalme, Pierre 4 12/19/2018 37 4,040 -56,560


Common Shares Leduc, Gerard Marcel 6 12/19/2018 37 1,372,549 -19,215,686



Leduc, Gerard Marcel 6 12/12/2018 36 $0 ($200,000)


Warrants Leduc, Gerard Marcel 6 12/19/2018 37 8,080 -113,120


Warrants Leduc, Gerard Marcel 6 12/19/2018 37 686,274 -9,607,843


Common Shares Mueller, Mike 4 12/19/2018 37 32,356 -452,977


Common Shares Mueller, Mike 4 12/19/2018 37 1,667 -23,333



Mueller, Mike 4 12/12/2018 36 $0 ($100,000)


Options Mueller, Mike 4 12/19/2018 37 33,333 -466,667

Insider Reporting

January 3, 2019

(2019), 42 OSCB 176



Acquired/ Disposed



Mueller, Mike 4 5/31/2014 00



Mueller, Mike 4 12/19/2018 56 8,888 8,888


Warrants Mueller, Mike 4 12/19/2018 37 4,040 -56,560


Common Shares Nelson, Stephen William 4 12/19/2018 37 137,068 -1,918,949


Common Shares Nelson, Stephen William 4 12/19/2018 37 9,804 -137,254











Nelson, Stephen William 4 10/16/2018 00



Nelson, Stephen William 4 12/19/2018 56 8,888 8,888


Warrants Nelson, Stephen William 4 12/19/2018 37 10,784 -150,980









van der Velden, Peter 4 10/16/2018 00



van der Velden, Peter 4 12/19/2018 56 12,222 12,222

Medicenna Therapeutics Corp.

Common Shares Merchant, Fahar 3, 4, 5 12/21/2018 15 1 5,250,000 200,000


Common Shares MERCHANT, Rosemina 3, 4, 5 12/21/2018 15 1 5,250,000 200,000

Medicure Inc. Common Shares Medicure Inc. 1 12/12/2018 38 0 -148,900 Medicure Inc. Common Shares Medicure Inc. 1 12/14/2018 38 6.11 4,100 4,100 MedMen Enterprises Inc. (formerly Ladera Ventures Corp.)

MedMen Enterprises Inc. Class B Subordinate Voting Shares

Modlin, Andrew Max 4, 5 12/12/2018 10 3.53 342,660 6,845

MEG Energy Corp. Restricted Share Units McQUEEN, Diana Janet 4 12/15/2018 59 8.2 9,566 -2,004 Mega Uranium Ltd. Common Shares Patricio, Richard J 5 12/19/2018 51 0.1 1,538,647 500,000 Mega Uranium Ltd. Options Patricio, Richard J 5 12/19/2018 51 0.1 9,250,000 -500,000 Mega Uranium Ltd. Common Shares Taylor, Stewart 5 12/19/2018 51 0.1 2,965,000 100,000 Mega Uranium Ltd. Options Taylor, Stewart 5 12/19/2018 51 0.1 2,450,000 -100,000 Melcor Developments Ltd. Options Brown, Robert 5 12/12/2018 50 13.01 28,300 9,000 Melcor Developments Ltd. RSU Brown, Robert 5 1/9/2018 00

Insider Reporting

January 3, 2019

(2019), 42 OSCB 177



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Melcor Developments Ltd. RSU Brown, Robert 5 12/12/2018 56 13.01 1,800 1,800 Melcor Developments Ltd. Options Eggert, Daniel 5 12/12/2018 50 13.01 31,200 9,000 Melcor Developments Ltd. RSU Eggert, Daniel 5 1/9/2018 00 Melcor Developments Ltd. RSU Eggert, Daniel 5 12/12/2018 56 13.01 1,800 Melcor Developments Ltd. RSU Eggert, Daniel 5 12/12/2018 56 13.01 1,800 1,800 Melcor Developments Ltd. Common Shares Melcor Developments Ltd. 1 12/17/2018 38 12.6 3,786 1,262 Melcor Developments Ltd. Common Shares Melcor Developments Ltd. 1 12/18/2018 38 12.93 5,048 1,262 Melcor Developments Ltd. Common Shares Melcor Developments Ltd. 1 12/19/2018 38 12.627 6,310 1,262 Melcor Developments Ltd. Common Shares Melcor Developments Ltd. 1 12/20/2018 38 12.972 7,572 1,262 Melcor Developments Ltd. Common Shares Melcor Developments Ltd. 1 12/21/2018 38 12.486 8,834 1,262 Melcor Developments Ltd. Options Melton, Andrew John 3, 4 12/12/2018 50 13.01 102,000 38,000 Melcor Developments Ltd. Options Melton, Andrew John 3, 4 12/12/2018 50 13.01 39,000 Melcor Developments Ltd. Options Melton, Andrew John 3, 4 12/12/2018 50 13.01 39,000 Melcor Developments Ltd. RSU Melton, Andrew John 3, 4 6/9/2003 00 Melcor Developments Ltd. RSU Melton, Andrew John 3, 4 12/12/2018 56 13.01 4,100 4,100 Melcor Developments Ltd. Options Melton, Graeme 5 12/12/2018 50 13.01 37,200 9,000 Melcor Developments Ltd. RSU Melton, Graeme 5 7/26/2016 00 Melcor Developments Ltd. RSU Melton, Graeme 5 12/12/2018 56 13.01 1,800 1,800 Melcor Developments Ltd. Common Shares Melton, Timothy Charles 3, 4, 5 12/13/2018 10 12.45 1,867,994 3,285 Melcor Developments Ltd. Options Melton, Timothy Charles 3, 4, 5 12/12/2018 50 13.01 101,000 39,000 Melcor Developments Ltd. RSU Melton, Timothy Charles 3, 4, 5 6/9/2003 00 Melcor Developments Ltd. RSU Melton, Timothy Charles 3, 4, 5 12/12/2018 56 13.01 4,200 4,200 Melcor Developments Ltd. Options Monson, Susan 5 12/12/2018 50 13.01 31,800 9,000 Melcor Developments Ltd. RSU Monson, Susan 5 1/9/2018 00 Melcor Developments Ltd. RSU Monson, Susan 5 12/12/2018 56 13.01 1,800 1,800 Melcor Developments Ltd. Common Shares Pelletier, Guy 5 12/21/2018 10 12.4 54,642 -400 Melcor Developments Ltd. Options Pelletier, Guy 5 12/12/2018 50 13.01 39,000 9,000 Melcor Developments Ltd. RSU Pelletier, Guy 5 1/9/2018 00 Melcor Developments Ltd. RSU Pelletier, Guy 5 12/12/2018 56 13.01 1,800 1,800 Melcor Developments Ltd. Options Rayburn, Darin Anthony 5 12/12/2018 50 13.01 131,000 55,000 Melcor Developments Ltd. RSU Rayburn, Darin Anthony 5 10/1/2007 00 Melcor Developments Ltd. RSU Rayburn, Darin Anthony 5 12/12/2018 56 13.01 6,000 6,000 Melcor Developments Ltd. Options Stefura, Naomi Marie 5 12/12/2018 50 13.01 94,500 34,500 Melcor Developments Ltd. RSU Stefura, Naomi Marie 5 11/1/2010 00 Melcor Developments Ltd. RSU Stefura, Naomi Marie 5 12/12/2018 56 13.01 3,700 3,700 Melcor Developments Ltd. Options Thompson, Jarett 5 12/12/2018 50 13.01 34,200 9,000 Melcor Developments Ltd. RSU Thompson, Jarett 5 1/9/2018 00 Melcor Developments Ltd. RSU Thompson, Jarett 5 12/12/2018 56 13.01 1,800 1,800 Melcor Real Estate Investment Trust

Trust Units Melton, Andrew John 6 12/20/2018 10 6.984 10,000 1,000

Melcor Real Estate Investment Trust

Trust Units Melton, Timothy Charles 6 12/19/2018 10 7.25 48,000 8,000

Mene Inc. Class B subordinate voting shares

Premoli, Alessandro 3 10/30/2018 00


Premoli, Alessandro 3 12/7/2018 35 1,708 1,708


Wieler, Stefan 6 12/7/2018 00


Wieler, Stefan 6 12/7/2018 00


Wieler, Stefan 6 12/7/2018 00 3,655

Metalla Royalty & Streaming Ltd.

Common Shares Tucker, E.B. 4 12/21/2018 16 0.78 864,000 40,000

Metalla Royalty & Streaming Ltd.

Warrants Tucker, E.B. 4 12/21/2018 16 1.17 20,000 20,000

Metalore Resources Limited Common Shares Chilian, Armen 8 12/20/2018 10 1.67 27,600 2,200 Microbix Biosystems Inc. Common Shares Casselli, Philip Jonathan 5 11/21/2018 00 379,819 Microbix Biosystems Inc. Options Hollas, Bo 4 12/1/2018 00 50,000 Microbix Biosystems Inc. Common Shares Lin, Qi 5 11/21/2018 00 15,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 178



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Microbix Biosystems Inc. Options Lin, Qi 5 11/21/2018 00 50,000 Micromem Technologies Inc. Common Shares Fuda, Diana 5 12/19/2018 10 0.045 846,888 20,000 Midas Gold Corp. Common Shares Morgans, Darren Paul 5 12/17/2018 36 59,696 4,696 Midas Gold Corp. Options Morgans, Darren Paul 5 12/17/2018 36 670,000 -80,000 Middlefield Can-Global REIT Income Fund

Trust Units Middlefield Can-Global REIT Income Fund

1 12/20/2018 38 11.5 5,280,541 200

Middlefield Healthcare & Life Sciences Dividend Fund

Trust Units Middlefield Healthcare & Life Sciences Dividend Fund

1 12/14/2018 38 10.123 1,169,300 3,600



1 12/17/2018 38 9.9106 1,175,900 6,600



1 12/18/2018 38 9.6 1,177,500 1,600



1 12/19/2018 38 9.6614 1,178,200 700



1 12/20/2018 38 9.5575 1,184,700 6,500

Middlefield Healthcare & Wellness Dividend Fund

Trust Units Middlefield Healthcare & Wellness Dividend Fund

1 12/14/2018 38 10.411 5,360,259 3,000



1 12/17/2018 38 10.307 5,363,759 3,500



1 12/18/2018 38 10.247 5,365,259 1,500



1 12/19/2018 38 10.109 5,368,659 3,400



1 12/20/2018 38 9.9678 5,376,359 7,700

Millennial Esports Corp. Common Shares Liabotis, Peter 4 12/18/2018 00 Millennial Esports Corp. Common Shares Reyhani, Bryan 4 12/17/2018 00 Millennial Esports Corp. Options Reyhani, Bryan 4 12/17/2018 00 Millennial Esports Corp. Warrants Reyhani, Bryan 4 12/17/2018 00 Millennial Lithium Corp. Common Shares Abasov, Farhad 5 12/17/2018 10 1.35 237,766 1,100 Millennial Lithium Corp. Common Shares Abasov, Farhad 5 12/18/2018 10 1.28 251,266 13,500 Millrock Resources Inc. Common Shares Beischer, Gregory Allan 5 12/17/2018 10 0.0685 544,806 6,000 Millrock Resources Inc. Common Shares Beischer, Gregory Allan 5 12/19/2018 10 0.0722 550,806 6,000 Mineral Mountain Resources Ltd.

Common Shares Coughlan, Terrance Barry 4 12/13/2018 10 0.13 468,000 7,000

MINT Income Fund Trust Units MINT Income Fund 1 12/14/2018 38 5.9386 71,525,951 3,500 MINT Income Fund Trust Units MINT Income Fund 1 12/17/2018 38 5.88 71,527,951 2,000 MINT Income Fund Trust Units MINT Income Fund 1 12/18/2018 38 5.9 71,528,551 600 MINT Income Fund Trust Units MINT Income Fund 1 12/20/2018 38 5.755 71,529,151 600 Mogo Finance Technology Inc.

Common Shares Feller, David Marshall 3, 4, 5 12/17/2018 10 2.908 25,000 1,000

Mogo Finance Technology Inc.

Common Shares Feller, Gregory Dean 4, 5 12/20/2018 10 2.957 756,203 1,000


Common Shares Mohamed, Minhas 4 12/21/2018 10 3.03 90,361 1,000


Common Shares Varshney, Praveen 4 12/20/2018 10 2.98 144,826 2,000

Monarques Gold Corporation (formerly know as MONARQUES RESOURCES INC.)

Common Shares Lavergne, Marc-André 5 12/13/2018 16 0.33 16,500 12,500

Monarques Gold Corporation (formerly know as MONARQUES RESOURCES INC.)

Common Shares Lévesque, Alain 5 12/13/2018 11 0.33 30,000 15,000

MONTAN MINING CORP. Common Shares Ozcakmak, Bahay 4 12/14/2018 10 0.055 239,000 39,000 MONTAN MINING CORP. Common Shares Ozcakmak, Bahay 4 12/17/2018 10 0.055 350,000 111,000 Morguard Real Estate Investment Trust

Units Miatello, Paul 6, 5 12/17/2018 10 10.99 5,800 5,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 179



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Morguard Real Estate Investment Trust

Units Sahi, Kuldip Rai 4, 6, 5 12/17/2018 10 10.56 1,180,076 100

Morguard Real Estate Investment Trust

Units Sahi, Kuldip Rai 4, 6, 5 12/17/2018 10 10.733 1,208,676 28,600


Units Sahi, Kuldip Rai 4, 6, 5 12/18/2018 10 10.818 1,219,776 11,100

Morneau Shepell Inc. Rights Pre 2011 DSU Chamberland, Pierre 5 12/15/2018 56 26.326 36,082 362 Morneau Shepell Inc. Rights Pre 2011 DSU Chamberland, Pierre 5 12/15/2018 59 26.326 20,567 -15,515 Morneau Shepell Inc. Rights Pre 2011 DSU Liptrap, Stephen 5 12/15/2018 56 26.326 32,672 212 Morneau Shepell Inc. Rights Pre 2011 DSU Liptrap, Stephen 5 12/15/2018 59 26.326 23,585 -9,087 Morneau Shepell Inc. Rights Pre 2011 DSU Milligan, Scott 5 12/15/2018 56 26.326 36,645 198 Morneau Shepell Inc. Rights Pre 2011 DSU Milligan, Scott 5 12/15/2018 59 26.326 28,149 -8,496 Mosaic Capital Corporation Common Shares Gardhouse, John Mark 5 7/11/2016 00 Mosaic Capital Corporation Common Shares Gardhouse, John Mark 5 12/18/2018 10 4.2 4,500 4,500 Mosaic Capital Corporation Common Shares Gardhouse, John Mark 5 12/18/2018 10 4.19 5,500 1,000 Mountain Province Diamonds Inc.

Common Shares Desmond, Dermot Fachtna 3 12/14/2018 10 1.62 62,319,168 500

Mountain Province Diamonds Inc.

Common Shares Desmond, Dermot Fachtna 3 12/14/2018 10 1.645 62,331,368 12,200






















Common Shares Verley, Carl Gordon 4 12/21/2018 38 1.83 370,918 18,333


Restricted Share Units Verley, Carl Gordon 4 12/21/2018 38 1.83 28,332 -18,333


Common Shares Vertigol Unlimited Company 3 12/14/2018 10 1.62 62,319,168 500


Common Shares Vertigol Unlimited Company 3 12/14/2018 10 1.645 62,331,368 12,200



















Insider Reporting

January 3, 2019

(2019), 42 OSCB 180



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Mountain Province Diamonds Inc.



Common Shares Whittle, David Edward 4 12/21/2018 57 242,473 10,000


Common Shares Restricted Share Units

Whittle, David Edward 4 12/21/2018 57 70,000 -10,000

MPV Exploration Inc. Common Shares lavoie, marc andre 4 12/20/2018 10 0.07 365,000 50,000 MYM Nutraceuticals Inc. Common Shares Gietl, Rob 4, 5 12/17/2018 10 0.6 622,556 -43,000 MYM Nutraceuticals Inc. Common Shares Gietl, Rob 4, 5 12/17/2018 10 0.62 615,556 -7,000 MYM Nutraceuticals Inc. Common Shares Gietl, Rob 4, 5 12/18/2018 10 0.18 585,556 -30,000 NameSilo Technologies Corp (formerly known as Brisio Innovations Inc.)

Common Shares Andreola, Gianpaolo Fabrisio

4 12/17/2018 10 0.355 3,441,100 8,500

NameSilo Technologies Corp (formerly known as Brisio Innovations Inc.)


4 12/20/2018 10 0.355 3,448,100 7,000

NameSilo Technologies Corp (formerly known as Brisio Innovations Inc.)


4 12/21/2018 10 0.355 3,450,600 2,500

NanoSphere Health Sciences Inc.

Common Shares Sutton, Robert 4 12/17/2018 16 0.3 31,520,426 1,166,666


Warrants Sutton, Robert 4 11/17/2017 00 31,353,760


Warrants Sutton, Robert 4 12/17/2018 53 0.58 32,520,426 1,166,666

Nanotech Security Corp. Options Barbaro, Rinaldo D 4 12/21/2018 50 75,000 10,000 Nanotech Security Corp. Rights Deferred Share

Units Barbaro, Rinaldo D 4 12/21/2018 56 10,750 5,000

Nanotech Security Corp. Rights Deferred Share Units

Blakeway, Douglas Hayward

3, 4, 5 12/21/2018 56 187,500 75,000

Nanotech Security Corp. Common Shares Bullock, Gordon Troy 5 12/21/2018 10 0.55 342,083 50,000 Nanotech Security Corp. Options Bullock, Gordon Troy 5 12/21/2018 50 0.6 1,610,000 600,000 Nanotech Security Corp. Rights Deferred Share

Units Bullock, Gordon Troy 5 12/21/2018 56 156,250 62,500

Nanotech Security Corp. Options Causey, Brian 4 12/21/2018 50 155,000 10,000 Nanotech Security Corp. Rights Deferred Share

Units Causey, Brian 4 12/21/2018 56 10,750 5,000

Nanotech Security Corp. Options Ridley, Ronald Earl 5 12/21/2018 50 50,800 25,000 Nanotech Security Corp. Rights Deferred Share

Units Ridley, Ronald Earl 5 12/21/2018 56 27,031 5,900

Nanotech Security Corp. Options Russell, Monika 5 12/21/2018 50 175,000 150,000 Nanotech Security Corp. Rights Deferred Share

Units Russell, Monika 5 12/21/2018 56 6,500 6,500

National Bank of Canada Common Shares Banque Nationale du Canada

1 12/13/2018 38 58.44 233,100 600


1 12/13/2018 38 58.49 233,500 400


1 12/13/2018 38 58.53 234,000 500


1 12/13/2018 38 58.54 234,400 400


1 12/13/2018 38 58.55 234,800 400


1 12/13/2018 38 58.56 235,000 200


1 12/13/2018 38 58.57 235,400 400


1 12/13/2018 38 58.58 235,700 300


1 12/13/2018 38 58.59 236,200 500


1 12/13/2018 38 58.6 236,600 400


1 12/13/2018 38 58.61 237,300 700

Insider Reporting

January 3, 2019

(2019), 42 OSCB 181



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. National Bank of Canada Common Shares Banque Nationale du

Canada 1 12/13/2018 38 58.62 239,400 2,100


1 12/13/2018 38 58.63 240,400 1,000


1 12/13/2018 38 58.64 241,200 800


1 12/13/2018 38 58.65 242,400 1,200


1 12/13/2018 38 58.66 245,500 3,100


1 12/13/2018 38 58.67 247,000 1,500


1 12/13/2018 38 58.68 250,100 3,100


1 12/13/2018 38 58.685 250,200 100


1 12/13/2018 38 58.69 253,900 3,700


1 12/13/2018 38 58.7 255,100 1,200


1 12/13/2018 38 58.71 256,900 1,800


1 12/13/2018 38 58.72 258,100 1,200


1 12/13/2018 38 58.73 258,600 500


1 12/13/2018 38 58.74 259,400 800


1 12/13/2018 38 58.745 259,600 200


1 12/13/2018 38 58.75 260,500 900


1 12/13/2018 38 58.76 260,900 400


1 12/13/2018 38 58.77 262,200 1,300


1 12/13/2018 38 58.78 262,700 500


1 12/13/2018 38 58.79 263,300 600


1 12/13/2018 38 58.8 264,400 1,100


1 12/13/2018 38 58.81 265,200 800


1 12/13/2018 38 58.82 265,600 400


1 12/13/2018 38 58.83 266,000 400


1 12/13/2018 38 58.84 266,400 400


1 12/13/2018 38 58.85 267,000 600


1 12/13/2018 38 58.86 267,300 300


1 12/13/2018 38 58.87 268,300 1,000


1 12/13/2018 38 58.88 269,200 900


1 12/13/2018 38 58.89 269,500 300


1 12/13/2018 38 58.9 270,200 700


1 12/13/2018 38 58.91 270,500 300


1 12/13/2018 38 58.92 271,400 900

Insider Reporting

January 3, 2019

(2019), 42 OSCB 182



Acquired/ Disposed


Canada 1 12/13/2018 38 58.93 272,400 1,000


1 12/13/2018 38 58.94 272,900 500


1 12/13/2018 38 58.945 273,100 200


1 12/13/2018 38 58.95 274,100 1,000


1 12/13/2018 38 58.96 275,900 1,800


1 12/13/2018 38 58.97 277,500 1,600


1 12/13/2018 38 58.98 277,900 400


1 12/13/2018 38 58.99 278,300 400


1 12/13/2018 38 59 278,900 600


1 12/13/2018 38 59.01 279,500 600


1 12/13/2018 38 59.02 281,200 1,700


1 12/13/2018 38 59.03 282,300 1,100


1 12/13/2018 38 59.04 283,100 800


1 12/13/2018 38 59.05 283,300 200


1 12/13/2018 38 59.06 283,500 200


1 12/13/2018 38 59.07 284,500 1,000


1 12/13/2018 38 59.08 284,800 300


1 12/13/2018 38 59.09 285,400 600


1 12/13/2018 38 59.1 286,600 1,200


1 12/13/2018 38 59.11 286,700 100


1 12/13/2018 38 59.13 287,000 300


1 12/13/2018 38 59.14 288,100 1,100


1 12/13/2018 38 59.15 288,800 700


1 12/13/2018 38 59.16 289,500 700


1 12/13/2018 38 59.18 289,800 300


1 12/13/2018 38 59.19 290,200 400


1 12/13/2018 38 59.22 290,500 300


1 12/14/2018 38 58.24 292,400 1,900


1 12/14/2018 38 58.25 294,000 1,600


1 12/14/2018 38 58.26 294,600 600


1 12/14/2018 38 58.3 297,300 2,700


1 12/14/2018 38 58.31 299,200 1,900


1 12/14/2018 38 58.29 301,300 2,100

Insider Reporting

January 3, 2019

(2019), 42 OSCB 183



Acquired/ Disposed


Canada 1 12/14/2018 38 58.265 301,600 300


1 12/14/2018 38 58.22 302,200 600


1 12/14/2018 38 58.21 302,700 500


1 12/14/2018 38 58.23 303,600 900


1 12/14/2018 38 58.36 307,100 3,500


1 12/14/2018 38 58.35 307,800 700


1 12/14/2018 38 58.33 309,400 1,600


1 12/14/2018 38 58.41 312,400 3,000


1 12/14/2018 38 58.42 314,800 2,400


1 12/14/2018 38 58.38 316,800 2,000


1 12/14/2018 38 58.37 320,100 3,300


1 12/14/2018 38 58.48 320,700 600


1 12/14/2018 38 58.44 322,900 2,200


1 12/14/2018 38 58.46 325,700 2,800


1 12/14/2018 38 58.5 326,900 1,200


1 12/14/2018 38 58.53 328,500 1,600


1 12/14/2018 38 58.49 328,800 300


1 12/14/2018 38 58.51 330,300 1,500


1 12/14/2018 38 58.52 331,200 900


1 12/14/2018 38 58.47 331,500 300


1 12/14/2018 38 58.55 332,200 700


1 12/14/2018 38 58.54 332,400 200


1 12/14/2018 38 58.34 333,700 1,300


1 12/14/2018 38 58.32 336,200 2,500


1 12/14/2018 38 58.45 337,100 900


1 12/14/2018 38 58.56 337,400 300


1 12/14/2018 38 58.39 340,800 3,400


1 12/14/2018 38 58.43 343,500 2,700


1 12/14/2018 38 58.4 345,800 2,300


1 12/14/2018 38 58.27 346,900 1,100


1 12/14/2018 38 58.18 347,100 200


1 12/14/2018 38 58.28 347,900 800


1 12/14/2018 38 58.415 348,400 500

Insider Reporting

January 3, 2019

(2019), 42 OSCB 184



Acquired/ Disposed


Canada 1 12/14/2018 38 58.385 348,500 100


1 12/17/2018 38 57.59 348,600 100


1 12/17/2018 38 57.6 348,800 200


1 12/17/2018 38 57.605 348,900 100


1 12/17/2018 38 57.61 350,500 1,600


1 12/17/2018 38 57.62 352,900 2,400


1 12/17/2018 38 57.63 353,400 500


1 12/17/2018 38 57.64 354,600 1,200


1 12/17/2018 38 57.65 356,400 1,800


1 12/17/2018 38 57.66 358,000 1,600


1 12/17/2018 38 57.67 360,200 2,200


1 12/17/2018 38 57.68 361,800 1,600


1 12/17/2018 38 57.69 362,500 700


1 12/17/2018 38 57.7 363,400 900


1 12/17/2018 38 57.705 363,500 100


1 12/17/2018 38 57.71 364,900 1,400


1 12/17/2018 38 57.72 365,300 400


1 12/17/2018 38 57.73 367,000 1,700


1 12/17/2018 38 57.74 368,100 1,100


1 12/17/2018 38 57.75 368,400 300


1 12/17/2018 38 57.76 369,000 600


1 12/17/2018 38 57.77 369,400 400


1 12/17/2018 38 57.78 369,500 100


1 12/17/2018 38 57.79 370,000 500


1 12/17/2018 38 57.8 371,200 1,200


1 12/17/2018 38 57.81 371,400 200


1 12/17/2018 38 57.82 371,700 300


1 12/17/2018 38 57.84 372,400 700


1 12/17/2018 38 57.85 373,400 1,000


1 12/17/2018 38 57.86 374,400 1,000


1 12/17/2018 38 57.87 375,500 1,100


1 12/17/2018 38 57.88 376,400 900


1 12/17/2018 38 57.89 377,100 700

Insider Reporting

January 3, 2019

(2019), 42 OSCB 185



Acquired/ Disposed


Canada 1 12/17/2018 38 57.9 378,400 1,300


1 12/17/2018 38 57.91 379,100 700


1 12/17/2018 38 57.92 379,700 600


1 12/17/2018 38 57.93 380,300 600


1 12/17/2018 38 57.94 380,600 300


1 12/17/2018 38 57.945 380,700 100


1 12/17/2018 38 57.95 381,000 300


1 12/17/2018 38 57.96 381,200 200


1 12/17/2018 38 57.97 381,900 700


1 12/17/2018 38 57.99 382,400 500


1 12/17/2018 38 58.01 382,700 300


1 12/17/2018 38 58.03 383,600 900


1 12/17/2018 38 58.04 384,400 800


1 12/17/2018 38 58.05 384,700 300


1 12/17/2018 38 58.06 385,300 600


1 12/17/2018 38 58.07 386,400 1,100


1 12/17/2018 38 58.075 386,700 300


1 12/17/2018 38 58.08 387,700 1,000


1 12/17/2018 38 58.09 388,500 800


1 12/17/2018 38 58.1 389,100 600


1 12/17/2018 38 58.11 389,500 400


1 12/17/2018 38 58.12 390,200 700


1 12/17/2018 38 58.13 390,600 400


1 12/17/2018 38 58.14 391,000 400


1 12/17/2018 38 58.15 392,000 1,000


1 12/17/2018 38 58.155 392,100 100


1 12/17/2018 38 58.17 392,900 800


1 12/17/2018 38 58.18 394,500 1,600


1 12/17/2018 38 58.185 394,600 100


1 12/17/2018 38 58.19 395,200 600


1 12/17/2018 38 58.2 395,800 600


1 12/17/2018 38 58.21 396,200 400


1 12/17/2018 38 58.22 397,400 1,200

Insider Reporting

January 3, 2019

(2019), 42 OSCB 186



Acquired/ Disposed


Canada 1 12/17/2018 38 58.23 398,000 600


1 12/17/2018 38 58.24 398,200 200


1 12/17/2018 38 58.26 398,500 300


1 12/17/2018 38 57.73 398,900 400


1 12/17/2018 38 57.76 399,100 200


1 12/18/2018 38 57.48 399,200 100


1 12/18/2018 38 57.56 399,400 200


1 12/18/2018 38 57.6 399,700 300


1 12/18/2018 38 57.64 400,000 300


1 12/18/2018 38 57.67 400,100 100


1 12/18/2018 38 57.68 400,300 200


1 12/18/2018 38 57.72 400,600 300


1 12/18/2018 38 57.74 401,000 400


1 12/18/2018 38 57.73 401,400 400


1 12/18/2018 38 57.75 401,900 500


1 12/18/2018 38 57.76 402,100 200


1 12/18/2018 38 57.77 402,700 600


1 12/18/2018 38 57.78 403,100 400


1 12/18/2018 38 57.79 403,500 400


1 12/18/2018 38 57.8 404,000 500


1 12/18/2018 38 57.81 405,100 1,100


1 12/18/2018 38 57.82 406,600 1,500


1 12/18/2018 38 57.84 408,400 1,800


1 12/18/2018 38 57.85 409,500 1,100


1 12/18/2018 38 57.86 410,000 500


1 12/18/2018 38 57.87 410,800 800


1 12/18/2018 38 57.88 413,200 2,400


1 12/18/2018 38 57.89 413,500 300


1 12/18/2018 38 57.9 415,100 1,600


1 12/18/2018 38 57.91 415,400 300


1 12/18/2018 38 57.92 416,700 1,300


1 12/18/2018 38 57.93 417,600 900


1 12/18/2018 38 57.94 418,400 800

Insider Reporting

January 3, 2019

(2019), 42 OSCB 187



Acquired/ Disposed


Canada 1 12/18/2018 38 57.95 419,900 1,500


1 12/18/2018 38 57.96 421,000 1,100


1 12/18/2018 38 57.965 421,100 100


1 12/18/2018 38 57.97 422,100 1,000


1 12/18/2018 38 57.98 422,700 600


1 12/18/2018 38 57.99 423,400 700


1 12/18/2018 38 58 424,600 1,200


1 12/18/2018 38 58.01 425,000 400


1 12/18/2018 38 58.02 425,900 900


1 12/18/2018 38 58.03 426,500 600


1 12/18/2018 38 58.04 426,900 400


1 12/18/2018 38 58.045 427,000 100


1 12/18/2018 38 58.05 428,100 1,100


1 12/18/2018 38 58.06 428,800 700


1 12/18/2018 38 58.07 429,300 500


1 12/18/2018 38 58.08 429,600 300


1 12/18/2018 38 58.09 430,200 600


1 12/18/2018 38 58.1 431,700 1,500


1 12/18/2018 38 58.105 431,800 100


1 12/18/2018 38 58.11 433,700 1,900


1 12/18/2018 38 58.12 434,900 1,200


1 12/18/2018 38 58.13 436,500 1,600


1 12/18/2018 38 58.14 438,000 1,500


1 12/18/2018 38 58.15 439,000 1,000


1 12/18/2018 38 58.16 439,500 500


1 12/18/2018 38 58.17 440,200 700


1 12/18/2018 38 58.18 440,500 300


1 12/18/2018 38 58.19 440,800 300


1 12/18/2018 38 58.2 441,200 400


1 12/18/2018 38 58.21 441,400 200


1 12/18/2018 38 58.22 441,900 500


1 12/18/2018 38 58.23 442,700 800


1 12/18/2018 38 58.24 442,900 200

Insider Reporting

January 3, 2019

(2019), 42 OSCB 188



Acquired/ Disposed


Canada 1 12/18/2018 38 58.25 443,200 300


1 12/18/2018 38 58.255 443,300 100


1 12/18/2018 38 58.26 443,800 500


1 12/18/2018 38 58.27 444,100 300


1 12/18/2018 38 58.28 444,300 200


1 12/18/2018 38 58.29 444,600 300


1 12/18/2018 38 58.3 445,300 700


1 12/18/2018 38 58.31 445,700 400


1 12/18/2018 38 58.32 446,100 400


1 12/18/2018 38 58.33 446,300 200


1 12/18/2018 38 58.34 446,700 400


1 12/18/2018 38 58.35 447,000 300


1 12/18/2018 38 58.37 447,400 400


1 12/18/2018 38 58.38 447,600 200


1 12/18/2018 38 58.39 447,800 200


1 12/18/2018 38 58.4 448,000 200


1 12/18/2018 38 58.41 448,100 100


1 12/18/2018 38 58.42 448,400 300


1 12/18/2018 38 58.43 449,000 600


1 12/18/2018 38 58.44 449,100 100


1 12/19/2018 38 57.22 449,600 500


1 12/19/2018 38 57.23 449,800 200


1 12/19/2018 38 57.29 449,900 100


1 12/19/2018 38 57.3 450,300 400


1 12/19/2018 38 57.31 450,700 400


1 12/19/2018 38 57.33 451,000 300


1 12/19/2018 38 57.36 451,500 500


1 12/19/2018 38 57.37 452,700 1,200


1 12/19/2018 38 57.38 453,300 600


1 12/19/2018 38 57.42 453,700 400


1 12/19/2018 38 57.43 454,500 800


1 12/19/2018 38 57.44 454,900 400


1 12/19/2018 38 57.45 455,900 1,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 189



Acquired/ Disposed


Canada 1 12/19/2018 38 57.49 456,400 500


1 12/19/2018 38 57.56 456,900 500


1 12/19/2018 38 57.62 457,300 400


1 12/19/2018 38 57.63 457,700 400


1 12/19/2018 38 57.65 458,100 400


1 12/19/2018 38 57.66 458,400 300


1 12/19/2018 38 57.7 458,800 400


1 12/19/2018 38 57.71 459,800 1,000


1 12/19/2018 38 57.72 460,200 400


1 12/19/2018 38 57.73 460,800 600


1 12/19/2018 38 57.74 461,700 900


1 12/19/2018 38 57.75 462,200 500


1 12/19/2018 38 57.76 462,800 600


1 12/19/2018 38 57.77 463,000 200


1 12/19/2018 38 57.78 463,200 200


1 12/19/2018 38 57.79 463,400 200


1 12/19/2018 38 57.8 464,400 1,000


1 12/19/2018 38 57.81 464,500 100


1 12/19/2018 38 57.82 465,400 900


1 12/19/2018 38 57.83 466,000 600


1 12/19/2018 38 57.84 467,400 1,400


1 12/19/2018 38 57.85 468,900 1,500


1 12/19/2018 38 57.855 469,000 100


1 12/19/2018 38 57.86 469,200 200


1 12/19/2018 38 57.87 469,700 500


1 12/19/2018 38 57.88 470,900 1,200


1 12/19/2018 38 57.89 471,600 700


1 12/19/2018 38 57.9 472,700 1,100


1 12/19/2018 38 57.91 473,200 500


1 12/19/2018 38 57.92 474,300 1,100


1 12/19/2018 38 57.93 474,600 300


1 12/19/2018 38 57.94 475,200 600


1 12/19/2018 38 57.97 475,300 100

Insider Reporting

January 3, 2019

(2019), 42 OSCB 190



Acquired/ Disposed


Canada 1 12/19/2018 38 57.98 476,100 800


1 12/19/2018 38 57.99 477,000 900


1 12/19/2018 38 58 477,900 900


1 12/19/2018 38 58.01 479,000 1,100


1 12/19/2018 38 58.02 479,400 400


1 12/19/2018 38 58.03 480,600 1,200


1 12/19/2018 38 58.04 481,400 800


1 12/19/2018 38 58.05 482,000 600


1 12/19/2018 38 58.055 482,100 100


1 12/19/2018 38 58.06 483,100 1,000


1 12/19/2018 38 58.065 483,200 100


1 12/19/2018 38 58.07 484,300 1,100


1 12/19/2018 38 58.08 485,300 1,000


1 12/19/2018 38 58.09 485,700 400


1 12/19/2018 38 58.1 487,000 1,300


1 12/19/2018 38 58.11 487,300 300


1 12/19/2018 38 58.12 488,000 700


1 12/19/2018 38 58.13 488,600 600


1 12/19/2018 38 58.14 489,100 500


1 12/19/2018 38 58.15 489,400 300


1 12/19/2018 38 58.16 489,700 300


1 12/19/2018 38 58.17 490,000 300


1 12/19/2018 38 58.18 490,100 100


1 12/19/2018 38 58.19 491,900 1,800


1 12/19/2018 38 58.2 493,100 1,200


1 12/19/2018 38 58.21 493,600 500


1 12/19/2018 38 58.22 494,800 1,200


1 12/19/2018 38 58.23 495,100 300


1 12/19/2018 38 58.24 495,700 600


1 12/19/2018 38 58.25 496,100 400


1 12/19/2018 38 58.26 497,500 1,400


1 12/19/2018 38 58.27 498,200 700


1 12/19/2018 38 58.29 498,700 500

Insider Reporting

January 3, 2019

(2019), 42 OSCB 191



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. National Bank of Canada Common Shares Pascoe, Ricardo 5 12/14/2018 51 29.25 73,903 56,932 National Bank of Canada Common Shares Pascoe, Ricardo 5 12/14/2018 10 58.406 16,971 -56,932 National Bank of Canada Options Pascoe, Ricardo 5 12/14/2018 51 29.25 621,092 -56,932 National Bank of Canada Common Shares Saputo, Lino Anthony 4 12/14/2018 10 58.5 16,300 15,000 National Bank of Canada Common Shares Saputo, Lino Anthony 4 12/14/2018 10 58.5 15,400 15,000 National Bank of Canada Common Shares Saputo, Lino Anthony 4 12/14/2018 10 58.47 29,430 1,300 National Bank of Canada Common Shares Saputo, Lino Anthony 4 12/14/2018 10 58.474 31,430 2,000 National Bank of Canada Common Shares Saputo, Lino Anthony 4 12/14/2018 10 58.48 32,330 900 National Bank of Canada Common Shares Saputo, Lino Anthony 4 12/14/2018 10 58.484 33,230 900 National Bank of Canada Common Shares Saputo, Lino Anthony 4 12/14/2018 10 58.485 33,330 100 National Bank of Canada Common Shares Saputo, Lino Anthony 4 12/14/2018 10 58.489 34,030 700 National Bank of Canada Common Shares Saputo, Lino Anthony 4 12/14/2018 10 58.5 35,130 1,100 National Bank of Canada Common Shares Vachon, Louis 4, 5 12/19/2018 51 17.44 191,331 53,720 National Bank of Canada Common Shares Vachon, Louis 4, 5 12/19/2018 10 57.764 137,611 -53,720 National Bank of Canada Common Shares Vachon, Louis 4, 5 12/20/2018 51 17.44 212,611 75,000 National Bank of Canada Options Vachon, Louis 4, 5 12/19/2018 51 17.44 2,528,600 -53,720 National Bank of Canada Options Vachon, Louis 4, 5 12/20/2018 51 17.44 2,453,600 -75,000 Nautilus Minerals Inc. Common Shares Withers, Glenn Michael 5 10/10/2016 00 Nautilus Minerals Inc. Common Shares Withers, Glenn Michael 5 3/23/2018 30 0.23 703,000 703,000 Nemaska Lithium Inc. Common Shares Bourassa, guy georges 4, 5 12/17/2018 10 0.72 6,120,000 5,000 Nemaska Lithium Inc. Common Shares Laplante, Vanessa 4 12/18/2018 00 Nemaska Lithium Inc. Common Shares Laplante, Vanessa 4 12/19/2018 10 14,300 Nemaska Lithium Inc. Common Shares Laplante, Vanessa 4 12/19/2018 10 0.7 14,300 14,300 Nevada Zinc Corporation Common Shares Norvista Capital Corporation 3 12/19/2018 10 0.1 2,643,594 7,500 Nevada Zinc Corporation Common Shares Norvista Capital Corporation 3 12/19/2018 10 0.095 2,653,594 10,000 Nevada Zinc Corporation Common Shares Norvista Capital Corporation 3 12/20/2018 10 0.095 2,656,094 2,500 Nevada Zinc Corporation Common Shares Norvista Capital Corporation 3 12/21/2018 10 0.09 2,666,094 10,000 New Look Vision Group Inc. (formerly New Look Eyewear Inc.)

Options Leary, Juanita 7 12/17/2018 51 15.53 42,431 -12,569

New Look Vision Group Inc. (formerly New Look Eyewear Inc.)

Options Leary, Juanita 7 12/17/2018 38 15.53 30,000 -12,431

New Millennium Iron Corp. Common Shares Journeaux, Howaith Dean 4 12/14/2018 10 0.045 1,234,000 34,000 New Millennium Iron Corp. Common Shares Journeaux, Howaith Dean 4 12/17/2018 10 0.045 1,400,000 166,000 New Millennium Iron Corp. Common Shares Journeaux, Howaith Dean 4 11/30/2018 10 0.05 200,000 New Millennium Iron Corp. Common Shares Journeaux, Howaith Dean 4 11/30/2018 10 0.05 200,000 Newfoundland Power Inc. Preferred Shares First

Preference Series A Fortis Inc. 3 12/19/2018 11 8.35 29,947 2,000

Newfoundland Power Inc. Preferred Shares First Preference Series B

Fortis Inc. 3 12/19/2018 11 8.15 80,622 3,300

Nexa Resources S.A. (formerly, VM Holding S.A.)

Common Shares Nexa Resources SA 1 12/14/2018 38 11.816 75,318 5,075


Common Shares Nexa Resources SA 1 12/17/2018 38 11.88 76,148 830







NexGen Energy Ltd. Common Shares Veenman, Sybil Elsa 4 12/17/2018 10 2.485 20,500 500 NexGen Energy Ltd. Common Shares Veenman, Sybil Elsa 4 12/17/2018 10 2.49 40,000 19,500 NexgenRx Inc. Common Shares Crossett, Paul Everett 3 12/18/2018 10 0.25 6,648,500 9,000 Nexia Health Technologies Inc.

Common Shares Schachter, Brian 3 12/18/2018 11 19,255,500 -7,000,000

Nexia Health Technologies Inc.

Common Shares Schachter, Brian 3 12/19/2018 11 5,255,500 -14,000,000

NexJ Health Holdings Inc. Options Singer, Errol Charles 5 12/19/2018 50 255,000 100,000 NexJ Health Holdings Inc. Common Shares Tatham, William Murray 3, 4, 5 12/19/2018 16 0.25 9,693,497 2,800,000 NexJ Health Holdings Inc. Options Tatham, William Murray 3, 4, 5 12/19/2018 50 525,000 200,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 192



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Next Green Wave Holdings Inc.

Common Shares Chow, Paul 4 12/12/2018 10 0.37 5,749,333 15,000

Nextech AR Solutions Corp. Common Shares Gappelberg, Evan 5 12/19/2018 11 1,000,000 500,000 Nextech AR Solutions Corp. Warrants Gappelberg, Evan 5 8/31/2018 00 Nextech AR Solutions Corp. Warrants Gappelberg, Evan 5 8/31/2018 00 1,000,000 Nextech AR Solutions Corp. Warrants Gappelberg, Evan 5 12/19/2018 54 0.5 500,000 -500,000 NFI Group Inc. (formerly New Flyer Industries Inc.)

Common Shares Harper, Janice 5 12/18/2018 10 33.96 14,895 2,000

Nighthawk Gold Corp. Common Shares Cudney, Robert Douglas 3 12/6/2018 10 0.37 30,861,689 15,500 NioCorp Developments Ltd. Common Shares Smith, Mark 4, 5 12/17/2018 54 0.75 18,885,445 115,000 NioCorp Developments Ltd. Warrants Smith, Mark 4, 5 12/17/2018 54 0.75 3,411,502 -115,000 Norbord Inc. Common Shares Dubois-Phillips, Mark

Richard 5 12/11/2018 00 337

Norbord Inc. Options Dubois-Phillips, Mark Richard

5 12/11/2018 00 37,500

Norbord Inc. Rights Restricted Share Units

Dubois-Phillips, Mark Richard

5 12/11/2018 00 989

North American Construction Group Ltd.

Common Shares Ferron, Martin Robert 4, 5 12/17/2018 10 11.29 1,660,307 2,000

North Bud Farms Inc. Common Shares Brown, Ryan 4, 5 12/17/2018 10 0.2 1,373,941 1,000 North Bud Farms Inc. Common Shares Brown, Ryan 4, 5 12/17/2018 10 0.205 1,379,941 6,000 North Bud Farms Inc. Common Shares Brown, Ryan 4, 5 12/19/2018 10 0.2 1,384,941 5,000 Northcliff Resources Ltd. Common Shares Dickinson, Robert Allan 4 12/18/2018 11 3,069,515 -118,835 Northern Dynasty Minerals Ltd.

Warrants Allen, Douglas Raymore 5 12/20/2018 11 0.83 234,000 27,000

Northern Dynasty Minerals Ltd.

Common Shares Dickinson, Robert Allan 3, 4 12/18/2018 11 2,337,664 -255,423


Common Shares Dickinson, Robert Allan 3, 4 12/18/2018 11 1,175,000 -116,500


Warrants Thiessen, Ronald William 4 12/20/2018 11 0.83 806,555 351,000

Northern Sphere Mining Corp.

Common Shares Haywood, Mark Stephen Richard

4 12/17/2018 10 0.02 519,000 200,000

Northfield Capital Corporation

Common Shares CLASS A RESTRICTED VOTING

Northfield Capital Corporation

1 12/17/2018 38 27.1 38,252 2,000

NorthWest Healthcare Properties Real Estate Investment Trust

Trust Units Dalla Lana, Paul 4, 5 12/18/2018 10 9.86 1,920,193 2,000
















Trust Units NorthWest Value Partners Inc.

3 12/18/2018 10 9.86 1,920,193 2,000



3 12/18/2018 10 9.8706 1,928,193 8,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 193



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. NorthWest Healthcare Properties Real Estate Investment Trust


3 12/18/2018 10 9.8986 1,938,193 10,000



3 12/18/2018 10 9.9085 1,948,193 10,000



3 12/18/2018 10 9.8987 1,958,193 10,000



3 12/18/2018 10 9.8796 1,968,193 10,000



3 12/18/2018 10 9.87 1,969,193 1,000



3 12/19/2018 10 9.7724 1,989,193 20,000

NORZINC LTD. Common Shares MacDonald, Robert John 5 12/17/2018 10 0.085 4,000,000 55,000 Nouveau Monde Graphite Inc. (auparavant Nouveau Monde Mining Enterprises Inc.)

Warrants Aubé, Jean-Philippe 4 2/6/2017 16 0.35 50,000

Nouveau Monde Graphite Inc. (auparavant Nouveau Monde Mining Enterprises Inc.)

Warrants Aubé, Jean-Philippe 4 2/6/2017 16 0.35 50,000 50,000


Warrants BEAULIEU, YANNICK 4 2/7/2017 16 100,000


Warrants BEAULIEU, YANNICK 4 2/7/2017 16 100,000 100,000


Common Shares Desaulniers, Eric 4, 5 12/14/2018 45 0.28 913,000 100,000


Warrants TURPIN, ARMAND 3 2/20/2017 00


Warrants TURPIN, ARMAND 3 2/20/2017 00 4,348,000

Nouveau Monde Mining Enterprises Inc.

Warrants Tarte, Charles-Olivier 5 12/22/2016 16 0.35 100,000


Warrants Tarte, Charles-Olivier 5 12/22/2016 16 0.35 100,000


Warrants Tarte, Charles-Olivier 5 12/22/2016 16 0.35 100,000 100,000

Nova Leap Health Corp. Common Shares Dobbin, Christopher Donald 4 12/18/2018 10 0.3 2,064,700 13,000 Nova Leap Health Corp. Common Shares Myles, R. Wayne 4 12/14/2018 10 0.32 1,107,833 5,500 Nova Leap Health Corp. Common Shares Myles, R. Wayne 4 12/17/2018 10 0.33 1,123,333 15,500 Nova Leap Health Corp. Common Shares Myles, R. Wayne 4 12/18/2018 10 0.29 1,161,333 38,000 Nova Leap Health Corp. Common Shares Myles, R. Wayne 4 12/18/2018 10 0.3 1,163,833 2,500 NOVAGOLD RESOURCES INC.

Common Shares Lang, Gregory Anthony 5 12/14/2018 51 2.9 1,758,328 150,000

NOVAGOLD RESOURCES INC.

Common Shares Lang, Gregory Anthony 5 12/14/2018 38 5.11 1,673,144 -85,184




Common Shares Lang, Gregory Anthony 5 12/17/2018 38 5.11 -85,184


Common Shares Lang, Gregory Anthony 5 12/17/2018 51 2.9 1,831,027 200,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 194



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. NOVAGOLD RESOURCES INC.





Options Lang, Gregory Anthony 5 12/14/2018 51 2.9 6,246,750 -150,000


Options Lang, Gregory Anthony 5 12/17/2018 51 2.9 6,046,750 -200,000


Common Shares Walsh, Anthony P. 4 12/18/2018 51 2.9 159,050 159,050


Common Shares Walsh, Anthony P. 4 12/18/2018 38 5.33 72,512 -86,538


Common Shares Walsh, Anthony P. 4 12/18/2018 10 5.3 0 -72,512


Options Walsh, Anthony P. 4 12/18/2018 51 2.9 349,700 -159,050


Common Shares Williams, Richard 5 12/17/2018 51 2.9 314,136 41,634


Common Shares Williams, Richard 5 12/17/2018 38 5.17 290,782 -23,354


Common Shares Williams, Richard 5 12/17/2018 10 5.16 272,502 -18,280


Options Williams, Richard 5 12/17/2018 51 2.9 1,254,700 -41,634

Nuran Wireless Inc. (formerly 1014372 B.C. Ltd.)

Common Shares BÉDARD, Martin 3, 4, 5 12/14/2018 10 0.05 1,959,000 100,000

Nutrien Ltd. Common Shares Kirkpatrick, Robert 6 11/1/2018 00 3,818 Nutrien Ltd. Common Shares Kirkpatrick, Robert 6 11/9/2018 10 75.25 2,318 -1,500 NXT Energy Solutions Inc. Options Liszicasz, George 3, 4, 5 12/18/2018 52 1.83 15,000 -7,500 NXT Energy Solutions Inc. Options Selby, Charles Vincent 4 12/18/2018 52 65,000 -7,500 OceanaGold Corporation Common Shares Cadzow, Mark David 5 12/19/2018 10 276,702 -30,000 OceanaGold Corporation Common Shares MA, YUWEN 5 12/17/2018 10 47,538 -25,738 OceanaGold Corporation Common Shares MA, YUWEN 5 12/18/2018 10 -21,778 OceanaGold Corporation Common Shares MA, YUWEN 5 12/18/2018 10 25,760 -21,778 OceanaGold Corporation Common Shares MA, YUWEN 5 12/19/2018 10 1,761 -23,999 OceanaGold Corporation Common Shares Tang, Liang 5 12/19/2018 10 76,195 -10,000 Olympia Financial Group Inc. Common Shares Newman, Brian Ross 4 12/21/2018 10 38.85 10,541 2,574 Olympia Financial Group Inc. Common Shares Skauge, Rick 3, 4, 5 12/17/2018 10 41.36 18,266 252 Olympia Financial Group Inc. Common Shares Skauge, Rick 3, 4, 5 12/20/2018 10 39.89 18,391 125 Oncolytics Biotech Inc. Common Shares Coffey, Matthew 4, 5 12/21/2018 10 1.742 47,873 12,500 Oncolytics Biotech Inc. Options de Guttadauro, Andrew 5 5/22/2018 37 27,893 -237,107 Oncolytics Biotech Inc. Options de Guttadauro, Andrew 5 12/14/2018 50 2.73 57,893 30,000 Oncolytics Biotech Inc. Rights Restricted Share

Units de Guttadauro, Andrew 5 5/22/2018 37 6,315 -53,685

Oncolytics Biotech Inc. Options Laeufle, Rita 5 12/14/2018 50 2.73 50,000 15,000 Oncolytics Biotech Inc. Common Shares Look, Kirk 5 12/21/2018 10 2.406 9,423 1,250 ONEX CORPORATION Options Abdel Hakim, Nehal Essam 5 12/13/2018 50 78.62 45,000 15,000 ONEX CORPORATION Options Abols, Tate Alexander

Mackenzie 5 12/13/2018 50 78.62 180,000 20,000

ONEX CORPORATION Subordinate Voting Shares

Abols, Tate Alexander Mackenzie

5 12/17/2018 10 74.54 4,122 238

ONEX CORPORATION Options Camens, Sam Michael 5 12/13/2018 50 78.62 30,000 15,000 ONEX CORPORATION Options Copeland, David Wayne 5 12/13/2018 50 78.62 160,667 20,000 ONEX CORPORATION Options Daly, Andrea Elizabeth 5 12/13/2018 50 78.62 165,000 20,000 ONEX CORPORATION Options Feder, Yonah Elimelech 5 12/13/2018 50 78.62 12,000 6,000 ONEX CORPORATION Options Gilis, Konstantin 5 12/13/2018 50 78.62 340,000 15,000 ONEX CORPORATION Subordinate Voting

Shares Gilis, Konstantin 5 12/17/2018 10 74.54 44,649 993

ONEX CORPORATION Options Goldberg, Laurence Alan 5 12/13/2018 50 78.62 195,000 15,000 ONEX CORPORATION Options Larkin, Edward Torrance

Niven 5 6/1/2018 00

Insider Reporting

January 3, 2019

(2019), 42 OSCB 195



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. ONEX CORPORATION Options Larkin, Edward Torrance

Niven 5 12/13/2018 50 78.62 15,000 15,000

ONEX CORPORATION Options Lay, Michael 7 12/13/2018 50 78.62 114,675 12,600 ONEX CORPORATION Subordinate Voting

Shares Le Blanc, Robert Michael 7 12/17/2018 10 74.54 723,135 2,814

ONEX CORPORATION Options Lewtas, Donald William 5 12/20/2018 59 23.35 150,000 -20,000 ONEX CORPORATION Options Mansell, David John 5 12/20/2018 59 56.92 195,000 -165,000 ONEX CORPORATION Options Motamedi, Amir Hossein 5 12/13/2018 50 78.62 142,500 25,000 ONEX CORPORATION Options Munk, Anthony 7 12/18/2018 59 33.11 900,000 -25,000 ONEX CORPORATION Options Munk, Anthony 7 12/18/2018 59 40.35 850,000 -50,000 ONEX CORPORATION Subordinate Voting

Shares Munk, Anthony 7 12/12/2018 11 77.65 449,616 1,185


Munk, Anthony 7 12/12/2018 11 77.65 224,230 -1,185

ONEX CORPORATION Options Popatia, Tawfiq 5 12/13/2018 50 78.62 340,000 20,000 ONEX CORPORATION Options Ross, Matthew David 7 12/13/2018 50 78.62 267,500 15,000 ONEX CORPORATION Subordinate Voting

Shares Ross, Matthew David 7 12/17/2018 10 74.54 10,983 437


Srivastava, Manish Kumar 5 12/17/2018 10 74.54 8,796 358

ONEX CORPORATION Options Thompson, Emma 5 12/13/2018 50 78.62 200,250 30,000 ONEX CORPORATION Options Wright, Nigel Stewart 7 12/13/2018 50 78.62 235,000 20,000 ONEX CORPORATION Subordinate Voting

Shares Wright, Nigel Stewart 7 12/17/2018 10 74.54 300,695 1,324

Opawica Explorations Inc. Warrants Wong, Sandra 5 12/15/2018 55 0.1 45,000 -66,500 Open Text Corporation Deferred Share Units Fowlie, Randy 4 12/20/2018 56 33.02 87,131 399 Open Text Corporation Deferred Share Units Fraser, David 4 12/20/2018 56 33.02 7,418 34 Open Text Corporation Deferred Share Units Hamilton, Gail 4 12/20/2018 56 33.02 69,222 317 Open Text Corporation Deferred Share Units Jenkins, P. Thomas 4 12/20/2018 56 33.02 106,682 488 Open Text Corporation Deferred Share Units Sadler, Stephen 4 12/20/2018 56 33.02 82,723 379 Open Text Corporation Deferred Share Units Singh, Harmit Jagmohan 4 12/20/2018 56 33.02 7,338 34 Open Text Corporation Deferred Share Units Slaunwhite, Michael William

George 4 12/20/2018 56 33.02 100,190 458

Open Text Corporation Deferred Share Units Stevenson, Katharine Berghuis

4 12/20/2018 56 33.02 81,321 372

Open Text Corporation Deferred Share Units Tinggren, Carl Juergen 4 12/20/2018 56 33.02 17,356 79 Open Text Corporation Deferred Share Units Weinstein, Deborah 4 12/20/2018 56 33.02 95,532 437 Organigram Holdings Inc. (formerly, Inform Exploration Corp.)

Options Amirault, Peter 4 12/17/2018 50 4.75 144,312 50,000

Organigram Holdings Inc. (formerly, Inform Exploration Corp.)


Amirault, Peter 4 12/17/2018 56 4.75 68,882 62,632


Options Bourque, Michel 4 12/17/2018 50 4.75 130,093 50,000



Bourque, Michel 4 12/17/2018 56 4.75 65,898 60,105


Options De Luca, Paolo 5 12/17/2018 50 4.75 350,000 50,000



De Luca, Paolo 5 12/17/2018 56 4.75 102,269 81,232


Options Engel, Gregory Malcolm 4, 5 12/17/2018 50 4.75 1,550,000 50,000



Engel, Gregory Malcolm 4, 5 3/13/2017 00



Engel, Gregory Malcolm 4, 5 3/13/2017 00

Insider Reporting

January 3, 2019

(2019), 42 OSCB 196



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Organigram Holdings Inc. (formerly, Inform Exploration Corp.)


Engel, Gregory Malcolm 4, 5 12/17/2018 56 4.75 158,890 113,158


Options Gracewood, Raymond Charles

5 12/17/2018 50 4.75 150,000 25,000



Gracewood, Raymond Charles

5 12/17/2018 56 4.75 43,812 36,472


Options John, Dexter 4 12/17/2018 00 80,000



John, Dexter 4 12/17/2018 00 10,105


Options Mitton, Kenneth Arnold 4 12/17/2018 50 4.75 204,750 50,000



Mitton, Kenneth Arnold 4 12/17/2018 56 4.75 65,898 60,105


Options Sherry, Porter 4 12/17/2018 00 80,000



Sherry, Porter 4 12/17/2018 00 10,105


Options Tripp, Michael David 5 12/17/2018 50 4.75 293,500 50,000



Tripp, Michael David 5 12/17/2018 56 4.75 71,079 62,847


Options West, Derrick 4 12/18/2018 50 4.75 90,000 50,000



West, Derrick 4 12/18/2018 56 4.75 15,898 10,105

ORIGIN GOLD CORPORATION (formerly OneCap Investment Corporation)

Common Shares Gosselin, Réjean 4, 5 12/20/2018 10 0.085 2,723,791 29,000





ORTHO REGENERATIVE TECHNOLOGIES INC.

Common Shares Mainville, Luc 5 12/14/2018 10 0.24 460,000 14,000







Osisko Mining Inc. Common Shares Kirkland Lake Gold Ltd. 3 9/18/2018 00 17,921,750 Osisko Mining Inc. Common Shares Kirkland Lake Gold Ltd. 3 9/18/2018 16 1.7 32,627,632 14,705,882 Painted Pony Energy Ltd. Common Shares Voneiff, George William 4 12/19/2018 10 1.12 351,610 35,000 Palamina Corp. Common Shares Thomson, Andrew 4 12/17/2018 10 0.355 1,384,869 2,000 Palamina Corp. Common Shares Thomson, Andrew 4 12/17/2018 10 0.38 1,385,869 1,000 Pan American Silver Corp. Rights Performance Share

Units Busby, Steven 5 12/11/2018 59 -11,723

Pan American Silver Corp. Rights Performance Share Units

Busby, Steven 5 12/11/2018 59 25,345 -11,723

Insider Reporting

January 3, 2019

(2019), 42 OSCB 197



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Paramount Resources Ltd. Common Shares Class A Wittenberg, Joerg 5 12/19/2018 10 6.44 3,800 -1,702 Parkit Enterprise Inc. Common Shares Delaney, David 4 5/30/2018 00 156,615 Parkit Enterprise Inc. Common Shares Delaney, David 4 12/14/2018 59 0.29 501,442 344,827 Parkit Enterprise Inc. Common Shares Dunkley, Bradley Roy 4 12/20/2018 10 0.27 2,738,500 51,000 Parkit Enterprise Inc. Rights Dunkley, Bradley Roy 4 5/18/2017 00 Parkit Enterprise Inc. Rights Dunkley, Bradley Roy 4 12/18/2018 56 0.29 862,068 862,068 Parkit Enterprise Inc. Common Shares Geller, Avi 4, 5 12/18/2018 16 0.29 6,632,105 862,068 Parkit Enterprise Inc. Rights Geller, Avi 4, 5 5/30/2018 00 Parkit Enterprise Inc. Rights Geller, Avi 4, 5 5/30/2018 00 Parkit Enterprise Inc. Rights Geller, Avi 4, 5 5/30/2018 00 Parkit Enterprise Inc. Rights Geller, Avi 4, 5 11/14/2018 56 1,141,929 Parkit Enterprise Inc. Rights Geller, Avi 4, 5 11/14/2018 56 1,141,929 Parkit Enterprise Inc. Rights Geller, Avi 4, 5 11/14/2018 10 0.005 -155,000 Parkit Enterprise Inc. Rights Geller, Avi 4, 5 11/14/2018 10 0.005 -155,000 Parkit Enterprise Inc. Rights Geller, Avi 4, 5 11/14/2018 56 1,372,929 1,372,929 Parkit Enterprise Inc. Rights Geller, Avi 4, 5 11/14/2018 10 1,217,929 -155,000 Parkit Enterprise Inc. Rights Geller, Avi 4, 5 11/28/2018 10 0.005 -76,000 Parkit Enterprise Inc. Rights Geller, Avi 4, 5 11/28/2018 10 0.005 -76,000 Parkit Enterprise Inc. Rights Geller, Avi 4, 5 11/28/2018 10 1,141,929 -76,000 Parkit Enterprise Inc. Rights Geller, Avi 4, 5 12/14/2018 58 - Expiration

of rights 0 -1,141,929

Parkland Fuel Corporation Common Shares Espey, Robert Berthold 5 12/18/2018 10 34.186 121,872 -34,900 Parkland Fuel Corporation Common Shares Espey, Robert Berthold 5 12/18/2018 51 12.25 348,402 226,530 Parkland Fuel Corporation Share Options Espey, Robert Berthold 5 12/18/2018 51 12.25 997,341 -226,530 Parkland Fuel Corporation Common Shares Pantelidis, James 4 12/17/2018 10 34.2 55,096 1,000 Parkland Fuel Corporation Common Shares Pantelidis, James 4 12/18/2018 10 34 56,096 1,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 3/31/2016 10 0.049 3,450,000 250,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 3/31/2016 10 0.059 3,200,000 -250,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 6/30/2016 10 0.052 3,230,000 30,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 6/30/2016 10 0.1 3,200,000 -30,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 12/31/2016 10 0.13 3,204,000 -66,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 6/30/2017 10 0.22 3,324,000 120,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 6/30/2017 10 0.24 3,204,000 -120,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 11/20/2014 10 0.11 1,215,000 -100,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 12/9/2014 10 0.119 1,105,000 -110,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 12/9/2014 10 0.118 1,046,000 -59,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 12/9/2014 10 0.119 1,006,000 -40,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 12/9/2014 10 0.11 1,806,000 800,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 3/31/2015 10 0.119 1,530,000 -276,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 6/30/2015 10 0.081 797,000 -733,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 9/30/2015 10 0.076 1,047,000 250,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 9/30/2015 10 0.06 1,097,000 50,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 9/30/2015 10 0.067 972,000 -125,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 12/31/2015 10 0.035 2,972,000 2,000,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 12/31/2015 10 0.046 2,650,000 -322,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 3/31/2016 10 0.051 1,265,000 -1,385,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 3/31/2016 10 0.03 4,465,000 3,200,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 6/30/2016 10 0.05 5,465,000 1,000,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 6/30/2016 10 0.052 4,188,396 -1,276,604 Pasinex Resources Limited Common Shares Rainer, Joachim 4 9/30/2016 10 0.1 4,358,396 170,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 9/30/2016 10 0.17 3,670,000 -688,396 Pasinex Resources Limited Common Shares Rainer, Joachim 4 12/31/2016 10 0.15 3,640,000 -30,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 3/31/2017 10 0.1536 2,228,400 -1,411,600 Pasinex Resources Limited Common Shares Rainer, Joachim 4 6/30/2017 10 0.1 728,400 -1,500,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 6/30/2017 10 0.223 0 -728,400 Pasinex Resources Limited Common Shares Rainer, Joachim 4 3/31/2018 10 0.03 3,200,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 3/31/2018 10 0.03 3,200,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 11/21/2014 10 0.1 1,206,000 1,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 198



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Pasinex Resources Limited Common Shares Rainer, Joachim 4 3/31/2015 10 0.1125 1,235,000 -71,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 6/30/2015 10 0.086 2,155,000 70,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 3/31/2016 10 0.045 2,931,000 400,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 6/30/2016 10 0.054 2,965,000 65,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 6/30/2016 10 0.055 2,900,000 -65,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 6/30/2017 10 0.211 3,496,000 521,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 6/30/2017 10 0.1 4,996,000 1,500,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 6/30/2017 10 0.222 4,582,000 -414,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 9/30/2017 10 0.22 4,390,000 -192,000 Pasinex Resources Limited Common Shares Rainer, Joachim 4 12/31/2017 10 0.19 4,401,200 11,200 Pasinex Resources Limited Common Shares Rainer, Joachim 4 12/31/2017 10 0.24 4,390,000 -11,200 Pasinex Resources Limited Warrants Rainer, Joachim 4 12/19/2016 55 0.18 75,000 -50,000 Pasinex Resources Limited (formerly Triple Dragon Resources Inc.)

Common Shares Rainer, Joachim 4 11/13/2014 00

Pasinex Resources Limited (formerly Triple Dragon Resources Inc.)



Common Shares Rainer, Joachim 4 11/13/2014 00 1,205,000




Common Shares Rainer, Joachim 4 11/13/2014 00 1,315,000

Pathfinder Income Fund Trust Units Pathfinder Convertible Debenture Fund

1 12/14/2018 38 7.4262 11,136,198 1,300


1 12/17/2018 38 7.4343 11,136,898 700


1 12/18/2018 38 7.3475 11,137,698 800


1 12/19/2018 38 7.3114 11,138,398 700


1 12/20/2018 38 7.2746 11,139,698 1,300

Peak Positioning Technologies Inc.

Forward Purchase BOLDUC, Laval 4, 5 9/7/2012 73 0 -1


Warrants Dumas, Mark 4 12/15/2017 55 0 -1,500,000


Warrants JOSEPH, Johnson 4, 5 8/1/2013 55 25,000 -10,000


Warrants JOSEPH, Johnson 4, 5 8/10/2013 55 0 -25,000


Warrants JOSEPH, Johnson 4, 5 9/24/2014 55 416,000 -100,000


Warrants JOSEPH, Johnson 4, 5 8/29/2015 55 4,500,000 -416,000


Warrants JOSEPH, Johnson 4, 5 11/28/2016 55 13,074,300 -4,500,000

Pengrowth Energy Corporation

Common Shares Schulich, Seymour 3 12/21/2018 11 0.56 147,000,000 30,000,000

Pengrowth Energy Corporation

Common Shares Schulich, Seymour 3 12/20/2018 11 0.56 10,000,000 -30,000,000

Pershimex Resources Corporation

Common Shares Bureau, Loïc 4 12/20/2018 00


Common Shares Bureau, Loïc 4 12/21/2018 16 0.08 125,000 125,000


Common Shares Bureau, Loïc 4 12/20/2018 00 10,000


Warrants Bureau, Loïc 4 12/20/2018 00


Warrants Bureau, Loïc 4 12/21/2018 16 0.1 125,000 125,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 199



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Pershimex Resources Corporation

Common Shares Gagnon, Robert 4, 5 12/21/2018 16 0.08 2,019,499 62,500


Warrants Gagnon, Robert 4, 5 12/21/2018 53 0.1 270,834 62,500


Common Shares Séguin, Pierre-Hubert 4 12/12/2017 00


Common Shares Séguin, Pierre-Hubert 4 12/21/2018 16 0.08 75,000 75,000


Warrants Séguin, Pierre-Hubert 4 12/12/2017 00


Warrants Séguin, Pierre-Hubert 4 12/21/2018 16 0.1 75,000 75,000

Peruvian Metals Corp. (Formerly Duran Ventures Inc.)

Common Shares Unlimited, No Par Value

Brunelle, Steven Samuel 4 12/18/2018 10 0.04 687,452 -25,000

PetroMaroc Corporation (formerly PetroMaroc Corporation plc)

Common Shares Sharp, Dennis Ambrose 4 12/20/2018 22 0.0529 0 -2,731,969

PetroMaroc Corporation (formerly PetroMaroc Corporation plc)

Options Sharp, Dennis Ambrose 4 12/20/2018 22 0 -4,491,072

Photon Control Inc. Common Shares McDonnell, David Neil 4 12/19/2018 10 0.89 112,375 2,500 Photon Control Inc. Common Shares McDonnell, David Neil 4 12/20/2018 10 0.89 114,875 2,500 Photon Control Inc. Common Shares McDonnell, David Neil 4 12/20/2018 10 0.88 119,875 5,000 Photon Control Inc. Common Shares McGrath, Ronan Dominic 4 12/19/2018 10 0.9471 230,000 50,000 Pine Cliff Energy Ltd. Common Shares Disbrow, Robert 3 12/14/2018 10 0.265 17,696,875 500 Pine Cliff Energy Ltd. Common Shares Disbrow, Robert 3 12/18/2018 10 0.265 17,721,375 24,500 Pinedale Energy Limited Common Shares Class A Sharpe, Donald Albert 3 12/18/2018 36 0.195 10,125,912 9,442,579 Pinedale Energy Limited Non-Voting Shares Class

B Sharpe, Donald Albert 3 12/18/2018 36 0 -9,442,579

Pinedale Energy Limited Common Shares Class A Windt, J. Bradley 3, 4, 5 12/18/2018 36 90,990,000 84,888,888 Pinedale Energy Limited Non-Voting Shares Class

B Windt, J. Bradley 3, 4, 5 12/18/2018 36 0 -84,888,888

Pinedale Energy Limited Warrants Windt, J. Bradley 3, 4, 5 7/3/2018 55 500,000 -155,000 Pinedale Energy Limited Warrants Windt, J. Bradley 3, 4, 5 7/3/2018 55 333,333 -102,500 Pivit Exploration Inc. Common Shares England, Michael Bruno

John Franz 5 12/20/2018 10 0.105 2,650,000 18,000

Pivit Exploration Inc. Common Shares Kalt, Ryan 3 12/17/2018 10 0.125 2,723,000 5,000 PJX Resources Inc. Common Shares Clare, James 5 12/18/2018 16 0.19 137,631 52,631 PJX Resources Inc. Options Clare, James 5 11/18/2018 52 700,000 -150,000 PJX Resources Inc. Warrants Clare, James 5 4/7/2017 55 0 -60,000 PJX Resources Inc. Warrants Clare, James 5 12/18/2018 16 52,631 52,631 PJX Resources Inc. Common Shares Del Campo, Joseph 4 12/18/2018 16 0.17 110,000 100,000 PJX Resources Inc. Warrants Del Campo, Joseph 4 3/7/2011 00 PJX Resources Inc. Warrants Del Campo, Joseph 4 12/18/2018 16 0.3 100,000 100,000 PJX Resources Inc. Common Shares Keating, John 4, 5 12/18/2018 11 0.19 26,500 PJX Resources Inc. Common Shares Keating, John 4, 5 12/18/2018 11 0.19 26,500 PJX Resources Inc. Units Keating, John 4, 5 6/29/2011 00 PJX Resources Inc. Units Keating, John 4, 5 12/18/2018 16 0.19 26,500 26,500 Platinum Group Metals Ltd. Common Shares Begic, Kris 5 12/20/2018 10 1.7 12,306 500 Platinum Group Metals Ltd. Common Shares Begic, Kris 5 12/20/2018 10 1.71 12,406 100 Platinum Group Metals Ltd. Common Shares Jones, R. Michael 4, 5 12/20/2018 10 1.68 26,198 1,000 Plaza Retail REIT RSUs Cipollone, Floriana 5 12/15/2018 59 3.98 9,792 -1,667 Plaza Retail REIT RSUs Cipollone, Floriana 5 12/16/2018 59 3.98 7,792 -2,000 Plaza Retail REIT RSUs Cipollone, Floriana 5 12/17/2018 30 3.98 7,859 67 Plaza Retail REIT RSUs Cipollone, Floriana 5 12/17/2018 59 3.98 7,792 -67 Plaza Retail REIT RSUs Cipollone, Floriana 5 12/17/2018 56 14,517 6,725 Plaza Retail REIT RSUs Mackenzie, Peter 5 12/15/2018 59 3.98 3,333 -1,667 Plaza Retail REIT RSUs Mackenzie, Peter 5 12/17/2018 30 3.98 3,358 25 Plaza Retail REIT RSUs Mackenzie, Peter 5 12/17/2018 57 3.98 3,333 -25 Plaza Retail REIT RSUs Mackenzie, Peter 5 12/17/2018 56 8,618 5,285

Insider Reporting

January 3, 2019

(2019), 42 OSCB 200



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Plaza Retail REIT Trust Units Mackenzie, Peter 5 12/17/2018 30 3.98 77,104 43 Plaza Retail REIT Trust Units Mackenzie, Peter 5 12/17/2018 57 3.98 65,291 25 Plaza Retail REIT RSUs Penney, Stephen 5 12/15/2018 57 3.98 5,334 -1,333 Plaza Retail REIT RSUs Penney, Stephen 5 12/16/2018 57 3.98 4,001 -1,333 Plaza Retail REIT RSUs Penney, Stephen 5 12/17/2018 30 3.98 4,032 31 Plaza Retail REIT RSUs Penney, Stephen 5 12/17/2018 57 3.98 4,001 -31 Plaza Retail REIT RSUs Penney, Stephen 5 12/17/2018 56 8,001 4,000 Plaza Retail REIT Trust Units Penney, Stephen 5 12/15/2018 57 3.98 17,035 716 Plaza Retail REIT Trust Units Penney, Stephen 5 12/16/2018 57 3.98 17,922 887 Plaza Retail REIT Trust Units Penney, Stephen 5 12/17/2018 57 3.98 17,953 31 Plaza Retail REIT RSUs Petrie, James M. 5 12/15/2018 59 3.98 9,792 -1,667 Plaza Retail REIT RSUs Petrie, James M. 5 12/16/2018 59 3.98 7,792 -2,000 Plaza Retail REIT RSUs Petrie, James M. 5 12/17/2018 56 14,517 6,725 Plaza Retail REIT RSUs Petrie, James M. 5 12/17/2018 30 3.98 14,527 10 Plaza Retail REIT RSUs Petrie, James M. 5 12/17/2018 57 3.98 14,517 -10 Plaza Retail REIT RSUs Petrie, James M. 5 12/17/2018 30 3.98 14,569 52 Plaza Retail REIT RSUs Petrie, James M. 5 12/17/2018 59 3.98 14,517 -52 Plaza Retail REIT Trust Units Petrie, James M. 5 12/17/2018 57 3.98 32,574 10 Plaza Retail REIT RSUs Strange, Kimberly A. 5 12/15/2018 57 3.98 1,334 -333 Plaza Retail REIT RSUs Strange, Kimberly A. 5 12/16/2018 57 3.98 1,001 -333 Plaza Retail REIT RSUs Strange, Kimberly A. 5 12/17/2018 30 3.98 1,009 8 Plaza Retail REIT RSUs Strange, Kimberly A. 5 12/17/2018 57 3.98 1,001 -8 Plaza Retail REIT RSUs Strange, Kimberly A. 5 12/17/2018 56 2,101 1,100 Plaza Retail REIT Trust Units Strange, Kimberly A. 5 12/15/2018 57 3.98 2,413 234 Plaza Retail REIT Trust Units Strange, Kimberly A. 5 12/16/2018 57 3.98 2,651 238 Plaza Retail REIT Trust Units Strange, Kimberly A. 5 12/17/2018 57 3.98 2,659 8 Points International Ltd. Options ESOP Barnard, Christopher 4, 5 12/12/2018 50 308,386 234,000 Points International Ltd. Common Shares D'Amico, Michael David 5 12/17/2018 57 13.52 7,124 6,124 Points International Ltd. Common Shares D'Amico, Michael David 5 12/20/2018 51 13.55 8,357 1,233 Points International Ltd. Options ESOP D'Amico, Michael David 5 12/20/2018 51 13.55 0 -11,849 Points International Ltd. Rights Share Units D'Amico, Michael David 5 12/17/2018 57 13.52 0 -13,180 Points International Ltd. Options ESOP Doulas, Peter 5 12/12/2018 50 95,875 92,400 Points International Ltd. Options ESOP Georgiou, Erick James 5 12/12/2018 50 94,478 92,400 Points International Ltd. Options ESOP Lockhard, Peter 5 12/12/2018 50 101,805 92,400 Points International Ltd. Options ESOP MacLean, Robert 4, 5 12/12/2018 50 271,305 234,000 Points International Ltd. Options ESOP Malowney, Jay B. 5 12/12/2018 50 121,475 92,400 Points International Ltd. Options ESOP Murdoch, Inez Mary

Christine 5 12/12/2018 50 113,148 92,400

Polaris Infrastructure Inc. Options Jelic, Anthony Nenard 5 12/10/2018 00 60,000 Pond Technologies Holdings Inc.

Warrants Regular Martin, Steven 4, 5 12/14/2018 38 0 -25,000

Pond Technologies Holdings Inc.

Warrants Regular Masney, Thomas 5 12/14/2018 38 0 -12,500


Common Shares McLeese, Robert Stewart 4 12/17/2018 10 0.62 149,500 7,500


Common Shares McLeese, Robert Stewart 4 12/17/2018 10 0.6 150,000 500








Warrants McLeese, Robert Stewart 4 12/14/2018 38 0 -117,800

Pool Safe Inc. Options Pratt, Robert 4 8/14/2018 00 Pool Safe Inc. Options Pratt, Robert 4 12/17/2018 50 500,000 500,000 Portage Biotech Inc. Common Shares Mintz, Steven Michael 4 12/14/2018 10 0 -300,000 Prairie Provident Resources Inc.

Common Shares Granger, Timothy S. 4, 5 12/14/2018 30 0.23 599,503 7,551

Insider Reporting

January 3, 2019

(2019), 42 OSCB 201



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Prairie Provident Resources Inc.


Prairie Provident Resources Inc.



Performance Share Units Granger, Timothy S. 4, 5 12/17/2018 57 137,512 -28,829


Performance Share Units Granger, Timothy S. 4, 5 12/17/2018 97 110,900 -26,612


Common Shares Lai, Mimi 5 11/21/2018 36 77,765 25,000


Common Shares Lai, Mimi 5 12/17/2018 10 0.2 108,258 30,493


Performance Share Units Lai, Mimi 5 12/17/2018 57 62,835 -30,493


Subscription Receipts Lai, Mimi 5 11/21/2018 36 -25,000


Subscription Receipts Lai, Mimi 5 11/21/2018 36 0 -25,000


Warrants Lai, Mimi 5 11/21/2018 36 20,000 12,500


Common Shares Prairie Provident Resources Inc.

1 12/7/2018 38 0.2363 36,000 16,000



1 12/10/2018 38 0.2221 53,500 17,500



1 12/11/2018 38 0.21 72,800 19,300



1 12/12/2018 38 0.2354 85,800 13,000



1 12/13/2018 38 65,800 -20,000



1 12/13/2018 38 0.2305 85,100 19,300



1 12/14/2018 38 0.2004 103,600 18,500



1 12/18/2018 38 0.2039 122,600 19,000



1 12/20/2018 38 0 -122,600

Precision Drilling Corporation Common Shares Neveu, Kevin A. 4, 5 12/21/2018 10 1.753 907,596 100,000 Precision Drilling Corporation Common Shares Stickland, Wane Jacob 7 12/14/2018 10 2.6 52,581 10,000 Pro Real Estate Investment Trust

Units Aghar, Peter 4 12/13/2018 16 0 -192,189

Pro Real Estate Investment Trust

Units Beckerleg, James Walter 4, 5 12/17/2018 10 2.0438 85,800 10,000






Units Jadavji, Shenoor 4 12/13/2018 16 0 -192,189


Units Lawlor, Gordon G. 5 12/17/2018 10 1.97 356,508 5,000







Probe Metals Inc. Common Shares Haymann, Basil Anthony 4 12/6/2018 10 1.0107 672,840 25,000 Probe Metals Inc. Common Shares Haymann, Basil Anthony 4 12/7/2018 10 1.0107 25,000 Prodigy Ventures Inc. (formerly 71 Capital Corp.)

Common Shares Beckerman, Tom 4, 5 12/18/2018 90 0 -172,627

Prodigy Ventures Inc. (formerly 71 Capital Corp.)

Restricted Voting Shares Beckerman, Tom 4, 5 12/18/2018 90 0 -759,064

Insider Reporting

January 3, 2019

(2019), 42 OSCB 202



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Prodigy Ventures Inc. (formerly 71 Capital Corp.)

Common Shares MacLean, Robert 4 12/21/2018 51 0.1 262,931 125,000


Options MacLean, Robert 4 12/21/2018 51 65,000 -125,000


Common Shares Moore, Stephen T. 4 12/19/2018 51 0.1 240,000 100,000


Options Moore, Stephen T. 4 12/19/2018 51 50,000 -100,000


Common Shares Roberge, Pierre Antoine 5 12/20/2018 10 0.2 105,000 55,000


Common Shares Roberge, Pierre Antoine 5 4/1/2018 00





Prometic Life Sciences Inc. Options Gagnon, Lyne 7 12/14/2018 52 0.4 295,000 -50,000 Prometic Life Sciences Inc. Options Laurin, Pierre 4, 5 12/14/2018 52 0.4 2,547,732 -250,000 Prometic Life Sciences Inc. Options Lortie, Murielle 5 12/13/2018 50 0.39 150,000 100,000 Prometic Life Sciences Inc. Options Ménard, Louise 4 12/14/2018 52 0.34 527,753 -200,000 Prometic Life Sciences Inc. Options Mesburis, Paul 4 12/14/2018 52 0.34 527,753 -50,000 Prometic Life Sciences Inc. Options Moran, John Edward 5 12/14/2018 52 0.34 906,695 -200,000 Prometic Life Sciences Inc. Common Shares Newton, Zachary Jacob 4 12/13/2018 00 2,000 Prometic Life Sciences Inc. Options Newton, Zachary Jacob 4 12/13/2018 00 Prometic Life Sciences Inc. Options Newton, Zachary Jacob 4 12/13/2018 50 0.39 129,612 129,612 Prometic Life Sciences Inc. Options Pritchard, Bruce 5 12/14/2018 52 0.4 1,242,715 -150,000 Prometic Life Sciences Inc. Options Sartore, Patrick 5 12/14/2018 52 0.4 1,078,606 -150,000 Prometic Life Sciences Inc. Warrants Thomvest Asset

Management Inc. 3 11/14/2018 38 104,670,382 -16,723,807

Prometic Life Sciences Inc. Warrants Thomvest Asset Management Inc.

3 11/14/2018 38 97,670,382 -7,000,000


3 11/14/2018 38 85,877,002 -11,793,380


3 11/14/2018 38 75,276,595 -10,600,407


3 11/14/2018 38 21,276,595 -54,000,000


3 11/30/2018 53 149,333,476 128,056,881

Prometic Life Sciences Inc. Options Wendel, Bruce 5 12/14/2018 52 0.34 685,935 -200,000 ProntoForms Corporation Common Shares Chenier, Glenn Michael 5 12/14/2018 90 0.36 0 -60,000 ProntoForms Corporation Common Shares Chenier, Glenn Michael 5 12/14/2018 90 0.36 103,000 60,000 ProntoForms Corporation Common Shares Croucher, David 5 12/20/2018 90 0.37 150,000 -60,000 ProntoForms Corporation Common Shares Croucher, David 5 12/20/2018 90 0.37 300,000 60,000 ProntoForms Corporation Common Shares Pombo, Alvaro 4, 5 11/26/2018 10 0.35 4,003,553 -20,500 ProntoForms Corporation Common Shares Pombo, Alvaro 4, 5 11/26/2018 10 0.355 4,000,553 -3,000 ProntoForms Corporation Common Shares Pombo, Alvaro 4, 5 11/26/2018 10 0.37 3,894,053 -106,500 ProntoForms Corporation Common Shares Scott, Mark 5 12/20/2018 90 0.35 30,000 -100,000 ProntoForms Corporation Common Shares Scott, Mark 5 12/20/2018 90 0.35 433,000 100,000 Prosper Gold Corp. (formerly Lander Energy Corporation)

Common Shares Bernier, Peter 4 12/17/2018 11 0.12 6,494,424 83,334

Prosper Gold Corp. (formerly Lander Energy Corporation)

Options Bernier, Peter 4 8/30/2013 50 0.42 600,000


Options Bernier, Peter 4 8/30/2013 50 600,000


Options Bernier, Peter 4 8/30/2013 52 600,000


Options Bernier, Peter 4 8/30/2013 52 -600,000


Options Bernier, Peter 4 8/30/2013 50 600,000 600,000


Options Bernier, Peter 4 8/30/2018 52 0.2 510,000 -600,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 203



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Prosper Gold Corp. (formerly Lander Energy Corporation)

Options Bernier, Peter 4 12/17/2018 50 0.15 1,210,000 700,000


Warrants Bernier, Peter 4 12/17/2018 11 0.17 41,667 41,667


Options Hedalen, James 5 8/30/2018 52 0.2 650,000 -50,000


Options Hedalen, James 5 12/17/2018 50 0.15 850,000 200,000


Common Shares Hynes, Jason Franklin 4 12/17/2018 11 0.12 833,333 83,333


Options Hynes, Jason Franklin 4 8/30/2018 52 0.2 475,000 -175,000


Options Hynes, Jason Franklin 4 12/17/2018 50 0.15 675,000 200,000


Warrants Hynes, Jason Franklin 4 12/17/2018 11 0.17 291,667 41,667


Options John, Dexter 4 12/17/2018 50 0.15 275,000 125,000


Options Miller-tait, James 4 8/30/2018 52 0.2 475,000 -175,000


Options Miller-tait, James 4 12/17/2018 50 0.15 675,000 200,000


Options Tempelman-Kluit, Dirk 4 8/30/2018 52 0.2 510,000 -500,000


Options Tempelman-Kluit, Dirk 4 12/17/2018 50 0.15 1,210,000 700,000

Pulse Oil Corp. Common Shares Bolstad, Daniel Ryan 4 12/18/2018 00 2,464,319 Pulse Oil Corp. Warrants Bolstad, Daniel Ryan 4 12/18/2018 00 1,440,510 Quadron Cannatech Corporation (formerly Quadron Capital Corporation)

Options Chamberland, Leo 5 10/4/2018 46 200,000 -100,000

Quadron Cannatech Corporation (formerly Quadron Capital Corporation)

Common Shares Kieran, Forristal 7 12/21/2018 10 0.15 2,592,800 -15,000


Common Shares Kieran, Forristal 7 12/21/2018 10 0.14 2,582,800 -10,000


Options Odorchem Manufacturing Corporation

5 3/27/2018 00 1,400,000



5 11/13/2018 46 50,000



5 11/13/2018 46 50,000



5 11/13/2018 46 1,350,000 -50,000

Quantum International Income Corp.

Common Shares Damani, Anil A. 7 12/18/2018 10 0.98 294,174 -550,000

Quinsam Capital Corporation Common Shares Dent, Roger 4, 5 12/20/2018 10 0.2116 2,800,000 500,000 Ravensource Fund (formerly The First Asia Income Fund)

Trust Units Reid, Scott 3 12/20/2018 10 16.75 163,927 500

Razor Energy Corp. Common Shares Bailey, Douglas George 4, 5 12/19/2018 10 2.45 1,207,834 800 Razor Energy Corp. Common Shares Mueller, Lisa Ann 5 12/14/2018 10 2.53 84,270 200 Razor Energy Corp. Common Shares Mueller, Lisa Ann 5 12/14/2018 10 2.546 86,070 1,800 Razor Energy Corp. Common Shares Mueller, Lisa Ann 5 12/17/2018 10 2.48 86,270 200 Razor Energy Corp. Common Shares Mueller, Lisa Ann 5 12/17/2018 10 2.49 89,070 2,800 Razor Energy Corp. Common Shares Muller, Frank Peter 4, 5 12/17/2018 10 2.54 965,966 1,400

Insider Reporting

January 3, 2019

(2019), 42 OSCB 204



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Razor Energy Corp. Common Shares Muller, Frank Peter 4, 5 12/17/2018 10 2.55 966,066 100 Real Matters Inc. Options Hobson, Blaine Michael 4 5/11/2017 50 114,130 51,630 Realcap Holdings Limited Non-Voting Shares Ades, David Samuel 3, 4, 5 5/17/1999 00 3,700 Realcap Holdings Limited Non-Voting Shares Ades, David Samuel 3, 4, 5 12/21/2018 10 0.07 5,000 1,300 Recipe Unlimited Corporation (formerly Cara Operations Limited)

Multiple Voting Shares Fairfax Financial Holdings Limited

3 12/19/2018 90 25.47 67,321 -1,093,726

Recipe Unlimited Corporation (formerly Cara Operations Limited)


3 12/19/2018 90 25.47 7,249,047 1,093,726



3 12/21/2018 90 25.54 2,759,606 1,017,190



3 12/21/2018 90 25.54 113,138 -1,017,190




3 4/10/2015 00




3 12/19/2018 90 25.47 1,093,726 1,093,726




3 12/19/2018 90 25.47 0 -1,093,726




3 12/19/2018 90 25.47 0 -1,093,726




3 12/19/2018 90 25.47 1,606,429 1,093,726

Redline Communications Group Inc.

Common Shares de Gaspe Beaubien, Philippe III

3, 4 10/25/2007 00 2,706,435



3, 4 12/18/2018 10 1.2 2,696,435 -10,000



3, 4 12/19/2018 10 1.2 2,686,435 -10,000



3, 4 12/20/2018 10 1.2 2,655,135 -31,300


Rights Restricted Share Units - Cash Settled

Demirian, Eric 4 12/18/2018 59 1.26 0 -6,250


Common Shares Roberts, David John 4 12/14/2018 10 1.25 28,100 100


Common Shares Roberts, David John 4 12/14/2018 10 1.27 28,200 100


Common Shares Roberts, David John 4 12/17/2018 10 1.28 30,000 1,800


Rights Restricted Share Units - Cash Settled

Somji, Nizar Jaffer 4 12/18/2018 59 1.26 0 -6,250

REIT INDEXPLUS Income Fund

Trust Units REIT INDEXPLUS Income Fund

1 12/17/2018 38 12.601 10,286,125 2,200

REIT INDEXPLUS Income Fund

Trust Units REIT INDEXPLUS Income Fund

1 12/19/2018 38 12.45 10,286,325 200

Reko International Group Inc. Common Shares SZONYI, ANDREW 4 12/14/2018 10 2.9 23,560 -300 Relay Medical Corp. (formerly, ChroMedX Corp).

Common Shares Edwards, Gerard 4 12/20/2018 10 0.23 700,000 100,000

Relay Medical Corp. (formerly, ChroMedX Corp).

Common Shares Invidx Corp 3 12/19/2018 10 18,084,552 -37,500


Common Shares Invidx Corp 3 12/21/2018 10 18,076,052 -8,500


Common Shares Kent, William Gordon Clark 4, 5 12/20/2018 10 0.23 894,952 7,500





Insider Reporting

January 3, 2019

(2019), 42 OSCB 205



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Relay Medical Corp. (formerly, ChroMedX Corp).

Common Shares Minder, Michael 4 12/20/2018 10 0.225 568,000 18,000





Relevium Technologies Inc. Common Shares Useche Gutierrez, Aurelio Antonio

5 12/13/2018 10 0.119 2,034,090 10,090

Relevium Technologies Inc. Common Shares Useche Gutierrez, Aurelio Antonio

5 12/14/2018 10 0.105 2,044,090 10,000

Remington Resources Inc. Common Shares Hahn, Brent Francis 4, 5 12/13/2018 10 0.2 334,500 9,000 RepliCel Life Sciences Inc. Common Shares Schutte, Andrew 4 12/14/2018 00 1,295,415 RepliCel Life Sciences Inc. Options Schutte, Andrew 4 12/14/2018 00 30,000 Rex Opportunity Corp. Common Shares Reid, Bruce 3 12/14/2018 11 0.02 14,789,159 -5,000,000 Richards Packaging Income Fund

Trust Units Prupas, David Lewis 7 12/17/2018 10 31.8 430,505 1,400

Richelieu Hardware Ltd. Common Shares Auclair, Antoine 5 12/14/2018 30 23.017 1,769 65 Richelieu Hardware Ltd. Common Shares Auclair, Antoine 5 12/14/2018 30 23.017 9,562 94 Richelieu Hardware Ltd. Common Shares Grenier, Guy 5 12/14/2018 30 23.017 49,972 160 Richelieu Hardware Ltd. Common Shares Lord, Richard 4, 5 12/14/2018 30 23.017 4,224,459 104 Richelieu Hardware Ltd. Common Shares Quevillon, Geneviève 5 12/14/2018 30 23.017 6,237 39 Ridgewood Canadian Investment Grade Bond Fund

Units Ridgewood Capital Asset Management

3 12/13/2018 10 14.88 8,094,534 1,400

Ridgewood Canadian Investment Grade Bond Fund


3 12/14/2018 10 14.88 8,096,634 2,100



3 12/17/2018 10 14.88 8,097,524 890



3 12/20/2018 10 14.88 55,633



3 12/20/2018 10 14.88 55,633



3 12/20/2018 10 14.88 -55,450



3 12/20/2018 10 14.88 -55,450



3 12/20/2018 10 14.88 8,153,163 55,639



3 12/20/2018 10 14.88 8,097,713 -55,450

RIOCAN REAL ESTATE INVESTMENT TRUST

Deferred Units Brooks, Bonnie 4 12/17/2018 56 37,685 1,010


Deferred Units Brooks, Bonnie 4 12/17/2018 56 38,695 1,010


Deferred Units Godfrey, Paul Victor 4 12/14/2018 56 756


Deferred Units Godfrey, Paul Victor 4 12/17/2018 56 55,557 7,567


Deferred Units Lastman, Dale Howard 4 12/17/2018 56 31,779 579


Deferred Units Sallows, Sharon 4 12/17/2018 56 43,907 1,282


Deferred Units Sallows, Sharon 4 12/17/2018 56 44,977 1,070


Deferred Units Vanaselja, Siim A. 4 12/17/2018 56 16,573 1,272


Deferred Units Winograd, Charles 4 12/17/2018 56 39,980 1,111

Insider Reporting

January 3, 2019

(2019), 42 OSCB 206



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. RJK Explorations Ltd. Common Shares Kalt, Ryan 3 12/20/2018 00 4,795,000 RJK Explorations Ltd. Common Shares Kalt, Ryan 3 12/20/2018 00 125,000 Rockshield Capital Corp. Common Shares Rockshield Capital Corp. 1 12/21/2018 10 0.1 1,485,000 17,000 Rogers Sugar Inc. Common Shares Walton, Michael 5 12/17/2018 10 5.45 34,503 5,000 Roots Corporation Common Shares Searchlight Capital

Partners, L.P. 3 12/11/2018 10 3.2775 9,947,471 37,303

Roots Corporation Common Shares Searchlight Capital Partners, L.P.

3 12/12/2018 10 3.2305 9,984,774 37,303


3 12/13/2018 10 3.2299 10,009,643 24,869


3 12/14/2018 10 3.307 10,034,512 24,869


3 12/17/2018 10 3.1801 10,059,381 24,869


3 12/18/2018 10 3.343 10,084,250 24,869


3 12/19/2018 10 3.2981 10,109,119 24,869


3 12/20/2018 10 3.1236 10,121,553 12,434


3 12/21/2018 10 3.2015 10,133,987 12,434


3 12/11/2018 10 3.2775 10,052,634 37,697


3 12/12/2018 10 3.2305 10,090,331 37,697


3 12/13/2018 10 3.2299 10,115,462 25,131


3 12/14/2018 10 3.307 10,140,593 25,131


3 12/17/2018 10 3.1801 10,165,724 25,131


3 12/18/2018 10 3.343 10,190,855 25,131


3 12/19/2018 10 3.2981 10,215,986 25,131


3 12/20/2018 10 3.1236 10,228,552 12,566


3 12/21/2018 10 3.2015 10,241,118 12,566

Royal Bank of Canada Rights Performance Deferred Share Units

Bolger, Rod 5 12/14/2018 59 94.128 44,928 -11,773


Dobbins, Michael 5 12/14/2018 59 94.128 26,285 -8,754

Royal Bank of Canada Rights RBC Share Units Dobbins, Michael 5 12/14/2018 59 94.128 1,443 -9,811 Royal Bank of Canada Rights Performance

Deferred Share Units Gottschling, Helena 5 12/14/2018 59 94.128 14,702 -3,924

Royal Bank of Canada Rights Deferred Share Units

guzman, douglas antony 5 12/14/2018 56 96.408 116,443 9,335

Royal Bank of Canada Rights Deferred Share Units

guzman, douglas antony 5 12/15/2018 56 96.408 125,015 8,572


Hepworth, Graeme Ashley 5 12/14/2018 59 94.128 24,675 -1,328


McGregor, Alex Douglas 5 12/14/2018 59 94.128 165,377 -82,415


McKay, David Ian 4, 5 12/14/2018 59 94.128 210,698 -87,547


McLaughlin, Neil 5 12/14/2018 59 94.128 37,701 -5,433


Ross, Bruce Washington 5 12/14/2018 59 94.128 61,403 -25,962


Tory, Jennifer Anne 5 12/14/2018 59 94.128 59,393 -34,716

RT Minerals Corp. Warrants Wong, Sandra 5 10/11/2018 55 0.7 136,500 -10,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 207



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Rubicon Organics Inc. Common Shares BRODIE, MARGARET

RUTH 4, 5 12/18/2018 10 1.69 646,500 1,470

Rubicon Organics Inc. Common Shares BRODIE, MARGARET RUTH

4, 5 12/19/2018 10 1.73 646,730 230

Rubicon Organics Inc. Common Shares BRODIE, MARGARET RUTH

4, 5 12/19/2018 10 1.75 647,930 1,200

Rubicon Organics Inc. Common Shares Savics, Eric 3 12/18/2018 10 1.6675 118,900 25,000 Rubicon Organics Inc. Common Shares Savics, Eric 3 12/19/2018 10 1.65 143,900 25,000 Rupert Resources Ltd. Common Shares Brimacombe, Alan Douglas 3 12/20/2018 10 0.96 19,847,900 4,500 Rupert Resources Ltd. Common Shares Brimacombe, Alan Douglas 3 12/20/2018 10 0.98 19,862,900 15,000 Rupert Resources Ltd. Common Shares Brimacombe, Alan Douglas 3 12/20/2018 10 0.99 19,868,400 5,500 Russel Metals Inc. Rights Deferred Share

Units (cash settled) Benedetti, Alain 4 12/14/2018 56 52,390 926

Russel Metals Inc. Rights Restricted Share Units (cash settled)

Britton, Marion Eleanor 5 12/14/2018 56 15,800 279


Bryant, Gregg Edward 5 12/14/2018 56 1,419 25

Russel Metals Inc. Rights Deferred Share Units (cash settled)

Clark, John 4 12/14/2018 56 40,395 714


Coleman, Lesley Margaret Seppings

5 12/14/2018 56 4,331 77


Dinning, James Francis 4 12/14/2018 56 36,283 642


Halcrow, David 5 12/14/2018 56 4,899 87

Russel Metals Inc. Common Shares Hedges, Brian Robie 4 8/27/2003 00 Russel Metals Inc. Common Shares Hedges, Brian Robie 4 12/14/2018 47 20.8 10,000 10,000 Russel Metals Inc. Common Shares Hedges, Brian Robie 4 12/14/2018 47 20.8 114,357 -10,000 Russel Metals Inc. Rights Deferred Share

Units (cash settled) Hedges, Brian Robie 4 12/14/2018 56 1,957 35


Jeremiah, Barbara 4 12/14/2018 56 7,234 128


Kelly, Maureen Ann 5 12/14/2018 56 5,677 100


Laberge, Alice D. 4 12/14/2018 56 28,616 506

Russel Metals Inc. Common Shares MacDermid, Ryan Wallace 5 12/17/2018 10 20.82 2,760 730 Russel Metals Inc. Common Shares MacDermid, Ryan Wallace 5 12/17/2018 10 20.81 3,396 636 Russel Metals Inc. Rights Restricted Share

Units (cash settled) MacDermid, Ryan Wallace 5 12/14/2018 56 7,855 139


MacLean, John 5 12/14/2018 56 5,044 89


McKelvey, Sherri Lynn 5 12/14/2018 56 681 12


O'Reilly, William Michael 5 12/14/2018 56 30,290 536


Reid, John Gregory 5 12/14/2018 56 41,178 728


Robb, Lloyd Bruce 5 12/14/2018 56 4,785 84

Russel Metals Inc. Common Shares Thabet, Annie 4 12/14/2018 10 20.92 6,920 1,670 Russel Metals Inc. Common Shares Thabet, Annie 4 12/14/2018 10 20.768 7,590 670 Russel Metals Inc. Rights Deferred Share

Units (cash settled) Thabet, Annie 4 12/14/2018 56 3,321 59


Tulloch, John Russell 4 12/14/2018 56 16,347 289


Vaillancourt, Michel 5 12/14/2018 56 3,941 69


Wallewein, Kenneth Gilbert 5 12/14/2018 56 5,471 97

Sabina Gold & Silver Corp. Common Shares Dundee Precious Metals Inc.

3 12/21/2018 15 1.2 30,119,913 3,334,000

Sabina Gold & Silver Corp. Common Shares McLeod, Donald Bruce 4 12/21/2018 10 1.2 25,000 Sabina Gold & Silver Corp. Common Shares McLeod, Donald Bruce 4 12/21/2018 15 1.2 847,051 25,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 208



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Sanatana Resources Inc. Common Shares Miles, Peter Leighton 3, 4, 5 12/18/2018 10 0.045 8,791,886 67,000 Sandspring Resources Ltd. Common Shares Giustra, Frank 3 11/15/2018 10 0.22 8,276,000 1,000,000 Santacruz Silver Mining Ltd. Common Shares Girling, W. Barry 4 12/21/2018 10 0.05 35,000 10,000 Satori Resources Inc. Common Shares Shippen, Peter James 3, 4 11/22/2018 00 Satori Resources Inc. Common Shares Shippen, Peter James 3, 4 12/20/2018 16 0.05 800,000 800,000 Satori Resources Inc. Warrants Shippen, Peter James 3, 4 11/22/2018 00 Satori Resources Inc. Warrants Shippen, Peter James 3, 4 12/20/2018 16 0.05 800,000 800,000 Seabridge Gold Inc. Options Layman, Jay Scott 5 12/12/2018 50 15.46 875,000 150,000 Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 12/4/2018 38 191.98 700 700 Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 12/12/2018 38 186 900 200 Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 12/17/2018 38 184.75 1,700 800 Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 12/18/2018 38 183 2,700 1,000 Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 12/20/2018 38 0 -2,700 Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 12/21/2018 38 180 500 500 Senvest Capital Inc. Common Shares Senvest Capital Inc. 1 12/21/2018 38 0 -500 SHAW COMMUNICATIONS INC.

Non-Voting Shares Class "B"

Vogel, Carl E. 4 12/12/2018 10 18.18 35,000 -7,500

SHAW COMMUNICATIONS INC.


Yuill, Willard 4 12/14/2018 10 25.4 -25,000



Yuill, Willard 4 12/14/2018 10 25.4 -25,000



Yuill, Willard 4 12/14/2018 10 25.4 -25,000



Yuill, Willard 4 12/14/2018 10 25.4 -25,000



Yuill, Willard 4 12/14/2018 10 25.4 2,946,712 -25,000

Sherritt International Corporation

Common Shares Snowden, Andrew Peter 5 12/20/2018 10 0.4 52,779 41,500





Shopify Inc. Multiple Voting Shares Class B Multiple Voting Shares

Finkelstein, Harley Michael 5 12/13/2018 36 -2,226


Finkelstein, Harley Michael 5 12/13/2018 36 0 -2,226


Finkelstein, Harley Michael 5 12/20/2018 51 0.152 2,213 2,213



Shopify Inc. Options Finkelstein, Harley Michael 5 12/20/2018 51 0.152 220,420 -2,213 Shopify Inc. Subordinate Voting

Shares Class A Subordinate Voting Shares


Shopify Inc. Subordinate Voting Shares Class A Subordinate Voting Shares

Finkelstein, Harley Michael 5 10/25/2018 30 131 306 -2,226


Finkelstein, Harley Michael 5 11/1/2018 30 138.29 -2,226


Finkelstein, Harley Michael 5 11/1/2018 30 138.29 306 -2,226



Insider Reporting

January 3, 2019

(2019), 42 OSCB 209



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Shopify Inc. Subordinate Voting










Finkelstein, Harley Michael 5 12/3/2018 10 154.78 2,190 -2,308


Finkelstein, Harley Michael 5 12/20/2018 30 131.21 0 -393


Finkelstein, Harley Michael 5 12/20/2018 36 2,213 2,213




Frasca, Joseph Andrew 5 12/17/2018 51 6.22 5,000 5,000


Frasca, Joseph Andrew 5 12/17/2018 36 0 -5,000

Shopify Inc. Options Frasca, Joseph Andrew 5 12/17/2018 51 6.22 20,335 -5,000 Shopify Inc. Subordinate Voting


Frasca, Joseph Andrew 5 12/17/2018 36 5,000 5,000


Frasca, Joseph Andrew 5 12/17/2018 30 139.05 0 -5,000


Lutke, Tobias Albin 4, 5 12/17/2018 30 132.75 202,000 -2,000

Sierra Metals Inc. (formerly Dia Bras Exploration Inc.)

Common Shares Gonzales, Igor 4, 5 12/4/2018 10 2.3 255,781 1,200


Common Shares Neff, Jill 5 12/20/2018 10 2.27 30,455 3,500


Common Shares Renaud, Philip 4 12/17/2018 10 2.9 3,619,044 -10,800


Common Shares Renaud, Philip 4 12/19/2018 10 2.6167 3,319,044 -300,000

Silver Phoenix Resources Inc.

Options Ackerman, Scott Edwin 4, 5 11/29/2018 00


Options Ackerman, Scott Edwin 4, 5 12/14/2018 50 0.1 760,000 760,000


Options McFaul, Douglas John 4, 5 11/29/2018 00


Options McFaul, Douglas John 4, 5 12/14/2018 50 760,000 760,000


Subscription Rights Subscription Receipts

The Emprise Special Opportunities Fund (2017) Limited Partnership

3 12/14/2018 00

Insider Reporting

January 3, 2019

(2019), 42 OSCB 210



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Silver Phoenix Resources Inc.

Subscription Rights Subscription Receipts

The Emprise Special Opportunities Fund (2017) Limited Partnership

3 12/14/2018 16 0.05 25,000,000 25,000,000

SilverCrest Metals Inc. Options Beaudoin, Pierre 5 12/14/2018 50 500,000 200,000 SilverCrest Metals Inc. Common Shares Campbell, Nicholas James 5 12/20/2018 10 3.177 484,000 3,000 SilverCrest Metals Inc. Options Campbell, Nicholas James 5 12/14/2018 50 440,000 125,000 SilverCrest Metals Inc. Options Fier, Nathan Eric 4, 5 12/14/2018 50 1,375,000 250,000 SilverCrest Metals Inc. Options Glanville, Ross Owen 4 12/14/2018 50 450,000 75,000 SilverCrest Metals Inc. Options Portmann, Hannes Philip 4 12/14/2018 50 137,500 37,500 SilverCrest Metals Inc. Options Poznanski, Bernard 5 12/14/2018 50 127,500 15,000 SilverCrest Metals Inc. Common Shares Ritchie, Christopher Kyle 5 12/20/2018 10 3.156 711,800 10,000 SilverCrest Metals Inc. Options Ritchie, Christopher Kyle 5 12/14/2018 50 700,000 200,000 SilverCrest Metals Inc. Options Thody, Graham Campbell 4 12/14/2018 50 650,000 100,000 SilverCrest Metals Inc. Common Shares Wright, John H 4 12/20/2018 10 3.18 217,500 10,000 SilverCrest Metals Inc. Common Shares Wright, John H 4 12/21/2018 10 3.15 227,500 10,000 SilverCrest Metals Inc. Options Wright, John H 4 12/14/2018 50 275,000 75,000 SilverCrest Metals Inc. Options Yong, Anne 5 12/14/2018 50 550,000 125,000 Sintana Energy Inc. Options Austin, Sean 5 12/18/2018 50 1,775,000 800,000 Sintana Energy Inc. Options Austin, Sean 5 12/20/2018 50 0.1 1,900 Sintana Energy Inc. Options Austin, Sean 5 12/20/2018 50 0.1 1,900 Sintana Energy Inc. Options Cherry, David 5 12/18/2018 50 1,775,000 800,000 Sintana Energy Inc. Options CP Sintana LLC 3 7/24/2018 00 Sintana Energy Inc. Options CP Sintana LLC 3 12/18/2018 50 300,000 Sintana Energy Inc. Options CP Sintana LLC 3 12/18/2018 50 300,000 Sintana Energy Inc. Options Gendron, Dean Paul 4 12/18/2018 50 300,000 50,000 Sintana Energy Inc. Options Manner, Douglas Glenn 4, 5 12/18/2018 50 1,975,000 800,000 Sintana Energy Inc. Options Marrelli, Carmelo 5 12/18/2018 50 250,000 100,000 Sintana Energy Inc. Options Maruzzo, Bruno 4 12/18/2018 50 850,000 200,000 Sintana Energy Inc. Options Spickelmier, Keith Dean 4, 5 12/18/2018 50 1,775,000 800,000 SITKA GOLD CORP. Common Shares Coe, Corwin 4, 5 12/18/2018 10 0.1 982,000 5,000 SITKA GOLD CORP. Common Shares COE, RYAN 4 12/17/2018 10 0.09 1,747,000 5,000 Skyharbour Resources Ltd. Common Shares Trimble, Jordan 4 12/18/2018 10 0.405 539,750 10,000 Skyharbour Resources Ltd. Common Shares Trimble, Jordan 4 12/18/2018 10 0.38 541,750 2,000 Skyharbour Resources Ltd. Common Shares Trimble, Jordan 4 12/19/2018 10 0.38 543,750 2,000 Slam Exploration Ltd. Common Shares Macdonald, Bruce 3 12/20/2018 10 0.025 6,430,000 6,000 Slam Exploration Ltd. Common Shares Taylor, Michael R. 4, 5 12/13/2018 10 0.02 2,762,633 50,000 Slate Retail REIT Trust Units Class U Units Welch, Blair 4 12/17/2018 10 11.6 8,495 2,250 Slate Retail REIT Trust Units Class U Units Welch, Blair 4 12/17/2018 10 11.55 8,995 500 Slate Retail REIT Trust Units Class U Units Welch, Blair 4 12/18/2018 10 11.64 11,295 2,300 Sleep Country Canada Holdings Inc.

Common Shares Howcroft, Dave 5 12/18/2018 10 21.1 9,993 87

Sleep Country Canada Holdings Inc.

Common Shares Howcroft, Dave 5 12/18/2018 10 21.1 658 130

Sleep Country Canada Holdings Inc.

Common Shares Will, Sieg 5 12/14/2018 10 21.15 59,905 27,500

Smart Employee Benefits Inc Common Shares Peacock, Stephen 4 12/18/2018 10 0.23 561,042 -40,000 SmartCentres Real Estate Investment Trust (formerly, Smart Real Estate Investment Trust)

Class B Series 1 Limited Partnership IV Units

Goldhar, Mitchell 3 12/17/2018 11 31.08 6,383 6,383

SmartCentres Real Estate Investment Trust (formerly, Smart Real Estate Investment Trust)


Goldhar, Mitchell 3 12/17/2018 90 31.08 0 -6,383



Goldhar, Mitchell 3 12/17/2018 90 31.08 2,825,794 6,383


Class C Series 1 Limited Partnership IV Units

Goldhar, Mitchell 3 12/17/2018 11 28.7 402,636 -6,912

Insider Reporting

January 3, 2019

(2019), 42 OSCB 211



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. SmartCentres Real Estate Investment Trust (formerly, Smart Real Estate Investment Trust)

Special Voting Units Goldhar, Mitchell 3 12/17/2018 11 6,383 6,383


Special Voting Units Goldhar, Mitchell 3 12/17/2018 90 0 -6,383


Special Voting Units Goldhar, Mitchell 3 12/17/2018 90 4,477,330 6,383

SolGold plc Options Clare, James 4 5/1/2018 00 SolGold plc Options Clare, James 4 12/20/2018 50 3,150,000 3,150,000 SolGold plc Options Jones, Craig Antony 4 12/20/2018 50 3,150,000 900,000 SolGold plc Options Mather, Nicholas 4, 6 12/20/2018 50 31,250,000 5,000,000 SolGold plc Options Moller, Brian 4 12/20/2018 50 5,175,000 1,425,000 SolGold plc Ordinary Shares Newcrest Mining Limited 3 12/17/2018 11 0.4 281,216,471 27,870,000 SolGold plc Options Weinberg, Robert Maurice 4 12/20/2018 50 3,150,000 900,000 SOLITARIO ZINC CORP. Common Shares Atzmon, Gil 4 12/14/2018 10 0.26 2,680,012 7,800 Solium Capital Inc. Common Shares Craig, Brian Norman 3, 4, 6, 5 12/13/2018 30 12.03 3,021,300 -5,000 Sonoro Metals Corp. Common Shares Darch, John Michael 4 12/17/2018 10 0.13 380,000 25,000 Southern Arc Minerals Inc. Options Boon, Vince 5 12/14/2018 50 0.35 80,000 65,000 Spacefy Inc. Common Shares Scharfe, Bradley Nixon 4 12/13/2018 10 0.162 944,500 56,000 Spacefy Inc. Common Shares Scharfe, Bradley Nixon 4 12/14/2018 10 0.167 998,500 54,000 Spacefy Inc. Common Shares Scharfe, Bradley Nixon 4 12/17/2018 10 0.161 1,032,500 34,000 Spark Power Group Inc. (formerly Canaccord Genuity Acquisition Corp.)

Common Shares CG Investments Inc. 3 8/31/2018 22 2,626,950

Spark Power Group Inc. (formerly Canaccord Genuity Acquisition Corp.)

Common Shares CG Investments Inc. 3 8/31/2018 22 707,720 707,720


Common Shares CG Investments Inc. 3 11/14/2018 10 2.6985 716,920 9,200


Common Shares CG Investments Inc. 3 11/16/2018 10 2.5814 714,120 -2,800








Common Shares CG Investments Inc. 3 11/23/2018 10 2.6 714,334 900











Insider Reporting

January 3, 2019

(2019), 42 OSCB 212



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Spark Power Group Inc. (formerly Canaccord Genuity Acquisition Corp.)


















CG Investments Inc. 3 8/31/2018 22 -2,626,950



CG Investments Inc. 3 8/31/2018 22 0 -707,720


Warrants CG Investments Inc. 3 8/31/2018 22 2,626,950


Warrants CG Investments Inc. 3 8/31/2018 22 707,720 707,720

Sparton Resources Inc. Common Shares Barker, Alan Lee 4, 5 12/18/2018 10 0.05 2,728,645 9,000 Spectra7 Microsystems Inc. Common Shares Halim, Raouf Youssef 4, 5 12/17/2018 10 0.093 -725,793 Spectra7 Microsystems Inc. Common Shares Halim, Raouf Youssef 4, 5 12/17/2018 10 0.093 2,090,944 -725,793 Spectra7 Microsystems Inc. Restricted Share Units Ma, Darren 5 12/17/2018 56 3,986,250 3,000,000 Sphere 3D Corp. Common Shares Kalbfleisch, Kurt 5 11/5/2018 37 5,454 -38,179 Sphere 3D Corp. Common Shares Kalbfleisch, Kurt 5 12/18/2018 57 8,471 3,017 Sphere 3D Corp. Common Shares Kalbfleisch, Kurt 5 12/19/2018 10 3.35 7,402 -1,069 Sphere 3D Corp. Options Kalbfleisch, Kurt 5 11/5/2018 37 500 -3,500 Sphere 3D Corp. Restricted Stock Unit Kalbfleisch, Kurt 5 11/5/2018 37 15,083 -133,983 Sphere 3D Corp. Restricted Stock Unit Kalbfleisch, Kurt 5 12/18/2018 57 12,066 -3,017 Sphere 3D Corp. Common Shares MacFarlane, Thaderine 3 11/5/2018 37 249,321 -1,745,249 Sphere 3D Corp. Common Shares MacFarlane, Thaderine 3 12/20/2018 10 243,567 -5,754 Sphere 3D Corp. Warrants MacFarlane, Thaderine 3 11/5/2018 37 37,500 -262,500 Sphere 3D Corp. Common Shares MacFarlane, Victor 3 11/5/2018 37 249,321 -1,745,249 Sphere 3D Corp. Common Shares MacFarlane, Victor 3 12/20/2018 10 243,567 -5,754 Sphere 3D Corp. Warrants MacFarlane, Victor 3 11/5/2018 37 37,500 -262,500 Sphere 3D Corp. Common Shares MF Ventures, LLC 3 11/5/2018 37 249,321 -1,745,249 Sphere 3D Corp. Common Shares MF Ventures, LLC 3 12/20/2018 10 243,567 -5,754 Sphere 3D Corp. Warrants MF Ventures, LLC 3 11/5/2018 37 37,500 -262,500 Spot Coffee (Canada) Ltd. Common Shares AYOUB, ANTON MICHEL 4, 5 12/20/2018 10 0.06 2,104,458 3,000 Spot Coffee (Canada) Ltd. Common Shares AYOUB, ANTON MICHEL 4, 5 12/21/2018 10 0.06 2,107,458 3,000 Spot Coffee (Canada) Ltd. Common Shares Lorenzo, John Michael 4 12/7/2018 10 0.07 7,775,357 49,000 Spot Coffee (Canada) Ltd. Common Shares Lorenzo, John Michael 4 12/10/2018 10 0.065 7,826,357 51,000 Spot Coffee (Canada) Ltd. Common Shares Lorenzo, John Michael 4 12/13/2018 10 0.06 7,861,357 35,000 Spot Coffee (Canada) Ltd. Common Shares Lorenzo, John Michael 4 12/14/2018 10 0.06 7,891,357 30,000 Spot Coffee (Canada) Ltd. Common Shares Lorenzo, John Michael 4 12/18/2018 10 0.06 7,906,357 15,000 Spot Coffee (Canada) Ltd. Common Shares Lorenzo, John Michael 4 12/20/2018 10 0.06 7,921,357 15,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 213



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Sprott Resource Holdings Inc. (formerly Adriana Resources Inc. )

EPSP Designation Yuzpe, Stephen Mark 4, 5 12/14/2018 56 1.21 204,704 2,889

Squire Mining Ltd. Options KULYK, TARAS MYKOLA STEPHAN

4, 5 10/26/2018 00

Squire Mining Ltd. Options KULYK, TARAS MYKOLA STEPHAN

4, 5 12/12/2018 50 0.28 200,000 200,000

SSR Mining Inc. (Silver Standard Resources Inc.)

Common Shares Benson, Paul 4, 5 12/14/2018 51 8.38 199,460 137,000


Common Shares Benson, Paul 4, 5 12/14/2018 10 15.05 106,275 -93,185


Options Benson, Paul 4, 5 12/14/2018 51 8.38 629,084 -137,000


Common Shares Block, Nadine June 5 12/19/2018 51 6.48 28,017 25,000


Common Shares Block, Nadine June 5 12/19/2018 10 16.15 3,017 -25,000


Options Block, Nadine June 5 12/19/2018 51 16.15 -25,000


Options Block, Nadine June 5 12/19/2018 51 6.48 100,084 -25,000


Common Shares Martin, Gregory John 5 12/18/2018 51 7.26 21,749 5,254


Common Shares Martin, Gregory John 5 12/18/2018 10 16.07 16,495 -5,254


Options Martin, Gregory John 5 12/18/2018 51 7.26 472,250 -5,254

Stans Energy Corp. Common Shares BAKER, GORDON 4, 5 12/12/2018 10 0.02 412,880 -33,420 Stans Energy Corp. Common Shares Stevens, Olga 5 12/18/2018 10 0.02 150,000 50,000 Stantec Inc. Common Shares DiManno, Valentino 7, 5 12/21/2018 10 29.497 26,951 1,000 Stella-Jones Inc. Common Shares Jones, Ian 7 12/21/2018 10 38.5 600 600 Steppe Gold Ltd. Common Shares Michaels, Patrick 4 12/20/2018 10 0.7 123,500 23,500 Steppe Gold Ltd. Common Shares Michaels, Patrick 4 12/21/2018 10 0.7 23,500 Steppe Gold Ltd. Common Shares Waraich, Aneel Singh 4, 5 12/11/2018 10 0.81 517,743 100 Steppe Gold Ltd. Common Shares Waraich, Aneel Singh 4, 5 12/11/2018 10 0.8 518,593 850 Steppe Gold Ltd. Common Shares Waraich, Aneel Singh 4, 5 12/12/2018 10 0.8 518,988 395 Steppe Gold Ltd. Common Shares Waraich, Aneel Singh 4, 5 12/12/2018 10 0.79 519,488 500 Steppe Gold Ltd. Common Shares Waraich, Aneel Singh 4, 5 12/18/2018 10 0.69 519,988 500 Steppe Gold Ltd. Common Shares Waraich, Aneel Singh 4, 5 12/18/2018 10 0.72 520,588 600 Steppe Gold Ltd. Common Shares Waraich, Aneel Singh 4, 5 12/10/2018 10 0.77 2,433,801 650 Steppe Gold Ltd. Common Shares Waraich, Aneel Singh 4, 5 12/10/2018 10 0.71 2,434,501 700 Steppe Gold Ltd. Common Shares Waraich, Aneel Singh 4, 5 12/10/2018 10 0.83 2,435,001 500 Steppe Gold Ltd. Common Shares Waraich, Aneel Singh 4, 5 12/11/2018 10 0.8 2,435,651 650 Steppe Gold Ltd. Common Shares Waraich, Aneel Singh 4, 5 12/12/2018 10 0.79 2,436,151 500 Steppe Gold Ltd. Common Shares Waraich, Aneel Singh 4, 5 12/12/2018 10 0.8283 2,436,751 600 Steppe Gold Ltd. Common Shares Waraich, Aneel Singh 4, 5 12/17/2018 10 0.7162 2,437,401 650 Steppe Gold Ltd. Common Shares Waraich, Aneel Singh 4, 5 12/18/2018 10 0.72 2,438,751 1,350 Steppe Gold Ltd. Common Shares Waraich, Aneel Singh 4, 5 12/18/2018 10 0.71 2,439,751 1,000 Stornoway Diamond Corporation

Deferred Share Units Darling, Michèle 4 12/17/2018 56 0.2 688,228 510,000

Stornoway Diamond Corporation

Deferred Share Units Kyle, Hume 4 12/17/2018 56 0.2 688,228 510,000


Deferred Share Units LeBoutillier, John 4 12/17/2018 56 0.2 390,728 212,500


Deferred Share Units Manson, Matthew Lamont 4, 5 9/18/2006 00


Deferred Share Units Manson, Matthew Lamont 4, 5 12/17/2018 56 0.2 212,500 212,500


Deferred Share Units Morin, Gaston 4 12/17/2018 56 0.2 688,228 510,000


Deferred Share Units Nixon, Peter 4 12/17/2018 56 0.2 688,228 510,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 214



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Stornoway Diamond Corporation

Deferred Share Units Scherkus, Ebe 4 12/17/2018 56 0.2 520,971 283,333


Deferred Share Units Tawil, Marie-Anne 4 12/17/2018 56 0.2 688,228 510,000

Strongbow Exploration Inc. Common Shares Njegovan, Donald Robert 4 10/5/2018 00 Strongbow Exploration Inc. Common Shares Njegovan, Donald Robert 4 12/19/2018 10 0.1 100,000 100,000 Stuart Olson Inc. Common Shares Loberg, Carmen Richard 4 12/19/2018 10 4.8 5,850 2,000 Stuart Olson Inc. Common Shares Loberg, Carmen Richard 4 12/19/2018 10 4.79 5,950 100 Stuart Olson Inc. Common Shares Loberg, Carmen Richard 4 7/1/2009 00 Stuart Olson Inc. Common Shares Loberg, Carmen Richard 4 12/20/2018 10 4.85 2,000 2,000 SugarBud Craft Growers Corp. (formerly Relentless Resources Ltd.)

Rights MacDonald, William Colin 4 9/12/2018 58 - Expiration

of rights

0.0675 -9,992,211

SugarBud Craft Growers Corp. (formerly Relentless Resources Ltd.)

Rights MacDonald, William Colin 4 9/12/2018 11 0.0675 0 -9,992,211


Common Shares Wilson, Daniel Thomas 4, 5 1/16/2018 90 2,525,000 2,525,000


Common Shares Wilson, Daniel Thomas 4, 5 8/31/2018 90 2,525,000

Summit Industrial Income REIT

Trust Units Dykeman, Paul 4, 5 4/25/2018 30 8.35 16,982 64




















Trust Units Dykeman, Paul 4, 5 12/18/2018 90 12,554 -4,947


Trust Units Dykeman, Paul 4, 5 12/18/2018 90 714,145 7,879



















Insider Reporting

January 3, 2019

(2019), 42 OSCB 215



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Summit Industrial Income REIT







Trust Units Dykeman, Paul 4, 5 12/18/2018 90 0 -7,879






































Trust Units Dykeman, Paul 4, 5 4/25/2018 30 8.35 83,548 1,289














Trust Units Dykeman, Paul 4, 5 10/17/2018 30 8.76 608




Trust Units Dykeman, Paul 4, 5 11/20/2018 30 9.33 574



Insider Reporting

January 3, 2019

(2019), 42 OSCB 216



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Summit Industrial Income REIT

















































Trust Units Maroun, Louis 4 12/21/2018 46 9.5661 91,212 56,187




Trust Units Maroun, Louis 4 12/21/2018 10 9.4 1,056,102 150


Trust Units Morassutti, Lawrence 4 12/14/2018 30 8.99 99,532 473


Trust Units Morassutti, Lawrence 4 12/14/2018 30 8.99 3,240,634 14,473

Sun Life Assurance Company of Canada

Class C Shares, Series 16 Sun Life Financial 3 12/31/2002 00


Class C Shares, Series 16 Sun Life Financial 3 12/21/2018 11 1 1


Class C Shares, Series 16 Sun Life Financial 3 12/21/2018 11 2E+07 0 -1

Sun Life Financial Inc. Units Sun Shares Pagano, Helena Janina 5 12/15/2018 38 45.12 16,284 -6,551 Suncor Energy Inc. Common Shares Cowan, Alister 5 12/21/2018 10 36.53 57,973 41,100

Insider Reporting

January 3, 2019

(2019), 42 OSCB 217



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Suncor Energy Inc. Common Shares Houston, Dennis Michael 4 1/1/2018 00 Suncor Energy Inc. Common Shares Houston, Dennis Michael 4 12/21/2018 10 27.42 3,000 3,000 Suncor Energy Inc. Common Shares Houston, Dennis Michael 4 12/21/2018 10 27.37 15,600 5,000 Suncor Energy Inc. Common Shares Williams, Steven Walter 5 12/21/2018 10 36.86 465,102 54,000 Sunora Foods Inc. Common Shares Sunora Foods Inc. 1 12/17/2018 10 0.13 1,566,000 80,000 Superior Plus Corp. Common Shares Bechberger, Edward Joseph 5 12/21/2018 10 9.4 33,200 1,000 Superior Plus Corp. Rights Deferred Share

Units Best, Catherine May 4 11/15/2018 56 58,974 7,298

Superior Plus Corp. Rights Deferred Share Units

Bissell, Eugene V.N. 4 11/15/2018 56 49,089 9,634


BRADEEN, RICHARD 4 11/15/2018 56 41,867 7,298


Findlay, Randall J. 4 11/15/2018 56 68,354 7,298


Gottschalk, Patrick Edward 4 11/15/2018 56 21,691 9,634


Harrison, Douglas 4 11/15/2018 56 32,260 7,298


Jordan, Mary 4 11/15/2018 56 53,777 7,298


Smith, David Paul 4 11/15/2018 56 90,926 13,227

Surge Energy Inc. Common Shares Colborne, Paul 4 12/17/2018 10 1.49 4,633,199 2,051 Surge Energy Inc. Common Shares Colborne, Paul 4 12/17/2018 10 1.5 4,637,682 4,483 Surge Energy Inc. Common Shares Colborne, Paul 4 12/17/2018 10 1.5 655,142 4,266 Syd Financial Inc. Common Shares Naughty, Blair Lawrence 4 12/14/2018 10 0.1 81,700 66,700 Symbility Solutions Inc. (formerly Automated Benefits Corp.)

Common Shares Baxter, Blair Ronald 5 12/18/2018 22 0.615 0 -130,000

Symbility Solutions Inc. (formerly Automated Benefits Corp.)

Options Baxter, Blair Ronald 5 12/18/2018 38 0.615 0 -1,345,780


Common Shares Brinkman, Jeffrey 5 12/18/2018 22 0.615 0 -321,667


Options Brinkman, Jeffrey 5 12/18/2018 38 0.615 0 -450,000


Common Shares Burega, John 5 12/18/2018 22 0.615 0 -1,675,500


Options Burega, John 5 12/18/2018 38 0.615 0 -2,358,840


Common Shares Corelogic, Inc. 3 3/25/2014 00


Common Shares Corelogic, Inc. 3 12/17/2018 11 0.615 67,739,821 67,739,821






Common Shares Corelogic, Inc. 3 12/17/2018 11 67,739,821 67,739,821


Common Shares Corelogic, Inc. 3 12/17/2018 11 0.615 0 -67,739,821



Insider Reporting

January 3, 2019

(2019), 42 OSCB 218



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Symbility Solutions Inc. (formerly Automated Benefits Corp.)



Common Shares Corelogic, Inc. 3 12/17/2018 11 0 -67,739,821






Common Shares Corelogic, Inc. 3 12/17/2018 11 0.615 0 -67,739,821










Common Shares Crowe, Paul 4 12/18/2018 22 0.615 0 -542,325


Options Crowe, Paul 4 12/18/2018 38 0.615 0 -912,400


Common Shares Hurwitz, Richard Michael 4 12/18/2018 22 0.615 0 -93,000


Options Hurwitz, Richard Michael 4 12/18/2018 38 0.615 0 -250,000


Common Shares Huynh, Marc Olivier 5 12/18/2018 22 0.615 0 -545,812


Common Shares Huynh, Marc Olivier 5 12/18/2018 22 0.615 0 -4,041,854


Options Huynh, Marc Olivier 5 12/18/2018 38 0.615 0 -1,949,925


Common Shares Jones, Wesley 5 12/18/2018 22 0.615 0 -186,667


Options Jones, Wesley 5 12/18/2018 38 0.615 0 -362,500


Common Shares Landry, Robert 4 12/18/2018 22 0.615 0 -416,580


Options Landry, Robert 4 12/18/2018 38 0.615 0 -350,000


Common Shares Paterson, G. Scott 4 12/18/2018 47 0.615 7,789,592 -1,399,513


Common Shares Paterson, G. Scott 4 12/18/2018 22 0.615 0 -7,789,592


Common Shares Paterson, G. Scott 4 12/18/2018 22 0.615 0 -303,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 219



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Symbility Solutions Inc. (formerly Automated Benefits Corp.)

Options Paterson, G. Scott 4 6/6/2004 00


Options Paterson, G. Scott 4 12/18/2018 99 650,000 650,000


Options Paterson, G. Scott 4 12/18/2018 22 0 -650,000


Common Shares Swayze, James Robert 4 12/18/2018 22 0.615 0 -10,090,303


Options Swayze, James Robert 4 12/18/2018 38 0.615 0 -3,005,210


Common Shares Torok, Michael Patrick 4 12/18/2018 22 0.615 0 -1,136,500


Options Torok, Michael Patrick 4 12/18/2018 38 0.615 0 -150,000

Tamarack Valley Energy Ltd. Common Shares Christensen, David Keith 5 12/20/2018 10 2.04 94,450 -38,372 Tamarack Valley Energy Ltd. Common Shares Christensen, David Keith 5 12/20/2018 10 2.06 31,718 30,208 Tamarack Valley Energy Ltd. Common Shares Spitzer, Robert 4 12/21/2018 10 2.06 69,200 42,300 Tamarack Valley Energy Ltd. Common Shares Spitzer, Robert 4 12/21/2018 10 2.06 11,200 5,300 Taranis Resources Inc. Common Shares Gardiner, John James 3, 4, 5 12/17/2018 46 0.08 5,182,025 380,000 Taseko Mines Limited Common Shares Dickinson, Robert Allan 4, 5 12/18/2018 11 495,000 -55,000 Taseko Mines Limited Common Shares Dickinson, Robert Allan 4, 5 12/18/2018 11 2,776,000 -158,400 Taseko Mines Limited Common Shares Morrison, Alexander 4 12/18/2018 10 0.4999 33,900 100 Taseko Mines Limited Common Shares Morrison, Alexander 4 12/18/2018 10 0.5 34,335 435 Taseko Mines Limited Common Shares Morrison, Alexander 4 12/18/2018 10 0.5099 48,800 14,465 Teck Resources Limited Performance Share Units Andres, Dale Edwin 5 12/20/2018 59 39,104 -52,829 Teck Resources Limited Restricted Share Units Andres, Dale Edwin 5 12/20/2018 59 0 -26,412 Teck Resources Limited Performance Share Units Christopher, Alexander 5 12/20/2018 59 39,104 -39,170 Teck Resources Limited Restricted Share Units Christopher, Alexander 5 12/20/2018 59 0 -39,170 Teck Resources Limited Performance Share Units Davey, Larry 5 12/20/2018 59 7,614 -13,397 Teck Resources Limited Restricted Share Units Davey, Larry 5 12/20/2018 59 0 -6,695 Teck Resources Limited Class B Subordinate

Voting Shares Dorri, Sepanta 5 12/10/2018 00

Teck Resources Limited Options Dorri, Sepanta 5 12/10/2018 00 Teck Resources Limited Options Dorri, Sepanta 5 12/10/2018 50 28.55 10,000 10,000 Teck Resources Limited Performance Share Units Dorri, Sepanta 5 12/10/2018 00 Teck Resources Limited Performance Share Units Dorri, Sepanta 5 12/10/2018 56 27.828 4,400 4,400 Teck Resources Limited Performance Share Units Foley, Real 7 12/20/2018 59 21,022 -29,118 Teck Resources Limited Restricted Share Units Foley, Real 7 12/20/2018 59 0 -29,118 Teck Resources Limited Performance Share Units Golding, Andrew 5 12/20/2018 59 35,086 -52,829 Teck Resources Limited Restricted Share Units Golding, Andrew 5 12/20/2018 59 0 -25,769 Teck Resources Limited Performance Share Units Joudrie, Colin 5 12/20/2018 59 9,546 -13,397 Teck Resources Limited Restricted Share Units Joudrie, Colin 5 12/20/2018 59 0 -13,397 Teck Resources Limited Restricted Share Units Keevil, Norman Bell 3, 4 12/20/2018 59 20,018 -24,645 Teck Resources Limited Performance Share Units Lindsay, Donald Richard 5 12/20/2018 59 179,286 -244,317 Teck Resources Limited Class B Subordinate

Voting Shares Millos, Ronald Allen 7 12/18/2018 51 4.15 17,726 10,000

Teck Resources Limited Class B Subordinate Voting Shares

Millos, Ronald Allen 7 12/18/2018 10 29.07 7,726 -10,000

Teck Resources Limited Options Millos, Ronald Allen 7 12/18/2018 51 4.15 848,500 -10,000 Teck Resources Limited Performance Share Units Millos, Ronald Allen 7 12/20/2018 59 46,723 -63,653 Teck Resources Limited Restricted Share Units Millos, Ronald Allen 7 12/20/2018 59 0 -21,130 Teck Resources Limited Performance Share Units Powrie, Douglas 5 12/20/2018 59 19,028 -34,532 Teck Resources Limited Restricted Share Units Powrie, Douglas 5 12/20/2018 59 0 -8,759 Teck Resources Limited Performance Share Units Rozee, Peter Charles 5 12/20/2018 59 35,579 -63,653 Teck Resources Limited Restricted Share Units Rozee, Peter Charles 5 12/20/2018 59 0 -43,037

Insider Reporting

January 3, 2019

(2019), 42 OSCB 220



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Teck Resources Limited Performance Share Units Sheremeta, Robin 5 12/20/2018 59 38,689 -29,118 Teck Resources Limited Performance Share Units Sheremeta, Robin 5 12/20/2018 59 28,641 -10,048 Teck Resources Limited Restricted Share Units Sheremeta, Robin 5 12/20/2018 59 0 -10,048 Teck Resources Limited Performance Share Units Smith, Marcia 5 12/20/2018 59 14,677 -52,829 Teck Resources Limited Restricted Share Units Smith, Marcia 5 12/20/2018 59 0 -15,847 Teck Resources Limited Performance Share Units Stonkus, Andrew 5 12/20/2018 59 6,628 -39,170 TELUS Corporation Common Shares Bates, Philip 5 12/14/2018 30 10,135 332 TELUS Corporation Common Shares Bates, Philip 5 12/14/2018 30 29,779 1,536 TELUS Corporation Common Shares Bates, Philip 5 12/14/2018 30 30,298 519 TELUS Corporation Common Shares Bates, Philip 5 12/14/2018 30 30,765 467 TELUS Corporation Common Shares Geheran, Tony 5 12/18/2018 10 1,200 -595 TELUS Corporation Common Shares Geheran, Tony 5 12/18/2018 10 38,409 595 TELUS Corporation Common Shares Geheran, Tony 5 12/18/2018 30 4,457 104 Tenth Avenue Petroleum Corp.

Common Shares Leia, Gregory 4, 5 12/17/2018 10 1,422,100 2,000

Terra Firma Capital Corporation

Common Shares Kaplan, John David 3, 4 10/11/2013 00


Common Shares Kaplan, John David 3, 4 12/14/2018 90 1,428,570 1,428,570


Common Shares Kaplan, John David 3, 4 12/18/2018 10 0.495 30,570 -1,398,000


Common Shares Kaplan, John David 3, 4 12/14/2018 90 4,669,376 -1,428,570

Terranueva Corporation Common Shares Aird, Sylvain 4 12/14/2018 00 219,092 Terranueva Corporation Warrants Aird, Sylvain 4 12/14/2018 00 8,000 Terranueva Corporation Common Shares Aubé, Marc-André 4 12/14/2018 00 443,508 Terranueva Corporation Common Shares Ayotte, Pierre 4 12/14/2018 00 1,133,565 Terranueva Corporation Common Shares Ayotte, Pierre 4 12/14/2018 00 1,300,035 Terranueva Corporation Common Shares Boily, Patrice 4 12/14/2018 00 Terranueva Corporation Common Shares Bureau, Alain 4 12/14/2018 00 297,134 Terranueva Corporation Warrants Bureau, Alain 4 12/14/2018 00 50,000 Terranueva Corporation Common Shares Doyle, Louis 4 12/14/2018 00 197,134 Terranueva Corporation Common Shares Doyle, Louis 4 12/14/2018 00 Terranueva Corporation Common Shares Doyle, Louis 4 12/14/2018 00 Terranueva Corporation Common Shares Doyle, Louis 4 12/14/2018 00 20,000 Terranueva Corporation Warrants Doyle, Louis 4 12/14/2018 00 Terranueva Corporation Warrants Doyle, Louis 4 12/14/2018 00 Terranueva Corporation Warrants Doyle, Louis 4 12/14/2018 00 10,000 Terranueva Corporation Common Shares Fiducie Castillo 3 12/14/2018 00 7,464,818 Terranueva Corporation Common Shares GMTN Inc. 3 12/14/2018 00 4,818,838 Terranueva Corporation Common Shares McDonald, David 4, 5 12/14/2018 16 0.05 5,500,000 5,500,000 Terranueva Corporation Common Shares Monet, Pierre 4 12/14/2018 00 394,268 Terranueva Corporation Common Shares Monet, Pierre 4 12/14/2018 00 525,691 Terranueva Corporation Common Shares Percopo, Rafael 4 12/14/2018 00 60,000 Terranueva Corporation Common Shares Percopo, Rafael 4 12/14/2018 00 525,691 Terranueva Corporation Warrants Percopo, Rafael 4 12/14/2018 00 30,000 Terranueva Corporation Common Shares Perez, Francisco Junior 4 12/14/2018 00 2,847,495 Terranueva Corporation Common Shares Perez, Francisco Junior 4 12/14/2018 00 7,464,818 Terranueva Corporation Common Shares Perez, Francisco Junior 4 12/14/2018 00 715,116 Tervita Corporation Common Shares Billing, Grant Donald 4 12/18/2018 10 6.78 75,000 25,000 Tethys Petroleum Limited Common Shares Wells, William Paul Wells 3, 4 12/20/2018 10 0.0415 72,868,495 4,000,000 Tetra Bio-Pharma Inc. Common Shares Bechard, Robert 5 12/19/2018 10 0.81 55,000 35,000 TFI International Inc. Common Shares Bédard, Alain 4, 5 12/17/2018 57 39.85 4,056,668 32,477 TFI International Inc. Restricted Share Units Bédard, Alain 4, 5 12/17/2018 57 39.85 50,033 -51,552 TFI International Inc. Common Shares Rumble, Gregory William 5 12/17/2018 57 39.85 40,918 40,915 TFI International Inc. Restricted Share Units Rumble, Gregory William 5 12/17/2018 57 39.85 10,273 -10,585 TFI International Inc. Common Shares TFI International Inc. 1 12/17/2018 97 0 -74,244 The North West Company Inc.

Options Gilpin, Craig 5 12/19/2018 59 21.86 230,059 -10,110

Insider Reporting

January 3, 2019

(2019), 42 OSCB 221



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. The North West Company Inc.

Variable Voting and Common Voting Shares

Stefanson, Eric 4 12/17/2018 10 30.89 1,479 324

The Tinley Beverage Company Inc.

Common Shares Fulton, William Douglas 4 12/14/2018 00


Options Fulton, William Douglas 4 12/14/2018 00


Options Fulton, William Douglas 4 12/14/2018 50 250,000 250,000


Warrants Fulton, William Douglas 4 12/14/2018 00

The Toronto-Dominion Bank Common Shares CUSIP 891160 50 9

BAMBAWALE, AJAI 5 12/12/2018 47 69.39 -730


BAMBAWALE, AJAI 5 12/14/2018 47 69.39 -730


BAMBAWALE, AJAI 5 12/14/2018 47 69.58 0 -730


Schenk, Stephan 5 12/17/2018 51 52.46 5,816 5,816


Schenk, Stephan 5 12/17/2018 10 69.33 0 -5,816

The Toronto-Dominion Bank Options Schenk, Stephan 5 12/17/2018 51 52.46 26,024 -5,816 The Western Investment Company of Canada Limited

Common Shares Mawani, Shafeen Ashraf 5 12/18/2018 10 0.45 454,106 2,500

The Wonderfilm Media Corporation (formerly, Westshire Capital II Corp.)

Common Shares Shaw, Kirk Edward 5 3/26/2018 00


Common Shares Shaw, Kirk Edward 5 12/17/2018 10 0.61 5,000 5,000
























Common Shares Shaw, Kirk Edward 5 12/17/2018 10 0.61 5,000



Insider Reporting

January 3, 2019

(2019), 42 OSCB 222



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. The Wonderfilm Media Corporation (formerly, Westshire Capital II Corp.)

























Common Shares Shaw, Kirk Edward 5 12/20/2018 10 0.6 1,694,116 25,500







The Yield Growth Corp. Options Bond, Thomas 4 12/17/2018 00 1,000,000 The Yield Growth Corp. Common Shares Green, Penny Olga 3, 4, 5 12/17/2018 10 0.17 18,414,000 10,000 The Yield Growth Corp. Common Shares Green, Penny Olga 3, 4, 5 12/17/2018 10 0.175 18,426,000 12,000 The Yield Growth Corp. Common Shares Green, Penny Olga 3, 4, 5 12/17/2018 10 0.1775 18,432,000 6,000 The Yield Growth Corp. Common Shares Green, Penny Olga 3, 4, 5 12/17/2018 10 0.18 18,476,000 44,000 The Yield Growth Corp. Common Shares Green, Penny Olga 3, 4, 5 12/17/2018 10 0.185 18,525,000 49,000 The Yield Growth Corp. Common Shares Green, Penny Olga 3, 4, 5 12/17/2018 10 0.2 18,625,000 100,000 The Yield Growth Corp. Common Shares Green, Penny Olga 3, 4, 5 12/17/2018 10 0.205 18,633,000 8,000 The Yield Growth Corp. Common Shares Green, Penny Olga 3, 4, 5 12/17/2018 10 0.21 18,635,000 2,000 The Yield Growth Corp. Common Shares Green, Penny Olga 3, 4, 5 12/17/2018 10 0.215 18,745,000 110,000 The Yield Growth Corp. Common Shares Green, Penny Olga 3, 4, 5 12/17/2018 10 0.2258 18,751,000 6,000 The Yield Growth Corp. Common Shares Green, Penny Olga 3, 4, 5 12/17/2018 10 0.2291 18,781,000 30,000 The Yield Growth Corp. Common Shares Green, Penny Olga 3, 4, 5 12/17/2018 10 0.23 18,816,000 35,000 The Yield Growth Corp. Common Shares Green, Penny Olga 3, 4, 5 12/20/2018 10 0.215 18,828,000 12,000 The Yield Growth Corp. Common Shares Green, Penny Olga 3, 4, 5 12/20/2018 10 0.2 18,851,000 23,000 The Yield Growth Corp. Common Shares Green, Penny Olga 3, 4, 5 12/20/2018 10 0.195 18,861,500 10,500 The Yield Growth Corp. Common Shares Green, Penny Olga 3, 4, 5 12/20/2018 10 0.19 18,869,500 8,000 The Yield Growth Corp. Common Shares Green, Penny Olga 3, 4, 5 12/20/2018 10 0.185 18,881,500 12,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 223



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. The Yield Growth Corp. Common Shares Green, Penny Olga 3, 4, 5 12/20/2018 10 0.18 18,884,500 3,000 The Yield Growth Corp. Common Shares Green, Penny Olga 3, 4, 5 12/21/2018 10 0.19 18,899,500 15,000 The Yield Growth Corp. Common Shares Green, Penny Olga 3, 4, 5 12/21/2018 10 0.185 18,903,500 4,000 The Yield Growth Corp. Common Shares Green, Penny Olga 3, 4, 5 12/21/2018 10 0.18 18,905,500 2,000 The Yield Growth Corp. Common Shares Green, Penny Olga 3, 4, 5 12/21/2018 10 0.175 18,907,500 2,000 The Yield Growth Corp. Options Lesueur, Sandi 7 12/14/2018 00 The Yield Growth Corp. Options Lesueur, Sandi 7 12/14/2018 00 302,000 The Yield Growth Corp. Options Lesueur, Sandi 7 12/17/2018 00 The Yield Growth Corp. Options Lesueur, Sandi 7 12/17/2018 50 1,052,000 750,000 Thomson Reuters Corporation

Deferred Share Units Bair, Sheila Colleen 4 12/17/2018 30 51.19 14,670 100

Thomson Reuters Corporation

Deferred Share Units Bair, Sheila Colleen 4 12/17/2018 46 51.19 15,893 1,223


Deferred Share Units Binet, David W. 4, 6 12/17/2018 30 51.19 25,166 171


Deferred Share Units Binet, David W. 4, 6 12/17/2018 46 51.19 26,143 977


Deferred Share Units Clark, William Edmund 4 12/17/2018 30 51.19 18,142 123


Deferred Share Units Clark, William Edmund 4 12/17/2018 46 51.19 19,363 1,221


Deferred Share Units Daniels, Michael Elie 4 12/17/2018 30 51.19 18,422 125


Deferred Share Units Daniels, Michael Elie 4 12/17/2018 46 51.19 19,645 1,223


Common Shares Fischer, Paul 7 12/14/2018 47 310 -670


Deferred Share Units Opperman, Vance K. 4 12/17/2018 30 51.19 124,267 844


Deferred Share Units Opperman, Vance K. 4 12/17/2018 46 51.19 125,976 1,709


Deferred Share Units Peck, Kristin C. 4 12/17/2018 46 51.19 10,678 977


Deferred Share Units Peck, Kristin C. 4 12/17/2018 30 51.19 10,744 66


Deferred Share Units Salzberg, Barry 4 12/17/2018 30 51.19 16,923 115


Deferred Share Units Salzberg, Barry 4 12/17/2018 46 51.19 18,144 1,221


Deferred Share Units Thomson, David Kenneth Roy

4, 6 12/17/2018 30 51.19 76,950 523


Deferred Share Units Thomson, David Kenneth Roy

4, 6 12/17/2018 46 51.19 79,881 2,931


Deferred Share Units Thomson, Peter J. 4, 6 12/17/2018 30 51.19 9,863 67


Deferred Share Units Thomson, Peter J. 4, 6 12/17/2018 46 51.19 10,108 245


Deferred Share Units von Schimmelmann, Wulf 4 12/17/2018 30 51.19 32,519 221


Deferred Share Units von Schimmelmann, Wulf 4 12/17/2018 46 51.19 33,496 977

ThreeD Capital Inc.(formerly Brownstone Energy Inc.)

Options Bloch, Daniel Nathan 5 12/14/2018 50 500,000 250,000


Options Feldman, Gerald Morris 5 12/14/2018 50 4,473,000 1,500,000


Common Shares Inwentash, Sheldon 4, 6, 5 12/17/2018 10 0.075 11,758,000 250,000


Common Shares Inwentash, Sheldon 4, 6, 5 12/17/2018 10 0.07 12,008,000 250,000


Options Inwentash, Sheldon 4, 6, 5 12/14/2018 50 14,000,000 2,000,000


Options MYERS, ALAN 4 12/13/2018 50 0.1 1,050,000 700,000

Tidal Royalty Corp. Options rosen, paul 4, 5 12/12/2018 50 6,620,000 2,000,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 224



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Tidal Royalty Corp. Common Shares Taoussanopoulos,

Theodore 5 12/20/2018 10 0.095 45,000 25,000

Tidal Royalty Corp. Common Shares Taoussanopoulos, Theodore

5 12/20/2018 10 0.1 70,000 25,000

Tidal Royalty Corp. Common Shares Wooldridge, Stuart Charles Bellamy

4 12/20/2018 10 0.095 355,000 20,000

Titan Medical Inc. Common Shares Barker, John 4 12/21/2018 10 1.9066 23,414 3,000 Titan Medical Inc. Common Shares Barker, John 4 12/21/2018 10 1.9435 25,414 2,000 Titan Medical Inc. Common Shares Barker, John 4 12/21/2018 10 1.44 28,414 3,000 Titan Medical Inc. Options Genova, Perry 5 1/19/2018 50 0.5 2,750,401 1,250,401 Titan Medical Inc. Options McNally, David John 5 1/19/2018 50 0.5 9,976,100 1,650,528 Titan Medical Inc. Common Shares Randall, Stephen 5 12/21/2018 10 1.96 17,589 100 Titan Medical Inc. Common Shares Randall, Stephen 5 12/21/2018 10 1.97 17,689 100 Titan Medical Inc. Common Shares Randall, Stephen 5 12/21/2018 10 1.98 18,189 500 Titan Medical Inc. Common Shares Randall, Stephen 5 12/21/2018 10 1.99 20,889 2,700 Titan Medical Inc. Options Randall, Stephen 5 1/19/2018 50 0.5 1,981,264 1,090,068 Titan Mining Corporation Common Shares Warke, Richard William 4 12/17/2018 10 1 2,600 Titan Mining Corporation Common Shares Warke, Richard William 4 12/17/2018 10 1 4,126,733 2,600 Titan Mining Corporation Common Shares Warke, Richard William 4 12/17/2018 10 1.01 4,127,133 400 Titan Mining Corporation Common Shares Warke, Richard William 4 12/17/2018 10 1.02 4,129,233 2,100 Titan Mining Corporation Common Shares Warke, Richard William 4 12/17/2018 10 1.03 4,137,633 8,400 Titan Mining Corporation Common Shares Warke, Richard William 4 12/17/2018 10 1.05 4,142,933 5,300 Titan Mining Corporation Common Shares Warke, Richard William 4 12/18/2018 10 1 4,167,933 25,000 Titan Mining Corporation Common Shares Warke, Richard William 4 12/18/2018 10 0.95 4,172,933 5,000 Titan Mining Corporation Common Shares Warke, Richard William 4 12/18/2018 10 0.93 4,173,933 1,000 Titanium Transportation Group Inc.

Options Third Party Option LEVY, ARI 4 12/18/2018 52 0 -100,000

TMAC Resources Inc. Common Shares Davis, Franklin Lorie 4 12/14/2018 51 6.58 54,996 5,000 TMAC Resources Inc. Common Shares Davis, Franklin Lorie 4 12/14/2018 10 6.7 36,615 -700 TMAC Resources Inc. Options Davis, Franklin Lorie 4 12/14/2018 51 5.25 122,259 -5,000 Top 20 U.S. Dividend Trust Units Class U Units Top 20 U.S. Dividend Trust 1 11/15/2018 38 11.113 3,500 3,500 Top 20 U.S. Dividend Trust Units Class U Units Top 20 U.S. Dividend Trust 1 11/15/2018 38 11.113 0 -3,500 TORC Oil & Gas Ltd. Common Shares Canada Pension Plan

Investment Board 3 12/17/2018 35 312,720 1,582

TORC Oil & Gas Ltd. Common Shares Canada Pension Plan Investment Board

3 12/17/2018 35 60,065,764 303,864

Torex Gold Resources Inc. Common Shares MacGibbon, Terry 4 11/19/2009 00 Torex Gold Resources Inc. Common Shares MacGibbon, Terry 4 11/19/2009 00 Torex Gold Resources Inc. Common Shares MacGibbon, Terry 4 11/19/2009 00 Torex Gold Resources Inc. Common Shares MacGibbon, Terry 4 11/19/2009 00 Torex Gold Resources Inc. Common Shares MacGibbon, Terry 4 12/20/2018 10 31,000 Torex Gold Resources Inc. Common Shares MacGibbon, Terry 4 12/20/2018 10 31,000 Torex Gold Resources Inc. Common Shares MacGibbon, Terry 4 12/20/2018 97 31,000 31,000 Total Energy Services Inc. Common Shares Halyk, Daniel Kim 4, 5 12/18/2018 10 9.25 1,148,800 5,000 Total Energy Services Inc. Common Shares Halyk, Daniel Kim 4, 5 12/21/2018 10 9.2 1,150,800 2,000 Total Energy Services Inc. Common Shares Total Energy Services Inc 1 12/18/2018 10 9.3814 56,600 5,000 Total Energy Services Inc. Common Shares Total Energy Services Inc 1 12/19/2018 10 9.3986 57,300 700 Tourmaline Oil Corp. Common Shares Rose, Mike 5 12/17/2018 10 16.5 10,468,997 5,000 Tourmaline Oil Corp. Common Shares Rose, Mike 5 12/17/2018 10 16.28 10,473,997 5,000 Tourmaline Oil Corp. Common Shares Rose, Mike 5 12/17/2018 10 16.164 10,478,997 5,000 TransAlta Corporation DSU (Deferred Share

Units) Ambrose, Ronalee Hope 4 12/16/2018 56 6.95 14,214 2,877

TransAlta Corporation DSU (Deferred Share Units)

Dielwart, John Patrick 4 12/16/2018 56 6.95 99,614 5,755

TransAlta Corporation Common Shares Faithfull, Timothy W. 4 12/17/2018 30 6.92 85,898 2,097 TransAlta Corporation Common Shares Faithfull, Timothy W. 4 12/17/2018 30 6.91 90,019 4,121 TransAlta Corporation DSU (Deferred Share

Units) Fohrer, Alan John 4 12/16/2018 56 6.95 81,076 3,843

TransAlta Corporation Common Shares Giffin, Gordon 4 12/17/2018 30 6.92 148,972 1,398 TransAlta Corporation Common Shares Giffin, Gordon 4 12/17/2018 30 6.91 155,544 6,572

Insider Reporting

January 3, 2019

(2019), 42 OSCB 225



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. TransAlta Corporation DSU (Deferred Share

Units) Mansour, Yakout 4 12/16/2018 56 6.95 86,526 3,843


Nelson, Georgia Ricci 4 12/16/2018 56 6.95 78,387 3,843


Park, Beverlee Faye 4 12/16/2018 56 6.95 68,518 5,756


Pinney, Bryan Daniel 4 12/16/2018 56 6.95 15,988 5,755

TransAlta Renewables Inc. DSU (Deferred Share Units)

Drinkwater, David William 4 12/15/2018 56 10.75 21,854 814


Hagerman, Allen R. 4 12/15/2018 56 10.75 23,310 2,326


McQuade, Kathryn Ann Bova

4 12/15/2018 56 10.75 26,933 1,745


TAYLOR, PAUL H. E. 4 12/15/2018 56 10.75 27,064 1,163

TransCanada Corporation Common Shares Anderson, Brandon M. 7 12/14/2018 51 41.95 17,912 11,898 TransCanada Corporation Common Shares Anderson, Brandon M. 7 12/14/2018 10 53.48 17,493 -419 TransCanada Corporation Common Shares Anderson, Brandon M. 7 12/14/2018 10 53.48 14,693 -2,800 TransCanada Corporation Common Shares Anderson, Brandon M. 7 12/14/2018 10 53.482 14,393 -300 TransCanada Corporation Common Shares Anderson, Brandon M. 7 12/14/2018 10 53.49 13,093 -1,300 TransCanada Corporation Common Shares Anderson, Brandon M. 7 12/14/2018 10 53.486 12,914 -179 TransCanada Corporation Common Shares Anderson, Brandon M. 7 12/14/2018 10 53.47 12,814 -100 TransCanada Corporation Common Shares Anderson, Brandon M. 7 12/14/2018 10 53.45 12,714 -100 TransCanada Corporation Common Shares Anderson, Brandon M. 7 12/14/2018 10 53.445 12,214 -500 TransCanada Corporation Common Shares Anderson, Brandon M. 7 12/14/2018 10 53.432 9,614 -2,600 TransCanada Corporation Common Shares Anderson, Brandon M. 7 12/14/2018 10 53.44 8,814 -800 TransCanada Corporation Common Shares Anderson, Brandon M. 7 12/14/2018 10 53.43 7,614 -1,200 TransCanada Corporation Common Shares Anderson, Brandon M. 7 12/14/2018 10 53.42 6,814 -800 TransCanada Corporation Common Shares Anderson, Brandon M. 7 12/14/2018 10 53.405 6,514 -300 TransCanada Corporation Common Shares Anderson, Brandon M. 7 12/14/2018 10 53.4 6,014 -500 TransCanada Corporation Options Granted Feb. 17,

2012 @ $41.95 CDN Anderson, Brandon M. 7 12/14/2018 51 0 -11,898

TransCanada Corporation Common Shares Keys, Patrick M. 7 12/19/2018 51 41.95 8,808 7,500 TransCanada Corporation Common Shares Keys, Patrick M. 7 12/19/2018 10 52.903 8,001 -807 TransCanada Corporation Common Shares Keys, Patrick M. 7 12/19/2018 10 52.9 7,301 -700 TransCanada Corporation Common Shares Keys, Patrick M. 7 12/19/2018 10 52.901 5,101 -2,200 TransCanada Corporation Common Shares Keys, Patrick M. 7 12/19/2018 10 52.89 3,501 -1,600 TransCanada Corporation Common Shares Keys, Patrick M. 7 12/19/2018 10 52.888 1,401 -2,100 TransCanada Corporation Common Shares Keys, Patrick M. 7 12/19/2018 10 52.88 1,308 -93 TransCanada Corporation Options Granted Feb. 17,

2012 @ $41.95 CDN Keys, Patrick M. 7 12/19/2018 51 8,018 -7,500

TransCanada Corporation Common Shares Prior, Richard 7 12/17/2018 10 39.5 3,820 1,270 TransCanada Corporation Common Shares Robinson, Tracy 7 12/18/2018 10 51.3 11,400 1,000 TransCanada Corporation Common Shares Yeomans, Mark 7 12/19/2018 30 52.91 79 75 TransCanada Corporation Common Shares Yeomans, Mark 7 12/19/2018 10 52.84 4 -75 Transcanna Holdings Inc. Common Shares daCosta, Joao 4 11/15/2017 00 300,000 Transcanna Holdings Inc. Common Shares daCosta, Joao 4 11/15/2018 00 Transcontinental Inc. Participation Units

d'actions restreintes (UAR) / Restricted share unit (RSU)

Desaulniers, Christine 7, 5 12/18/2018 59 19.93 21,042 -15,153

Transcontinental Inc. Participation Units d'actions restreintes (UAR) / Restricted share unit (RSU)

Gentiletti, Nelson 7, 5 12/18/2018 59 19.93 52,000 -33,452


Grégoire, Jacques 5 12/18/2018 59 19.93 16,721 -12,043

Insider Reporting

January 3, 2019

(2019), 42 OSCB 226



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Transcontinental Inc. Participation Units

d'actions restreintes (UAR) / Restricted share unit (RSU)

Guilbault, Benoît 5 12/18/2018 59 19.93 5,408 -8,406


Laviolette, Katya 5 12/18/2018 59 19.93 17,382 -17,520


LeCavalier, Donald 5 12/18/2018 59 19.93 10,567 -9,131


Marcoux, Isabelle 4 12/18/2018 59 19.93 -8,219


Marcoux, Isabelle 4 12/18/2018 59 19.93 -8,219


Marcoux, Isabelle 4 12/18/2018 59 19.93 13,270 -8,219


Marcoux, Pierre 4, 7 12/18/2018 59 19.93 11,830 -8,154


Olivier, François 4, 7, 5 12/18/2018 59 19.93 225,459 -131,052

Transcontinental Inc. Subordinate Voting Shares Catégorie A

Plourde, Mario 4 12/18/2018 10 18.69 8,400 100


Plourde, Mario 4 12/18/2018 10 18.7 8,500 100


Plourde, Mario 4 12/18/2018 10 18.73 8,600 100


Plourde, Mario 4 12/18/2018 10 18.74 8,900 300


Plourde, Mario 4 12/18/2018 10 18.75 9,500 600


Plourde, Mario 4 12/18/2018 10 18.73 9,600 100


Plourde, Mario 4 12/18/2018 10 18.75 9,900 300


Reid, Brian 7, 5 12/18/2018 59 19.93 58,784 -34,175

TransGlobe Energy Corporation

Common Shares Cook, David Bruce 4 12/20/2018 10 1.62 59,789 10,000

TransGlobe Energy Corporation

Common Shares Sinclair, Steven William 4 12/19/2018 10 2.287 50,000 20,000

Traverse Energy Ltd. Common Shares smith, laurie james 3, 4, 5 12/19/2018 10 0.055 3,495,500 150,000 Traverse Energy Ltd. Common Shares smith, laurie james 3, 4, 5 12/20/2018 10 0.055 3,520,500 25,000 Traverse Energy Ltd. Common Shares smith, laurie james 3, 4, 5 12/18/2018 10 0.055 7,905,206 11,000 Traverse Energy Ltd. Common Shares van der Lee, A. David 3, 4 12/21/2018 10 0.055 1,719,000 113,000 Traverse Energy Ltd. Common Shares van der Lee, A. David 3, 4 12/19/2018 10 0.055 2,693,800 100,000 Traverse Energy Ltd. Common Shares Wells, Adam Oliver 4 12/14/2018 10 0.05 1,030,000 25,000 Traverse Energy Ltd. Common Shares Wells, Adam Oliver 4 12/17/2018 10 0.05 1,031,000 1,000 Traverse Energy Ltd. Common Shares Wells, Adam Oliver 4 12/18/2018 10 0.05 1,082,000 51,000 Trenchant Capital Corp. Convertible Debentures Boehnke, Eric 4 12/10/2018 10 0.28 $5,000 $1,000 Trenchant Capital Corp. Convertible Debentures Boehnke, Eric 4 12/14/2018 10 0.28 $14,000 $9,000 Trenchant Capital Corp. Convertible Debentures Boehnke, Eric 4 12/18/2018 10 0.25 $18,000 $4,000 Trevali Mining Corporation Common Shares Marinov, Daniel 5 12/17/2018 10 0.4 142,187 38,000 Trevali Mining Corporation Common Shares Trevali Mining Corporation 1 12/21/2018 38 0.345 10,000,000 10,000,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 227



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Tricon Capital Group Inc. Common Shares Baldridge, Kevin 7 12/17/2018 57 9.7 78,690 37,519 Tricon Capital Group Inc. Common Shares Baldridge, Kevin 7 12/17/2018 10 9.7 41,171 -37,519 Tricon Capital Group Inc. Deferred Share Units Baldridge, Kevin 7 12/17/2018 56 77,403 18,752 Tricon Capital Group Inc. Deferred Share Units Baldridge, Kevin 7 12/17/2018 57 9.7 39,884 -37,519 Tricon Capital Group Inc. Deferred Share Units Baldridge, Kevin 7 12/21/2018 38 39,883 -1 Tricon Capital Group Inc. Deferred Share Units Berman, David 3, 4, 6, 5 12/17/2018 56 422,582 27,523 Tricon Capital Group Inc. Options Berman, David 3, 4, 6, 5 12/17/2018 50 9.81 450,000 50,000 Tricon Capital Group Inc. Performance Share Units Berman, David 3, 4, 6, 5 5/14/2010 00 Tricon Capital Group Inc. Performance Share Units Berman, David 3, 4, 6, 5 12/17/2018 56 36,697 36,697 Tricon Capital Group Inc. Deferred Share Units Berman, Gary 4, 5 12/17/2018 56 688,194 7,136 Tricon Capital Group Inc. Performance Share Units Berman, Gary 4, 5 5/14/2010 00 Tricon Capital Group Inc. Performance Share Units Berman, Gary 4, 5 12/17/2018 56 138,634 138,634 Tricon Capital Group Inc. Restricted Common

Shares Berman, Gary 4, 5 5/14/2010 00

Tricon Capital Group Inc. Restricted Common Shares

Berman, Gary 4, 5 12/18/2018 10 9.79 203,678 203,678

Tricon Capital Group Inc. Deferred Share Units Blum, Alexandra 5 12/17/2018 56 12,582 7,900 Tricon Capital Group Inc. Deferred Share Units Carmody, Andrew 5 12/17/2018 56 33,920 20,642 Tricon Capital Group Inc. Performance Share Units Carmody, Andrew 5 9/5/2017 00 Tricon Capital Group Inc. Performance Share Units Carmody, Andrew 5 12/17/2018 56 27,522 27,522 Tricon Capital Group Inc. Options Douglas, Camille 4 8/7/2018 00 Tricon Capital Group Inc. Options Douglas, Camille 4 12/17/2018 50 9.81 25,000 25,000 Tricon Capital Group Inc. Common Shares Dube, Evelyne 5 3/1/2017 00 Tricon Capital Group Inc. Common Shares Dube, Evelyne 5 12/18/2018 57 9.8 132 132 Tricon Capital Group Inc. Deferred Share Units Dube, Evelyne 5 12/17/2018 56 14,902 13,843 Tricon Capital Group Inc. Deferred Share Units Dube, Evelyne 5 12/18/2018 57 9.8 14,770 -132 Tricon Capital Group Inc. Deferred Share Units Dube, Evelyne 5 12/18/2018 38 9.8 14,691 -79 Tricon Capital Group Inc. Deferred Share Units Dube, Evelyne 5 12/21/2018 38 14,689 -2 Tricon Capital Group Inc. Common Shares Ellenzweig, Jonathan 5 9/30/2015 10 10.1 -20,560 Tricon Capital Group Inc. Common Shares Ellenzweig, Jonathan 5 9/30/2015 10 10.1 11,919 -30,844 Tricon Capital Group Inc. Common Shares Ellenzweig, Jonathan 5 12/20/2018 57 9.71 71,161 9,888 Tricon Capital Group Inc. Common Shares Ellenzweig, Jonathan 5 12/21/2018 57 73,762 2,601 Tricon Capital Group Inc. Deferred Share Units Ellenzweig, Jonathan 5 12/17/2018 56 108,286 16,098 Tricon Capital Group Inc. Deferred Share Units Ellenzweig, Jonathan 5 12/20/2018 57 9.71 98,398 -9,888 Tricon Capital Group Inc. Deferred Share Units Ellenzweig, Jonathan 5 12/20/2018 38 9.71 86,057 -12,341 Tricon Capital Group Inc. Deferred Share Units Ellenzweig, Jonathan 5 12/21/2018 57 83,456 -2,601 Tricon Capital Group Inc. Deferred Share Units Ellenzweig, Jonathan 5 12/21/2018 38 80,564 -2,892 Tricon Capital Group Inc. Options Ellenzweig, Jonathan 5 12/17/2018 50 9.81 587,029 110,029 Tricon Capital Group Inc. Performance Share Units Ellenzweig, Jonathan 5 5/14/2010 00 Tricon Capital Group Inc. Performance Share Units Ellenzweig, Jonathan 5 12/17/2018 56 43,205 43,205 Tricon Capital Group Inc. Deferred Share Units Francis, Wissam 5 12/17/2018 56 32,546 13,284 Tricon Capital Group Inc. Options Francis, Wissam 5 12/17/2018 50 9.81 110,029 Tricon Capital Group Inc. Options Francis, Wissam 5 12/17/2018 50 9.81 110,029 Tricon Capital Group Inc. Performance Share Units Francis, Wissam 5 11/2/2014 00 Tricon Capital Group Inc. Performance Share Units Francis, Wissam 5 12/17/2018 56 43,205 Tricon Capital Group Inc. Performance Share Units Francis, Wissam 5 12/17/2018 56 38,098 38,098 Tricon Capital Group Inc. Restricted Common

Shares Francis, Wissam 5 11/2/2014 00

Tricon Capital Group Inc. Restricted Common Shares

Francis, Wissam 5 12/18/2018 10 9.79 32,160 32,160

Tricon Capital Group Inc. Options Gluskin, Ira 4 12/17/2018 50 9.81 50,000 25,000 Tricon Capital Group Inc. Deferred Share Units Joyner, Andrew 5 12/17/2018 56 38,968 13,211 Tricon Capital Group Inc. Performance Share Units Joyner, Andrew 5 11/10/2016 00 Tricon Capital Group Inc. Performance Share Units Joyner, Andrew 5 12/17/2018 56 17,614 17,614 Tricon Capital Group Inc. Options KNOWLTON, JOHN

MICHAEL ARTHUR 4 12/17/2018 50 9.81 155,000 25,000

Tricon Capital Group Inc. Options Matthews, Sian Margaret 4 12/17/2018 50 9.81 100,000 25,000 Tricon Capital Group Inc. Common Shares MATUS, GEOFFREY 3, 4, 6, 5 12/20/2018 57 9.66 51,704 4,651 Tricon Capital Group Inc. Deferred Share Units MATUS, GEOFFREY 3, 4, 6, 5 12/20/2018 57 9.66 41,363 -4,651

Insider Reporting

January 3, 2019

(2019), 42 OSCB 228



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Tricon Capital Group Inc. Options MATUS, GEOFFREY 3, 4, 6, 5 12/17/2018 50 9.81 157,856 117,856 Tricon Capital Group Inc. Performance Share Units MATUS, GEOFFREY 3, 4, 6, 5 5/14/2010 00 Tricon Capital Group Inc. Performance Share Units MATUS, GEOFFREY 3, 4, 6, 5 12/17/2018 56 18,348 18,348 Tricon Capital Group Inc. Deferred Share Units Quesnel, Douglas Paul 5 12/17/2018 56 27,834 5,097 Tricon Capital Group Inc. Options Sacks, Peter 4 12/17/2018 50 9.81 125,000 25,000 Tricon Capital Group Inc. Common Shares Scheetz, Jeremy 5 12/21/2018 56 7,001 Tricon Capital Group Inc. Common Shares Scheetz, Jeremy 5 12/21/2018 57 119,398 7,001 Tricon Capital Group Inc. Deferred Share Units Scheetz, Jeremy 5 12/17/2018 56 63,364 9,716 Tricon Capital Group Inc. Deferred Share Units Scheetz, Jeremy 5 12/21/2018 57 56,363 -7,001 Tricon Capital Group Inc. Deferred Share Units Scheetz, Jeremy 5 12/21/2018 38 52,541 -3,822 Tricon Capital Group Inc. Deferred Share Units Veneziano, David 5 12/17/2018 56 17,225 10,882 Tricon Capital Group Inc. Options Veneziano, David 5 12/17/2018 50 9.81 112,408 24,074 Tricon Capital Group Inc. Performance Share Units Veneziano, David 5 10/1/2014 00 Tricon Capital Group Inc. Performance Share Units Veneziano, David 5 12/17/2018 56 14,449 14,449 Tricon Capital Group Inc. Performance Share Units Veneziano, David 5 12/17/2018 56 19,265 4,816 Trilogy Metals Inc. (formerly NovaCopper Inc.)

Common Shares Sanders, Elaine 5 12/21/2018 57 2.84 810,627 137,500

Trilogy Metals Inc. (formerly NovaCopper Inc.)


Sanders, Elaine 5 12/21/2018 57 2.84 70,834 -137,500


Common Shares Van Nieuwenhuyse, Rick 5 12/21/2018 57 2.84 2,437,369 275,001



Van Nieuwenhuyse, Rick 5 12/21/2018 57 2.84 141,667 -275,001

Trisura Group Ltd. Common Shares Partners Value Investments LP

3 12/21/2018 10 25.761 1,246,234 13,000

Troilus Gold Corp. (formerly Pitchblack Resources Ltd.)

Common Shares Pint, Paul 5 12/17/2018 10 0.6 306,039 5,000

True North Commercial Real Estate Investment Trust

Trust Units Drimmer, Daniel 3, 4 12/17/2018 10 5.6979 3,971,115 6,900













Tucows Inc. Common Shares Karp, Allen 4 12/14/2018 10 85.52 16,667 -3,000 Tucows Inc. Common Shares Karp, Allen 4 12/14/2018 10 64 3,000 -2,000 Ubique Minerals Limited Common Shares Harper, Gerald 4, 5 12/17/2018 10 0.1 2,358,379 1,000 Ubique Minerals Limited Common Shares Lonsdale, David Martin 4 9/25/2018 15 0.1 1,819,840 225,000 Ubique Minerals Limited Common Shares Lonsdale, David Martin 4 12/19/2018 10 0.1 1,828,840 9,000 UGE International Ltd. Common Shares Ronka, Kristaps 4 12/17/2018 00 562,829 UGE International Ltd. Common Shares Ronka, Kristaps 4 12/19/2018 10 0.09 759,829 197,000 UGE International Ltd. Common Shares Ronka, Kristaps 4 12/20/2018 10 0.09 762,829 3,000 UGE International Ltd. Common Shares Ronka, Kristaps 4 12/21/2018 10 0.095 816,829 54,000 UGE International Ltd. Options Steins, George Edward 5 6/7/2018 00 UGE International Ltd. Options Steins, George Edward 5 12/14/2018 50 200,000 200,000 Uni-Select Inc. Unités d'actions différées

(UAD) / Deferred Share Unit Plan

Courville, André 4, 5 12/18/2018 56 19.716 37,174 21,429

Unigold Inc. Common Shares Tremblay, Norman 3, 4 12/19/2018 10 0.16 9,758,494 15,000 Ur-Energy Inc. Common Shares Boberg, Walter William 5 12/17/2018 38 0.92 752,069 32,000 Ur-Energy Inc. Options Boberg, Walter William 5 12/14/2018 50 0.91 529,169 50,527 Ur-Energy Inc. Restricted Share Units Boberg, Walter William 5 12/14/2018 56 0.91 12,632 Ur-Energy Inc. Restricted Share Units Boberg, Walter William 5 12/14/2018 56 0.91 88,546 12,632 Ur-Energy Inc. Restricted Share Units Boberg, Walter William 5 12/17/2018 38 56,546 -32,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 229



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Ur-Energy Inc. Common Shares Bonner, James A. 5 12/17/2018 38 0.92 30,645 Ur-Energy Inc. Common Shares Bonner, James A. 5 12/17/2018 38 0.92 71,672 30,645 Ur-Energy Inc. Options Bonner, James A. 5 12/14/2018 50 0.91 604,450 49,764 Ur-Energy Inc. Restricted Share Units Bonner, James A. 5 12/14/2018 56 0.91 94,941 12,441 Ur-Energy Inc. Restricted Share Units Bonner, James A. 5 12/17/2018 38 0.92 54,431 -40,510 Ur-Energy Inc. Common Shares Cash, John William 5 12/17/2018 38 0.92 34,251 Ur-Energy Inc. Common Shares Cash, John William 5 12/17/2018 38 0.92 34,251 Ur-Energy Inc. Common Shares Cash, John William 5 12/17/2018 38 0.92 141,539 34,251 Ur-Energy Inc. Options Cash, John William 5 12/14/2018 50 0.91 637,830 55,620 Ur-Energy Inc. Restricted Share Units Cash, John William 5 12/14/2018 56 0.91 106,112 13,905 Ur-Energy Inc. Restricted Share Units Cash, John William 5 12/17/2018 38 0.92 60,836 -45,276 Ur-Energy Inc. Options Chang, Robby Sai Kit 4 12/14/2018 50 0.91 306,180 50,527 Ur-Energy Inc. Restricted Share Units Chang, Robby Sai Kit 4 12/14/2018 56 0.91 26,546 12,632 Ur-Energy Inc. Common Shares Franklin, James 4 12/17/2018 38 0.92 662,561 32,000 Ur-Energy Inc. Options Franklin, James 4 12/14/2018 50 0.91 529,169 50,527 Ur-Energy Inc. Restricted Share Units Franklin, James 4 12/14/2018 56 0.91 88,546 12,632 Ur-Energy Inc. Restricted Share Units Franklin, James 4 12/17/2018 38 0.92 56,546 -32,000 Ur-Energy Inc. Common Shares Goplerud, Penne Ann 5 12/17/2018 38 0.92 38,500 Ur-Energy Inc. Common Shares Goplerud, Penne Ann 5 12/17/2018 38 0.92 172,854 38,500 Ur-Energy Inc. Options Goplerud, Penne Ann 5 12/14/2018 50 0.91 776,327 66,588 Ur-Energy Inc. Restricted Share Units Goplerud, Penne Ann 5 12/14/2018 56 0.91 127,046 16,647 Ur-Energy Inc. Restricted Share Units Goplerud, Penne Ann 5 12/17/2018 38 0.92 72,836 -54,210 Ur-Energy Inc. Common Shares Hatten, Steven Marcal 5 12/17/2018 38 0.92 134,138 35,941 Ur-Energy Inc. Options Hatten, Steven Marcal 5 12/14/2018 50 0.91 669,802 58,357 Ur-Energy Inc. Restricted Share Units Hatten, Steven Marcal 5 12/14/2018 56 0.91 111,345 14,590 Ur-Energy Inc. Restricted Share Units Hatten, Steven Marcal 5 12/17/2018 38 0.92 63,835 -47,510 Ur-Energy Inc. Common Shares Huber, Gary Chase 4 12/17/2018 38 0.92 128,540 32,000 Ur-Energy Inc. Options Huber, Gary Chase 4 12/14/2018 50 0.91 640,340 50,527 Ur-Energy Inc. Restricted Share Units Huber, Gary Chase 4 12/14/2018 56 0.91 88,546 12,632 Ur-Energy Inc. Restricted Share Units Huber, Gary Chase 4 12/17/2018 38 0.92 56,546 -32,000 Ur-Energy Inc. Common Shares Klenda, Jeffrey T. 5 12/17/2018 38 0.92 2,753,013 60,032 Ur-Energy Inc. Options Klenda, Jeffrey T. 5 12/14/2018 50 0.91 1,231,165 103,831 Ur-Energy Inc. Restricted Share Units Klenda, Jeffrey T. 5 12/14/2018 56 0.91 198,103 25,958 Ur-Energy Inc. Restricted Share Units Klenda, Jeffrey T. 5 12/17/2018 38 0.92 113,573 -84,530 Ur-Energy Inc. Common Shares Parker, Thomas Howard 4 12/17/2018 38 0.92 147,354 32,000 Ur-Energy Inc. Options Parker, Thomas Howard 4 12/14/2018 50 0.91 529,169 50,527 Ur-Energy Inc. Restricted Share Units Parker, Thomas Howard 4 12/14/2018 56 0.91 88,546 12,632 Ur-Energy Inc. Restricted Share Units Parker, Thomas Howard 4 12/17/2018 38 0.92 56,546 -32,000 Ur-Energy Inc. Common Shares Smith, Roger L. 5 12/17/2018 38 0.92 283,800 42,822 Ur-Energy Inc. Options Smith, Roger L. 5 12/14/2018 50 0.91 863,499 74,067 Ur-Energy Inc. Restricted Share Units Smith, Roger L. 5 12/14/2018 38 0.91 141,311 18,517 Ur-Energy Inc. Restricted Share Units Smith, Roger L. 5 12/17/2018 38 0.92 81,015 -60,296 Ur-Energy Inc. Options Walker, Kathy E. 4 12/14/2018 50 0.91 426,180 50,527 Ur-Energy Inc. Restricted Share Units Walker, Kathy E. 4 12/14/2018 56 0.91 56,546 12,632 Urbanimmersive Inc. Common Shares Thibault, Martin 7 12/20/2018 97 444,997 -444,996 UrtheCast Corp. Options Chu, Sai W. 5 11/7/2018 50 0.22 400,000 200,000 UrtheCast Corp. Rights Restricted Share

Units Chu, Sai W. 5 11/7/2018 56 0.22 500,000

UrtheCast Corp. Rights Restricted Share Units

Chu, Sai W. 5 11/7/2018 56 0.22 500,000


Chu, Sai W. 5 11/7/2018 56 0.22 1,396,364 1,136,364

UrtheCast Corp. Options Coronado Cid, Álvaro 7 6/6/2016 00 UrtheCast Corp. Options Coronado Cid, Álvaro 7 11/7/2018 50 0.22 200,000 200,000 UrtheCast Corp. Rights Restricted Share

Units Coronado Cid, Álvaro 7 11/7/2018 56 0.22 454,545


Coronado Cid, Álvaro 7 11/7/2018 56 0.22 554,545 454,545

UrtheCast Corp. Options Duggan, Peter James 5 11/7/2018 50 0.22 470,000 200,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 230



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. UrtheCast Corp. Rights Restricted Share

Units Duggan, Peter James 5 11/7/2018 56 0.22 200,000


Duggan, Peter James 5 11/7/2018 56 0.22 881,818 681,818

UrtheCast Corp. Options Tyc, George 5 11/7/2018 50 0.22 400,000 200,000 UrtheCast Corp. Rights Restricted Share

Units Tyc, George 5 11/7/2018 56 0.22 856,818 681,818

Vanadium One Energy Corp. Options Lafleur, Pierre-Jean 4 10/23/2018 50 0 -150,000 VBI Vaccines Inc. Common Shares Kariv, Tomer 4 12/17/2018 15 1.4 849,520 298,431 VBI Vaccines Inc. Common Shares Kariv, Tomer 4 12/17/2018 15 1.4 943,451 331,429 VBI Vaccines Inc. Common Shares Kariv, Tomer 4 12/17/2018 15 1.4 1,744,969 612,997 VBI Vaccines Inc. Common Shares Kariv, Tomer 4 1/23/2018 00 VBI Vaccines Inc. Common Shares Kariv, Tomer 4 12/17/2018 15 1.4 185,714 185,714 Velan Inc. Subordinate Voting

Shares Kernaghan, Edward James 3 12/19/2018 10 8.74 1,002,800 100

Velan Inc. Subordinate Voting Shares

Kernaghan, Edward James 3 12/19/2018 10 8.69 1,002,900 100





























VersaBank Common Shares Bratton, David A. 4 12/19/2018 10 7.089 13,808 1,000 VersaBank Common Shares Clarke, Robert Shawn 5 12/19/2018 10 7.36 3,000 1,400 VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 12/21/2018 10 7.17 57,500 500 VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 12/20/2018 90 271,000 6,000 VersaBank Common Shares TAYLOR, DAVID ROY 4, 5 12/20/2018 90 0 -6,000 Victoria Gold Corp. (formerly Victoria Resource Corporation)

Common Shares McInnis, Michael D. 4 12/19/2018 51 1,782,500 460,000

Victoria Gold Corp. (formerly Victoria Resource Corporation)

Options McInnis, Michael D. 4 12/19/2018 51 0.12 1,785,000 -460,000

Victory Capital Corp. Common Shares Marrandino, Michele 4 12/19/2018 00 110,500 Village Farms International, Inc.

Common Shares Woodward, Christopher Charles

4 12/7/2018 10 4.4 3,300

Village Farms International, Inc.


4 12/5/2018 10 4.4 8,300 3,300

Village Farms International, Inc.


4 12/21/2018 10 4.565 8,900 600

Insider Reporting

January 3, 2019

(2019), 42 OSCB 231



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Village Farms International, Inc.


4 12/21/2018 10 4.57 11,000 2,100

Visible Gold Mines Inc. Common Shares Dallaire, Martin 4, 5 12/18/2018 10 0.045 312,588 2,000 Visible Gold Mines Inc. Common Shares Dallaire, Martin 4, 5 12/18/2018 10 0.05 314,588 2,000 Visible Gold Mines Inc. Common Shares Dallaire, Martin 4, 5 12/19/2018 10 0.05 315,588 1,000 Visible Gold Mines Inc. Common Shares Dallaire, Martin 4, 5 12/21/2018 10 0.05 330,588 15,000 Vital Energy Inc. (formerly Ceno Energy Ltd.)

Common Shares Standen, Jeffrey Lawrence 4, 5 11/7/2018 10 0.045 963,247 4,000

Vital Energy Inc. (formerly Ceno Energy Ltd.)





Common Shares Standen, Jeffrey Lawrence 4, 5 11/7/2018 10 0.045 1,082,247 86,000












Convertible Debentures 10% Secured Subordinated

Standen, Jeffrey Lawrence 4, 5 12/17/2018 36 0.1 $275,000 $250,000


Convertible Debentures 10% Secured Subordinated

Zhou, Hai 3, 4 12/17/2018 36 0.1 $21,450,000 $19,500,000

Wallbridge Mining Company Limited

Common Shares Sprott, Eric S. 3 9/14/2018 00

Wallbridge Mining Company Limited

Common Shares Sprott, Eric S. 3 12/19/2018 11 0.2 2,000,000 2,000,000

WELL Health Technologies Corp.

Common Shares Shahbazi, Hamed 4, 5 12/14/2018 11 0.39 5,842,298 3,000

Wescan Goldfields Inc. Common Shares MacNeill, Tom 6 12/20/2018 10 0.04 641,587 10,000 Wescan Goldfields Inc. Common Shares MacNeill, Tom 6 12/21/2018 10 0.04 644,587 3,000 West African Resources Limited

Ordinary Shares Hopkins, Lyndon George 5 12/13/2018 10 0.25 3,000,000 1,000,000

West African Resources Limited

Ordinary Shares O'Donoghue, Padraig 5 12/13/2018 10 0.25 112,995 40,000


Options Wilcox, Matthew Peter 5 11/28/2018 50 0.31 1,000,000 1,000,000


Ordinary Shares Wilcox, Matthew Peter 5 12/13/2018 10 0.25 400,000 400,000

West Fraser Timber Co. Ltd. Common Shares Balkwill, Brian Allen 5 12/21/2018 10 67.56 716 556 West Fraser Timber Co. Ltd. Common Shares Balkwill, Brian Allen 5 2/15/2016 00 West Fraser Timber Co. Ltd. Common Shares Balkwill, Brian Allen 5 12/21/2018 10 67.52 478 478 West Fraser Timber Co. Ltd. Common Shares Carter, Keith Darren 5 12/18/2018 10 63.58 1,490 700 West Fraser Timber Co. Ltd. Common Shares Carter, Keith Darren 5 12/19/2018 10 65.52 1,540 50 West Fraser Timber Co. Ltd. Common Shares Carter, Keith Darren 5 12/19/2018 10 65.5 2,040 500 West Fraser Timber Co. Ltd. Common Shares Carter, Keith Darren 5 12/19/2018 10 65.5 2,240 200 West Fraser Timber Co. Ltd. Common Shares Virostek, Christopher 5 12/18/2018 10 65.48 5,350 2,350 West Fraser Timber Co. Ltd. Common Shares West Fraser Timber Co. Ltd. 1 12/14/2018 38 64.87 122,000 15,000 West Fraser Timber Co. Ltd. Common Shares West Fraser Timber Co. Ltd. 1 12/17/2018 38 63.817 137,000 15,000 West Fraser Timber Co. Ltd. Common Shares West Fraser Timber Co. Ltd. 1 12/17/2018 38 60,000 -77,000 West Fraser Timber Co. Ltd. Common Shares West Fraser Timber Co. Ltd. 1 12/18/2018 38 65.327 75,000 15,000 West Fraser Timber Co. Ltd. Common Shares West Fraser Timber Co. Ltd. 1 12/19/2018 38 67.084 90,000 15,000 West Fraser Timber Co. Ltd. Common Shares West Fraser Timber Co. Ltd. 1 12/20/2018 38 66.259 105,000 15,000 West Fraser Timber Co. Ltd. Common Shares West Fraser Timber Co. Ltd. 1 12/21/2018 38 66.518 120,000 15,000 Western Energy Services Corp.

Options Reinboldt, Darcy Donald 5 12/17/2018 52 568,100 -100,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 232



Acquired/ Disposed

This is the summary for the week ending December 23, 2018. Western Troy Capital Resources Inc.

Common Shares Loesby, Rex E. 4, 5 12/21/2018 10 0.01 2,020,000 20,000

Westshore Terminals Investment Corporation

Common Shares Akazawa, Steve 4 12/20/2018 10 21.34 5,000 1,000

Wheaton Precious Metals Corp. (formerly Silver Wheaton Corp.)

Common Shares Brown, Gary Duncan 5 6/17/2008 00


Common Shares Brown, Gary Duncan 5 12/21/2018 10 25.629 3,000 3,000


Common Shares Jeannes, Charles A. 4 12/18/2018 57 24.28 8,905 1,225


Subscription Rights Jeannes, Charles A. 4 12/18/2018 57 24.28 7,595 -1,225

Whitecap Resources Inc. Common Shares Armstrong, Joel Maxwell 5 12/21/2018 10 3.98 223,832 15,000 Whitecap Resources Inc. Common Shares Dunlop, Darin Roy 5 12/21/2018 10 4 227,388 37,500 Whitecap Resources Inc. Common Shares Fagerheim, Grant Bradley 4, 5 12/21/2018 10 4.11 2,041,324 10,000 Whitecap Resources Inc. Common Shares Kang, Thanh Chan 5 12/21/2018 10 4.05 487,348 7,100 Wi2Wi Corporation Common Shares Ferlaino, Francesco 4 11/28/2018 00 3,100,000 Wildflower Brands Inc. Common Shares Kee, Alfred Joshua 5 12/17/2018 10 0.54 715,100 5,500 Wildflower Brands Inc. Common Shares Kee, Alfred Joshua 5 12/18/2018 10 0.5 718,100 3,000 Winpak Ltd Common Shares Johnson, Timothy Lee 7 12/19/2018 10 46.08 0 -557 Winpak Ltd Common Shares Johnson, Timothy Lee 7 12/19/2018 10 46.08 0 -3,000 Wolverine Energy and Infrastructure Inc.

Common Shares Sharp, Dennis Ambrose 4 12/20/2018 00

Wolverine Energy and Infrastructure Inc.

Common Shares Sharp, Dennis Ambrose 4 12/20/2018 22 149,018 149,018


Convertible Debentures Sharp, Dennis Ambrose 4 12/20/2018 00


Convertible Debentures Sharp, Dennis Ambrose 4 12/20/2018 22 $500,000 $500,000

X-Terra Resources Inc. Common Shares Ferreira, Michael 4, 5 12/17/2018 10 0.09 240,000 25,000 X-Terra Resources Inc. Common Shares Ferreira, Michael 4, 5 12/20/2018 10 0.1 250,000 10,000 Xenon Pharmaceuticals Inc. Common Shares Patou, Gary 4 12/14/2018 51 3.74 19,459 2,057 Xenon Pharmaceuticals Inc. Options Patou, Gary 4 12/14/2018 51 3.74 47,716 -2,057 XIB I Capital Corp. Common Shares Young, Michael 4 12/12/2018 00 1,000,000 XXL Energy Corp. Common Shares wolverton, mark frank 3 12/21/2018 10 0.26 147,500 2,500 Yamana Gold Inc. Common Shares Gallinger, Ross Douglas 5 12/20/2018 10 3.06 22,682 4,900 Yamana Gold Inc. Common Shares Marrone, Peter 4, 5 12/19/2018 10 3.1854 1,628,395 650,000 Yamana Gold Inc. Common Shares Racine, Daniel 5 12/19/2018 10 3.0177 239,176 70,000 Yamana Gold Inc. Common Shares Racine, Daniel 5 12/20/2018 10 3.043 269,176 30,000 Yangaroo Inc. Common Shares Boone, Horace Shepard 3 12/17/2018 10 0.1285 7,170,721 90,000 Yorbeau Resources Inc. Common Shares Class A Bodnar jr., Georges 4, 5 12/21/2018 16 0.05 1,234,950 200,000 Yorbeau Resources Inc. Common Shares Class A Gagnier, Pierre 4 12/21/2018 16 0.05 3,676,283 450,000 Yorbeau Resources Inc. Common Shares Class A Gupta, Amit 4, 6, 5 12/21/2018 16 0.05 2,334,284 800,000 Zargon Oil & Gas Ltd. Common Shares Doetzel, Randolph John 5 12/18/2018 30 0.05 77,272 36,314 Zargon Oil & Gas Ltd. Common Shares Hansen, Craig Henry 4, 5 12/18/2018 30 0.05 1,161,379 40,833 Zenyatta Ventures Ltd. Common Shares Fenton, Gregory 4 12/14/2018 10 0.37 405,000 7,000 Zenyatta Ventures Ltd. Common Shares Fenton, Gregory 4 12/17/2018 10 0.38 414,500 9,500 Zenyatta Ventures Ltd. Common Shares Fenton, Gregory 4 12/19/2018 10 0.44 434,500 20,000 Zimtu Capital Corp. Common Shares Hodge, David 4, 5 12/13/2018 10 0.215 714,181 13,000 Zimtu Capital Corp. Common Shares Hodge, David 4, 5 12/17/2018 10 0.21 724,181 10,000 Zymeworks Inc. Options Polverino, Anthony John 5 12/12/2018 50 15 110,000 110,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 233

Due to the holiday, this week’s Bulletin contains two Chapter 7 summaries for the weeks ending December 23, 2018 and December 30, 2018. The following summary is for the week ending December 30, 2018.

Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit

Price Date/Month End

Holdings Acquired/ Disposed

This summary is for the week ending December 30, 2018. 01 Communique Laboratory Inc.

Options Cheung, Andrew 4 12/27/2018 50 0.07 1,475,000 535,000

01 Communique Laboratory Inc.

Options Kissack, Gary 4 12/27/2018 50 820,000 120,000


Options Loo, Gee Gee 5 12/27/2018 50 0.07 455,000 220,000


Options Train, William, Archibald 4 12/27/2018 50 0.07 1,025,000 140,000

37 Capital Inc. Common Shares Kalpakian, Isabel A 3 12/24/2018 10 105 824,424 -30,000 ABCOURT MINES INC. Common Shares

catégorie B Veilleux, Nicole 4 12/14/2018 00

ABCOURT MINES INC. Options Veilleux, Nicole 4 12/14/2018 00 ABCOURT MINES INC. Options Veilleux, Nicole 4 12/18/2018 50 0.07 500,000 500,000 ABCOURT MINES INC. Warrants Veilleux, Nicole 4 12/14/2018 00 Aberdeen Asia-Pacific Income Investment Company Limited

Common Shares Braithwaite, William James 4 12/24/2018 99 10,000 -4,000

Aberdeen Asia-Pacific Income Investment Company Limited

Common Shares Braithwaite, William James 4 12/24/2018 99 0 -10,000


Common Shares Braithwaite, William James 4 3/15/2018 00


Common Shares Braithwaite, William James 4 12/20/2018 10 3.6 1,000 1,000


Common Shares Braithwaite, William James 4 12/24/2018 99 11,000 10,000


Common Shares Braithwaite, William James 4 3/15/2018 00


Common Shares Braithwaite, William James 4 12/24/2018 99 4,000 4,000

Acadian Timber Corp. Common Shares Cockwell, Jack Lynn 6 12/21/2018 10 14.25 114,400 31,400 Accord Financial Corp. Common Shares BATES, JEAN RENE 5 12/27/2018 10 5,800 1,500 Accord Financial Corp. Common Shares BATES, JEAN RENE 5 12/28/2018 10 6,075 275 Accord Financial Corp. Convertible Debentures Moss, Frederick Alan 2 8/1/2004 00 Accord Financial Corp. Convertible Debentures Moss, Frederick Alan 2 12/18/2018 11 1000 $100 $100 Accord Financial Corp. Convertible Debentures Warden, Stephen Duncan 4 7/27/2010 00 $25 Accord Financial Corp. Convertible Debentures Warden, Stephen Duncan 4 7/27/2010 00 $25 Acerus Pharmaceuticals Corporation

Common Shares Beauchamp, Norma 4 12/27/2018 10 0.11 88,500 28,500

Acerus Pharmaceuticals Corporation

Common Shares Gregory, Stephen Robert 4 12/24/2018 10 0.1153 1,994,627 429,000

Advantage Lithium Corp. Options Cross, David Allen 5 12/13/2018 00 Advantage Lithium Corp. Options Cross, David Allen 5 12/13/2018 50 150,000 150,000 Aimia Inc. Common Shares Mittleman Investment

Management, LLC 3 12/27/2018 10 2.4563 28,701,897 -4,350

AIRBOSS OF AMERICA CORP.

Common Shares Gagnon, Daniel 5 12/21/2018 47 21,700 100


Common Shares Schoch, Peter Grenville 3, 4 12/21/2018 47 4,709,547 -600


Common Shares Weinkove, Andrea 5 12/21/2018 47 310 100

Alaska Hydro Corporation Common Shares Grandison, Clifford Allan 4, 5 12/28/2018 10 0.05 5,337,030 2,000 Alba Minerals Ltd. Common Shares Arias, Carlos 4 12/24/2018 10 0.6538 405,000 -65,000 Algonquin Power & Utilities Corp.

Common Shares Pasieka, David James 5 12/20/2018 51 14.227 333,472 50,503

Insider Reporting

January 3, 2019

(2019), 42 OSCB 234



Acquired/ Disposed

This summary is for the week ending December 30, 2018. Algonquin Power & Utilities Corp.

Common Shares Pasieka, David James 5 12/21/2018 10 13.947 314,972 -18,500

Algonquin Power & Utilities Corp.

Options Pasieka, David James 5 12/19/2018 51 9.76 472,867 -113,208


Options Pasieka, David James 5 12/19/2018 51 10.82 340,635 -132,232


Common Shares Saidi, Masheed Hegi 4 12/26/2018 10 9.85 15,115 5,415


Common Shares Trisic, George 5 12/20/2018 51 14.227 81,096 64,369


Common Shares Trisic, George 5 12/21/2018 10 14.006 70,796 -10,300


Options Trisic, George 5 12/19/2018 51 7.95 456,264 -51,111














Common Shares Weber, Jason Shawn 4, 5 12/24/2018 16 0.05 132,500 50,000


Common Shares Weber, Jason Shawn 4, 5 12/24/2018 16 0.06 215,833 83,333


Warrants Weber, Jason Shawn 4, 5 12/24/2018 16 0.05 100,750 50,000



Boyko, Éric 4 12/27/2018 10 66.06 8,400 2,000

Almaden Minerals Ltd. Options Poliquin, James Duane 4, 5 12/11/2018 52 0.72 1,265,000 -100,000 Almaden Minerals Ltd. Options Poliquin, James Duane 4, 5 12/11/2018 51 0.72 1,294,189 29,189 Almaden Minerals Ltd. Options Poliquin, James Duane 4, 5 12/13/2018 50 0.86 1,394,189 100,000 Almonty Industries Inc. Convertible Debentures Deutsche Rohstoff AG 3 12/18/2018 16 $13,500,000 $2,000,000 Almonty Industries Inc. Convertible Debentures Gutschlag, Thomas Joerg 4, 6 9/22/2014 00 Almonty Industries Inc. Convertible Debentures Gutschlag, Thomas Joerg 4, 6 12/18/2018 16 $2,000,000 $2,000,000 AltaGas Ltd. Common Shares Edgeworth, Allan Leslie 4 12/21/2018 10 12.95 32,836 1,000 AltaGas Ltd. Common Shares Edgeworth, Allan Leslie 4 12/21/2018 10 13.01 33,836 1,000 AltaGas Ltd. Common Shares Edgeworth, Allan Leslie 4 12/21/2018 10 13.02 35,836 2,000 AltaGas Ltd. Common Shares Edgeworth, Allan Leslie 4 12/21/2018 10 13.05 36,836 1,000 AltaGas Ltd. Common Shares Knoll, Phillip R. 4, 5 12/24/2018 10 12.07 8,516 1,000 AltaGas Ltd. Common Shares Knoll, Phillip R. 4, 5 12/21/2018 10 12.86 6,700 1,700 Altius Minerals Corporation Common Shares Gaumond, André 4 12/24/2018 10 10.47 18,500 1,000 Altius Minerals Corporation Common Shares Gaumond, André 4 12/24/2018 10 10.49 19,000 500 Altius Minerals Corporation Common Shares Gaumond, André 4 12/24/2018 10 10.41 21,000 2,000 Altius Minerals Corporation Common Shares Gaumond, André 4 12/24/2018 10 10.33 23,000 2,000 Altius Minerals Corporation Common Shares Gaumond, André 4 12/24/2018 10 10.39 25,000 2,000 Altius Minerals Corporation Common Shares Gaumond, André 4 9/15/2017 00 Altius Minerals Corporation Common Shares Gaumond, André 4 12/24/2018 10 10.534 2,000 2,000 Altius Minerals Corporation Common Shares Gaumond, André 4 12/24/2018 10 10.41 12,600 1,000 Altius Minerals Corporation Common Shares Gaumond, André 4 12/24/2018 10 10.45 13,000 400 Altius Minerals Corporation Common Shares Gaumond, André 4 12/24/2018 10 10.43 13,500 500 Altius Minerals Corporation Common Shares Gaumond, André 4 12/24/2018 10 10.538 14,000 500

Insider Reporting

January 3, 2019

(2019), 42 OSCB 235



Acquired/ Disposed

This summary is for the week ending December 30, 2018. Altius Minerals Corporation Common Shares Gaumond, André 4 12/24/2018 10 10.498 14,500 500 Altius Minerals Corporation Common Shares Gaumond, André 4 12/24/2018 10 10.498 16,500 2,000 Altius Minerals Corporation Common Shares Gaumond, André 4 12/24/2018 10 10.51 46,000 500 Altius Minerals Corporation Common Shares Gaumond, André 4 12/24/2018 10 10.44 47,000 1,000 Altius Minerals Corporation Common Shares Gaumond, André 4 12/24/2018 10 10.498 48,000 1,000 Altius Minerals Corporation Common Shares Gaumond, André 4 12/24/2018 10 10.514 52,000 4,000 Altius Minerals Corporation Common Shares Gaumond, André 4 12/24/2018 10 10.42 1,500 500 Altius Minerals Corporation Common Shares Gaumond, André 4 12/24/2018 10 10.68 4,500 3,000 Altius Minerals Corporation Common Shares Winter, Stephen Lawrence 5 12/21/2018 10 10.82 69,265 450 American Core Sectors Dividend Fund

Trust Units American Core Sectors Dividend Fund

1 12/21/2018 38 11.389 3,988,427 900






Convertible Debentures O'Neill, Robert Francis 4, 5 12/28/2018 10 0.82 $149,200 $65,000




Units Yu, Anne 5 12/21/2018 10 6.04 2,500 1,500


Units Yu, Anne 5 12/21/2018 10 6.052 17,341 3,000

American Pacific Mining Corp.

Common Shares Wareham, George Wilfred Norman

4 12/27/2018 10 0.045 200,000 200,000

Ansar Financial and Development Corporation

Common Shares Jalaluddin, Mohammed 3, 4, 5 12/21/2018 10 0.59 2,011,520 8,500

Ansar Financial and Development Corporation

Common Shares Nasim, Pervez 3, 4, 5 12/21/2018 10 0.59 2,011,520 8,500

Aquila Resources Inc. Common Shares Hildred, David Barrett 5 12/21/2018 10 0.17 444,500 26,500 Aquila Resources Inc. Common Shares Hildred, David Barrett 5 12/24/2018 10 0.17 454,500 10,000 ARC Resources Ltd. Common Shares Calder, Sean Ross Allen 5 12/28/2018 10 8.01 11,512 1,850 ARC Resources Ltd. Common Shares Calder, Sean Ross Allen 5 12/28/2018 10 8.02 14,812 3,300 ARC Resources Ltd. Common Shares Calder, Sean Ross Allen 5 12/28/2018 10 8.03 15,812 1,000 Asian Television Network International Limited


4, 5 12/21/2018 10 0.13 16,304,678 100,000



4, 5 12/24/2018 10 0.13 16,327,678 23,000

Atlantic Power Corporation Common Shares Ronan, Terrence 5 12/24/2018 10 2.1 324,003 800 Atrium Mortgage Investment Corporation


Atrium Mortgage Investment Corporation


Aurcana Corporation Common Shares Drover, Kevin Cameron 4 12/27/2018 15 1 753,033 228,000 Aurcana Corporation Warrants Drover, Kevin Cameron 4 12/27/2018 16 561,333 228,000 Aurinia Pharmaceuticals Inc. Common Shares Solomons, Neil 5 12/24/2018 10 7.4914 402,099 -3,500 Aurora Cannabis Inc. Common Shares Booth, Terry 4 3/13/2018 10 11.543 -464,183 Aurora Cannabis Inc. Common Shares Booth, Terry 4 3/13/2018 10 11.543 11,099,667 -464,183 Aurora Cannabis Inc. Warrants Booth, Terry 4 11/28/2017 54 3 -112,300 Aurora Cannabis Inc. Warrants Booth, Terry 4 11/28/2017 54 3 116,667 -112,300 Auryn Resources Inc. Common Shares Kosowan, Michael 4 12/28/2018 10 1.24 2,950,000 14,600 Automotive Properties Real Estate Investment Trust

Trust Units Morrison, John Rennie 4 12/21/2018 10 8.98 13,000 11,000

Avalon Advanced Materials Inc.

Common Shares Hu, Xi Hong 5 12/24/2018 10 0.055 7,800 -7,200

B2Gold Corp. Common Shares Bartz, Eduard 5 12/28/2018 51 2 133,162 125,000 B2Gold Corp. Common Shares Bartz, Eduard 5 12/28/2018 10 3.986 8,162 -125,000 B2Gold Corp. Common Shares Bartz, Eduard 5 12/28/2018 10 3.98 0 -8,162 B2Gold Corp. Options Bartz, Eduard 5 12/28/2018 51 2 100,000 -125,000 Badger Daylighting Ltd. Common Shares Badger Daylighting Ltd. 1 12/21/2018 38 31.9 244,461 34,923 Badger Daylighting Ltd. Common Shares Badger Daylighting Ltd. 1 12/21/2018 38 69,846 -174,615

Insider Reporting

January 3, 2019

(2019), 42 OSCB 236



Acquired/ Disposed

This summary is for the week ending December 30, 2018. Badger Daylighting Ltd. Common Shares Badger Daylighting Ltd. 1 12/24/2018 38 31.49 104,769 34,923 Badger Daylighting Ltd. Common Shares Badger Daylighting Ltd. 1 12/27/2018 38 30.6 139,692 34,923 Badger Daylighting Ltd. Common Shares Schiefelbein, Jerry 5 6/2/2014 00 Badger Daylighting Ltd. Common Shares Schiefelbein, Jerry 5 12/28/2018 10 23.23 5,000 5,000 Bank of Nova Scotia, The Common Shares Rees, Daniel Llewellyn 5 12/24/2018 10 67.33 10,473 130 Bank of Nova Scotia, The Common Shares Rees, Daniel Llewellyn 5 12/24/2018 10 67.395 10,973 500 Banyan Gold Corp. Common Shares Class

"A" Alexco Resource Corp. 3 12/24/2018 45 0.04 8,736,644 400,000

Banyan Gold Corp. Common Shares Class "A"

Rutt, David 3, 4, 5 12/28/2018 10 0.04 100,000 -106,100

Bayhorse Silver Inc. Convertible Debentures O'Neill, Graeme 5 12/19/2018 16 5000 $55 Bayhorse Silver Inc. Convertible Debentures O'Neill, Graeme 5 12/19/2018 16 6469 $355,795 Bayhorse Silver Inc. Convertible Debentures @

C$0.125 O'Neill, Graeme 5 7/11/2006 00

Bayhorse Silver Inc. Convertible Debentures @ C$0.125

O'Neill, Graeme 5 8/22/2018 16 6518 $195,540 $195,540


O'Neill, Graeme 5 9/27/2018 16 6522 $228,152 $32,612


O'Neill, Graeme 5 12/19/2018 16 6469 $583,947 $355,795

Baytex Energy Corp. Common Shares Pearce, David Lawrence 4 12/24/2018 10 1.93 150,000 50,000 Baytex Energy Corp. Common Shares Pearce, David Lawrence 4 12/27/2018 10 2.06 175,000 25,000 Benchmark Botanics Inc. Common Shares Dorin, George Graham 4 12/20/2018 10 0.33 35,500 -3,000 Benchmark Botanics Inc. Common Shares Dorin, George Graham 4 12/27/2018 10 0.24 33,000 -2,500 Benchmark Botanics Inc. Common Shares Dorin, George Graham 4 12/27/2018 10 0.235 25,500 -7,500 Benchmark Botanics Inc. Common Shares Dorin, George Graham 4 12/28/2018 10 0.23 20,000 -5,500 Big Rock Brewery Inc. Common Shares Noone, Patrick Donnell 4 12/21/2018 10 4.31 1,596,900 5,000 Birchcliff Energy Ltd. Common Shares Surbey, James William 4 12/24/2018 10 2.66 495,900 10,000 Birchcliff Energy Ltd. Common Shares Surbey, James William 4 12/24/2018 10 2.6 501,000 5,100 Black Diamond Group Limited






Black Mammoth Metals Corporation

Common Shares Henderson, Dustin Christopher

4, 5 12/21/2018 10 0.05 1,649,253 51,000


Common Shares Henderson, Dustin Christopher

4, 5 12/24/2018 10 0.05 1,651,253 2,000


Common Shares Henderson, Hollie 3 12/20/2018 10 0.08 1,767,000 9,000


Common Shares Daniels, Michael Alan 4 12/24/2018 10 6.96 26,077 10,000


Common Shares Wilson, Mark George 5 12/21/2018 57 6.91 93,896 7,062


Common Shares Wilson, Mark George 5 12/21/2018 10 6.7156 90,189 -3,707


Restricted Share Units Wilson, Mark George 5 12/21/2018 57 46,739 -7,062


Common Shares Tam, Alan Shui Yan 5 8/2/2017 00


Common Shares Tam, Alan Shui Yan 5 12/21/2018 16 0.5 17,000 17,000

BlueRush Inc. Common Shares Bilyea, Jeffrey William 5 12/19/2018 00 1,880,340 BlueRush Inc. Options Bilyea, Jeffrey William 5 12/19/2018 00 2,000,000 BlueRush Inc. Warrants Bilyea, Jeffrey William 5 12/19/2018 00 940,170 BlueRush Inc. Warrants Bilyea, Jeffrey William 5 12/19/2018 00 940,170 Boardwalk Real Estate Investment Trust

Deferred Units (Convert to TU and/or cash)

Brimmell, Jonathan David 5 12/21/2018 30 37.85 9,931 -1,149

Boardwalk Real Estate Investment Trust

Trust Units Brimmell, Jonathan David 5 12/21/2018 30 37.85 21,345 1,149



Burns, Patrick Dean 5 12/21/2018 30 37.85 15,412 -2,885

Insider Reporting

January 3, 2019

(2019), 42 OSCB 237



Acquired/ Disposed

This summary is for the week ending December 30, 2018. Boardwalk Real Estate Investment Trust

Trust Units Burns, Patrick Dean 5 12/21/2018 30 37.85 12,772 2,885



GEREMIA, ROBERTO 5 12/21/2018 30 37.85 26,554 -5,049


Trust Units GEREMIA, ROBERTO 5 12/21/2018 30 37.85 159,414 5,049



Goodman, Gary Michael 4 12/21/2018 30 37.85 11,387 -2,487


Trust Units Goodman, Gary Michael 4 12/21/2018 30 37.85 20,134 2,487



Havener, Jr., Arthur Lee 4 12/21/2018 30 37.85 13,857 -3,126


Trust Units Havener, Jr., Arthur Lee 4 12/21/2018 30 37.85 26,319 3,126



Mahajan, Kelly Kulwant 5 12/21/2018 30 37.85 8,334 -903


Trust Units Mahajan, Kelly Kulwant 5 12/21/2018 30 37.85 4,024 903



Mix, Helen May 5 12/21/2018 30 37.85 10,535 -1,100


Trust Units Mix, Helen May 5 12/21/2018 30 37.85 5,430 1,100



Russell, Lisa Maureen 5 12/21/2018 30 37.85 12,106 -2,306


Trust Units Russell, Lisa Maureen 5 12/21/2018 30 37.85 11,042 2,306



Stephen, Andrea 4 12/21/2018 30 37.85 10,426 -2,189


Trust Units Stephen, Andrea 4 12/21/2018 30 37.85 11,708 2,189



Wong, William 5 12/21/2018 30 37.85 20,962 -3,183


Trust Units Wong, William 5 12/21/2018 30 37.85 20,410 3,183


Units Treliving, Walter James 6 1/3/2003 00


Units Treliving, Walter James 6 1/3/2003 00

Bragg Gaming Group Inc. (formerly Breaking Data Corp.)

Common Shares Chalfin, Jae 4, 5 12/21/2018 46 3,062,730 82,181


Common Shares Galloro, Michael Bernardino 4 12/20/2018 00


Options Galloro, Michael Bernardino 4 12/20/2018 00


Options Galloro, Michael Bernardino 4 12/27/2018 50 100,000 100,000


Common Shares Igelman, Marvin Moses 4 12/21/2018 46 580,113 493,946


Common Shares Kumar, Akshay 5 12/20/2018 00


Options Kumar, Akshay 5 12/20/2018 00


Options Kumar, Akshay 5 12/27/2018 50 350,000 350,000


Rights Deferred Share Units

Kumar, Akshay 5 12/20/2018 00



Kumar, Akshay 5 12/27/2018 56 400,000 400,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 238



Acquired/ Disposed

This summary is for the week ending December 30, 2018. Bragg Gaming Group Inc. (formerly Breaking Data Corp.)

Common Shares Mansour, Dominic 4, 5 12/20/2018 00


Options Mansour, Dominic 4, 5 12/20/2018 00


Options Mansour, Dominic 4, 5 12/27/2018 50 500,000 500,000



Mansour, Dominic 4, 5 12/20/2018 00



Mansour, Dominic 4, 5 12/27/2018 56 1,000,000 1,000,000


Common Shares Munger, Mark 4 12/20/2018 00






Options Munger, Mark 4 12/20/2018 00


Options Munger, Mark 4 12/27/2018 50 100,000 100,000


Common Shares Rai, Rajiv 4 12/21/2018 46 117,381 82,181


Common Shares Thain, Nick 3, 4, 5 12/20/2018 46 0.51 82,181


Common Shares Thain, Nick 3, 4, 5 12/20/2018 46 0.51 82,181


Common Shares Thain, Nick 3, 4, 5 12/21/2018 46 82,181


Common Shares Thain, Nick 3, 4, 5 12/21/2018 46 82,181


Common Shares Thain, Nick 3, 4, 5 12/21/2018 46 0.51 2,388,936 82,181

Braveheart Resources Inc. Common Shares Berzins, Ian Martin 4, 5 12/27/2018 10 0.09 1,399,500 10,000 Braveheart Resources Inc. Common Shares Berzins, Ian Martin 4, 5 12/28/2018 16 0.1 1,774,500 375,000 Braveheart Resources Inc. Warrants Berzins, Ian Martin 4, 5 12/28/2018 16 1,375,000 375,000 Braveheart Resources Inc. Common Shares Johnston, David Walter 4, 5 12/28/2018 16 0.1 1,615,983 700,000 Braveheart Resources Inc. Warrants Johnston, David Walter 4, 5 12/28/2018 16 2,209,583 350,000 Braveheart Resources Inc. Common Shares Keele, Philip Abbott 4, 5 12/28/2018 16 0.1 3,481,500 1,000,000 Braveheart Resources Inc. Warrants Keele, Philip Abbott 4, 5 12/28/2018 16 3,000,000 1,000,000 Braveheart Resources Inc. Common Shares Matlock, Aaron 4, 5 12/28/2018 16 0.1 5,318,667 500,000 Braveheart Resources Inc. Common Shares Matlock, Aaron 4, 5 12/28/2018 16 0.1 200,000 200,000 Braveheart Resources Inc. Warrants Matlock, Aaron 4, 5 12/28/2018 16 3,533,334 500,000 Braveheart Resources Inc. Warrants Matlock, Aaron 4, 5 12/28/2018 16 740,000 200,000 Briko Energy Corp. Common Shares Dickinson, Mark, Phillip 4 12/20/2018 00 12,619 Briko Energy Corp. Warrants Expiry June 28,

2019 Dickinson, Mark, Phillip 4 12/20/2018 00 12,619

Briko Energy Corp. Common Shares Kohut, Michael G 4, 5 11/26/2018 00 Briko Energy Corp. Common Shares Kohut, Michael G 4, 5 12/17/2018 11 55,665 55,665 Briko Energy Corp. Warrants Kohut, Michael G 4, 5 11/26/2018 00 Briko Energy Corp. Warrants Kohut, Michael G 4, 5 12/17/2018 53 1.57 33,333 33,333

Insider Reporting

January 3, 2019

(2019), 42 OSCB 239



Acquired/ Disposed

This summary is for the week ending December 30, 2018. Briko Energy Corp. Warrants Expiry June 28,

2019 Kohut, Michael G 4, 5 11/26/2018 00


Kohut, Michael G 4, 5 12/17/2018 53 1.1 55,565 55,565



Beber, Justin B. 5 12/27/2018 47 51.88 30,899 -575




1 12/18/2018 10 40.565 313,785 313,785




1 12/19/2018 10 40.33 627,570 313,785




1 12/21/2018 10 37.937 823,570 196,000




1 12/21/2018 10 37.78 932,355 108,785




1 12/21/2018 38 823,570 -108,785




1 12/27/2018 38 37.514 226,300




1 12/27/2018 38 37.514 1,049,970 226,400




1 12/18/2018 38 19.35 2,214 1,107




1 12/18/2018 38 1,107 -1,107




1 12/19/2018 38 19.048 2,214 1,107




1 12/19/2018 38 0 -2,214




1 12/21/2018 38 18.999 1,107 1,107




1 12/21/2018 38 0 -1,107




1 12/24/2018 38 18.75 1,107 1,107




1 12/24/2018 38 0 -1,107




1 12/19/2018 38 19.22 1,232 1,232




1 12/19/2018 38 0 -1,232




1 12/21/2018 38 19.021 1,232 1,232




1 12/21/2018 38 0 -1,232




1 12/24/2018 38 18.717 1,232 1,232




1 12/24/2018 38 0 -1,232




1 12/18/2018 38 16.405 1,358 1,358




1 12/18/2018 38 0 -1,358




1 12/19/2018 38 16.553 1,358 1,358




1 12/19/2018 38 0 -1,358




1 12/21/2018 38 16.39 1,358 1,358




1 12/21/2018 38 0 -1,358




1 12/24/2018 38 16.215 1,358 1,358




1 12/24/2018 38 0 -1,358




1 12/18/2018 38 16.5 3,168 1,584

Insider Reporting

January 3, 2019

(2019), 42 OSCB 240



Acquired/ Disposed

This summary is for the week ending December 30, 2018. Brookfield Asset Management Inc.



1 12/18/2018 38 1,584 -1,584




1 12/19/2018 38 16.567 3,168 1,584




1 12/19/2018 38 0 -3,168




1 12/21/2018 38 16.45 1,584 1,584




1 12/21/2018 38 0 -1,584




1 12/24/2018 38 16.34 1,584 1,584




1 12/24/2018 38 0 -1,584




1 12/18/2018 38 15.35 1,710 1,710




1 12/18/2018 38 0 -1,710




1 12/19/2018 38 15.288 1,710 1,710




1 12/19/2018 38 0 -1,710




1 12/21/2018 38 15.29 1,710 1,710




1 12/21/2018 38 0 -1,710




1 12/24/2018 38 15.15 1,710 1,710




1 12/24/2018 38 0 -1,710




1 12/21/2018 38 19.78 2,184 2,184




1 12/21/2018 38 0 -2,184




1 12/24/2018 38 19.933 2,184 2,184




1 12/24/2018 38 0 -2,184




1 12/18/2018 38 21.714 3,239 3,239




1 12/18/2018 38 0 -3,239




1 12/19/2018 38 21.322 3,239 3,239




1 12/19/2018 38 0 -3,239




1 12/21/2018 38 20.735 3,239 3,239




1 12/21/2018 38 0 -3,239




1 12/24/2018 38 20.85 3,239 3,239




1 12/24/2018 38 0 -3,239




1 12/18/2018 38 18.86 1,271 1,271




1 12/18/2018 38 0 -1,271




1 12/19/2018 38 19.5 1,271 1,271




1 12/19/2018 38 0 -1,271




1 12/21/2018 38 19.352 1,271 1,271




1 12/21/2018 38 0 -1,271

Insider Reporting

January 3, 2019

(2019), 42 OSCB 241



Acquired/ Disposed




1 12/24/2018 38 19.15 1,271 1,271




1 12/24/2018 38 0 -1,271




1 12/18/2018 38 19.468 1,199 1,199




1 12/18/2018 38 0 -1,199




1 12/19/2018 38 19.402 1,199 1,199




1 12/19/2018 38 0 -1,199




1 12/21/2018 38 19.425 1,199 1,199




1 12/21/2018 38 0 -1,199




1 12/24/2018 38 19.23 300 300




1 12/24/2018 38 0 -300




1 12/18/2018 38 19.75 1,644 1,644




1 12/18/2018 38 0 -1,644




1 12/19/2018 38 19.706 1,644 1,644




1 12/19/2018 38 0 -1,644




1 12/21/2018 38 19.751 1,644 1,644




1 12/21/2018 38 0 -1,644




1 12/24/2018 38 19.5 1,644 1,644




1 12/24/2018 38 0 -1,644




1 12/18/2018 38 18.5 1,132 1,132




1 12/18/2018 38 0 -1,132




1 12/19/2018 38 18 1,132 1,132




1 12/19/2018 38 0 -1,132




1 12/21/2018 38 18.003 1,132 1,132




1 12/21/2018 38 0 -1,132




1 12/24/2018 38 18.153 1,132 1,132




1 12/24/2018 38 0 -1,132




1 12/18/2018 38 19.9 2,085 2,085




1 12/18/2018 38 0 -2,085




1 12/19/2018 38 19.762 2,085 2,085




1 12/19/2018 38 0 -2,085




1 12/21/2018 38 19.05 2,085 2,085




1 12/21/2018 38 0 -2,085




1 12/24/2018 38 19.099 2,085 2,085

Insider Reporting

January 3, 2019

(2019), 42 OSCB 242



Acquired/ Disposed




1 12/24/2018 38 0 -2,085




1 12/18/2018 38 19.99 1,400 1,400




1 12/18/2018 38 0 -1,400




1 12/19/2018 38 19.739 1,400 1,400




1 12/19/2018 38 0 -1,400




1 12/21/2018 38 19.47 1,400 1,400




1 12/21/2018 38 0 -1,400




1 12/24/2018 38 19.24 1,400 1,400




1 12/24/2018 38 0 -1,400




1 12/18/2018 38 25.571 1,246 1,246




1 12/18/2018 38 0 -1,246




1 12/19/2018 38 25.716 1,746 1,746




1 12/19/2018 38 0 -1,746




1 12/21/2018 38 25.7 1,746 1,746




1 12/21/2018 38 0 -1,746




1 12/24/2018 38 25.58 1,746 1,746




1 12/24/2018 38 0 -1,746




1 12/18/2018 38 25.041 2,183 2,183




1 12/18/2018 38 0 -2,183




1 12/19/2018 38 25.141 2,183 2,183




1 12/19/2018 38 0 -2,183




1 12/21/2018 38 25.05 2,183 2,183




1 12/21/2018 38 0 -2,183




1 12/18/2018 38 24.336 3,123 3,123




1 12/18/2018 38 0 -3,123




1 12/19/2018 38 24.36 3,123 3,123




1 12/19/2018 38 0 -3,123




1 12/21/2018 38 24.296 3,123 3,123




1 12/21/2018 38 0 -3,123




1 12/24/2018 38 24.217 3,123 3,123




1 12/24/2018 38 0 -3,123

BSM Technologies Inc. Common Shares DDS Wireless International Inc.

3 9/6/2018 00 790,700


3 10/29/2018 10 0.96 890,700 100,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 243



Acquired/ Disposed

This summary is for the week ending December 30, 2018. BSM Technologies Inc. Common Shares DDS Wireless International

Inc. 3 11/6/2018 10 0.86 1,090,700 200,000


3 11/30/2018 10 0.77 1,840,700 750,000


3 12/14/2018 10 0.68 2,104,700 264,000


3 12/24/2018 10 0.68 2,204,700 100,000


3 9/6/2018 00 7,532,583


3 9/27/2018 10 1.09 7,542,583 10,000


3 10/2/2018 10 1.04 7,555,883 13,300


3 10/3/2018 10 1 7,563,083 7,200


3 12/24/2018 10 0.62 7,565,083 2,000

BSM Technologies Inc. Options De Bolster, Stephen 5 12/21/2018 50 0.69 175,000 150,000 BSM Technologies Inc. Restricted Share Units De Bolster, Stephen 5 12/21/2018 46 93,800 23,800 BSM Technologies Inc. Common Shares De Jong, Louis Anthony 5 12/21/2018 57 96,500 96,500 BSM Technologies Inc. Common Shares De Jong, Louis Anthony 5 12/27/2018 10 0.6894 231,319 25,000 BSM Technologies Inc. Common Shares De Jong, Louis Anthony 5 12/28/2018 10 0.703 234,319 3,000 BSM Technologies Inc. Restricted Share Units De Jong, Louis Anthony 5 12/21/2018 56 660,482 88,600 BSM Technologies Inc. Restricted Share Units De Jong, Louis Anthony 5 12/21/2018 57 563,982 -96,500 BURCON NUTRASCIENCE CORPORATION

Warrants Yap, Allan 4, 5 11/30/2018 55 1,182,099 -243,862

Cadillac Ventures Inc. Common Shares Brewster, Norman 5 12/20/2018 10 0.02 7,416,720 50,000 Cadillac Ventures Inc. Common Shares Brewster, Norman 5 12/21/2018 10 0.02 7,465,720 49,000 Cadillac Ventures Inc. Options Brewster, Norman 5 12/21/2018 50 0.05 1,110,000 500,000 Cadillac Ventures Inc. Options Burke, James 4 12/21/2018 50 0.05 410,000 100,000 Cadillac Ventures Inc. Options Duguay, George Arthur 5 12/21/2018 50 0.05 315,000 75,000 Cadillac Ventures Inc. Options Novak, Neil 4 12/21/2018 50 0.05 410,000 100,000 Cadillac Ventures Inc. Options Stekel, Maurice Harry 4 12/21/2018 50 0.05 410,000 100,000 Cadillac Ventures Inc. Options WANG, SHENG 4 12/21/2018 50 0.05 550,000 100,000 Cadillac Ventures Inc. Options Wang, Youliang 4 12/21/2018 50 0.05 550,000 100,000 Calian Group Ltd. Common Shares Calian Technologies Ltd 1 12/20/2018 38 27 400 400 Calian Group Ltd. Common Shares Calian Technologies Ltd 1 12/21/2018 38 27 1,600 1,200 Calian Group Ltd. Common Shares Calian Technologies Ltd 1 12/21/2018 38 0 -1,600 Calian Group Ltd. Common Shares Calian Technologies Ltd 1 12/24/2018 38 27.31 400 400 Calian Group Ltd. Common Shares Calian Technologies Ltd 1 12/24/2018 38 0 -400 Calian Group Ltd. Common Shares Calian Technologies Ltd 1 12/27/2018 38 27.57 1,000 1,000 Calian Group Ltd. Common Shares Calian Technologies Ltd 1 12/27/2018 38 0 -1,000 Canacol Energy Ltd. Common Shares Canacol Energy Ltd. 1 12/21/2018 38 3.86 173,178 31,126 Canacol Energy Ltd. Common Shares Canacol Energy Ltd. 1 12/24/2018 38 3.8 193,178 20,000 Canacol Energy Ltd. Common Shares Canacol Energy Ltd. 1 12/27/2018 38 3.78 224,304 31,126 Canadian Apartment Properties Real Estate Investment Trust

Trust Units Stein, Michael 4, 5 12/24/2018 47 43.6 527,405 -15,000


Common Shares Barker, Matthew 5 12/21/2018 10 99.827 46,129 -20,000




1 12/24/2018 38 139.13 41,000 41,000




1 12/24/2018 38 0 -41,000




1 12/27/2018 38 140.23 22,800 22,800




1 12/27/2018 38 0 -22,800




1 12/28/2018 38 141.84 22,800 22,800

Insider Reporting

January 3, 2019

(2019), 42 OSCB 244



Acquired/ Disposed

This summary is for the week ending December 30, 2018. Canadian Tire Corporation, Limited



1 12/28/2018 38 0 -22,800

Canadian Western Bank Common Shares Fowler, Christopher Hector 5 12/24/2018 10 24.57 94,238 200 Canadian Western Bank Common Shares Fowler, Christopher Hector 5 12/24/2018 10 24.59 94,338 100 Canadian Western Bank Common Shares Fowler, Christopher Hector 5 12/24/2018 10 24.6 96,038 1,700 Cannabis Strategies Acquisition Corp.

Warrants Schenker, Curtis 3 9/13/2018 00


Warrants Schenker, Curtis 3 12/21/2018 10 2.0156 12,000 12,000


Warrants Schenker, Curtis 3 9/13/2018 00





Cannabix Technologies Inc Common Shares Clarke, Thomas William 4 12/28/2018 10 1.5 105,800 -12,800 Cannvas MedTech Inc. Common Shares Loutskou, Steve 3, 4, 5 12/19/2018 10 0.2426 19,000 Cannvas MedTech Inc. Common Shares Loutskou, Steve 3, 4, 5 12/19/2018 10 0.242 5,708,904 21,500 Cannvas MedTech Inc. Common Shares Loutskou, Steve 3, 4, 5 12/19/2018 10 0.275 5,710,404 1,500 Cannvas MedTech Inc. Common Shares Loutskou, Steve 3, 4, 5 12/19/2018 10 0.28 5,711,404 1,000 Cannvas MedTech Inc. Common Shares Loutskou, Steve 3, 4, 5 12/19/2018 10 0.275 5,713,404 2,000 Cannvas MedTech Inc. Common Shares Loutskou, Steve 3, 4, 5 12/19/2018 10 0.285 5,713,904 500 Cannvas MedTech Inc. Common Shares Loutskou, Steve 3, 4, 5 12/19/2018 10 0.28 5,714,404 500 Cannvas MedTech Inc. Common Shares Loutskou, Steve 3, 4, 5 12/19/2018 10 0.285 5,717,904 3,500 Cannvas MedTech Inc. Common Shares Loutskou, Steve 3, 4, 5 12/19/2018 10 0.275 5,718,904 1,000 Cannvas MedTech Inc. Common Shares Moniz, Shawn 3, 4, 5 12/24/2018 10 0.25 1,278,251 4,468 Canoe EIT Income Fund Trust Units Lake, Darcy Malcolm 5 12/24/2018 10 9.37 2,200 500 Cardero Resource Corp. Options Bailey, Blaine 5 12/28/2018 50 0.1 275,000 25,000 Cardero Resource Corp. Options HENDERSON, KEITH J. 4 12/28/2018 50 0.1 575,000 50,000 Cardero Resource Corp. Options Kopple, Robert Charles 3 12/28/2018 50 0.1 1,800,000 1,000,000 Cardero Resource Corp. Options MALHOTRA, DEEPAK 4 12/28/2018 50 0.1 650,000 50,000 Cardero Resource Corp. Options Ross, Stuart 5 12/27/2018 50 1,045,000 200,000 Cardero Resource Corp. Options VAN ALPHEN, HENDRIK 4 12/28/2018 50 0.1 575,000 50,000 Cardero Resource Corp. Options van Doorn, Robert 4 12/28/2018 50 0.1 675,000 150,000 Cardiol Therapeutics Inc. Common Shares (Class

A) Lynch, Terry 4 12/20/2018 00 1,200,000

Cardiol Therapeutics Inc. Common Shares (Class A)

PEKOS, PETER 4 12/15/2017 00 400,000


Smith, Eldon 4 1/19/2017 00


Smith, Eldon 4 1/19/2017 00


Smith, Eldon 4 1/19/2017 11 0.01 600,000 600,000


Smith, Eldon 4 8/28/2018 37 1,200,000 600,000


Smith, Eldon 4 12/18/2018 00


Smith, Eldon 4 12/18/2018 15 5 1,240,000 40,000

Cardiol Therapeutics Inc. Warrants Smith, Eldon 4 1/19/2017 00 Cardiol Therapeutics Inc. Warrants Smith, Eldon 4 12/18/2018 15 40,000 40,000 Cardiol Therapeutics Inc. Options Torre, Guillermo 5 8/21/2018 00 60,000 CellCube Energy Storage Systems Inc.

Common Shares NEYLAN, Mike 5 6/15/2018 00

CellCube Energy Storage Systems Inc.

Common Shares NEYLAN, Mike 5 12/14/2018 11 0.15 266,666 266,666


Warrants NEYLAN, Mike 5 6/15/2018 00


Warrants NEYLAN, Mike 5 12/14/2018 11 133,333 133,333

Insider Reporting

January 3, 2019

(2019), 42 OSCB 245



Acquired/ Disposed

This summary is for the week ending December 30, 2018. CellCube Energy Storage Systems Inc.

Common Shares Stecyk, Brian Morris 4 3/31/2017 00


Common Shares Stecyk, Brian Morris 4 12/24/2018 51 0.15 250,000 250,000


Common Shares Stecyk, Brian Morris 4 12/21/2018 54 0.1 222,500 100,000


Options Stecyk, Brian Morris 4 12/24/2018 51 0.15 105,000 -250,000


Options Stecyk, Brian Morris 4 12/24/2018 51 0.15 250,000


Options Stecyk, Brian Morris 4 12/24/2018 51 0.15 250,000


Warrants Stecyk, Brian Morris 4 12/21/2018 54 0.1 0 -100,000

Cenovus Energy Inc. Common Shares Kvisle, Harold N. 4 12/27/2018 10 9.15 56,000 5,000 Century Global Commodities Corporation (formerly known as Century Iron Mines Corporation)


Century Global Commodities Corporation (formerly known as Century Iron Mines Corporation)






Cervus Equipment Corporation

Common Shares Cervus Equipment Corporation

1 12/18/2018 38 12.478 11,500 1,800



1 12/20/2018 38 12.5 12,800 1,300



1 12/21/2018 38 12.5 14,600 1,800



1 12/24/2018 38 12.182 15,600 1,000

CES Energy Solutions Corp. Common Shares Aulicino, Anthony Michael 5 12/27/2018 10 2.98 9,700 2,000 CES Energy Solutions Corp. Common Shares Hooks, John Michael 4 12/19/2018 10 3.2607 1,512,171 -20,000 CES Energy Solutions Corp. Common Shares Hooks, John Michael 4 12/20/2018 10 3.2698 1,452,171 -60,000 CGX Energy Inc. Common Shares Frontera Energy

Corporation (formerly, Pacific Rubiales Energy Corp.)

3 12/20/2018 11 0.2775 56,066,214 5,714,285

CHC Student Housing Corp. Common Shares MacLellan, Vaughn 5 12/12/2018 10 0.85 1,766 -12,672 CHC Student Housing Corp. Options MacLellan, Vaughn 5 11/28/2018 52 679,412 -8,088 CHC Student Housing Corp. Options Smith, Craig Gordon 4 11/28/2018 52 1,019,118 -12,132 Choice Properties Real Estate Investment Trust

Trust Units Johnson, Stephen Edward 4, 5 12/24/2018 10 11.778 1,605,943 162,000

Cobalt Blockchain Inc. Common Shares Hooper, Peter 4 12/20/2017 00 175,000 Cobalt Blockchain Inc. Common Shares Hooper, Peter 4 12/24/2018 51 0.05 275,000 100,000 Cobalt Blockchain Inc. Common Shares Hooper, Peter 4 12/20/2017 00 75,000 Cobalt Blockchain Inc. Common Shares Hooper, Peter 4 12/24/2018 51 0.05 175,000 100,000 Cobalt Blockchain Inc. Common Shares Hooper, Peter 4 12/20/2017 00 971,462 Cobalt Blockchain Inc. Common Shares Hooper, Peter 4 12/24/2018 51 0.05 1,971,462 1,000,000 Cobalt Blockchain Inc. Common Shares Hooper, Peter 4 12/20/2017 00 1,150,667 Cobalt Blockchain Inc. Common Shares Hooper, Peter 4 12/24/2018 51 0.05 1,650,667 500,000 Cobalt Blockchain Inc. Common Shares Hooper, Peter 4 12/24/2018 51 0.05 3,645,307 1,295,307 Cobalt Blockchain Inc. Options Hooper, Peter 4 12/24/2018 51 0.05 0 -2,995,307 Cobalt Blockchain Inc. Common Shares Kabongo, Yves 5 12/17/2018 10 0.11 25,000 Cobalt Blockchain Inc. Common Shares Kabongo, Yves 5 12/17/2018 10 0.11 1,121,309 -25,000 Computer Modelling Group Ltd.

Common Shares Athaide, Judith 4 12/21/2018 10 5.85 11,934 3,400

Insider Reporting

January 3, 2019

(2019), 42 OSCB 246



Acquired/ Disposed

This summary is for the week ending December 30, 2018. Computer Modelling Group Ltd.

Common Shares Dedeluk, Kenneth Michael 4 12/27/2018 10 5.67 685,000 5,000


Common Shares SCHNEIDER, RYAN NICOLAS

4, 5 12/21/2018 10 5.83 5,338 1,000


Common Shares Livingstone, Kent Wayne 4 12/20/2018 51 0.28 624,938 62,500


Options Livingstone, Kent Wayne 4 12/20/2018 51 0.28 243,750 -62,500


Common Shares MacVeigh, James Garfield 4, 5 12/20/2018 51 0.28 150,000


Common Shares MacVeigh, James Garfield 4, 5 12/21/2018 51 0.28 816,765 150,000


Options MacVeigh, James Garfield 4, 5 12/21/2018 51 0.28 193,750 -150,000

Continental Gold Inc. Common Shares Sussman, Ari B 4, 5 12/24/2018 10 2.0493 1,710,480 20,000 COPPER REEF MINING CORPORATION


Cotinga Pharmaceuticals Inc. (formerly, Critical Outcome Technologies Inc.)

Common Shares Drake, John C. 3, 5 12/27/2018 10 0.055 347,957 -239,000

Covalon Technologies Ltd. Options Brannagan, John Daniel 5 12/22/2018 50 4.28 192,500 20,000 Covalon Technologies Ltd. Common Shares Caplan, Elinor 4 12/21/2018 10 17,100 -8,600 Cronos Group Inc. Common Shares COATES, MICHAEL

ERNEST 4 6/28/2018 00

Cronos Group Inc. Common Shares COATES, MICHAEL ERNEST

4 12/21/2018 10 10.77 367 367

Cronos Group Inc. Common Shares COATES, MICHAEL ERNEST

4 12/21/2018 10 10.77 367 367

Crown Capital Partners Inc. Common Shares Rowe, Alan Macdonald 4 12/28/2018 10 9 84,924 20,000 CryptoStar Corp. Common Shares Kline, Adam 4 12/21/2018 10 0.015 100,000 -100,000 DealNet Capital Corp. Warrants Houlden, Brent 4 12/24/2018 55 0.12 0 -2,224,000 Delrey Metals Corp. Common Shares Good, Morgan 4, 5 12/17/2018 10 0.21 1,337,500 3,000 Delrey Metals Corp. Common Shares Good, Morgan 4, 5 12/17/2018 10 0.215 1,339,500 2,000 Delrey Metals Corp. Common Shares Good, Morgan 4, 5 12/17/2018 10 0.22 1,346,000 6,500 Delrey Metals Corp. Common Shares Good, Morgan 4, 5 12/17/2018 10 0.225 1,347,000 1,000 Delrey Metals Corp. Common Shares Good, Morgan 4, 5 12/18/2018 10 0.2 1,351,000 4,000 Delrey Metals Corp. Common Shares Good, Morgan 4, 5 12/18/2018 10 0.205 1,353,000 2,000 Delrey Metals Corp. Common Shares Good, Morgan 4, 5 12/21/2018 10 0.2 1,355,000 2,000 Delrey Metals Corp. Common Shares Good, Morgan 4, 5 12/21/2018 10 0.21 1,365,000 10,000 Denison Mines Corp. Common Shares Cates, David Daniel 4, 5 12/27/2018 10 0.64 492,500 40,000 Denison Mines Corp. Common Shares Cates, David Daniel 4, 5 12/28/2018 10 0.63 500,000 7,500 Deveron UAS Corp. Common Shares MacMillan, David 4, 5 12/28/2018 10 0.19 25,973 2,473 DHX Media Ltd. Variable Voting Shares Landry, Steve Michael 4 12/18/2018 00 DHX Media Ltd. Common Voting Shares Regan, David A. 5 12/27/2018 10 2.16 87,003 4,000 DHX Media Ltd. Variable Voting Shares Whitcher, Jonathan 4 12/21/2018 10 1.8 1,075,928 5,000 DHX Media Ltd. Variable Voting Shares Whitcher, Jonathan 4 12/21/2018 10 1.85 1,080,928 5,000 DHX Media Ltd. Variable Voting Shares Whitcher, Jonathan 4 12/24/2018 10 1.72 1,088,428 7,500 Diagnos Inc. Common Shares Gestion Maurice

Pinsonnault inc. 3 12/21/2018 10 0.035 25,371,750 500,000


Common Shares Kampian, Peter 5 11/28/2018 00


Common Shares Kampian, Peter 5 11/28/2018 00


Common Shares Kampian, Peter 5 11/28/2018 22 87842 87,842 87,842


Common Shares Kampian, Peter 5 12/17/2018 10 2.35 88,842 1,000


Common Shares Kampian, Peter 5 12/18/2018 10 2.45 89,342 500

Insider Reporting

January 3, 2019

(2019), 42 OSCB 247



Acquired/ Disposed

This summary is for the week ending December 30, 2018. DionyMed Brands Inc. (formerly Sixonine Ventures Corp.)





Debentures (Common Share Convertible Debentures)

Kampian, Peter 5 11/28/2018 00


Debentures (Common Share Convertible Debentures)

Kampian, Peter 5 11/28/2018 22 2.08 $50,000 $50,000


Options Kampian, Peter 5 11/28/2018 00


Options Kampian, Peter 5 11/29/2018 50 0.15 600,000 600,000


Options Kampian, Peter 5 11/29/2018 50 1 900,000 300,000


Warrants Kampian, Peter 5 11/28/2018 00


Warrants Kampian, Peter 5 11/29/2018 22 6.37 21,176 21,176


Cooper, Michael 4, 7, 5 12/24/2018 10 6.6048 1,014,600 12,400


Cooper, Michael 4, 7, 5 12/27/2018 10 6.65 1,015,200 600


Cooper, Michael 4, 7, 5 12/28/2018 10 6.65 1,015,500 300


LESTER, JASON 5 12/27/2018 10 6.65 10,900 3,900


LESTER, JASON 5 12/28/2018 10 6.66 15,200 4,300


LESTER, JASON 5 12/28/2018 10 6.68 25,200 10,000

E3 Metals Corp. Options Lappin, Elizabeth Mary 5 12/27/2018 50 0.4 100,000 50,000 EarthRenew Inc. (Formerly known as Valencia Ventures Inc.)

Common Shares Stretch, Catherine 4 12/24/2018 00 5,388,902

EarthRenew Inc. (Formerly known as Valencia Ventures Inc.)

Options Stretch, Catherine 4 12/24/2018 00 590,000



7 12/27/2018 10 8.7491 8,000 8,000



7 12/28/2018 10 8.9236 9,900 1,900



7 5/18/2012 00



7 12/27/2018 10 8.7491 2,800 2,800



7 12/28/2018 10 8.9236 3,400 600



7 12/24/2018 10 8.6733 1,065,200 5,200


Units Maxwell, Robert 7 5/18/2012 00


Units Maxwell, Robert 7 12/27/2018 10 8.74 600 600


Units Maxwell, Robert 7 12/27/2018 10 8.75 1,000 400

Edgewater Wireless Systems Inc.

Common Shares Skafel, Andrew 5 12/24/2018 10 0.08 1,315,500 5,000

Enbridge Inc. Common Shares Whelen, John Kendall 5 12/24/2018 51 19.805 226,246 90,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 248



Acquired/ Disposed

This summary is for the week ending December 30, 2018. Enbridge Inc. Common Shares Whelen, John Kendall 5 12/24/2018 38 41.92 199,288 -26,958 Enbridge Inc. Options $19.805 ($39.61)

- February 25, 2019 Whelen, John Kendall 5 12/24/2018 51 0 -90,000

Endeavour Mining Corporation

Restricted Share Units BENOIT, VINCENT 5 12/21/2018 59 0 -46,550


Restricted Share Units Bouisset, Patrick 5 12/21/2018 59 -44,333


Restricted Share Units Bouisset, Patrick 5 12/21/2018 59 0 -44,333

Endurance Gold Corporation Common Shares Boyd, Robert T. 4, 5 12/21/2018 10 0.04 1,489,000 5,000 Enerplus Corporation Common Shares Roane, Glen Dawson 4 12/24/2018 10 9.83 40,000 10,000 Enterprise Group, Inc. Common Shares JAROSZUK, LEONARD 4, 5 12/27/2018 10 0.18 4,202,277 40,000 Epsilon Energy Ltd. Common Shares AZVALOR ASSET

MANAGEMENT SGIIC 3 12/24/2018 37 55,587 -55,587


3 12/24/2018 37 105,524 -105,525


3 12/24/2018 10 5,799,601 283,321


3 12/24/2018 37 3,041,461 -2,758,140


3 12/24/2018 37 121,563 -21,290


3 12/24/2018 10 283,321 -283,321


3 12/24/2018 37 11,646 -11,647


3 12/24/2018 37 11,725 -11,726

Epsilon Energy Ltd. Common Shares Epsilon Energy Ltd. 1 12/21/2018 38 3 40,706 4,400 Epsilon Energy Ltd. Common Shares Epsilon Energy Ltd. 1 12/27/2018 10 6 42,906 2,200 Equitable Group Inc. Rights Deferred Share

Units Ericksen, Susan 4 11/8/2018 00

Equitable Group Inc. Rights Deferred Share Units

Ericksen, Susan 4 12/20/2018 56 61.56 418 418

Erdene Resource Development Corporation

Common Shares Akerley, Peter 4, 5 12/20/2018 10 0.21 1,271,175 500


Common Shares Akerley, Peter 4, 5 12/24/2018 10 0.2 1,281,175 10,000








Common Shares Akerley, Peter 4, 5 12/24/2018 10 0.2 159,524 1,500


Common Shares Byrne, John Philip 4 12/24/2018 10 0.21 5,240,929 100,000

Eskay Mining Corp Common Shares Balkam, Hugh McLellan 4 12/19/2018 10 0.08 3,518,428 51,000 Eskay Mining Corp Common Shares Balkam, Hugh McLellan 4 12/20/2018 10 0.08 3,523,428 5,000 Eskay Mining Corp Common Shares Balkam, Hugh McLellan 4 12/21/2018 10 0.08 56,000 Eskay Mining Corp Common Shares Balkam, Hugh McLellan 4 12/24/2018 10 0.075 2,957,000 30,000 Ethos Gold Corp. Common Shares Price, Joanne Rachel 5 12/4/2018 00 Ethos Gold Corp. Common Shares Price, Joanne Rachel 5 12/21/2018 11 0.2 50,000 50,000 Ethos Gold Corp. Warrants Price, Joanne Rachel 5 12/4/2018 00 Ethos Gold Corp. Warrants Price, Joanne Rachel 5 12/21/2018 11 0.3 25,000 25,000 Ethos Gold Corp. Common Shares Roberts, Craig A. 4, 5 12/21/2018 11 0.2 683,500 500,000 Ethos Gold Corp. Warrants Roberts, Craig A. 4, 5 5/12/2016 00 Ethos Gold Corp. Warrants Roberts, Craig A. 4, 5 12/21/2018 11 0.3 250,000 250,000 Exchange Income Corporation

Common Shares Chafe, Brian Dominic 4, 6, 5 12/21/2018 10 27 26,373 -10,693



1 12/24/2018 30 26.709 233,359 10,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 249



Acquired/ Disposed

This summary is for the week ending December 30, 2018. Exchange Income Corporation


1 12/28/2018 38 0 -233,359

Fairfax Africa Holdings Corporation


Fairfax Africa Holdings Corporation

1 12/28/2018 38 7.9446 2,848 2,848




1 12/28/2018 38 601.77 10,453 10,453




1 12/28/2018 38 12.316 11,123 11,123

FAX Capital Corp. Common Shares FAX Investments Inc. 3 12/17/2018 97 0 -5,536,075 FAX Capital Corp. Multiple Voting Shares FAX Investments Inc. 3 5/30/2018 00 5,555,555 FAX Capital Corp. Subordinate Voting

Shares FAX Investments Inc. 3 5/30/2018 00 5,536,075

Finning International Inc. Common Shares Kvisle, Harold N. 4 12/27/2018 10 22.65 20,000 2,400 Firm Capital Mortgage Investment Corporation

Convertible Debentures 5.30% (FC.DB.H)

Dadouch, Eli 4, 5 1/1/2011 00


Convertible Debentures 5.30% (FC.DB.H)

Dadouch, Eli 4, 5 12/21/2018 10 95 $50,000 $50,000



Dadouch, Eli 4, 5 12/24/2018 10 95 $65,000 $15,000


Convertible Debentures 5.50% (FC.DB.J)

Dadouch, Eli 4, 5 1/1/2011 00


Convertible Debentures 5.50% (FC.DB.J)

Dadouch, Eli 4, 5 12/21/2018 10 94 $50,000 $50,000

First Mining Gold Corp. Common Shares SHAW, DAVID ANDREW 4, 5 12/27/2018 10 0.24 900,750 50,000 First Mining Gold Corp. Common Shares SHAW, DAVID ANDREW 4, 5 12/27/2018 10 0.23 922,750 22,000 FIRSTSERVICE CORPORATION











FirstService Corporation 1 12/21/2018 10 67 37,828 1,000
























FirstService Corporation 1 12/21/2018 10 66 45,028 200



FirstService Corporation 1 12/28/2018 38 0 -45,028

Five Star Diamonds Limited Common Shares Waraich, Aneel Singh 4 12/19/2018 10 0.06 101,800 5,000 Five Star Diamonds Limited Common Shares Waraich, Aneel Singh 4 12/21/2018 10 0.06 5,000 Five Star Diamonds Limited Common Shares Waraich, Aneel Singh 4 12/21/2018 10 0.05 3,350,085 5,000 Fox River Resources Corporation

Common Shares Case, Stephen Dunbar 3, 4, 5 12/27/2018 10 0.06 8,506,838 50,000

FSD Pharma Inc. Options Haynes, Rupert 5 12/1/2018 00 2,500,000 Gabriel Resources Ltd. Options Brown, Richard Paul 5 12/28/2018 50 2,250,000 500,000 Gabriel Resources Ltd. Options Cramer, Dag Lars 4 12/28/2018 50 375,000 75,000 Gabriel Resources Ltd. Rights DSUs Cramer, Dag Lars 4 12/28/2018 56 406,967 46,552 Gabriel Resources Ltd. Common Shares Electrum Global Holdings

L.P. 3 12/24/2018 16 0.2475 72,593,015 16,082,276

Gabriel Resources Ltd. Warrants Electrum Global Holdings L.P.

3 12/24/2018 16 0.2475 23,857,786 16,082,276

Insider Reporting

January 3, 2019

(2019), 42 OSCB 250



Acquired/ Disposed

This summary is for the week ending December 30, 2018. Gabriel Resources Ltd. Options Gusenbauer, Alfred 4 12/28/2018 50 375,000 75,000 Gabriel Resources Ltd. Rights DSUs Gusenbauer, Alfred 4 12/28/2018 56 406,967 46,552 Gabriel Resources Ltd. Options Hulley, Keith Robert 4 12/28/2018 50 423,788 75,000 Gabriel Resources Ltd. Options Hulley, Keith Robert 4 12/28/2018 50 534,271 110,483 Gabriel Resources Ltd. Options Kirk, Harry Wayne 4 12/28/2018 50 0.31 450,000 75,000 Gabriel Resources Ltd. Rights DSUs Kirk, Harry Wayne 4 12/28/2018 56 435,361 54,957 Gabriel Resources Ltd. Options Natbony, William 4 12/28/2018 50 527,773 75,000 Gabriel Resources Ltd. Options Natbony, William 4 12/28/2018 50 594,947 67,174 Gabriel Resources Ltd. Options Peat, David W. 4 12/28/2018 50 375,000 75,000 Gabriel Resources Ltd. Rights DSUs Peat, David W. 4 12/28/2018 56 444,606 59,268 Gabriel Resources Ltd. Options Stairs, Janice Alayne 4 12/24/2018 50 0.31 150,000 75,000 Gabriel Resources Ltd. Rights DSUs Stairs, Janice Alayne 4 12/24/2018 56 188,550 55,173 Gabriel Resources Ltd. Options Suciu, Nicolae Gruia 5 12/28/2018 50 925,000 150,000 Gabriel Resources Ltd. Options Tanase, Dragos 5 12/28/2018 50 1,850,000 300,000 Gabriel Resources Ltd. Options Vaughan, Maxwell Lucas 5 12/28/2018 50 1,600,000 100,000 Galaxy Digital Holdings Ltd. Common Shares Novogratz, Michael Edward 4, 7, 5 12/27/2018 10 0.975 1,976,460 1,519,860 Galaxy Digital Holdings Ltd. Common Shares Novogratz, Michael Edward 4, 7, 5 12/27/2018 10 0.95 4,776,460 2,800,000 Galaxy Digital Holdings Ltd. Common Shares Tavoso, Richard 7, 5 12/17/2018 10 1.004 450,000 25,000 Galaxy Digital Holdings Ltd. Common Shares Tavoso, Richard 7, 5 12/24/2018 10 1.019 512,500 4,000 Galaxy Digital Holdings Ltd. Common Shares Tavoso, Richard 7, 5 12/27/2018 10 0.91 522,800 10,300 Gamehost Inc. Common Shares WILL, DARCY 4, 6, 5 12/24/2018 10 9.05 28,203 3,270 Gamehost Inc. Common Shares WILL, DARCY 4, 6, 5 12/24/2018 10 9.05 28,296 3,265 Gamehost Inc. Common Shares WILL, DARCY 4, 6, 5 12/24/2018 10 9.05 28,601 3,265 Genesis Land Development Corp.

Common Shares Subin, Neil S. 3 12/21/2018 11 2.344 1,574,950 840,850

Genesis Land Development Corp.

Common Shares Subin, Neil S. 3 12/21/2018 11 2.344 0 -1,681,700

GENIUS METALS INC. Common Shares Goulet, Guy 5 12/21/2018 10 0.191 803,686 5,000 GENIUS METALS INC. Common Shares Goulet, Guy 5 12/24/2018 10 0.195 805,686 2,000 GENIUS METALS INC. Common Shares Goulet, Guy 5 12/28/2018 10 0.195 807,186 1,500 GFG Resources Inc. Common Shares Johnson, Rick 5 12/27/2018 16 0.25 259,000 100,000 GFG Resources Inc. Common Shares Klassen, Arnold 4 12/27/2018 16 0.25 77,500 40,000 GFG Resources Inc. Common Shares Skanderbeg, Brian Neville 5 12/27/2018 16 0.25 2,963,800 200,000 Gibson Energy Inc. Common Shares SPAULDING, STEVEN R. 4, 5 12/27/2018 10 17.84 76,900 17,000 Gibson Energy Inc. Common Shares WILSON, SEAN 7 12/27/2018 10 17.75 45,246 2,817 Global Innovation Dividend Fund


1 12/21/2018 38 8.757 710,400 17,200



1 12/24/2018 38 8.5295 714,500 4,100



1 12/21/2018 38 8.6725 121,500 15,300



1 12/24/2018 38 8.8831 130,800 9,300

GoGold Resources Inc. Deferred Share Units Harris, Robert David 5 12/28/2018 56 0.22 100,000 50,000 GoGold Resources Inc. Options Harris, Robert David 5 12/28/2018 50 0.22 100,000 50,000 GoGold Resources Inc. Deferred Share Units Jessome, Glenn 5 12/28/2018 56 150,000 100,000 GoGold Resources Inc. Options Jessome, Glenn 5 12/28/2018 50 250,000 200,000 GoGold Resources Inc. Warrants Waye, George Frederick 4 12/27/2018 55 0 -384,616 Goldcorp Inc. Common Shares Garofalo, David 4, 5 12/18/2018 30 12.42 157,960 1,278 Goldcorp Inc. Common Shares Garofalo, David 4, 5 12/21/2018 30 12.074 158,243 283 Golden Share Resources Corporation

Common Shares Zeng, Nick Nianqing 4, 5 12/27/2018 11 0.168 2,320,000 370,000

Golden Valley Mines Ltd. Common Shares mccartney, william david 4 12/21/2018 10 0.225 44,000 4,000 Goldeneye Resources Corp. Common Shares Bal, Jatinder Singh 4 12/28/2018 10 0.095 3,096,850 -50,000 GoldMining Inc. (formerly Brazil Resources Inc.)

Common Shares Adnani, Amir 4 12/24/2018 54 0.75 1,645,454 550,000

GoldMining Inc. (formerly Brazil Resources Inc.)

Common Shares Adnani, Amir 4 12/24/2018 11 0.75 1,402,654 -242,800

GoldMining Inc. (formerly Brazil Resources Inc.)

Warrants Adnani, Amir 4 12/24/2018 54 0.75 545,454 -550,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 251



Acquired/ Disposed

This summary is for the week ending December 30, 2018. GOLDPLAY EXPLORATION LTD. (Formerly: Soleil Capital Corp.)

Options Daun, Heye Edmund 4 12/19/2018 50 0.22 209,822 40,000


Common Shares DeMichele, Luigi Gino 4 12/24/2018 10 0.165 1,662,482 28,000

Gran Tierra Energy Inc. Common Shares GMT Capital Corp 3 12/24/2018 10 2.74 16,205,530 60,900 Gran Tierra Energy Inc. Common Shares GMT Capital Corp 3 12/24/2018 10 2.74 18,748,190 80,700 Gran Tierra Energy Inc. Common Shares GMT Capital Corp 3 12/24/2018 10 2.74 28,026,162 122,206 Gran Tierra Energy Inc. Common Shares GMT Capital Corp 3 12/24/2018 10 2.74 784,810 2,200 Gran Tierra Energy Inc. Common Shares GMT Capital Corp 3 12/24/2018 10 2.74 2,568,200 13,000 Granite Oil Corp. (formerly DeeThree Exploration Ltd.)

Common Shares GMT Capital Corp 4 12/21/2018 11 0.52 1,462,651 220,000






Common Shares GMT Capital Corp 4 12/21/2018 11 0.52 268,753 46,000


Common Shares Klatt, Tyler 5 12/24/2018 10 0.49 163,881 4,000




1 12/24/2018 38 52.948 16,456 16,456




1 12/24/2018 38 0 -16,456




1 12/27/2018 38 52.979 3,000 3,000




1 12/27/2018 38 0 -3,000




1 12/28/2018 38 52.965 11,700 11,700




1 12/28/2018 38 0 -11,700


Granite REIT Inc. 1 12/24/2018 38 52.948 16,456 16,456


Granite REIT Inc. 1 12/24/2018 38 0 -16,456


Granite REIT Inc. 1 12/27/2018 38 52.979 3,000 3,000


Granite REIT Inc. 1 12/27/2018 38 0 -3,000


Granite REIT Inc. 1 12/28/2018 38 52.965 11,700 11,700


Granite REIT Inc. 1 12/28/2018 38 0 -11,700

Great-West Lifeco Inc. Common Shares Plan Common Shares

Orlander, Paul 5 12/17/2018 00

Great-West Lifeco Inc. Options Common Share - Stock Options

Orlander, Paul 5 12/17/2018 00




1 12/27/2018 10 20.8 532,000 500,000

Hampton Financial Corporation


Deeb, Peter Michael 3, 4, 6, 5 12/27/2018 10 0.3 537,500 -850,000

Harte Gold Corp. Common Shares Sutcliffe, Richard Harry 4 12/27/2018 51 0.1 240,000 200,000 Harte Gold Corp. Options Sutcliffe, Richard Harry 4 10/14/2015 50 0.1 500,000 500,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 252



Acquired/ Disposed

This summary is for the week ending December 30, 2018. Harte Gold Corp. Options Sutcliffe, Richard Harry 4 12/27/2018 51 0.1 1,300,000 -200,000 Harte Gold Corp. Options Sutcliffe, Richard Harry 4 10/14/2015 50 0.1 500,000 Harte Gold Corp. Options Sutcliffe, Richard Harry 4 10/14/2015 50 0.1 500,000 Hemisphere Energy Corporation

Common Shares O'Sullivan, Charles Noel 4, 5 12/21/2018 11 0.2 1,441,100 -215,000

Hemisphere Energy Corporation

Common Shares SIMMONS, DON 5 12/27/2018 10 0.095 1,968,000 70,000

HEXO Corp. Common Shares Ewart, Jason 4 12/21/2018 51 0.58 15,000 15,000 HEXO Corp. Options Ewart, Jason 4 12/21/2018 51 0.58 605,000 -15,000 Holloway Lodging Corporation


Clarke Inc. 3 12/21/2018 10 98.1 $1,372,000 $64,000



Clarke Inc. 3 12/24/2018 10 98.05 $1,510,000 $138,000

Home Capital Group Inc. Common Shares Bissada, Yousry 4, 5 12/21/2018 10 14.478 45,000 8,000 Home Capital Group Inc. Common Shares Home Capital Group Inc. 1 12/21/2018 38 16.5 18,181,818 18,181,818 Home Capital Group Inc. Common Shares Home Capital Group Inc. 1 12/21/2018 38 0 -18,181,818 Hudbay Minerals Inc. (formerly HudBay Minerals Inc.)







Common Shares GMT Capital Corp 3 12/24/2018 10 4.54 369,820 900





3 12/20/2018 10 6.0607 15,069,734 588,400



3 12/21/2018 10 6.0356 15,194,834 125,100



3 12/24/2018 10 5.9985 15,200,784 5,950



3 12/26/2018 10 6.2422 15,236,922 36,138



3 12/20/2018 10 6.0607 15,069,741 588,400



3 12/21/2018 10 6.0356 15,194,841 125,100



3 12/24/2018 10 5.9859 15,200,791 5,950



3 12/26/2018 10 6.422 15,236,930 36,139

Hudson's Bay Company Common Shares Baker, Richard Alan 4 12/20/2018 57 8.268 94,349 9,946 Hudson's Bay Company Common Shares Baker, Richard Alan 4 12/20/2018 57 90,969 -3,380 Hudson's Bay Company Restricted Share Units Baker, Richard Alan 4 12/20/2018 57 8.268 1,209,325 -9,946 Hudson's Bay Company Common Shares Coville, Alison Faith 5 12/20/2018 57 8.268 8,163 3,517 Hudson's Bay Company Common Shares Coville, Alison Faith 5 12/20/2018 57 6,280 -1,883 Hudson's Bay Company Restricted Share Units Coville, Alison Faith 5 12/20/2018 57 8.268 62,518 -3,517 Hudson's Bay Company Common Shares Leigh, Janis Hamilton 5 12/20/2018 57 8.268 14,066 7,462 Hudson's Bay Company Common Shares Leigh, Janis Hamilton 5 12/20/2018 57 11,214 -2,852 Hudson's Bay Company Restricted Share Units Leigh, Janis Hamilton 5 12/20/2018 57 8.268 70,408 -7,462

Insider Reporting

January 3, 2019

(2019), 42 OSCB 253



Acquired/ Disposed

This summary is for the week ending December 30, 2018. Hudson's Bay Company Common Shares Zator, Todd 5 12/20/2018 57 8.268 10,216 3,284 Hudson's Bay Company Common Shares Zator, Todd 5 12/20/2018 57 8,458 -1,758 Hudson's Bay Company Restricted Share Units Zator, Todd 5 12/20/2018 57 8.268 38,239 -3,284 Hydro66 Holdings Corp. (formerly, Caza Gold Corp.)

Promissory Notes USD Keith, Robert 3 6/8/2018 00

Hydro66 Holdings Corp. (formerly, Caza Gold Corp.)

Promissory Notes USD Keith, Robert 3 12/27/2018 11 1 $450,000 $450,000


Promissory Notes Patricio, Richard J 4 6/8/2018 00


Promissory Notes Patricio, Richard J 4 12/27/2018 11 1 $100,000 $100,000


Promissory Notes USD Rowe, David 4, 5 6/8/2018 00


Promissory Notes USD Rowe, David 4, 5 12/27/2018 11 600000 $1


Promissory Notes USD Rowe, David 4, 5 12/27/2018 11 1 $600,000 $600,000

IBEX TECHNOLOGIES INC. Options Pallapothu, Mahendra Kumar

7 9/17/2018 00

IBEX TECHNOLOGIES INC. Options Pallapothu, Mahendra Kumar

7 12/22/2018 50 0.145 300,000 300,000

Ikkuma Resources Corp. Common Shares Kohut, Michael G 4 12/17/2018 97 0 -516,333 Ikkuma Resources Corp. Options Kohut, Michael G 4 12/17/2018 97 0 -207,000 Ikkuma Resources Corp. Warrants Kohut, Michael G 4 12/17/2018 97 0 -333,333 Indiva Limited Common Shares Benloulou, Olivier Robert

Francis 3 12/21/2018 10 0.388 175,000 135,000


Common Shares Stickney, Michael Lee 5 12/24/2018 10 42.39 16,600 1,100






Common Shares Tremblay, Michel 5 12/28/2018 10 43.25 17,000 1,000

Inovalis Real Estate Investment Trust

Units Inovalis S.A. 3 12/20/2018 10 9.85 1,048,447 -1,900

IntelGenx Technologies Corp.

Common Shares Godin, André 5 12/20/2018 10 0.68 136,688 10,000


Restricted Share Units Godin, André 5 7/20/2015 00


Restricted Share Units Godin, André 5 12/24/2018 97 23,077 23,077


Restricted Share Units Zerbe, Horst G. 4, 5 11/3/2006 00


Restricted Share Units Zerbe, Horst G. 4, 5 12/24/2018 97 30,769 30,769

Inter Pipeline Ltd. Rights Restricted Share Units

Neufeld, Cory Wade 5 12/24/2018 57 -1,269

Inter Pipeline Ltd. Rights Restricted Share Units

Neufeld, Cory Wade 5 12/24/2018 57 19.592 15,933 -1,269


1 12/21/2018 38 16.426 190,000 38,000


1 12/24/2018 38 16.477 214,000 24,000


1 12/27/2018 38 16.475 217,100 3,100


Common Shares Bird, Michael William 4 12/18/2018 10 1.38 49,020 6,700


Common Shares Bird, Michael William 4 12/18/2018 10 1.38 42,320 -6,700



1 12/20/2018 10 1.43 3,300 3,300



1 12/20/2018 38 0 -3,300

Insider Reporting

January 3, 2019

(2019), 42 OSCB 254



Acquired/ Disposed

This summary is for the week ending December 30, 2018. Intrinsyc Technologies Corporation


1 12/21/2018 10 1.45 99,600 99,600



1 12/21/2018 38 0 -99,600

IPL Plastics Inc. Class B Common Shares Dalton, Pat 4, 5 12/28/2018 36 0 -72,222 IPL Plastics Inc. Common Shares Dalton, Pat 4, 5 6/21/2018 00 IPL Plastics Inc. Common Shares Dalton, Pat 4, 5 12/28/2018 36 72,222 72,222 IPL Plastics Inc. Class B Common Shares Holburn, Susan 5 12/28/2018 36 0 -66,000 IPL Plastics Inc. Common Shares Holburn, Susan 5 6/21/2018 00 IPL Plastics Inc. Common Shares Holburn, Susan 5 12/28/2018 36 66,000 66,000 IPL Plastics Inc. Class B Common Shares Hynes, Rose 4 12/28/2018 36 0 -1,500 IPL Plastics Inc. Common Shares Hynes, Rose 4 6/21/2018 00 IPL Plastics Inc. Common Shares Hynes, Rose 4 12/28/2018 36 1,500 1,500 IPL Plastics Inc. Class B Common Shares McCutcheon, Hugh 4 12/28/2018 36 0 -34,000 IPL Plastics Inc. Common Shares McCutcheon, Hugh 4 6/21/2018 00 IPL Plastics Inc. Common Shares McCutcheon, Hugh 4 12/28/2018 36 34,000 34,000 IPL Plastics Inc. Class B Common Shares Sugrue, Conor 5 12/28/2018 36 0 -12,983 IPL Plastics Inc. Common Shares Sugrue, Conor 5 6/21/2018 00 IPL Plastics Inc. Common Shares Sugrue, Conor 5 12/28/2018 36 12,983 12,983 IPL Plastics Inc. Class B Common Shares Walsh, Alan 4, 5 12/28/2018 36 0 -85,006 IPL Plastics Inc. Common Shares Walsh, Alan 4, 5 6/21/2018 00 IPL Plastics Inc. Common Shares Walsh, Alan 4, 5 12/28/2018 36 85,006 85,006 Iplayco Corporation Ltd. Common Shares Parker, Patrick Eugene 4 12/21/2018 10 69 23,000 8,000 Iplayco Corporation Ltd. Common Shares Parker, Patrick Eugene 4 12/21/2018 10 70 35,500 12,500 Iplayco Corporation Ltd. Common Shares Parker, Patrick Eugene 4 12/24/2018 10 70 40,500 5,000 Jamieson Wellness Inc. Common Shares Chan, Robert 5 12/14/2018 51 0.0005 2,000 Jamieson Wellness Inc. Common Shares Chan, Robert 5 12/14/2018 51 0.0005 2,000 Jamieson Wellness Inc. Options Chan, Robert 5 12/14/2018 51 0.0005 -2,000 Jamieson Wellness Inc. Options Chan, Robert 5 12/14/2018 51 0.0005 -2,000 Jericho Oil Corporation (fka Dakar Resource Corp.)

Common Shares Wilson, Allen W 4 12/20/2018 10 0.445 1,785,608 10,000

Jericho Oil Corporation (fka Dakar Resource Corp.)

Common Shares Wilson, Allen W 4 12/21/2018 10 0.44 1,795,608 10,000

Karnalyte Resources Inc. Common Shares Gujarat State Fertilizers and Chemicals Ltd.

3 12/21/2018 57 0.17 16,334,558 10,288,697

Karnalyte Resources Inc. Rights Szabo, Gregory George 4 12/20/2018 57 0 -438,110 Karnalyte Resources Inc. Rights Szabo, Gregory George 4 12/20/2018 57 0.17 440,731 440,731 Karnalyte Resources Inc. Rights Szabo, Gregory George 4 12/20/2018 57 0.17 0 -33,552 Karnalyte Resources Inc. Rights Szabo, Gregory George 4 12/20/2018 57 0.17 37,100 37,100 Karnalyte Resources Inc. Rights Szabo, Gregory George 4 12/20/2018 57 0.17 0 -5,400 Karnalyte Resources Inc. Rights Szabo, Gregory George 4 12/20/2018 57 0.17 5,280 5,280 Killam Apartment Real Estate Investment Trust

Rights Restricted Units Banks, Timothy 4 12/21/2018 56 16.188 7,066 420


Rights Restricted Units Landry, Aldea 4 12/21/2018 56 16.188 3,271 618


Rights Restricted Units Lloyd, Arthur G. 4 12/21/2018 56 16.188 11,964 973


Rights Restricted Units WALT, MANFRED 4 12/21/2018 56 16.188 12,944 1,050


Rights Restricted Units Watson, Wayne 4 12/21/2018 56 16.188 2,995 301


Common Shares Baqar, Hassan Raza 5 12/28/2018 10 2.2996 44,142 434


Common Shares Fitzgerald, John Taylor Maloney

4, 5 12/28/2018 10 2.2996 415,638 906


Common Shares Hickey, William A. 5 12/28/2018 10 2.2996 85,252 652

kneat.com, inc. Common Shares Dawe, Wade K. 5 12/21/2018 10 1 1,337,937 10,000 Kootenay Silver Inc. Common Shares McDonald, James 4 12/27/2018 10 0.135 1,858,500 10,000 Kootenay Silver Inc. Warrants McDonald, James 4 12/28/2018 55 0 -475,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 255



Acquired/ Disposed

This summary is for the week ending December 30, 2018. KP Tissue Inc. Deferred Share Units

(DSU) Hardy, James Richmond 4 4/16/2018 30 10.7 1,387 22

KP Tissue Inc. Deferred Share Units (DSU)

Hardy, James Richmond 4 7/16/2018 30 9.72 1,412 25


Hardy, James Richmond 4 10/15/2018 30 8.74 1,762 35


Korenberg, Michael 4 10/15/2018 30 8.74 643 12


Letellier, Michel 4 10/15/2018 30 8.74 1,287 25


Wendling, Louise Michele 4 10/15/2018 30 8.74 750 15

Kraken Robotics Inc. Common Shares Ocean Infinity, Limited 3 12/20/2018 15 0.4 15,520,000 2,500,000 Laramide Resources Ltd. Common Shares Henderson, Marc Charles 4, 5 12/20/2018 10 0.37 12,364,497 30,000 Liberty Gold Corp. (formerly Pilot Gold Inc.)

Common Shares Everett, Calvin Clovis 5 12/24/2018 10 0.305 4,839,500 200,000

Liht Cannabis Corp. Common Shares Huhn, Richard Dieter 4 12/18/2018 10 0.18 21,930,477 -172,500 Liht Cannabis Corp. Common Shares Huhn, Richard Dieter 4 12/18/2018 10 0.19 21,842,977 -87,500 Liht Cannabis Corp. Common Shares Huhn, Richard Dieter 4 12/18/2018 10 0.185 21,730,477 -112,500 Lingo Media Corporation Options Bernholtz, Martin 4 12/20/2018 50 0.07 797,500 50,000 LIONS GATE ENTERTAINMENT CORP.


















Major Drilling Group International Inc.

Common Shares Gignac, Louis-Pierre 4 12/24/2018 10 4.5 7,600 100

Major Drilling Group International Inc.

Common Shares Gignac, Louis-Pierre 4 12/27/2018 10 4.5 10,000 2,400

Marathon Gold Corporation Common Shares Faught, George D. 4 12/27/2018 10 0.77 1,689,750 27,000 Marathon Gold Corporation Common Shares Faught, George D. 4 12/28/2018 10 0.75 1,695,250 5,500 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.22 900 900 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.24 3,000 2,100 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.25 4,000 1,000 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.26 6,600 2,600 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.27 7,800 1,200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.28 10,300 2,500 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.29 11,200 900 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.3 13,000 1,800 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.31 17,400 4,400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.34 18,700 1,300 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.35 18,900 200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.39 19,300 400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.41 19,800 500 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.42 20,400 600 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.44 20,700 300 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.47 20,900 200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.49 23,400 2,500 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.51 26,600 3,200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.52 26,700 100 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.53 28,600 1,900 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.54 29,200 600 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.56 29,300 100 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.57 32,100 2,800

Insider Reporting

January 3, 2019

(2019), 42 OSCB 256



Acquired/ Disposed

This summary is for the week ending December 30, 2018. Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.59 33,100 1,000 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.6 34,500 1,400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.61 34,900 400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.62 37,000 2,100 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.63 38,200 1,200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.64 39,500 1,300 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.65 39,800 300 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.66 41,200 1,400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.67 42,100 900 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.68 43,100 1,000 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.69 44,100 1,000 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.7 47,000 2,900 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.71 48,800 1,800 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 10.72 49,400 600 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/24/2018 38 0 -49,400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/27/2018 38 10.37 200 200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/27/2018 38 10.38 700 500 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/27/2018 38 10.39 3,400 2,700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/27/2018 38 10.4 7,000 3,600 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/27/2018 38 10.41 8,100 1,100 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/27/2018 38 10.42 11,300 3,200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/27/2018 38 10.43 12,000 700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/27/2018 38 10.44 12,700 700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/27/2018 38 10.45 13,800 1,100 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/27/2018 38 10.46 14,500 700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/27/2018 38 10.47 18,500 4,000 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/27/2018 38 10.48 21,700 3,200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/27/2018 38 10.485 22,000 300 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/27/2018 38 10.49 24,800 2,800 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/27/2018 38 10.5 29,100 4,300 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/27/2018 38 10.51 34,700 5,600 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/27/2018 38 10.52 36,900 2,200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/27/2018 38 10.53 38,000 1,100 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/27/2018 38 10.54 38,200 200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/27/2018 38 10.55 42,100 3,900 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/27/2018 38 10.57 42,400 300 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/27/2018 38 10.56 42,500 100 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/27/2018 38 10.58 46,400 3,900 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/27/2018 38 10.59 47,200 800 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/27/2018 38 10.6 47,500 300 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/27/2018 38 10.61 48,800 1,300 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/27/2018 38 10.62 49,100 300 Martinrea International Inc. Common Shares Martinrea International Inc. 1 12/27/2018 38 0 -49,100 MATRRIX Energy Technologies Inc.

Common Shares Whitmarsh, Lyle Clarence 4, 5 12/21/2018 10 0.19 3,024,000 228,000

MBN Corporation Units MBN Corporation 1 12/21/2018 38 6.75 500 500 MBN Corporation Units MBN Corporation 1 12/21/2018 38 0 -500 MBN Corporation Units MBN Corporation 1 12/24/2018 38 6.7443 13,500 13,500 MBN Corporation Units MBN Corporation 1 12/24/2018 38 0 -13,500 MCAN Mortgage Corporation Common Shares Tyas, John 5 12/28/2018 90 525 525 MCAN Mortgage Corporation Common Shares Tyas, John 5 9/28/2018 30 17.781 350 6 MCAN Mortgage Corporation Common Shares Tyas, John 5 10/15/2018 30 15.99 389 39 MCAN Mortgage Corporation Common Shares Tyas, John 5 10/31/2018 30 13.459 435 46 MCAN Mortgage Corporation Common Shares Tyas, John 5 11/15/2018 30 13.648 481 46 MCAN Mortgage Corporation Common Shares Tyas, John 5 11/30/2018 30 14.022 526 45 MCAN Mortgage Corporation Common Shares Tyas, John 5 12/15/2018 30 13.74 572 46 MCAN Mortgage Corporation Common Shares Tyas, John 5 12/28/2018 90 47 -525 MCAN Mortgage Corporation Performance Share Units Tyas, John 5 9/28/2018 30 17.989 444 9

Insider Reporting

January 3, 2019

(2019), 42 OSCB 257



Acquired/ Disposed

This summary is for the week ending December 30, 2018. MCAN Mortgage Corporation Restricted Share Units Tyas, John 5 9/28/2018 30 17.989 4,089 82 Medexus Pharmaceuticals Inc. (formerly Pediapharm Inc.)


Peters, Brian 7 10/16/2018 00



Peters, Brian 7 12/19/2018 56 107,000 107,000



Poncy, William 7 10/16/2018 00



Poncy, William 7 12/19/2018 56 107,000 107,000



Shoemaker, Mary 7 10/16/2018 00



Shoemaker, Mary 7 12/19/2018 56 214,000 214,000



Tate, Glenn 7 10/16/2018 00



Tate, Glenn 7 12/19/2018 56 107,000 107,000


Warrants Merchant, Fahar 3, 4, 5 3/1/2017 00


Warrants Merchant, Fahar 3, 4, 5 12/21/2018 15 1.2 100,000 100,000


Warrants MERCHANT, Rosemina 3, 4, 5 3/1/2017 00


Warrants MERCHANT, Rosemina 3, 4, 5 12/21/2018 15 1.2 100,000 100,000

Mega Uranium Ltd. Common Shares Homsany, Richard 5 12/24/2018 51 0.1 1,500,000 500,000 Mega Uranium Ltd. Options Homsany, Richard 5 12/24/2018 51 0.1 2,600,000 -500,000 Melcor Developments Ltd. Common Shares Melcor Developments Ltd. 1 12/28/2018 38 12.27 12,558 1,200 Melcor Developments Ltd. Common Shares Melcor Developments Ltd. 1 12/24/2018 38 12.445 10,096 1,262 Melcor Developments Ltd. Common Shares Melcor Developments Ltd. 1 12/27/2018 38 12.752 11,358 1,262 Melcor Developments Ltd. Common Shares Young, Ralph Barclay 4, 5 12/27/2018 47 12.69 115,033 -2,000 Melcor Real Estate Investment Trust

Trust Units Rayburn, Darin Anthony 6 12/24/2018 10 7.18 580 230


Trust Units Rayburn, Darin Anthony 6 12/24/2018 10 6.87 149,335 205


Trust Units Rayburn, Darin Anthony 6 12/27/2018 10 6.95 151,835 2,500

Metals Creek Resources Corp.

Common Shares Stares, Alexander 4 12/28/2018 11 0.055 292,306 200,000


Warrants Stares, Alexander 4 2/14/2008 00


Warrants Stares, Alexander 4 12/28/2018 11 0.1 100,000


Warrants Stares, Alexander 4 12/28/2018 53 0.1 100,000 100,000

MGX Minerals Inc. Common Shares Reimann, Michael Andrew 5 12/21/2018 16 0.6 1,050,000 50,000 MGX Minerals Inc. Warrants Reimann, Michael Andrew 5 12/21/2018 16 0.67 25,000 25,000 Middlefield Healthcare & Life Sciences Dividend Fund


1 12/21/2018 38 9.5247 1,190,400 5,700



1 12/24/2018 38 9.3 1,191,100 700



1 12/21/2018 38 9.9497 5,379,759 3,400



1 12/24/2018 38 9.95 5,382,659 2,900

Millrock Resources Inc. Common Shares Beischer, Gregory Allan 5 12/26/2018 10 0.09 555,806 5,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 258



Acquired/ Disposed

This summary is for the week ending December 30, 2018. MINT Income Fund Trust Units MINT Income Fund 1 12/24/2018 38 5.65 71,529,751 600 Morguard Real Estate Investment Trust

Units Morguard Corporation 3 12/24/2018 10 10.713 9,024,336 9,200






Common Shares Comerford, Jonathan 4 12/21/2018 57 1.83 308,573 10,000



Comerford, Jonathan 4 12/21/2018 57 1.83 45,000 -10,000


Common Shares Dresner, Bruce Michael 4 12/21/2018 57 1.83 894,569 18,333



Dresner, Bruce Michael 4 12/21/2018 57 1.83 28,333 -18,333


Common Shares Goracke, Karen Jean 4 11/4/2016 00


Common Shares Goracke, Karen Jean 4 12/21/2018 38 1.83 10,000


Common Shares Goracke, Karen Jean 4 12/21/2018 57 1.83 10,000 10,000



Goracke, Karen Jean 4 12/21/2018 90 -10,000



Goracke, Karen Jean 4 12/21/2018 57 45,000 -10,000


Common Shares ING, PERRY Y. 5 2/6/2017 00


Common Shares ING, PERRY Y. 5 12/21/2018 57 1.83 10,000 10,000



ING, PERRY Y. 5 12/21/2018 57 1.83 20,000 -10,000


Common Shares MACKIE, REID 5 12/24/2018 57 1.83 40,000 10,000



MACKIE, REID 5 12/24/2018 57 1.83 45,000 -10,000

Mullen Group Ltd. Common Shares Clark, Peter W. Stephen 5 12/24/2018 10 11.95 17,000 15,250 Mullen Group Ltd. Common Shares Clark, Peter W. Stephen 5 12/24/2018 10 11.95 16,444 16,000 Namaste Technologies Inc. (formerly Next Gen Metals Inc.)

Common Shares Dollinger, Sean 4, 5 12/20/2018 10 0.94 6,405,990 -90,000

Namaste Technologies Inc. (formerly Next Gen Metals Inc.)


















Insider Reporting

January 3, 2019

(2019), 42 OSCB 259



Acquired/ Disposed

This summary is for the week ending December 30, 2018. Namaste Technologies Inc. (formerly Next Gen Metals Inc.)
























Nanotech Security Corp. Options Hall, Hugh Dickson 4 12/21/2018 50 85,000 10,000 Nanotech Security Corp. Rights Deferred Share

Units Hall, Hugh Dickson 4 12/21/2018 56 10,750 5,000

Nanotech Security Corp. Options Landrock, Clinton Kenneth 5 12/21/2018 50 69,200 25,000 Nanotech Security Corp. Rights Deferred Share

Units Landrock, Clinton Kenneth 5 12/21/2018 56 16,850 6,375

Nanotech Security Corp. Options LeRoux, Iginatius Johannes 5 12/21/2018 50 560,000 150,000 Nanotech Security Corp. Rights Deferred Share

Units LeRoux, Iginatius Johannes 5 12/21/2018 56 221,334 10,000


Tolmie, Kenneth Ross 4 12/21/2018 56 10,750 5,000


Tolmie, Kenneth Ross 4 12/21/2018 50 20,750 10,000

Nanotech Security Corp. Options Vosburgh, Joseph Walter 5 12/21/2018 50 50,000 25,000 Nanotech Security Corp. Rights Deferred Share

Units Vosburgh, Joseph Walter 5 12/21/2018 56 6,250 6,250

NanoXplore Inc. Options Veilleux, Luc 5 12/20/2018 50 1.22 700,000 500,000 National Bank of Canada Common Shares Banque Nationale du

Canada 1 12/10/2018 38 67,200 -48,500


1 12/11/2018 38 76,000 -50,000


1 12/12/2018 38 116,800 -17,200


1 12/13/2018 38 116,000 -58,800


1 12/14/2018 38 116,000 -58,000


1 12/17/2018 38 57.73 400


1 12/17/2018 38 57.73 400

Insider Reporting

January 3, 2019

(2019), 42 OSCB 260



Acquired/ Disposed

This summary is for the week ending December 30, 2018. National Bank of Canada Common Shares Banque Nationale du

Canada 1 12/17/2018 38 57.76 200


1 12/17/2018 38 57.76 200


1 12/17/2018 38 108,000 -58,000


1 12/18/2018 38 100,000 -58,000


1 12/19/2018 38 99,600 -50,000


1 12/20/2018 38 56.6 99,800 200


1 12/20/2018 38 56.62 100,000 200


1 12/20/2018 38 56.63 100,600 600


1 12/20/2018 38 56.64 100,700 100


1 12/20/2018 38 56.65 101,700 1,000


1 12/20/2018 38 56.66 102,600 900


1 12/20/2018 38 56.67 103,500 900


1 12/20/2018 38 56.68 104,100 600


1 12/20/2018 38 56.69 104,300 200


1 12/20/2018 38 56.7 104,700 400


1 12/20/2018 38 56.71 105,600 900


1 12/20/2018 38 56.72 106,700 1,100


1 12/20/2018 38 56.73 107,600 900


1 12/20/2018 38 56.74 107,800 200


1 12/20/2018 36 56.745 107,900 100


1 12/20/2018 38 56.75 108,600 700


1 12/20/2018 38 56.76 109,400 800


1 12/20/2018 38 56.77 109,600 200


1 12/20/2018 38 56.78 110,300 700


1 12/20/2018 38 56.79 111,400 1,100


1 12/20/2018 38 56.8 112,700 1,300


1 12/20/2018 38 56.805 112,800 100


1 12/20/2018 38 56.81 113,200 400


1 12/20/2018 38 56.82 113,700 500


1 12/20/2018 38 56.83 114,000 300


1 12/20/2018 38 56.84 115,000 1,000


1 12/20/2018 38 56.85 115,500 500


1 12/20/2018 38 56.86 116,400 900

Insider Reporting

January 3, 2019

(2019), 42 OSCB 261



Acquired/ Disposed


Canada 1 12/20/2018 38 56.88 116,700 300


1 12/20/2018 38 56.89 117,000 300


1 12/20/2018 38 56.9 119,800 2,800


1 12/20/2018 38 56.91 120,600 800


1 12/20/2018 38 56.92 121,200 600


1 12/20/2018 38 56.93 121,900 700


1 12/20/2018 38 56.94 122,700 800


1 12/20/2018 38 56.945 122,900 200


1 12/20/2018 38 56.95 123,600 700


1 12/20/2018 38 56.96 125,400 1,800


1 12/20/2018 38 56.98 126,000 600


1 12/20/2018 38 56.985 126,300 300


1 12/20/2018 38 56.99 126,900 600


1 12/20/2018 38 57 127,200 300


1 12/20/2018 38 57.02 128,200 1,000


1 12/20/2018 38 57.04 129,200 1,000


1 12/20/2018 38 57.05 130,400 1,200


1 12/20/2018 38 57.06 130,800 400


1 12/20/2018 38 57.08 131,900 1,100


1 12/20/2018 38 57.09 132,200 300


1 12/20/2018 38 57.11 132,300 100


1 12/20/2018 38 57.12 132,500 200


1 12/20/2018 38 57.125 132,600 100


1 12/20/2018 38 57.13 133,000 400


1 12/20/2018 38 57.14 134,300 1,300


1 12/20/2018 38 57.15 135,300 1,000


1 12/20/2018 38 57.16 136,200 900


1 12/20/2018 38 57.17 138,000 1,800


1 12/20/2018 38 57.175 138,100 100


1 12/20/2018 38 57.18 138,600 500


1 12/20/2018 38 57.19 139,200 600


1 12/20/2018 38 57.195 139,300 100


1 12/20/2018 38 57.2 140,400 1,100

Insider Reporting

January 3, 2019

(2019), 42 OSCB 262



Acquired/ Disposed


Canada 1 12/20/2018 38 57.21 141,200 800


1 12/20/2018 38 57.22 142,100 900


1 12/20/2018 38 57.23 143,000 900


1 12/20/2018 38 57.24 143,200 200


1 12/20/2018 38 57.25 143,500 300


1 12/20/2018 38 57.26 144,400 900


1 12/20/2018 38 57.27 144,700 300


1 12/20/2018 38 57.275 144,800 100


1 12/20/2018 38 57.28 145,500 700


1 12/20/2018 38 57.29 146,000 500


1 12/20/2018 38 57.3 146,900 900


1 12/20/2018 38 57.32 147,200 300


1 12/20/2018 38 57.33 147,500 300


1 12/20/2018 38 57.34 147,900 400


1 12/20/2018 38 57.36 148,100 200


1 12/20/2018 38 57.37 148,300 200


1 12/20/2018 38 57.39 148,500 200


1 12/20/2018 38 57.4 148,700 200


1 12/20/2018 38 57.42 149,200 500


1 12/20/2018 38 57.44 149,300 100


1 12/20/2018 38 57.45 149,600 300


1 12/20/2018 38 99,600 -50,000


1 12/21/2018 38 55.61 99,700 100


1 12/21/2018 38 55.615 100,000 300


1 12/21/2018 38 55.62 100,200 200


1 12/21/2018 38 55.63 100,900 700


1 12/21/2018 38 55.64 101,900 1,000


1 12/21/2018 38 55.65 103,100 1,200


1 12/21/2018 38 55.66 103,600 500


1 12/21/2018 38 55.67 104,800 1,200


1 12/21/2018 38 55.68 105,800 1,000


1 12/21/2018 38 55.69 106,600 800


1 12/21/2018 38 55.7 107,400 800

Insider Reporting

January 3, 2019

(2019), 42 OSCB 263



Acquired/ Disposed


Canada 1 12/21/2018 38 55.71 107,600 200


1 12/21/2018 38 55.72 108,400 800


1 12/21/2018 38 55.73 109,300 900


1 12/21/2018 38 55.74 110,700 1,400


1 12/21/2018 38 55.75 111,700 1,000


1 12/21/2018 38 55.76 112,900 1,200


1 12/21/2018 38 55.77 113,800 900


1 12/21/2018 38 55.78 114,300 500


1 12/21/2018 38 55.79 114,700 400


1 12/21/2018 38 55.8 115,600 900


1 12/21/2018 38 55.81 116,300 700


1 12/21/2018 38 55.82 117,100 800


1 12/21/2018 38 55.83 118,400 1,300


1 12/21/2018 38 55.84 118,600 200


1 12/21/2018 38 55.86 119,100 500


1 12/21/2018 38 55.85 119,300 200


1 12/21/2018 38 55.88 119,600 300


1 12/21/2018 38 55.885 119,700 100


1 12/21/2018 38 55.89 120,300 600


1 12/21/2018 38 55.9 120,400 100


1 12/21/2018 38 55.91 120,900 500


1 12/21/2018 38 55.92 121,300 400


1 12/21/2018 38 55.94 121,400 100


1 12/21/2018 38 55.95 122,300 900


1 12/21/2018 38 55.96 123,000 700


1 12/21/2018 38 55.97 123,800 800


1 12/21/2018 38 55.98 124,100 300


1 12/21/2018 38 55.99 124,500 400


1 12/21/2018 38 56 124,700 200


1 12/21/2018 38 56.01 125,200 500


1 12/21/2018 38 56.04 125,300 100


1 12/21/2018 38 56.05 125,400 100


1 12/21/2018 38 56.06 125,700 300

Insider Reporting

January 3, 2019

(2019), 42 OSCB 264



Acquired/ Disposed


Canada 1 12/21/2018 38 56.08 125,800 100


1 12/21/2018 38 56.09 126,000 200


1 12/21/2018 38 56.11 126,100 100


1 12/21/2018 38 56.12 126,200 100


1 12/21/2018 38 56.13 126,400 200


1 12/21/2018 38 56.18 126,600 200


1 12/21/2018 38 56.19 127,000 400


1 12/21/2018 38 56.21 127,300 300


1 12/21/2018 38 56.23 127,700 400


1 12/21/2018 38 56.25 128,200 500


1 12/21/2018 38 56.24 128,900 700


1 12/21/2018 38 56.26 129,700 800


1 12/21/2018 38 56.265 129,800 100


1 12/21/2018 38 56.27 130,200 400


1 12/21/2018 38 56.28 130,600 400


1 12/21/2018 38 56.29 131,400 800


1 12/21/2018 38 56.3 132,100 700


1 12/21/2018 38 56.31 132,200 100


1 12/21/2018 38 56.32 132,900 700


1 12/21/2018 38 56.33 133,300 400


1 12/21/2018 38 56.34 133,800 500


1 12/21/2018 38 56.35 134,100 300


1 12/21/2018 38 56.36 134,700 600


1 12/21/2018 38 56.37 135,300 600


1 12/21/2018 38 56.38 135,800 500


1 12/21/2018 38 56.39 136,000 200


1 12/21/2018 38 56.395 136,200 200


1 12/21/2018 38 56.4 137,300 1,100


1 12/21/2018 38 56.41 137,500 200


1 12/21/2018 38 56.42 138,000 500


1 12/21/2018 38 56.43 138,300 300


1 12/21/2018 38 56.45 138,600 300


1 12/21/2018 38 56.46 139,000 400

Insider Reporting

January 3, 2019

(2019), 42 OSCB 265



Acquired/ Disposed


Canada 1 12/21/2018 38 56.47 139,200 200


1 12/21/2018 38 56.48 142,200 3,000


1 12/21/2018 38 56.485 142,400 200


1 12/21/2018 38 56.49 142,900 500


1 12/21/2018 38 56.5 143,500 600


1 12/21/2018 38 56.51 143,800 300


1 12/21/2018 38 56.52 144,400 600


1 12/21/2018 38 56.53 145,900 1,500


1 12/21/2018 38 56.54 146,600 700


1 12/21/2018 38 56.55 147,100 500


1 12/21/2018 38 56.56 147,600 500


1 12/21/2018 38 56.57 147,900 300


1 12/21/2018 38 56.62 148,200 300


1 12/21/2018 38 56.64 148,300 100


1 12/21/2018 38 56.65 148,500 200


1 12/21/2018 38 56.69 148,600 100


1 12/21/2018 38 56.7 148,900 300


1 12/21/2018 38 56.75 149,200 300


1 12/21/2018 38 99,600 -49,600

National Bank of Canada Common Shares Pascoe, Ricardo 5 12/21/2018 51 29.25 73,363 56,392 National Bank of Canada Common Shares Pascoe, Ricardo 5 12/21/2018 10 56.387 16,971 -56,392 National Bank of Canada Options Pascoe, Ricardo 5 12/21/2018 51 29.25 564,700 -56,392 Nexa Resources S.A. (formerly, VM Holding S.A.)








NexgenRx Inc. Common Shares Crossett, Paul Everett 3 12/28/2018 10 0.255 6,664,500 16,000 Next Green Wave Holdings Inc.


Next Green Wave Holdings Inc.


Next Green Wave Holdings Inc.


NFI Group Inc. (formerly New Flyer Industries Inc.)

Common Shares Gray, Adam L. 4 12/21/2018 10 32.46 35,733


Common Shares Gray, Adam L. 4 12/21/2018 10 32.46 822,244 48,500


Common Shares Sardo, Vincent James 4 12/28/2018 10 33.15 16,194 -1,900


Common Shares Sardo, Vincent James 4 12/28/2018 10 33 16,094 -100

Insider Reporting

January 3, 2019

(2019), 42 OSCB 266



Acquired/ Disposed

This summary is for the week ending December 30, 2018. Northern Dynasty Minerals Ltd.

Warrants Laing, David Charles 4 12/20/2018 11 0.83 286,250 50,000

Northern Graphite Corporation

Common Shares Bowes, Gregory B. 4, 5 12/20/2018 10 0.172 1,461,666 38,500





Northview Apartment Real Estate Investment Trust

Limited Partnership Units 1 Class B LP Unit = 1 trust unit and 1 special voting unit

Drimmer, Daniel 3, 4 12/27/2018 11 27 1,164,669 37,037


Convertible Debentures Dalla Lana, Paul 4, 5 3/17/2010 00


Convertible Debentures Dalla Lana, Paul 4, 5 12/20/2018 15 1000 $10,050,000 $10,050,000


Debentures Dalla Lana, Paul 4, 5 3/17/2010 00


Debentures Dalla Lana, Paul 4, 5 3/17/2010 00


















Convertible Debentures NorthWest Value Partners Inc.

3 3/17/2010 00


Convertible Debentures NorthWest Value Partners Inc.

3 12/20/2018 15 1000 $10,050,000 $10,050,000



3 12/21/2018 10 9.445 2,019,193 30,000



3 12/21/2018 10 9.429 2,049,193 30,000



3 12/21/2018 10 9.425 2,079,193 30,000



3 12/24/2018 10 9.4277 2,089,193 10,000



3 12/24/2018 10 9.3737 2,092,993 3,800

Insider Reporting

January 3, 2019

(2019), 42 OSCB 267



Acquired/ Disposed

This summary is for the week ending December 30, 2018. NorthWest Healthcare Properties Real Estate Investment Trust


3 12/24/2018 10 9.41 2,104,193 11,200



3 12/24/2018 10 9.3467 2,125,193 21,000



3 12/24/2018 10 9.36 2,129,193 4,000


Convertible Debentures Petersen, Brian Kenneth 4 10/7/2014 00


Convertible Debentures Petersen, Brian Kenneth 4 12/20/2018 15 1000 $15,000 $15,000










Deferred Units Petersen, Brian Kenneth 4 12/21/2018 57 9.83 31,411 -8,000


Trust Units Petersen, Brian Kenneth 4 12/21/2018 57 9.83 37,479 8,000


Common Shares Lang, Gregory Anthony 5 1/9/2012 00 1,564,092


Common Shares Lang, Gregory Anthony 5 12/27/2018 90 89,924 -1,564,092

Novelion Therapeutics Inc. Common Shares Broadfin Capital, LLC 3 12/24/2018 10 0.98 1,948,154 -400 Novelion Therapeutics Inc. Common Shares Broadfin Capital, LLC 3 12/26/2018 10 0.9325 1,946,954 -1,200 Novelion Therapeutics Inc. Common Shares Broadfin Capital, LLC 3 12/26/2018 10 0.9784 1,863,709 -83,245 Novelion Therapeutics Inc. Common Shares Broadfin Healthcare Master

Fund, Ltd. 3 12/24/2018 10 0.98 1,948,154 -400

Novelion Therapeutics Inc. Common Shares Broadfin Healthcare Master Fund, Ltd.

3 12/26/2018 10 0.9325 1,946,954 -1,200

Novelion Therapeutics Inc. Common Shares Broadfin Healthcare Master Fund, Ltd.

3 12/26/2018 10 0.9784 1,863,709 -83,245

Novelion Therapeutics Inc. Common Shares Kotler, Kevin 3 12/24/2018 10 0.98 1,948,154 -400 Novelion Therapeutics Inc. Common Shares Kotler, Kevin 3 12/26/2018 10 0.9325 1,946,954 -1,200 Novelion Therapeutics Inc. Common Shares Kotler, Kevin 3 12/26/2018 10 0.9784 1,863,709 -83,245 Oceanus Resources Corporation

Warrants Abriel, Keith Benjamim 4 12/22/2018 55 0 -150,000

Olympia Financial Group Inc. Common Shares Kachuik, Derick Dan 5 12/28/2018 10 38.5 801 129 ONEX CORPORATION Subordinate Voting

Shares Munk, Anthony 7 12/20/2018 47 448,431 -1,185

ONEX CORPORATION Options Popatia, Tawfiq 5 12/21/2018 50 78.62 350,000 10,000 Orefinders Resources Inc. Common Shares Stewart, Stephen Alexander

Nelson 4 12/24/2018 10 0.055 1,424,000 100,000









Insider Reporting

January 3, 2019

(2019), 42 OSCB 268



Acquired/ Disposed

This summary is for the week ending December 30, 2018. Parkit Enterprise Inc. Common Shares Dunkley, Bradley Roy 4 12/18/2018 10 0.29 862,068 Parkit Enterprise Inc. Common Shares Dunkley, Bradley Roy 4 12/18/2018 10 0.29 862,068 Parkit Enterprise Inc. Common Shares Dunkley, Bradley Roy 4 12/18/2018 16 0.29 3,549,568 862,068 Parkit Enterprise Inc. Rights Dunkley, Bradley Roy 4 11/14/2018 56 0.29 1,346,940 Parkit Enterprise Inc. Rights Dunkley, Bradley Roy 4 11/14/2018 56 0.29 1,346,940 Parkit Enterprise Inc. Rights Dunkley, Bradley Roy 4 11/14/2018 57 1,346,940 1,346,940 Parkit Enterprise Inc. Rights Dunkley, Bradley Roy 4 12/14/2018 58 - Expiration

of rights 0 -1,346,940

Parkit Enterprise Inc. Rights Dunkley, Bradley Roy 4 12/18/2018 56 0.29 862,068 Parkit Enterprise Inc. Common Shares Miller, Brad Norman 4 8/15/2018 00 300,000 Parkit Enterprise Inc. Common Shares Miller, Brad Norman 4 12/14/2018 30 0.29 644,827 344,827 Parkland Fuel Corporation Common Shares Pantelidis, James 4 12/20/2018 47 216,756 -268 Parkland Fuel Corporation Common Shares Pantelidis, James 4 12/27/2018 10 32.75 1,969 100 Parkland Fuel Corporation Common Shares Pantelidis, James 4 12/27/2018 97 2,304 335 Parkland Fuel Corporation Common Shares Pantelidis, James 4 12/27/2018 10 32.79 702 55 Parkland Fuel Corporation Common Shares Pantelidis, James 4 12/27/2018 10 32.68 931 229 Pason Systems Inc. Common Shares Smith, Russell 5 12/27/2018 10 12.68 14,290 500 Pathfinder Income Fund Trust Units Pathfinder Convertible

Debenture Fund 1 12/21/2018 38 7.2 11,140,398 700

Pembina Pipeline Corporation

Common Shares Burrows, J. Scott 5 12/24/2018 10 39.305 5,500 500

Pembina Pipeline Corporation

Common Shares Goldade, Cameron 5 12/24/2018 10 39.6 3,800 2,000

People Corporation Common Shares Anderson, Scott Cameron 4 12/19/2018 10 7.14 99,337 -1,000 People Corporation Common Shares Anderson, Scott Cameron 4 12/19/2018 10 7.06 41,500 -3,000 Perihelion Capital Ltd. Common Shares Eghdami, Darius 3, 4, 5 4/13/2018 00 250,000 Perihelion Capital Ltd. Options Eghdami, Darius 3, 4, 5 4/13/2018 00 Perihelion Capital Ltd. Options Eghdami, Darius 3, 4, 5 6/25/2018 50 50,000 50,000 Perihelion Capital Ltd. Common Shares McIntyre, Duncan 3, 4 4/13/2018 00 250,000 Perihelion Capital Ltd. Options McIntyre, Duncan 3, 4 4/13/2018 00 Perihelion Capital Ltd. Options McIntyre, Duncan 3, 4 6/25/2018 50 50,000 50,000 Perihelion Capital Ltd. Common Shares Tejani, Shafin Diamond 4 11/29/2018 00 100,000 Perihelion Capital Ltd. Common Shares Tzilios, Alexander 3, 4, 5 4/13/2018 00 1,500,000 Perihelion Capital Ltd. Options Tzilios, Alexander 3, 4, 5 4/13/2018 00 Perihelion Capital Ltd. Options Tzilios, Alexander 3, 4, 5 6/25/2018 16 100,000 Perihelion Capital Ltd. Options Tzilios, Alexander 3, 4, 5 6/25/2018 50 100,000 100,000 Pershimex Resources Corporation

Common Shares Levesque, Jacques 5 12/21/2018 16 0.08 500,000 250,000


Warrants Levesque, Jacques 5 12/21/2018 16 0.1 400,000 250,000

Peyto Exploration & Development Corp.

Common Shares Robinson, Scott 5 12/24/2018 10 6.9 348,007 -10,000

Photon Control Inc. Common Shares Lee, Daniel Chung Man 5 7/15/2017 00 Photon Control Inc. Common Shares Lee, Daniel Chung Man 5 12/21/2018 10 0.85 20,500 20,500 Pine Cliff Energy Ltd. Common Shares Disbrow, Robert 3 12/21/2018 10 0.2275 500,000 Pine Cliff Energy Ltd. Common Shares Disbrow, Robert 3 12/21/2018 10 0.23 18,221,375 500,000 Pine Cliff Energy Ltd. Common Shares Disbrow, Robert 3 12/21/2018 10 0.2275 17,871,375 -350,000 Pine Cliff Energy Ltd. Common Shares Disbrow, Robert 3 12/21/2018 10 0.23 17,621,375 -250,000 Pivit Exploration Inc. Common Shares Kalt, Ryan 3 12/28/2018 11 0.125 3,123,000 400,000 PJX Resources Inc. Common Shares Keating, John 4, 5 12/18/2018 16 0.19 2,286,200 26,500 PJX Resources Inc. Units Keating, John 4, 5 6/29/2011 00 PJX Resources Inc. Units Keating, John 4, 5 6/29/2011 00 PJX Resources Inc. Units Keating, John 4, 5 12/18/2018 16 0.19 26,500 PJX Resources Inc. Units Keating, John 4, 5 12/18/2018 16 0.19 26,500 PJX Resources Inc. Warrants Keating, John 4, 5 12/18/2018 16 0.25 466,500 26,500 Points International Ltd. Common Shares Barnard, Christopher 4, 5 12/26/2018 10 9.55 216,603 -10,000 Points International Ltd. Common Shares Barnard, Christopher 4, 5 12/27/2018 10 9.6331 211,603 -5,000 Points International Ltd. Common Shares Barnard, Christopher 4, 5 12/27/2018 10 9.68 206,803 -4,800 Points International Ltd. Common Shares Barnard, Christopher 4, 5 12/27/2018 10 9.69 206,603 -200

Insider Reporting

January 3, 2019

(2019), 42 OSCB 269



Acquired/ Disposed

This summary is for the week ending December 30, 2018. Points International Ltd. Common Shares Barnard, Christopher 4, 5 12/27/2018 10 9.681 205,489 -1,114 Pond Technologies Holdings Inc.

Common Shares Di Pietro, Emidio 5 12/28/2018 10 0.8 12,000 3,000

Power Corporation of Canada

Equity Swap - Long Position PCC 7

Power Corporation of Canada

1 12/27/2018 70 23.682 2 -1

PowerOre Inc. Common Shares Stewart, Stephen Alexander Nelson

4, 5 12/24/2018 10 0.055 154,315 100,000

Precision Drilling Corporation Common Shares FORD, CAREY THOMAS 7 12/26/2018 10 1.704 100,906 17,750 Pretium Resources Inc. Common Shares Birkey, Peter Merriman 4 12/20/2018 57 94,978 8,811 Pretium Resources Inc. Rights RSUs Birkey, Peter Merriman 4 12/20/2018 57 12,634 -8,811 Pretium Resources Inc. Rights RSUs Board, Warwick 5 12/21/2018 59 18,087 -2,871 Pretium Resources Inc. Rights RSUs Board, Warwick 5 12/21/2018 59 16,061 -2,026 Pretium Resources Inc. Rights RSUs Board, Warwick 5 12/21/2018 59 13,258 -2,803 Pretium Resources Inc. Rights RSUs McNaughton, Kenneth C. 6 12/21/2018 59 27,541 -20,000 Pretium Resources Inc. Rights RSUs McNaughton, Kenneth C. 6 12/21/2018 59 21,274 -6,267 Pretium Resources Inc. Rights RSUs McNaughton, Kenneth C. 6 12/21/2018 59 19,134 -2,140 Pretium Resources Inc. Rights RSUs Ovsenek, Joseph J. 4, 5 12/21/2018 59 91,419 -50,000 Pretium Resources Inc. Rights RSUs Ovsenek, Joseph J. 4, 5 12/21/2018 59 76,686 -14,733 Pretium Resources Inc. Rights RSUs Ovsenek, Joseph J. 4, 5 12/21/2018 59 67,237 -9,449 Pretium Resources Inc. Rights RSUs Prins, David William 5 12/21/2018 59 26,996 -5,096 Pretium Resources Inc. Rights RSUs Quartermain, Robert Allan 4, 5 12/21/2018 59 233,699 -50,000 Pretium Resources Inc. Rights RSUs Quartermain, Robert Allan 4, 5 12/21/2018 59 213,042 -20,657 Pretium Resources Inc. Rights RSUs Quartermain, Robert Allan 4, 5 12/21/2018 59 183,749 -29,293 Pretium Resources Inc. Rights RSUs Romero, Michelle Ann 5 12/21/2018 59 31,697 -10,000 Pretium Resources Inc. Rights RSUs Romero, Michelle Ann 5 12/21/2018 59 27,145 -4,552 Pretium Resources Inc. Rights RSUs Romero, Michelle Ann 5 12/21/2018 59 23,924 -3,221 Pretium Resources Inc. Common Shares Smith, David 4 12/20/2018 57 20,947 3,822 Pretium Resources Inc. Common Shares Smith, David 4 12/20/2018 10 10.93 19,347 -1,600 Pretium Resources Inc. Rights RSUs Smith, David 4 12/20/2018 57 7,645 -3,822 Pretium Resources Inc. Rights RSUs Yip, Tom 5 12/21/2018 59 23,963 -25,000 Pretium Resources Inc. Rights RSUs Yip, Tom 5 12/21/2018 59 13,892 -10,071 Pretium Resources Inc. Rights RSUs Yip, Tom 5 12/21/2018 59 9,087 -4,805 Pro Real Estate Investment Trust

Limited Partnership Units Class B, 1 trust special voting unit per Class B

Aghar, Peter 4 9/30/2014 00



Aghar, Peter 4 12/27/2018 16 99,938 99,938



Aghar, Peter 4 9/30/2014 00



Aghar, Peter 4 12/27/2018 16 1,530,956 1,530,956



Aghar, Peter 4 12/27/2018 16 0 -3,030,033



Jadavji, Shenoor 4 9/30/2014 00



Jadavji, Shenoor 4 12/27/2018 16 99,938 99,938



Jadavji, Shenoor 4 9/30/2014 00



Jadavji, Shenoor 4 12/27/2018 16 1,530,956 1,530,956



Jadavji, Shenoor 4 12/27/2018 16 0 -3,030,033

Progressive Planet Solutions Inc.

Common Shares Harpur, Stephen Kenneth 4, 5 12/27/2018 10 0.045 1,085,000 10,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 270



Acquired/ Disposed

This summary is for the week ending December 30, 2018. Prophecy Development Corp.

Common Shares without par value

Panneton, Gerald 4, 5 12/21/2018 10 0.28 70,000 20,000

Prophecy Development Corp.


Panneton, Gerald 4, 5 12/27/2018 10 0.25 90,000 20,000

Prophecy Development Corp.


Panneton, Gerald 4, 5 12/21/2018 10 0.28 20,000

QMX Gold Corporation (formerly Alexis Minerals Corporation)

Common Shares Humphrey, Bradley Dean 4, 5 10/11/2016 00 100,000

QMX Gold Corporation (formerly Alexis Minerals Corporation)

Common Shares Humphrey, Bradley Dean 4, 5 12/28/2018 10 0.06 175,000 75,000

Quinsam Capital Corporation Common Shares Booth, Terry 4 2/27/2018 16 0.6 3,000,000 2,000,000 Quinsam Capital Corporation Warrants Booth, Terry 4 2/27/2018 16 1,500,000 1,000,000 Radient Technologies Inc. Common Shares Ferlaino, Francesco 4 12/27/2018 10 0.66 218,193 77,000 Resource Capital Gold Corp. Common Shares Sprott, Eric S. 3 12/24/2018 11 0.015 0 -7,200,000 Revival Gold Inc. Common Shares Agro, Hugh 3, 4, 5 12/20/2018 54 0.45 3,177,622 111,750 Revival Gold Inc. Warrants Agro, Hugh 3, 4, 5 12/20/2018 54 0.45 75,000 -111,750 Ridgewood Canadian Investment Grade Bond Fund


3 12/21/2018 10 14.88 6,725



3 12/21/2018 10 14.88 8,104,369 6,656



3 12/21/2018 10 14.88 8,097,644 -6,725



3 12/27/2018 10 14.88 8,100,176 2,532



3 12/27/2018 10 14.88 8,099,718 -458

RJK Explorations Ltd. Common Shares Kalt, Ryan 3 12/28/2018 10 0.045 150,000 25,000 Routemaster Capital Inc. (formerly known as Rodinia Lithium Inc.)

Common Shares Leigh, Frederic 4, 5 12/21/2018 00 1,994,374

Routemaster Capital Inc. (formerly known as Rodinia Lithium Inc.)

Common Shares Leigh, Frederic 4, 5 12/21/2018 00 350,000

Rubicon Organics Inc. Common Shares Savics, Eric 3 12/27/2018 10 1.6 174,600 30,700 Rupert Resources Ltd. Common Shares Brimacombe, Alan Douglas 3 12/28/2018 10 1.05 19,873,400 5,000 Sanatana Resources Inc. Common Shares Miles, Peter Leighton 3, 4, 5 12/24/2018 10 0.045 8,811,886 20,000 Sangoma Technologies Corporation

Options Tobia, John 5 12/27/2018 50 1.16 350,000 175,000

Santacruz Silver Mining Ltd. Common Shares Girling, W. Barry 4 12/21/2018 10 0.05 40,000 5,000 Santacruz Silver Mining Ltd. Common Shares McMorran, Robert George 5 12/27/2018 10 0.06 1,900,000 250,000 Santacruz Silver Mining Ltd. Common Shares McMorran, Robert George 5 12/28/2018 10 0.06 2,150,000 250,000 Sarama Resources Ltd. Warrants Listed Warrants Dinning, Andrew Robert

Mune 4 12/22/2018 55 0.15 250,000 -241,915

Sarama Resources Ltd. Warrants Listed Warrants Groves, David Alan 4 12/22/2018 55 0.15 16,750 -50,000 Sarama Resources Ltd. Warrants Listed Warrants Hamilton, Jack 5 12/22/2018 55 0.15 82,500 -93,750 Sarama Resources Ltd. Warrants Listed Warrants Harvey, T. Sean 4 12/22/2018 55 0.15 200,000 -132,759 Sarama Resources Ltd. Warrants Listed Warrants Jackson, Lawrence Simon 4 12/22/2018 55 0.15 0 -50,000 Sarama Resources Ltd. Warrants Listed Warrants Schmiede, Paul Raymond

Paul 5 12/22/2018 55 0.15 0 -60,000

Sarama Resources Ltd. Warrants Sun Valley Gold LLC 3 12/22/2018 55 1,250,000 -600,000 Sarama Resources Ltd. Warrants Sun Valley Gold Master

Fund, Ltd. 3 12/22/2018 55 1,250,000 -600,000

Satori Resources Inc. Common Shares Lomax, Jennifer 4 12/20/2018 00 1,000,000 Satori Resources Inc. Warrants Lomax, Jennifer 4 12/20/2018 00 1,000,000 Sherritt International Corporation

Common Shares Trenton, Karen Lynn 5 12/21/2018 10 0.385 127,300 57,500

Insider Reporting

January 3, 2019

(2019), 42 OSCB 271



Acquired/ Disposed

This summary is for the week ending December 30, 2018. Sherritt International Corporation





Common Shares Wood, Stephen James 5 4/27/2015 00


Common Shares Wood, Stephen James 5 12/21/2018 10 0.375 26,000 26,000


Common Shares Wood, Stephen James 5 12/21/2018 10 0.375 93,094 26,000

SilverCrest Metals Inc. Common Shares Poznanski, Bernard 5 12/20/2018 10 3.16 54,663 -1,667 Sintana Energy Inc. Common Shares Austin, Sean 5 12/24/2018 10 0.036 936,912 7,000 Sintana Energy Inc. Common Shares Austin, Sean 5 12/24/2018 10 0.04 986,912 50,000 Sintana Energy Inc. Common Shares Bose, Robert 4 12/18/2018 00 416,666 Sintana Energy Inc. Debentures Bose, Robert 4 12/18/2018 00 $650,000 Sintana Energy Inc. Options Bose, Robert 4 12/18/2018 00 300,000 Sintana Energy Inc. Warrants Bose, Robert 4 12/18/2018 00 5,720,000 SITKA GOLD CORP. Common Shares Coe, Corwin 4, 5 12/21/2018 10 0.095 995,000 13,000 SITKA GOLD CORP. Common Shares Coe, Corwin 4, 5 12/21/2018 10 0.1 1,002,000 7,000 SITKA GOLD CORP. Common Shares Coe, Corwin 4, 5 12/21/2018 10 0.09 1,007,000 5,000 SITKA GOLD CORP. Common Shares COE, RYAN 4 12/28/2018 10 0.125 1,751,000 4,000 Smart Employee Benefits Inc Common Shares Peacock, Stephen 4 12/21/2018 10 0.225 521,042 -40,000 Sona Nanotech Inc. Common Shares Whittaker, Daniel Davies 4 12/24/2018 10 0.21 1,428,870 5,000 Sona Nanotech Inc. Common Shares Whittaker, Daniel Davies 4 12/28/2018 10 0.23 1,432,370 3,500 Sona Nanotech Inc. Common Shares Whittaker, Daniel Davies 4 12/28/2018 10 0.25 1,573,870 141,500 Sona Nanotech Inc. Common Shares Whittaker, Daniel Davies 4 12/28/2018 10 0.23 1,579,870 6,000 Spacefy Inc. Common Shares Scharfe, Bradley Nixon 4 12/18/2018 10 0.1525 1,052,000 19,500 Spacefy Inc. Common Shares Scharfe, Bradley Nixon 4 10/24/2018 00 10,000 Spacefy Inc. Common Shares Scharfe, Bradley Nixon 4 12/27/2018 10 0.1595 22,000 12,000 Spot Coffee (Canada) Ltd. Common Shares AYOUB, ANTON MICHEL 4, 5 12/28/2018 10 0.06 2,110,458 3,000 Stans Energy Corp. Common Shares Stevens, Olga 5 12/27/2018 10 0.02 200,000 50,000 STEP Energy Services Ltd. Common Shares Johnson, David Todd 5 12/24/2018 10 1.82 40,000 12,000 Steppe Gold Ltd. Common Shares Waraich, Aneel Singh 4, 5 12/19/2018 10 0.75 521,088 500 Steppe Gold Ltd. Common Shares Waraich, Aneel Singh 4, 5 12/19/2018 10 0.74 522,338 1,250 Steppe Gold Ltd. Common Shares Waraich, Aneel Singh 4, 5 12/20/2018 10 0.77 2,440,251 500 Steppe Gold Ltd. Common Shares Waraich, Aneel Singh 4, 5 12/20/2018 10 0.7217 2,440,851 600 Steppe Gold Ltd. Common Shares Waraich, Aneel Singh 4, 5 12/20/2018 10 0.75 2,441,376 525 Steppe Gold Ltd. Common Shares Waraich, Aneel Singh 4, 5 12/20/2018 10 0.72 2,441,926 550 Steppe Gold Ltd. Common Shares Waraich, Aneel Singh 4, 5 12/20/2018 10 0.7257 2,442,451 525 Steppe Gold Ltd. Common Shares Waraich, Aneel Singh 4, 5 12/20/2018 10 0.725 2,442,951 500 Steppe Gold Ltd. Common Shares Waraich, Aneel Singh 4, 5 12/24/2018 10 0.775 2,443,551 600 Stingray Group Inc. Subordinate Voting

Shares Boyko, Éric 3, 4, 5 12/21/2018 10 6.2495 71,052 50,000

Stingray Group Inc. Multiple Voting Shares Pathy, Mark 4 12/21/2018 11 6.21 473,182 40,000 Stingray Group Inc. Subordinate Voting

Shares Pathy, Mark 4 12/21/2018 10 6.2495 1,756,034 50,000

Stingray Group Inc. Multiple Voting Shares Tremblay, Pascal 4 12/21/2018 11 6.21 110,000 30,000 Summit Industrial Income REIT



Trust Units Morassutti, Lawrence 4 12/24/2018 10 9.15 3,250,634 10,000


Trust Units Morassutti, Lawrence 4 12/24/2018 10 9.11 3,250,834 200

Sunniva Inc. Common Shares Wilkerson, Kevin Vail 5 12/28/2018 22 3.71 680,283 478,983 Sunniva Inc. Warrants Performance

(December 2018) Wilkerson, Kevin Vail 5 11/19/2018 00

Sunniva Inc. Warrants Performance (December 2018)

Wilkerson, Kevin Vail 5 12/28/2018 22 239,491

Sunniva Inc. Warrants Performance (December 2018)

Wilkerson, Kevin Vail 5 12/28/2018 53 239,491 239,491

Tamarack Valley Energy Ltd. Common Shares Christensen, David Keith 5 12/21/2018 10 2.1 76,329 -18,121

Insider Reporting

January 3, 2019

(2019), 42 OSCB 272



Acquired/ Disposed

This summary is for the week ending December 30, 2018. Tamarack Valley Energy Ltd. Common Shares Hozjan, Ronald Steve 5 12/24/2018 10 2.057 281,572 -15,000 Tamarack Valley Energy Ltd. Common Shares Hozjan, Ronald Steve 5 12/24/2018 10 2.06 296,572 15,000 TELUS Corporation Common Shares Geheran, Tony 5 12/27/2018 10 42,574 4,165 TELUS Corporation Common Shares Geheran, Tony 5 12/27/2018 10 292 -4,165 Tethys Petroleum Limited Common Shares Wells, William Paul Wells 3, 4 12/21/2018 37 7,286,824 -65,581,671 Tethys Petroleum Limited Common Shares Wells, William Paul Wells 3, 4 12/24/2018 10 0.3796 7,293,324 6,500 THC BIOMED INTL LTD. Common Shares Chun, Hee Jung 3, 4, 5 4/23/2018 11 0.2 -1,655,000 THC BIOMED INTL LTD. Common Shares Chun, Hee Jung 3, 4, 5 4/23/2018 11 0.2 16,489,368 -1,655,000 THC BIOMED INTL LTD. Common Shares Chun, Hee Jung 3, 4, 5 4/23/2018 11 0.12 -273,333 THC BIOMED INTL LTD. Common Shares Chun, Hee Jung 3, 4, 5 4/23/2018 11 0.12 16,216,035 -273,333 THC BIOMED INTL LTD. Common Shares Chun, Hee Jung 3, 4, 5 4/23/2018 11 0.63 -693,650 THC BIOMED INTL LTD. Common Shares Chun, Hee Jung 3, 4, 5 4/23/2018 11 0.63 15,522,385 -693,650 THC BIOMED INTL LTD. Common Shares Chun, Hee Jung 3, 4, 5 4/23/2018 11 0.1 -500,000 THC BIOMED INTL LTD. Common Shares Chun, Hee Jung 3, 4, 5 4/23/2018 11 0.1 15,022,385 -500,000 THC BIOMED INTL LTD. Common Shares Chun, Hee Jung 3, 4, 5 4/23/2018 11 0.1 -250,000 THC BIOMED INTL LTD. Common Shares Chun, Hee Jung 3, 4, 5 4/23/2018 11 0.1 14,772,385 -250,000 THC BIOMED INTL LTD. Common Shares Chun, Hee Jung 3, 4, 5 4/23/2018 11 1 -100,000 THC BIOMED INTL LTD. Common Shares Chun, Hee Jung 3, 4, 5 4/23/2018 11 1 14,672,385 -100,000 The Green Organic Dutchman Holdings Ltd.

Common Shares Booth, Terry 6 12/27/2018 10 2.28 60,000 -123,000

The Green Organic Dutchman Holdings Ltd.

Common Shares Booth, Terry 6 12/28/2018 10 2.3245 0 -60,000

The Second Cup Ltd. Common Shares Bregman, Michael David 4 12/28/2018 10 1.7455 937,200 38,400 The Second Cup Ltd. Common Shares LE, BA LINH 5 12/28/2018 10 1.83 25,000 10,200 The Western Investment Company of Canada Limited

Common Shares Mawani, Shafeen Ashraf 5 12/28/2018 10 0.4 464,106 10,000

The Yield Growth Corp. Common Shares Glance Technologies Inc. 3 11/22/2018 00 9,000,000 The Yield Growth Corp. Common Shares Glance Technologies Inc. 3 12/21/2018 10 0.1764 8,980,000 -20,000 The Yield Growth Corp. Common Shares Glance Technologies Inc. 3 12/24/2018 10 0.175 8,960,000 -20,000 The Yield Growth Corp. Common Shares Glance Technologies Inc. 3 12/27/2018 10 0.19 8,940,000 -20,000 The Yield Growth Corp. Common Shares Glance Technologies Inc. 3 12/28/2018 10 0.195 8,920,000 -20,000 The Yield Growth Corp. Warrants Glance Technologies Inc. 3 11/22/2018 00 6,000,000 Tidal Royalty Corp. Common Shares rosen, paul 4, 5 12/20/2018 10 0.1 14,818,000 200,000 Tidal Royalty Corp. Common Shares rosen, paul 4, 5 12/21/2018 10 0.095 14,918,000 100,000 Tidal Royalty Corp. Common Shares rosen, paul 4, 5 12/21/2018 10 0.1 15,618,000 700,000 Tidal Royalty Corp. Common Shares rosen, paul 4, 5 12/21/2018 10 0.1026 15,818,000 200,000 Tidal Royalty Corp. Common Shares rosen, paul 4, 5 12/21/2018 10 0.1027 16,318,000 500,000 Tidal Royalty Corp. Common Shares rosen, paul 4, 5 12/21/2018 10 0.1046 16,918,000 600,000 Titan Mining Corporation Common Shares Horna, Susy H. 5 12/27/2018 10 0.94 5,500 5,500 Titan Mining Corporation Common Shares Warke, Richard William 4 12/7/2018 10 0.955 4,140,633 31,500 Titan Mining Corporation Common Shares Warke, Richard William 4 12/7/2018 10 0.96 4,334,133 193,500 Titan Mining Corporation Common Shares Warke, Richard William 4 12/18/2018 10 0.95 5,000 Titan Mining Corporation Common Shares Warke, Richard William 4 12/18/2018 10 0.93 1,000 Titan Mining Corporation Common Shares Warke, Richard William 4 12/20/2018 10 0.95 4,397,933 5,000 Titan Mining Corporation Common Shares Warke, Richard William 4 12/20/2018 10 0.93 4,398,933 1,000 Titan Mining Corporation Common Shares Warke, Richard William 4 12/21/2018 10 1 4,403,933 5,000 Titan Mining Corporation Common Shares Warke, Richard William 4 12/21/2018 10 0.99 4,408,933 5,000 Titan Mining Corporation Common Shares Warke, Richard William 4 12/21/2018 10 0.999 4,413,933 5,000 Titan Mining Corporation Common Shares Warke, Richard William 4 12/27/2018 10 0.94 4,443,933 30,000 Titan Mining Corporation Common Shares Warke, Richard William 4 12/27/2018 10 0.9375 4,453,933 10,000 Total Energy Services Inc. Common Shares Halyk, Daniel Kim 4, 5 12/24/2018 10 9.2 1,153,800 3,000 Total Energy Services Inc. Common Shares Halyk, Daniel Kim 4, 5 12/27/2018 10 9 1,158,800 5,000 Total Energy Services Inc. Common Shares Total Energy Services Inc 1 12/24/2018 38 0 -57,300 Total Energy Services Inc. Common Shares Total Energy Services Inc 1 12/27/2018 10 9.0296 4,700 4,700 Total Energy Services Inc. Common Shares Total Energy Services Inc 1 12/28/2018 10 9.2326 8,200 3,500 Total Telcom Inc. Common Shares Hammermeister, David

Harry 4 12/28/2018 10 0.13 1,514,833 200,000

Tourmaline Oil Corp. Common Shares Rose, Mike 5 12/24/2018 10 16.154 10,483,997 5,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 273



Acquired/ Disposed

This summary is for the week ending December 30, 2018. Transition Metals Corp. Options Baird, Jon Gillis 4 8/14/2018 52 137,500 -42,500 Transition Metals Corp. Common Shares Collins, Gregory 4, 5 12/24/2018 10 0.07 584,000 50,000 Transition Metals Corp. Options McLean, Scott 5 12/27/2018 52 0 -87,500 Traverse Energy Ltd. Common Shares hutchinson, john reid 4 12/27/2018 10 0.055 677,100 10,000 Treasury Metals Inc. Common Shares Ferron, Greg 5 12/20/2018 10 0.25 433,600 10,000 Treasury Metals Inc. Common Shares Ferron, Greg 5 12/20/2018 10 0.25 443,600 10,000 True North Commercial Real Estate Investment Trust

Trust Units Poklar, Sandy Ivan 4 12/27/2018 10 5.49 12,105 1,500

UEX Corporation Common Shares Thomas, Laurie Margaret 5 12/28/2018 10 0.16 20,000 10,000 UGE International Ltd. Options Ronka, Kristaps 4 12/17/2018 00 UGE International Ltd. Options Ronka, Kristaps 4 12/26/2018 50 0.09 200,000 200,000 Vecima Networks Inc. Common Shares Vecima Networks Inc. 1 12/24/2018 10 8.2 1,128 1,128 VersaPay Corporation Common Shares ROY, SHOUVIK 5 6/11/2018 00 VersaPay Corporation Common Shares ROY, SHOUVIK 5 12/27/2018 10 0.96 25,000 25,000 Visible Gold Mines Inc. Common Shares Dallaire, Martin 4, 5 12/28/2018 10 0.05 339,588 9,000 Vision Lithium Inc. Common Shares Cantore, Victor 4 12/27/2018 10 0.1 83,000 Vision Lithium Inc. Common Shares Cantore, Victor 4 12/27/2018 10 0.1 3,544,880 83,000 Vision Lithium Inc. Common Shares Cantore, Victor 4 12/28/2018 10 0.1 3,551,880 7,000 Vision Lithium Inc. Warrants Cantore, Victor 4 12/24/2018 10 0.01 0 -413,500 Volcanic Gold Mines Inc Common Shares Ridgway, Simon T.P. 4 12/27/2018 10 0.02 3,058,167 96,000 WAVERLEY PHARMA INC. Common Shares Friesen, Albert David 3, 4, 5 4/20/2017 00 WAVERLEY PHARMA INC. Common Shares Friesen, Albert David 3, 4, 5 12/27/2018 10 0.28 8,000 8,000 WAVERLEY PHARMA INC. Common Shares Friesen, Albert David 3, 4, 5 12/27/2018 10 0.27 12,000 4,000 West Fraser Timber Co. Ltd. Common Shares McLaren, Sean Peter 5 12/26/2018 10 49.95 6,500 1,000 West Fraser Timber Co. Ltd. Common Shares West Fraser Timber Co. Ltd. 1 12/24/2018 38 66.518 135,000 15,000 West Fraser Timber Co. Ltd. Common Shares West Fraser Timber Co. Ltd. 1 12/27/2018 38 66.148 150,000 15,000 West Fraser Timber Co. Ltd. Common Shares West Fraser Timber Co. Ltd. 1 12/27/2018 38 45,000 -105,000 West Fraser Timber Co. Ltd. Common Shares West Fraser Timber Co. Ltd. 1 12/28/2018 38 67.613 60,000 15,000 Western Energy Services Corp.

Common Shares Mathison, Ronald 4 12/27/2018 10 0.35 10,042,840 3,000,000

White Metal Resources Corp. Common Shares Stares, Michael 4, 5 12/20/2018 47 0.04 650,000 -130,000 Whitecap Resources Inc. Common Shares Fagerheim, Grant Bradley 4, 5 12/24/2018 10 3.94 676,900 5,000 Whitecap Resources Inc. Common Shares Fagerheim, Grant Bradley 4, 5 12/24/2018 10 3.94 2,053,557 12,233 Whitecap Resources Inc. Common Shares Fagerheim, Grant Bradley 4, 5 12/27/2018 10 4.1393 2,058,893 5,336 Whitecap Resources Inc. Common Shares Fagerheim, Grant Bradley 4, 5 12/28/2018 10 4.1447 2,066,524 7,631 Winpak Ltd Common Shares Suominen, Ilkka Tapio 4, 6 12/18/2018 10 33.4 10,000 -7,500 Winpak Ltd Common Shares Suominen, Ilkka Tapio 4, 6 12/27/2018 10 33.62 6,000 -4,000 Wolverine Energy and Infrastructure Inc.

Convertible Debentures Kiefer, Nikolaus Gerhard Peter

5 12/20/2018 00 $35,000

Xenon Pharmaceuticals Inc. Common Shares Tarnow, Michael M. 4 12/21/2018 47 62,512 -5,000 Ximen Mining Corp. Common Shares Anderson, Christopher Ross 4 12/7/2018 10 0.35 4,099,229 -75,000 Ximen Mining Corp. Common Shares Anderson, Christopher Ross 4 12/27/2018 30 0.3 4,349,229 250,000 XORTX Therapeutics Inc. (formerly: APAC Resources Inc.)

Common Shares Rowlands, William Bruce 4 12/21/2018 10 0.13 155,500 15,000

Xtierra Inc. Common Shares Gallagher, Timothy David 3, 4, 5 12/20/2018 10 0.04 4,438,000 500,000 Xtierra Inc. Common Shares Gallagher, Timothy David 3, 4, 5 12/20/2018 10 0.04 5,454,208 -500,000 Xtierra Inc. Common Shares Gallagher, Timothy David 3, 4, 5 12/24/2018 10 0.04 4,973,208 -481,000 Xtierra Inc. Common Shares Gallagher, Timothy David 3, 4, 5 12/27/2018 10 0.05 4,590,000 152,000 Xtierra Inc. Common Shares Gallagher, Timothy David 3, 4, 5 12/24/2018 10 0.04 6,181,000 481,000 Xtierra Inc. Common Shares Gallagher, Timothy David 3, 4, 5 12/27/2018 10 0.05 6,581,000 400,000 Yangarra Resources Ltd. Common Shares MacKenzie, Neil M. 4 12/21/2018 10 2.32 812,167 20,000 Zenyatta Ventures Ltd. Common Shares Dubé, Francis Jacques 4 12/28/2018 10 0.4 333,400 10,000 Zenyatta Ventures Ltd. Common Shares Fenton, Gregory 4 12/14/2018 10 0.36 22,000 Zenyatta Ventures Ltd. Common Shares Fenton, Gregory 4 12/14/2018 10 0.36 396,000 20,000 Zenyatta Ventures Ltd. Common Shares Fenton, Gregory 4 12/24/2018 10 0.4 457,500 25,000 Zenyatta Ventures Ltd. Common Shares Fenton, Gregory 4 12/24/2018 10 0.42 459,500 2,000 Zenyatta Ventures Ltd. Common Shares Fenton, Gregory 4 12/28/2018 10 0.4 474,500 15,000 Zimtu Capital Corp. Common Shares Hodge, David 4, 5 12/27/2018 10 0.22 324,181 -400,000

Insider Reporting

January 3, 2019

(2019), 42 OSCB 274



Acquired/ Disposed

This summary is for the week ending December 30, 2018. Zimtu Capital Corp. Common Shares Hodge, David 4, 5 12/27/2018 10 0.22 388,008 -13,200 ZTEST Electronics Inc. Common Shares Guerreiro, Kenneth Michael 4 12/24/2018 51 0.1 487,113 100,000 ZTEST Electronics Inc. Options Guerreiro, Kenneth Michael 4 12/24/2018 51 300,000 -100,000

January 3, 2019

(2019), 42 OSCB 275

Chapter 11

IPOs, New Issues and Secondary Financings

INVESTMENT FUNDS

[Editor’s Note: This report covers the week ending December 28, 2018.] Issuer Name: BMO Aggregate Bond Index ETF BMO Canadian Dividend ETF BMO Canadian High Dividend Covered Call ETF BMO China Equity Index ETF (formerly, BMO China Equity Hedged to CAD Index ETF) BMO China Technology ETF BMO Core Balanced Portfolio ETF BMO Core Conservative Portoflio ETF BMO Core Growth Portfolio ETF BMO Corporate Bond Index ETF BMO Covered Call Canadian Banks ETF BMO Covered Call Dow Jones Industrial Average Hedged to CAD ETF BMO Covered Call US Banks ETF BMO Covered Call Utilities ETF BMO Discount Bond Index ETF BMO Dow Jones Industrial Average Hedged to CAD Index ETF BMO Emerging Markets Bond Hedged to CAD Index ETF BMO Equal Weight Banks Index ETF (previously, BMO S&P/TSX Equal Weight Banks Index ETF) BMO Equal Weight Global Base Metals Hedged to CAD Index ETF (prev, BMO S&P/TSX Equal Weight Global Base Metals Hedged) BMO Equal Weight Global Gold Index ETF (previously, BMO S&P/TSX Equal Weight Global Gold Index ETF) BMO Equal Weight Industrials Index ETF (previously, BMO S&P/TSX Equal Weight Industrials Index ETF) BMO Equal Weight Oil & Gas Index ETF (previously, BMO S&P/TSX Equal Weight Oil & Gas Index ETF) BMO Equal Weight REITs Index ETF BMO Equal Weight US Banks Hedged to CAD Index ETF BMO Equal Weight US Banks Index ETF BMO Equal Weight US Health Care Hedged to CAD Index ETF BMO Equal Weight US Health Care Index ETF BMO Equal Weight Utilities Index ETF BMO Europe High Dividend Covered Call ETF BMO Europe High Dividend Covered Call Hedged to CAD ETF BMO Floating Rate High Yield ETF BMO Global Banks Hedged to CAD Index ETF BMO Global Communications Index ETF BMO Global Consumer Discretionary Hedged to CAD Index ETF BMO Global Consumer Staples Hedged to CAD Index ETF BMO Global Infrastructure Index ETF BMO Global Insurance Hedged to CAD Index ETF BMO Government Bond Index ETF BMO High Yield US Corporate Bond Hedged to CAD Index ETF

BMO High Yield US Corporate Bond Index ETF BMO India Equity Index ETF (formerly, BMO India Equity Hedged to CAD Index ETF) BMO International Dividend ETF BMO International Dividend Hedged to CAD ETF BMO Junior Gas Index ETF BMO Junior Gold Index ETF BMO Junior Oil Index ETF BMO Laddered Preferred Share Index ETF (formerly BMO S&P/TSX Laddered Preferred Share Index ETF) BMO Long Corporate Bond Index ETF BMO Long Federal Bond Index ETF BMO Long Provincial Bond Index ETF BMO Long-Term US Treasury Bond Index ETF BMO Low Volatility Canadian Equity ETF BMO Low Volatility Emerging Markets Equity ETF BMO Low Volatility International Equity ETF BMO Low Volatility International Equity Hedged to CAD ETF BMO Low Volatility US Equity ETF BMO Low Volatility US Equity Hedged to CAD ETF BMO Mid Corporate Bond Index ETF BMO Mid Federal Bond Index ETF BMO Mid Provincial Bond Index ETF BMO Mid-Term US IG Corporate Bond Hedged to CAD Index ETF BMO Mid-Term US IG Corporate Bond Index ETF BMO Mid-Term US Treasury Bond Index ETF BMO Monthly Income ETF BMO MSCI All Country World High Quality Index ETF BMO MSCI Canada Value Index ETF BMO MSCI EAFE Hedged to CAD Index ETF (formerly, BMO International Equity Hedged to CAD Index ETF) BMO MSCI EAFE Index ETF BMO MSCI EAFE Value Index ETF BMO MSCI Emerging Markets Index ETF (formerly, BMO Emerging Markets Equity Index ETF) BMO MSCI Europe High Quality Hedged to CAD Index ETF BMO MSCI USA High Quality Index ETF BMO MSCI USA Value Index ETF BMO Nasdaq 100 Equity Hedged to CAD Index ETF BMO Nasdaq 100 Equity Index ETF BMO Real Return Bond Index ETF BMO S&P 500 Hedged to CAD Index ETF (formerly, BMO US Equity Hedged to CAD Index ETF) BMO S&P 500 Index ETF BMO S&P/TSX Capped Composite Index ETF (formerly, BMO Dow Jones Canada Titans 60 Index ETF) BMO Shiller Select US Index ETF BMO Short Corporate Bond Index ETF BMO Short Federal Bond Index ETF


January 3, 2019

(2019), 42 OSCB 276

BMO Short Provincial Bond Index ETF BMO Short-Term Bond Index ETF BMO Short-Term US IG Corporate Bond Hedged to CAD Index ETF BMO Short-Term US Treasury Bond Index ETF BMO Ultra Short-Term Bond ETF (formerly, BMO 2013 Corporate Bond Target Maturity ETF) BMO Ultra Short-Term US Bond ETF (formerly, BMO Short-Term US Bond Index ETF) BMO US Dividend ETF BMO US Dividend Hedged to CAD ETF BMO US High Dividend Covered Call ETF BMO US High Dividend Covered Call Hedged to CAD ETF BMO US Preferred Share Hedged to CAD Index ETF BMO US Preferred Share Index ETF BMO US Put Write ETF BMO US Put Write Hedged to CAD ETF Principal Regulator – Ontario Type and Date: Combined Preliminary and Pro Forma Long Form Prospectus dated December 19, 2018 NP 11-202 Preliminary Receipt dated December 21, 2018 Offering Price and Description: CAD Units, USD Units and Accumulating Units Underwriter(s) or Distributor(s): N/A Promoter(s): BMO Asset Management Inc. Project #2859008 _______________________________________________ Issuer Name: CMP 2019 Resource Limited Partnership Principal Regulator – Ontario Type and Date: Preliminary Long Form Prospectus dated December 17, 2018 NP 11-202 Preliminary Receipt dated December 18, 2018 Offering Price and Description: Maximum Offering: $50,000,000 – 50,000 Limited Partnership Units Minimum Offering: $5,000,000 – 5,000 Units Price per Unit: $1,000 Minimum Subscription: $5,000 (Five Units) Underwriter(s) or Distributor(s): Scotia Capital Inc. CIBC World Markets Inc. National Bank Financial Inc. RBC Dominion Securities Inc. BMO Nesbitt Burns Inc. TD Securities Inc. Industrial Alliance Securities Inc. Echelon Wealth Partners Inc. Canaccord Genuity Corp. Desjardins Securities Inc. Raymond James Ltd. Promoter(s): Goodman & Company, Investment Counsel Inc. Project #2857342 _______________________________________________

Issuer Name: Fidelity Small Cap America Fund Principal Regulator – Ontario Type and Date: Amendment #2 to Final Simplified Prospectus dated December 21, 2018 Received on December 21, 2018 Offering Price and Description: – Underwriter(s) or Distributor(s): Fidelity Investments Canada ULC Fidelity Investments Canada Limited Promoter(s): N/A Project #2822465 _______________________________________________ Issuer Name: Fidelity Small Cap America Class Principal Regulator – Ontario Type and Date: Amendment #3 to Final Simplified Prospectus and Amendment #5 to Annual Information Form dated December 21, 2018 Received on December 21, 2018 Offering Price and Description: – Underwriter(s) or Distributor(s): N/A Promoter(s): Fidelity Investments Canada ULC Project #2729743 _______________________________________________ Issuer Name: Manulife Diversified Investment Fund Principal Regulator – Ontario Type and Date: Amendment #2 to Final Annual Information Form dated December 21, 2018 Received on December 21, 2018 Offering Price and Description: – Underwriter(s) or Distributor(s): Manulife Securities Incorporated/Manulife Securities Investment Services Inc. Promoter(s): N/A Project #2783412 _______________________________________________


January 3, 2019

(2019), 42 OSCB 277

Issuer Name: Stone Money Market Fund (formerly Marquest Money Market Fund) Stone Short Term Income Fund (Corporate Class*) (formerly Marquest Short Term Income Fund (Corporate Class)) Stone Canadian Bond Fund (formerly Marquest Canadian Bond Fund) Stone Monthly Pay Fund (formerly Marquest Monthly Pay Fund) Stone Monthly Pay Fund (Corporate Class*) (formerly Marquest Monthly Pay Fund (Corporate Class)) Stone Global Strategy Fund (formerly Marquest Global Balanced Fund) Stone American Dividend Growth Fund (formerly Marquest American Dividend Growth Fund) Stone American Dividend Growth Fund (Corporate Class*) (formerly Marquest American Dividend Growth Fund (Corporate Class)) Stone Covered Call Canadian Banks Plus Fund (formerly Marquest Covered Call Canadian Banks Plus Fund) Stone Covered Call Canadian Banks Plus Fund (Corporate Class*) (formerly Marquest Covered Call Canadian Banks Plus Fund (Corporate Class)) Stone Small Companies Fund (formerly Marquest Small Companies Fund) Stone Canadian Resource Fund (formerly Marquest Canadian Resource Fund) Stone Canadian Resource Fund (Corporate Class*) (formerly Marquest Canadian Resource Fund (Corporate Class)) Principal Regulator – Ontario Type and Date: Amended and Restated Amendment to Final Simplified Prospectus dated December 14, 2018 Received on December 19, 2018 Offering Price and Description: – Underwriter(s) or Distributor(s): N/A Promoter(s): N/A Project #2781940 _______________________________________________

Issuer Name: Ninepoint 2019 Flow-Through Limited Partnership Principal Regulator – Ontario Type and Date: Preliminary Long Form Prospectus dated December 19, 2018 NP 11-202 Preliminary Receipt dated December 19, 2018 Offering Price and Description: Maximum: $50,000,000 – 2,000,000 Limited Partnership Units Price per Unit: $25 Minimum Subscription: $2,500 – 100 Units Underwriter(s) or Distributor(s): RBC Dominion Securities Inc. CIBC World Markets Inc. TD Securities Inc. National Bank Financial Inc. BMO Nesbitt Burns Inc. Scotia Capital Inc. GMP Securities L.P. Industrial Alliance Securities Inc. Manulife Securities Incorporated Raymond James Ltd. Canaccord Genuity Corp. Desjardins Securities Inc. Echelon Wealth Partners Inc. Promoter(s): Ninepoint 2019 Corporation Project #2858073 _______________________________________________


January 3, 2019

(2019), 42 OSCB 278

Issuer Name: Probity Mining 2019 Short Duration Flow-Through Limited Partnership – British Columbia Class Principal Regulator – British Columbia Type and Date: Preliminary Long Form Prospectus dated December 17, 2018 NP 11-202 Preliminary Receipt dated December 19, 2018 Offering Price and Description: Maximum Offering: aggregate of $30,000,000 comprising $20,000,000 for National Class Units; $5,000,000 for British Columbia Class Units and $5,000,000 for Québec Class Units (2,000,000 NC-A and/or NC-F Units; 500,000 BC-A and/or BC-F Units; and 500,000 QC-A and/or QC-F Units) Minimum Offering: $1,500,000 (150,000 Class A and/or Class F Units). Price per Unit: $10.00 Minimum Subscription: $5,000 (500 Units) Underwriter(s) or Distributor(s): Industrial Alliance Securities Inc. GMP Securities L.P. Canaccord Genuity Corp. Raymond James Ltd. Echelon Wealth Partners Inc. PI Financial Corp. Hampton Securities Limited Laurentian Bank Securities Inc. Promoter(s): Probity Capital Corporation & Probity 2019 Mining Flow Through Management Corp. Project #2857766 _______________________________________________

Issuer Name: Probity Mining 2019 Short Duration Flow-Through Limited Partnership – National Class Principal Regulator – British Columbia Type and Date: Preliminary Long Form Prospectus dated December 17, 2018 NP 11-202 Preliminary Receipt dated December 19, 2018 Offering Price and Description: Maximum Offering: aggregate of $30,000,000 comprising $20,000,000 for National Class Units; $5,000,000 for British Columbia Class Units and $5,000,000 for Québec Class Units (2,000,000 NC-A and/or NC-F Units; 500,000 BC-A and/or BC-F Units; and 500,000 QC-A and/or QC-F Units) Minimum Offering: $1,500,000 (150,000 Class A and/or Class F Units). Price per Unit: $10.00 Minimum Subscription: $5,000 (500 Units) Underwriter(s) or Distributor(s): Industrial Alliance Securities Inc. GMP Securities L.P. Canaccord Genuity Corp. Raymond James Ltd. Echelon Wealth Partners Inc. PI Financial Corp. Hampton Securities Limited Laurentian Bank Securities Inc. Promoter(s): Probity Capital Corporation and Probity 2019 Mining Flow Through Management Corp. Project #2857773 _______________________________________________


January 3, 2019

(2019), 42 OSCB 279

Issuer Name: Probity Mining 2019 Short Duration Flow-Through Limited Partnership – Quebec Class Principal Regulator – British Columbia Type and Date: Preliminary Long Form Prospectus dated December 17, 2018 NP 11-202 Preliminary Receipt dated December 19, 2018 Offering Price and Description: Maximum Offering: aggregate of $30,000,000 comprising $20,000,000 for National Class Units; $5,000,000 for British Columbia Class Units and $5,000,000 for Québec Class Units (2,000,000 NC-A and/or NC-F Units; 500,000 BC-A and/or BC-F Units; and 500,000 QC-A and/or QC-F Units) Minimum Offering: $1,500,000 (150,000 Class A and/or Class F Units). Price per Unit: $10.00 Minimum Subscription: $5,000 (500 Units) Underwriter(s) or Distributor(s): Industrial Alliance Securities Inc. GMP Securities L.P. Canaccord Genuity Corp. Raymond James Ltd. Echelon Wealth Partners Inc. PI Financial Corp. Hampton Securities Limited Laurentian Bank Securities Inc. Promoter(s): Probity Capital Corporation and Probity 2019 Mining Flow Through Management Corp. Project #2857780 _______________________________________________ Issuer Name: BMO Canadian Equity ETF Fund BMO Concentrated Global Equity Fund BMO European Fund BMO International Equity ETF Fund BMO Tactical Balanced ETF Fund BMO Tactical Dividend ETF Fund BMO Tactical Global Asset Allocation ETF Fund BMO U.S. Equity ETF Fund BMO Retirement Income Portfolio BMO Retirement Conservative Portfolio BMO Retirement Balanced Portfolio Principal Regulator – Ontario Type and Date: Amendment #2 to Final Simplified Prospectus dated December 13, 2018 NP 11-202 Receipt dated December 19, 2018 Offering Price and Description: Series A, T4, T6, F, F4, F6, D, I, G, L, ETF Series and Advisor Series Underwriter(s) or Distributor(s): BMO Investments Inc. Promoter(s): BMO Investments Inc. Project #2744768 _______________________________________________

Issuer Name: Dynamic Alpha Performance II Fund Dynamic Premium Yield PLUS Fund Principal Regulator – Ontario Type and Date: Amendment #1 to Final Simplified Prospectus dated December 12, 2018 NP 11-202 Receipt dated December 18, 2018 Offering Price and Description: – Underwriter(s) or Distributor(s): 1832 Asset Management L.P. Promoter(s): 1832 Asset Management L.P. Project #2808545 _______________________________________________ Issuer Name: E Split Corp. Principal Regulator – Alberta (ASC) Type and Date: Final Shelf Prospectus (NI 44-102) dated December 17, 2018 NP 11-202 Receipt dated December 18, 2018 Offering Price and Description: $200,000,000 – Preferred Shares and Class A Shares Underwriter(s) or Distributor(s): N/A Promoter(s): Middlefield Limited Project #2854158 _______________________________________________ Issuer Name: Fidelity Small Cap America Fund Principal Regulator – Ontario Type and Date: Amendment #2 to Final Simplified Prospectus dated December 21, 2018 NP 11-202 Receipt dated December 24, 2018 Offering Price and Description: – Underwriter(s) or Distributor(s): Fidelity Investments Canada ULC Fidelity Investments Canada Limited Promoter(s): N/A Project #2822465 _______________________________________________


January 3, 2019

(2019), 42 OSCB 280

Issuer Name: Fidelity Small Cap America Class Principal Regulator – Ontario Type and Date: Amendment #3 to Final Simplified Prospectus and Amendment #5 to Annual Information Form dated December 21, 2018 NP 11-202 Receipt dated December 24, 2018 Offering Price and Description: – Underwriter(s) or Distributor(s): N/A Promoter(s): Fidelity Investments Canada ULC Project #2729743 _______________________________________________ Issuer Name: Lysander-18 Asset Management Canadian Equity Fund Lysander-Canso Balanced Fund Lysander-Canso Bond Fund Lysander-Canso Broad Corporate Bond Fund Lysander-Canso Corporate Value Bond Fund Lysander-Canso Equity Fund Lysander-Canso Short Term and Floating Rate Fund Lysander-Canso U.S. Credit Fund Lysander-Crusader Equity Income Fund Lysander-Fulcra Corporate Securities Fund Lysander-Roundtable Low Volatility Equity Fund Lysander-Seamark Balanced Fund Lysander-Seamark Total Equity Fund Lysander-Slater Preferred Share Dividend Fund Lysander-Triasima All Country Equity Fund Lysander-Triasima Balanced Income Fund Principal Regulator – Ontario Type and Date: Final Simplified Prospectus dated December 21, 2018 NP 11-202 Receipt dated December 24, 2018 Offering Price and Description: Series A, A5, F, F5 and O units @ net asset value Underwriter(s) or Distributor(s): N/A Promoter(s): N/A Project #2843348 _______________________________________________

Issuer Name: Manulife Diversified Investment Fund Principal Regulator – Ontario Type and Date: Amendment #2 to Final Annual Information Form dated December 21, 2018 NP 11-202 Receipt dated December 21, 2018 Offering Price and Description: – Underwriter(s) or Distributor(s): Manulife Securities Incorporated/Manulife Securities Investment Services Inc. Promoter(s): N/A Project #2783412 _______________________________________________ Issuer Name: Marquest Mutual Funds Inc. – Explorer Series Fund Marquest Mutual Funds Inc. – Flex Dividend and Income Growth Series Fund Principal Regulator – Ontario Type and Date: Final Simplified Prospectus dated December 21, 2018 NP 11-202 Receipt dated December 24, 2018 Offering Price and Description: Series A/Rollover, Series A/Regular and Series F @ net asset value Underwriter(s) or Distributor(s): N/A Promoter(s): N/A Project #2845855 _______________________________________________ Issuer Name: PIMCO Global Short Maturity Fund (Canada) PIMCO Low Duration Monthly Income Fund (Canada) Principal Regulator – Ontario Type and Date: Final Simplified Prospectus dated December 20, 2018 NP 11-202 Receipt dated December 21, 2018 Offering Price and Description: Series A(US$), Series F(US$), Series I, Series I(US$), Series M, Series M(US$), Series O and Series O(US$) units Underwriter(s) or Distributor(s): N/A Promoter(s): PIMCO Canada Corp. Project #2838624 _______________________________________________


January 3, 2019

(2019), 42 OSCB 281

Issuer Name: Renaissance Canadian Equity Private Pool Renaissance Canadian Fixed Income Private Pool Renaissance Emerging Markets Equity Private Pool Renaissance Equity Income Private Pool Renaissance Global Bond Private Pool Renaissance Global Equity Private Pool Renaissance International Equity Private Pool Renaissance Multi-Asset Global Balanced Income Private Pool Renaissance Multi-Asset Global Balanced Private Pool Renaissance Multi-Sector Fixed Income Private Pool Renaissance Real Assets Private Pool Renaissance U.S. Equity Currency Neutral Private Pool Renaissance U.S. Equity Private Pool Renaissance Ultra Short-Term Income Private Pool Principal Regulator – Ontario Type and Date: Final Simplified Prospectus dated December 14, 2018 NP 11-202 Receipt dated December 19, 2018 Offering Price and Description: Class A, Premium Class, Premium-T4 Class, Premium-T6 Class, Class H-Premium, Class H-Premium T4, Class H-Premium T6, Class C, Class F-Premium, Class F-Premium T4, Class F-Premium T6, Class FH-Premium, Class FH-Premium T4, Class FH-Premium T6, Class N-Premium, Class N-Premium T4, Class N-Premium T6, Class NH-Premium, Class NH-Premium T4, Class NH-Premium T6, Class I, Class O units and Class OH units Underwriter(s) or Distributor(s): N/A Promoter(s): N/A Project #2838282 _______________________________________________


January 3, 2019

(2019), 42 OSCB 282

NON-INVESTMENT FUNDS

[Editor’s Note: This report covers the week ending December 28, 2018.] Issuer Name: Alphanco Venture Corp. Principal Regulator – British Columbia Type and Date: Preliminary CPC Prospectus dated December 20, 2018 NP 11-202 Preliminary Receipt dated December 24, 2018 Offering Price and Description: Offering: $400,000.00 – 4,000,000 Common Shares Price: $0.10 per Common Share Underwriter(s) or Distributor(s): Canaccord Genuity Corp. Promoter(s): Joanne Yan Project #2859020 _______________________________________________ Issuer Name: American Aires Inc. Principal Regulator – Ontario Type and Date: Preliminary Long Form Prospectus dated December 20, 2018 NP 11-202 Preliminary Receipt dated December 21, 2018 Offering Price and Description: Minimum Offering: $7,200,000.00 Maximum Offering: $7,560,000.00 Minimum of 24,000,000 Common Shares and up to a Maximum of 25,200,000 Common Shares (the “Offering”) Price: $0.30 Per Common Share Underwriter(s) or Distributor(s): Richardson GMP Limited Promoter(s): Dimitry Serov Igor Serov Project #2845647 _______________________________________________

Issuer Name: Ascendant Resources Inc. Principal Regulator – Ontario Type and Date: Preliminary Shelf Prospectus dated December 21, 2018 NP 11-202 Preliminary Receipt dated December 21, 2018 Offering Price and Description: $100,000,000.00 COMMON SHARES DEBT SECURITIES CONVERTIBLE SECURITIES SUBSCRIPTION RECEIPTS WARRANTS RIGHTS UNITS Underwriter(s) or Distributor(s): – Promoter(s): – Project #2859334 _______________________________________________ Issuer Name: AX1 Capital Corp. Principal Regulator – British Columbia Type and Date: Preliminary Long Form Prospectus dated December 18, 2018 NP 11-202 Preliminary Receipt dated December 19, 2018 Offering Price and Description: 15,432,656 Common Shares Issuable upon the Acquisition of Luxxfolio Network Inc. Underwriter(s) or Distributor(s): – Promoter(s): Kelly Klatik Dean Linden Project #2858151 _______________________________________________ Issuer Name: Canadian Western Bank Principal Regulator – Alberta (ASC) Type and Date: Preliminary Shelf Prospectus dated December 21, 2018 NP 11-202 Preliminary Receipt dated December 24, 2018 Offering Price and Description: $1,000,000,000.00 Debt Securities (subordinated indebtedness) Common Shares First Preferred Shares Underwriter(s) or Distributor(s): – Promoter(s): – Project #2859451 _______________________________________________


January 3, 2019

(2019), 42 OSCB 283

Issuer Name: CARDS II Trust Principal Regulator – Ontario Type and Date: Preliminary Shelf Prospectus dated December 19, 2018 NP 11-202 Preliminary Receipt dated December 20, 2018 Offering Price and Description: Up to $11,000,000,000 Credit Card Receivables Backed Notes Underwriter(s) or Distributor(s): CIBC World Markets Inc. Promoter(s): Andrew Stuart Project #2858325 _______________________________________________ Issuer Name: Cuspis Capital Ltd. Principal Regulator – Ontario Type and Date: Preliminary CPC Prospectus dated December 18, 2018 NP 11-202 Preliminary Receipt dated December 19, 2018 Offering Price and Description: Minimum of $500,000.00 2,500,000 Common Shares Maximum of $1,000,000.00 5,000,000 Common Shares Price: $0.20 per Common Share Underwriter(s) or Distributor(s): Industrial Alliance Securities Inc. Promoter(s): – Project #2857783 _______________________________________________ Issuer Name: First Cobalt Corp. Principal Regulator – Ontario Type and Date: Preliminary Shelf Prospectus dated December 17, 2018 NP 11-202 Preliminary Receipt dated December 19, 2018 Offering Price and Description: $20,000,000.00 – Common Shares, Debt Securities , Warrants, Subscription Receipts Underwriter(s) or Distributor(s): – Promoter(s): – Project #2857618 _______________________________________________

Issuer Name: Gateway Casinos & Entertainment Limited Principal Regulator – British Columbia Type and Date: Amendment #1 dated December 18, 2018 to Preliminary Long Form Prospectus dated November 26, 2018 NP 11-202 Preliminary Receipt dated December 19, 2018 Offering Price and Description: US$* * Common Shares Price: US$* per Common Share Underwriter(s) or Distributor(s): Morgan Stanley Canada Limited Credit Suisse Securities (Canada) Inc, Goldman Sachs Canada Inc. CIBC World Markets Inc, Macquarie Capital Markets Canada Ltd. Promoter(s): – Project #2847262 _______________________________________________ Issuer Name: GK Resources Ltd. Principal Regulator – British Columbia Type and Date: Amendment #1 dated December 20, 2018 to Preliminary Long Form Prospectus dated October 30, 2018 Received on December 20, 2018 Offering Price and Description: 3,000,000 Common Shares Price: $0.15 per Common Share $450,000.00 Underwriter(s) or Distributor(s): PI Financial Corp. Promoter(s): Ian McDonald Project #2835984 _______________________________________________ Issuer Name: Royal Nickel Corporation Principal Regulator – Ontario Type and Date: Preliminary Short Form Prospectus dated December 21, 2018 NP 11-202 Preliminary Receipt dated December 21, 2018 Offering Price and Description: $6,000,240.00 – 13,044,000 COMMON SHARES $0.46 per Offered Share Underwriter(s) or Distributor(s): Haywood Securities Inc. Laurentian Bank Securities Inc. BMO Nesbitt Burns Inc. Canaccord Genuity Corp. Macquarie Capital Markets Canada Ltd. Promoter(s): – Project #2857235 _______________________________________________


January 3, 2019

(2019), 42 OSCB 284

Issuer Name: Shooting Star Acquisition Corp. Principal Regulator – British Columbia Type and Date: Preliminary CPC Prospectus dated December 19, 2018 NP 11-202 Preliminary Receipt dated December 20, 2018 Offering Price and Description: OFFERING: $250,000.00 2,500,000 Common Shares PRICE: $0.10 per Common Share Underwriter(s) or Distributor(s): PI Financial Corp. Promoter(s): Geoff Balderson Project #2858222 _______________________________________________ Issuer Name: Slate Office REIT Principal Regulator – Ontario Type and Date: Preliminary Shelf Prospectus dated December 21, 2018 NP 11-202 Preliminary Receipt dated December 24, 2018 Offering Price and Description: $750,000,000.00 Units Debt Securities Subscription Receipts Underwriter(s) or Distributor(s): – Promoter(s): – Project #2859889 _______________________________________________ Issuer Name: Canadian Apartment Properties Real Estate Investment Trust Principal Regulator – Ontario Type and Date: Final Short Form Prospectus dated December 21, 2018 NP 11-202 Receipt dated December 21, 2018 Offering Price and Description: – Underwriter(s) or Distributor(s): RBC Dominion Securities Inc. CIBC World Markets Inc. Scotia Capital Inc. TD Securities Inc. BMO Nesbitt Burns Inc. National Bank Financial Inc. Canaccord Genuity Corp. Desjardins Securities Inc, Raymond James Ltd. GMP Securities L.P. Industrial Alliance Securities Inc. Promoter(s): – Project #2855983 _______________________________________________

Issuer Name: Mene Inc. Principal Regulator – Ontario Type and Date: Final Short Form Prospectus dated December 18, 2018 NP 11-202 Receipt dated December 18, 2018 Offering Price and Description: Total Offering: – $10,000,200.00 Price Per unit: $0.70 14,286,000 Units Underwriter(s) or Distributor(s): Canaccord Genuity Corp. Promoter(s): Roy Sebag Steve Fray Project #2853782 _______________________________________________ Issuer Name: Minto Apartment Real Estate Investment Trust Principal Regulator – Ontario Type and Date: Final Shelf Prospectus dated December 21, 2018 NP 11-202 Receipt dated December 21, 2018 Offering Price and Description: $750,000,000.00 – Units Debt Securities Subscription Receipts Underwriter(s) or Distributor(s): – Promoter(s): – Project #2855981 _______________________________________________ Issuer Name: Uranium Participation Corporation Principal Regulator – Ontario Type and Date: Final Shelf Prospectus dated December 21, 2018 NP 11-202 Receipt dated December 24, 2018 Offering Price and Description: $200,000,000.00 – Common Shares, Warrants, Units Underwriter(s) or Distributor(s): – Promoter(s): – Project #2856139 _______________________________________________

January 3, 2019

(2019), 42 OSCB 285

Chapter 12

Registrations 12.1.1 Registrants

Type Company Category of Registration Effective Date

Consent to Suspension (Pending Surrender) Forysta Capital Inc. Portfolio Manager December 18, 2018

Consent to Suspension (Pending Surrender) JVAR Capital Limited Portfolio ManagerExempt

Market Dealer December 20, 2018

Voluntary Surrender Cockfield Porretti Cunningham Investment Counsel Inc.

Portfolio Manager December 17, 2018

Change in Registration Category Chronicle Investments Ltd.

From: Portfolio Manager To: Portfolio Manager and Exempt Market Dealer

December 24, 2018

Consent to Suspension (Pending Surrender) Ascend Capital, LLC Portfolio Manager December 27, 2018

Consent to Suspension (Pending Surrender) HNW Management Inc. Portfolio Manager December 31, 2018

Consent to Suspension (Pending Surrender)

GE Capital Markets (Canada) Company Exempt Market Dealer December 21, 2018

Amalgamation

Echelon Wealth Partners Inc. and Dundee Securities Ltd. To form: Echelon Wealth Partners Inc

Investment Dealer December 15, 2018

Registrations

January 3, 2019

(2019), 42 OSCB 286


January 3, 2019

(2019), 42 OSCB 287

Chapter 13

SROs, Marketplaces, Clearing Agencies and Trade Repositories

13.1 SROs 13.1.1 MFDA – Housekeeping Amendments to Sample Auditor’s Reports in MFDA Form 1 – Notice of Commission

Deemed Approval

NOTICE OF COMMISSION DEEMED APPROVAL

MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA)

HOUSEKEEPING AMENDMENTS TO SAMPLE AUDITOR’S REPORTS IN MFDA FORM 1

The Ontario Securities Commission did not object to the classification of the MFDA’s proposed housekeeping amendments to the sample independent auditor’s reports in MFDA Form 1 to reflect the adoption of new auditor reporting standards, Canadian Auditing Standard 700. As a result, the proposed housekeeping amendments are deemed to be approved and are effective immediately. In addition, the British Columbia Securities Commission, the Alberta Securities Commission, the Financial and Consumer Affairs Authority of Saskatchewan, the Financial and Consumer Services Commission of New Brunswick, the Manitoba Securities Commission, the Nova Scotia Securities Commission, and the Prince Edward Island Office of the Superintendent of Securities did not object to the amendments. A copy of the MFDA’s Notice and the text of the approved amendments can be found at http://www.osc.gov.on.ca.


SROs, Marketplaces, Clearing Agencies and Trade Repositories

January 3, 2019

(2019), 42 OSCB 288

13.3 Clearing Agencies 13.3.1 LME Clear Limited – Application for Exemptive Relief – Notice of Commission Order

LME CLEAR LIMITED (LMEC)

APPLICATION FOR EXEMPTIVE RELIEF

NOTICE OF COMMISSION ORDER

On December 21, 2018, the Commission issued an order under section 147 of the Securities Act (Ontario) (OSA) exempting LMEC from the requirement in subsection 21.2(0.1) of the OSA to be recognized as a clearing agency (Order), subject to terms and conditions as set out in the Order. The Commission published LMEC’s application and draft exemption order for comment on November 8, 2018 on the OSC website at http://www.osc.gov.on.ca/en/Marketplaces_lme_20181108_application-for-exemption.htm and at (2018), 41 OSCB 8894. A comment letter was received from TMX Group Limited (TMX). A copy of the comment letter is posted at http://www.osc.gov.on.ca/documents/en/Marketplaces/com_lme_20181207_tmx.pdf. We summarize below the main comments and Staff’s responses to them. In issuing the Order, no substantive changes were made to the draft order published for comment. A copy of the Order is published in Chapter 2 of this Bulletin.

Comment Response

As a general comment, TMX states that while it does not oppose LMEC’s application for exemption, the Commission should consider how its prescriptive rules-based approach to domestic clearing agency regulation and granting such exemptions to foreign based clearing agencies inadvertently undermines the interests of domestic clearing agencies and their users.

As a matter of policy, the OSC’s mandate is to provide protection to investors from unfair, improper or fraudulent practices, to foster fair and efficient capital markets and confidence in capital markets, and to contribute to the stability of the financial system and the reduction of systemic risk. The existence of different regulatory regimes is acknowledged in the CPMI-IOSCO's Principles for financial market infrastructures that requires authorities to cooperate with each other in promoting the safety and efficiency of financial market infrastructures (FMIs). Consistent with past practices, we allow foreign entities (such as LMEC) to enter the Ontario market under the exempted clearing agency status only when we are satisfied that doing so would not pose a significant risk to our capital markets, and that the foreign entity is subject to an appropriate and comparable regulatory oversight regime in their home jurisdiction and we have a cooperating relationship with their home regulator(s).

TMX comments that domestic clearing agencies and their users are put in a competitive disadvantage by this prescriptive rules-based approach as compared to their foreign counterparties when entering the market. TMX cites a few examples that CDS, as a recognised clearing agency is required to adhere to NI 24-102 and CP 24-102, which is comprised of rules and principles, in addition to highly prescriptive recognition orders from three provincial regulations. TMX discusses the requirements and approvals needed with regards to CDS’ fees, governance and rules; while in contrast foreign based clearing agencies are not subject to the same regulatory requirements.

Our approach to recognition or exemption of a foreign-based clearing agency is consistent with our approach to recognition or exemption of domestic clearing agencies. It is based largely on whether the clearing agency poses significant risk to the Ontario capital markets. To the extent the clearing agency does not pose a significant risk to the Ontario capital markets and is subject to an appropriate and comparable regulatory oversight regime carried out by its home jurisdiction, we rely on the oversight of the home regulator, subject to certain terms and conditions to reduce overlap and duplication.

TMX comments that a principles-based regulatory approach would more effectively leverage the expertise and experience of the domestic clearing agencies while enabling regulators to maintain the necessary oversight over systemically important domestic financial market infrastructures.

The OSC will continue to be responsive to market evolution while ensuring that its mandate to provide protection to investors and to contribute to the stability of the financial system and the reduction of systemic risk is maintained.

http://www.osc.gov.on.ca/en/Marketplaces_lme_20181108_application-for-exemption.htm

http://www.osc.gov.on.ca/documents/en/Marketplaces/com_lme_20181207_tmx.pdf

January 3, 2019

(2019), 42 OSCB 289

Chapter 25

Other Information 25.1 Consents 25.1.1 Kingsway Financial Services Inc. – s. 4(b) of Ont. Reg. 289/00 under the OBCA Headnote Consent given to an offering corporation under the Business Corporations Act (Ontario) to continue under the Delaware General Corporation Law. Statutes Cited Business Corporations Act, R.S.O. 1990, c.B.16, as am., s. 181. Delaware General Corporation Law, as am, s. 388. Securities Act, R.S.O. 1990, c. S.5, as am. Regulations Cited Regulation made under the Business Corporations Act, Ont. Reg. 289/00, s. 4(b).

December 18, 2018

IN THE MATTER OF R.R.O. 1990, REGULATION 289/00, AS AMENDED

(the Regulation) MADE UNDER THE BUSINESS CORPORATIONS ACT (ONTARIO),

R.S.O. 1990, c. B.16, AS AMENDED (the OBCA)

AND

IN THE MATTER OF

KINGSWAY FINANCIAL SERVICES INC.

CONSENT (Subsection 4(b) of the Regulation)

UPON the application (the Application) of Kingsway Financial Services Inc. (the Applicant) to the Ontario Securities Commission (the Commission) requesting the Commission’s consent to the Applicant continuing in another jurisdiction pursuant to section 181 of the OBCA (the Continuance); AND UPON considering the Application and the recommendation of the staff of the Commission; AND UPON the Applicant having represented to the Commission that: 1 The Applicant is an offering corporation under the OBCA. 2 The Applicant’s common shares (the Common Shares) are currently listed for trading on the Toronto Stock Exchange

(TSX) and the New York Stock Exchange (NYSE) under the symbol “KFS”. The Applicant also currently has series B warrants (the Warrants) trading on the TSX under the symbol “KFS.WT.V” and on the OTC Market under the symbol “KFSYF”. As at December 5, 2018, the Applicant had 21,787,728 Common Shares issued and outstanding exclusive of restricted shares, and 22,880,178 inclusive of restricted shares.

3 The Applicant intends to apply to the Director pursuant to section 181 of the OBCA (the Application for Continuance)

for authorization to continue as a company under section 388 of the General Corporation Law of the State of Delaware (the DGCL).

Other Information

January 3, 2019

(2019), 42 OSCB 290

4 The DGCL permits foreign jurisdiction corporations to continue under the laws of Delaware. 5 In connection with the Continuance, the Applicant applied to have the Common Shares and the Warrants de-listed from

the TSX, which will be effective at the close of markets on December 19, 2018. 6 The board of directors of the Applicant considers it to be in the best interest of the Applicant to continue under the DGCL

because it will allow the Applicant to eliminate a number of potentially material income tax inefficiencies the Applicant believes it would inevitably encounter, particularly in light of the recent sale of its property-casualty insurance companies including the related distribution to Kingsway America Inc., a subsidiary of the Applicant, of the passive investments owned by its property-casualty insurance companies at the time of closing. The Applicant also believes it will be able to reduce operating expenses and transactional inefficiencies that currently result from being subject to Canadian corporate laws despite having no operations in Canada. The Applicant chose the State of Delaware to be its domicile because the more favourable corporate environment afforded by Delaware will help it compete effectively in raising the capital necessary for it to continue to implement its strategic plan, particularly its announced focus on growing its extended warranty segment with accretive acquisitions.

7 The material rights, duties and obligations of a corporation governed by the DGCL are substantially similar to those of a

corporation governed by the OBCA. Nonetheless, there are several material differences between Ontario and Delaware corporate law. Exhibit F to the Applicant’s management information circular dated November 16, 2018 (the Circular) for a special meeting of shareholders held on December 14, 2018 (the Shareholder Meeting) outlines the most significant differences.

8 The Applicant is a reporting issuer under the Securities Act, R.S.O. 1990, c. S.5, as amended (the Act) and the securities

legislation of Alberta, British Columbia, Manitoba, New Brunswick, Newfoundland and Labrador, Northwest Territories, Nova Scotia, Nunavut, Prince Edward Island, Quebec, Saskatchewan and Yukon (collectively, the Reporting Jurisdictions).

9 The Applicant will remain a reporting issuer in the Reporting Jurisdictions following the Continuance. 10 The Applicant is not in default of any of the provisions of the OBCA, the Act, the regulations or rules made under the Act,

or the securities legislation of the other Reporting Jurisdictions including the regulations or rules made thereunder. 11 The Applicant is not a party to any proceeding or, to the best of its information, knowledge or belief, any pending

proceeding under the Act, the OBCA or the securities legislation of the other Reporting Jurisdictions. 12 The Applicant is not in default of any provision of the rules, regulations or policies of the NYSE or of the TSX. 13 Following the Continuance, the Commission will remain the Applicant’s principal regulator. 14 As the Applicant does not intend to maintain a corporate office in Canada subsequent to the Continuance, the Applicant

has provided an undertaking (the Undertaking) to the Commission that it will complete and file an "Issuer Form of Submission to Jurisdiction and Appointment of Agent for Service of Process" in the form of Schedule "A" thereto (the Submission to Jurisdiction Form) with the Commission through the System for Electronic Document Analysis and Retrieval (SEDAR) promptly following the effective date of the Continuance. The Undertaking also provides that the Applicant will maintain and update the information contained in the Submission to Jurisdiction Form, or furnish a new Submission to Jurisdiction Form, in accordance with the provisions contained therein. The form of Undertaking provided to the Commission is attached as Appendix "A".

15 The Circular disclosed the reasons for, and the implications of, the proposed Continuance. It also disclosed the full

particulars of the dissent rights of the Applicant’s shareholders under section 185 of the OBCA. 16 The Applicant’s shareholders authorized the proposed Continuance at the Shareholder Meeting by 99.91% of the votes

cast. No shareholders exercised dissent rights pursuant to section 185 of the OBCA. 17 Subsection 4(b) of the Regulation requires the Application for Continuance to be accompanied by a consent from the

Commission. 18 Upon receipt of the consent to continue from the Commission, the Applicant will continue under the DGCL, with a planned

effective date of December 31, 2018.

Other Information

January 3, 2019

(2019), 42 OSCB 291

AND UPON the Commission being satisfied that to do so would not be prejudicial to the public interest; THE COMMISSION CONSENTS to the continuance of the Applicant as a corporation under the DGCL. DATED at Toronto, Ontario this 18th day of December, 2018 “Deborah Leckman” “Robert P Hutchison” Commissioner Commissioner Ontario Securities Commission Ontario Securities Commission

Other Information

January 3, 2019

(2019), 42 OSCB 292

APPENDIX “A”

UNDERTAKING To: Ontario Securities Commission (the Commission) Re: Kingsway Financial Services Inc. (the Applicant) Application dated December 6, 2018 for a Consent to continue to Delaware pursuant to clause 4(b) of Ontario Regulation 289/00 made under the Business Corporations Act, R.S.O. 1990, c. B. 16 The Applicant hereby undertakes that it will complete and file an "Issuer Form of Submission to Jurisdiction and Appointment of Agent for Service of Process" in the form of Schedule "A" hereto (the Submission to Jurisdiction Form) with the Commission through the System for Electronic Document Analysis and Retrieval (SEDAR) promptly following the effective date of the Continuance. The Applicant hereby further undertakes that it will maintain and update the information contained in the Submission to Jurisdiction Form, or furnish a new Submission to Jurisdiction Form, in accordance with the provisions contained therein. Dated: December 17, 2018 KINGSWAY FINANCIAL SERVICES INC. “William A. Hickey, Jr.” Executive Vice President and CFO

Other Information

January 3, 2019

(2019), 42 OSCB 293

Schedule A

Issuer Form of Submission to Jurisdiction and Appointment of Agent for Service of Process

1. Name of issuer (the “Issuer”): ________________________________________________________________________

2. Jurisdiction of incorporation, or equivalent, of Issuer: ________________________________________________________________________

3. Address of principal place of business of Issuer: ________________________________________________________________________

4. Description of securities (the “Securities”): ________________________________________________________________________

5. Name of agent for service of process (the “Agent”): ________________________________________________________________________

6. Address for service of process of Agent in Canada (the address may be anywhere in Canada): ________________________________________________________________________

7. The Issuer designates and appoints the Agent at the address of the Agent stated above as its agent upon whom may be served with a notice, pleading, subpoena, summons or other process in an action, investigation or administrative, criminal, quasi-criminal, penal or other proceeding (the "Proceeding") arising out of, relating to or concerning the obligations of the Issuer as a reporting issuer and irrevocably waives any right to raise as a defence in any such Proceeding an alleged lack of jurisdiction to bring such Proceeding.

8. The Issuer irrevocably and unconditionally submits to the non-exclusive jurisdiction of

(a) the judicial, quasi-judicial and administrative tribunals of each of the provinces and territories of Canada in which

the securities have been distributed; and (b) any administrative proceeding in any such province or territory, in any Proceeding arising out of or related to or concerning the obligations of the Issuer as a reporting issuer.

9. Until six years after it has ceased to be a reporting issuer in any Canadian province or territory, the Issuer shall file a new submission to jurisdiction and appointment of agent for service of process in this form at least 30 days before termination of this submission to jurisdiction and appointment of agent for service of process.

10. Until six years after it has ceased to be a reporting issuer in any Canadian province or territory, the Issuer shall file an

amended submission to jurisdiction and appointment of agent for service of process at least 30 days before any change in the name or above address of the Agent.

11. This submission to jurisdiction and appointment of agent for service of process shall be governed by and construed in

accordance with the laws of Ontario. Dated: _______________________________ _____________________________________________ Signature of Issuer _____________________________________________ Print name and title of signing officer of Issuer

Other Information

January 3, 2019

(2019), 42 OSCB 294

AGENT The undersigned accepts the appointment as agent for service of process of Kingsway Financial Services Inc. under the terms and conditions of the appointment of agent for service of process stated above. Dated: _______________________________ _____________________________________________ Signature of Agent _____________________________________________ Print name of person signing and, if Agent is not an individual, the title of the person signing

Other Information

January 3, 2019

(2019), 42 OSCB 295

25.1.2 Canadian Premium Sand Inc. (formerly, Claim Post Resources Inc.) – s. 4(b) of Ont. Reg. 289/00 under the OBCA Headnote Consent given to an offering corporation under the Business Corporations Act (Ontario) to continue under the Business Corporations Act (British Columbia). Statutes Cited Business Corporations Act, R.S.O. 1990, c. B.16, as am., s. 181. Securities Act, R.S.O. 1990, c. S.5, as am. Regulations Cited Regulation made under the Business Corporations Act, Ont. Reg. 289/00, as am., s. 4(b).

IN THE MATTER OF

R.R.O 1990, REGULATION 289/00, AS AMENDED (the REGULATION) UNDER

THE BUSINESS CORPORATIONS ACT (ONTARIO), R.S.O. 1990, c. B.16, AS AMENDED

(the OBCA)

AND

IN THE MATTER OF CANADIAN PREMIUM SAND INC.

(formerly, CLAIM POST RESOURCES INC.)

CONSENT (Subsection 4(b) of the Regulation)

UPON the application (the Application) of Canadian Premium Sand Inc. (formerly, Claim Post Resources Inc.) (the Applicant) to the Ontario Securities Commission (the Commission) requesting the Commission’s consent to the Applicant continuing in another jurisdiction pursuant to section 181 of the OBCA (the Continuance); AND UPON considering the Application and the recommendation of the staff of the Commission; AND UPON the Applicant having represented to the Commission that: 1. The Applicant is an offering corporation incorporated under the OBCA. 2. The Applicant’s Common Shares (the Common Shares) are listed and posted on the TSX Venture Exchange (the TSXV)

under the symbol “CPS”; as of September 24, 2018, the authorized capital of the Applicant consisted of an unlimited number of Common Shares, of which 318,666,899 Common Shares were issued and outstanding.

3. The Applicant intends to apply to the Director pursuant to section 181 of the OBCA (the Application for Continuance)

for authorization to continue under the Canada Business Corporations Act, R.S.C. 1985, c. C-44, as amended (the CBCA).

4. The Application for Continuance is being made in connection with the transfer of the Applicant’s registered and head

office to Calgary, Alberta. The Application for Continuance has been proposed to facilitate the future business of the Applicant as its registered and head office will now be in Alberta and its operations will be primarily carried on in western Canada.

5. The material rights, duties and obligations of a corporation governed by the CBCA are substantially similar to those of a

corporation governed by the OBCA. 6. The Applicant is a reporting issuer under the Securities Act (Ontario) R.S.O. 1990, c. S.5, as amended (the Act), the

Securities Act (British Columbia), R.S.B.C. 1996, c.418 (the BCSA) and the Securities Act (Alberta), R.S.A. 2000, c. S-4 (together with the BCSA, the Legislation) and will remain a reporting issuer in these jurisdictions following the Continuance.

Other Information

January 3, 2019

(2019), 42 OSCB 296

7. The Applicant is not in default under any provision of the OBCA, the Act or the Legislation, including the regulations made thereunder.

8. The Applicant is not a party to any proceeding under the OBCA, the Act or the Legislation. 9. The Applicant is not in default of any provision of the rules, regulations or policies of the TSXV. 10. The Commission is currently the principal regulator of the Applicant, however, the Applicant intends to have the Alberta

Securities Commission become the principal regulator after the proposed Continance is completed. 11. The Applicant’s head office is located at Suite 400, 522 11th Avenue S.W., Calgary, Alberta T2R 0C8. 12. The Applicant’s management information circular dated September 24, 2018 (the Circular) in respect of the Applicant’s

annual and special meeting of shareholders held on October 25, 2018 (the Meeting), described the proposed Continuance and disclosed the reasons for it and its implications.

13. The Applicant’s shareholders authorized the Continuance at the Meeting by a special resolution that was approved by

100% of the votes cast; no shareholder exercised dissent rights pursuant to section 185 of the OBCA. 14. Subsection 4(b) of the Regulation requires the Application for Continuance to be accompanied by a consent from the

Commission. AND UPON the Commission being satisfied that to do so would not be prejudicial to the public interest; THE COMMISSION HEREBY CONSENTS to the continuance of the Applicant as a corporation under the CBCA. DATED at Toronto, Ontario this 21st day of December 2018. “Deborah Leckman” Commissioner “Robert P Hutchison” Commissioner

January 3, 2019

(2019), 42 OSCB 297

Index Allegro Balanced Growth Fund Decision ....................................................................... 21 Alto Monthly Income & Global Growth Fund Decision ....................................................................... 21 Ascend Capital, LLC Consent to Suspension (Pending Surrender).............. 285 Avion Gold Corporation Order ............................................................................. 70 Bakshi, Prabhjot Singh Notice from the Office of the Secretary ......................... 20 Order – ss. 127(1), 127(10)........................................... 71 Reasons and Decision – ss. 127(1), 127(10) ................ 89 Best, Jeffrey Notice of Hearing with Related Statement of Allegations – ss. 127, 127.1 ............................................ 2 Notice from the Office of the Secretary ......................... 19 Blizzard, Johnny Notice of Hearing with Related Statement of Allegations – ss. 127, 127.1 ............................................ 2 Notice from the Office of the Secretary ......................... 19 Blocplay Entertainment Inc. Cease Trading Order .................................................... 97 Brandes Investment Partners & Co. Decision ........................................................................ 32 Canadian Premium Sand Inc. Consent – s. 4(b) of Ont. Reg. 289/00 under the OBCA .................................................................... 295 Chronicle Investments Ltd. Change in Registration Category ................................ 285 Claim Post Resources Inc. Consent – s. 4(b) of Ont. Reg. 289/00 under the OBCA .................................................................... 295 Cockfield Porretti Cunningham Investment Counsel Inc. Voluntary Surrender .................................................... 285 Colwill, Matthew Notice of Hearing with Related Statement of Allegations – ss. 127, 127.1 ............................................ 2 Notice from the Office of the Secretary ......................... 19 Compass Gold Corporation Order – s. 1(11)(b) ........................................................ 68

Craig, Brian Decision........................................................................ 48 Dundee Securities Ltd. Amalgamation ............................................................ 285 Echelon Wealth Partners Inc. Amalgamation ............................................................ 285 El-Bouji, Issam Notice from the Office of the Secretary ........................ 19 Electrameccanica Vehicles Corp. Decision........................................................................ 37 First Asset Active Credit ETF Decision........................................................................ 26 First Asset Core Canadian Equity ETF Decision........................................................................ 26 First Asset Core U.S. Equity ETF Decision........................................................................ 26 First Asset Investment Management Inc. Decision........................................................................ 26 Forysta Capital Inc. Consent to Suspension (Pending Surrender) ............. 285 Gallagher, Liam Notice of Hearing with Related Statement of Allegations – ss. 127, 127.1 ........................................... 2 Notice from the Office of the Secretary ........................ 19 GE Capital Markets (Canada) Company Consent to Suspension (Pending Surrender) ............. 285 Greystone Canadian Equity Income & Growth Fund Decision........................................................................ 32 Henderson, Tim Notice of Hearing with Related Statement of Allegations – ss. 127, 127.1 ........................................... 2 Notice from the Office of the Secretary ........................ 19 Héroux-Devtek Inc. Decision........................................................................ 45 Hiku Brands Company Ltd. Order ............................................................................ 64 HNW Management Inc. Consent to Suspension (Pending Surrender) ............. 285

Index

January 3, 2019

(2019), 42 OSCB 298

I.G. Investment Management, Ltd. Decision ....................................................................... 21 IG Mackenzie Canadian Equity Growth Fund Decision ....................................................................... 21 IG Mackenzie Cundill Global Value Fund Decision ....................................................................... 21 IG Mackenzie Income Fund Decision ....................................................................... 21 IG Mackenzie Ivy Canadian Balanced Fund Decision ....................................................................... 21 IG Putnam Emerging Markets Income Fund Decision ....................................................................... 21 IG Putnam Low Volatility U.S. Equity Fund Decision ....................................................................... 21 IG Putnam U.S. High Yield Income Fund Decision ....................................................................... 21 Investors Canadian Bond Fund Decision ....................................................................... 21 Investors Canadian Equity Fund Decision ....................................................................... 21 Investors Canadian Growth Fund Decision ....................................................................... 21 Investors Canadian Large Cap Value Fund Decision ....................................................................... 21 Investors Canadian Small Cap Fund Decision ....................................................................... 21 Investors Canadian Small Cap Growth Fund Decision ....................................................................... 21 Investors Core U.S. Equity Fund Decision ....................................................................... 21 Investors Global Fund Decision ....................................................................... 21 Investors Global Real Estate Fund Decision ....................................................................... 21 Investors Mutual of Canada Decision ....................................................................... 21 Investors North American Equity Fund Decision ....................................................................... 21 Investors U.S. Dividend Growth Fund Decision ....................................................................... 21 Investors U.S. Large Cap Value Fund Decision ....................................................................... 21

JVAR Capital Limited Consent to Suspension (Pending Surrender) ............. 285 Katanga Mining Limited Notice of Hearing with Related Statement of Allegations – ss. 127, 127.1 ........................................... 2 Notice from the Office of the Secretary ........................ 19 Cease Trading Order .................................................... 97 Kingsway Financial Services Inc. Consent – s. 4(b) of Ont. Reg. 289/00 under the OBCA ................................................................... 289 LME Clear Limited Order – s. 147 .............................................................. 72 Clearing Agencies – Application for Exemptive Relief – Notice of Commission Order ......................... 288 Logan Resources Ltd. Decision........................................................................ 61 Lubbe, Jacques Notice of Hearing with Related Statement of Allegations – ss. 127, 127.1 ........................................... 2 Notice from the Office of the Secretary ........................ 19 Mainstream Minerals Corporation Order – s. 144 .............................................................. 66 MFDA SROs – Housekeeping Amendments to Sample Auditor’s Reports in MFDA Form 1 – Notice of Commission Deemed Approval .................................. 287 Mistakidis, Aristotelis Notice of Hearing with Related Statement of Allegations – ss. 127, 127.1 ........................................... 2 Notice from the Office of the Secretary ........................ 19 NCM Asset Management Ltd. Decision........................................................................ 54 NCM Balanced Income Portfolio Decision........................................................................ 54 NCM Conservative Income Portfolio Decision........................................................................ 54 NCM Growth and Income Portfolio Decision........................................................................ 54 NCM High Income Fund Decision........................................................................ 54 NCM Premium Growth Class Decision........................................................................ 54 NCM Tactical Opportunities Fund Decision........................................................................ 54 Netgear, Inc. Decision........................................................................ 29

Index

January 3, 2019

(2019), 42 OSCB 299

Performance Sports Group Ltd. Cease Trading Order .................................................... 97 PGIM, Inc. Order – s. 80 of the CFA ............................................... 79 Psihopedas, Maria Notice of Withdrawal ....................................................... 1 Notice from the Office of the Secretary ......................... 20 RBC Global Asset Management Inc. Decision ........................................................................ 41 SBC Financial Group Inc. Notice from the Office of the Secretary ......................... 20 Order – ss. 127(1), 127(10)........................................... 71 Reasons and Decision – ss. 127(1), 127(10) ................ 89 Serinus Energy Plc Decision ........................................................................ 58 Solium Capital Inc. Decision ........................................................................ 48 Teck Resources Limited Decision ........................................................................ 51

Index

January 3, 2019

(2019), 42 OSCB 300
