OSC Bulletin - Westlaw Canada

The Ontario Securities Commission

OSC Bulletin

September 26, 2019

Volume 42, Issue 39

(2019), 42 OSCB

The Ontario Securities Commission administers the Securities Act of Ontario (R.S.O. 1990, c. S.5) and the

Commodity Futures Act of Ontario (R.S.O. 1990, c. C.20)

The Ontario Securities Commission Published under the authority of the Commission by: Cadillac Fairview Tower Thomson Reuters 22nd Floor, Box 55 One Corporate Plaza 20 Queen Street West 2075 Kennedy Road Toronto, Ontario Toronto, Ontario M5H 3S8 M1T 3V4 416-593-8314 or Toll Free 1-877-785-1555 416-609-3800 or 1-800-387-5164 Contact Centre – Inquiries, Complaints: Fax: 416-593-8122 TTY: 1-866-827-1295 Office of the Secretary: Fax: 416-593-2318

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September 26, 2019

(2019), 42 OSCB

Table of Contents

Chapter 1 Notices ................................................... 7783 1.1 Notices ........................................................... (nil) 1.2 Notices of Hearing ......................................... (nil) 1.3 Notices of Hearing with Related Statements of Allegations ............................ (nil) 1.4 Notices from the Office of the Secretary ............................................ 7783 1.4.1 Sentry Investments Inc. and Sean Driscoll ..... 7783 1.4.2 Sean Daley et al. ............................................ 7783 1.5 Notices from the Office of the Secretary with Related Statements of Allegations ............................ (nil) Chapter 2 Decisions, Orders and Rulings ............ 7785 2.1 Decisions ...................................................... 7785 2.1.1 Mackenzie Financial Corporation and Mackenzie China Bond Fund ......................... 7785 2.1.2 Ninepoint Partners LP .................................... 7789 2.1.3 Emera Incorporated et al. ............................... 7793 2.1.4 Digital Consumer Dividend Fund ................... 7799 2.1.5 Royal Bank of Canada.................................... 7802 2.2 Orders............................................................ 7809 2.2.1 Sentry Investments Inc. and Sean Driscoll – s. 144 ............................................................. 7809 2.2.2 Sean Daley et al. – ss. 127(8), 127(1) ............ 7810 2.3 Orders with Related Settlement Agreements .................................................... (nil) 2.4 Rulings ........................................................... (nil) Chapter 3 Reasons: Decisions, Orders and Rulings .................................................... (nil) 3.1 OSC Decisions ............................................... (nil) 3.2 Director’s Decisions ...................................... (nil) Chapter 4 Cease Trading Orders ........................... 7811 4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders ......................... 7811 4.2.1 Temporary, Permanent & Rescinding Management Cease Trading Orders .............. 7811 4.2.2 Outstanding Management & Insider Cease Trading Orders .................................... 7811 Chapter 5 Rules and Policies.................................. (nil) Chapter 6 Request for Comments .......................... (nil) Chapter 7 Insider Reporting................................... 7813 Chapter 9 Legislation .............................................. (nil) Chapter 11 IPOs, New Issues and Secondary Financings ............................................. 7877 Chapter 12 Registrations ......................................... 7883 12.1.1 Registrants ..................................................... 7883

Chapter 13 SROs, Marketplaces, Clearing Agencies and Trade Repositories ............................... 7885

13.1 SROs ............................................................. 7885 13.1.1 MFDA – Continuing Education Requirements for MFDA Members and their Approved Persons – Notice of Commission Approval .... 7885 13.2 Marketplaces ................................................ 7886 13.2.1 Canadian Securities Exchange – System Functionality – Closing Price Session – Notice of Approval ......................................... 7886 13.3 Clearing Agencies ......................................... (nil) 13.4 Trade Repositories ........................................ (nil) Chapter 25 Other Information ................................... (nil) Index ............................................................................ 7887

September 26, 2019

(2019), 42 OSCB 7783

Chapter 1

Notices 1.4 Notices from the Office of the Secretary 1.4.1 Sentry Investments Inc. and Sean Driscoll

FOR IMMEDIATE RELEASE September 23, 2019

SENTRY INVESTMENTS INC. and

SEAN DRISCOLL, File No. 2019-33

TORONTO – The Commission issued an Order in the above named matter. A copy of the Order dated September 20, 2019 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)

1.4.2 Sean Daley et al.

FOR IMMEDIATE RELEASE September 24, 2019

SEAN DALEY; and

SEAN DALEY carrying on business as the ASCENSION FOUNDATION,

OTO.Money, SilentVault, and CryptoWealth;

WEALTH DISTRIBUTED CORP.; CYBERVISION MMX INC.; KEVIN WILKERSON; and AUG ENTERPRISES INC.,

File No. 2019-28 TORONTO – The Commission issued an Order in the above named matter. A copy of the Order dated September 24, 2019 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)

Notices

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(2019), 42 OSCB 7784

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(2019), 42 OSCB 7785

Chapter 2

Decisions, Orders and Rulings 2.1 Decisions 2.1.1 Mackenzie Financial Corporation and

Mackenzie China Bond Fund Headnote National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – Exemption granted to permit a Canadian exchange-traded mutual fund to invest in an underlying fund based in Hong Kong whose securities would meet the definition of index participation unit in NI 81-102, but for the fact that they are listed on the Stock Exchange of Hong Kong – relief is subject to certain conditions and requirements including the underlying fund is not a synthetic ETF – National Instrument 81-102 Investment Funds. Applicable Legislative Provisions National Instrument 81-102 Investment Funds, ss. 2.1(1),

2.5(2)(a) and (c), 19.1.

September 18, 2019

IN THE MATTER OF THE SECURITIES LEGISLATION OF

ONTARIO (the Jurisdiction)

AND

IN THE MATTER OF

THE PROCESS FOR EXEMPTIVE RELIEF APPLICATIONS

IN MULTIPLE JURISDICTIONS

AND

IN THE MATTER OF MACKENZIE FINANCIAL CORPORATION

(the Filer)

AND

IN THE MATTER OF MACKENZIE CHINA BOND FUND

(The Proposed Fund)

DECISION Background The principal regulator in the Jurisdiction has received an application from the Filer on behalf of the Proposed Fund for a decision under the securities legislation of the Jurisdiction of the principal regulator (the Legislation) for

an exemption, pursuant to section 19.1 of National Instrument 81-102 Investment Funds (NI 81-102) from subsection 2.1(1) and paragraphs 2.5(2)(a) and 2.5(2)(c) of NI 81-102 to permit the Proposed Fund to purchase securities of the Underlying ETF (as defined below) (the Requested Relief). Under the Process for Exemptive Relief Applications in Multiple Jurisdictions (for a passport application): (a) the Ontario Securities Commission is the principal

regulator for this application; and (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, Manitoba, Québec, New Brunswick, Nova Scotia, Prince Edward Island, Newfoundland and Labrador, the Northwest Territories, Nunavut and Yukon (the Other Jurisdictions).

Interpretation Terms defined in NI 81-102, National Instrument 14-101 Definitions, and MI 11-102 have the same meaning if used in this decision, unless otherwise defined. Representations This decision is based on the following facts represented by the Filer:

1. The Filer is a corporation amalgamated under the

laws of Ontario with its head office in Toronto, Ontario.

2. The Filer is registered as an investment fund manager, portfolio manager, exempt market dealer and commodity trading manager in Ontario. The Filer is also registered as a portfolio manager and exempt market dealer in all other Canadian provinces and territories and as an investment fund manager in Newfoundland and Labrador and Québec.

3. The Filer will be the manager and trustee of the Proposed Fund.

4. The Proposed Fund will be (i) an open-ended mutual fund trust established under the laws of the province of Ontario, (ii) a reporting issuer under the laws of all of the Jurisdictions, and (iii) governed by NI 81-102, subject to exemptive relief granted by the securities regulatory authorities.

5. Securities of the Proposed Fund will be qualified

Decisions, Orders and Rulings

September 26, 2019

(2019), 42 OSCB 7786

for distribution in all of the provinces and territories in Canada under a simplified prospectus filed in accordance with NI 81-101 and, accordingly, the Proposed Fund will be a reporting issuer in one or more provinces and territories of Canada.

6. The Filer is not in default of securities legislation in any jurisdiction of Canada.

7. The investment objective of the Proposed Fund is expected to be substantially as follows: “Mackenzie China Bond Fund seeks to replicate, to the extent reasonably possible and before fees and expenses, the performance of the Bloomberg Barclays Treasury + Policy Bank Total Return Index (the Index), or any successor thereto, by investing directly in the constituent securities of the Index, or indirectly through China AMC Bloomberg Barclays China Treasury + Policy Bank Bond Index ETF (the Underlying ETF) or other exchange-traded funds that track the Bloomberg Barclays China Treasury + Policy Bank Total Return Index. Mackenzie China Bond Fund has significant exposure to Chinese issuers.”

8. In order to achieve its investment objective, the Proposed Fund will invest primarily in units of the Underlying ETF. The Underlying ETF seeks to provide investment results that, before fees and expenses, closely correspond to the performance of the Index.

The Underlying Manager 9. China Asset Management (Hong Kong) Limited

(the Underlying Manager) is the manager of the Underlying ETF.

10. The Underlying Manager was incorporated in 2008 under the laws of Hong Kong and is a fully-owned subsidiary of China Asset Management Co., Ltd (China AMC).

11. The Underlying Manager is licensed by the Hong Kong Securities and Futures Commission (the HK Commission) to carry on three regulated activities under the Securities and Futures Ordinance (SFO): (i) dealing in securities; (ii) advising on securities; and (iii) asset management. The HK Commission is an Ordinary Member of the International Organization of Securities Commissions (IOSCO).

12. As of June 30, 2019, (i) the Filer owns a 13.9% interest in China AMC; and (ii) Power Corporation of Canada, the ultimate parent company of the Filer, owns a 13.9% interest in China AMC.

The Underlying ETF 13. The Underlying ETF is a sub-fund of the

ChinaAMC Global ETF Series, an umbrella unit trust established under Hong Kong law by a trust deed between the Underlying Manager, as

manager, and HSBC Institutional Trust Services (Asia) Limited, as trustee.

14. The Underlying ETF was established on June 6, 2018 and commenced trading on the Stock Exchange of Hong Kong Limited (the SEHK) pursuant to a prospectus dated February 2018 (the HK Prospectus).

15. As at July 19, 2019, the Underlying ETF held RMB67,657,147.42 (approximately equal to C$12,761,788.26 based on the Bank of Canada exchange rate as at August 6, 2019) in assets under management.

16. It is the Filer’s understanding that the HK Prospectus complies with the Rules Governing the Listing of Securities on the SEHK, the Code on Unit Trusts and Mutual Funds and the “Overarching Principles” of the Securities and Futures Commission Handbook for Unit Trusts and Mutual Funds, Investment-Linked Assurance Schemes and Unlisted Structured Investment Products for the purposes of giving information with regard to the securities of the Underlying ETF.

17. The Underlying ETF is a “mutual fund” within the meaning of applicable Canadian securities legislation.

18. The investment objective of the Underlying ETF is to seek to provide investment results that, before deduction of fees and expenses, closely correspond to the performance of the Index. The Underlying Manager seeks to achieve its investment objective by primarily investing in securities comprising the Index.

19. The Underlying ETF employs a passive investment strategy.

20. HSBC Institutional Trust Services (Asia) Limited is the trustee and registrar of the Underlying ETF.

21. The Hongkong and Shanghai Banking Corporation Limited is the custodian of the Underlying ETF.

The Index 22. The Index was launched on January 1, 2004 and

is calculated and maintained by Bloomberg Index Services Limited.

23. The Filer and the Underlying Manager are independent of Bloomberg Index Services Limited.

24. The Index includes all securities that are constituent securities of the Bloomberg Barclays China Aggregate Index Treasury Bonds and Policy Bank Bonds. Eligible constituent securities of the Bloomberg Barclays China Aggregate Index are RMB-denominated debt securities listed on the PRC inter-bank bond market that fulfill certain disclosed criteria, including that the bonds must


September 26, 2019

(2019), 42 OSCB 7787

have at least one year until final maturity, must carry a fixed rate coupon and must have a par value of at least RMB5 billion for treasury and government-related securities (including policy banks). The number of constituent securities is variable and there is no limit to the number of constituents.

25. The Index is a total return index. A total return index calculates the performance of the index constituents on the basis that any dividends or distributions are reinvested.

26. The methodology for the selection and weighting of the Index constituents, including the names of the issuers included in the Index, is publicly available and updated from time to time. The Index information is widely quoted and broadly disseminated by major market data vendors, including Bloomberg and Reuters.

Reasons for the Requested Relief 27. But for the requirement in the definition of “index

participation unit” that a security be traded on a stock exchange in Canada or the United States, securities of the Underlying ETF would be “index participation units”.

28. The Proposed Fund seeks to obtain indirect exposure to the securities of the Index, including through the Underlying ETF, on the same basis as would be permitted under subsection 2.1(1) and paragraphs 2.5(2)(a) and 2.5(2)(c) of NI 81-102, as if the securities of the Underlying ETF were listed on a stock exchange in Canada or the United States and were, as a result, index participation units.

29. The investment objectives and strategies of the Underlying ETF are such that the Underlying ETF will invest in a manner that is consistent with the investment restrictions within NI 81-102.

30. Given that the Principal Regulator and the HK Commission are both members of IOSCO, the Filer submits that the regulatory regime applicable to the Underlying ETF and Proposed Fund have demonstrated their commitment to developing, implementing and promoting adherence to internationally recognized and consistent standards of regulation, oversight and enforcement in order to protect investors and maintain fair, efficient and transparent markets.

31. No management fees or incentive fees will be payable by the Proposed Fund that, to a reasonable person, would duplicate a fee payable by such Underlying ETF for the same service.

32. The regulatory regime, administration, operation, investment objectives and restrictions applicable to the Underlying ETF are comparable to those applicable to the Proposed Fund and therefore

make securities of the Underlying ETF an appropriate investment for the Proposed Fund.

33. As the Underlying Manager is subject to the laws of Hong Kong and licensed to carry on three regulated activities: (i) to deal in securities, (ii) advise in securities, and (iii) asset management, by the HK Commission, the Underlying Manager is subject to similar regulatory oversight as the Filer, which is primarily regulated by the Principal Regulator.

34. The SEHK is subject to similar regulatory oversight to securities exchanges in Canada and the United States and therefore the listing requirements and regulatory oversight of the SEHK should be recognized as providing an appropriate trading platform for securities purchased, directly or indirectly, by the Proposed Fund on an equivalent basis to the way in which the listing requirements and regulatory oversight of securities exchanges in Canada and the United States are so recognized.

35. The Underlying ETF is subject to the following regulatory requirements:

a. The Underlying ETF is required to prepare a prospectus that discloses material facts similar to the disclosure requirements under Form 41-101F2 Information Required in an Investment Fund Prospectus.

b. The Underlying ETF prepares fact sheets and/or key investor information documents which, taken together, provide disclosure that is similar to ETF Facts Document prescribed by Form 41-101F4 Information Required in an ETF Facts Document.

c. The Underlying ETF is subject to continuous disclosure obligations which are substantially similar to the disclosure obligations under National Instrument 81-106 Investment Fund Continuous Disclosure.

d. The Underlying ETF is required to update information of material significance in the prospectus and to prepare semi-annual (unaudited) and annual financial statements (audited).

e. The Underlying ETF is subject to investment restrictions concerning the Underlying ETF's portfolio concentration, ability to control issuers in its portfolio, the liquidity of its portfolio securities, investments in other investment funds, investments in real estate, short selling, writing of call options, and securities lending.


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(2019), 42 OSCB 7788

f. The Underlying ETF is generally not permitted to invest more than 10% of its net asset value in securities of any single issuer or to hold more than 10% of a class of securities of any single issuer, except for securities of issuers that are constituents of the Index which account for more than 10% of the weighting of the Index and the Underlying Fund’s holding of any such constituent securities does not exceed their respective weightings in the Index, except where the weightings are exceeded as a result of changes in the composition of the Index and the excess is only transitional and temporary in nature, or otherwise approved by the Hong Kong Securities Clearing Company Limited and the HK Commission.

g. The Underlying ETF does not invest in financial derivatives instruments (and has not adopted a synthetic replication strategy) and does not intend to engage in securities lending or repurchase transactions in respect of its portfolio.

36. In the absence of the Requested Relief:

a. the Proposed Fund would not be able to rely on the exemption available for "index participation units" in paragraph 2.1(2) because index participation units are currently defined to be securities that are traded in Canada or the United States only, and accordingly, the Proposed Fund would be prohibited from purchasing or holding units of the Underlying ETF if, immediately after any such purchase, more than 10% of the net asset value Proposed Fund would be invested in units of the Underlying ETF.

b. The Proposed Fund would not be able to rely on the exemption available for "index participation units" in paragraph 2.5(3) because index participation units are currently defined to be securities that are traded in Canada or the United States only, and accordingly, the Proposed Fund would be prohibited from purchasing or holding units of the Underlying ETF.

Decision The principal regulator is satisfied that the decision meets the test set out in the Legislation for the principal regulator to make the decision. The decision of the principal regulator under the Legislation is that the Requested Relief is granted provided that: 1. the Underlying ETF is not a “synthetic ETF”,

meaning that the Underlying ETF will not

principally rely on an investment strategy that makes use of swaps or other derivatives to gain an indirect financial exposure to the return of the Index;

2. the prospectus of the Proposed Fund discloses the fact that the Proposed Fund has obtained relief to invest in the Underlying ETF;

3. the investment objective of the Proposed Fund names the Underlying ETF;

4. the investment objective of the Proposed Fund will state that the Proposed Fund will seek to replicate, to the extent possible, the performance of the Index; and

5. in the event that the regulatory regime applicable to the Underlying ETF is changed in any material way, the Proposed Fund does not acquire any additional securities of the Underlying ETF, and disposes of any securities of the Underlying ETF then held, within six months.

The Requested Relief will terminate six months after the coming into force of any amendments to paragraphs 2.5(a) or (c) of NI 81-102 that restrict or regulate the Proposed Fund's ability to invest in the Underlying ETF. “Darren McKall” Manager Investment Funds and Structured Products Branch Ontario Securities Commission


September 26, 2019

(2019), 42 OSCB 7789

2.1.2 Ninepoint Partners LP Headnote National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – relief granted from short selling restrictions in NI 81-102 to permit a alternative mutual funds to short sell “government securities”, as defined in NI 81-102, up to 300% of NAV – relief also granted from the requirement in section 6.1 of NI 81-102 in order to deposit with the Prime Broker, excluding the value of the proceeds from collateral, additional collateral subject to limits of, in the case of an Alternative Fund, 25% of the net asset value. Applicable Legislative Provisions National Instrument 81-102 Investment Funds – ss.

2.6.1(1)(c)(v), 2.6.2, 6.1, 6.8.1, and 19.1.

September 18, 2019


ONTARIO (the Jurisdiction)

AND

IN THE MATTER OF

THE PROCESS FOR EXEMPTIVE RELIEF APPLICATIONS


AND

IN THE MATTER OF NINEPOINT PARTNERS LP

(the Filer)

DECISION Background The principal regulator in the Jurisdiction has received an application from the Filer on behalf of Ninepoint Alternative Credit Opportunities Fund (the Existing Fund), and any alternative mutual fund established in the future and managed by the Filer or an affiliate of the Filer (each, a Future Fund and, together with the Existing Fund, the Funds), for a decision under the securities legislation of the principal regulator (the Legislation) exempting the Funds from: i. the following provisions of National Instrument 81-

102 Investment Funds (NI 81-102) in order to permit each Fund to short sell “government securities” (as defined in NI 81-102) up to a maximum of 300% of a Fund’s net asset value (NAV):

a) subparagraph 2.6.1(1)(c)(v), which

restricts a Fund from selling a security

short if, at the time, the aggregate market value of the securities sold short by the Fund exceeds 50% of the Fund’s NAV; and

b) section 2.6.2, which states that a Fund

may not borrow cash or sell securities short if, immediately after entering into a cash borrowing or short selling transaction, the aggregate value of cash borrowed combined with the aggregate market value of the securities sold short by the Fund would exceed 50% of the Fund’s NAV.

(together, the Short Selling Limits) ii. the requirement set out in section 6.1(1) of 81-102

that provides that, except as provided in section 6.8, 6.8.1 and 6.9, all portfolio assets of an investment fund must be held under the custodianship of one custodian that satisfies the requirements of section 6.2 in order to permit the following:

a) unless the borrowing agent is the Fund’s

custodian or sub-custodian, if a Fund deposits portfolio assets with a borrowing agent as security in connection with a short sale of securities, the aggregate market value of portfolio assets held by the borrowing agent after such deposit, excluding the aggregate market value of the proceeds from outstanding short sales of securities held by the borrowing agent, must not in the case of an alternative mutual fund, exceed 25% of the net asset value of the alternative mutual fund at the time of deposit.

(the Short Selling Collateral Limit)

(collectively, the Exemption Sought).

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

(a) the Ontario Securities Commission is the principal regulator for the 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 all of the provinces and territories of Canada other than the Jurisdiction (together with the Jurisdiction, the Jurisdictions).


September 26, 2019

(2019), 42 OSCB 7790

Interpretation Terms defined in National Instrument 14-101 Definitions, MI 11-102 and NI 81-102 have the same meaning if used in this decision, unless otherwise defined. Prime Broker means any entity that acts as, among other things, a borrowing agent to one or more investments funds. Representations This decision is based on the following facts represented by the Filer: The Filer and the Funds 1. The Filer is a limited partnership formed and

organized under the laws of the Province of Ontario. The general partner of the Filer is Ninepoint Partners GP Inc., a corporation incorporated under the laws of the Province of Ontario. The head office of the Filer is located in Ontario.

2. The Filer is registered as (i) an investment fund

manager in Ontario, Quebec and Newfoundland and Labrador, (ii) a portfolio manager in Ontario, British Columbia, Alberta, Saskatchewan, Manitoba, New Brunswick, Nova Scotia and Newfoundland and Labrador, and (iii) an exempt market dealer in Ontario, British Columbia, Alberta, Saskatchewan, Manitoba, New Brunswick, Nova Scotia, Newfoundland and Labrador and Quebec.

3. The Filer is, or will be, the investment fund

manager of each of the Funds. 4. The Filer will be appointed as the manager of

each Fund pursuant to a management agreement. 5. The Existing Fund is an alternative mutual fund

established under the laws of Ontario that operates under the provisions of NI 81-102 applicable to alternative mutual funds. Each Future Fund will be an alternative mutual fund under NI 81-102.

6. Each Fund is, or will be, a reporting issuer in one

or more Jurisdictions. 7. The securities of each Fund will be qualified for

distribution to the public in some or all of the Jurisdictions pursuant to a simplified prospectus, annual information form and fund facts prepared and filed in accordance with National Instrument 81-101 – Mutual Fund Prospectus Disclosure. Each Fund will be, governed by NI 81-102, subject to any relief therefrom granted by the securities regulatory authorities.

8. Neither the Filer nor the Existing Fund is in default of securities legislation in any Jurisdiction.

9. The investment objective of Ninepoint Alternative

Credit Opportunities Fund is to provide investors with income and capital appreciation. The Fund will seek to achieve its investment objectives by primarily investing in a diversity of Canadian, U.S. and international fixed income securities for short-term and long-term gain.

Short Selling Limits 10. An important investment strategy expected to be

used by the Funds will be to enter into long positions in corporate bonds while hedging the interest rate risk of those bonds by taking short positions in government bonds. The short positions in the government bonds can be achieved either through short selling government bonds or by entering into short positions in government bond futures.

11. The Short Selling Limits would restrict the Funds

to short selling government securities to no more than 50% of the Fund’s NAV.

12. NI 81-102 otherwise permits the Funds to obtain

the additional leveraged short exposure through the use of specified derivatives, up to an aggregate exposure of 300% of the Fund’s NAV.

13. The Filer is of the view, that it would be in the

Funds’ best interest to permit the Funds to physically short sell government securities up to 300% of the Fund’s NAV, instead of being limited to achieve the same degree of leverage through either specified derivatives alone, or a combination of physical short selling and specified derivatives, for the following reasons:

(a) While derivatives can be used to create

similar investment exposure as short selling up to 300% of each Fund’s NAV, the use of derivatives is more complex, more expensive and riskier than short selling. Implementing derivatives necessitates incremental transactional steps and expense to each of the Funds.

(b) There is a potential mismatch between

the corporate bond and government security futures contract, which makes the use of derivatives less efficient than short selling government securities. The futures contract has standard terms set by the exchange on which it trades and is not directly linked to one particular government security. This makes it more difficult to determine whether the interest rate exposure of the government security futures contract is a good match for the interest rate exposure of the corporate


September 26, 2019

(2019), 42 OSCB 7791

bond it is meant to hedge. On the other hand, the short position in a government security that the market pairs with a corporate bond has been selected due to its proven effectiveness in hedging the interest rate exposure of the corresponding corporate bond.

14. The only securities sold short by the Funds in

excess of 50% of a Fund’s NAV will be “government securities” as such term is defined in NI 81-102. The Funds will otherwise comply with the provisions governing short selling by an alternative mutual fund under sections 2.6.1 and 2.6.2 of NI 81-102.

15. Each Fund’s aggregate exposure to short selling,

cash borrowing and specified derivatives transactions will not exceed 300% of the Fund’s NAV, in compliance with subsection 2.9.1 of NI 81-102 (the Aggregate Exposure Limit).

16. Each Fund will implement the following controls

when conducting a short sale:

(a) The Fund will assume the obligation to return to the Borrowing Agent (as defined in NI 81-102) the securities borrowed to effect the short sale;

(b) The Fund will receive cash for the

securities sold short within normal trading settlement periods for the market in which the short sale is effected;

(c) The Filer will monitor the short positions

of the Fund at least as frequently as daily;

(d) The security interest provided by the

Fund over any of its assets that is required to enable the Fund to effect a short sale transaction is made in accordance with section 6.8.1 of NI 81-102 and will otherwise be made in accordance with industry practice for that type of transaction and relates only to obligations arising under such short sale transaction;

(e) The Fund will maintain appropriate

internal controls regarding short sales, including written policies and procedures for the conduct of short sales, risk management controls and proper books and records; and

(f) The Filer and the Fund will keep proper

books and records of short sales and all of its assets deposited with Borrowing Agents as security.

17. Each Fund’s prospectus (the Prospectus) will contain adequate disclosure of the Fund’s short selling activities, including material terms of the Short Selling Limits.

Short Selling Collateral Limit 18. In connection with, among other things, the short

sale of securities that the Funds will or may engage in, each Fund is permitted to grant a security interest in favour of, and deposit pledged portfolio assets with, its Prime Broker. If a Fund engages as its Prime Broker an entity that is not its custodian or sub- custodian, then a Fund may, as an alternative mutual fund, under section 6.8.1 of NI 81-102, only deliver to its Prime Broker portfolio assets having a market value, in the aggregate, of not more than 25% of the NAV of such Fund at the time of deposit.

19. A Prime Broker may not act as borrowing agent

for an alternative mutual fund that wants to sell short securities having an aggregate market value of up to 50% of such fund’s NAV if the Prime Broker is only permitted to hold, as security for such transaction, portfolio assets, including the proceeds from the short sale, having an aggregate market value that is not in excess of 25% of the NAV of the fund.

20. Effective as of January 3, 2019, NI 81-102 was

amended to include alternative mutual funds. Prior to and since that date, a number of investment fund managers have either launched alternative mutual funds or are planning to do so. The ability of alternative mutual funds to borrow cash and to sell short securities more extensively than other investment funds governed by NI 81-102 has led to the increased involvement of Prime Brokers in the operations of these alternative mutual funds. While the prime brokerage model works well in the exempt investment fund space, the prime brokerage community and investment fund managers are experiencing greater difficulties in applying that model to alternative mutual funds and other investment funds under NI 81-102.

21. The prime brokerage operational and pricing

models in the context of short selling are premised on the ability of the Prime Broker to retain, as collateral for the obligations of the applicable Fund, the proceeds from the sale of the short sales, whether such proceeds are cash or are used by the Fund to purchase other portfolio assets. These models are also based on the ability of the Prime Broker to hold additional assets of the Fund as collateral for those obligations.

22. Given the collateral requirements that Prime

Brokers impose on their customers that engage in the short sale of securities, if the 25% of NAV limitations set out in subsection 6.8.1 of NI 81-102


September 26, 2019

(2019), 42 OSCB 7792

apply, then the Funds will need to retain two, or more, Prime Brokers in order to sell short securities to the extent permitted under section 2.6.1 of NI 81-102. This would result in inefficiencies for the Funds and would increase their costs of operations.

23. The requirement for additional Prime Brokers

increases costs for the Fund, which will reduce returns and negatively impact investors.

24. The Filer represents that it would not be prejudicial

to the public interest to grant the Exemption Sought from the Short Selling Collateral Limit.

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. 1. The decision of the principal regulator under the

Legislation is that the Exemption Sought from the Short Selling Limits is granted provided that:

a) The only securities which a Fund will sell

short in an amount that exceeds 50% of the Fund’s NAV will be securities that meet the definition of “government security” as such term is defined in NI 81- 102.

b) Each short sale by a Fund will comply

with all of the short sale requirements applicable to alternative mutual funds in sections 2.6.1 and 2.6.2 of NI 81-102.

c) A Fund’s aggregate exposure to short

selling, cash borrowing and specified derivatives will not exceed the Aggregate Exposure Limit.

d) Each short sale will be made consistent

with a Fund’s investment objectives and investment strategies.

e) A Fund’s Prospectus will disclose that the

Fund is able to short sell “government securities” (as defined in NI 81-102) in an amount up to 300% of the Fund’s NAV, including the material terms of this decision.

2. The decision of the principal regulator under the

Legislation is that the Exemption Sought from the Short Selling Collateral Limit is granted provided that the Funds otherwise comply with subsections 6.8.1(2) and (3) of NI 81-102.

“Darren McKall” Manager, Investment Funds and Structured Products Ontario Securities Commission


September 26, 2019

(2019), 42 OSCB 7793

2.1.3 Emera Incorporated et al. Headnote National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – Application for exemptive relief to permit issuer and underwriter, acting as agent for the issuer, to enter into an equity distribution agreement to make “at the market” (ATM) distributions of common shares over the facilities of the TSX – ATM distribution to be made pursuant to shelf prospectus procedures in Part 9 of NI 44-102 Shelf Distributions – issuer will issue a press release and file agreements on SEDAR – application for relief from prospectus delivery requirement – delivery of prospectus not practicable in circumstances of an ATM distribution – relief from prospectus delivery requirement has effect of removing two-day right of withdrawal and remedies of rescission or damages for non-delivery of the prospectus – application for relief from certain prospectus delivery requirement has effect of removing two-day right of withdrawal and remedies of rescission or damages for non-delivery of the prospectus – application for relief from certain prospectus form requirements – relief granted to permit modified forward-looking certificate language – relief granted on terms and conditions set out in decision document – relief granted on terms and conditions set out in decision document – decision will terminate 25 months after the issuance of a receipt for the shelf prospectus. Decision and application also held in confidence by decision makers until the earlier of the public announcement of the ATM offering by the issuer, the entering into of an equity distribution agreement, waiver of confidentiality or 90 days from the date of the decision. Applicable Legislative Provisions Securities Act, R.S.O. 1990, c.S.5, as am., ss. 71 and 147. Applicable Rules National Instrument 44-101 Short Form Prospectus Distributions, Part 8 and Item 20 of Form 44-101F1. National Instrument 44-102 Shelf Distributions, ss. 6.3 and 6.7, Part 9 and ss. 2.1 and 2.2 of Appendix A. National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions.

June 25, 2019


NOVA SCOTIA AND ONTARIO (the Jurisdictions)

AND

IN THE MATTER OF

THE PROCESS FOR EXEMPTIVE RELIEF APPLICATIONS IN MULTIPLE JURISDICTIONS

AND

IN THE MATTER OF

EMERA INCORPORATED (THE ISSUER), SCOTIA CAPITAL INC.,

RBC DOMINION SECURITIES INC. AND J.P. MORGAN SECURITIES CANADA INC.

(collectively, the Agents and together with the Issuer, the Filers)

DECISION Background The securities regulatory authority or regulator in each of the Jurisdictions (the Decision Makers), has received an application (the Application) from the Filers for a decision under the securities legislation of the Jurisdictions (the Legislation) for the following relief (the Exemptions Sought):

(a) that the requirement that a dealer, not acting as agent of the purchaser who receives an order or subscription for a security offered in a distribution to which the prospectus requirement applies, send or deliver to the purchaser the latest prospectus (including the applicable prospectus supplement(s) in the case of a base shelf prospectus) and any amendment to the prospectus (the Prospectus Delivery Requirement) does not apply


September 26, 2019

(2019), 42 OSCB 7794

to the Agents or any other TSX participating organization or other marketplace participant acting as selling agent for the Agents (each, a Selling Agent) in connection with any at-the-market distribution (each, an ATM Distribution and collectively, the ATM Offering), as defined in National Instrument 44-102 – Shelf Distributions (NI 44-102) of common shares (Common Shares) of the Issuer pursuant to an equity distribution agreement (the Equity Distribution Agreement) to be entered into between the Issuer and the Agents; and

(b) that the requirements to include in a base shelf prospectus or prospectus supplement or an amendment

thereto:

(i) a forward-looking issuer certificate of the Issuer in the form specified in section 2.1 or section 2.4, as applicable, of Appendix A to NI 44-102;

(ii) a forward-looking underwriter certificate in the form specified by section 2.2 or section 2.4, as

applicable, of Appendix A to NI 44-102; and (iii) a statement respecting purchasers' statutory rights of withdrawal and remedies of rescission or

damages in substantially the form prescribed in Item 20 of Form 44-101F1 – Short Form Prospectus; (collectively, the Prospectus Form Requirements) do not apply to the Shelf Prospectus (as defined below), the Prospectus Supplement (as defined below) or an amendment thereto provided that the Issuer include in the Prospectus Supplement or an amendment thereto the form of issuer certificate and form of underwriter certificate and include in the Prospectus Supplement or an amendment thereto the revised description of a purchaser's statutory rights of withdrawal and remedies for rescission or damages described below, in each case (other than with respect to the underwriter certificate) superseding and replacing the corresponding language in the Shelf Prospectus solely with regards to the ATM Offering. The Decision Makers have also received a request from the Filers for a decision that the Application and this decision (together, the Confidential Material) be kept confidential and not be made public until the earliest of: (a) the date on which the Filers publicly announce the ATM Offering, (b) the date on which the Filers first enter into an Equity Distribution Agreement; (b) the date any of the Filers advise the Decision Makers that there is no longer any need for the Confidential Material to remain confidential; and (c) the date that is 90 days after the date of this decision (the Confidentiality Relief). Under the Process for Exemptive Relief Applications in Multiple Jurisdictions (for a dual application):

(a) the Nova Scotia Securities Commission is the principal regulator for this Application; (b) the Filers have provided notice that section 4.7(1) of Multilateral Instrument 11-102 – Passport System (MI 11-

102) is intended to be relied upon in British Columbia, Alberta, Saskatchewan, Manitoba, Quebec, New Brunswick, Prince Edward Island and Newfoundland and Labrador (collectively the Passport Jurisdictions and together with the Jurisdictions, the Reporting Jurisdictions); and

(c) the decision is the decision of the principal regulator and evidences the decision of the Ontario Securities

Commission.

Interpretation Terms defined in National Instrument 14-101 – Definitions, in National Instrument 13-101 – System for Electronic Document Analysis and Retrieval (SEDAR), in MI 11-102 or in NI 44-102 have the same meaning if used in this decision, unless otherwise defined herein. All dollar figures in this decision refer to Canadian dollars. Representations This decision is based on the following facts represented by the Filers. The Issuer 1. The Issuer is a company incorporated under the Companies Act (Nova Scotia). The head office of the Issuer is located

at 5151 Terminal Road, Halifax, Nova Scotia, B3J 1A1. 2. The Issuer is a reporting issuer in each province of Canada and is not in default of securities legislation in any of the

jurisdictions of Canada. 3. The Common Shares are listed on the Toronto Stock Exchange (the TSX).


September 26, 2019

(2019), 42 OSCB 7795

4. The Issuer currently intends to file a short form base shelf prospectus (a Shelf Prospectus) to provide for the distribution from time to time of Common Shares, and to the extent the Equity Distribution Agreement is entered into among the Issuer and the Agents, a prospectus supplement in each of the provinces of Canada to qualify the distribution of Common Shares in connection with the ATM Offering.

The Agents 5. Scotia Capital Inc. is a corporation incorporated under the laws of the Province of Ontario with its head office in

Toronto, Ontario. 6. RBC Dominion Securities Inc. is a corporation incorporated under the laws of Canada with its head office in Toronto,

Ontario. 7. J.P. Morgan Securities Canada Inc is a corporation incorporated under the laws of Canada with its head office in

Toronto, Ontario. 8. Each of the Agents is registered as an investment dealer under the securities legislation in each province of Canada, is

a member of the Investment Industry Regulatory Organization of Canada and is a participating organization of the TSX. 9. None of the Agents are in default of any requirements under applicable securities legislation in any of the jurisdictions

of Canada. Proposed ATM Distribution 10. Subject to mutual agreement on terms and conditions, the Filers propose to enter into the Equity Distribution

Agreement for the purpose of the ATM Offering involving the periodic sale of Common Shares by the Issuer through the Agents, as agents, under the shelf prospectus procedures prescribed by Part 9 of NI 44-102.

11. If the Equity Distribution Agreement is entered into, the Issuer will immediately do both of the following:

(a) issue and file a news release pursuant to section 3.2 of NI 44-102 announcing the Equity Distribution Agreement and indicating that the Shelf Prospectus and the Prospectus Supplement have been filed on SEDAR and specifying where and how purchasers of Common Shares under the ATM Offering may obtain copies; and

(b) file the Equity Distribution Agreement on SEDAR.

12. Prior to making an ATM Distribution, the Issuer will have filed, in each province of Canada, the Shelf Prospectus and

will have received a receipt for the Shelf Prospectus from the Decision Makers. Shortly thereafter, the Issuer will file, in each province of Canada, a prospectus supplement describing the terms of the ATM Offering, including the terms of the Equity Distribution Agreement and otherwise supplementing the disclosure in the Shelf Prospectus (the Prospectus Supplement).

13. Under the proposed Equity Distribution Agreement, the Issuer may conduct one or more ATM Distributions subject to

the 10% limitation set out in subsection 9.1(1) of NI 44-102. 14. The Issuer will not, during the period that the Shelf Prospectus is effective, distribute by way of one or more ATM

Distributions a total market value of Common Shares that exceeds 10% of the aggregate market value of Common Shares, such aggregate market value calculated in accordance with section 9.2 of NI 44-102 and as at the last trading day of the month before the month in which the first ATM Distribution is made.

15. The Issuer will conduct ATM Distributions only through one or more of the Agents (as agent) directly or via a Selling

Agent, and only through (a) the TSX or (b) another marketplace (as defined in National Instrument 21-101 – Marketplace Operation) upon which the Common Shares are listed, quoted or otherwise traded (each, a Marketplace).

16. The Agents will act as the sole agents of the Issuer in connection with an ATM Distribution directly or through one or

more Selling Agents on the TSX or any other Marketplace, and will be paid an agency fee or commission by the Issuer in connection with such sales. If sales are effected through a Selling Agent, the Selling Agent will be paid a seller's commission for effecting the trades on behalf of the Agents. The Agents will each sign an agent's certificate, in the form set out in paragraph 33 below, in the Prospectus Supplement.


September 26, 2019

(2019), 42 OSCB 7796

17. A purchaser's rights and remedies under applicable securities legislation against the Agents, as agents of an ATM Distribution through a Marketplace, will not be affected by a decision to effect the sale directly or through a Selling Agent.

18. The aggregate number of Common Shares sold on one or more Marketplaces pursuant to an ATM Distribution on any

trading day will not exceed 25% of the trading volume of the Common Shares on all Marketplaces on that day. 19. The Equity Distribution Agreement will provide that, at the time of each sale of Common Shares pursuant to an ATM

Distribution, the Issuer will represent to the Agents that the Shelf Prospectus, as supplemented by the Prospectus Supplement, including the documents incorporated by reference in the Shelf Prospectus (which shall include any news release that has been designated and filed as a Designated News Release (as defined below)) and any subsequent amendment or supplement to the Shelf Prospectus or the Prospectus Supplement (together, the Prospectus), contains full, true and plain disclosure of all material facts relating to the Issuer and the Common Shares being distributed. The Issuer will, therefore, be unable to proceed with sales pursuant to an ATM Distribution when it is in possession of undisclosed information that would constitute a material fact or a material change in respect of the Issuer or the Common Shares.

20. During the period after the date of the Prospectus Supplement and before the termination of any ATM Distribution, if

the Issuer disseminates a news release disclosing information that, in the Issuer's determination, constitutes a "material fact" (as such term is defined in the Legislation), the Issuer will identify such news release as a "designated news release" for the purposes of the Prospectus. This designation will be made on the face page of the version of such news release filed on SEDAR (any such news release, a Designated News Release). The Prospectus Supplement will provide that any such Designated News Release will be deemed to be incorporated by reference into the Prospectus. A Designated News Release will not be used to update disclosure in the Prospectus by the Issuer in the event of a "material change" (as such term is defined in the Legislation).

21. If, after the Issuer delivers a sell notice to the Agents directing the Agents to sell Common Shares on the Issuer's behalf

pursuant to the Equity Distribution Agreement (a Sell Notice), the sale of the Common Shares specified in the Sell Notice, taking into consideration prior sales under the ATM Offering, would constitute a material fact or material change, the Issuer will suspend sales under the Equity Distribution Agreement until either: (a) it has filed a Designated News Release or material change report, as applicable, or amended the Prospectus; or (b) circumstances have changed such that a sale would no longer constitute a material fact or material change.

22. In determining whether the sale of the number of Common Shares specified in a Sell Notice would constitute a material

fact or material change, the Issuer will take into account a number of factors, including, without limitation: (a) the parameters of the Sell Notice, including the number of Common Shares proposed to be sold and any price

or timing restrictions that the Issuer may impose with respect to the particular ATM Distribution; (b) the percentage of the outstanding Common Shares that the number of Common Shares proposed to be sold

pursuant to the Sell Notice represents; (c) sales under earlier Sell Notices; (d) trading volume and volatility of the Common Shares; (e) recent developments in the business, operations or capital of the Issuer; and (f) prevailing market conditions generally.

23. It is in the interest of the Issuer and the Agents to minimize the market impact of sales under an ATM Distribution.

Therefore, the Agents will closely monitor the market's reaction to trades made on any Marketplace pursuant to an ATM Distribution in order to evaluate the likely market impact of future trades. The Agents have experience and expertise in managing sell orders to limit downward pressure on trading prices. If the Agents have concerns as to whether a particular sell order placed by the Issuer may have a significant effect on the market price of the Common Shares, the Agents will recommend against effecting the trades pursuant to the sell order at that time.

Disclosure of Common Shares Sold in ATM Offering 24. The Issuer will disclose the number and average price of Common Shares sold pursuant to ATM Distributions, as well

as gross proceeds, commissions and net proceeds, in its annual and interim financial statements and management discussion and analysis filed on SEDAR.


September 26, 2019

(2019), 42 OSCB 7797

Prospectus Delivery Requirement 25. Pursuant to the Prospectus Delivery Requirement, a dealer effecting a trade of securities offered under a prospectus is

required to deliver a copy of the prospectus (including the applicable prospectus supplement(s) in the case of a base shelf prospectus) to the purchaser within prescribed time limits.

26. Delivery of a prospectus is not practicable in the circumstances of an ATM Distribution, because neither the Agents nor

a Selling Agent effecting the trade will know the identity of the purchasers. 27. The Prospectus will be filed and readily available electronically via SEDAR to all purchasers under ATM Distributions.

As stated in paragraph 11 above, the Issuer will issue a news release that specifies where and how copies of the Prospectus may be obtained.

28. The liability of an issuer or an underwriter (or others) for a misrepresentation in a prospectus pursuant to the civil

liability provisions of the Legislation will not be affected by the grant of an exemption from the Prospectus Delivery Requirement because purchasers of securities offered by a prospectus during the period of distribution have a right of action for damages or rescission, without regard to whether or not the purchaser relied on the misrepresentation or in fact received a copy of the prospectus.

Withdrawal Right and Right of Action for Non-Delivery 29. Pursuant to the Legislation, an agreement to purchase a security in respect of a distribution to which the prospectus

requirement applies is not binding upon the purchaser if the dealer from whom the purchaser purchases the security receives, not later than midnight on the second day (exclusive of Saturdays, Sundays and holidays) after receipt by the purchaser of the latest prospectus or any amendment to the prospectus, a notice in writing evidencing the intention of the purchaser not to be bound by the agreement of purchase and sale (the Withdrawal Right).

30. Pursuant to the Legislation, a purchaser of securities to whom a prospectus was required to be sent or delivered in

compliance with the Prospectus Delivery Requirement, but was not so sent or delivered, has a right of action for rescission or damages against the dealer who did not comply with the Prospectus Delivery Requirement (the Right of Action for Non-Delivery).

31. Neither the Withdrawal Right nor the Right of Action for Non-Delivery is workable in the context of the ATM Offering

because of the impracticability of delivering the Prospectus to a purchaser of Common Shares thereunder. Modified Certificates and Statements 32. To reflect the fact that the ATM Offering is a continuous distribution, the Prospectus Supplement and any amendment

thereto will include the following issuer certificate (with appropriate modifications in respect of the filing of an amendment prescribed by section 2.4 of Appendix A to NI 44-102), such issuer certificate to supersede and replace the issuer certificate to be included in the Shelf Prospectus solely with regard to the ATM Offering:

The short form prospectus, together with the documents incorporated in the prospectus by reference, as supplemented by the foregoing, as of the date of a particular distribution of securities under the prospectus, will, as of that date, constitute full, true and plain disclosure of all material facts relating to the securities offered by the prospectus and this supplement as required by the securities legislation of each of the provinces of Canada.

33. The Prospectus Supplement and any amendment thereto will include the following underwriter certificate (with

appropriate modifications in respect of the filing of an amendment prescribed by section 2.4 of Appendix A to NI 44-102):

To the best of our knowledge, information and belief, the short form prospectus, together with the documents incorporated in the prospectus by reference, as supplemented by the foregoing, as of the date of a particular distribution of securities under the prospectus, will, as of that date, constitute full, true and plain disclosure of all material facts relating to the securities offered by the prospectus and this supplement as required by the securities legislation of each of the provinces of Canada.

34. A different statement of purchasers' rights than that required by the Legislation is necessary so that the Prospectus

Supplement will accurately reflect the relief granted from the Prospectus Delivery Requirement. Accordingly, the Prospectus Supplement will state the following, with the date reference completed:

Securities legislation in certain of the provinces of Canada provides purchasers with the right to withdraw from an agreement to purchase securities and with remedies for rescission or, in some jurisdictions, revisions of the price, or


September 26, 2019

(2019), 42 OSCB 7798

damages if the prospectus, prospectus supplements relating to securities purchased by a purchaser and any amendment are not delivered to the purchaser, provided that the remedies are exercised by the purchaser within the time limit prescribed by securities legislation. However, purchasers of Common Shares under an at-the-market distribution by the Issuer will not have the right to withdraw from an agreement to purchase the Common Shares and will not have remedies of rescission or, in some jurisdictions, revisions of the price, or damages for non-delivery of the prospectus supplement, the accompanying prospectus and any amendment thereto relating to Common Shares purchased by such purchaser because the prospectus supplement, the accompanying prospectus and any amendment thereto relating to the Common Shares purchased by such purchaser will not be delivered as permitted under a decision dated ● 2019 and granted pursuant to National Policy 11-203 - Process for Exemptive Relief Applications in Multiple Jurisdictions.

Securities legislation in certain of the provinces of Canada further provides purchasers with remedies for rescission or, in some jurisdictions, revisions of the price or damages if the prospectus, prospectus supplements relating to securities purchased by a purchaser and any amendment contains a misrepresentation, provided that the remedies are exercised by the purchaser within the time limit prescribed by securities legislation. Any remedies under securities legislation that a purchaser of Common Shares under an at-the-market distribution by the Issuer may have against the Issuer or the Agents for rescission or, in some jurisdictions, revisions of the price, or damages if the prospectus supplement, the accompanying prospectus and any amendment thereto relating to securities purchased by a purchaser and any amendment contain a misrepresentation will remain unaffected by the non-delivery and the decision referred to above.

A purchaser should refer to any applicable provisions of the securities legislation of the purchaser's province and the decision referred to above for the particulars of these rights or consult with a legal adviser.

35. The Prospectus Supplement will disclose that, solely with regards to the ATM Offering, the statement prescribed in

paragraph 34 above supersedes and replaces the statement of purchasers' rights to be included in the Shelf Prospectus.

Decision The Decision Makers are satisfied that this decision satisfies the test set out in the Legislation for the Decision Makers to make the decision. The decision of the Decision Makers under the Legislation is that the Exemptions Sought are granted, provided: (a) during the 60-day period ending not earlier than 10 days prior to the commencement of an ATM Distribution, the

Common Shares have traded, in total, on one or more Marketplaces, as reported on a consolidated market display:

(i) an average of at least 100 times per trading day, and (ii) with an average trading value of at least $1,000,000 per trading day;

(b) the Issuer does not, during the period that the Shelf Prospectus is effective, distribute by way of one or more ATM

Distributions a total market value of Common Shares that exceeds 10% of the aggregate market value of Common Shares, such aggregate market value calculated in accordance with section 9.2 of NI 44-102 and as at the last trading day of the month before the month in which the first ATM Distribution is made;

(c) the Issuer complies with the disclosure requirements set out in paragraphs 24, 32 through 35 above; and (d) the Issuer and Agents respectively comply with the representations made in paragraphs 11, 15, 16 and 18 through 23

above. This decision will terminate on the date that is 25 months from the date on which the receipt for the Shelf Prospectus is issued. “Paul E. Radford” “Shirley P. Lee” Q.C., Chair Q.C., Vice-chair Nova Scotia Securities Commission Nova Scotia Securities Commission


September 26, 2019

(2019), 42 OSCB 7799

2.1.4 Digital Consumer Dividend Fund Headnote Multilateral Instrument 11-102 Passport System and National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – Closed-end investment trust exempt from the prospectus requirement in connection with the sale of units redeemed or purchased from existing security holders pursuant to purchase or redemption programs, subject to conditions. Applicable Legislative Provisions Securities Act, RSO 1900, c S-5, ss. 110 and 144.

August 27, 2019


ALBERTA AND ONTARIO (the Jurisdictions)

AND

IN THE MATTER OF

THE PROCESS FOR EXEMPTIVE RELIEF APPLICATIONS IN MULTIPLE JURISDICTIONS

AND

IN THE MATTER OF

DIGITAL CONSUMER DIVIDEND FUND (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 (the Exemption Sought) under the securities legislation of the Jurisdictions (the Legislation) exempting the Filer from the requirement to file a prospectus (the Prospectus Requirement) in connection with the distribution of units of the Filer (the Units) that have been repurchased by the Filer pursuant to the Repurchase Programs (as defined below) or redeemed by the Filer pursuant to the Redemption Programs (as defined below) in the period prior to a Conversion (as defined below). 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 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, Saskatchewan, Manitoba, New Brunswick, Newfoundland and Labrador, Nova Scotia, Prince Edward Island, Northwest Territories, Nunavut and Yukon; 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, National Instrument 13-101 System for Electronic Document Analysis and Retrieval (SEDAR) or MI 11-102 have the same meaning if used in this decision, unless otherwise defined.


September 26, 2019

(2019), 42 OSCB 7800

Representations This decision is based on the following facts represented by the Filer: 1. The Filer is an unincorporated closed-end investment trust established under the laws of Alberta.

2. The Filer is not considered to be a "mutual fund" as defined in the Legislation because the holders of Units are not

entitled to receive on demand an amount computed by reference to the value of a proportionate interest in the whole or in part of the net assets of the Filer.

3. The Filer is a reporting issuer in each province of Canada and is not in default of securities legislation in any jurisdiction of Canada.

4. The Units are listed and posted for trading on the Toronto Stock Exchange (the TSX). As of June 27, 2019, the Filer had 6,000,000 Units issued and outstanding.

5. Middlefield Limited (the Manager) is incorporated under the Business Corporations Act (Alberta) and is the manager and the trustee of the Filer.

6. The Manager currently intends that on or about November 15, 2021, the Trust will be merged on a tax-deferred basis into an exchange-traded mutual fund, open-end mutual fund, alternative mutual fund or other non-redeemable investment fund, in each case managed by the Manager (or an affiliate) which the Manager determines has substantially similar investment objectives (any such transaction being referred to herein as the Conversion).

Mandatory Purchase Program 7. The constating document of the Filer provides that the Filer, subject to certain exceptions and compliance with any

applicable regulatory requirements, is obligated to purchase (the Mandatory Purchase Program) any Units offered on the TSX or such other exchange or market on which the Units are then listed and primarily traded (the Exchange) if, at any time after the closing of the Filer's initial public offering, the price at which Units are then offered for sale on the Exchange is less than 95% of the net asset value of the Filer per Unit, provided that the maximum number of Units that the Filer is required to purchase pursuant to the Mandatory Purchase Program in any calendar quarter is 1.25% of the number of Units outstanding at the beginning of each such period.

Discretionary Purchase Program 8. The constating document of the Filer also provides that the Filer, subject to applicable regulatory requirements and

limitations, has the right, but not the obligation, exercisable in its sole discretion at any time, to repurchase outstanding Units in the market at prevailing market prices (the Discretionary Purchase Program and together with the Mandatory Purchase Program, the Repurchase Programs).

Monthly Redemptions 9. Subject to the Filer's right to suspend redemptions, Units may be surrendered for redemption (the Monthly

Redemption Program) on the second last business day of each month in order to be redeemed at a redemption price per Unit equal to the Monthly Redemption Price per Unit (as defined in the Filer's long form prospectus dated May 24, 2019 (the Prospectus)).

NAV Redemption 10. Subject to the Filer's right to suspend redemptions, Units may be surrendered for redemption (the NAV Redemption

Program) on the second last business day of November 2020 at a redemption price per Unit equal to the Redemption Price per Unit (as defined in the Prospectus).

Additional Redemptions 11. At the sole discretion of the Manager and subject to the receipt of any necessary regulatory approvals, the Manager

may from time to time allow additional redemptions of Units (Additional Redemptions and collectively with the Monthly Redemption Program and the NAV Redemption Program, the Redemption Programs), provided that the holder thereof shall be required to use the full amount received on such redemption to purchase treasury securities of a new or existing fund promoted by the Manager or an affiliate thereof then being offered to the public by prospectus.


September 26, 2019

(2019), 42 OSCB 7801

Resale of Repurchased Units or Redeemed Units 12. Purchases of Units made by the Filer under the Repurchase Programs or Redemption Programs will be made pursuant

to exemptions from the issuer bid requirements of applicable securities legislation.

13. The Filer wishes to resell, in its sole discretion and at its option, through one or more securities dealers and through the facilities of the Exchange, the Units repurchased by the Filer pursuant to the Repurchase Programs (Repurchased Units), or redeemed pursuant to the Redemption Programs (Redeemed Units).

14. All Repurchased Units and Redeemed Units will be held by the Filer for a period of four months after the repurchase or redemption thereof by the Filer (the Holding Period), prior to any resale.

15. The resale of Repurchased Units and Redeemed Units will be effected in such a manner as not to have a significant impact on the market price of the Units.

16. Repurchased Units and Redeemed Units that the Filer does not resell within 12 months after the Holding Period (that is, within 16 months after the date of repurchase or redemption, as applicable) will be cancelled by the Filer.

17. During any calendar year, the Filer will not resell an aggregate number of Repurchased Units and Redeemed Units that is greater than 5% of the number of Units outstanding at the beginning of such calendar year.

18. Prospective purchasers of Repurchased Units or Redeemed Units will have access to the Filer's continuous disclosure, which will be filed on SEDAR.

19. The Legislation provides that a trade by or on behalf of an issuer in previously issued securities of that issuer that have been purchased by that issuer is a distribution and, as such, is subject to the Prospectus Requirement. In the absence of the Exemption Sought, any sale by the Filer of Repurchased Units or Redeemed Units would be a distribution that is subject to the Prospectus Requirement.

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 Repurchased Units and Redeemed Units are otherwise sold by the Filer in compliance with applicable securities legislation, and through the facilities of and in accordance with the regulations and policies of the Exchange;

(b) the Filer complies with paragraphs 1 through 5 of section 2.8(2) of National Instrument 45-102 Resale of Securities as if it were a selling security holder thereunder; and

(c) the Filer complies with the representations made in paragraphs 15, 16 and 17 above. For the Commission: “Stan Magidson” Chair and CEO “Kari Horn” Vice-Chair


September 26, 2019

(2019), 42 OSCB 7802

2.1.5 Royal Bank of Canada Headnote National Policy 11-203 Process for Exemptive Relief in Multiple Jurisdictions – Plan Sponsors, CAP Members and service provider exempted from the prospectus requirements in the Legislation in respect of trades in securities of mutual funds to tax-assisted capital accumulation plans, subject to certain terms and conditions. Statutes Cited Securities Act, R.S.O. 1990, c. S.5, as amended, ss. 25, 53, 74(1). Rules Cited National Instrument 81-102 – Investment Funds. National Instrument 45-106 – Prospectus and Registration Exemptions. Published Documents Cited Amendments to NI 45-106 – Registration and Prospectus Exemption for Certain Capital Accumulation Plans, October 21, 2005

(2005), 25 OSCB 8681. Guidelines for Capital Accumulation Plans – Joint Forum of Financial Market Regulators, May 28, 2004.

TRANSLATION

March 15, 2019

IN THE MATTER OF

THE SECURITIES LEGISLATION OF QUÉBEC AND ONTARIO

(the Jurisdictions)

AND

IN THE MATTER OF THE PROCESS FOR EXEMPTIVE RELIEF APPLICATIONS


AND

IN THE MATTER OF ROYAL BANK OF CANADA

(the Filer) Background The securities regulatory authority or regulator in each of the Jurisdictions (Decision Maker) has received an application from the Filer on behalf of the Filer (including its directors, officers, representatives, employees and agents), any Plan Sponsor (as defined herein) and any Fund (as defined herein), for a decision under the securities legislation of the Jurisdictions (the Legislation) that

(a) the dealer registration requirements of the Legislation will not apply to the Filer (including the directors, officers, employees, representatives and agents of the Filer, when acting on behalf of the Filer) in respect of trades in the securities of a Fund to a Plan (as defined herein), sponsored by the Plan Sponsor, subject to certain terms and conditions (the Filer Dealer Registration Relief);

(b) the dealer registration requirements of the Legislation will not apply to the Plan Sponsor in respect of trades in

the securities of a Fund to a Plan, sponsored by the Plan Sponsor, subject to certain terms and conditions (the Plan Sponsor Dealer Registration Relief and together with the Filer Dealer Registration Relief, the Dealer Registration Relief); and


September 26, 2019

(2019), 42 OSCB 7803

(c) the prospectus requirements of the Legislation will not apply in respect of the distribution of securities of Funds to a Plan, sponsored by the Plan Sponsor, subject to certain terms and conditions (the Prospectus Relief);

(collectively, 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 subsection 4.7(1) of Regulation 11-102 respecting Passport System, CQLR,

c. V-1.1, r. 1 (“Regulation 11-102”) is intended to be relied upon:

(i) in Newfoundland and Labrador, Nunavut and Yukon in respect of a trade to a CAP (as defined herein);

(ii) in Alberta, British Columbia, Manitoba, New Brunswick, Newfoundland and Labrador, Nova Scotia,

Nunavut, Prince Edward Island, Saskatchewan, Yukon, and the Northwest Territories in respect of a trade to a Non-Tax Assisted Plan;

(iii) in Newfoundland and Labrador, Nunavut and Yukon in respect of the distribution of securities of

Funds to a Plan; and (c) the decision in respect of the Plan Sponsor Dealer Registration Relief and the Prospectus Relief is the

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

Definitions and Interpretation Terms defined in Regulation 14-101 respecting Definitions, CQLR, c. V-1.1, r. 3, Regulation 11-102 and Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations, CQLR, c. V-1.1, r.10, have the same meaning if used in this decision, unless otherwise defined. Capitalized terms used in this decision have the following meanings:

“CAP” has the meaning given to the term “capital accumulation plan” in section 1.1. of the CAP Guidelines, namely, a tax assisted investment or savings plan that permits the members of the plan to make investment decisions among two or more options offered within the plan. The term CAP includes a defined contribution registered pension plan (DCPP), a group registered retirement savings plan (RRSP), a group registered education savings plan, a group tax-free savings plan, and a deferred profit sharing plan (DPSP) and in Quebec and Manitoba, includes a simplified pension plan; “CAP Blanket Exemption” means blanket exemptions in the form of the Proposed CAP Exemption adopted in all jurisdictions of Canada other than the Non-Blanket Order Jurisdictions; “CAP Guidelines” means the Guidelines for Capital Accumulation Plans published in May 2004 by the Joint Forum of Financial Market Regulators; “Fund” means a mutual fund as defined in section 1 of the Securities Act (Québec), CQLR, c. V-1.1, whether offered by prospectus or pursuant to prospectus exemptions in the Legislation, and which in both cases, comply with Part 2 of Regulation 81-102 respecting Investment Funds, CQLR, c. V-1.1, r. 39 (Regulation 81-102); “Member” means a current or former employee of an employer, or a person who belongs, or did belong, to a trade union or association or: (a) his or her spouse; (b) a trustee, custodian or administrator who is acting on his or her behalf, or for his or her benefit, or on behalf of,

or for the benefit of, his or her spouse; or (c) his or her holding entity, or a holding entity of his or her spouse, that has assets in a Plan, and includes a person that is eligible to participate in a Plan;


September 26, 2019

(2019), 42 OSCB 7804

“Non-Blanket Order Jurisdictions” means Québec, Ontario, Newfoundland and Labrador, Nunavut and the Yukon; “Non-Tax Assisted Plan” means an investment or savings plan that meets the definition of a CAP in the CAP Guidelines and that is administered in accordance with the CAP Guidelines, but for the fact that it is non-tax assisted; “Plan Sponsor” means any employer, board of trustees, trade union or association that has established a Plan or the administrator or a service provider that has been appointed to administer a Plan or any combination of these entities, which uses the services of the Filer in respect of such Plan; “Plans” means, depending on the context in which it is used, collectively, CAPs, Non-Tax Assisted Plans or both, and a “Plan” means any one of them; and “Proposed CAP Exemption” means exemptions relating to CAPs which were published by the Canadian Securities Administrators (the “CSA”) on October 21, 2005 in proposed amendments to Regulation 45-106 respecting Prospectus Exemptions, CQLR, V-1.1, r. 21 (formerly Regulation 45-106 respecting Prospectus and Registration Exemptions).

Representations This decision is based on the following facts represented by the Filer: General

1. The Filer is a Schedule I Canadian chartered bank incorporated under the Bank Act (Canada) S.C. 1991, c.46 (the Bank Act). The head office of the Filer is located in Montreal, Quebec. The Filer is not registered as a dealer, advisor or investment fund manager under the securities legislation of any jurisdiction or province or territory of Canada.

2. The Filer is not in default of any of the requirements of the Legislation. 3. The Filer proposes to launch a service offering which provides an integrated, digital solution to sponsors of

defined contribution pension plans and other types of retirement plans and their members (collectively, RBC Group Advantage Plan Services).

4. RBC Group Advantage Plan Services will enable Plan Sponsors to design Plans which offer Members the

opportunity to invest in one or more Funds. The Funds may include exchange-traded funds, conventional mutual funds which are qualified by prospectus for distribution to the public and private mutual funds which are offered pursuant to exemptions from the prospectus requirement, provided that such private mutual funds comply with the investment restrictions set out in Part 2 of Regulation 81-102. Initially, the Filer expects that all Funds offered to Members will be managed by a registered affiliate of the Filer; however, Funds managed by registered unaffiliated managers may be offered in the future.

5. RBC Group Advantage Plan Services will offer recordkeeping of Member data, as well as transaction

processing in respect of Member accounts, production and delivery of Member statements as required under pension standards legislation and/or the applicable recordkeeping agreement, services for processing changes to Member accounts such as termination, death, retirement or a change in marital status and related services.

6. The Filer will not be primarily responsible for the design of any particular Plan. However, RBC Group

Advantage Plan Services will make document templates available to Plan Sponsors which have been pre-approved by the Canada Revenue Agency to assist Plan Sponsors with Plan design.

7. The Filer will not provide investment advice to Plan Sponsors or select investments for Plans. The Filer will

provide information to Plan Sponsors about the group of Funds which the Plan Sponsor may make available for investment through its Plan. Each Plan Sponsor will ultimately decide whether to offer the Funds for investment through its Plan.

8. Generally, Members will enrol in Plans/open accounts and select Funds for investment through an online

portal provided by RBC Group Advantage Plan Services (each, a Portal). On the Portal, investment decision-making tools will be available to Members to assist them to select Funds and make related investment decisions within the Plan, including, but not limited to, generic asset allocation models, retirement planning tools, calculators and projection tools to help Member determine contribution levels and project future balances.


September 26, 2019

(2019), 42 OSCB 7805

9. The Filer will provide trade execution services in respect of the Funds through its executing agent, The Royal Trust Company.

10. The Filer will be a selling agent of all Funds offered through RBC Group Advantage Plan Services. 11. The Filer is permitted to trade in the securities of the Funds with Plans and their Members under the Securities

Dealing Restrictions (Banks) Regulations made under section 415 of the Bank Act. 12. The Filer will not provide investment advice to Members or engage in discretionary decision making for

Member accounts. 13. Once a Member has selected one or more Funds for investment on the Portal, order instructions will be

transmitted automatically to the Filer, and the Filer or its affiliate will execute such instructions directly with the Funds (which would include the execution of orders on the relevant stock exchange for Funds that are exchange traded).

Proposed CAP Exemption and CAP Blanket Exemption

14. The Filer has not applied for the Filer Dealer Registration Relief in Ontario because it is exempt from the registration requirement pursuant to subsection 35.1(1) of the Securities Act (Ontario). As a result, the Filer will not be receiving a decision about the Filer Dealer Registration Relief from the regulator in Ontario.

15. The Filer, the Plan Sponsors and the Funds intend to trade within Plans and/or to Members in accordance

with the conditions set out in the Proposed CAP Exemption and adopted in the form of the CAP Blanket Exemption in all jurisdictions of Canada, other than the Non-Blanket Order Jurisdictions. The Proposed CAP Exemption and the CAP Blanket Exemption contemplate both dealer registration and prospectus exemptions, where required.

16. Though no equivalent to the CAP Blanket Exemption has been adopted in the Non-Blanket Order

Jurisdictions, CSA Notice Request for Comment on Proposed Exemptions for Certain Capital Accumulation Plans published on October 21, 2005 (Supplément du Bulletin de l'Autorité des marchés financiers, vol. 2, no 42) states that, in Ontario and Quebec, the conditions described in the Proposed CAP Exemption will be used as template of standard conditions and terms of relief for applicants who apply for an exemption from the registration or prospectus requirements in connection with trades in mutual fund securities to a CAP.

Non-Tax Assisted Plan Exemption

17. The Filer desires to provide similar services to Plan Sponsors in respect of Non-Tax Assisted CAPs, to those it provides to Plan Sponsors in respect of CAPs, including trading in the Funds as part of its administrative services.

18. Some Plan Sponsors seek to offer Members the opportunity to invest in Non-Tax Assisted Plans that would

not constitute CAPs, as defined in the CAP Guidelines, the Proposed CAP Exemption or the CAP Blanket Exemption. Such Non-Tax Assisted Plans may include non-registered employee saving plans, which are non-registered savings plans to which excess contributions to a CAP are directed, and certain other non-registered accounts.

19. Non-Tax Assisted Plans are often established in conjunction with CAPs because Canadian tax legislation

imposes a limit on the amounts that may be contributed to a CAP. The benefit formula under a Plan Sponsor's benefit program sometimes results in contributions that exceed that tax limit. Non-Tax Assisted Plans allow for those excess contributions to be invested in the same manner as the tax assisted contributions. These excess contributions are not expected to be significant and will be limited by the calculation set out in Condition 1.U) of this decision and subject to the remaining conditions set out in this decision.

20. Non-Tax Assisted Plans operate in the same manner as tax assisted CAPs in terms of the relationship

between Members and Plan Sponsors, and the duties, rights and responsibilities of Members and Plan Sponsors and the services that the Filer will provide. The only significant difference between the two types of Plans is the tax assisted nature of one and not the other.

21. Each Member of a Non-Tax Assisted Plan of a Plan Sponsor that is serviced by the Filer will also be a

member of the Plan Sponsor's CAP. 22. The Filer will provide services to the Non-Tax Assisted Plans in accordance with the CAP Guidelines and, in a


September 26, 2019

(2019), 42 OSCB 7806

similar manner to the related CAPs for the applicable Members. The Filer will provide services to only those Non-Tax Assisted Plans which originate out of Plan Sponsor's CAPs for which the Filer provides services.

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:

1. for the Dealer Registration Relief:

(a) the Plan Sponsor selects the Funds that Members will be able to invest in under the Plans; (b) the Plan Sponsor establishes a policy, and provides Members with a copy of the policy and any

amendments to it, describing what happens if a Member does not select a Fund; (c) in addition to any other information that the Plan Sponsor believes is reasonably necessary for a

Member to make an investment decision within the Plan, and unless that information has previously been provided, the Plan Sponsor provides the Member with the following information about each Fund the Member may invest in:

(i) the name of the Fund; (ii) the name of the manager of the Fund and its portfolio adviser; (iii) the fundamental investment objective of the Fund; (iv) the investment strategies of the Fund or the types of investments the Fund may hold; (v) a description of the risks associated with investing in the Fund;

(vi) where a Member can obtain more information about each Fund's portfolio holdings; and (vii) where a Member can obtain more information generally about each Fund, including any

continuous disclosure;

(d) the Plan Sponsor provides Members with a description and amount of any fees, expenses and penalties relating to the Plan that are borne by Members, including:

(i) any costs that must be paid when a Fund is bought or sold; (ii) costs associated with accessing or using any of the investment information and decision-

making tools provided by the Plan Sponsor; (iii) the management fees paid by the Funds, if any; (iv) the operating expenses paid by the Funds; (v) recordkeeping fees; (vi) any costs for transferring among investment options, including penalties, book and market

value adjustments and tax consequences; (vii) account fees; and

(viii) fees for services provided by the Filer, or other service providers;

which fees, penalties and expenses may be disclosed on an aggregate basis, if the Plan Sponsor discloses the nature of the fees, expenses and penalties, and the aggregated fees do not include fees that arise because of a choice that is specific to a particular Member;

(e) the Plan Sponsor has, within the past year, provided the Members with performance information


September 26, 2019

(2019), 42 OSCB 7807

about each Fund or class or series of Fund securities the Members may invest in, including:

(i) the name of the Fund for which the performance is being reported; (ii) the performance of the mutual fund, including historical performance for one, three, five and

ten years if available; (iii) a performance calculation that is net of investment management fees and Fund expenses; (iv) the method used to calculate the Fund's performance return calculation, and information

about where a Member could obtain a more detailed explanation of that method; (v) the name and description of a broad-based securities market index, selected in accordance

with Regulation 81-106 respecting Investment Fund Continuous Disclosure, CQLR, c. V-1.1, r. 42, for the Fund, and corresponding performance information for that index; and

(vi) a statement that past performance of the Fund is not necessarily an indication of future

performance; (f) the Plan Sponsor has, within the past year, informed Members if there were any changes in the

choice of mutual funds that Members could invest in and where there was a change, provided information about what Members needed to do to change their investment decision, or make a new investment;

(g) the Plan Sponsor provides Members with investment decision-making tools that the Plan Sponsor

reasonably believes are sufficient to assist them in making an investment decision within the Plan; (h) the Plan Sponsor must provide the information required by paragraphs (b), (c), (d) and (g) prior to the

Member making an investment decision under the Plan; (i) if the Plan Sponsor makes investment advice from a registrant available to Members, the Plan

Sponsor must provide Members with information about how they can contact the registrant; and (j) the maximum amount that may be contributed in respect of a Member to a Non-Tax- Assisted Plan in

a given year is limited to any positive difference between:

(i) the maximum amount contributable for that year to the applicable CAP under its terms; and (ii) the maximum dollar limit provided in the Income Tax Act (Canada) (the ITA) for the

applicable CAP,

provided that this maximum amount that may be contributed in respect of a Member to the Non-Tax-Assisted Plan in a given year shall not exceed an amount equal to the “money purchase limit”, as defined in the ITA, for the year. In this paragraph j), the amount determined under subparagraph (i) shall be no more than 18% of the Member's “earned income” as defined in the ITA. In this paragraph j), the “maximum dollar limit” means each of the following:

(A) the “money purchase limit” as defined in the ITA (in the case where the applicable CAP is a DCPP);

(B) the “RRSP dollar limit” as defined in the ITA (in the case where the applicable CAP

is an RRSP); (C) one-half of the “money purchase limit” (in the case where the applicable CAP is a

DPSP); and (D) any applicable maximum fixed dollar contribution prescribed under the ITA (in the

case of any other type of CAP);


September 26, 2019

(2019), 42 OSCB 7808

2. for the Prospectus Relief:

(a) the conditions set forth in condition 1 above are met; (b) each of the Funds complies with Part 2 of Regulation 81-102; and (c) where a Member chooses to invest in a Fund offered by prospectus selected by the Plan Sponsor as

an investment option for a Non-Tax-Assisted Plan, one or more of the following, as applicable, will be made available upon demand to the Member:

(i) the current prospectus of the Fund; (ii) Fund Facts document; or (iii) a summary disclosure document or exchange-traded mutual fund facts document;

3. before a Fund first relies on this decision, the Fund must file a notice in the form found in Appendix C of the

Proposed CAP Exemption in each jurisdiction or province or territory of Canada in which the Fund expects to distribute its securities;

4. this Decision, as it relates to the Dealer Registration Relief will terminate upon the coming into force in the

securities legislation of an exemption from the dealer registration requirement for trades in a security of a mutual fund to a CAP or 90 days after the Decision Maker publishes in its Bulletin a notice or a statement to the effect that it does not propose to create such an exemption;

5. this Decision, as it relates to the Prospectus Relief will terminate upon the coming into force in securities

legislation of an exemption from the prospectus requirement for the distribution of a security of a mutual fund to a CAP or 90 days after the Decision Maker publishes in its Bulletin a notice or a statement to the effect that it does not propose to create such an exemption.

Hugo Lacroix Superintendent (interim) Securities Markets


September 26, 2019

(2019), 42 OSCB 7809

2.2 Orders 2.2.1 Sentry Investments Inc. and Sean Driscoll – s. 144

File No. 2019-33

IN THE MATTER OF SENTRY INVESTMENTS INC. and

SEAN DRISCOLL Lawrence P. Haber, Commissioner and Chair of the Panel

September 20, 2019

ORDER Section 144 of the Securities Act, RSO 1990, c. S.5

WHEREAS the Ontario Securities Commission held a hearing in writing to consider an application made by CI Investments Inc. (CI), to vary the terms of an order issued by the Commission on April 5, 2017 (the Order) relating to a Settlement Agreement entered into on March 31, 2017, among the parties to this matter (the Application); ON READING the Application dated August 23, 2019, and considering the Affidavit of Anne Ramsay dated August 22, 2019, including that Sentry was amalgamated with CI on June 1, 2018, and on reading that Staff of the Commission consents to the Application and Sean Driscoll does not oppose the Application; IT IS ORDERED THAT: 1. paragraph 3(a) of the Order is removed; and 2. clauses are added at the end of the Order to read:

5. CI Investments Inc. (“CI”) shall:

a. cause the Consultant to submit by December 31, 2019 a letter (the “Attestation Letter”), expressing its conclusions on whether the revised internal controls, policies and procedures relating to sales practices set out in the Plan (as have now been incorporated into CI’s internal controls, policies and procedures) were working appropriately and adequately followed, administered and enforced for the 9-month period commencing July 1, 2018;

b. cause the Consultant to submit by December 31, 2019, a letter (the “Transition Letter”) expressing its

conclusions on whether the transition of the Sentry Funds to CI occurred without error and whether the functions related to transfer agency, fund accounting and trust accounting have been fully integrated into CI;

c. cause the Consultant to include with the Attestation Letter and the Transition Letter (collectively, the

“Letters”) a description of the testing performed to support the conclusions contained in each of the respective Letters;

d. cause the Consultant to submit such additional reports as may be requested by the OSC Manager

for the purpose of satisfying the OSC Manager that the conclusions expressed in the Letters are valid; and

e. provide the Consultant with reasonable access to all of CI’s books and records necessary to

complete its mandates and shall require its officers, directors and employees to cooperate fully with the Consultant with respect to its work.

6. CI authorizes the Consultant to communicate with Staff about its work in relation to the Letters without

restriction. “Lawrence P. Haber”


September 26, 2019

(2019), 42 OSCB 7810

2.2.2 Sean Daley et al. – ss. 127(8), 127(1)

FILE NO.: 2019-28

IN THE MATTER OF SEAN DALEY; and

SEAN DALEY carrying on business as the ASCENSION FOUNDATION,

OTO.Money, SilentVault, and CryptoWealth;

WEALTH DISTRIBUTED CORP.; CYBERVISION MMX INC.; KEVIN WILKERSON; and AUG ENTERPRISES INC.

D. Grant Vingoe, Vice-Chair and Chair of the Panel

September 24, 2019

ORDER (Subsection 127(8) and 127(1) of Securities Act, RSO 1990 c. S.5)

WHEREAS the Ontario Securities Commission held a hearing on September 24, 2019 to consider a motion by staff of

the Commission (Staff) to further extend a temporary order dated August 6, 2019 (the Temporary Order) against Sean Daley; Sean Daley carrying on business as Ascension Foundation, OTO.Money, SilentVault and Cryptowealth; Wealth Distributed Corp.; Cybervision MMX Inc.; Kevin Wilkerson or Aug Enterprises Inc. (together, the Respondents);

ON READING the motion filed by Staff, and on hearing the submissions of the representatives for Staff and Sean

Daley appearing on his own behalf, and no one appearing on behalf of the remaining Respondents, although properly served, and on considering the consent of Sean Daley to extend the Temporary Order;

IT IS ORDERED that the Temporary Order is extended until November 8, 2019.

“D. Grant Vingoe

September 26, 2019

(2019), 42 OSCB 7811

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

Beleave Inc. 06 August 2019

CannTrust Holdings Inc. 15 August 2019

BetterU Education Corp. 02 August 2019

Cease Trading Orders

September 26, 2019

(2019), 42 OSCB 7812


September 26, 2019

(2019), 42 OSCB 7813

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

September 26, 2019

(2019), 42 OSCB 7814

Issuer Name Security Insider Name Rel'n Transaction Date

T/O Unit Price

Date/Month End Holdings

Acquired/ Disposed

1911 Gold Corporation (formerly Havilah Mining Corporation)

Common Shares Schultz, Blair 4, 5 2019-09-16 10 0.3 28,000 9,500

48North Cannabis Corp. Common Shares Caland, Pierre 3 2019-09-13 10 0.8 13,479,645 38,50048North Cannabis Corp. Common Shares Caland, Pierre 3 2019-09-16 10 0.81 100,00048North Cannabis Corp. Common Shares Caland, Pierre 3 2019-09-16 10 0.81 100,00048North Cannabis Corp. Common Shares Caland, Pierre 3 2019-09-16 10 0.81 13,541,145 61,50048North Cannabis Corp. Common Shares Dubuc, Alain 4 2018-06-05 00 48North Cannabis Corp. Common Shares Dubuc, Alain 4 2018-06-05 00 190,9094Front Ventures Corp. Subordinate Voting

Shares (Class A Subordinate Voting Shares)

Gontmakher, Leonid 3, 4, 5 2019-09-12 10 0.5605 4,357,557 100

4Front Ventures Corp. Subordinate Voting Shares (Class A Subordinate Voting Shares)

Gontmakher, Leonid 3, 4, 5 2019-09-12 10 0.566 4,387,457 29,900

























Abitibi Royalties Inc. Common Shares Ball, Ian 4, 5 2019-09-17 10 14.35 32,850 100Abitibi Royalties Inc. Common Shares Groia, Joseph 6 2019-09-17 51 3.7 149,935 7,000 Abitibi Royalties Inc. Options Groia, Joseph 6 2019-09-17 51 0 -7,000Absolute Software Corporation

Common Shares Grace, Mark 5 2019-09-12 57 7.77 5,240 3,320

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7815


T/O Unit Price


Acquired/ Disposed

Absolute Software Corporation

Common Shares Grace, Mark 5 2019-09-12 10 7.77 1,920 -3,320


Rights Performance Share Unit

Grace, Mark 5 2019-09-16 56 29,768 16,581


Rights Restricted Share Unit

Grace, Mark 5 2019-09-12 57 50,876 -3,320



Grace, Mark 5 2019-09-16 56 67,457 16,581



Laforce, Marcel Armand 5 2018-02-14 00



Laforce, Marcel Armand 5 2019-09-16 56 4,819 4,819



Laforce, Marcel Armand 5 2019-09-16 56 43,351 11,245



Malli, Maninder 5 2018-12-03 00



Malli, Maninder 5 2019-09-16 56 3,639 3,639



Malli, Maninder 5 2019-09-16 56 23,779 8,491



maxwell, sean 5 2019-09-16 56 65,713 22,109



maxwell, sean 5 2019-09-16 56 220,219 22,109



Meanchoff, Matthew 5 2019-09-16 56 18,286 9,668



Meanchoff, Matthew 5 2019-09-16 56 45,604 9,668



Olsen, Errol 5 2019-09-16 56 7.79 78,010 16,688



Olsen, Errol 5 2019-09-16 56 7.79 91,450 16,688


Common Shares Ramsden, Leigh Palmer 5 2019-09-13 57 7.9 37,291 3,616


Common Shares Ramsden, Leigh Palmer 5 2019-09-13 10 7.9 33,675 -3,616



Ramsden, Leigh Palmer 5 2017-09-01 00



Ramsden, Leigh Palmer 5 2019-09-16 56 3,639 3,639



Ramsden, Leigh Palmer 5 2019-09-13 57 15,992 -3,616



Ramsden, Leigh Palmer 5 2019-09-16 56 24,483 8,491



Reynolds, Karen 5 2019-04-29 00



Reynolds, Karen 5 2019-09-16 56 15,200 15,200



Reynolds, Karen 5 2019-09-16 56 35,391 15,200



Robinson, John P 5 2019-05-01 00



Robinson, John P 5 2019-09-16 56 13,265 13,265



Robinson, John P 5 2019-09-16 56 33,456 13,265



Toms, Sandra 5 2019-06-03 00



Toms, Sandra 5 2019-09-16 56 16,581 16,581



Toms, Sandra 5 2019-09-16 56 51,581 16,581



van Someren, Nicholas Benedict

5 2019-09-16 56 63,670 18,240



van Someren, Nicholas Benedict

5 2019-09-16 56 63,670 18,240

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7816


T/O Unit Price


Acquired/ Disposed


Common Shares Wakerley, Todd 5 2019-09-13 57 7.9 34,053 29,636


Common Shares Wakerley, Todd 5 2019-09-13 10 7.9 4,417 -29,636


Common Shares Wakerley, Todd 5 2019-09-16 57 7.82 9,314 4,897


Common Shares Wakerley, Todd 5 2019-09-16 10 7.82 4,417 -4,897



Wakerley, Todd 5 2019-09-16 56 30,721 16,029



Wakerley, Todd 5 2019-09-13 57 26,525 -29,636



Wakerley, Todd 5 2019-09-16 57 21,628 -4,897



Wakerley, Todd 5 2019-09-16 56 37,657 16,029



Wyatt, Christy May 4, 5 2019-09-16 56 155,657 27,126



Wyatt, Christy May 4, 5 2019-09-16 56 207,070 27,126

Accord Financial Corp. Common Shares Hitzig, Simon Jonathan 4 2019-09-16 10 8.5 195,540 500 Accord Financial Corp. Common Shares Hitzig, Simon Jonathan 4 2019-09-16 10 8.56 195,840 300Accord Financial Corp. Common Shares Hitzig, Simon Jonathan 4 2019-09-16 10 8.58 196,000 160 Acreage Holdings, Inc. (formerly Applied Inventions Management Corp.)

Rights Restricted Shares Units (RSU)

Daino, Robert James 5 2019-09-11 57 1,313,352 -92,180

Acreage Holdings, Inc. (formerly Applied Inventions Management Corp.)

Subordinate Voting Shares

Daino, Robert James 5 2019-09-11 57 9.05 200,147 47,038



Hardardt, Steven 5 2019-08-01 56 150,000



Hardardt, Steven 5 2019-08-01 56 150,000



Hardardt, Steven 5 2019-08-01 56 150,000

ADCORE Inc. Options Sadot, Yatir 5 2019-09-04 50 208,323ADCORE Inc. Options Sadot, Yatir 5 2019-09-04 50 208,333 208,333Aethon Minerals Corporation Common Shares Miniotis, John 5 2019-09-18 10 0.19 189,000 30,000Aethon Minerals Corporation Common Shares Miniotis, John 5 2019-09-19 10 0.17 200,000 11,000Agnico Eagle Mines Limited Common Shares Blackburn, Alain 5 2019-09-17 51 36.37 4,442 3,000Agnico Eagle Mines Limited Common Shares Blackburn, Alain 5 2019-09-17 10 75.8 1,442 -3,000Agnico Eagle Mines Limited Options Blackburn, Alain 5 2019-09-17 51 36.37 103,000 -3,000Air Canada Class B Voting Shares Air Canada 1 2019-09-16 38 41.918 25,000 25,000Air Canada Class B Voting Shares Air Canada 1 2019-09-16 38 0 -25,000Air Canada Class B Voting Shares Air Canada 1 2019-09-17 38 43.433 25,000 25,000Air Canada Class B Voting Shares Air Canada 1 2019-09-17 38 0 -25,000Air Canada Class B Voting Shares Air Canada 1 2019-09-18 38 43.326 25,000 25,000Air Canada Class B Voting Shares Air Canada 1 2019-09-18 38 0 -25,000Air Canada Class B Voting Shares Air Canada 1 2019-09-19 38 43.296 25,000 25,000Air Canada Class B Voting Shares Air Canada 1 2019-09-19 38 0 -25,000Air Canada Class B Voting Shares Air Canada 1 2019-09-20 38 42.804 25,000 25,000Air Canada Class B Voting Shares Air Canada 1 2019-09-20 38 0 -25,000Alacer Gold Corp. Common Shares Dowling, Edward Camp 4, 5 2019-09-16 10 4.993 133,690 -25,000Alamos Gold Inc. Rights Deferred Share

Units Prichard, John Robert Stobo

4 2019-09-13 30 18,454 416

Alaska Hydro Corporation Common Shares Grandison, Clifford Allan 4, 5 2019-09-12 10 0.02 5,483,030 20,000Alcanna Inc. (formerly Liquor Stores N.A. Ltd.)

Rights Performance Share Units September 2018

Bevilacqua, Roxanna 5 2019-09-13 38 0 -45,000

Alcanna Inc. (formerly Liquor Stores N.A. Ltd.)

Rights Performance Share Units March 2018

Bobey, Donald Nicholas 5 2019-09-13 38 0 -60,000

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7817


T/O Unit Price


Acquired/ Disposed



Burns, James Franklin Charles

4 2019-09-13 38 0 -160,000



Crapper, Dave Robert 5 2019-09-13 38 0 -60,000



Gordey, David Nathan 5 2019-09-13 38 0 -105,000


Rights Performance Share Units July 2018

Hewson, Matthew 7 2019-09-13 38 0 -30,000



Hewson, Matthew 7 2019-09-13 38 0 -40,000


Rights Performance Share Units July 2018

Kiziak, Marcie Catherine 5 2019-09-13 38 0 -40,000



Kiziak, Marcie Catherine 5 2019-09-13 38 0 -70,000


Rights Performace Share Units April 8 2019

Madan, Robbie 5 2019-09-13 38 0 -20,000



Madan, Robbie 5 2019-09-13 38 0 -30,000



Rempel, Kerry Ross 5 2019-09-13 38 0 -70,000


Rights Performance Share Units January 9 2019

Vander, Taranvir 5 2019-09-13 38 0 -75,000



Yaworski, James 5 2019-09-13 38 0 -70,000

Alderon Iron Ore Corp. Common Shares Morabito, Mark Joseph 4 2019-09-17 10 0.2 1,914,353 -100,000Aleafia Health Inc. (formerly Canabo Medical Inc.)

Options Benic, Geoffrey 5 2019-09-10 50 1.03 3,800,000 1,300,000

Alimentation Couche-Tard Inc.

Options Bernier, Jean 4 2019-09-18 00 107,629


Subordinate Voting Shares CatÚgorie B

Bernier, Jean 4 2019-09-18 00



Bernier, Jean 4 2019-09-18 00



Bernier, Jean 4 2019-09-18 00 15,563


UnitÚ d'action fictive Bernier, Jean 4 2019-09-18 00 1,051



Lamothe, Marie Josee 4 2019-09-18 00 302



Strand, Ina 7 2019-09-18 10 83.34 2,100 900



Tessier, Claude 5 2019-09-17 10 81.43 7,900 1,250



Zamuner, Valery 5 2019-09-17 10 81.17 1,000 500

Allegiant Gold Ltd. Common Shares Gianulis, Peter Lawrence 4, 6 2019-09-19 10 0.085 4,550,000 250,000Almaden Minerals Ltd. Options Brown, Mark Thomas 4 2019-09-16 50 0.9 665,000 115,000Almaden Minerals Ltd. Options Brown, Mark Thomas 4 2019-09-19 52 1.4 550,000 -115,000Almaden Minerals Ltd. Options Carlson, Gerald George 4 2019-09-16 50 0.9 555,000 115,000Almaden Minerals Ltd. Options Carlson, Gerald George 4 2019-09-19 52 1.4 440,000 -115,000Almaden Minerals Ltd. Options McDonald, Douglas John 5 2019-09-16 50 575,000 100,000Almaden Minerals Ltd. Options McDonald, Douglas John 5 2019-09-19 52 475,000 -100,000Almaden Minerals Ltd. Options Poliquin, James Duane 4, 5 2019-09-16 50 0.9 1,409,189 315,000Almaden Minerals Ltd. Options Poliquin, James Duane 4, 5 2019-09-19 52 1.4 1,094,189 -315,000Almaden Minerals Ltd. Options Trieu, Korm 5 2019-09-16 50 0.9 710,000 115,000Almaden Minerals Ltd. Options Trieu, Korm 5 2019-09-19 52 1.4 595,000 -115,000Almaden Minerals Ltd. Options WORRALL, WILLIAM

JOSEPH4 2019-09-16 50 580,000 115,000

Almaden Minerals Ltd. Options WORRALL, WILLIAM JOSEPH

4 2019-09-19 52 465,000 -115,000

Altair Resources Inc. Common Shares Dhanani, Maleksultan 3 2019-09-19 11 0.03 5,704,000 -400,000 Altair Resources Inc. Warrants Dhanani, Maleksultan 3 2019-09-17 55 6 5,100,000 -33,333Altair Resources Inc. Warrants Dhanani, Zahir 3 2019-09-17 55 6 5,100,000 -33,333Altair Resources Inc. Warrants Dhanani, Zahir 3 2019-09-17 55 6 2,341,500 -3,333

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7818


T/O Unit Price


Acquired/ Disposed

Altair Resources Inc. Warrants Dhanani, Zahir 3 2019-09-17 54 6 2,337,500 -4,000Altair Resources Inc. Common Shares Dhanani, Zahir 3 2019-03-06 00 Altair Resources Inc. Common Shares Dhanani, Zahir 3 2019-06-14 00 Altair Resources Inc. Common Shares Dhanani, Zahir 3 2019-09-19 00 Altair Resources Inc. Common Shares Dhanani, Zahir 3 2019-09-19 00 6,104,000Altair Resources Inc. Common Shares Dhanani, Zahir 3 2019-09-19 00 2,066,150 Altair Resources Inc. Options Incentive Stock

Options Dhanani, Zahir 3 2019-09-19 00 450,000

Altair Resources Inc. Warrants Dhanani, Zahir 3 2019-09-19 00 5,100,000Altair Resources Inc. Warrants Dhanani, Zahir 3 2019-09-19 00 2,337,500Alternate Health Corp. Common Shares European High Growth

Opportunities Securitization Fund

3 2019-08-29 10 0.1745 -23,000

Alternate Health Corp. Common Shares European High Growth Opportunities Securitization Fund

3 2019-08-29 10 0.1745 -23,000


3 2019-09-09 10 0.1505 2,435,507 -90,000


3 2019-09-10 10 0.1522 2,412,507 -23,000


3 2019-09-11 36 3,112,507 700,000


3 2019-09-11 10 0.015 2,765,667 -346,840


3 2019-09-12 10 0.155 2,597,667 -168,000


3 2019-09-13 10 0.155 2,466,667 -131,000


3 2019-09-16 36 3,100,000 633,333

Alternate Health Corp. Convertible Debentures European High Growth Opportunities Securitization Fund

3 2019-09-11 36 $190,000 -$210,000

Alternate Health Corp. Convertible Debentures European High Growth Opportunities Securitization Fund

3 2019-09-16 36 $0 -$190,000

AMV Capital Corporation Common Shares Kagetsu, Brett 4 2019-09-17 00 150,000AMV Capital Corporation Options Kagetsu, Brett 4 2019-09-17 00 170,000Anaconda Mining Inc. Common Shares Bullock, Kevin 4, 5 2019-09-19 10 0.23 565,000 50,000Andrew Peller Limited (formerly AndrÚs Wines Ltd.)

Options Attridge, Steven John 5 2019-09-11 50 14.15 37,600 23,200

Andrew Peller Limited (formerly AndrÚs Wines Ltd.)

Rights Performance share units

Attridge, Steven John 5 2019-09-11 56 10,490 5,840


Options BERTI, GREGORY JOHN 5 2019-09-11 50 14.15 17,000 6,600



BERTI, GREGORY JOHN 5 2019-09-11 56 6,790 1,650


Options COLE, JAMES HERBERT 5 2019-09-11 50 14.15 17,200 6,600



COLE, JAMES HERBERT 5 2019-09-11 56 6,840 1,660


Options HAWTHORNE, JOHN GAVIN

5 2019-09-11 50 14.15 14,700 5,800



HAWTHORNE, JOHN GAVIN

5 2019-09-11 56 5,850 1,440


Options MACLEOD, SHAWN BRYAN

5 2019-09-11 50 14.15 46,200 17,600



MACLEOD, SHAWN BRYAN

5 2019-09-11 56 17,360 4,420

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7819


T/O Unit Price


Acquired/ Disposed


Options MCDONALD, CRAIG DAVID

5 2019-09-11 50 14.15 16,000 6,500



MCDONALD, CRAIG DAVID

5 2019-09-11 56 6,220 1,640


Options PELLER, JOHN EDWARD 4, 6, 5 2019-09-11 50 14.15 244,000 96,000



PELLER, JOHN EDWARD 4, 6, 5 2019-09-11 56 96,800 24,150


Options POWELL, RANDY ALAN 4 2019-09-11 50 14.15 168,400 67,600



POWELL, RANDY ALAN 4 2019-09-11 56 66,340 17,020


Options Presutto, Sara Elizabeth 5 2019-09-11 50 14.15 25,800 15,900



Presutto, Sara Elizabeth 5 2019-09-11 56 7,190 3,990


Options WALL, BRENDAN PATRICK

5 2019-09-11 50 14.15 18,800


Options WALL, BRENDAN PATRICK

5 2019-09-11 50 14.15 47,500 18,800



WALL, BRENDAN PATRICK

5 2019-09-11 56 18,830 4,730

Ansar Financial and Development Corporation

Common Shares Jalaluddin, Mohammed 3, 4, 5 2019-09-18 10 0.65 1,338,049 11,000

Ansar Financial and Development Corporation

Common Shares Nasim, Pervez 3, 4, 5 2019-09-18 10 0.65 1,338,049 11,000

Antibe Therapeutics Inc. Common Shares Binnie, Craig 5 2019-09-16 00 Antibe Therapeutics Inc. Options Binnie, Craig 5 2019-09-16 00 Antibe Therapeutics Inc. Restricted Share Units Binnie, Craig 5 2019-09-16 00 Antibe Therapeutics Inc. Warrants Binnie, Craig 5 2019-09-16 00 ARC Resources Ltd. Performance Share Units

(PSU) (Cash based only) Anderson, Terry Michael 5 2019-09-16 57 196,197 -23,130

ARC Resources Ltd. Performance Share Units (PSU) (Cash based only)

Anderson, Terry Michael 5 2019-09-16 56 6.47 282,442 86,245

ARC Resources Ltd. Restricted Share Units (RSU) (Cash based only)

Anderson, Terry Michael 5 2019-09-16 56 6.47 58,503 21,561


Baldwin, Christopher David 5 2019-09-16 57 41,567 -2,881


Baldwin, Christopher David 5 2019-09-16 56 6.47 59,497 17,930


Baldwin, Christopher David 5 2019-09-16 57 10,228 -249


Baldwin, Christopher David 5 2019-09-16 56 6.47 14,710 4,482


Berrett, Ryan Victor 5 2019-09-16 57 38,652 -2,881


Berrett, Ryan Victor 5 2019-09-16 56 6.47 57,200 18,548


Berrett, Ryan Victor 5 2019-09-16 57 11,154 -249


Berrett, Ryan Victor 5 2019-09-16 56 6.47 15,790 4,636


Bibby, Kristen Jon 5 2019-09-16 57 58,117 -6,803


Bibby, Kristen Jon 5 2019-09-16 56 6.47 88,102 29,985


Bibby, Kristen Jon 5 2019-09-16 56 6.47 22,948 7,496


Calder, Sean Ross Allen 5 2019-09-16 57 47,688 -5,669


Calder, Sean Ross Allen 5 2019-09-16 56 6.47 68,709 21,021


Calder, Sean Ross Allen 5 2019-09-16 56 6.47 18,204 5,255


Conrad, Larissa Marianne 5 2019-09-16 57 62,783 -6,803

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7820


T/O Unit Price


Acquired/ Disposed


Conrad, Larissa Marianne 5 2019-09-16 56 6.47 90,295 27,512


Conrad, Larissa Marianne 5 2019-09-16 56 6.47 22,602 6,878

ARC Resources Ltd. Common Shares Dafoe, P. Van R. 5 2019-09-16 10 6.33 89,034 78ARC Resources Ltd. Performance Share Units

(PSU) (Cash based only) Dafoe, P. Van R. 5 2019-09-16 57 6.47 154,538 -18,141


Dafoe, P. Van R. 5 2019-09-16 56 221,926 67,388


Dafoe, P. Van R. 5 2019-09-16 56 6.47 45,030 16,847

ARC Resources Ltd. Common Shares Jahangiri, Armin 5 2019-09-17 30 7.4 5,525 448ARC Resources Ltd. Performance Share Units

(PSU) (Cash based only) Jahangiri, Armin 5 2019-09-16 57 50,501 -2,722


Jahangiri, Armin 5 2019-09-16 56 6.47 76,468 25,967


Jahangiri, Armin 5 2019-09-16 57 15,126 -227


Jahangiri, Armin 5 2019-09-16 56 6.47 21,617 6,491


Olsen, Lisa Ann 5 2019-09-16 57 42,590 -4,989


Olsen, Lisa Ann 5 2019-09-16 56 6.47 62,374 19,784


Olsen, Lisa Ann 5 2019-09-16 56 6.47 16,427 4,946


Stadnyk, Myron Maurice 4, 5 2019-09-16 57 335,506 -36,282


Stadnyk, Myron Maurice 4, 5 2019-09-16 56 6.47 507,299 171,793


Stadnyk, Myron Maurice 4, 5 2019-09-16 56 6.47 32,526 19,088

ARHT Media Inc. (formerly known as Vast Exploration Inc.)

Common Shares Casgrain, Tim 3 2019-08-22 16 0.13 7,125,710 1,570,154


Warrants Casgrain, Tim 3 2019-05-09 97 5,730,556 175,000


Warrants Casgrain, Tim 3 2019-08-22 16 0.13 7,300,710 1,570,154


Common Shares Steers, William 4 2019-08-22 16 0.13 3,361,821 1,570,154


Warrants Steers, William 4 2019-05-09 97 1,904,167 175,000


Warrants Steers, William 4 2019-08-22 16 0.13 3,474,321 1,570,154

Arizona Metals Corp. Common Shares Pais, Marc Magellan 4, 5 2019-08-01 00 2,800,000Arizona Metals Corp. Options Pais, Marc Magellan 4, 5 2019-08-01 00 Arizona Metals Corp. Options Pais, Marc Magellan 4, 5 2019-08-01 00 3,400,000Arizona Metals Corp. Warrants Pais, Marc Magellan 4, 5 2019-08-01 00 500,000Artis Real Estate Investment Trust

Units Albo, Ida 4 2019-09-16 10 12.26 21,410 1,100

Artis Real Estate Investment Trust

Preferred Shares Series E


1 2019-09-20 38 21.404 7,100 1,100


Deferred Units Rodney, Benjamin Ryan 4 2019-09-13 56 12.5 1,104 4

Asbestos Corporation Limited

Common Shares MONETTE, SERGE 3, 4 2019-09-16 10 0.4 148,000 5,000

Atico Mining Corporation Common Shares Bureau, Alain 5 2019-09-11 00 556,032Atico Mining Corporation Convertible Debentures Bureau, Alain 5 2019-09-11 00 $149,382 Atico Mining Corporation Options Bureau, Alain 5 2019-09-11 00 248,970Atico Mining Corporation Warrants Bureau, Alain 5 2019-09-11 00 165,980

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7821


T/O Unit Price


Acquired/ Disposed

Atico Mining Corporation Common Shares Goodman, Jonathan Carter 4 2019-09-11 00 4,141,531Atico Mining Corporation Convertible Debentures Goodman, Jonathan Carter 4 2019-09-11 00 $726,162 Atico Mining Corporation Convertible Debentures Goodman, Jonathan Carter 4 2019-09-11 00 $726,162Atico Mining Corporation Options Goodman, Jonathan Carter 4 2019-09-11 00 149,382 Atico Mining Corporation Warrants Goodman, Jonathan Carter 4 2019-09-11 00 414,950Atrium Mortgage Investment Corporation

Common Shares Cohos, Peter Phillip 4 2019-09-13 30 13.69 11,287 1,625

Atrium Mortgage Investment Corporation

Deferred Share Units Cohos, Peter Phillip 4 2019-09-13 30 2,968 -1,625


Common Shares DeGasperis, Robert Hans 4 2019-09-13 30 13.69 117,660 1,617


Deferred Share Units DeGasperis, Robert Hans 4 2019-09-13 30 2,967 -1,617


Common Shares Grant, Andrew 4 2019-09-13 30 13.69 6,818 1,610


Deferred Share Units Grant, Andrew 4 2019-09-13 30 2,967 -1,610

Aurora Cannabis Inc. Options Szweras, Adam Kelley 4 2019-09-10 50 627,699 27,699Aurora Cannabis Inc. Rights Deferred Share

Units Szweras, Adam Kelley 4 2019-09-10 56 12,637 6,637

Aurora Cannabis Inc. Restricted Share Units Vleeming, Darryl Andrew 5 2019-09-18 57 40,133 -1,667 Avante Logixx Inc. Common Shares Goodman, Scott 5 2018-10-02 00 1,200Avanti Energy Inc. Common Shares Leo, Mike 4 2019-07-30 00 203,000Avanti Energy Inc. Warrants Leo, Mike 4 2019-07-30 00 200,000Avanti Energy Inc. Warrants Wong, Elbert Yow 5 2019-08-30 00 110,000Avicanna Inc. Common Shares White, David 4 2019-09-19 10 3.2073 4,063 1,248AVINO SILVER & GOLD MINES LTD.

Common Shares Chin, Dorothy 5 2019-09-13 57 0.88 84,000 25,000

AVINO SILVER & GOLD MINES LTD.

Options Chin, Dorothy 5 2019-09-19 52 1.9 200,000 -50,000


Restricted Share Units Chin, Dorothy 5 2019-09-13 57 0.88 97,333 -16,667


Common Shares Robertson, Gary Ralph 4 2019-09-13 57 0.88 226,795 25,000


Options Robertson, Gary Ralph 4 2019-09-19 52 1.9 280,000 -75,000


Restricted Share Units Robertson, Gary Ralph 4 2019-09-13 57 0.88 191,667 -25,000


Common Shares Rodriguez Moreno, Jose Carlos

5 2019-09-13 57 0.88 269,500 25,000


Options Rodriguez Moreno, Jose Carlos

5 2019-09-19 52 1.9 175,000 -50,000


Restricted Share Units Rodriguez Moreno, Jose Carlos

5 2019-09-13 57 0.88 389,000 -25,000


Common Shares Wolfin, David 4 2019-09-13 57 0.88 1,655,034 83,334


Options Wolfin, David 4 2019-09-19 52 -100,000


Options Wolfin, David 4 2019-09-19 52 1.9 275,000 -100,000


Restricted Share Units Wolfin, David 4 2019-09-13 57 0.88 938,667 -83,334


Common Shares Yee, Jasman 4 2019-09-13 57 0.88 324,520 25,000


Options Yee, Jasman 4 2019-09-19 52 -75,000


Options Yee, Jasman 4 2019-09-19 52 1.9 375,000 -75,000


Restricted Share Units Yee, Jasman 4 2019-09-13 57 0.88 144,000 -25,000

Axis Auto Finance Inc. Common Shares Hudson, Todd Charles 5 2019-09-16 10 0.4 5,364,143 2,500B2Gold Corp. Common Shares Bullock, Kevin 4 2019-09-19 10 60,367 1,000Ballard Power Systems Inc. Common Shares Guglielmin, Anthony Robert 5 2019-09-20 51 1.22 212,257 25,000Ballard Power Systems Inc. Common Shares Guglielmin, Anthony Robert 5 2019-09-20 10 7.1 187,257 -25,000Ballard Power Systems Inc. Options Guglielmin, Anthony Robert 5 2019-09-20 51 1.22 206,361 -25,000

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7822


T/O Unit Price


Acquired/ Disposed

Ballard Power Systems Inc. Common Shares Laishley, Jan Louise 5 2019-09-13 51 2.67 2,700 2,700Ballard Power Systems Inc. Common Shares Laishley, Jan Louise 5 2019-09-13 10 7.31 0 -2,700 Ballard Power Systems Inc. Options Laishley, Jan Louise 5 2019-09-13 51 2.67 64,085 -2,700Ballard Power Systems Inc. Common Shares MacEwen, Robert Randall 5 2019-09-17 51 1.8 473,012 154,702 Ballard Power Systems Inc. Common Shares MacEwen, Robert Randall 5 2019-09-17 10 7.36 -154,702Ballard Power Systems Inc. Common Shares MacEwen, Robert Randall 5 2019-09-17 10 7.36 -154,702 Ballard Power Systems Inc. Common Shares MacEwen, Robert Randall 5 2019-09-17 10 7.29 450,054 -22,958Ballard Power Systems Inc. Common Shares MacEwen, Robert Randall 5 2019-09-17 10 7.3 436,676 -13,378 Ballard Power Systems Inc. Common Shares MacEwen, Robert Randall 5 2019-09-17 10 7.31 413,012 -23,664Ballard Power Systems Inc. Common Shares MacEwen, Robert Randall 5 2019-09-17 10 7.32 411,812 -1,200Ballard Power Systems Inc. Common Shares MacEwen, Robert Randall 5 2019-09-17 10 7.33 409,212 -2,600Ballard Power Systems Inc. Common Shares MacEwen, Robert Randall 5 2019-09-17 10 7.36 403,412 -5,800Ballard Power Systems Inc. Common Shares MacEwen, Robert Randall 5 2019-09-17 10 7.37 368,910 -34,502Ballard Power Systems Inc. Common Shares MacEwen, Robert Randall 5 2019-09-17 10 7.38 364,610 -4,300Ballard Power Systems Inc. Common Shares MacEwen, Robert Randall 5 2019-09-17 10 7.39 361,510 -3,100Ballard Power Systems Inc. Common Shares MacEwen, Robert Randall 5 2019-09-17 10 7.4 351,410 -10,100Ballard Power Systems Inc. Common Shares MacEwen, Robert Randall 5 2019-09-17 10 7.41 341,657 -9,753Ballard Power Systems Inc. Common Shares MacEwen, Robert Randall 5 2019-09-17 10 7.42 340,457 -1,200Ballard Power Systems Inc. Common Shares MacEwen, Robert Randall 5 2019-09-17 10 7.43 334,810 -5,647Ballard Power Systems Inc. Common Shares MacEwen, Robert Randall 5 2019-09-17 10 7.44 333,310 -1,500Ballard Power Systems Inc. Common Shares MacEwen, Robert Randall 5 2019-09-17 10 7.45 332,210 -1,100Ballard Power Systems Inc. Common Shares MacEwen, Robert Randall 5 2019-09-17 10 7.46 330,010 -2,200Ballard Power Systems Inc. Common Shares MacEwen, Robert Randall 5 2019-09-17 10 7.47 323,310 -6,700Ballard Power Systems Inc. Common Shares MacEwen, Robert Randall 5 2019-09-17 10 7.48 322,210 -1,100Ballard Power Systems Inc. Common Shares MacEwen, Robert Randall 5 2019-09-17 10 7.49 318,310 -3,900Ballard Power Systems Inc. Options MacEwen, Robert Randall 5 2019-09-17 51 1.8 583,079 -154,702Ballard Power Systems Inc. Common Shares Murray, Jay Francis 5 2019-09-12 51 4.82 11,666 6,666Ballard Power Systems Inc. Common Shares Murray, Jay Francis 5 2019-09-12 10 6.95 5,000 -6,666Ballard Power Systems Inc. Options Murray, Jay Francis 5 2019-09-12 51 4.82 53,335 -6,666Bank of Montreal Deferred Share Units Babiak, Jan 4 2019-08-27 35 89.21 21,670 238Bank of Montreal Deferred Share Units Brochu, Sophie 4 2019-08-27 35 89.21 25,196 281Bank of Montreal Deferred Share Units Broderick, Craig Wyeth 4 2019-08-27 35 89.21 2,277 19Bank of Montreal Deferred Share Units Cope, George 4 2019-08-27 35 89.21 43,877 494Bank of Montreal Deferred Share Units Edwards, Christine A. 4 2019-08-27 35 89.21 33,589 371Bank of Montreal Deferred Share Units Eichenbaum, Martin

Stewart4 2019-08-27 35 89.21 12,171 131

Bank of Montreal Deferred Share Units Farmer, Ron 4 2019-08-27 35 89.21 68,809 776Bank of Montreal Deferred Share Units Harquail, David 4 2019-08-27 35 89.21 2,918 27Bank of Montreal Deferred Share Units Huber, Linda Susan 4 2019-08-27 35 89.21 4,100 39Bank of Montreal Deferred Share Units Mitchelmore, Lorraine 4 2019-08-27 35 89.21 12,171 131Bank of Montreal Deferred Share Units Orsino, Philip 4 2019-08-27 35 89.21 86,052 975Bank of Montreal Deferred Share Units Prichard, John Robert

Stobo4, 7 2019-08-27 35 89.21 113,119 1,092

Bank of Montreal Deferred Share Units RICHER LA FL╚CHE, ERIC

4 2019-08-27 35 89.21 21,118 234

Bank of Montreal Deferred Share Units Wilson III, Don Matthew 4 2019-08-27 35 89.21 50,752 570Bausch Health Companies Inc. (formerly, Valeant Pharmaceuticals International, Inc.)

Common Shares Papa, Joseph 4, 5 2019-09-13 10 23.31 473,284 30,000

Bausch Health Companies Inc. (formerly, Valeant Pharmaceuticals International, Inc.)

Rights Restricted Share Units (RSUs)

Papa, Joseph 4, 5 2019-09-13 56 424,881 21,248

Bayhorse Silver Inc. Common Shares O'Neill, Graeme 5 2019-09-13 10 0.12 8,997,716 -140,000Bayhorse Silver Inc. Common Shares O'Neill, Graeme 5 2019-09-16 10 0.125 8,857,716 -140,000Baytex Energy Corp. Common Shares Olson, Kevin 4 2019-09-13 10 1.92 1,061,228 -100,000Baytex Energy Corp. Common Shares Olson, Kevin 4 2019-09-16 10 2.05 -100,000Baytex Energy Corp. Common Shares Olson, Kevin 4 2019-09-16 10 2.17 961,228 -100,000Baytex Energy Corp. Common Shares Olson, Kevin 4 2019-09-18 10 2.2 561,228 -400,000Baytex Energy Corp. Common Shares Olson, Kevin 4 2019-09-19 10 2.21 361,228 -200,000

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7823


T/O Unit Price


Acquired/ Disposed

BCE Inc. Common Shares LeBlanc, Glen 5 2019-09-12 51 56.05 37,454 37,454BCE Inc. Common Shares LeBlanc, Glen 5 2019-09-12 51 53.6 56,181 18,727 BCE Inc. Common Shares LeBlanc, Glen 5 2019-09-12 51 58.39 136,105 79,924BCE Inc. Common Shares LeBlanc, Glen 5 2019-09-12 10 63.8 0 -136,105 BCE Inc. Options LeBlanc, Glen 5 2019-09-12 51 56.05 394,325 -37,454BCE Inc. Options LeBlanc, Glen 5 2019-09-12 51 53.6 375,598 -18,727 BCE Inc. Options LeBlanc, Glen 5 2019-09-12 51 58.39 295,674 -79,924BCE Inc. Common Shares Lennox, Randal 5 2019-09-19 51 56.86 8,935 8,935 BCE Inc. Common Shares Lennox, Randal 5 2019-09-19 51 58.39 37,708 28,773BCE Inc. Common Shares Lennox, Randal 5 2019-09-19 10 64.09 0 -37,708BCE Inc. Options Lennox, Randal 5 2019-09-19 51 56.86 180,024 -8,935BCE Inc. Options Lennox, Randal 5 2019-09-19 51 58.39 151,251 -28,773Bear Creek Mining Corporation

Common Shares Hair, Alan Thomas Chalmers

4 2019-09-16 00

Bear Creek Mining Corporation

Options Hair, Alan Thomas Chalmers

4 2019-09-16 00

Bear Creek Mining Corporation

Warrants Hair, Alan Thomas Chalmers

4 2019-09-16 00

Big Rock Brewery Inc. Common Shares Noone, Patrick Donnell 4 2019-09-17 10 4.2176 1,762,900 1,400Big Rock Brewery Inc. Common Shares Noone, Patrick Donnell 4 2019-09-19 10 4.2155 1,763,800 900Biorem Inc. Common Shares Herner, Brian 4, 5 2019-09-13 10 0.36 390,393 -12,000Birchcliff Energy Ltd. Common Shares Bosman, Myles 5 2018-02-12 90 8.3 6,990 2,400Birchcliff Energy Ltd. Common Shares Bosman, Myles 5 2018-02-12 90 8.3 0 -2,400Birchcliff Energy Ltd. Preferred Shares Series

A Preferred Shares Bosman, Myles 5 2005-01-18 00

Birchcliff Energy Ltd. Preferred Shares Series A Preferred Shares

Bosman, Myles 5 2018-02-12 90 25 800 800


Bosman, Myles 5 2018-02-12 90 25 0 -800


Humphreys, David 5 2019-09-16 10 24.48 12,688 300

Birchcliff Energy Ltd. Common Shares Surbey, James William 4 2019-09-13 10 2.32 501,400 400Black Diamond Group Limited

Common Shares Haynes, Trevor 4, 5 2019-09-13 10 1.82 2,570,421 2,500

Black Mammoth Metals Corporation

Common Shares Henderson, Dustin Christopher

4, 5 2019-09-13 10 0.04 1,815,253 3,000

Blockchain Foundry Inc. Common Shares Marsh, Christopher Andrew 4, 5 2019-09-17 10 0.035 1,750,444 34,000 Blockchain Foundry Inc. Common Shares Marsh, Christopher Andrew 4, 5 2019-09-17 10 0.04 1,760,444 10,000Blockchain Foundry Inc. Common Shares Marsh, Christopher Andrew 4, 5 2019-09-17 10 0.035 1,810,444 50,000 Blue Lagoon Resources Inc. Options Bains, Gurdeep Singh 4 2019-08-26 37 80,000 60,000Blue Lagoon Resources Inc. Options Brewster, Norman 4 2019-08-26 37 80,000 60,000 Blue Lagoon Resources Inc. Options Marrelli, Carmelo 5 2019-08-26 37 50,000 37,500Blue Lagoon Resources Inc. Common Shares Vig, Rana Gurvinder 4, 5 2019-08-26 37 2,014,268 1,510,701 Blue Lagoon Resources Inc. Common Shares Vig, Rana Gurvinder 4, 5 2019-09-18 16 1 2,314,268 300,000Blue Lagoon Resources Inc. Options Vig, Rana Gurvinder 4, 5 2019-08-26 37 1,000,000 750,000 Bluestone Resources Inc. Common Shares Paterson, James R. 4 2019-09-13 10 1.32 746,850 11,500Bluestone Resources Inc. Common Shares Paterson, James R. 4 2019-09-13 10 1.35 756,850 10,000 Bluestone Resources Inc. Common Shares Paterson, James R. 4 2019-09-16 10 1.39 766,350 9,500Boyd Group Income Fund Options Bulbuck, W. Brock 4, 5 2019-09-19 51 5.41 0 -75,000Boyd Group Income Fund Trust Units Bulbuck, W. Brock 4, 5 2019-09-19 51 5.41 93,161 75,000Boyd Group Income Fund Options O'Day, Tim 5 2019-09-19 51 5.41 0 -75,000Boyd Group Income Fund Trust Units O'Day, Tim 5 2019-09-19 51 5.41 128,174 75,000BQE Water Inc. Common Shares hubbard, richard 3 2019-09-18 10 7.5 217,059 800Braingrid Limited Common Shares European High Growth

Opportunities Securitization Fund

3 2019-09-11 10 0.0158 2,200,000 -150,000

Braingrid Limited Common Shares European High Growth Opportunities Securitization Fund

3 2019-09-12 10 0.01 1,350,000 -850,000


3 2019-09-13 10 0.005 680,000 -670,000

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7824


T/O Unit Price


Acquired/ Disposed


3 2019-09-16 36 1,930,000 1,250,000


3 2019-09-16 10 0.005 1,730,000 -200,000


3 2019-09-17 10 0.005 1,250,000 -480,000


3 2019-09-17 10 0.005 1,000,000 -250,000

Braingrid Limited Convertible Debentures European High Growth Opportunities Securitization Fund

3 2019-09-16 36 $110,000 -$100,000

BRAMPTON BRICK LIMITED

Subordinate Voting Shares - Class A

Brazos Brick Holdings Limited

3 2019-09-18 10 6.25 1,611,143 300

Braveheart Resources Inc. Common Shares Keele, Philip Abbott 4, 5 2019-09-12 10 0.1471 3,641,500 15,000Braveheart Resources Inc. Common Shares Keele, Philip Abbott 4, 5 2019-09-19 10 0.144 3,651,500 10,000Braveheart Resources Inc. Common Shares Matlock, Aaron 4, 5 2019-09-16 10 0.15 6,444,001 10,000Braveheart Resources Inc. Common Shares Matlock, Aaron 4, 5 2019-09-17 10 0.1422 6,464,001 20,000Brookfield Property Partners L.P.

Limited Partnership Units Coutu, Marcel R. 6 2019-09-16 30 26.7 26,146 25,000

BSR Real Estate Investment Trust

Trust Units Held, Bryan Henry 4 2019-09-17 15 10.6 4,000 1,000


Trust Units Held, Bryan Henry 4 2019-09-17 15 10.6 2,000 1,000


Trust Units Senst, Graham David 4 2019-09-17 15 10.6 44,000 15,000


Trust Units Wademan, Elizabeth Anne 4 2018-05-18 00


Trust Units Wademan, Elizabeth Anne 4 2019-09-17 15 10.6 2,300 2,300

Buhler Industries Inc. Common Shares Fillion Kopp, Joelle Rae 3 2019-09-11 10 3.6 3,857,186 600 Buhler Industries Inc. Common Shares Fillion Kopp, Joelle Rae 3 2019-09-11 10 3.6 3,857,486 300Buhler Industries Inc. Common Shares Fillion Kopp, Joelle Rae 3 2019-09-12 10 3.6 3,857,786 300 Buhler Industries Inc. Common Shares Fillion Kopp, Joelle Rae 3 2019-09-13 10 3.6 3,858,686 900C21 Investments Inc. Common Shares Macdonald, Donald Bruce 4 2019-09-20 10 0.596 673,500 73,500Cabral Gold Inc. Options Weyrauch, Derrick Horst 4 2019-09-09 50 0.15 472,000 175,000Cabral Gold Inc. Restricted Share Units Weyrauch, Derrick Horst 4 2017-10-31 00 Cabral Gold Inc. Restricted Share Units Weyrauch, Derrick Horst 4 2019-09-09 56 133,333 133,333Canaccord Genuity Group Inc.

Common Shares Daviau, Daniel Joseph 7 2019-09-12 90 -69,627

Canaccord Genuity Group Inc.

Common Shares Daviau, Daniel Joseph 7 2019-09-12 90 -69,627


Common Shares Daviau, Daniel Joseph 7 2019-09-13 90 0 -69,627


Common Shares Daviau, Daniel Joseph 7 2019-09-12 90 69,627


Common Shares Daviau, Daniel Joseph 7 2019-09-12 90 69,627


Common Shares Daviau, Daniel Joseph 7 2019-09-13 90 2,513,599 69,627

Canada Goose Holdings Inc. Options Mihaljevic, Ana 5 2019-09-12 51 1.7879 76,242 -831Canada Goose Holdings Inc. Options Mihaljevic, Ana 5 2019-09-13 51 1.7879 73,742 -2,500Canada Goose Holdings Inc. Subordinate Voting

Shares Mihaljevic, Ana 5 2019-09-12 51 1.7879 16,387 831

Canada Goose Holdings Inc. Subordinate Voting Shares

Mihaljevic, Ana 5 2019-09-12 10 57.23 15,556 -831


Mihaljevic, Ana 5 2019-09-13 51 1.7879 18,056 2,500


Mihaljevic, Ana 5 2019-09-13 10 58.21 15,556 -2,500

Canada Goose Holdings Inc. Options Sherlock, Pat 5 2019-09-13 51 0.019 107,563 -7,609Canada Goose Holdings Inc. Options Sherlock, Pat 5 2019-09-13 51 0.019 99,954 -7,609

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7825


T/O Unit Price


Acquired/ Disposed

Canada Goose Holdings Inc. Options Sherlock, Pat 5 2019-09-13 51 0.019 92,345 -7,609Canada Goose Holdings Inc. Options Sherlock, Pat 5 2019-09-13 51 1.7879 84,937 -7,408 Canada Goose Holdings Inc. Subordinate Voting

Shares Sherlock, Pat 5 2019-09-13 51 0.019 7,609 7,609


Sherlock, Pat 5 2019-09-13 10 58.01 0 -7,609


Sherlock, Pat 5 2019-09-13 51 0.019 7,609 7,609


Sherlock, Pat 5 2019-09-13 10 58 0 -7,609


Sherlock, Pat 5 2019-09-13 51 0.019 7,609 7,609


Sherlock, Pat 5 2019-09-13 10 57.83 0 -7,609


Sherlock, Pat 5 2019-09-13 51 1.7879 7,408 7,408


Sherlock, Pat 5 2019-09-13 10 57.87 0 -7,408

Canada Jetlines Ltd. Warrants King & Bay West Management Corp.

8 2019-09-16 55 0 -444,444

Canada Jetlines Ltd. Warrants Morabito, Mark Joseph 4, 7, 5 2019-09-16 55 0 -444,445Canada Jetlines Ltd. Warrants Morabito, Mark Joseph 4, 7, 5 2019-09-16 55 0 -444,444Canadian Imperial Bank of Commerce

Common Shares ESPP Beber, Shawn 5 2019-09-03 00 276

Canadian Imperial Bank of Commerce

Options Beber, Shawn 5 2019-09-03 00 51,323


Rights PSU (cash settled) Beber, Shawn 5 2019-09-03 00 16,353


Rights RSA (cash settled) Beber, Shawn 5 2019-09-03 00 813


Common Shares Stevenson, Katharine Berghuis

4 2019-09-17 10 109.52 4,000



4 2019-09-17 10 109.52 4,000



4 2019-09-17 10 109.52 21,252 4,900



4 2011-01-01 00



4 2019-09-17 10 109.52 300



4 2019-09-17 10 109.52 300



4 2011-01-01 00



4 2019-09-17 10 109.52 600



4 2019-09-17 10 109.52 600

Canadian Metals Inc. Common Shares Leblanc, StÚphane 3, 4, 5 2019-09-11 11 -600,000Canadian Metals Inc. Common Shares Leblanc, StÚphane 3, 4, 5 2019-09-11 11 7,924,220 -600,000Canadian Metals Inc. Common Shares Panneton, Gerald 4 2019-08-13 10 0.035 100,000Canadian Metals Inc. Common Shares Panneton, Gerald 4 2019-09-13 10 0.035 1,900,000 100,000 Canadian Natural Resources Limited

Common Shares Bieber, Corey B. 5 2019-09-16 51 35.97 25,000 25,000

Canadian Natural Resources Limited

Common Shares Bieber, Corey B. 5 2019-09-16 10 37.88 0 -25,000


Options Bieber, Corey B. 5 2019-09-16 51 35.97 286,875 -25,000


Common Shares Bradley, Bryan Charles 5 2019-09-17 10 36.795 54,073 -7,000


Common Shares Cusson, RÚal, Michel 5 2019-09-17 10 28.85 719,502 7,000


Common Shares Cusson, RÚal, Michel 5 2019-09-17 10 36.904 712,502 -7,000


Common Shares Cusson, RÚal, Michel 5 2019-09-17 10 28.85 718,002 5,500

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7826


T/O Unit Price


Acquired/ Disposed


Common Shares Cusson, RÚal, Michel 5 2019-09-17 10 37.004 712,502 -5,500


Options Cusson, RÚal, Michel 5 2019-09-17 51 188,500 -7,000


Options Cusson, RÚal, Michel 5 2019-09-17 51 183,000 -5,500


Common Shares Fichter, Darren 5 2019-09-16 51 32.75 72,917 15,000


Common Shares Fichter, Darren 5 2019-09-16 10 37.87 57,917 -15,000


Options Fichter, Darren 5 2019-09-16 51 32.75 457,500 -15,000


Common Shares Froc, Jay Ellery 5 2019-09-16 51 32.51 26,852 3,000


Common Shares Froc, Jay Ellery 5 2019-09-16 10 37.67 23,852 -3,000














Options Froc, Jay Ellery 5 2019-09-16 51 32.51 236,000 -3,000








Options Kim, Ronald Dae Jung 5 2019-09-16 51 37.903 -1,500


Options Kim, Ronald Dae Jung 5 2019-09-16 51 35.97 59,545 -1,500


Options Kim, Ronald Dae Jung 5 2019-09-16 51 32.75 58,045 -1,500


Common Shares Mendes, Paul Martin 5 2019-09-16 10 36.503 14,500 -3,500


Common Shares Stagg, Kendall W. 5 2019-09-17 51 35.97 39,921 7,500






Common Shares Stagg, Kendall W. 5 2019-09-17 10 37.38 52,421 -7,500






Options Stagg, Kendall W. 5 2019-09-17 51 35.97 305,000 -7,500






Common Shares Stauth, Scott Gerald 5 2019-09-18 51 32.75 74,221 25,000


Common Shares Stauth, Scott Gerald 5 2019-09-18 10 36.191 49,221 -25,000

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7827


T/O Unit Price


Acquired/ Disposed


Options Stauth, Scott Gerald 5 2019-09-18 51 32.75 475,000 -25,000


Options Yee, Betty 5 2019-09-16 10 37.8 80,980 -3,500


Options Zabek, Robin Sean 5 2019-09-18 51 35.97 161,750 -4,000


Options Zabek, Robin Sean 5 2019-09-18 51 35.97 165,750 4,000






Options Zabek, Robin Sean 5 2019-09-18 51 32.75 161,750 4,000



Canadian Tire Corporation, Limited

Non-Voting Shares Class A

Leroux, Sylvain 6 2019-09-12 10 142.01 2,106 1,057

Canadian Western Bank Rights Deferred Share Units

Bibby, Andrew John 4 2019-09-16 56 33.321 10,664 600

Canadian Western Bank Common Shares Christensen, Lars Kurt 5 2019-09-13 51 33.38 23,047 2,387 Canadian Western Bank Options Christensen, Lars Kurt 5 2019-09-13 51 33.38 24,793 -10,997Canadian Western Bank Rights Deferred Share

Units Hohol, Linda Margaret Owerri

4 2019-09-16 56 33.321 13,119 600


Manning, Robert Adrian 4 2019-09-16 56 33.321 23,280 937


Mitchell, Elizabeth Gay 4 2019-09-16 56 33.321 2,172 1,312


Morgan-Silvester, Sarah Alyson

4 2019-09-16 56 33.321 12,971 600


Mulligan, Margaret Jean 4 2019-09-16 56 33.321 8,879 1,425


Phillips, Robert L. 4 2019-09-16 56 33.321 21,085 750


Protti, Raymond Joseph 4 2019-09-16 56 33.321 16,801 600


Reid, Ian MacNevin 4 2019-09-16 56 33.321 24,287 600


Riley, Sanford 4 2019-09-16 56 33.321 25,432 1,312


Rowe, Alan Macdonald 4 2019-09-16 56 33.321 32,559 1,500

Candente Copper Corp. Warrants Freeze, Joanne Constance 4, 5 2019-09-14 52 0.15 -644,998Candente Copper Corp. Warrants Freeze, Joanne Constance 4, 5 2019-09-14 55 0.15 300,000 -644,998Canlan Ice Sports Corp. Common Shares Chan, Vivian 5 2019-09-18 10 4.87 4,200 100Canlan Ice Sports Corp. Common Shares Chan, Vivian 5 2019-09-18 10 4.88 5,000 800Canlan Ice Sports Corp. Common Shares Chan, Vivian 5 2019-09-18 10 4.9 5,020 20Canoe EIT Income Fund Trust Units Chernoff, M. Bruce 3, 4 2019-09-16 10 10.763 138,818 21,200Canoe EIT Income Fund Trust Units Chernoff, M. Bruce 3, 4 2019-09-17 10 10.818 204,418 65,600Canoe EIT Income Fund Trust Units Chernoff, M. Bruce 3, 4 2019-09-18 10 10.8 241,618 37,200Canoe Mining Ventures Corp.

Common Shares Parnham, Duane 4, 5 2019-09-18 37 1,796,000 -5,385,000

Canoe Mining Ventures Corp.

Common Shares Parnham, Duane 4, 5 2019-09-18 10 0.11 1,816,500 20,500

Cardero Resource Corp. Common Shares Kopple, Robert Charles 3 2019-09-20 10 0.025 22,899,823 50,000Cardinal Resources Limited Common Shares Anthony, David Harold 5 2019-09-04 00 20,000 Cargojet Inc. Common Voting Shares Dhillon, Pauline 5 2019-09-10 10 103.23 6,109 -10,000Cargojet Inc. Common Voting Shares Porteous, Jamie Bennett 4, 5 2019-09-12 10 100.79 0 -1,080 Cargojet Inc. Common Voting Shares Porteous, Jamie Bennett 4, 5 2019-09-12 10 100.75 0 -1,300Cargojet Inc. Common Voting Shares Porteous, Jamie Bennett 4, 5 2019-09-12 10 100.39 48,707 -1,000 Caribbean Utilities Company, Ltd.

Common Shares Class A Ordinary Shares

Dilbert, Jennifer Pearl 4 2019-09-16 30 16.67 2,096 14

Caribbean Utilities Company, Ltd.


Ebanks, Sheree 4 2019-09-16 30 16.67 2,589 26

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7828


T/O Unit Price


Acquired/ Disposed



Ebanks, Sheree 4 2019-09-16 30 16.67 1,732 19



Ebanks, Sheree 4 2019-09-16 30 16.67 1,185 9



Macfee, Mark Roderick 4 2019-09-16 30 16.67 2,997 885



Powell, Eddinton M. 4 2019-09-16 30 16.67 835 8



Ritch, David E. 4 2019-09-16 30 16.67 35,304 10



Ritch, David E. 4 2019-09-16 30 16.67 5



Ritch, David E. 4 2019-09-16 30 16.67 5



Ritch, David E. 4 2019-09-16 30 16.67 546 5



Ritch, David E. 4 2019-09-16 30 16.67 4,536 47



Thomson, Peter A. 4 2019-09-16 30 16.67 4,236 43



Thomson, Peter A. 4 2019-09-16 30 16.67 5,264 53



Thomson, Peter A. 4 2019-09-16 30 16.67 5,570 57



Tibbetts, Sacha Nikolai 5 2019-09-16 30 16.67 20,064 208



Watler, David 5 2019-09-16 30 16.67 6,878 72



Watler, David 5 2019-09-16 30 16.67 1,292 13



Watler, David 5 2019-09-16 30 16.67 505 5



Watler, David 5 2019-09-16 30 16.67 443 3

Cascades Inc. Common Shares Cascades inc. 1 2019-09-17 38 12.075 22,500 22,500Cascades Inc. Common Shares Cascades inc. 1 2019-09-17 38 12.075 0 -22,500 Cascades Inc. Common Shares Cascades inc. 1 2019-09-18 38 11.929 20,100 20,100Cascades Inc. Common Shares Cascades inc. 1 2019-09-18 38 11.929 0 -20,100Cascades Inc. Common Shares Cascades inc. 1 2019-09-19 38 11.86 4,000 4,000Cascades Inc. Common Shares Cascades inc. 1 2019-09-19 38 11.86 0 -4,000Cascades Inc. Common Shares Cascades inc. 1 2019-09-20 38 11.81 16,000 16,000Cascades Inc. Common Shares Cascades inc. 1 2019-09-20 38 11.81 0 -16,000Cascades Inc. Common Shares Gosselin, Eve 7 2019-09-13 10 12.3 0 -250CB2 Insights Inc. Common Shares Qureshi, Kashaf 4 2019-09-16 10 0.145 8,378,448 3,448CB2 Insights Inc. Common Shares Qureshi, Kashaf 4 2019-09-16 10 0.125 8,382,448 4,000CB2 Insights Inc. Common Shares Qureshi, Kashaf 4 2019-09-17 10 0.13 8,382,948 500CB2 Insights Inc. Common Shares Sekar, Pradyum 4 2019-09-13 10 0.15 8,775,333 333CB2 Insights Inc. Common Shares Sekar, Pradyum 4 2019-09-16 10 0.145 8,776,102 769CCL Industries Inc. Rights Performance

Share Units Birkner, Gunther Johann 7 2013-03-11 00

CCL Industries Inc. Rights Performance Share Units

Birkner, Gunther Johann 7 2019-09-13 56 70,116 70,116


Cooper, Mark 7 2019-03-01 00


Cooper, Mark 7 2019-09-13 56 40,901 40,901


Cumming, Derek 7 2019-01-01 00


Cumming, Derek 7 2019-09-13 56 29,215 29,215


Dargan, John 7 2018-03-16 00


Dargan, John 7 2019-09-13 56 46,744 46,744

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7829


T/O Unit Price


Acquired/ Disposed


Fleissner, Peter 7 2019-01-01 00


Fleissner, Peter 7 2019-09-13 56 29,215 29,215

CCL Industries Inc. Non-Voting Shares Class B

Frantz, Eric Olivier 7 2019-09-17 00 25,992

CCL Industries Inc. Options Frantz, Eric Olivier 7 2019-09-17 00 56,000CCL Industries Inc. Rights Performance

Share Units Frantz, Eric Olivier 7 2019-09-17 00 29,215

CCL Industries Inc. Rights Restricted Share Units

Frantz, Eric Olivier 7 2019-09-17 00 35,000


Jocionis, Luis 7 2019-01-01 00


Jocionis, Luis 7 2019-09-13 56 29,215 29,215


Kotecha, Kamal Chandrakant

5 2014-03-04 00


Kotecha, Kamal Chandrakant

5 2019-09-13 56 4,397 4,397

CCL Industries Inc. Non-Voting Shares Class B

Lilienthal, Ben Yaacob 7 2019-09-19 00 62,345

CCL Industries Inc. Options Lilienthal, Ben Yaacob 7 2019-09-19 00 68,500CCL Industries Inc. Rights Performance

Share Units Lilienthal, Ben Yaacob 7 2019-09-19 00 29,215


Lilienthal, Ben Yaacob 7 2019-09-19 00 31,446


Martin, Geoffrey 4, 5 2002-12-13 00


Martin, Geoffrey 4, 5 2019-09-13 56 257,093 257,093


McClendon, Mark 5 2014-07-01 00


McClendon, Mark 5 2019-09-13 56 23,372 23,372

CCL Industries Inc. Options Mitchell-Harris, Scott 7 2019-09-17 00 63,500CCL Industries Inc. Rights Performance

Share Units Mitchell-Harris, Scott 7 2019-09-17 00 29,215


Mitchell-Harris, Scott 7 2019-09-17 00 10,000


Pretsell, Lee 7 2019-01-01 00


Pretsell, Lee 7 2019-09-13 56 21,986 21,986


Rubino, Sebastian 7 2013-03-11 00


Rubino, Sebastian 7 2019-09-13 56 58,430 58,430


Sellors, James Andrew 5 2013-07-01 00


Sellors, James Andrew 5 2019-09-13 56 17,529 17,529


Vaidyanathan, Lalitha 5 2001-12-05 00


Vaidyanathan, Lalitha 5 2019-09-13 56 58,430 58,430


Vecchiarelli, Nicolangelo 5 2015-03-04 00


Vecchiarelli, Nicolangelo 5 2019-09-13 56 3,517 3,517


Vodermaier, Monika 5 2015-05-07 00


Vodermaier, Monika 5 2019-09-13 56 3,856 3,856


Washchuk, Sean 5 2011-10-05 00


Washchuk, Sean 5 2019-09-13 56 57,164 57,164

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7830


T/O Unit Price


Acquired/ Disposed

Cenovus Energy Inc. Common Shares Reid, Alan Craig 5 2019-09-17 51 13.93 59,459 20,567Cenovus Energy Inc. Options Reid, Alan Craig 5 2019-09-17 51 9.48 986,298 -85,526 Champion Iron Limited Common Shares Ordinary

Shares (as per Australian securities law)

Marcotte, Michael 5 2019-09-11 10 2.2 33,200 2,000

Chemesis International Inc. Common Shares Aujla, Harwinder Singh Mike

4 2018-07-20 00

Chemesis International Inc. Common Shares Aujla, Harwinder Singh Mike

4 2019-09-12 10 0.73 25,600 25,600

Chemtrade Logistics Income Fund

Rights RSU Rook, Scott William 5 2019-09-16 00


Rights RSU Rook, Scott William 5 2019-09-16 56 10.15 74,900 74,900


Rights RSU Rook, Scott William 5 2019-09-16 56 10.15 124,200 49,300

Chesswood Group Limited Common Shares Comrev Investments Limited

3 2019-09-16 10 9 1,883,285 20,000

Chesswood Group Limited Common Shares Sonshine, Edward 3 2019-09-16 10 9 1,883,285 20,000Choice Properties Real Estate Investment Trust

Rights Deferred Units Graham, Anthony R. 7 2019-07-02 56 2,506

Choice Properties Real Estate Investment Trust

Rights Deferred Units Graham, Anthony R. 7 2019-07-02 56 24,528 2,152


Rights Deferred Units Weston, Willard Galen Garfield

6 2019-07-02 56 1,275


Rights Deferred Units Weston, Willard Galen Garfield

6 2019-07-02 56 58,790 1,629

Choom Holdings Inc. Common Shares Chris, Bogart 4 2019-09-17 10 0.39 3,991,750 5,000Choom Holdings Inc. Common Shares Chris, Bogart 4 2019-09-17 10 0.385 4,006,750 15,000Choom Holdings Inc. Common Shares Chris, Bogart 4 2019-09-17 10 0.38 4,016,750 10,000Chorus Aviation Inc. Rights (Ongoing Long-

Term Incentive Plan) Corri, David Colm 7 2019-09-16 00 7,638

CIBT Education Group Inc. Common Shares Chu, Toby 4, 5 2019-09-19 10 0.65 6,814,247 10,000CIBT Education Group Inc. Common Shares CIBT Education Group Inc 1 2019-09-12 10 0.65 2,346,500 60,000CIBT Education Group Inc. Common Shares CIBT Education Group Inc 1 2019-09-13 10 0.65 2,354,000 7,500CIBT Education Group Inc. Common Shares CIBT Education Group Inc 1 2019-09-16 10 0.66 2,361,500 7,500CIBT Education Group Inc. Common Shares CIBT Education Group Inc 1 2019-09-17 10 0.66 2,414,000 52,500CIBT Education Group Inc. Common Shares CIBT Education Group Inc 1 2019-09-18 10 0.63 2,418,000 4,000CIBT Education Group Inc. Common Shares CIBT Education Group Inc 1 2019-09-19 10 0.65 2,425,500 7,500City View Green Holdings Inc.

Common Shares Heng, Joseph, Ching-Hiang 4 2019-09-16 10 0.12 9,224,521 -50,000

Clairvest Group Inc. Common Shares Isenberg, Robert 7 2019-09-16 10 50 36,450 1,400CLS Holdings USA, Inc. Common Shares Swanson, Todd 3 2018-06-27 00 13,644,293COIN HODL INC. (formerly Malbex Resources Inc.)

Common Shares Cubitt, Benedict Giles 4, 5 2019-09-18 10 0.135 2,244,200 74,500

Cominar Real Estate Investment Trust

Trust Units George, Zachary R. 4 2019-09-20 10 12.957 929,360 950


Trust Units George, Zachary R. 4 2019-09-19 10 12.848 5,275,926 9,919











Commerce Resources Corp. Common Shares Hodge, David 4, 5 2019-09-13 10 0.36 1,500 1,500Conscience Capital Inc. Common Shares Belfontaine, John David

Alexander3, 4, 5 2019-09-17 10 0.171 1,755,000 10,000

Conscience Capital Inc. Common Shares Belfontaine, John David Alexander

3, 4, 5 2019-09-18 10 0.135 1,765,000 10,000

Conscience Capital Inc. Common Shares Belfontaine, John David Alexander

3, 4, 5 2019-09-19 10 0.135 1,770,000 5,000

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7831


T/O Unit Price


Acquired/ Disposed

Constellation Software Inc. Common Shares Leonard, Mark Henri 4, 5 2019-09-17 30 1287.7 3,200 -100Converge Technology Solutions Corp.

Common Shares Berard, Greg 5 2019-09-16 10 1.0484 220,000 62,500

Converge Technology Solutions Corp.

Common Shares Berard, Greg 5 2019-09-17 10 0.98 228,992 8,992


Common Shares Cuthbertson, Donald Lawrence

5 2019-09-17 10 0.98 777,307 6,240


Common Shares Palangio, Mary Anne 5 2019-09-17 10 0.98 102,621 4,368


Common Shares Reid, Cory 5 2019-09-17 10 0.98 95,350 8,992

COPPER REEF MINING CORPORATION

Common Shares Jackson, William John 4 2019-09-18 10 0.035 2,400,000 400,000

CordovaCann Corp. (formerly LiveReel Media Corporation)

Common Shares Kapoor, Ashish 3, 4, 6, 5 2015-03-10 00


Common Shares Kapoor, Ashish 3, 4, 6, 5 2018-12-20 10 0.94 20,000 20,000






Common Shares Kapoor, Ashish 3, 4, 6, 5 2015-03-10 00








Common Shares Kapoor, Ashish 3, 4, 6, 5 2017-09-14 90 0 -4,108,982


Options Kapoor, Ashish 3, 4, 6, 5 2015-03-10 00


Options Kapoor, Ashish 3, 4, 6, 5 2018-01-16 50 150,000 150,000


Options Kapoor, Ashish 3, 4, 6, 5 2018-03-09 50 300,000 150,000


Options Kloepper, Henry 4 2015-03-10 00


Options Kloepper, Henry 4 2018-01-16 50 50,000 50,000


Common Shares Turner, Thomas 4, 5 2017-09-22 00 2,947,523


Common Shares Turner, Thomas 4, 5 2017-09-22 00 2,947,523


Options Turner, Thomas 4, 5 2017-09-22 00


Options Turner, Thomas 4, 5 2018-01-16 50 150,000 150,000


Options Turner, Thomas 4, 5 2018-03-09 50 300,000 150,000

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7832


T/O Unit Price


Acquired/ Disposed

Core One Labs Inc. Options Fenwick, Casey 5 2019-09-06 37 0.465 333,333 -1,666,667Core One Labs Inc. Options Fenwick, Casey 5 2019-09-13 50 1.25 813,333 480,000 Core One Labs Inc. Common Shares Silina, Yanika 4, 5 2019-09-06 37 28,516 -142,579Core One Labs Inc. Options Silina, Yanika 4, 5 2019-07-27 52 0.5 0 -600,000 Core One Labs Inc. Options Silina, Yanika 4, 5 2019-09-13 50 1.25 200,000 200,000CounterPath Corporation Common Shares Luk, Karen 5 2019-09-19 00 CounterPath Corporation Options Luk, Karen 5 2019-09-19 00 CounterPath Corporation Options Luk, Karen 5 2019-09-19 00 7,500 CounterPath Corporation Warrants Luk, Karen 5 2019-09-19 00 Covalon Technologies Ltd. Common Shares Cordiano, Joseph 4 2019-09-18 16 2 62,200 50,200Covalon Technologies Ltd. Warrants Cordiano, Joseph 4 2008-03-07 00 Covalon Technologies Ltd. Warrants Cordiano, Joseph 4 2019-09-18 16 50,200 50,200Covalon Technologies Ltd. Common Shares Goldfarb, Martin 6 2013-08-30 00 Covalon Technologies Ltd. Common Shares Goldfarb, Martin 6 2019-09-18 16 2 1,000,000 1,000,000Covalon Technologies Ltd. Warrants Goldfarb, Martin 6 2013-08-30 00 Covalon Technologies Ltd. Warrants Goldfarb, Martin 6 2019-09-18 16 1,000,000 1,000,000Covalon Technologies Ltd. Common Shares Mandel, Jeffrey 4 2019-09-18 16 2 51,100 25,000Covalon Technologies Ltd. Warrants Mandel, Jeffrey 4 2019-09-18 16 25,000 25,000Covalon Technologies Ltd. Common Shares Smith, Ronald 4 2019-09-18 16 2 12,500Covalon Technologies Ltd. Common Shares Smith, Ronald 4 2019-09-18 16 2 17,500 12,500Covalon Technologies Ltd. Warrants Smith, Ronald 4 2019-03-18 00 Covalon Technologies Ltd. Warrants Smith, Ronald 4 2019-09-18 16 12,500 12,500Crescent Point Energy Corp. Restricted Share Units Borggard, Bradley Harlan 5 2019-09-17 56 68,588 19,469Crescent Point Energy Corp. Restricted Share Units Bryksa, Craig Stephen 4, 5 2018-05-29 00 Crescent Point Energy Corp. Restricted Share Units Bryksa, Craig Stephen 4, 5 2019-09-17 56 6,102 6,102Crescent Point Energy Corp. Restricted Share Units Bryksa, Craig Stephen 4, 5 2019-09-17 56 141,946 44,247Crescent Point Energy Corp. Restricted Share Units Cillis, Laura Ann 4 2019-09-17 56 34,619 12,654Crescent Point Energy Corp. Deferred Share Units Craddock, James Elbert 4 2019-06-14 00 Crescent Point Energy Corp. Deferred Share Units Craddock, James Elbert 4 2019-09-17 56 6,327 6,327Crescent Point Energy Corp. Deferred Share Units Dielwart, John Patrick 4 2019-03-07 00 Crescent Point Energy Corp. Deferred Share Units Dielwart, John Patrick 4 2019-09-17 56 17,875 17,875Crescent Point Energy Corp. Restricted Share Units Eade, Mark Gordon 5 2019-09-17 56 61,737 15,929Crescent Point Energy Corp. Deferred Share Units Goldthorpe, Edward 4 2019-09-17 56 45,868 17,078Crescent Point Energy Corp. Restricted Share Units Gritzfeldt, Ryan Chad

Raymond5 2019-09-17 56 74,038 21,238

Crescent Point Energy Corp. Deferred Share Units Heinemann, Robert Frederick

4 2019-09-17 56 38,945 14,601

Crescent Point Energy Corp. Deferred Share Units Jackson, Michael Sidney 4 2019-09-17 56 24,280 12,654Crescent Point Energy Corp. Deferred Share Units Koury, Jennifer 4 2019-06-14 00 Crescent Point Energy Corp. Deferred Share Units Koury, Jennifer 4 2019-09-17 56 6,327 6,327Crescent Point Energy Corp. Restricted Share Units LAMONT, KENNETH 5 2019-09-17 56 78,599 22,123Crescent Point Energy Corp. Deferred Share Units Langlois, Francois 4 2019-09-17 56 39,522 19,379Crescent Point Energy Corp. Deferred Share Units Munroe, Barbara Elaine 4 2019-09-17 56 69,460 18,494Cresco Labs Inc. Subordinate Voting

Shares Podolsky, Randy Dean 4 2018-11-30 00

Cresco Labs Inc. Subordinate Voting Shares

Podolsky, Randy Dean 4 2019-09-17 10 9.7234 10,000 10,000


Sergi, Dominic Anthony 4 2018-11-30 00


Sergi, Dominic Anthony 4 2019-09-17 10 7.175 1,000 1,000


Sergi, Dominic Anthony 4 2019-09-17 10 7.3241 1,800 800







Crestview Exploration Inc. Common Shares 12466376

Liakopoulos, Dimitrios 6 2017-08-30 00

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7833


T/O Unit Price


Acquired/ Disposed






Liakopoulos, Dimitrios 6 2019-09-09 00 1,800,000

Crestview Exploration Inc. Options 175000 Liakopoulos, Dimitrios 6 2019-09-09 00 25,000Crestview Exploration Inc. Warrants 8761220 Liakopoulos, Dimitrios 6 2019-09-09 00 1,600,000 Crestview Exploration Inc. Common Shares

12466376 MacKenzie, Donald James 4 2019-09-09 00 100,000

Crestview Exploration Inc. Options 175000 MacKenzie, Donald James 4 2019-09-09 00 25,000 Crestview Exploration Inc. Warrants 8761220 MacKenzie, Donald James 4 2019-09-09 00 50,000Crestview Exploration Inc. Common Shares

12466376 WATSON, GLEN RAYMOND

4 2019-09-09 00 1,000

Crestview Exploration Inc. Options 175000 WATSON, GLEN RAYMOND

4 2019-09-09 00 25,000

Crestview Exploration Inc. Warrants 8761220 WATSON, GLEN RAYMOND

4 2019-09-09 00 500

Crombie Real Estate Investment Trust

Trust Units Special Voting Empire Company Limited 3 2019-09-13 30 15.712 62,029,217 4,333

Cronos Group Inc. Common Shares Adler, Jason Marc 4 2018-08-16 90 5.27 290,460 -160,005Cronos Group Inc. Common Shares Adler, Jason Marc 4 2018-08-16 90 1.95 90,082 -200,378Cronos Group Inc. Common Shares Adler, Jason Marc 4 2018-08-16 90 5.27 160,005 160,005Cronos Group Inc. Common Shares Adler, Jason Marc 4 2018-08-16 90 1.95 360,383 200,378 Crown Capital Partners Inc. Common Shares Johnson, Christopher Allen 4, 5 2019-09-10 10 401,717 -73,500Crown Capital Partners Inc. Common Shares Johnson, Christopher Allen 4, 5 2019-09-10 10 277,692 73,500 CT Real Estate Investment Trust

Units Canadian Tire Corporation, Limited

3 2019-09-19 15 14.25 33,989,508 -10,530,000

CT Real Estate Investment Trust

Units Christie, James Robert 7 2018-05-08 00

CT Real Estate Investment Trust

Units Christie, James Robert 7 2019-09-19 10 14.25 1,500 1,500

Curaleaf Holdings, Inc. (formerly Lead Ventures Inc.)

Options Foley, Daniel Patrick 5 2019-05-06 00


Options Foley, Daniel Patrick 5 2019-09-11 50 9.27 16,016 16,016


Rights Restricted Share Units

Foley, Daniel Patrick 5 2019-05-06 00



Foley, Daniel Patrick 5 2019-09-11 56 9.27 12,105 12,105


Options Johnson, David 5 2019-06-24 00


Options Johnson, David 5 2019-09-11 50 9.27 256,270 256,270


Options Kelenchuk, Eduard 5 2019-09-12 51 0.8 1,445,500 -100,000



Kelenchuk, Eduard 5 2019-09-12 51 0.8 190,000 100,000



Kelenchuk, Eduard 5 2019-09-12 11 10.17 90,000 -100,000


Options Morgan, David Troy 5 2019-06-24 00


Options Morgan, David Troy 5 2019-09-11 50 9.27 42,711 42,711

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7834


T/O Unit Price


Acquired/ Disposed


Options Pickworth, James John 5 2019-03-04 00


Options Pickworth, James John 5 2019-09-11 50 9.27 32,033 32,033


Options Taylor, Christine 5 2019-08-19 00


Options Taylor, Christine 5 2019-09-11 50 9.27 59,321 59,321



Taylor, Christine 5 2019-08-19 00



Taylor, Christine 5 2019-09-11 56 9.27 134,506 134,506

CUV Ventures Corp. Common Shares Lonis, Bernard Jean Jacques

4 2019-09-12 10 0.1962 3,946,500 -88,500


4 2019-09-13 10 0.2156 3,223,500 -723,000


4 2019-09-17 10 0.2134 3,176,000 -47,500


4 2019-09-18 10 0.2197 3,022,000 -154,000


4 2019-09-19 10 0.2002 2,865,500 -156,500

CYNTAR VENTURES INC. Common Shares Chew, Harry 4, 5 2019-09-16 10 0.09 -600,000CYNTAR VENTURES INC. Common Shares Chew, Harry 4, 5 2019-09-16 11 0.09 260,000 -600,000 CYNTAR VENTURES INC. Common Shares Chew, Sonny 4, 5 2019-09-16 11 0.09 125,000 -300,000Cypherpunk Holdings Inc. Common Shares Henderson, Marc Charles 4, 5 2019-09-11 10 0.055 4,150,000 100,000 Cypherpunk Holdings Inc. Common Shares Henderson, Marc Charles 4, 5 2019-09-16 10 0.055 4,200,000 50,000DATA Communications Management Corp.

Warrants Cochrane, Gregory James 4 2016-06-01 00

DATA Communications Management Corp.

Warrants Cochrane, Gregory James 4 2019-08-16 53 1.08 70,714 70,714


Warrants Ward, J. R. Kingsley 4 2014-06-17 00


Warrants Ward, J. R. Kingsley 4 2019-08-16 53 1.08 70,714 70,714

DealNet Capital Corp. Common Shares Houlden, Kathryn 5 2019-09-17 10 0.08 690,079 20,800Digital Consumer Dividend Fund

Trust Units Digital Consumer Dividend Fund

1 2019-09-13 38 9.5004 121,100 25,400

Digital Consumer Dividend Fund


1 2019-09-16 38 9.4413 131,500 10,400



1 2019-09-17 38 9.3863 135,600 4,100



1 2019-09-18 38 9.36 135,800 200



1 2019-09-19 38 9.4942 142,200 6,400


Trust Units Lauzon, Robert 7 2019-09-19 10 9.4983 33,200 1,200


Trust Units Lauzon, Robert 7 2019-09-18 10 9.45 4,300 300






Trust Units Orrico, Dean 6 2019-09-13 10 9.6 60,000 1,900





Insider Reporting

September 26, 2019

(2019), 42 OSCB 7835


T/O Unit Price


Acquired/ Disposed

DIRTT Environmental Solutions Ltd.

Common Shares Lillibridge, Todd 4 2019-05-15 10 7.75 90,700 34,700


Common Shares Zirkman, Joseph Adam 5 2019-09-12 10 4.6505 20,756 10,000


Common Shares Zirkman, Joseph Adam 5 2019-09-13 10 4.6479 25,756 5,000

DMG Blockchain Solutions Inc.

Common Shares Bennett, Sheldon Norman 4 2019-09-18 10 0.14 1,610,000 10,000

DMG Blockchain Solutions Inc.

Common Shares Reitzik, Daniel 4, 5 2019-09-16 10 0.18 1,636,500 30,000

Dollarama Inc. Common Shares Ross, Michael 5 2019-09-18 51 12.022 118,400 117,000Dollarama Inc. Common Shares Ross, Michael 5 2019-09-18 10 47.75 1,400 -117,000Dollarama Inc. Common Shares Ross, Michael 5 2019-09-18 51 14.797 10,000Dollarama Inc. Common Shares Ross, Michael 5 2019-09-18 51 14.797 10,000Dollarama Inc. Common Shares Ross, Michael 5 2019-09-18 10 47.75 10,000Dollarama Inc. Common Shares Ross, Michael 5 2019-09-18 10 47.75 10,000Dollarama Inc. Common Shares Ross, Michael 5 2019-09-18 10 47.75 -10,000Dollarama Inc. Common Shares Ross, Michael 5 2019-09-18 10 47.75 -10,000Dollarama Inc. Common Shares Ross, Michael 5 2019-09-18 51 12.022 117,000Dollarama Inc. Common Shares Ross, Michael 5 2019-09-18 51 12.022 117,000Dollarama Inc. Common Shares Ross, Michael 5 2019-09-18 51 14.797 10,000Dollarama Inc. Common Shares Ross, Michael 5 2019-09-18 51 14.797 10,000Dollarama Inc. Common Shares Ross, Michael 5 2019-09-18 51 14.797 11,400 10,000Dollarama Inc. Common Shares Ross, Michael 5 2019-09-18 10 47.75 1,400 -10,000 Dollarama Inc. Options Ross, Michael 5 2019-09-18 51 12.022 492,000 -117,000Dollarama Inc. Options Ross, Michael 5 2019-09-18 51 14.797 -10,000 Dollarama Inc. Options Ross, Michael 5 2019-09-18 51 14.797 -10,000Dollarama Inc. Options Ross, Michael 5 2019-09-18 51 12.022 -117,000 Dollarama Inc. Options Ross, Michael 5 2019-09-18 51 12.022 -117,000Dollarama Inc. Options Ross, Michael 5 2019-09-18 51 14.797 -10,000 Dollarama Inc. Options Ross, Michael 5 2019-09-18 51 14.797 -10,000Dollarama Inc. Options Ross, Michael 5 2019-09-18 51 14.797 482,000 -10,000 Dollarama Inc. Common Shares Rossy, Lawrence 4, 5 2019-09-18 11 47.74 6,068,021 -1,415,233Dollarama Inc. Common Shares Rossy, Neil George 4, 5 2019-09-18 11 47.74 2,552,748 -638,931 Dolly Varden Silver Corporation

Common Shares 2176423 Ontario Ltd. 3 2019-09-12 00 5,000,000

Dolly Varden Silver Corporation

Common Shares 2176423 Ontario Ltd. 3 2019-09-12 11 0.235 10,714,286 5,714,286


Common Shares Sprott, Eric S. 3 2019-09-12 00 5,000,000


Common Shares Sprott, Eric S. 3 2019-09-12 11 0.235 10,714,286 5,714,286

DURO METALS INC Common Shares Bourassa, Justin 4, 5 2019-09-11 00 200,000 DURO METALS INC Common Shares Dufresne, Michael 4 2019-09-12 00 DURO METALS INC Common Shares Dufresne, Michael 4 2019-09-12 15 0.05 200,000 200,000 DURO METALS INC Common Shares Greig, James Stewart 4 2019-09-12 00 100,000DURO METALS INC Common Shares Mager, Sean Richard

William3, 4, 5 2019-09-12 00 650,000

DURO METALS INC Common Shares Williamson, John 4, 5 2019-09-11 00 650,000DURO METALS INC Common Shares Yaseniuk, Jeremy 4 2019-09-11 00 200,000 E-L Financial Corporation Limited

Preferred Shares First Preference Shares, Series 2

Jackman, Henry Newton Rowell

4, 6 2019-09-12 10 22.08 171,100 75,000

Eagle Energy Inc. Performance Restricted Share Unit

Bund, Jo-Anne Michelle 5 2019-09-12 59 13,661 -9,116

Eagle Energy Inc. Restricted Share Units Bund, Jo-Anne Michelle 5 2019-09-12 59 40,986 -27,348 Eagle Energy Inc. Performance Restricted

Share Unit Clark, Richard W. 4, 7, 5 2019-09-12 59 44,681 -41,914

Eagle Energy Inc. Restricted Share Units Clark, Richard W. 4, 7, 5 2019-09-12 59 77,391 -68,057Eagle Energy Inc. Performance Restricted

Share Unit Galonski, Brenda Faye 5 2019-09-12 59 3,754 -1,751

Eagle Energy Inc. Restricted Share Units Galonski, Brenda Faye 5 2019-09-12 59 33,784 -15,772

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7836


T/O Unit Price


Acquired/ Disposed

Eagle Energy Inc. Performance Restricted Share Unit

Glass, Glen 5 2019-09-12 59 10,662 -6,262

Eagle Energy Inc. Restricted Share Units Glass, Glen 5 2019-09-12 59 31,985 -18,787Eagle Energy Inc. Restricted Share Units Melton, John Atkins 4, 7 2019-09-12 59 27,370 -18,840Eagle Energy Inc. Restricted Share Units Steckley, Warren D. 4 2019-09-12 59 31,444 -21,271Eagle Energy Inc. Performance Restricted

Share Unit Wisniewski, James Wayne 7, 5 2019-09-12 59 68,076 -43,757

Eagle Energy Inc. Restricted Share Units Wisniewski, James Wayne 7, 5 2019-09-12 59 102,113 -65,635East Coast Investment Grade Income Fund

Units Arrow Capital Management Inc.

7 2019-09-17 10 9.1 3,300 300

Eastmain Resources Inc. Common Shares Fazzini, Joseph 5 2019-09-14 57 0.14 33,333Eastmain Resources Inc. Common Shares Fazzini, Joseph 5 2019-09-14 57 0.14 33,334Eastmain Resources Inc. Common Shares Fazzini, Joseph 5 2019-09-14 57 0.14 923,153 33,334Eastmain Resources Inc. Common Shares Fazzini, Joseph 5 2019-09-18 57 0.135 998,153 75,000Eastmain Resources Inc. Restricted Share Units

(Time-based) Fazzini, Joseph 5 2019-09-14 57 0.14 -33,333

Eastmain Resources Inc. Restricted Share Units (Time-based)

Fazzini, Joseph 5 2019-09-14 57 0.14 150,000 -33,334


Fazzini, Joseph 5 2019-09-18 57 0.135 75,000 -75,000

Eastmain Resources Inc. Common Shares Lemasson, Claude 4, 5 2019-09-14 57 0.14 58,333Eastmain Resources Inc. Common Shares Lemasson, Claude 4, 5 2019-09-14 57 0.14 3,284,460 58,334Eastmain Resources Inc. Common Shares Lemasson, Claude 4, 5 2019-09-18 57 0.135 3,392,793 108,333Eastmain Resources Inc. Restricted Share Units

(Time-based) Lemasson, Claude 4, 5 2019-09-14 57 0.14 -58,333


Lemasson, Claude 4, 5 2019-09-14 57 0.14 216,667 -58,334


Lemasson, Claude 4, 5 2019-09-18 57 0.135 108,334 -108,333

Eastmain Resources Inc. Common Shares McGuinty, William John 5 2019-09-14 57 0.14 529,712 21,667Eastmain Resources Inc. Common Shares McGuinty, William John 5 2019-09-18 57 0.135 571,379 41,667Eastmain Resources Inc. Restricted Share Units

(Time-based) McGuinty, William John 5 2019-09-14 57 0.14 83,335 -21,667


McGuinty, William John 5 2019-09-18 57 0.135 41,668 -41,667

Eldorado Gold Corporation Common Shares Allaway, Cara Lea 5 2019-09-16 30 11.13 275 43 Eldorado Gold Corporation Common Shares Aram, Karen Christine 5 2019-09-16 30 11.13 682 107Eldorado Gold Corporation Common Shares Burns, George Raymond 4, 5 2019-09-16 30 11.13 3,355 374Eldorado Gold Corporation Common Shares Skayman, Paul James 5 2019-09-16 30 11.13 1,517 303Eldorado Gold Corporation Common Shares Williams, Shane James 5 2019-09-16 30 11.13 732 115Eldorado Gold Corporation Common Shares Yee, Philip Chow 5 2019-09-16 30 11.13 714 112Elixxer Ltd. Common Shares Zalt, Ferras 4 2019-09-18 10 0.062 1,233,106 33,106Elixxer Ltd. Common Shares Zalt, Ferras 4 2019-09-18 10 0.0555 1,240,000 6,894Elixxer Ltd. Common Shares Zalt, Ferras 4 2019-09-19 10 0.0646 1,413,000 173,000Elixxer Ltd. Common Shares Zalt, Ferras 4 2019-09-19 10 0.062 1,438,000 25,000Elixxer Ltd. Common Shares Zalt, Ferras 4 2019-09-19 10 0.066 1,536,000 98,000Elixxer Ltd. Common Shares Zalt, Ferras 4 2019-09-19 10 0.0585 1,538,000 2,000Elixxer Ltd. Common Shares Zalt, Ferras 4 2019-09-19 10 0.0555 1,540,000 2,000Empire Company Limited Options Joyce, Sarah Katherine 5 2019-09-12 00 9,565Empire Company Limited Rights DSU (Executive

Deferred Share Units) Joyce, Sarah Katherine 5 2019-09-12 00 7,432

Empire Company Limited Options Sanderson, Sandra 5 2019-09-12 00 20,879Empire Company Limited Rights DSU (Executive

Deferred Share Units) Sanderson, Sandra 5 2019-09-12 00 16,192

Empire Company Limited Rights PSU (Performance Share Units)

Sanderson, Sandra 5 2019-09-12 00 2,325

Empire Company Limited Rights RSU (Restricted Share Units)

Sanderson, Sandra 5 2019-09-12 00 6,975

Empire Company Limited Non-Voting Shares Class A

Varalli, Vittoria Marie 5 2019-09-12 00 75

Empire Company Limited Options Varalli, Vittoria Marie 5 2019-09-12 00 3,062Empire Company Limited Rights DSU (Executive

Deferred Share Units) Varalli, Vittoria Marie 5 2019-09-12 00 2,450

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7837


T/O Unit Price


Acquired/ Disposed

Empire Company Limited Options Venton, Michael John Charles

5 2019-09-12 00 18,978

Empire Company Limited Rights DSU (Executive Deferred Share Units)

Venton, Michael John Charles

5 2019-09-12 00 13,601

Encana Corporation Common Shares Givens, Gregory Dean 5 2019-09-10 00 100,000Encana Corporation Common Shares Givens, Gregory Dean 5 2019-09-10 00 1,092Encana Corporation Options Givens, Gregory Dean 5 2019-09-10 00 93,766Encana Corporation Options Givens, Gregory Dean 5 2019-09-10 50 4.59 182,893 89,127Encana Corporation Restricted Share Units Givens, Gregory Dean 5 2019-09-10 00 68,690Encana Corporation Rights - Performance

Share Unit Plan Givens, Gregory Dean 5 2019-09-10 00 93,555

Encana Corporation Rights - Performance Share Unit Plan

Givens, Gregory Dean 5 2019-09-10 56 4.59 127,869 34,314

Encana Corporation Common Shares McCracken, Brendan Michael

5 2019-09-10 00 12,400

Encana Corporation Common Shares McCracken, Brendan Michael

5 2019-09-10 00 801

Encana Corporation Options McCracken, Brendan Michael

5 2019-09-10 00 249,048

Encana Corporation Options McCracken, Brendan Michael

5 2019-09-10 50 5.97 305,140 56,092

Encana Corporation Restricted Share Units McCracken, Brendan Michael

5 2019-09-10 00 51,785


McCracken, Brendan Michael

5 2019-09-10 00 103,570


McCracken, Brendan Michael

5 2019-09-10 56 5.97 124,324 20,754

Endurance Gold Corporation Common Shares Boyd, Robert T. 4, 5 2019-09-12 10 0.035 1,548,000 4,000 Enterprise Group, Inc. Common Shares JAROSZUK, LEONARD 4, 5 2019-09-16 10 0.195 5,103,777 2,500Enterprise Group, Inc. Common Shares JAROSZUK, LEONARD 4, 5 2019-09-17 10 0.195 5,126,277 22,500 Entree Resources Ltd. Common Shares Scott, Stephen Victor 5 2019-09-17 10 418,171 25,000Environmental Waste International Inc.

Common Shares Gerard, Emanuel 4 2019-09-16 11 0.05 7,074,194 1,075,773

Environmental Waste International Inc.

Options Kantor, Steven Leslie 5 2019-09-17 50 3,525,000 750,000


Options MacBean, William Harvey Robert

5 2019-09-17 50 4,250,000 750,000


Common Shares Orlin, Paul Evan 4 2019-09-16 11 0.05 27,421,989 53,140


Common Shares Russell, Ana 6 2019-09-16 16 0.05 25,276,786 5,000,000


Warrants Russell, Ana 6 2019-09-16 16 4,300,000 2,500,000


Common Shares Russell, Ian 6 2019-09-16 16 0.05 25,276,786 5,000,000


Warrants Russell, Ian 6 2019-09-16 16 4,300,000 2,500,000


Common Shares Savage, Robert 4 2019-09-16 16 0.05 23,772,500 14,200,000


Convertible Debentures Savage, Robert 4 2017-05-04 11 0.11 $1,350,000


Convertible Debentures Savage, Robert 4 2017-05-04 11 0.08 $1,850,000 $1,850,000


Common Shares Thornbury Holdings Ltd. 3 2019-09-16 16 0.05 25,276,786 5,000,000


Warrants Thornbury Holdings Ltd. 3 2019-09-16 16 4,300,000 2,500,000

EnWave Corporation Common Shares Ritchie, Mary C. 4 2019-09-12 51 1.1 212,500 75,000EnWave Corporation Common Shares Ritchie, Mary C. 4 2019-09-16 10 137,500 -75,000EnWave Corporation Options Ritchie, Mary C. 4 2019-09-12 51 0 -75,000Equitable Group Inc. Preferred Shares Series 3 LeGresley, David Malcolm

Balfour 4 2011-05-19 00

Equitable Group Inc. Preferred Shares Series 3 LeGresley, David Malcolm Balfour

4 2019-09-18 10 24.02 4,000 4,000

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7838


T/O Unit Price


Acquired/ Disposed

Equitable Group Inc. Preferred Shares Series 3 LeGresley, David Malcolm Balfour

4 2019-09-19 10 24.05 4,700 700

Equitable Group Inc. Common Shares Moor, Andrew 5 2019-09-19 10 100.36 18,399 -3,000Equitable Group Inc. Common Shares Wilson, Timothy James 5 2019-09-13 10 101 18,540 -2,500Erdene Resource Development Corporation

Common Shares Akerley, Peter 4, 5 2019-09-18 10 0.203 1,986,675 18,000

Erdene Resource Development Corporation

Common Shares Jenkins, Robert 5 2019-09-18 10 0.195 288,500 10,000

Erdene Resource Development Corporation

Common Shares Jenkins, Robert 5 2019-09-18 10 0.2 298,500 10,000

Eskay Mining Corp Common Shares Balkam, Hugh McLellan 4 2019-09-16 16 0.0713 7,539,788 1,263,157 Esrey Resources Ltd Common Shares Larkin, Paul Anthony 4 2019-09-17 10 0.04 91,000 -9,000Eurolife Brands Inc. Common Shares Moniz, Shawn 3, 4, 5 2019-08-30 10 0.0797 38,732,239 39,875 European Focused Dividend Fund

Trust Units European Focused Dividend Fund

1 2019-09-16 38 7.7404 999,900 2,300

European Focused Dividend Fund

Trust Units European Focused Dividend Fund

1 2019-09-18 38 7.8157 1,000,600 700

European Residential Real Estate Investment Trust

Trust Units Burke, Harold 4, 6 2019-03-29 00


Trust Units Burke, Harold 4, 6 2019-09-17 15 4.15 2,500 2,500


Trust Units Cody, Gina Parvaneh 4, 6 2019-03-29 00


Trust Units Cody, Gina Parvaneh 4, 6 2019-09-17 15 4.15 125,000 125,000


Trust Units Cryer, Scott 6, 5 2019-03-29 00


Trust Units Cryer, Scott 6, 5 2019-09-17 15 4.15 25,000 25,000


Trust Units Kenney, Mark 6 2019-03-29 00


Trust Units Kenney, Mark 6 2019-09-17 15 4.15 100,000 100,000


Trust Units Lieberman-zbar, Jodi 6 2019-03-29 00 12,800


Trust Units Lieberman-zbar, Jodi 6 2019-09-17 15 4.15 14,000 1,200


Trust Units MacPherson, Patricia 6 2019-03-29 00


Trust Units MacPherson, Patricia 6 2019-09-17 15 4.15 3,600 3,600


Trust Units Pruzanski, Corinne 6 2019-03-29 00 2,265


Trust Units Pruzanski, Corinne 6 2019-09-17 15 4.15 22,265 20,000


Trust Units Stein, Michael 4, 6 2019-09-17 15 4.15 120,000 80,000

Excellon Resources Inc. Common Shares Cahill, Brendan Thomas 4, 5 2019-09-16 57 401,510 6,975Excellon Resources Inc. Restricted Share Units Cahill, Brendan Thomas 4, 5 2019-09-16 57 632,998 -6,975 Excellon Resources Inc. Common Shares Flood, Denis P. 5 2019-09-18 57 62,415 3,465Excellon Resources Inc. Restricted Share Units Flood, Denis P. 5 2019-09-18 57 391,585 -3,465Excellon Resources Inc. Common Shares Ford, R. Craig 5 2019-09-16 57 99,276 2,138Excellon Resources Inc. Restricted Share Units Ford, R. Craig 5 2019-09-16 57 329,013 -2,183Excellon Resources Inc. Common Shares Hasan, Nisha 5 2019-09-16 57 11,493 2,813Excellon Resources Inc. Restricted Share Units Hasan, Nisha 5 2019-09-16 57 196,874 -2,813Excellon Resources Inc. Common Shares Marino Sanchez, Ronald

Anibal5 2019-09-17 57 19,050 4,275

Excellon Resources Inc. Restricted Share Units Marino Sanchez, Ronald Anibal

5 2019-09-17 57 281,450 -4,275

Excellon Resources Inc. Common Shares McFarland, Alan Roberts 4 2019-09-16 54 0.5 328,049 30,345Excellon Resources Inc. Warrants McFarland, Alan Roberts 4 2019-09-16 54 0.5 0 -30,345Excellon Resources Inc. Common Shares Pullinger, Benjamin 5 2019-09-16 57 173,857 6,975Excellon Resources Inc. Restricted Share Units Pullinger, Benjamin 5 2019-09-16 57 451,050 -6,975Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-18 10 7.64 5,430,100 100

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7839


T/O Unit Price


Acquired/ Disposed

Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-18 10 7.63 5,430,300 200Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-18 10 7.62 5,432,300 2,000 Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-18 10 7.61 5,433,100 800Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-18 10 7.605 5,436,200 3,100 Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-18 10 7.6 5,439,600 3,400Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-18 10 7.59 5,442,400 2,800 Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-18 10 7.58 5,442,800 400Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-18 10 7.55 5,442,900 100 Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-18 10 7.54 5,443,100 200Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-18 10 7.53 5,444,000 900Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-19 10 7.75 5,450,400 6,400Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-19 10 7.74 5,450,700 300Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-19 10 7.73 5,451,800 1,100Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-19 10 7.72 5,452,500 700Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-19 10 7.71 5,453,900 1,400Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-19 10 7.7 5,454,100 200Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-19 10 7.69 5,454,300 200Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-19 10 7.68 5,454,400 100Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-19 10 7.67 5,455,100 700Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-19 10 7.66 5,455,500 400Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-19 10 7.64 5,459,000 3,500Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-19 10 7.6 5,459,100 100Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-20 10 7.6 5,466,800 7,700Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-20 10 7.59 5,469,400 2,600Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-20 10 7.58 5,469,600 200Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-20 10 7.575 5,489,600 20,000Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-20 10 7.56 5,490,400 800Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-20 10 7.55 5,495,400 5,000Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-20 10 7.545 5,498,000 2,600Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-20 10 7.54 5,498,900 900Exco Technologies Limited Common Shares Kernaghan, Edward Hume 3, 4 2019-09-20 10 7.525 5,499,900 1,000Exro Technologies Inc. (formerly BioDE Ventures Ltd.)

Options Broeer, Torsten 5 2019-09-13 50 0.25 450,000 50,000

Exro Technologies Inc. (formerly BioDE Ventures Ltd.)

Options Meekison, William John 5 2019-09-13 50 0.25 500,000 100,000


Options Ozdemir, Sue 5 2019-09-01 00


Options Ozdemir, Sue 5 2019-09-13 50 0.25 2,000,000 2,000,000


Options Ritchey, Jonathan 4 2017-08-31 50 0.26 500,000 300,000


Options Ritchey, Jonathan 4 2019-09-13 50 0.25 600,000 50,000

Falcon Gold Corp. Common Shares Rayani, Karim 4 2019-09-19 10 0.05 2,946,000 50,000Falcon Gold Corp. Common Shares Rayani, Karim 4 2019-09-19 10 0.05 3,021,000 75,000Falcon Gold Corp. Common Shares Rayani, Karim 4 2019-09-19 10 0.051 3,041,000 20,000Falcon Gold Corp. Common Shares Rayani, Karim 4 2019-09-19 10 0.055 3,046,000 5,000Finning International Inc. Units Deferred Share

Units Avril, Vicki 4 2019-09-20 56 23.102 18,816 2,056

Finning International Inc. Units Deferred Share Units

Awad, Marcelo 4 2019-09-20 56 23.102 44,385 2,554


Carter, James Edward Clark

4 2019-09-20 56 23.102 75,880 1,493


Cote, Jacynthe 4 2019-09-20 56 23.102 38,093 1,493


Hartery, Nicholas 4 2019-09-20 56 23.102 45,465 2,781

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7840


T/O Unit Price


Acquired/ Disposed


Kelley, Mary Lou 4 2019-09-20 56 23.102 14,516 2,619


Kvisle, Harold N. 4 2019-09-20 56 23.102 23,112 4,275


Levenick, Stuart L. 4 2019-09-20 56 23.102 31,877 2,889


O'Neill, Kathleen M. 4 2019-09-20 56 23.102 67,901 1,493


Patterson, Christopher William

4 2019-09-20 56 23.102 36,656 1,493


Seraphim, Edward 4 2019-09-20 56 23.102 4,460 1,493

First Cobalt Corp. Options Santaguida, Frank 5 2019-09-04 50 1,100,000 300,000First Majestic Silver Corp. Common Shares Anthony, Todd Olson 5 2019-09-18 10 12.5 20,000 7,500First Point Minerals Corp. Options Bradshaw, Peter Martin

Devenish5 2010-08-23 10 0.15 225,000

First Point Minerals Corp. Options Bradshaw, Peter Martin Devenish

5 2010-08-23 10 0.15 225,000


5 2011-02-25 51 0.37 250,000


5 2011-02-25 51 0.37 250,000


5 2011-12-12 51 0.2 175,000


5 2011-12-12 51 0.2 -175,000


5 2011-12-12 51 0.2 -175,000


5 2014-12-23 52 0.35 400,000


5 2014-12-23 52 0.35 800,000 -400,000


5 2015-05-27 52 0.68 275,000


5 2015-05-27 52 0.68 525,000 -275,000


5 2016-04-14 52 275,000


5 2016-04-14 52 250,000 -275,000


5 2017-02-14 52 0.75 150,000


5 2017-02-14 52 0.75 400,000 -150,000

Founders Advantage Capital Corp.

Common Shares Class A Bell, James Geral 4 2019-09-17 10 1.15 89,547 8,900


Common Shares Class A Bell, James Geral 4 2019-09-18 10 1.2 131,047 41,500


Common Shares Class A Gratton, Ronald Philippe 4 2019-09-13 10 1.08 9,500 1,900


Common Shares Class A Gratton, Ronald Philippe 4 2019-09-13 10 1.08 19,700 1,200


Common Shares Class A Leekha, Amardeep 5 2019-01-11 10 1.3 26,092 247


Common Shares Class A Leekha, Amardeep 5 2019-01-11 10 1.3 26,322 230


Common Shares Class A Leekha, Amardeep 5 2019-09-17 10 1.15 29,922 2,000

FPX Nickel Corp. (formerly First Point Minerals Corp.)

Common Shares Bradshaw, Peter Martin Devenish

5 2010-08-23 51 0.15 2,058,220 225,000



5 2011-02-25 51 0.37 2,308,220 250,000



5 2011-12-12 51 0.2 2,323,220 175,000



5 2012-01-26 51 0.1 2,623,220 300,000

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7841


T/O Unit Price


Acquired/ Disposed



5 2019-09-17 10 0.15 1,100,166



5 2019-09-17 16 0.15 20,908,929 1,100,166


Common Shares knoche, allyn 3 2019-09-17 00 13,418,205


Common Shares knoche, allyn 3 2019-09-17 11 0.15 20,084,871 6,666,666


Common Shares Marshall, Peter Joseph 4 2019-09-17 11 0.15 426,000 66,000

Frankly Inc. (formerly WB III Acquisition Corp.)

Common Shares SOL GLOBAL INVESTMENTS CORP.

3 2019-09-11 10 1.69 5,066,400 -57,800

Frankly Inc. (formerly WB III Acquisition Corp.)

Common Shares SOL GLOBAL INVESTMENTS CORP.

3 2019-09-16 10 1.1 4,941,400 -125,000

G2 Goldfields Inc. Common Shares Sheridan, Patrick John 3, 4, 5 2019-04-04 37 -850,000 G2 Goldfields Inc. Common Shares Sheridan, Patrick John 3, 4, 5 2019-04-04 37 850,000 -850,000Galway Metals Inc. Common Shares Hinchcliffe, Robert 3, 4, 5 2019-09-17 10 0.305 12,564,119 4,000 Galway Metals Inc. Common Shares Hinchcliffe, Robert 3, 4, 5 2019-09-17 10 0.31 12,571,619 7,500Galway Metals Inc. Common Shares Hinchcliffe, Robert 3, 4, 5 2019-09-18 10 0.31 12,589,119 17,500 Galway Metals Inc. Common Shares Hinchcliffe, Robert 3, 4, 5 2019-09-18 10 0.305 12,592,119 3,000Galway Metals Inc. Common Shares Hinchcliffe, Robert 3, 4, 5 2019-09-19 10 0.305 12,597,119 5,000 Galway Metals Inc. Common Shares Hinchcliffe, Robert 3, 4, 5 2019-09-20 10 0.305 12,610,119 13,000Gear Energy Ltd. Common Shares Robinson, Scott 4 2019-09-16 10 0.52 69,000 20,000Genesis Metals Corp (formerly Entourage Metals Ltd.)

Common Shares Sundar, Jeffrey Rohit 4, 5 2019-09-13 10 0.06 1,972,500 20,000

Genesis Metals Corp (formerly Entourage Metals Ltd.)

Common Shares Sundar, Jeffrey Rohit 4, 5 2019-09-13 10 0.065 1,977,500 5,000

GENIUS METALS INC. Common Shares Goulet, Guy 5 2019-09-16 10 0.203 1,222,186 7,000 GENIUS METALS INC. Common Shares Goulet, Guy 5 2019-09-17 10 0.19 1,227,186 5,000GENIUS METALS INC. Common Shares Goulet, Guy 5 2019-09-20 10 0.192 1,247,186 20,000 Genworth MI Canada Inc. Common Shares Hurley, Brian Leo 4, 5 2019-09-13 51 27.12 133,028 60,000Genworth MI Canada Inc. Common Shares Hurley, Brian Leo 4, 5 2019-09-13 10 52.07 73,028 -60,000 Genworth MI Canada Inc. Options Hurley, Brian Leo 4, 5 2019-09-13 51 27.12 179,100 -60,000Geomega Resources Inc. Options Cayer, Alain 5 2019-09-19 52 0.26 450,000 -125,000 Geomega Resources Inc. Options Gingras, Gilles 4 2013-09-19 50 225,000Geomega Resources Inc. Options Gingras, Gilles 4 2013-09-19 52 225,000Geomega Resources Inc. Options Gingras, Gilles 4 2013-09-19 52 -225,000Geomega Resources Inc. Options Gingras, Gilles 4 2013-09-19 50 225,000 225,000Geomega Resources Inc. Options Gingras, Gilles 4 2018-09-19 52 240,000 -225,000Geomega Resources Inc. Options Spino, Mario 4 2019-09-17 52 300,000 -40,000Getchell Gold Corp. Options Goodman, Stephen 4, 5 2019-09-12 50 625,000 500,000Getchell Gold Corp. Options Sieb, Mike 4 2018-12-10 00 Getchell Gold Corp. Options Sieb, Mike 4 2019-09-13 50 0.08 500,000 500,000Getchell Gold Corp. Options Wagener, William 4, 5 2019-09-12 50 1,250,000 500,000GFG Resources Inc. Common Shares Lepage, Marc Joseph

Andrew5 2019-09-16 10 0.19 385,000 25,000

GFG Resources Inc. Common Shares Skanderbeg, Brian Neville 5 2019-09-18 10 0.19 3,243,800 30,000 Global Innovation Dividend Fund

Trust Units Global Innovation Dividend Fund

1 2019-09-16 38 10.01 919,000 700

Global Innovation Dividend Fund


1 2019-09-17 38 10 919,600 600

Global Innovation Dividend Fund


1 2019-09-18 38 10.004 920,900 1,300

Global Li-Ion Graphite Corp. Common Shares Walsh, Jason 4 2019-09-11 10 0.14 1,671,223 -75,000Global Real Estate & E-Commerce Dividend Fund

Trust Units Global Real Estate & E-Commerce Dividend Fund

1 2019-09-13 38 10.7 367,500 200

goeasy Ltd. (formerly, easyhome Ltd.)

Common Shares goeasy Ltd 1 2019-09-17 38 0 -3,304

Gold Standard Ventures Corp.

Common Shares Strauss, James Digby Ronald

4 2019-09-09 51 0.75 169,300 75,000

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7842


T/O Unit Price


Acquired/ Disposed

Gold Standard Ventures Corp.

Options Strauss, James Digby Ronald

4 2019-09-09 51 0.75 541,047 -75,000

Golden Star Resources Ltd. Common Shares Dhir, Anu 4 2019-09-16 10 4.19 50,969 1,900Golden Star Resources Ltd. Common Shares Markova, Ani Andreeva 4 2019-09-05 00 Golden Star Resources Ltd. Common Shares Markova, Ani Andreeva 4 2019-09-18 10 4.1765 10,000 10,000Golden Star Resources Ltd. Deferred Share Units Markova, Ani Andreeva 4 2019-09-05 00 Golden Star Resources Ltd. Options Markova, Ani Andreeva 4 2019-09-05 00 Golden Star Resources Ltd. Options Markova, Ani Andreeva 4 2019-09-16 50 20,000 20,000Goldeneye Resources Corp. Common Shares Balderson, Geoffrey 4, 5 2019-09-11 10 0.06 468,750 -65,000Goldspot Discoveries Corp. (formerly, Duckworth Capital Corp.)

Common Shares Inwentash, Sheldon 6 2019-09-16 10 0.18 13,721,323 -18,000

Goldspot Discoveries Corp. (formerly, Duckworth Capital Corp.)







Common Shares ThreeD Capital Inc. 3 2019-09-16 10 0.18 13,721,323 -18,000







Goodfood Market Corp. (formerly Mira VII Acquisition Corp.)

Options Hill, Hamnett 3, 4, 6 2019-09-17 50 2.97 75,000 25,000


Options Olds, Donald John 4 2019-09-17 50 2.97 75,000 25,000


Options St-Cyr Adam, Philippe 5 2019-09-17 50 2.97 383,204 51,438

Granite REIT Inc. Deferred Share Units Aghar, Peter 4 2019-09-16 35 63.11 5,864 22Granite REIT Inc. Deferred Share Units Daal, Remco 4 2019-09-16 35 63.11 5,431 20Granite REIT Inc. Performance Share Units Gorrie, Kevan Stuart 4, 5 2019-09-16 35 63.11 15,878 58Granite REIT Inc. Restricted Share Units Gorrie, Kevan Stuart 4, 5 2019-09-16 35 63.11 42,932 158Granite REIT Inc. Deferred Share Units Grodner, Fern Phyllis 4 2019-09-16 35 63.11 495 2Granite REIT Inc. Restricted Share Units KUMER, LORNE 5 2019-09-16 35 63.11 19,142 70Granite REIT Inc. Deferred Share Units Marshall, Kelly John 4 2019-09-16 35 63.11 7,717 28Granite REIT Inc. Deferred Share Units Mawani, Al 4 2019-09-16 35 63.11 6,695 24Granite REIT Inc. Deferred Share Units Miller, Gerald 4 2019-09-16 35 63.11 10,516 39Granite REIT Inc. Deferred Share Units Murray, Sheila A. 4 2019-09-16 35 63.11 711 3Granite REIT Inc. Performance Share Units Neto, Teresa 5 2019-09-09 35 63.11 1,507 6Granite REIT Inc. Restricted Share Units Neto, Teresa 5 2019-09-16 35 63.11 7,504 28Granite REIT Inc. Deferred Share Units Warren, Edna Jennifer 4 2019-09-16 35 63.11 2,684 10Green Thumb Industries Inc. (formerly Bayswater Uranium Corporation)


Kadens, Pete Albert 3 2019-09-17 10 13.67 298,700 -76,300

Green Thumb Industries Inc. (formerly Bayswater Uranium Corporation)


Kadens, Pete Albert 3 2019-09-18 10 13.9 250,000 -48,700

Grown Rogue International Inc.

Common Shares Strickler, J. Obie 3, 4, 5 2019-09-18 10 0.18 28,702,266 3,000

Grown Rogue International Inc.

Common Shares Strickler, J. Obie 3, 4, 5 2019-09-19 10 0.19 28,705,266 3,000

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7843


T/O Unit Price


Acquired/ Disposed

Guardian Capital Group Limited

Non-Voting Shares Class A

Christodoulou, Petros 4 2019-09-19 10 24.2 7,000 2,000

Hamilton Thorne Ltd. Common Shares Edwards, Keith 5 2019-09-20 10 1.05 0 -11,563Hammond Power Solutions Inc.

Common Shares Class A HUETHER, CHRIS 5 2019-09-17 10 8.2 16,753 -600

Hammond Power Solutions Inc.

Common Shares Class A HUETHER, CHRIS 5 2019-09-17 10 8.18 12,353 -4,400

Harborside Inc. (formerly Lineage Grow Company Ltd.)


Horn, Jamin 5 2019-09-16 10 2 0 -1,300

Harvest Health & Recreation Inc.

Options Stanton, Nicole 5 2019-06-24 00

Harvest Health & Recreation Inc.

Options Stanton, Nicole 5 2019-09-10 50 7.04 240,000 240,000

Hemisphere Energy Corporation

Common Shares Duncan, Ian 5 2019-09-13 10 0.11 1,781,196 35,000

Hemisphere Energy Corporation

Common Shares Ramsden-Wood, Ashley 5 2019-09-19 10 0.1548 651,500 80,000

High Mountain Capital Corporation

Common Shares Ross, John Charles 5 2019-09-16 10 0.1 314,000 114,000

High Point Exploration Inc. Common Shares Hahn, Brent Francis 6 2019-09-20 00 1,885,940 High Point Exploration Inc. Common Shares Hahn, Brent Francis 6 2019-09-20 00 236,331HighGold Mining Inc. Options Sept 16, 2019

Option GrantCunningham-Dunlop, Ian Richard

5 2019-06-26 00

HighGold Mining Inc. Options Sept 16, 2019 Option Grant

Cunningham-Dunlop, Ian Richard

5 2019-09-16 50 0.45 225,000 225,000

HighGold Mining Inc. Options Green, Darwin 4, 5 2019-08-01 00 HighGold Mining Inc. Options Green, Darwin 4, 5 2019-09-16 50 0.45 425,000 425,000HighGold Mining Inc. Options Morfopoulos, Aris 4, 5 2019-09-16 50 0.45 125,000 125,000HighGold Mining Inc. Common Shares Tognetti, John 3 2019-08-08 00 HighGold Mining Inc. Common Shares Tognetti, John 3 2019-09-19 11 0.45 548,596 548,596HighGold Mining Inc. Common Shares Tognetti, John 3 2019-08-08 00 HighGold Mining Inc. Common Shares Tognetti, John 3 2019-08-08 00 HighGold Mining Inc. Common Shares Tognetti, John 3 2019-08-08 00 HighGold Mining Inc. Common Shares Tognetti, John 3 2019-09-19 11 0.45 198,334 198,334HighGold Mining Inc. Common Shares Tognetti, John 3 2019-08-08 00 HighGold Mining Inc. Common Shares Tognetti, John 3 2019-09-19 11 0.45 425,000 425,000HighGold Mining Inc. Warrants Tognetti, John 3 2019-08-08 00 HighGold Mining Inc. Warrants Tognetti, John 3 2019-08-08 00 HighGold Mining Inc. Warrants Tognetti, John 3 2019-08-08 00 HighGold Mining Inc. Warrants Tognetti, John 3 2019-08-08 00 HighGold Mining Inc. Warrants Tognetti, John 3 2019-08-08 00 HighGold Mining Inc. Warrants Tognetti, John 3 2019-09-19 11 0.45 99,167 99,167 HighGold Mining Inc. Warrants Tognetti, John 3 2019-08-08 00 HighGold Mining Inc. Warrants Tognetti, John 3 2019-09-19 11 0.45 274,298 274,298 HighGold Mining Inc. Warrants Tognetti, John 3 2019-08-08 00 HighGold Mining Inc. Warrants Tognetti, John 3 2019-08-08 00 HighGold Mining Inc. Warrants Tognetti, John 3 2019-08-08 00 HighGold Mining Inc. Warrants Tognetti, John 3 2019-09-19 11 0.45 212,500 212,500 Holloway Lodging Corporation

Common Shares Clarke Inc. 3 2019-09-11 10 8.2 3,021,534 7,800

Holloway Lodging Corporation

Common Shares Clarke Inc. 3 2019-09-12 10 8.2 3,042,834 21,300

Horizon North Logistics Inc. Common Shares Fedora, Bradley P. D. 4 2019-09-13 11 1.09 25,950 -25,050Hudbay Minerals Inc. (formerly HudBay Minerals Inc.)

Common Shares Lei, Eugene Chi-Yen 5 2019-09-13 10 5.26 91,941 5,000

IAMGOLD Corporation Options MacDougall, Craig Stephen 5 2019-09-13 52 14.24 597,300 -30,000 IGM Financial Inc. Common Shares Carney, Jeffrey 4, 5 2019-09-16 30 38.1 8,256 392Imagination Park Technologies Inc. (formerly Imagination Park Entertainment Inc.)

Common Shares Inwentash, Sheldon 4, 6 2019-09-16 10 0.025 3,913,000 -2,343,000

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7844


T/O Unit Price


Acquired/ Disposed

Imagination Park Technologies Inc. (formerly Imagination Park Entertainment Inc.)

Common Shares Inwentash, Sheldon 4, 6 2019-09-17 10 0.025 3,256,000 -657,000






Common Shares ThreeD Capital Inc. 3 2019-09-16 10 0.025 3,913,000 -2,343,000







Imaging Dynamics Company Ltd.

Common Shares Chen, Hong 4 2019-08-08 00 4,409,067


Common Shares Wang, Shuai 3 2019-02-07 00


Common Shares Wang, Shuai 3 2019-08-06 36 0.1 20,833,333 20,833,333






Convertible Debentures Wang, Shuai 3 2019-08-06 36 $0 -$3,570,833


Convertible Debentures 6%

Wang, Shuai 3 2019-08-06 36 $0 -$860,000



Xue, Rong 5 2019-08-06 11 $0 -$100,000


Common Shares Zhou, Yucheng 4, 5 2015-06-29 00


Common Shares Zhou, Yucheng 4, 5 2019-08-06 36 0.1 41,666,667 41,666,667






Convertible Debentures Zhou, Yucheng 4, 5 2019-08-06 36 $0 -$5,267,167


Convertible Debentures Zhou, Yucheng 4, 5 2019-08-06 36 -$1,058,754



Zhou, Yucheng 4, 5 2019-08-06 36 $0 -$1,058,754

Imperial Metals Corporation Common Shares YURKOWSKI, EDWARD ALFRED

4 2019-09-16 10 2.1 28,500 -22,851


4 2019-09-17 10 2.1 0 -28,500


4 2019-09-16 10 2.1 0 -2,697

Imperial Oil Limited Common Shares Exxon Mobil Corporation 3 2019-09-12 38 35.15 525,353,818 -108,551Imperial Oil Limited Common Shares Exxon Mobil Corporation 3 2019-09-13 38 35.31 525,245,268 -108,550Imperial Oil Limited Common Shares Exxon Mobil Corporation 3 2019-09-16 38 36.31 525,136,717 -108,551Imperial Oil Limited Common Shares Exxon Mobil Corporation 3 2019-09-17 38 36.57 525,028,167 -108,550Imperial Oil Limited Common Shares Exxon Mobil Corporation 3 2019-09-18 38 36.83 524,919,617 -108,550

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7845


T/O Unit Price


Acquired/ Disposed

Imperial Oil Limited Common Shares Exxon Mobil Corporation 3 2019-09-19 38 36.44 524,811,066 -108,551Inca One Gold Corp. Options Kelly, Edward John 4 2019-08-25 52 3,100,000 -1,000,000 Inca One Gold Corp. Warrants Kelly, Edward John 4 2019-08-30 55 2,036,327 -134,784Inca One Gold Corp. Warrants Kelly, Edward John 4 2019-08-30 55 1,760,987 -275,340 Inca One Gold Corp. Warrants Kelly, Edward John 4 2019-08-30 55 760,987 -1,000,000Inca One Gold Corp. Warrants Kelly, Edward John 4 2019-09-01 55 755,257 -5,730 Inca One Gold Corp. Warrants Kelly, Edward John 4 2019-08-30 55 1,635,682 -41,406Inca One Gold Corp. Warrants Kelly, Edward John 4 2019-09-01 55 1,622,112 -13,570 Inca One Gold Corp. Options Stevens, Rodney 4 2019-08-25 52 1,300,000 -500,000Indiva Limited Common Shares Benloulou, Olivier Robert

Francis 3 2019-09-12 10 0.345 25,000 -150,000

Indiva Limited Common Shares Benloulou, Olivier Robert Francis

3 2019-09-12 10 0.306 6,256,500 -964,500

Indiva Limited Common Shares Lafleche, Andre 4 2019-09-12 10 0.365 2,016,897 10,000Indiva Limited Common Shares Lafleche, Andre 4 2019-09-12 10 0.32 2,026,897 10,000Indiva Limited Common Shares Lafleche, Andre 4 2019-09-12 10 0.315 2,036,897 10,000Indiva Limited Common Shares Lafleche, Andre 4 2019-09-12 10 0.36 2,045,397 8,500Indiva Limited Common Shares Lafleche, Andre 4 2019-09-12 10 0.36 2,046,397 1,000Indiva Limited Common Shares Lafleche, Andre 4 2019-09-12 10 0.36 2,046,897 500Indiva Limited Common Shares Lafleche, Andre 4 2019-09-13 10 0.31 2,066,897 20,000Indiva Limited Common Shares Lafleche, Andre 4 2019-09-13 10 0.325 2,076,897 10,000Indiva Limited Common Shares Lafleche, Andre 4 2019-09-13 10 0.32 2,086,897 10,000Indiva Limited Common Shares Lafleche, Andre 4 2019-09-13 10 0.31 2,096,897 10,000Indiva Limited Common Shares Lafleche, Andre 4 2019-09-16 10 0.315 2,106,897 10,000 Indiva Limited Common Shares Lafleche, Andre 4 2019-09-17 10 0.3 2,440,230 333,333Indiva Limited Common Shares Marotta, John A. 4 2019-09-17 10 0.3 5,000,000 800,000 InnoCan Pharma Corporation

Common Shares Bincovich, Iris Or Gabi 4, 5 2019-09-13 00 1,500,000

InnoCan Pharma Corporation

Common Shares Halpern, Nelson Harvey 5 2019-09-13 00 500,000


Options Halpern, Nelson Harvey 5 2019-09-13 00 300,000


Common Shares Mayron, Ron 4, 5 2019-09-13 00 750,000

Input Capital Corp. Common Shares Farquhar, Bradley Douglas 4, 5 2019-09-13 90 0 -457,500Input Capital Corp. Common Shares Farquhar, Bradley Douglas 4, 5 2013-07-17 00 Input Capital Corp. Common Shares Farquhar, Bradley Douglas 4, 5 2019-09-13 90 457,500 457,500 Interfor Corporation Common Shares FILLINGER, IAN 5 2019-09-18 10 14.3 17,425 1,425Interlapse Technologies Corp. (formerly Coronado Resources Ltd.)

Common Shares Guidi, Alex P. 3 2019-09-18 10 0.4 3,083,852 10,000

Interlapse Technologies Corp. (formerly Coronado Resources Ltd.)

Common Shares Guidi, Alex P. 3 2019-09-19 10 0.4 3,093,852 10,000

InterRent Real Estate Investment Trust

Deferred Units Awrey, Brian 5 2019-09-12 57 148,245 -2,400


Deferred Units Awrey, Brian 5 2019-09-12 59 145,645 -2,600


Trust Units Awrey, Brian 5 2019-09-12 57 170,991 2,400

Intertape Polymer Group Inc. Common Shares Pantelidis, James 4 2019-09-17 10 17.4 31,500 5,000Intertape Polymer Group Inc. Common Shares Pantelidis, James 4 2019-09-18 10 17.2 32,500 1,000 Intertape Polymer Group Inc. Common Shares Pantelidis, James 4 2019-09-18 10 17.15 33,500 1,000Intertape Polymer Group Inc. Common Shares Pantelidis, James 4 2019-09-18 10 17.1 34,500 1,000 Intouch Insight Ltd. Common Shares Oliver, William 4 2017-08-27 00 Intouch Insight Ltd. Common Shares Oliver, William 4 2019-09-19 10 0.4 25,000 25,000 Inventus Mining Corp. Common Shares Spears, Stephan Michael

Seydegart6 2019-09-12 10 0.11 718,501 50,000

Inventus Mining Corp. Common Shares Spears, Stephan Michael Seydegart

6 2019-09-13 10 0.1 743,501 25,000

IPL Plastics Inc. Common Shares Dalton, Pat 4, 5 2019-09-20 51 8.5526 112,222 40,000IPL Plastics Inc. Options Dalton, Pat 4, 5 2019-09-20 51 8.5226 542,678 -40,000

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7846


T/O Unit Price


Acquired/ Disposed

Irving Resources Inc. Common Shares Sharp, Lisa 5 2019-09-16 10 2.68 86,500 -6,500Irving Resources Inc. Common Shares Sharp, Lisa 5 2019-09-18 10 2.64 83,000 -3,500 Irving Resources Inc. Common Shares Sharp, Lisa 5 2019-09-20 10 2.62 78,000 -5,000Irving Resources Inc. Common Shares Sharp, Lisa 5 2019-09-20 51 0.4 128,000 50,000 Irving Resources Inc. Options Sharp, Lisa 5 2019-09-20 51 0.4 300,000 -50,000James E. Wagner Cultivation Corporation

Common Shares ALARIE, Raymond Leopold 4 2019-09-16 10 0.58 108,900 -100

James E. Wagner Cultivation Corporation

Common Shares Woodworth, Nathaniel Clinton James

4, 5 2019-09-16 51 0.46 4,446,364 100,000


Common Shares Woodworth, Nathaniel Clinton James

4, 5 2019-09-16 11 0.6 4,346,364 -100,000


Options Woodworth, Nathaniel Clinton James

4, 5 2019-09-16 51 838,521 -100,000

Jewett-Cameron Trading Company Ltd.

Common Shares Nasser, Michael Charles 5 2019-09-17 10 7.9503 331,888 -101

Josemaria Resources Inc. Common Shares Hochstein, Ronald F. 4 2019-09-16 00 32,400Kalytera Therapeutics, Inc. Common Shares Erickson, Ronald Peter 4, 7 2019-09-13 16 0.05 590,561 526,120Kalytera Therapeutics, Inc. Warrants Erickson, Ronald Peter 4, 7 2016-12-30 00 Kalytera Therapeutics, Inc. Warrants Erickson, Ronald Peter 4, 7 2019-09-13 16 0.05 526,120 526,120Kalytera Therapeutics, Inc. Common Shares Farrell, Robert Edward 4, 7, 5 2016-12-30 00 Kalytera Therapeutics, Inc. Common Shares Farrell, Robert Edward 4, 7, 5 2019-09-13 16 0.05 1,972,950 1,972,950Kalytera Therapeutics, Inc. Warrants Farrell, Robert Edward 4, 7, 5 2016-12-30 00 Kalytera Therapeutics, Inc. Warrants Farrell, Robert Edward 4, 7, 5 2019-09-13 16 0.05 1,972,950 1,972,950Kelt Exploration Ltd. Common Shares Van Brunschot, Carolyn 5 2019-09-12 57 3.14 11,070 1,000 Kelt Exploration Ltd. Common Shares Van Brunschot, Carolyn 5 2019-09-12 10 3.14 10,545 -525Kelt Exploration Ltd. Rights Restricted Share

Units Van Brunschot, Carolyn 5 2019-09-12 57 3.14 18,000 -1,000

Kerr Mines Inc. Common Shares Bonifacio, Giulio 4, 5 2019-09-05 51 0.125 5,200,000 2,200,000Kerr Mines Inc. Options Bonifacio, Giulio 4, 5 2019-09-05 51 0.125 1,300,000 -2,200,000Kerr Mines Inc. Options Bonifacio, Giulio 4, 5 2019-09-05 50 3,500,000 2,200,000Knight Therapeutics Inc. Common Shares Arvind, Utchanah 5 2019-09-15 30 7.76 4,854 701Knight Therapeutics Inc. Common Shares Goodman, Jonathan Ross 4, 6, 5 2019-09-15 30 7.76 480,495 1,353Knight Therapeutics Inc. Common Shares Khouri, Amal 5 2019-09-15 30 7.76 108,377 1,118Knight Therapeutics Inc. Common Shares Lande, Robert Nathaniel 4 2019-09-15 30 7.76 45,714 322Knight Therapeutics Inc. Common Shares Sakhia, Samira 4, 5 2019-09-15 30 7.76 39,586 1,251KP Tissue Inc. Performance Share Units

(PSU) Ceruti, Frederick L. R. 5 2019-06-27 59 17,782 -1,173

KP Tissue Inc. Performance Share Units (PSU)

Ceruti, Frederick L. R. 5 2019-06-27 58 - Expiration of rights

12,955 -4,827


Goss, Gordon William 7 2019-06-27 59 29,100 -1,833


Goss, Gordon William 7 2019-06-27 58 - Expiration of rights

21,562 -7,538


Latter, Robert William Inglis 6, 7 2019-06-27 59 29,426 -1,934


Latter, Robert William Inglis 6, 7 2019-06-27 58 - Expiration of rights

21,467 -7,959


Stewart, Charles William Alexander

5 2019-06-27 59 19,474 -1,125


Stewart, Charles William Alexander

5 2019-06-27 58 - Expiration of rights

14,841 -4,633

Laramide Resources Ltd. Options Booth, John Geoffrey 4 2019-09-09 52 425,000 -150,000Laramide Resources Ltd. Options Gibson, Dennis George 5 2019-09-09 52 525,000 -225,000Laramide Resources Ltd. Options Jones, Bryn Llywelyn 5 2019-09-09 52 725,000 -300,000LEAGOLD MINING CORPORATION

Common Shares Orion Mine Finance Management II Limited

3 2019-09-12 10 2.8518 44,110,508 -68,300

LEAGOLD MINING CORPORATION


3 2019-09-12 10 2.7065 44,060,508 -50,000

LEAGOLD MINING CORPORATION


3 2019-09-17 10 2.7216 43,960,508 -100,000

Leon's Furniture Limited Common Shares Cooney, John Andrew 5 2019-09-11 10 15.75 10,040 -300Leon's Furniture Limited Common Shares Cooney, John Andrew 5 2019-09-12 10 15.74 8,040 -2,000Leon's Furniture Limited Common Shares Timmyal Limited 3 2019-09-13 10 15.821 10,527,754 350

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7847


T/O Unit Price


Acquired/ Disposed

Leucrotta Exploration Inc. Common Shares Disbrow, Robert 3 2019-09-16 10 0.71 9,354,400 50,000Liberty Gold Corp. (formerly Pilot Gold Inc.)

Common Shares Bailey, Joanna 5 2019-09-10 16 0.55 40,800 10,000

Liberty Leaf Holdings Ltd. Options Feldman, Steven 4 2019-07-12 50 0.105 930,000 500,000Liberty Leaf Holdings Ltd. Options Macdonell, Doug 4 2019-07-12 50 0.105 1,000,000 500,000Liberty Leaf Holdings Ltd. Common Shares Rascan, William 4, 5 2019-09-13 10 0.075 3,007,000 34,000Liberty Leaf Holdings Ltd. Options Rascan, William 4, 5 2019-07-12 50 0.105 1,227,500 500,000Lions Bay Mining Corp. Common Shares Poirier, Jeremy 4, 5 2019-09-19 10 0.17 263,151 27,000LIONS GATE ENTERTAINMENT CORP.

Common Shares Class A Voting

Evrensel, Arthur 4 2019-09-13 30 11.21 27,535 -102

LIONS GATE ENTERTAINMENT CORP.

Non-Voting Shares Class B

Evrensel, Arthur 4 2019-09-13 30 10.55 27,874 -102



Fine, Emily 4 2019-09-13 57 6,488 407



Fine, Emily 4 2019-09-13 57 6,726 407


Units - Restricted Shares Fine, Emily 4 2019-09-13 57 3,285 -407


Units - Restricted Shares Fine, Emily 4 2019-09-13 57 3,494 -407



Rachesky, Dr. Mark H. 3, 4, 6 2019-09-13 57 41,195 407



Rachesky, Dr. Mark H. 3, 4, 6 2019-09-13 57 41,671 407


Units - Restricted Shares Rachesky, Dr. Mark H. 3, 4, 6 2019-09-13 57 3,285 -407


Units - Restricted Shares Rachesky, Dr. Mark H. 3, 4, 6 2019-09-13 57 3,494 -407

LiteLink Technologies Inc. (formerly AXS Blockchain Solutions Inc.)

Common Shares Blockcorp Sociedad Anonima

3 2019-05-31 11 0.01 62,636,250 -11,613,750

Loop Insights Inc. Common Shares Anson, Robert 5 2019-09-18 10 0.24 404,600 4,500Loop Insights Inc. Common Shares Anson, Robert 5 2019-09-18 10 0.26 438,100 33,500Loop Insights Inc. Common Shares Anson, Robert 5 2019-09-19 10 0.265 456,400 18,300Loop Insights Inc. Common Shares Vance, Gregory Stephen 4 2019-09-17 10 0.22 135,000 110,000Loop Insights Inc. Common Shares Vance, Gregory Stephen 4 2019-09-18 10 0.24 4,500Loop Insights Inc. Common Shares Vance, Gregory Stephen 4 2019-09-18 10 0.24 4,500Loop Insights Inc. Common Shares Vance, Gregory Stephen 4 2019-09-18 10 0.26 33,500Loop Insights Inc. Common Shares Vance, Gregory Stephen 4 2019-09-18 10 0.26 33,500Loop Insights Inc. Common Shares Vance, Gregory Stephen 4 2019-09-19 10 0.24 4,500Loop Insights Inc. Common Shares Vance, Gregory Stephen 4 2019-09-19 10 0.265 18,300Loop Insights Inc. Common Shares Vance, Gregory Stephen 4 2019-09-19 10 0.265 18,300Lucara Diamond Corp. Rights Share Units Armstrong, John Patrick 5 2019-09-19 56 187,855 4,032Lucara Diamond Corp. Rights Share Units Boldt, Zara Elizabeth 5 2019-09-19 56 193,074 4,143Lucara Diamond Corp. Rights Share Units Hira, Ayesha 5 2019-09-19 56 85,882 1,843Lucara Diamond Corp. Rights Share Units Lahri, Naseem Banu 7 2019-09-19 56 124,739 2,677Lucara Diamond Corp. Rights Share Units Mchive, Johane 7 2019-09-19 56 115,250 2,473Lucara Diamond Corp. Rights Share Units Thomas, Eira Margaret 4 2019-09-19 56 330,745 7,097Lumina Gold Corp. Common Shares Koval, Marshall 4 2019-09-18 10 0.6 11,712,939 18,000Lumina Gold Corp. Common Shares Koval, Marshall 4 2019-09-18 10 0.59 11,736,939 24,000Luminex Resources Corp. Common Shares Hicks, Scott Victor Andrew 5 2019-09-16 10 0.801 35,000 5,000Lundin Gold Inc. Common Shares McRae, Paul 4 2019-09-19 51 4 21,375 20,000 Lundin Gold Inc. Common Shares McRae, Paul 4 2019-09-19 10 8.7352 1,375 -20,000Lundin Gold Inc. Options McRae, Paul 4 2019-09-19 51 4 210,000 -20,000 Madison Pacific Properties Inc.

Non-Voting Shares Class C

Heung, Raymond 3 2019-09-17 10 3.06 6,558,417 -3,800

Madison Pacific Properties Inc.


Heung, Raymond 3 2019-09-17 10 3.07 6,557,817 -600



Heung, Raymond 3 2019-09-17 10 3.05 6,543,217 -14,600



Heung, Raymond 3 2019-09-17 10 3 6,534,217 -9,000

Manitex Capital Inc. Common Shares Saviuk, Steve 4, 6, 5 2019-09-18 10 0.14 1,048,000 5,000

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7848


T/O Unit Price


Acquired/ Disposed

Maple Leaf Foods Inc. Rights PSU - Performance Share Units settled with market shares

Richards, Casey Evan 5 2019-09-09 00

Maple Leaf Foods Inc. Rights PSU - Performance Share Units settled with market shares

Richards, Casey Evan 5 2019-09-09 00 8,825

Maple Leaf Foods Inc. Rights Restricted Share Units settled with market shares

Richards, Casey Evan 5 2019-09-09 00

Maple Leaf Foods Inc. Rights Restricted Share Units settled with market shares

Richards, Casey Evan 5 2019-09-09 00 8,825

Maple Leaf Foods Inc. Common Shares Simpson, Deborah Keenan 5 2019-09-13 51 22.53 138,720 41,800Maple Leaf Foods Inc. Options Employee Simpson, Deborah Keenan 5 2019-09-13 51 22.53 174,200 -41,800Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-16 38 11.55 400 400Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-16 38 11.56 600 200Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-16 38 11.58 1,100 500Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-16 38 11.59 1,400 300Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-16 38 11.6 1,700 300Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-16 38 11.61 1,800 100Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-16 38 11.62 2,000 200Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-16 38 11.63 2,400 400Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-16 38 11.64 3,400 1,000Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-16 38 11.65 4,100 700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-16 38 11.66 4,200 100Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-16 38 11.67 4,600 400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-16 38 11.68 6,700 2,100Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-16 38 11.69 8,300 1,600 Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-16 38 11.695 8,700 400Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-16 38 11.7 120,800 112,100 Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-16 38 11.71 121,000 200Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-16 38 0 -121,000 Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-17 38 11.48 400 400Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-17 38 11.49 500 100 Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-17 38 11.5 900 400Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-17 38 11.51 1,800 900Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-17 38 11.52 2,700 900Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-17 38 11.53 4,600 1,900Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-17 38 11.54 5,300 700Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-17 38 11.55 7,100 1,800Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-17 38 11.56 9,397 2,297Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-17 38 11.57 12,097 2,700Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-17 38 11.58 15,797 3,700Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-17 38 11.59 19,097 3,300Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-17 38 11.6 21,997 2,900Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-17 38 11.61 22,497 500Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-17 38 11.62 23,297 800Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-17 38 11.63 23,697 400Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-17 38 11.64 23,997 300Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-17 38 11.66 24,397 400Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-17 38 11.67 25,397 1,000Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-17 38 11.7 46,297 20,900Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-17 38 11.68 46,397 100Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-17 38 11.71 47,297 900Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-17 38 11.72 49,597 2,300Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-17 38 11.73 49,897 300Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-17 38 11.74 50,497 600Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-17 38 0 -50,497Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-18 38 11.32 300 300Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-18 38 11.33 600 300

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7849


T/O Unit Price


Acquired/ Disposed

Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-18 38 11.35 1,000 400Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-18 38 11.36 1,700 700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-18 38 11.37 3,100 1,400Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-18 38 11.375 3,200 100 Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-18 38 11.38 33,400 30,200Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-18 38 11.385 36,100 2,700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-18 38 11.39 39,600 3,500Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-18 38 11.395 40,300 700 Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-18 38 11.4 41,100 800Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-18 38 11.41 41,500 400Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-18 38 11.44 43,100 1,600Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-18 38 11.46 43,600 500Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-18 38 11.465 43,700 100Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-18 38 11.47 43,900 200Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-18 38 11.48 45,200 1,300Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-18 38 11.485 46,100 900Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-18 38 11.49 47,200 1,100Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-18 38 11.5 48,500 1,300Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-18 38 11.51 49,100 600Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-18 38 11.52 49,700 600Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-18 38 11.54 50,200 500Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-18 38 11.55 50,400 200Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-18 38 0 -50,400Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.25 19,300Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.25 19,300Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.29 200Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.29 200Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.31 400Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.31 400Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.25 19,300 19,300Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.29 19,500 200Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.295 19,900 400Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.31 20,100 200Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.35 20,500 400Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.36 21,200 700Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.37 31,300 10,100Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.39 32,200 900 Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.4 36,997 4,797Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.405 37,797 800 Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.41 40,397 2,600Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.42 41,497 1,100 Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.43 43,697 2,200Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.44 44,097 400 Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.45 45,197 1,100Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.455 45,397 200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.46 46,497 1,100Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.465 46,697 200 Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.47 47,197 500Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.475 47,497 300Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.48 48,097 600Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.49 48,397 300Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.5 48,797 400Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.51 49,797 1,000Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 11.52 50,497 700Martinrea International Inc. Common Shares Martinrea International Inc. 1 2019-09-19 38 0 -50,497Maxtech Ventures Inc. Common Shares Wilson, Peter Grant 4, 5 2019-09-17 10 0.08 2,850,000 -150,000MBN Corporation Common Shares Equity

Shares MBN Corporation 1 2019-09-16 38 6.52 200 200

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7850


T/O Unit Price


Acquired/ Disposed

MBN Corporation Common Shares Equity Shares

MBN Corporation 1 2019-09-16 38 0 -200


MBN Corporation 1 2019-09-18 38 6.4675 400 400


MBN Corporation 1 2019-09-18 38 0 -400


MBN Corporation 1 2019-09-19 38 6.5 200 200


MBN Corporation 1 2019-09-19 38 0 -200

Medexus Pharmaceuticals Inc. (formerly Pediapharm Inc.)

Common Shares d'Entremont, Kenneth 4, 5 2019-09-12 10 3.81 34,935 1,000

Mediagrif Interactive Technologies Inc.

Droits Ó la plus-value des actions (DPVA)

Filiatreault, Luc 4, 5 2019-09-16 00


Droits Ó la plus-value des actions (DPVA)

Filiatreault, Luc 4, 5 2019-09-16 56 7 28,571 28,571


Common Shares Laporte, Gilles 4 2019-09-19 10 6.92 105,500 10,000


Common Shares Les Services de gestion Claude Roy Inc.

3 2019-09-18 11 2,712,330 -150,270


Common Shares Rousseau, Camil 5 2019-09-12 10 6.38 14,928 200


Common Shares Rousseau, Camil 5 2019-09-12 10 6.41 14,978 50


Common Shares Roy, Claude 3 2019-09-18 11 0 -669,400


Common Shares Roy, Claude 3 2019-09-18 11 2,712,330 -150,270

Medicure Inc. Common Shares McDole, Gerald P. 4 2019-05-06 51 0.6 48,950 667Medicure Inc. Options McDole, Gerald P. 4 2019-05-06 51 0.6 65,700 -667Medicure Inc. Common Shares Medicure Inc. 1 2019-09-13 38 4.4 61,400 3,200Medicure Inc. Common Shares Naimark, Arnold 4 2018-09-03 51 0.6 38,527 3,333Medicure Inc. Common Shares Naimark, Arnold 4 2019-05-06 51 0.6 39,194 667Medicure Inc. Options Naimark, Arnold 4 2018-09-03 51 0.6 66,368 -3,333Medicure Inc. Options Naimark, Arnold 4 2019-05-06 51 0.6 65,701 -667MedMen Enterprises Inc. (formerly Ladera Ventures Corp.)

MedMen Enterprises Inc. Class B Subordinate Voting Shares

Ganan, Christopher Serge 5 2018-05-28 00

Melcor Developments Ltd. Common Shares Melcor Developments Ltd. 1 2019-09-16 38 12.31 1,000 -1,000Melcor Developments Ltd. Common Shares Melcor Developments Ltd. 1 2019-09-16 38 12.348 2,000 1,000Melcor Developments Ltd. Common Shares Melcor Developments Ltd. 1 2019-09-18 38 12.39 3,000 1,000Melcor Developments Ltd. Common Shares Melcor Developments Ltd. 1 2019-09-19 38 12.18 4,000 1,000Melcor Real Estate Investment Trust

Trust Units Rayburn, Darin Anthony 6 2019-09-13 10 7.67 156,190 1,560

MGX Minerals Inc. Common Shares Reimann, Michael Andrew 5 2019-09-18 10 0.195 524,500 -25,000MGX Renewables Inc. Common Shares Hodge, David 4 2019-09-09 11 0.06 2,258,333 2,083,333 MGX Renewables Inc. Common Shares Hodge, David 4 2019-09-10 10 0.4724 2,083,333 -175,000MGX Renewables Inc. Common Shares Hodge, David 4 2019-09-11 11 0.06 2,083,333 MGX Renewables Inc. Common Shares Hodge, David 4 2019-09-13 10 0.4724 -175,000MGX Renewables Inc. Common Shares Hodge, David 4 2019-09-10 10 0.495 0 -10,454MGX Renewables Inc. Common Shares Hodge, David 4 2019-09-13 10 0.495 -10,454MGX Renewables Inc. Warrants Hodge, David 4 2019-09-09 11 0.08 2,183,333 2,083,333Microbix Biosystems Inc. Common Shares Groome, Cameron Lionel 4, 5 2019-09-17 10 0.22 140,000 20,000MINT Income Fund Trust Units MINT Income Fund 1 2019-09-18 38 6.1 71,555,751 200Minto Apartment Real Estate Investment Trust

Class B Partnership Units Minto Partnership B LP 3 2019-09-17 36 22.31 19,962,951 -896,459

Minto Apartment Real Estate Investment Trust

Units Minto Partnership B LP 3 2018-07-03 00


Units Minto Partnership B LP 3 2019-09-17 36 22.31 896,459 896,459


Units Minto Partnership B LP 3 2019-09-17 47 22.31 0 -896,459

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7851


T/O Unit Price


Acquired/ Disposed


Units Minto Properties Inc. 3 2018-07-07 00


Units Minto Properties Inc. 3 2019-09-18 11 22.31 896,459 896,459

MJardin Group, Inc. (formerly, Sumtra Diversified Inc.)

Common Shares Marr, Graham 4 2018-11-13 00


Common Shares Marr, Graham 4 2019-09-11 10 1.08 3,000 3,000





Mogo Inc. (formerly, Difference Capital Financial Inc.)

Common Shares Wekerle, Michael A. 3, 4 2019-09-12 10 4 1,000


Common Shares Wekerle, Michael A. 3, 4 2019-09-12 10 4 1,000


Common Shares Wekerle, Michael A. 3, 4 2019-09-13 10 4.05 3,869,047 1,000


Common Shares Wekerle, Michael A. 3, 4 2019-09-13 10 4 3,870,047 1,000


Common Shares Wekerle, Michael A. 3, 4 2019-09-13 10 4.05 3,880,047 10,000

Montero Mining and Exploration Ltd.

Common Shares Thomson, Andrew 4 2019-09-16 10 0.09 284,000 25,000

Morguard Real Estate Investment Trust

Units Walker, Timothy James 4 2019-09-11 10 11.33 33,000 -1,500

Mount Logan Capital Inc. (formerly, Marret Resource Corp.)

Common Shares Guebert, David Dean 5 2019-09-16 10 0.48 153,142 20,000

Nabis Holdings Inc. (formerly, Innovative Properties Inc.)

Common Shares Shay, Shnet 5 2019-09-17 10 0.095 11,433,269 149,934

NanoXplore Inc. Common Shares Mason Graphite Inc. 3 2019-09-10 10 1.3 5,474,669 -16,713,664NanoXplore Inc. Common Shares Mason Graphite Inc. 3 2019-09-10 11 1.2 0 -5,474,669Neovasc Inc. Common Shares Neovasc Inc 4 2019-09-13 00 34,515Nevada Exploration Inc. Common Shares Tullar, Kenneth 5 2019-09-03 37 1,435,759 -630,000New Look Vision Group Inc. (formerly New Look Eyewear Inc.)

Common Shares Class A Schonfeld, Jason 7 2019-09-18 10 32 700 300

New Pacific Metals Corp. Options Stevens, Rodney 5 2019-09-17 38 0 -250,000NexGen Energy Ltd. Common Shares Wall, Bradley John 4 2019-03-21 00 NexGen Energy Ltd. Common Shares Wall, Bradley John 4 2019-09-17 10 1.73 11,600 11,600NexJ Systems Inc. Deferred Share Unit Cardiff, Michael 4 2019-09-12 56 0.78 57,908 33,636 NexJ Systems Inc. Deferred Share Unit Cardiff, Michael 4 2019-09-12 56 0.78 88,375 30,467NexJ Systems Inc. Deferred Share Unit McPhee, Kenneth Ian 4 2019-09-12 56 0.78 184,152 33,636 NexJ Systems Inc. Deferred Share Unit McPhee, Kenneth Ian 4 2019-09-12 56 0.78 214,619 30,467NexJ Systems Inc. Common Shares O'Donnell, John Paul 5 2018-01-15 00 NexJ Systems Inc. Common Shares O'Donnell, John Paul 5 2019-09-17 10 0.81 500 500NexJ Systems Inc. Common Shares O'Donnell, John Paul 5 2019-09-17 10 0.815 1,500 1,000 NexJ Systems Inc. Common Shares Sapra, Rajneesh 5 2018-06-01 00 NexJ Systems Inc. Common Shares Sapra, Rajneesh 5 2019-09-17 10 0.816 5,000 5,000 NexJ Systems Inc. Deferred Share Unit Tatham, William Murray 3, 4 2019-09-12 56 0.78 86,863 50,455NexJ Systems Inc. Deferred Share Unit Tatham, William Murray 3, 4 2019-09-12 56 0.78 132,562 45,699 NexJ Systems Inc. Deferred Share Unit Yach, David 4 2019-09-12 56 0.78 184,152 33,636NexJ Systems Inc. Deferred Share Unit Yach, David 4 2019-09-12 56 0.78 214,619 30,467Next Green Wave Holdings Inc.

Common Shares Chow, Paul 4 2019-09-17 10 0.205 41,000 26,000

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7852


T/O Unit Price


Acquired/ Disposed

Next Green Wave Holdings Inc.

Options Chow, Paul 4 2019-09-17 38 0.57 1,000,000 -450,000

NFI Group Inc. (formerly New Flyer Industries Inc.)

Common Shares Cochran, Phyllis Elaine 4 2019-08-16 57 5,003 880


Common Shares Cochran, Phyllis Elaine 4 2019-08-16 10 25.23 4,772 -231


Restricted Share Units Cochran, Phyllis Elaine 4 2019-08-16 30 880 10


Restricted Share Units Cochran, Phyllis Elaine 4 2019-08-16 57 0 -880


Common Shares Nunes, Paulo Cezar 4 2019-08-16 57 4,729 879


Common Shares Nunes, Paulo Cezar 4 2019-08-16 10 25.23 4,317 -412


Restricted Share Units Nunes, Paulo Cezar 4 2019-08-16 30 879 9


Restricted Share Units Nunes, Paulo Cezar 4 2019-08-16 57 0 -879

NGEx Resources Inc. Options STOKKE KEMP, JULIE ANN

5 2017-02-23 50 1.37 100,000


5 2017-02-23 50 0.9 250,000 100,000


5 2018-02-26 50 1.24 100,000


5 2018-02-26 50 0.81 350,000 100,000


5 2019-02-25 50 1 125,000


5 2019-02-25 50 0.65 325,000 125,000

Nickel Creek Platinum Corp. Warrants White, Heather Eileen 5 2019-08-29 11 0.08 362,805Nickel Creek Platinum Corp. Warrants White, Heather Eileen 5 2019-08-29 11 0.08 362,805 362,805Norbord Inc. Common Shares Houston, Paul 4 2019-09-20 10 30.66 6,790 325North American Construction Group Ltd.

Common Shares Ferron, Martin Robert 4, 5 2019-09-13 51 2.79 1,878,871 1,000

North American Construction Group Ltd.

Common Shares Ferron, Martin Robert 4, 5 2019-09-13 10 16.91 1,877,871 -1,000


Common Shares Ferron, Martin Robert 4, 5 2019-09-13 51 5.91 1,878,171 300


Common Shares Ferron, Martin Robert 4, 5 2019-09-13 10 16.91 1,877,871 -300


Common Shares Ferron, Martin Robert 4, 5 2019-09-16 51 5.91 1,882,571 4,700


Common Shares Ferron, Martin Robert 4, 5 2019-09-16 10 16.42 1,877,871 -4,700


Options Ferron, Martin Robert 4, 5 2019-09-13 51 2.79 121,800 -1,000


Options Ferron, Martin Robert 4, 5 2019-09-13 51 5.91 121,500 -300


Options Ferron, Martin Robert 4, 5 2019-09-16 51 5.91 116,800 -4,700


Common Shares Lambert, Joseph Charles 5 2019-09-13 51 8.58 118,247 5,000


Common Shares Lambert, Joseph Charles 5 2019-09-13 10 16.76 113,247 -5,000


Common Shares Lambert, Joseph Charles 5 2019-09-16 51 8.58 130,247 17,000


Common Shares Lambert, Joseph Charles 5 2019-09-16 10 16.405 113,247 -17,000


Options Lambert, Joseph Charles 5 2019-09-13 51 8.58 72,542 -5,000


Options Lambert, Joseph Charles 5 2019-09-16 51 8.58 55,542 -17,000

Northcliff Resources Ltd. Restricted Share Units Snyman, Marchand 4, 5 2019-09-16 56 2,432,532 295,410Northern Dynasty Minerals Ltd.

Common Shares Magee, Sean 5 2019-09-13 51 0.72 54,000 54,000

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7853


T/O Unit Price


Acquired/ Disposed

Northern Dynasty Minerals Ltd.

Common Shares Magee, Sean 5 2019-09-13 10 0.84 0 -54,000

Northern Dynasty Minerals Ltd.

Options Magee, Sean 5 2019-09-13 51 0.72 1,040,000 -54,000

Northview Apartment Real Estate Investment Trust

Trust Units Wheeler, Lizaine Sheila 5 2019-09-17 10 29.5 9,676 -1,337

Nouveau Monde Graphite Inc. (auparavant Nouveau Monde Mining Enterprises Inc.)

Options BEAULIEU, YANNICK 4 2019-09-12 50 0.235 550,000 200,000


Common Shares Buron, Daniel 4 2019-09-12 00


Options Buron, Daniel 4 2019-09-12 00


Options Buron, Daniel 4 2019-09-12 50 0.235 150,000


Options Buron, Daniel 4 2019-09-12 50 0.235 150,000 150,000


Warrants Desaulniers, Eric 4, 5 2019-09-19 55 0.4 280,000 -25,000


Options Fortin, Virginie 5 2019-09-12 50 0.235 300,000 150,000


Options Frandsen, Arne Hojriis 4 2019-05-28 00


Options Frandsen, Arne Hojriis 4 2019-05-28 00


Options Frandsen, Arne Hojriis 4 2019-09-12 50 0.235 150,000


Options Frandsen, Arne Hojriis 4 2019-09-12 50 0.235 150,000 150,000


Options prud'homme, marc 4 2019-09-12 50 450,000 150,000


Options Renaud, Pierre 4 2019-09-12 50 0.235 650,000 250,000


Options Shepherd, Christopher Leslie

4 2019-05-28 00



4 2019-09-12 50 0.235 150,000



4 2019-09-12 50 0.235 150,000 150,000

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7854


T/O Unit Price


Acquired/ Disposed


Warrants Tarte, Charles-Olivier 5 2019-09-18 55 100,000 -25,000


Options Trudeau, Karl 5 2019-09-12 50 0.235 1,000,000 250,000


Warrants Trudeau, Karl 5 2019-09-18 55 0 -25,000

NOVAGOLD RESOURCES INC.

Common Shares Lang, Gregory Anthony 5 2019-06-13 90 100,046 -23,346












Common Shares Lang, Gregory Anthony 5 2019-09-13 51 3.18 200,531 100,000


Common Shares Lang, Gregory Anthony 5 2019-09-13 38 8.57 163,454 -37,077


Common Shares Lang, Gregory Anthony 5 2019-09-13 10 8.57 105,483 -57,971




Common Shares Lang, Gregory Anthony 5 2019-06-13 90 1,539,938 23,346














Options Lang, Gregory Anthony 5 2019-09-13 51 3.18 5,246,750 -100,000

Nubian Resources Ltd. Options 2006 Stock Option Plan

JANSER, MARKUS 4 2019-09-17 50 465,000 100,000

Nubian Resources Ltd. Common Shares Class A voting

Jobin-Bevans, Laurence Scott

4 2019-09-17 00 10,000



4 2019-09-17 00



4 2019-09-17 00



4 2019-09-17 50 0.15 200,000 200,000


May, Charlotte Mary-Anne 5 2019-09-17 50 100,000 50,000


TREADGOLD, LAWRENCE, GARNET

4 2019-09-17 50 385,000 100,000


Walter, Martin 3 2019-09-17 50 550,000 250,000

Nuran Wireless Inc. (formerly 1014372 B.C. Ltd.)

Common Shares B╔DARD, Martin 3 2019-09-19 10 0.04 6,069,000 19,000

NUVISTA ENERGY LTD. Common Shares GMT Capital Corp 3 2019-09-13 00 5,228,000NUVISTA ENERGY LTD. Common Shares GMT Capital Corp 3 2019-09-16 10 1.89 5,363,800 135,800

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7855


T/O Unit Price


Acquired/ Disposed

NUVISTA ENERGY LTD. Common Shares GMT Capital Corp 3 2019-09-18 10 1.87 5,499,600 135,800NUVISTA ENERGY LTD. Common Shares GMT Capital Corp 3 2019-09-13 00 9,418,600 NUVISTA ENERGY LTD. Common Shares GMT Capital Corp 3 2019-09-16 10 1.89 9,676,300 257,700NUVISTA ENERGY LTD. Common Shares GMT Capital Corp 3 2019-09-18 10 1.87 9,934,100 257,800 NUVISTA ENERGY LTD. Common Shares GMT Capital Corp 3 2019-09-13 00 7,124,900NUVISTA ENERGY LTD. Common Shares GMT Capital Corp 3 2019-09-16 10 1.89 7,326,700 201,800 NUVISTA ENERGY LTD. Common Shares GMT Capital Corp 3 2019-09-18 10 1.87 7,528,500 201,800NUVISTA ENERGY LTD. Common Shares GMT Capital Corp 3 2019-09-13 00 186,500 NUVISTA ENERGY LTD. Common Shares GMT Capital Corp 3 2019-09-16 10 1.89 191,230 4,730NUVISTA ENERGY LTD. Common Shares GMT Capital Corp 3 2019-09-18 10 1.87 195,830 4,600NUVISTA ENERGY LTD. Common Shares GMT Capital Corp 3 2019-09-13 00 936,000NUVISTA ENERGY LTD. Common Shares GMT Capital Corp 3 2019-09-16 10 1.89 962,600 26,600NUVISTA ENERGY LTD. Common Shares GMT Capital Corp 3 2019-09-18 10 1.87 989,100 26,500NUVISTA ENERGY LTD. Notes Senior Unsecured

Notes Truba, Joshua Thomas 5 2009-01-01 00

NUVISTA ENERGY LTD. Notes Senior Unsecured Notes

Truba, Joshua Thomas 5 2019-09-17 10 $40,000 $40,000

NUVISTA ENERGY LTD. Options Zawalsky, Grant A. 4 2019-09-17 52 0 -5,000OceanaGold Corporation Common Shares Gignac, Catherine 4 2019-08-30 00 OceanaGold Corporation Rights Deferred Share

Units Gignac, Catherine 4 2019-08-30 00

OceanaGold Corporation Rights Deferred Share Units

Gignac, Catherine 4 2019-09-11 56 3.24 40,682 40,682

ONEX CORPORATION Options Govan, Christopher Allan 5 2019-09-19 59 29.29 230,000 -10,000ONEX CORPORATION Subordinate Voting

Shares Heersink, Ewout R. 4, 5 2019-09-13 10 83.218 20,500 -12,020

ONEX CORPORATION Subordinate Voting Shares

Le Blanc, Robert Michael 7 2019-08-27 30 75.1 4,966


Le Blanc, Robert Michael 7 2019-08-27 30 75.096 749,778 4,967


Mersky, Seth Mitchell 5 2019-08-27 30 75.1 4,966


Mersky, Seth Mitchell 5 2019-08-27 30 75.096 458,128 4,967

Orca Gold Inc. Rights Deferred Share Unit

Chase, Robert 4 2013-04-08 00


Chase, Robert 4 2013-04-08 00


Chase, Robert 4 2013-04-08 00


Chase, Robert 4 2019-09-16 56 64,103 64,103

Orca Gold Inc. Rights Restricted Share Unit

Clark, Richard Peter 4, 5 2013-04-04 00


Clark, Richard Peter 4, 5 2019-09-16 56 192,308 192,308


Davidson, Alexander John 5 2018-08-01 00


Davidson, Alexander John 5 2019-09-16 56 64,103 64,103


Field, David 4 2017-03-06 00


Field, David 4 2019-09-16 56 64,103 64,103


Kondo, Glenn 5 2018-05-30 00


Kondo, Glenn 5 2019-09-16 56 192,308 192,308


Ross, Kevin John 5 2016-08-29 00


Ross, Kevin John 5 2019-09-16 56 192,308 192,308


Stuart, Hugh David 4, 5 2014-12-19 00

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7856


T/O Unit Price


Acquired/ Disposed


Stuart, Hugh David 4, 5 2019-09-16 56 192,308 192,308


White, Derek Christopher 4 2017-03-06 00


White, Derek Christopher 4 2019-09-16 56 64,103 64,103

Orezone Gold Corporation Common Shares Archambeault, Louis 5 2019-09-12 10 0.76 315,300 10,000Orezone Gold Corporation Common Shares Archambeault, Louis 5 2019-09-19 10 0.75 320,300 5,000 Orezone Gold Corporation Common Shares Archambeault, Louis 5 2019-09-19 10 0.76 321,000 700Orezone Gold Corporation Common Shares Downey, Patrick 4 2019-09-17 10 0.75 4,219,000 57,500Orezone Gold Corporation Common Shares Downey, Patrick 4 2019-09-18 10 0.76 4,261,500 42,500Organic Garage Ltd. Common Shares Lovsin, Micheal 4 2019-04-15 00 50,000Organic Garage Ltd. Options Lovsin, Micheal 4 2019-04-15 00 Organic Garage Ltd. Options Lovsin, Micheal 4 2019-05-01 50 250,000 250,000OrganiMax Nutrient Corp. (formerly Alset Minerals Corp.)

Common Shares Rook, Brandon 4 2019-08-22 10 0.05 833,333 800,000

OrganiMax Nutrient Corp. (formerly Alset Minerals Corp.)

Warrants Rook, Brandon 4 2019-08-22 10 0.075 833,333 800,000

Oroco Resource Corp. Common Shares LEAHY, STEPHEN MARTIN

4, 5 2019-09-19 11 0.45 1,565,000 60,000

Oroco Resource Corp. Warrants LEAHY, STEPHEN MARTIN

4, 5 2019-09-19 11 0.7 205,000 30,000

ORTHO REGENERATIVE TECHNOLOGIES INC.

Common Shares Allard, Guy Paul 5 2019-09-16 10 0.29 24,600 1,000

Oryx Petroleum Corporation Limited

Options Gandur, Jean Claude 4 2019-09-18 50 10,248,050 6,606,722


Common Shares Karim, Baz Raouf 3, 6 2019-09-16 11 0.2123 136,815,019 23,901,430


Options Lewis, Scott Alexander 5 2019-09-18 50 1,504,360 1,138,931


Options McPhee, Kevin William 5 2019-09-18 50 1,320,427 1,022,117


Options Querio, Vance Barton 5 2019-09-18 50 5,149,805 3,285,374


Common Shares Zeg Oil and Gas Ltd. 3 2019-09-16 11 0.2123 136,815,019 23,901,430

Pacific Empire Minerals Corp.

Common Shares Ritchie, Rory 4, 5 2019-09-19 10 0.045 997,000 22,000

Palamina Corp. Common Shares Thomson, Andrew 4 2019-09-13 10 0.235 299,516 10,000Palamina Corp. Common Shares Thomson, Andrew 4 2019-09-13 10 0.23 304,516 5,000Palamina Corp. Common Shares Thomson, Andrew 4 2019-09-13 10 0.245 309,516 5,000Palamina Corp. Common Shares Thomson, Andrew 4 2019-09-16 10 0.24 314,516 5,000Palamina Corp. Common Shares Thomson, Andrew 4 2019-09-18 10 0.24 316,316 1,800Pancontinental Resources Corporation

Common Shares McMurdie, Mark Andrew 5 2019-09-16 16 0.05 1,328,000 368,000

Pancontinental Resources Corporation

Warrants McMurdie, Mark Andrew 5 2019-09-16 16 0.07 768,000 368,000

Panoro Minerals Ltd. Common Shares Boden, William John 4 2019-09-16 10 0.118 12,325,120 8,000Parex Resources Inc. Common Shares Bartlett, Curtis Darrell 4 2019-09-17 10 22.938 200,000 -168,550Parex Resources Inc. Common Shares Miller, Ronald Douglas 4 2019-09-17 10 22.938 158,425 -168,550 Parex Resources Inc. Common Shares Miller, Ronald Douglas 4 2019-09-17 56 51,575 10,000Parex Resources Inc. Common Shares Miller, Ronald Douglas 4 2019-09-17 10 22.83 41,575 -10,000 Parex Resources Inc. Restricted Share Unit Miller, Ronald Douglas 4 2019-09-17 57 0.01 0 -10,000Parkit Enterprise Inc. Common Shares Geller, Avi 4, 5 2019-09-13 10 0.23 6,638,105 6,000 Parkit Enterprise Inc. Common Shares Geller, Avi 4, 5 2019-09-13 10 0.23 6,648,105 10,000Parkit Enterprise Inc. Common Shares Geller, Avi 4, 5 2019-09-13 10 0.225 6,658,105 10,000 Peekaboo Beans Inc. Common Shares Kopke, Darrell 4 2019-07-10 10 0.0707 340,000 50,000Peekaboo Beans Inc. Common Shares Kopke, Darrell 4 2019-07-11 10 0.105 365,000 25,000 Peekaboo Beans Inc. Common Shares Kopke, Darrell 4 2019-07-11 10 0.0836 390,000 25,000Peekaboo Beans Inc. Common Shares Kopke, Darrell 4 2019-07-12 10 0.1 400,000 10,000 Peekaboo Beans Inc. Common Shares Kopke, Darrell 4 2019-07-15 10 0.0952 425,000 25,000

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7857


T/O Unit Price


Acquired/ Disposed

Peekaboo Beans Inc. Common Shares Kopke, Darrell 4 2019-07-24 10 0.0735 430,000 5,000Peloton Minerals Corporation

Common Shares ELLWOOD, EDWARD LEITH

5 2019-09-17 10 0.095 1,000

Peloton Minerals Corporation


5 2019-09-17 10 0.095 3,835,796 5,000

Peloton Minerals Corporation


5 2019-09-19 10 0.095 3,836,796 1,000

Pembina Pipeline Corporation

Common Shares Goldade, Cameron 5 2019-09-18 51 39.63 14,305 905








Common Shares Goldade, Cameron 5 2019-09-18 10 49.75 13,400 -2,972


Options Goldade, Cameron 5 2019-09-18 51 39.63 -905


Options Goldade, Cameron 5 2019-09-18 51 39.63 -905


Options Goldade, Cameron 5 2019-09-18 51 39.63 21,726 -905







Phivida Holdings Inc. Common Shares Moon, David 4 2019-09-17 10 0.24 434,029 50,000 Pine Cliff Energy Ltd. Common Shares Disbrow, Robert 3 2019-09-16 10 0.13 20,022,683 -60,000Pine Cliff Energy Ltd. Common Shares Disbrow, Robert 3 2019-09-16 10 0.135 19,972,683 -50,000 Pine Trail Real Estate Investment Trust (formerly, Pine Trail Capital Trust)

Trust Units Luu, David 5 2019-09-16 30 0.1699 104,269 367

Pine Trail Real Estate Investment Trust (formerly, Pine Trail Capital Trust)

Trust Units Nakamoto, Sean 4, 5 2019-09-16 30 0.1699 2,987,111 10,524

Plateau Energy Metals Inc. Common Shares Belanger, Maryse 4 2016-06-29 00 Plateau Energy Metals Inc. Common Shares Belanger, Maryse 4 2019-09-17 11 0.25 100,000 100,000Plateau Energy Metals Inc. Options Belanger, Maryse 4 2019-04-23 50 0.65 275,000 75,000 Plateau Energy Metals Inc. Warrants Belanger, Maryse 4 2019-09-17 11 0.5 225,927 50,000Plateau Energy Metals Inc. Common Shares Disbrow, Robert 3 2019-09-17 16 0.25 6,639,164 40,000 Plateau Energy Metals Inc. Common Shares Disbrow, Robert 3 2019-09-17 16 0.25 4,621,666 200,000Plateau Energy Metals Inc. Warrants Disbrow, Robert 3 2019-09-17 16 0.5 417,500 20,000 Plateau Energy Metals Inc. Warrants Disbrow, Robert 3 2019-09-18 16 0.5 27,530 12,240Plateau Energy Metals Inc. Warrants Disbrow, Robert 3 2019-09-17 16 0.5 212,500 100,000 Plateau Energy Metals Inc. Common Shares Drier, Wayne 4 2019-09-17 11 0.25 922,278 600,000Plateau Energy Metals Inc. Warrants Drier, Wayne 4 2017-04-26 00 Plateau Energy Metals Inc. Warrants Drier, Wayne 4 2018-11-01 11 1.25 26,316 26,316Plateau Energy Metals Inc. Warrants Drier, Wayne 4 2019-09-17 11 0.5 326,316 300,000Plateau Energy Metals Inc. Common Shares Holmes, Alexander 4, 5 2019-09-17 11 0.25 522,300 100,000Plateau Energy Metals Inc. Warrants Holmes, Alexander 4, 5 2019-09-17 11 0.5 220,000 50,000Plateau Energy Metals Inc. Common Shares Kinsman, Pamela 5 2019-09-17 11 0.25 103,000 76,000Plateau Energy Metals Inc. Warrants Kinsman, Pamela 5 2019-04-01 00 Plateau Energy Metals Inc. Warrants Kinsman, Pamela 5 2019-09-17 11 0.5 38,000 38,000Plateau Energy Metals Inc. Common Shares Milau, Christian 4 2019-09-17 11 0.25 1,269,445 100,000Plateau Energy Metals Inc. Warrants Milau, Christian 4 2019-09-17 11 0.5 79,166 50,000Plateau Energy Metals Inc. Common Shares Relling, Thomas Peter Max 3 2019-09-17 11 0.25 1,320,000Plateau Energy Metals Inc. Common Shares Relling, Thomas Peter Max 3 2019-09-17 16 0.25 1,320,000Plateau Energy Metals Inc. Common Shares Relling, Thomas Peter Max 3 2019-09-17 16 0.25 7,434,894 1,320,000Plateau Energy Metals Inc. Common Shares Relling, Thomas Peter Max 3 2019-09-18 10 0.255 7,424,894 -10,000Plateau Energy Metals Inc. Common Shares Relling, Thomas Peter Max 3 2019-09-17 16 0.25 100,000

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7858


T/O Unit Price


Acquired/ Disposed

Plateau Energy Metals Inc. Common Shares Relling, Thomas Peter Max 3 2019-09-17 16 0.25 2,330,500 100,000Plateau Energy Metals Inc. Warrants Relling, Thomas Peter Max 3 2019-09-17 11 0.5 660,000 Plateau Energy Metals Inc. Warrants Relling, Thomas Peter Max 3 2019-09-17 16 0.5 660,000Plateau Energy Metals Inc. Warrants Relling, Thomas Peter Max 3 2019-09-17 16 0.5 660,000 Plateau Energy Metals Inc. Warrants Relling, Thomas Peter Max 3 2019-09-17 16 0.5 1,058,816 660,000Plateau Energy Metals Inc. Warrants Relling, Thomas Peter Max 3 2019-09-17 16 0.5 50,000 Plateau Energy Metals Inc. Warrants Relling, Thomas Peter Max 3 2019-09-17 16 0.5 187,500 50,000Plateau Energy Metals Inc. Common Shares STEFAN, Laurentiu Daniel 4, 5 2019-09-17 11 0.5 305,263 Plateau Energy Metals Inc. Common Shares STEFAN, Laurentiu Daniel 4, 5 2019-09-17 11 0.5 305,263Plateau Energy Metals Inc. Common Shares STEFAN, Laurentiu Daniel 4, 5 2019-09-17 11 0.25 2,560,918 305,263Plateau Energy Metals Inc. Warrants STEFAN, Laurentiu Daniel 4, 5 2007-10-31 00 Plateau Energy Metals Inc. Warrants STEFAN, Laurentiu Daniel 4, 5 2007-10-31 00 Plateau Energy Metals Inc. Warrants STEFAN, Laurentiu Daniel 4, 5 2019-09-17 11 0.25 305,263 305,263Plaza Retail REIT RSUs Drake, James (Jim) 5 2019-09-13 00 7,667Plaza Retail REIT RSUs Drake, James (Jim) 5 2019-09-16 30 4.18 7,708 41Plaza Retail REIT Trust Units Drake, James (Jim) 5 2019-09-13 00 56,084Plaza Retail REIT RSUs Mackenzie, Peter 5 2019-09-16 30 4.18 8,665 47Plaza Retail REIT RSUs Penney, Stephen 5 2019-09-16 30 4.18 8,044 43Plaza Retail REIT RSUs Petrie, James M. 5 2019-09-16 30 4.18 13,359 72Plaza Retail REIT RSUs Strange, Kimberly A. 5 2019-09-16 30 4.18 2,111 10POSaBIT Systems Corporation

Common Shares Dossett, Jeffrey John 4 2019-09-17 10 0.115 4,540,683 5,000

POSaBIT Systems Corporation

Common Shares Dossett, Jeffrey John 4 2019-09-18 10 0.115 4,545,433 4,750

Premier Gold Mines Limited Common Shares Van Alphen, Peter 5 2019-09-16 00 Premier Gold Mines Limited Options Van Alphen, Peter 5 2019-09-16 00 Premier Gold Mines Limited Warrants Van Alphen, Peter 5 2019-09-16 00 Pro Real Estate Investment Trust

Units Lawlor, Gordon G. 5 2019-09-19 10 7.12 138,371 5,000

Probe Metals Inc. Common Shares Haymann, Basil Anthony 4 2019-09-12 10 1 45,399 20,000Prophecy Development Corp.

Common Shares without par value

Lee, John 4, 5 2019-09-17 10 0.46 13,309,901 -100,000

Prophecy Development Corp.


Plavutska, Irina 5 2019-09-18 51 0.2 90,000 90,000



Plavutska, Irina 5 2019-09-18 10 0 -90,000


Options Plavutska, Irina 5 2019-09-18 51 0.2 555,000 -90,000

Puma Exploration Inc. Common Shares Robillard, Marcel 4, 5 2019-09-16 10 0.015 3,511,465 15,000Puma Exploration Inc. Options THIBAULT, RICHARD 4 2014-01-28 50 0.18 250,000Puma Exploration Inc. Options THIBAULT, RICHARD 4 2014-01-28 50 0.18 450,000 250,000Puma Exploration Inc. Options THIBAULT, RICHARD 4 2019-01-28 52 0.18 1,225,000 -250,000Puma Exploration Inc. Options THIBAULT, RICHARD 4 2019-09-13 52 0.18 -250,000Quinsam Capital Corporation Common Shares Dent, Roger 4, 5 2019-09-19 10 0.15 1,700,000 100,000Quinsam Capital Corporation Common Shares Quinsam Capital

Corporation1 2019-09-03 38 0.1721 170,000 145,000

Quinsam Capital Corporation Common Shares Quinsam Capital Corporation

1 2019-09-04 37 0.17 183,000 13,000


1 2019-09-05 38 0.17 377,500 194,500


1 2019-09-06 38 0.17 500,000 122,500


1 2019-09-09 38 0.17 750,000 250,000


1 2019-09-11 38 0.17 949,500 199,500


1 2019-09-12 38 0.17 971,000 21,500


1 2019-09-13 38 0.165 995,000 24,000


1 2019-09-16 38 0.165 1,221,000 226,000

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7859


T/O Unit Price


Acquired/ Disposed


1 2019-09-18 38 0.15 1,366,000 145,000


1 2019-09-19 38 0.15 1,571,000 205,000


1 2019-09-20 38 0.1465 1,926,000 355,000

Quisitive Technology Solutions, Inc. (formerly Nebo Capital Corp.)

Common Shares Jog, Vijay Mukund 4 2019-09-16 10 0.13 434,000 50,500







Railtown AI Technologies Inc. (formerly Railtown Capital Corp.)

Common Shares Brandolini, Cory 3 2019-09-13 00 1,970,190


Common Shares Catalano, William Benjamin 4 2017-10-18 37 50,000


Common Shares Catalano, William Benjamin 4 2017-10-18 37 50,000 -450,000


Common Shares Catalano, William Benjamin 4 2019-08-15 37 8,689


Common Shares Catalano, William Benjamin 4 2019-08-15 37 8,689 -41,311


Common Shares Catalano, William Benjamin 4 2019-09-13 11 23,689 15,000


Options Catalano, William Benjamin 4 2011-09-27 52 0 -80,000


Options Catalano, William Benjamin 4 2016-09-26 52 80,000








Common Shares Kerr, Glenn Bradley 4 2016-08-18 00


Common Shares Kerr, Glenn Bradley 4 2019-09-13 11 0.0167 300,000 300,000


Common Shares Kerr, Glenn Bradley 4 2016-08-18 00


Common Shares Kerr, Glenn Bradley 4 2019-09-12 16 0.0288 448,296 448,296


Common Shares Kerr, Glenn Bradley 4 2019-09-13 11 300,000 -148,296


Common Shares Kerr, Glenn Bradley 4 2019-09-13 11 0.0167 0 -300,000

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7860


T/O Unit Price


Acquired/ Disposed


Common Shares Woodward, Martin John Courtney

4 2017-10-18 37 50,000 -450,000



4 2019-08-15 37 26,069 -123,931



4 2019-09-13 11 51,069 25,000


Common Shares Woodward, Paul John Courtney

4 2016-08-18 00



4 2019-09-12 16 0.0288 869,263 869,263



4 2016-08-18 00



4 2019-09-12 16 0.0288 914,777 914,777



4 2019-09-13 11 275,391 -639,386



4 2016-08-18 00



4 2019-09-12 16 0.0288 1,339,430 1,339,430



4 2019-09-13 11 304,193 -1,035,237



4 2016-08-18 00



4 2019-09-12 16 0.0288 173,853 173,853



4 2019-09-13 11 62,500 -111,353

Ravensource Fund (formerly The First Asia Income Fund)

Trust Units Reid, Scott 3 2019-09-05 10 17.25 157,627 1,000


Trust Units Reid, Scott 3 2019-09-05 10 17.33 157,727 100


Trust Units Reid, Scott 3 2019-09-05 10 17.35 157,827 100


Trust Units Reid, Scott 3 2019-09-05 10 16.87 158,827 1,000


Trust Units Reid, Scott 3 2019-09-19 10 17.86 148,127 -10,700

Razor Energy Corp. Common Shares Bailey, Douglas George 4, 5 2019-09-16 10 1.715 1,273,523 100Razor Energy Corp. Common Shares Bailey, Douglas George 4, 5 2019-09-16 10 1.82 1,273,823 300Razor Energy Corp. Common Shares Bailey, Douglas George 4, 5 2019-09-16 10 1.83 1,273,923 100Razor Energy Corp. Common Shares Bailey, Douglas George 4, 5 2019-09-16 10 1.745 1,274,023 100Razor Energy Corp. Common Shares Bailey, Douglas George 4, 5 2019-09-16 10 1.78 1,274,223 200Razor Energy Corp. Common Shares Bailey, Douglas George 4, 5 2019-09-16 10 1.69 1,275,023 800Razor Energy Corp. Common Shares Bailey, Douglas George 4, 5 2019-09-16 10 1.7 1,275,223 200Recipe Unlimited Corporation (formerly Cara Operations Limited)

Deferred Share Units Clark, Christy 4 2019-09-16 30 5,421 24

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7861


T/O Unit Price


Acquired/ Disposed

Recipe Unlimited Corporation (formerly Cara Operations Limited)

Options Cobb, Grant 5 2019-09-11 51 8.51 73,336 -800


Options Cobb, Grant 5 2019-09-12 51 8.51 30,000 -43,336



Cobb, Grant 5 2019-09-11 51 8.51 91,228 800



Cobb, Grant 5 2019-09-11 10 25.3 90,428 -800



Cobb, Grant 5 2019-09-12 51 8.51 133,764 43,336



Cobb, Grant 5 2019-09-12 10 25.27 90,428 -43,336


Deferred Share Units Gunn, Stephen 4 2019-09-16 30 2,610 17


Deferred Share Units Hodgson, Christopher Douglas

4 2019-09-16 30 12,545 70


Deferred Share Units Norris, Michael John 4 2019-09-16 30 7,391 48


Deferred Share Units Regan, Sean Paul 4 2019-09-16 30 12,545 70


Deferred Share Units Rothschild, John 4 2019-09-16 30 7,391 48

Red Lake Gold Inc. Common Shares Kalt, Ryan 3, 4, 5 2019-09-18 10 0.38 3,960,500 6,500Relay Medical Corp. (formerly, ChroMedX Corp).

Options Hopkins, Christopher John 5 2019-09-12 50 0.2 200,000 200,000

Relay Medical Corp. (formerly, ChroMedX Corp).

Common Shares Invidx Corp 3 2019-09-20 10 16,715,552 -68,000


Common Shares Tekeste, Medhanie 4 2019-04-01 00


Common Shares Tekeste, Medhanie 4 2019-04-01 00 693,434


Options Tekeste, Medhanie 4 2019-04-01 00


Options Tekeste, Medhanie 4 2019-09-12 50 0.2 350,000 350,000


Warrants Tekeste, Medhanie 4 2019-04-01 00 130,434


Options Thomas, Sudhir 4 2019-04-01 00


Options Thomas, Sudhir 4 2019-09-12 50 0.2 350,000 350,000

Relevium Technologies Inc. Common Shares Useche Gutierrez, Aurelio Antonio

5 2019-09-19 10 0.055 6,572,803 30,000

RepliCel Life Sciences Inc. Convertible Preferred Shares Class A Preference Shares

Hall, David M. 4, 5 2010-12-22 00

RepliCel Life Sciences Inc. Convertible Preferred Shares Class A Preference Shares

Hall, David M. 4, 5 2019-09-13 16 0.4 37,500 37,500

Restaurant Brands International Inc.

Common Shares Fribourg, Paul J 4 2019-09-18 36 75,678 75,678


Exchangeable Units of Restaurant Brands International LP

Fribourg, Paul J 4 2019-09-18 36 0 -75,678



Fribourg, Paul J 4 2018-11-06 11 18,000

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7862


T/O Unit Price


Acquired/ Disposed



Fribourg, Paul J 4 2018-11-06 11 18,000

Restaurant Brands International Limited Partnership

Units Class B Exchangeable Limited Partnership

Fribourg, Paul J 7 2019-09-18 36 0 -75,678



Fribourg, Paul J 7 2018-11-06 11 18,000



Fribourg, Paul J 7 2018-11-06 11 18,000

Resverlogix Corp. Restricted Share Units (RSU's)

Biln, Norma 4 2019-09-18 56 168,500 94,000


Cann, Aaron Bradley 5 2019-09-18 56 402,300 204,000


JOHANSSON, DR. JAN OVE

5 2019-09-18 56 203,900 141,000


Kulikowski, Ewelina 5 2019-09-18 56 398,800 251,000


Lebioda, Kenneth Eugene 5 2019-09-18 56 366,750 188,000


Lu, Shawn Shuguang 4 2019-09-18 56 168,500 94,000


MCCAFFREY, DONALD J. 4, 5 2019-09-18 56 1,138,400 502,000


McNeill, Kelly Bret 4 2019-09-18 56 168,500 94,000


Smith, Eldon 4 2019-09-18 56 200,500 126,000


Sweeney, Michael 5 2019-09-18 56 472,300 141,000


WONG, NORMAN C.W. 5 2019-09-18 56 188,900 126,000


Zuerblis, Kenneth 4 2019-09-18 56 168,500 94,000

Richards Packaging Income Fund

Trust Units Prupas, David Lewis 7 2019-09-17 10 41 421,605 -10,000

RIOCAN REAL ESTATE INVESTMENT TRUST

Deferred Units Brooks, Bonnie 4 2019-09-16 56 26.007 44,360 731


Deferred Units Dansereau, Richard 4 2019-09-16 56 26.007 13,662 875


Deferred Units Godfrey, Paul Victor 4 2019-09-16 56 26.007 57,263 721


Deferred Units Lastman, Dale Howard 4 2019-09-16 56 26.007 37,537 471


Deferred Units Marshall, S. Jane 4 2019-09-16 56 26.007 26,038 827


Deferred Units Sallows, Sharon 4 2019-09-16 56 26.007 51,107 788


Deferred Units Vanaselja, Siim A. 4 2019-09-16 56 26.007 23,684 923


Deferred Units Winograd, Charles 4 2019-09-16 56 26.007 46,920 827

RMMI Corp. Common Shares Connors, Earl 4, 5 2019-09-18 10 0.69 2,000 500Rockcliff Metals Corporation (formerly Rockcliff Copper Corporation)

Common Shares Stackhouse, Christopher 5 2019-09-16 00 200,000

Rockcliff Metals Corporation (formerly Rockcliff Copper Corporation)

Common Shares Stackhouse, Christopher 5 2019-09-16 00 200,000

Rocky Mountain Dealerships Inc.

Common Shares Stimson, Derek Ian 4 2019-09-16 10 7.154 1,775,839 4,200

Rokmaster Resources Corp. Common Shares Pankratz, Adam 4 2019-08-21 11 0.04 225,125 150,000 Romios Gold Resources Inc. Common Shares Roulston, Lawrence 4 2019-09-18 10 0.05 335,000 -100,000Roosevelt Capital Group Inc. Common Shares BENT, BRUCE ROBERT

PAUL 5 2019-08-26 10 1,085,000 85,000

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7863


T/O Unit Price


Acquired/ Disposed

Royal Bank of Canada Common Shares McGregor, Alex Douglas 5 2019-09-19 51 78.587 59,675 5,000Royal Bank of Canada Common Shares McGregor, Alex Douglas 5 2019-09-19 10 106.98 54,675 -5,000 Royal Bank of Canada Options McGregor, Alex Douglas 5 2019-09-19 51 78.587 516,082 -5,000Rubicon Organics Inc. Common Shares McConnell, Jesse 3, 4, 5 2019-09-16 10 2.2 10,463,513 2,600 Rubicon Organics Inc. Common Shares McConnell, Jesse 3, 4, 5 2019-09-19 10 2.24 10,468,513 5,000Rupert Resources Ltd. Common Shares Brimacombe, Alan Douglas 3 2019-09-19 10 0.71 19,505,900 -16,000 Russel Metals Inc. Rights Deferred Share

Units (cash settled) Benedetti, Alain 4 2019-09-16 56 57,973 1,014

Russel Metals Inc. Rights Restricted Share Units (cash settled)

Britton, Marion Eleanor 5 2019-09-16 56 40,888 715


Bryant, Gregg Edward 5 2019-09-16 56 2,960 52

Russel Metals Inc. Rights Deferred Share Units (cash settled)

Clark, John 4 2019-09-16 56 46,395 811


Coleman, Lesley Margaret Seppings

5 2019-09-16 56 9,223 161


Dinning, James Francis 4 2019-09-16 56 41,812 731


Halcrow, David 5 2019-09-16 56 10,487 183


Hedges, Brian Robie 4 2019-09-16 56 7,580 132


Jeremiah, Barbara 4 2019-09-16 56 10,450 183


Kelly, Maureen Ann 5 2019-09-16 56 11,751 206


Laberge, Alice D. 4 2019-09-16 56 32,953 576


MacDermid, Ryan Wallace 5 2019-09-16 56 9,223 161


MacLean, John 5 2019-09-16 56 11,085 194


McKelvey, Sherri Lynn 5 2019-09-16 56 1,383 24


O'Reilly, William Michael 4 2019-09-16 56 34,714 607


Reid, John Gregory 5 2019-09-16 56 156,039 2,730


Robb, Lloyd Bruce 5 2019-09-16 56 9,479 165


Thabet, Annie 4 2019-09-16 56 9,169 161


Tulloch, John Russell 4 2019-09-16 56 20,041 350


Vaillancourt, Michel 5 2019-09-16 56 7,925 139


Wallewein, Kenneth Gilbert 5 2019-09-16 56 3,026 53

ScoZinc Mining Ltd. Common Shares Haywood, Mark Stephen Richard

5 2019-08-20 00

ScoZinc Mining Ltd. Common Shares Haywood, Mark Stephen Richard

5 2019-09-20 11 0.4 375,000 375,000

ScoZinc Mining Ltd. Warrants Haywood, Mark Stephen Richard

5 2019-08-20 00

Seabridge Gold Inc. Common Shares Sabine, John William 4 2019-09-17 10 18.718 5,550 500Secure Energy Services Inc. Common Shares Engel, David Glenn 5 2019-09-16 57 118,795 3,566Secure Energy Services Inc. Common Shares Engel, David Glenn 5 2019-09-16 10 6.53 117,349 -1,446Secure Energy Services Inc. Units Restricted Share

Units Engel, David Glenn 5 2019-09-16 57 54,395 -3,566

Secure Energy Services Inc. Common Shares Gransch, Allen Peter 5 2019-09-16 57 265,624 3,566 Secure Energy Services Inc. Common Shares Gransch, Allen Peter 5 2019-09-16 10 6.53 264,178 -1,446Secure Energy Services Inc. Units Restricted Share

Units Gransch, Allen Peter 5 2019-09-16 57 91,894 -3,566

Secure Energy Services Inc. Common Shares Higham, Corey Ray 5 2019-09-16 57 104,385 3,566Secure Energy Services Inc. Common Shares Higham, Corey Ray 5 2019-09-16 10 6.53 102,939 -1,446

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7864


T/O Unit Price


Acquired/ Disposed

Secure Energy Services Inc. Units RSU Higham, Corey Ray 5 2019-09-16 57 54,394 -3,566Secure Energy Services Inc. Common Shares Magus, Chad William 5 2019-09-16 57 47,988 5,856 Secure Energy Services Inc. Common Shares Magus, Chad William 5 2019-09-16 10 6.53 45,617 -2,371Secure Energy Services Inc. Units Restricted Share

Units Magus, Chad William 5 2019-09-16 57 50,761 -5,856

Secure Energy Services Inc. Common Shares McGurk, Brian Kenneth Stanley

5 2019-09-12 10 6.26 74,533 -100

Secure Energy Services Inc. Common Shares McGurk, Brian Kenneth Stanley

5 2019-09-13 10 6.26 74,165 -368

Sensor Technologies Corp. (formerly Mooncor Oil & Gas)

Common Shares Quach, Binh 4 2016-11-10 00

Sensor Technologies Corp. (formerly Mooncor Oil & Gas)

Common Shares Quach, Binh 4 2019-09-16 35 10,250 10,250

Sernova Corp. Rights Deferred Share Units

Bacha, Jeffrey 4 2019-09-13 56 1,025,000 740,056


Brown, Deborah 4 2019-04-26 00


Brown, Deborah 4 2019-09-13 56 600,000 600,000

Sernova Corp. Options Hodgins, Sean 5 2018-04-24 00 Sernova Corp. Options Hodgins, Sean 5 2019-09-13 50 250,000 250,000 Sernova Corp. Rights Deferred Share

Units Holler, Frank 4 2019-09-13 56 1,500,000 1,040,055


Parsons, James Todd 4 2019-09-13 56 1,025,001 740,056

Sernova Corp. Options Toleikis, Philip Michael 4, 5 2019-09-13 50 5,250,000 2,500,000Shopify Inc. Multiple Voting Shares

Class B Multiple Voting Shares

Finkelstein, Harley Michael 5 2019-09-19 51 0.152 2,459 2,459

Shopify Inc. Multiple Voting Shares Class B Multiple Voting Shares

Finkelstein, Harley Michael 5 2019-09-19 36 0 -2,459

Shopify Inc. Options Finkelstein, Harley Michael 5 2019-09-19 51 0.152 36,394 -2,459Shopify Inc. Subordinate Voting

Shares Class A Subordinate Voting Shares

Finkelstein, Harley Michael 5 2019-09-19 36 2,638 2,459

Shopify Inc. Subordinate Voting Shares Class A Subordinate Voting Shares

Finkelstein, Harley Michael 5 2019-09-19 30 327.71 179 -2,459


Lutke, Tobias Albin 4, 5 2019-09-16 30 336.56 62,000 -2,000


Miller, Craig Stuart 5 2019-09-20 51 6.22 2,916 2,916


Miller, Craig Stuart 5 2019-09-20 36 0 -2,916

Shopify Inc. Options Miller, Craig Stuart 5 2019-09-20 51 6.22 159,920 -2,916Shopify Inc. Subordinate Voting


Miller, Craig Stuart 5 2019-09-20 36 3,035 2,916


Miller, Craig Stuart 5 2019-09-20 30 324.27 119 -2,916

Shopify Inc. Options Shapero, Amy Elizabeth 5 2019-09-16 51 137.72 61,631 -149Shopify Inc. Subordinate Voting


Shapero, Amy Elizabeth 5 2019-09-16 51 137.72 6,173 149

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7865


T/O Unit Price


Acquired/ Disposed


Shapero, Amy Elizabeth 5 2019-09-16 30 325.3 6,024 -149


Shapero, Amy Elizabeth 5 2019-09-16 30 328.44 5,945 -79

Silver Bear Resources Plc Ordinary Shares Gualtieri, Dominic 4 2019-09-13 10 0.19 234,500 -1,000Silver Bear Resources Plc Ordinary Shares Gualtieri, Dominic 4 2019-09-16 10 0.19 114,500 -120,000SILVERCORP METALS INC.


Katusa, Marina 4 2019-09-14 38 30,000 -30,000

SILVERCORP METALS INC.


Kong, David TokPay 4 2019-09-14 38 30,000 -30,000



Liu, Yikang 4 2019-09-14 38 30,000 -30,000



Simpson, Stephen Paul 4 2019-09-14 38 30,000 -30,000

SilverCrest Metals Inc. Common Shares Wright, John H 4 2019-09-18 54 1.45 275,000 47,500 SilverCrest Metals Inc. Warrants Wright, John H 4 2019-09-18 54 0 -47,500Sintana Energy Inc. Common Shares Austin, Sean 5 2019-09-16 10 0.0575 1,688,597 108,869 SITKA GOLD CORP. Common Shares COE, RYAN 4 2019-09-12 10 0.115 2,224,500 2,000SITKA GOLD CORP. Common Shares COE, RYAN 4 2019-09-17 10 0.12 2,229,000 4,500 SITKA GOLD CORP. Common Shares COE, RYAN 4 2019-09-17 10 0.125 2,233,500 4,500SITKA GOLD CORP. Common Shares COE, RYAN 4 2019-09-18 10 0.12 2,234,500 1,000SLANG Worldwide Inc. (formerly Fire Cannabis Inc.)

Restricted Shares McElvany, Christopher Allen

4 2019-07-08 00

SLANG Worldwide Inc. (formerly Fire Cannabis Inc.)

Restricted Shares McElvany, Christopher Allen

4 2019-07-08 00 2,934,337

SociÚtÚ d'exploration miniÞre Vior Inc.

Common Shares Fedosiewich, Mark Brian 5 2019-09-13 10 0.11 5,512,500 4,500




Common Shares Fedosiewich, Mark Brian 5 2019-09-16 10 0.11 5,558,000 500






Common Shares L'Heureux, Marc 4, 5 2019-09-19 10 0.105 1,035,000 10,000

Sonoro Metals Corp. Common Shares Darch, John Michael 4 2019-09-16 10 0.15 599,000 1,000SouthGobi Resources Ltd. Options He, Yingbin Ian 4 2019-09-11 50 0.11 550,000 150,000 SouthGobi Resources Ltd. Options Quan, Jin Lan 4 2019-09-11 50 0.11 700,000 150,000SouthGobi Resources Ltd. Options Sun, Mao 4 2019-09-11 50 900,000 200,000 Spark Power Group Inc. (formerly Canaccord Genuity Acquisition Corp.)

Common Shares CG Investments Inc. 3 2019-05-07 10 2.05 939,720 1,000

Spark Power Group Inc. (formerly Canaccord Genuity Acquisition Corp.)

Common Shares CG Investments Inc. 3 2019-07-05 10 2.05 1,000


Common Shares CG Investments Inc. 3 2019-07-05 10 2.05 1,000









Insider Reporting

September 26, 2019

(2019), 42 OSCB 7866


T/O Unit Price


Acquired/ Disposed






Common Shares CG Investments Inc. 3 2019-08-23 10 1.4 985,620 100






Common Shares CG Investments Inc. 3 2019-08-27 10 1.35 1,001,420 2,500











SponsorsOne Inc. Common Shares Bartholomew, Myles 3 2019-08-30 10 0.025 3,260,233 -40,000SponsorsOne Inc. Common Shares Bartholomew, Myles 3 2019-09-10 10 0.06 3,257,596 -2,637Spot Coffee (Canada) Ltd. Common Shares AYOUB, ANTON MICHEL 4, 5 2019-09-16 10 0.105 2,179,958 1,500Spot Coffee (Canada) Ltd. Common Shares Lorenzo, John Michael 4 2019-09-13 10 0.105 9,457,900 10,000Spot Coffee (Canada) Ltd. Common Shares Lorenzo, John Michael 4 2019-09-18 10 0.103 9,467,900 10,000Sprott Inc. Common Shares Rule, Arthur Richards 3, 4, 7 2019-09-19 10 2.5531 0 -445Sprott Resource Holdings Inc. (formerly Adriana Resources Inc. )

Common Shares Class "A"

Rule, Arthur Richards 4, 5 2019-09-19 10 0.7439 0 -60

Squatex Energy and Resources Inc.

Common Shares Poirier, HÚlÞne 4 2019-07-03 00 630,000

Squire Mining Ltd. Options Chin, Joseph 5 2019-03-25 00 Squire Mining Ltd. Options Chin, Joseph 5 2019-09-12 50 0.365 700,000 700,000Squire Mining Ltd. Options Druzeta, Conrad M. 5 2019-03-01 00 Squire Mining Ltd. Options Druzeta, Conrad M. 5 2019-09-12 50 0.365 200,000 200,000Squire Mining Ltd. Options Holowaychuk, Angela 4, 5 2019-09-12 50 0.365 450,000 250,000Squire Mining Ltd. Options Meshcherekov, Yevgeniy 5 2019-09-12 50 0.365 200,000 200,000Squire Mining Ltd. Options Meshcherekov, Yevgeniy 5 2019-09-12 50 0.365 450,000 250,000SSR Mining Inc. (Silver Standard Resources Inc.)

Common Shares Martin, Gregory John 5 2019-09-18 51 12.01 36,030 17,000

SSR Mining Inc. (Silver Standard Resources Inc.)

Common Shares Martin, Gregory John 5 2019-09-18 10 18.59 19,030 -17,000

SSR Mining Inc. (Silver Standard Resources Inc.)

Options Martin, Gregory John 5 2019-09-18 51 12.01 300,650 -17,000

St-Georges Eco-Mining Corp.

Common Shares Dumas, Francois 4, 5 2019-09-11 10 0.08 6,695,641 74,000





Stella-Jones Inc. Common Shares Lehman, Katherine 4 2019-09-18 10 40 5,500 1,500 Storm Resources Ltd. Common Shares Lavergne, Brian 4, 5 2019-09-18 10 1.49 3,124,561 5,000Stuhini Exploration Ltd. Common Shares O'Brien, David Bruce 5 2019-02-21 00

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7867


T/O Unit Price


Acquired/ Disposed

Stuhini Exploration Ltd. Common Shares O'Brien, David Bruce 5 2019-09-18 16 0.2 200,000 200,000Summit Industrial Income REIT

Trust Units Morassutti, Lawrence 4 2019-09-13 30 11.99 107,500 401

Suncor Energy Inc. Common Shares Axford, Eric Charles 5 2019-09-16 51 43.09 95,000Suncor Energy Inc. Common Shares Axford, Eric Charles 5 2019-09-16 51 43.09 95,000Suncor Energy Inc. Common Shares Axford, Eric Charles 5 2019-09-16 51 32.46 95,000 95,000Suncor Energy Inc. Common Shares Axford, Eric Charles 5 2019-09-16 10 43.09 0 -95,000Suncor Energy Inc. Options - Suncor Energy

Option Plan (Post August 1, 2009)

Axford, Eric Charles 5 2019-09-16 51 32.46 1,097,200 -95,000

Suncor Energy Inc. Common Shares Strom, Arlene Joyce 5 2019-01-01 00 Suncor Energy Inc. Common Shares Strom, Arlene Joyce 5 2019-09-13 51 32.46 10,000 10,000Suncor Energy Inc. Common Shares Strom, Arlene Joyce 5 2019-09-13 10 40.606 0 -10,000Suncor Energy Inc. Common Shares Strom, Arlene Joyce 5 2019-09-17 51 32.46 9,000 9,000Suncor Energy Inc. Common Shares Strom, Arlene Joyce 5 2019-09-17 10 42.56 0 -9,000Suncor Energy Inc. Options - Suncor Energy

Option Plan (Post August 1, 2009)

Strom, Arlene Joyce 5 2019-09-13 51 32.46 312,600 -10,000

Suncor Energy Inc. Options - Suncor Energy Option Plan (Post August 1, 2009)

Strom, Arlene Joyce 5 2019-09-17 51 32.46 303,600 -9,000

SunOpta Inc. Common Shares Largey, David 5 2019-09-13 00 17,659SunOpta Inc. Options Largey, David 5 2019-09-13 00 23,578SunOpta Inc. Performance Share Units Largey, David 5 2019-09-13 00 93,017SunOpta Inc. Rights RSU Largey, David 5 2019-09-13 00 5,521Talon Metals Corp. Common Shares Newfield, Warren Eric 4 2019-09-19 10 0.175 14,180,915 159,500Talon Metals Corp. Common Shares Newfield, Warren Eric 4 2019-09-19 11 0.175 14,524,690 343,775Tanzanian Gold Corporation Common Shares Harvey, William 4 2019-09-18 10 0.8063 180,424 -10,000TC Energy Corporation Common Shares DAVIS, MARY

CATHARINE 7 2019-09-17 51 48.44 1,800 1,800

TC Energy Corporation Common Shares DAVIS, MARY CATHARINE

7 2019-09-17 10 67.028 0 -1,800

TC Energy Corporation Options Granted March 22, 2016 @ $48.44 CDN (expire March 22, 2023)

DAVIS, MARY CATHARINE

7 2019-09-17 51 0 -1,800

TC Energy Corporation Common Shares Keys, Patrick M. 5 2019-09-18 51 47.09 12,808 7,500 TC Energy Corporation Common Shares Keys, Patrick M. 5 2019-09-18 10 67.647 5,308 -7,500TC Energy Corporation Common Shares Keys, Patrick M. 5 2019-09-18 10 67.535 6,808 1,500TC Energy Corporation Options Granted February

15, 2013 @ $47.09 CDN Keys, Patrick M. 5 2019-09-18 51 7,274 -7,500

TC Energy Corporation Common Shares Moran, Charles 7 2019-09-17 51 62.14 14,912 5,309 TC Energy Corporation Common Shares Moran, Charles 7 2019-09-17 51 56.89 19,781 4,869TC Energy Corporation Common Shares Moran, Charles 7 2019-09-17 10 67.095 9,603 -10,178 TC Energy Corporation Options Granted February

22, 2017 @ $62.14 (expire Feb 22, 2024)

Moran, Charles 7 2019-09-17 51 2,655 -5,309

TC Energy Corporation Options Options Granted Feb 21 2018 @ $56.89 CDN Exp: Feb 21 2025

Moran, Charles 7 2019-09-17 51 9,737 -4,869

TC Energy Corporation Common Shares Wirzba, Bevin Mark 7 2019-09-16 10 66.19 3,492 500Temple Hotels Inc. Common Shares Armoyan, Sime 3 2019-09-12 10 1.75 12,471,234 800Temple Hotels Inc. Common Shares Armoyan, Sime 3 2019-09-13 10 1.75 12,472,134 900 TeraGo Inc. Common Shares Buckner, Laurel 4 2019-09-19 46 7,648 728TeraGo Inc. Common Shares Gerber, Matthew 4 2019-09-19 46 52,683 2,287 TeraGo Inc. Common Shares Martin, Michael James 4 2019-09-19 46 13,464 884TeraGo Inc. Common Shares Second Alpha Partners

I(A), L.P.4 2019-09-19 46 55,717 1,274

TeraGo Inc. Common Shares Second Alpha Partners I(B), L.P.

4 2019-09-19 46 21,584 494

TeraGo Inc. Common Shares Sherlock, Gary Neil 4 2019-09-19 46 30,314 1,040Terra Firma Capital Corporation

Common Shares Meyer, Yisrael Dov 5 2019-09-16 10 0.53 117,145 10,000

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7868


T/O Unit Price


Acquired/ Disposed

Terra Firma Capital Corporation

Common Shares Thiyagarajah, Manokaran 5 2019-09-13 10 0.49 25,000

Terra Firma Capital Corporation

Common Shares Thiyagarajah, Manokaran 5 2019-09-13 10 0.49 387,221 50,000

TerraVest Industries Inc. (formerly TerraVest Capital Inc.)

Common Shares Gilbert, Mitchell Jordan 5 2013-09-03 00


Common Shares Gilbert, Mitchell Jordan 5 2019-09-20 11 12.95 170,228 170,228


Options Gilbert, Mitchell Jordan 5 2019-09-20 51 6.33 333,000 -333,000

Tesoro Minerals Corp. Common Shares Elliott, David Brian 3 2019-09-20 16 0.05 1,700,000 200,000Tesoro Minerals Corp. Common Shares Elliott, David Brian 3 2019-09-20 16 0.05 4,733,384 718,000Tesoro Minerals Corp. Warrants Elliott, David Brian 3 2019-09-20 16 0.05 700,000 200,000Tesoro Minerals Corp. Warrants Elliott, David Brian 3 2019-09-20 16 0.05 1,733,000 718,000TFI International Inc. Common Shares TFI International Inc. 1 2019-09-18 10 40.46 75,719 300TFI International Inc. Common Shares TFI International Inc. 1 2019-09-18 10 40.75 75,746 27TFI International Inc. Common Shares TFI International Inc. 1 2019-09-18 10 75,419 -327The Flowr Corporation (formerly The Needle Capital Corp.)

Common Shares Broome, Ernest Jason 5 2019-09-13 10 3.54 2,014,700 -300

The Flowr Corporation (formerly The Needle Capital Corp.)

Common Shares Dann, Alexander 5 2019-09-12 10 3.3 47,700 -10,000


Rights The Flowr Canada Holdings ULC - Pref A Shares

Emanuel, Lance 5 2019-01-07 00


Units Restricted Share Units

Emanuel, Lance 5 2019-09-12 56 250,000 250,000


Options Latysh, Ivan 5 2019-08-26 00


Options Latysh, Ivan 5 2019-08-26 50 2.88 150,000 150,000



Latysh, Ivan 5 2019-08-26 00



Latysh, Ivan 5 2019-08-26 56 110,000 110,000



Tallarico, Francesco 5 2019-09-12 56 350,000 300,000

The Stars Group Inc. Common Shares Gadhia, Dave 4, 5 2019-09-11 57 81,296 5,898The Stars Group Inc. Common Shares Gadhia, Dave 4, 5 2019-09-12 10 21.37 78,158 -3,138The Stars Group Inc. Rights Restricted Share

Units Gadhia, Dave 4, 5 2019-09-11 57 69,002 -5,898

The Stars Group Inc. Common Shares Goodson, Harlan 4 2019-09-11 57 -3,374The Stars Group Inc. Common Shares Goodson, Harlan 4 2019-09-11 57 -3,374The Stars Group Inc. Common Shares Goodson, Harlan 4 2019-09-11 57 11,796 5,898The Stars Group Inc. Common Shares Goodson, Harlan 4 2019-09-12 10 21.37 8,422 -3,374The Stars Group Inc. Rights Restricted Share

Units Goodson, Harlan 4 2019-09-11 57 -5,898

The Stars Group Inc. Rights Restricted Share Units

Goodson, Harlan 4 2019-09-11 57 -5,898

The Stars Group Inc. Rights Restricted Share Units

Goodson, Harlan 4 2019-09-11 57 729 -5,898

The Stars Group Inc. Common Shares Grant, Conor 7 2019-09-11 57 130,649 1,467The Stars Group Inc. Common Shares Grant, Conor 7 2019-09-12 10 21.38 129,787 -862The Stars Group Inc. Rights Restricted Share

Units Grant, Conor 7 2019-09-11 57 8,133 -1,467

The Stars Group Inc. Common Shares Hurley, Jr., Alfred F. 4 2019-09-11 57 16,978 5,898

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7869


T/O Unit Price


Acquired/ Disposed

The Stars Group Inc. Common Shares Hurley, Jr., Alfred F. 4 2019-09-12 10 21.37 13,604 -3,374The Stars Group Inc. Rights Restricted Share

Units Hurley, Jr., Alfred F. 4 2019-09-11 57 729 -5,898

The Stars Group Inc. Common Shares Lazzarato, David 4 2019-09-11 57 15,796 5,898The Stars Group Inc. Common Shares Lazzarato, David 4 2019-09-12 10 21.37 12,422 -3,374The Stars Group Inc. Rights Restricted Share

Units Lazzarato, David 4 2019-09-11 57 729 -5,898

The Stars Group Inc. Common Shares Proctor, Ian 7 2019-09-11 57 228,064 2,600The Stars Group Inc. Common Shares Proctor, Ian 7 2019-09-12 10 21.38 226,538 -1,526The Stars Group Inc. Rights Restricted Share

Units Proctor, Ian 7 2019-09-11 57 13,000 -2,600

The Stars Group Inc. Common Shares Turner, Mary Louise 4 2019-09-11 57 22,796 5,898The Stars Group Inc. Common Shares Turner, Mary Louise 4 2019-09-12 10 21.37 19,422 -3,374The Stars Group Inc. Rights Restricted Share

Units Turner, Mary Louise 4 2019-09-11 57 729 -5,898

The Toronto-Dominion Bank Common Shares CUSIP 891160 50 9

BAMBAWALE, AJAI 5 2019-09-18 51 52.46 675 675


BAMBAWALE, AJAI 5 2019-09-18 47 52.46 0 -675

The Toronto-Dominion Bank Options BAMBAWALE, AJAI 5 2019-09-18 51 52.46 121,083 -675The Toronto-Dominion Bank Common Shares CUSIP

891160 50 9 Ferguson, Brian Charles 4 2019-09-06 10 72.87 4,573 842


Tran, Kelvin Vi Luan 5 2019-07-08 00 10,714


Tran, Kelvin Vi Luan 5 2019-07-08 00 85

The Toronto-Dominion Bank Options Tran, Kelvin Vi Luan 5 2019-07-08 00 79,567The Toronto-Dominion Bank Rights Deferred Share

Units (DSU) Tran, Kelvin Vi Luan 5 2019-07-08 00 28,012

The Toronto-Dominion Bank Rights Performance Share Units (PSU)

Tran, Kelvin Vi Luan 5 2019-07-08 00 17,033

The Yield Growth Corp. Common Shares Green, Penny Olga 3, 4, 5 2019-09-19 10 0.275 734,000 -20,000 The Yield Growth Corp. Common Shares Margaris, Spiros 4 2019-09-16 51 0.15 65,000 50,000The Yield Growth Corp. Common Shares Margaris, Spiros 4 2019-09-20 51 0.15 165,000 100,000 The Yield Growth Corp. Options Margaris, Spiros 4 2019-09-16 51 1,360,000 -50,000The Yield Growth Corp. Options Margaris, Spiros 4 2019-09-20 51 1,260,000 -100,000 The Yield Growth Corp. Common Shares Pineo, Krystal 4 2019-09-19 10 0.27 3,344,500 -20,000Theralase Technologies Inc. Options ANDERSON, GUY JOHN 4 2019-09-11 50 0.25 2,100,000 1,500,000Theralase Technologies Inc. Options Bruder, Randall 4 2019-09-11 50 0.25 2,100,000 1,500,000Theralase Technologies Inc. Options Dumoulin-White, Roger

John 3, 4, 5 2019-09-11 50 0.25 4,500,000 2,500,000

Theralase Technologies Inc. Options Hachey, Kristina Maria 5 2019-09-11 50 0.25 1,800,000 1,500,000Theralase Technologies Inc. Options Lade, Kipton 5 2019-02-25 00 Theralase Technologies Inc. Options Lade, Kipton 5 2019-09-11 50 750,000 750,000Theralase Technologies Inc. Options Mandel, Arkady 5 2019-07-11 52 0.5 400,000 -100,000 Theralase Technologies Inc. Options Mandel, Arkady 5 2019-09-11 50 0.25 1,900,000 1,500,000Theralase Technologies Inc. Options Shirazi, Shawn 5 2019-03-01 00 Theralase Technologies Inc. Options Shirazi, Shawn 5 2019-09-11 50 0.5 750,000 750,000Thomson Reuters Corporation

Deferred Share Units Bair, Sheila Colleen 4 2019-09-16 30 66.93 17,010 91

Thomson Reuters Corporation

Deferred Share Units Bair, Sheila Colleen 4 2019-09-16 46 66.93 17,384 374


Deferred Share Units Binet, David W. 4, 6 2019-09-16 30 66.93 28,278 151


Deferred Share Units Binet, David W. 4, 6 2019-09-16 46 66.93 29,025 747


Deferred Share Units Clark, William Edmund 4 2019-09-16 30 66.93 21,799 117


Deferred Share Units Clark, William Edmund 4 2019-09-16 46 66.93 22,733 934


Deferred Share Units Daniels, Michael Elie 4 2019-09-16 30 66.93 22,086 118

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7870


T/O Unit Price


Acquired/ Disposed


Deferred Share Units Daniels, Michael Elie 4 2019-09-16 46 66.93 23,020 934


Deferred Share Units Opperman, Vance K. 4 2019-09-16 30 66.93 701


Deferred Share Units Opperman, Vance K. 4 2019-09-16 30 66.93 701


Deferred Share Units Opperman, Vance K. 4 2019-09-16 46 66.93 131,719 1,307


Deferred Share Units Opperman, Vance K. 4 2019-09-16 30 66.93 132,421 702


Deferred Share Units Peck, Kristin C. 4 2019-09-16 30 66.93 12,610 68


Deferred Share Units Peck, Kristin C. 4 2019-09-16 46 66.93 13,357 747


Common Shares Ramseyer, Abigail 7 2019-09-10 00 166


Deferred Share Units Salzberg, Barry 4 2019-09-16 30 66.93 19,300 103


Deferred Share Units Salzberg, Barry 4 2019-09-16 46 66.93 19,674 374


Common Shares The Woodbridge Company Limited

3 2019-09-16 30 89.27 327,925,234 62,920


Deferred Share Units Thomson, David Kenneth Roy

4, 6 2019-09-16 30 66.93 86,311 462


Deferred Share Units Thomson, David Kenneth Roy

4, 6 2019-09-16 46 66.93 88,552 2,241


Deferred Share Units Thomson, Peter J. 4, 6 2019-09-16 30 66.93 10,703 57


Deferred Share Units Thomson, Peter J. 4, 6 2019-09-16 46 66.93 10,890 187


Deferred Share Units von Schimmelmann, Wulf 4 2019-09-16 30 66.93 35,759 192


Deferred Share Units von Schimmelmann, Wulf 4 2019-09-16 46 66.93 36,506 747

ThreeD Capital Inc.(formerly Brownstone Energy Inc.)

Options Inwentash, Jakson Samuel 3, 4 2019-09-18 10 333,333 250,000

TitanStar Properties Inc. (formerly DPVC Inc.)

Convertible Debentures Tronquoy, Antoine 4 2019-09-11 10 67 $35,000 $18,000

TitanStar Properties Inc. (formerly DPVC Inc.)

Convertible Debentures Tronquoy, Antoine 4 2019-09-12 10 67 $47,000 $12,000

Top Exploration Inc. Common Shares Hahn, Brent Francis 6 2019-09-20 00 236,331Top Exploration Inc. Common Shares Hahn, Brent Francis 6 2019-09-20 00 1,885,940TORC Oil & Gas Ltd. Common Shares Canada Pension Plan

Investment Board3 2019-09-16 35 328,731 2,181

TORC Oil & Gas Ltd. Common Shares Canada Pension Plan Investment Board

3 2019-09-16 35 63,142,075 418,958

Toromont Industries Ltd. Common Shares Jewer, Paul Randolph 5 2019-09-19 51 36.65 10,000 10,000Toromont Industries Ltd. Common Shares Jewer, Paul Randolph 5 2019-09-19 10 65.05 9,900 -100Toromont Industries Ltd. Common Shares Jewer, Paul Randolph 5 2019-09-19 10 65.04 9,400 -500Toromont Industries Ltd. Common Shares Jewer, Paul Randolph 5 2019-09-19 10 65 0 -9,400Toromont Industries Ltd. Options Jewer, Paul Randolph 5 2019-09-19 51 36.65 180,000 -10,000Toscana Energy Income Corporation

Options Copeland, Donald Darrell 4 2019-08-27 50 0.02 290,000 250,000

Total Energy Services Inc. Common Shares Halyk, Daniel Kim 4, 5 2019-09-16 10 6.94 1,200,700 1,900Total Energy Services Inc. Common Shares Halyk, Daniel Kim 4, 5 2019-09-18 10 6.4 1,203,800 3,100Total Energy Services Inc. Common Shares Total Energy Services Inc 1 2019-09-16 10 6.9796 60,000 5,000Total Energy Services Inc. Common Shares Total Energy Services Inc 1 2019-09-17 10 6.7699 65,000 5,000Total Energy Services Inc. Common Shares Total Energy Services Inc 1 2019-09-18 10 6.4581 67,700 2,700Total Energy Services Inc. Common Shares Total Energy Services Inc 1 2019-09-19 10 6.777 73,000 5,300Total Energy Services Inc. Common Shares Total Energy Services Inc 1 2019-09-20 10 6.5256 78,000 5,000TransAlta Corporation DSU (Deferred Share

Units) Ambrose, Ronalee Hope 4 2019-09-16 56 8.59 21,473 2,328

TransAlta Corporation DSU (Deferred Share Units)

Dielwart, John Patrick 4 2019-09-16 56 8.59 115,272 4,657

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7871


T/O Unit Price


Acquired/ Disposed


FLEXON, Robert Charles 4 2019-09-16 56 8.59 5,310 3,094


Fohrer, Alan John 4 2019-09-16 56 8.59 91,730 3,094

TransAlta Corporation Common Shares Giffin, Gordon 4 2019-09-16 30 8.72 172,264 3,785TransAlta Corporation Common Shares Giffin, Gordon 4 2019-09-16 30 8.73 174,762 2,498TransAlta Corporation DSU (Deferred Share

Units) Mansour, Yakout 4 2019-09-16 56 8.59 97,267 3,094


Nelson, Georgia Ricci 4 2019-09-16 56 8.59 88,998 3,094


Park, Beverlee Faye 4 2019-09-16 56 8.59 76,625 2,328


Pinney, Bryan Daniel 4 2019-09-16 56 8.59 30,307 4,656

TransAlta Renewables Inc. DSU (Deferred Share Units)

Drinkwater, David William 4 2019-09-15 56 13.24 25,082 661


Hagerman, Allen R. 4 2019-09-15 56 13.24 27,464 944


TAYLOR, PAUL H. E. 4 2019-09-15 56 13.24 30,014 473

Transcanna Holdings Inc. Common Shares Giblin, Stephen 4, 5 2019-09-13 10 0.98 170,000Transcanna Holdings Inc. Common Shares Giblin, Stephen 4, 5 2019-09-13 10 0.98 17,000 17,000Transcanna Holdings Inc. Common Shares Giblin, Stephen 4, 5 2019-09-16 10 0.97 40,000 23,000Transcanna Holdings Inc. Common Shares Giblin, Stephen 4, 5 2019-09-16 10 0.95 65,200 25,200Transcanna Holdings Inc. Common Shares Giblin, Stephen 4, 5 2019-09-16 10 0.94 73,200 8,000Transcanna Holdings Inc. Common Shares Giblin, Stephen 4, 5 2019-09-16 10 0.93 100,000 26,800Transcanna Holdings Inc. Common Shares Johannson, Arni Thomas 4 2019-09-17 10 0.98 1,909,000 5,000Trevali Mining Corporation Common Shares Trevali Mining Corporation 1 2019-06-17 38 0 -25,000Trevali Mining Corporation Common Shares Trevali Mining Corporation 1 2019-09-19 38 0.215 547,000 547,000Trevali Mining Corporation Common Shares Trevali Mining Corporation 1 2019-09-20 38 0.2309 1,094,000 547,000Trican Well Service Ltd. Common Shares Fedora, Bradley P. D. 4 2019-09-13 11 1.07 1,012,515 -790,403Trilogy International Partners Inc.

Common Shares Morris, Scott 5 2019-09-13 10 1.59 133,010 20,000

Trilogy Metals Inc. (formerly NovaCopper Inc.)

Common Shares Gowans, James Kitchener 4 2019-09-18 10 2.1255 35,000 10,000


Common Shares Gowans, James Kitchener 4 2019-09-19 10 2.1573 36,500 1,500


Common Shares Gowans, James Kitchener 4 2019-09-20 10 2.1911 37,400 900

Trius Investments Inc. Common Shares Burgess, Andrew 4 2018-05-31 10 0.16 -45,000Trius Investments Inc. Common Shares Burgess, Andrew 4 2018-05-31 10 0.16 923,500 -45,500Trulieve Cannabis Corp. (formerly Schyan Exploration Inc.)


Beshears, Thad 4 2018-09-21 00

Trulieve Cannabis Corp. (formerly Schyan Exploration Inc.)


Beshears, Thad 4 2019-04-10 36 3,000,000 3,000,000


Super Voting Shares Beshears, Thad 4 2019-08-02 37 120,000 -30,000


Multiple Voting Shares Hackney, George 3, 4, 6 2018-09-21 00


Multiple Voting Shares Hackney, George 3, 4, 6 2018-09-21 00



Hackney, George 3, 4, 6 2018-09-21 00



Hackney, George 3, 4, 6 2018-09-21 00



Hackney, George 3, 4, 6 2019-08-02 36 300,000 300,000

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7872


T/O Unit Price


Acquired/ Disposed



Hackney, George 3, 4, 6 2019-09-11 10 8.36 0 -300,000


Super Voting Shares Hackney, George 3, 4, 6 2018-09-21 00


Super Voting Shares Hackney, George 3, 4, 6 2019-08-02 11 3,000 3,000






Super Voting Shares KOPUS, LLC 3 2018-09-21 00 136,562


Super Voting Shares KOPUS, LLC 3 2019-08-02 11 130,132 -6,430


Multiple Voting Shares May, Richard Suber 4 2018-09-21 00


Multiple Voting Shares May, Richard Suber 4 2018-09-21 00



May, Richard Suber 4 2018-09-21 00



May, Richard Suber 4 2018-09-21 00



May, Richard Suber 4 2019-08-02 36 125,000 125,000



May, Richard Suber 4 2019-09-11 10 8.36 0 -125,000


Super Voting Shares May, Richard Suber 4 2018-09-21 00


Super Voting Shares May, Richard Suber 4 2019-08-02 11 1,250 1,250


Super Voting Shares May, Richard Suber 4 2019-08-02 36 0 -1,250







O'Donnell, Michael Jay 4 2018-09-21 00



O'Donnell, Michael Jay 4 2018-09-21 00



O'Donnell, Michael Jay 4 2019-08-02 36 295,100 295,100



O'Donnell, Michael Jay 4 2019-09-11 10 8.36 0 -295,100


Super Voting Shares O'Donnell, Michael Jay 4 2018-09-21 00

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7873


T/O Unit Price


Acquired/ Disposed


Super Voting Shares O'Donnell, Michael Jay 4 2019-08-02 11 2,951 2,951


Super Voting Shares O'Donnell, Michael Jay 4 2019-08-02 36 0 -2,951



Pernell, Jason Barry 5 2018-09-21 00



Pernell, Jason Barry 5 2018-09-21 00



Pernell, Jason Barry 5 2019-08-02 36 347,900 347,900



Pernell, Jason Barry 5 2019-09-11 10 8.36 0 -347,900


Super Voting Shares Pernell, Jason Barry 5 2018-09-21 00


Super Voting Shares Pernell, Jason Barry 5 2019-08-02 11 3,479 3,479


Super Voting Shares Pernell, Jason Barry 5 2019-08-02 36 0 -3,479


Multiple Voting Shares Rivers, Kimberly 3, 4, 5 2018-09-21 00 9,867


Super Voting Shares Shade Leaf Holdings, LLC 3 2018-09-21 00 141,251


Super Voting Shares Shade Leaf Holdings, LLC 3 2019-08-02 11 140,001 -1,250


Super Voting Shares Telogia Pharm, LLC 3 2018-09-21 00 140,133


Super Voting Shares Telogia Pharm, LLC 3 2019-08-02 11 136,133 -4,000

TVA Group Inc. Options d'achat d'actions classe B

Trudel, Michel 7 2019-06-04 50 20,000

TVA Group Inc. Options d'achat d'actions classe B

Trudel, Michel 7 2019-06-04 50 20,000

Ubique Minerals Limited Common Shares Harper, Gerald 4, 5 2019-09-13 16 0.085 2,741,379 375,000 Ubique Minerals Limited Common Shares Harper, Gerald 4, 5 2019-09-13 16 0.075 2,816,379 75,000Ubique Minerals Limited Warrants Harper, Gerald 4, 5 2019-09-13 53 575,000 450,000 Ubique Minerals Limited Common Shares Singh, Gaurav 4 2019-09-13 16 0.085 236,882 120,000Unigold Inc. Common Shares Corporation AurifÞre

Monarques3 2019-09-19 11 0.1 8,000,000 1,500,000

Unigold Inc. Warrants Corporation AurifÞre Monarques

3 2019-05-08 00

Unigold Inc. Warrants Corporation AurifÞre Monarques

3 2019-09-19 11 750,000 750,000

Unigold Inc. Common Shares Hamilton, Joseph Andrew 4 2019-09-19 10 0.1 250,000Unigold Inc. Common Shares Hamilton, Joseph Andrew 4 2019-09-19 16 0.1 527,630 250,000Unigold Inc. Warrants Hamilton, Joseph Andrew 4 2019-09-19 16 205,000 125,000Unigold Inc. Common Shares OSISKO GOLD

ROYALTIES LTD3 2019-09-18 16 0.1 8,228,000 1,500,000

Unigold Inc. Warrants OSISKO GOLD ROYALTIES LTD

3 2019-09-18 16 0.15 750,000 750,000

Unigold Inc. Common Shares PAGE, CHARLES ELIJAH 4 2019-09-19 16 0.1 262,050 250,000Unigold Inc. Warrants PAGE, CHARLES ELIJAH 4 2010-01-21 00 Unigold Inc. Warrants PAGE, CHARLES ELIJAH 4 2019-09-19 16 125,000 125,000Unigold Inc. Common Shares Tremblay, Norman 4 2019-09-19 16 0.1 4,508,494 1,250,000

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7874


T/O Unit Price


Acquired/ Disposed

Unigold Inc. Warrants Tremblay, Norman 4 2017-03-06 00 Unigold Inc. Warrants Tremblay, Norman 4 2019-09-19 16 625,000 625,000 VALEO PHARMA INC. Common Shares Class A Mainville, Luc 5 2019-09-16 10 0.29 1,267,055 39,500VALEO PHARMA INC. Common Shares Class A Mainville, Luc 5 2019-09-17 10 0.29 1,279,555 12,500 VALEO PHARMA INC. Common Shares Class A Mainville, Luc 5 2019-09-18 10 0.3135 1,427,555 148,000VALEO PHARMA INC. Warrants Mainville, Luc 5 2019-09-16 10 0.1 195,500 1,500 VALEO PHARMA INC. Warrants Mainville, Luc 5 2019-09-19 10 0.07 196,500 1,000Ventripoint Diagnostics Ltd. (formerly Luca Capital Inc.)

Common Shares Adams, George 4, 5 2019-09-12 10 0.105 58,724 15,000

Vermilion Energy Inc. Common Shares Glemser, Lars William 5 2019-08-31 30 29.549 12,730 1,226Vermilion Energy Inc. Common Shares Hatcher, Dion 5 2019-08-31 30 29.549 48,226 1,277 Vermilion Energy Inc. Common Shares Hergott, Terrance Gerald 5 2019-08-31 30 29.549 2,396 2,263Vermilion Energy Inc. Common Shares Jasinski, Mona Jean 5 2019-08-31 30 29.549 42,488 1,671 Vermilion Energy Inc. Common Shares Kaluza, Michael Sam 5 2019-08-31 30 29.549 105,175 5,483Vermilion Energy Inc. Common Shares Marino, Anthony William 5 2019-08-31 30 29.549 373,222 4,235 Vermilion Energy Inc. Common Shares Marino, Anthony William 5 2019-08-31 30 29.549 4,662 688Vermilion Energy Inc. Common Shares Preston, Kyle 5 2019-08-31 30 20.727 23,467 186 Vermilion Energy Inc. Common Shares Schut, Gerard 5 2019-08-31 30 29.857 63,364 2,754Vermilion Energy Inc. Common Shares Schut, Gerard 5 2019-09-13 10 21.41 58,364 -5,000 Vermilion Energy Inc. Common Shares Schut, Gerard 5 2019-09-16 10 23.07 53,364 -5,000Vermilion Energy Inc. Common Shares Tan, Jenson Jit-Chang 5 2019-08-31 30 29.549 44,793 1,777 VersaBank Common Shares George, Patrick 6 2019-09-13 10 6.75 633,564 4,200Village Farms International, Inc.

Common Shares McLernon, J.R. 4 2019-09-19 10 14.05 10,500 500

Village Farms International, Inc.

Common Shares McLernon, J.R. 4 2019-09-19 10 14 5,400 400

VIQ Solutions Inc. Options Edwards, Alexie 5 2019-09-11 50 0.11 900,000 350,000VIQ Solutions Inc. Options Pare, Sebastien 5 2019-09-11 50 0.11 5,783,333 1,000,000VIQ Solutions Inc. Common Shares Soteroff, George Bernard 8 2019-09-11 52 0.11 200,000VIQ Solutions Inc. Common Shares Soteroff, George Bernard 8 2019-09-11 50 0.11 1,118,992 200,000Vireo Health International, Inc. (formerly Darien Business Development Corp.)

Options (Super Voting Shares)

Kingsley, Kyle Eugene 4, 5 2019-03-18 50 51,008

Vireo Health International, Inc. (formerly Darien Business Development Corp.)


Kingsley, Kyle Eugene 4, 5 2019-03-18 50 51,008 51,008



Kingsley, Kyle Eugene 4, 5 2019-03-18 00


Options directors and officers

Kingsley, Kyle Eugene 4, 5 2019-03-18 50 5,100,823

VIVO Cannabis Inc. Common Shares Laflamme, Daniel 3, 4, 5 2019-09-09 10 0.4495 37,638,539 -20,000 VIVO Cannabis Inc. Common Shares Laflamme, Daniel 3, 4, 5 2019-09-10 10 0.43 37,618,539 -20,000VIVO Cannabis Inc. Common Shares Laflamme, Daniel 3, 4, 5 2019-09-11 10 0.4305 37,598,539 -20,000 VIVO Cannabis Inc. Common Shares Laflamme, Daniel 3, 4, 5 2019-09-12 10 0.42 37,578,539 -20,000VIVO Cannabis Inc. Common Shares Laflamme, Daniel 3, 4, 5 2019-09-13 10 0.42 37,558,539 -20,000VIVO Cannabis Inc. Common Shares Laflamme, Daniel 3, 4, 5 2019-09-16 10 0.41 37,538,539 -20,000VIVO Cannabis Inc. Common Shares Laflamme, Daniel 3, 4, 5 2019-09-17 10 0.405 37,518,539 -20,000VIVO Cannabis Inc. Common Shares Laflamme, Daniel 3, 4, 5 2019-09-18 10 0.405 37,498,539 -20,000VIVO Cannabis Inc. Common Shares Laflamme, Daniel 3, 4, 5 2019-09-19 10 0.41 37,478,539 -20,000VIVO Cannabis Inc. Common Shares Laflamme, Daniel 3, 4, 5 2019-09-20 10 0.4037 37,458,539 -20,000Western Resources Corp. Common Shares Venter, Frederick

Christiaan 4, 5 2019-09-06 10 0.25 33,000 15,000

Western Resources Corp. Common Shares Venter, Frederick Christiaan

4, 5 2019-09-06 10 0.245 34,000 1,000

Western Resources Corp. Common Shares Venter, Frederick Christiaan

4, 5 2019-09-06 10 0.245 34,500 500

Whitecap Resources Inc. Common Shares Fagerheim, Grant Bradley 4, 5 2019-09-16 10 4.8474 687,700 700

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7875


T/O Unit Price


Acquired/ Disposed

Whitecap Resources Inc. Common Shares Fagerheim, Grant Bradley 4, 5 2019-09-16 10 4.8474 2,147,524 18,000Whitecap Resources Inc. Common Shares Fagerheim, Grant Bradley 4, 5 2019-09-18 10 4.7 2,152,524 5,000 Whitecap Resources Inc. Common Shares Wall, Bradley John 4 2019-09-17 10 4.79 8,350 8,350Wikileaf Technologies Inc. Common Shares Babyak, Joshua Peter 4 2019-05-14 00 60,000 Wikileaf Technologies Inc. Common Shares Babyak, Joshua Peter 4 2019-05-14 00 1,376,730Wikileaf Technologies Inc. Options Babyak, Joshua Peter 4 2019-05-14 00 1,659,185 Wikileaf Technologies Inc. Common Shares Cruise, Connor Graham 4 2018-04-03 00 1,507,335Wikileaf Technologies Inc. Common Shares Cruise, Connor Graham 4 2018-04-03 00 100,000 Wikileaf Technologies Inc. Options Cruise, Connor Graham 4 2018-04-03 00 446,295Wikileaf Technologies Inc. Common Shares Hippola, Manoj Saliya Emil 4, 5 2019-05-14 00 7,846,240Wikileaf Technologies Inc. Options Hippola, Manoj Saliya Emil 4, 5 2019-05-14 00 1,569,248Wikileaf Technologies Inc. Options Lalonde, Patrick 5 2019-05-14 00 3,924,535Wikileaf Technologies Inc. Common Shares Nelson, Daniel Ryan 4, 5 2019-05-14 00 7,605,458Wikileaf Technologies Inc. Options Nelson, Daniel Ryan 4, 5 2019-05-14 00 1,569,248Wikileaf Technologies Inc. Common Shares Nesta Holding Co. Ltd. 3 2019-09-19 00 69,569,560Wikileaf Technologies Inc. Options Rifici, Charles 4 2019-05-14 00 784,624Wikileaf Technologies Inc. Options Sanders, Megan Anne 4 2019-05-14 00 784,624Wikileaf Technologies Inc. Options Scott, David Cyrus 4 2019-05-14 00 196,156Wildsky Resources Inc. Options Yuan, Ke Feng (Andrea) 5 2019-07-26 38 0.2 0 -150,000Wildsky Resources Inc. Options Yuan, Ke Feng (Andrea) 5 2019-08-07 50 0.1 300,000 300,000Willow Biosciences Inc. Common Shares Peters, Trevor Anthony 4, 5 2019-09-18 54 0.68 3,127,563 294,117Wolfpack Brands Corporation (formerly, Josephine Mining Corp.)

Common Shares Buzbuzian, Richard 4, 5 2019-09-09 46 0.05 11,340,032 2,776,016

Wolfpack Brands Corporation (formerly, Josephine Mining Corp.)

Common Shares Buzbuzian, Richard 4, 5 2019-09-16 46 0.05 12,272,032 932,000

X-Terra Resources Inc. Common Shares Ferreira, Michael 4, 5 2019-09-17 10 0.08 185,000 -300,000Xenon Pharmaceuticals Inc. Options Aycardi-Fonseca, Ernesto 5 2019-09-16 50 9.44 115,000 65,000Xenon Pharmaceuticals Inc. Common Shares Azab, Mohammad 4 2019-09-13 10 9.3122 -23Xenon Pharmaceuticals Inc. Common Shares Azab, Mohammad 4 2019-09-13 10 9.3122 57,561 -23Xenon Pharmaceuticals Inc. Options Azab, Mohammad 4 2019-09-16 50 9.44 61,894 15,000Xenon Pharmaceuticals Inc. Options Empfield, James 5 2019-09-16 50 9.44 172,500 40,000Xenon Pharmaceuticals Inc. Options Gannon, Steven 4 2019-09-16 50 9.44 42,144 15,000Xenon Pharmaceuticals Inc. Options Hayden, Michael R. 4 2019-09-16 50 9.44 54,488 15,000Xenon Pharmaceuticals Inc. Common Shares Holler, Frank 4 2019-09-12 51 3.74 121,107 2,152Xenon Pharmaceuticals Inc. Common Shares Holler, Frank 4 2019-09-12 51 3.74 123,259 2,152Xenon Pharmaceuticals Inc. Common Shares Holler, Frank 4 2019-09-12 51 3.74 141,198 17,939Xenon Pharmaceuticals Inc. Common Shares Holler, Frank 4 2019-09-17 10 9.32 136,129 -5,069Xenon Pharmaceuticals Inc. Common Shares Holler, Frank 4 2019-09-18 10 9.28 131,761 -4,368Xenon Pharmaceuticals Inc. Common Shares Holler, Frank 4 2019-09-19 10 9.27 124,161 -7,600Xenon Pharmaceuticals Inc. Common Shares Holler, Frank 4 2019-09-20 10 9.39 118,955 -5,206Xenon Pharmaceuticals Inc. Options Holler, Frank 4 2019-09-12 51 3.74 122,107 -2,152Xenon Pharmaceuticals Inc. Options Holler, Frank 4 2019-09-12 38 121,173 -934Xenon Pharmaceuticals Inc. Options Holler, Frank 4 2019-09-12 51 3.74 119,021 -2,152Xenon Pharmaceuticals Inc. Options Holler, Frank 4 2019-09-12 38 118,087 -934Xenon Pharmaceuticals Inc. Options Holler, Frank 4 2019-09-12 51 3.74 100,148 -17,939Xenon Pharmaceuticals Inc. Options Holler, Frank 4 2019-09-12 38 92,367 -7,781Xenon Pharmaceuticals Inc. Options Holler, Frank 4 2019-09-16 50 9.44 107,367 15,000Xenon Pharmaceuticals Inc. Options Mortimer, Ian Charles 5 2019-09-16 50 9.44 529,340 135,000 Xenon Pharmaceuticals Inc. Options Patou, Gary 4 2019-09-16 50 9.44 62,716 15,000Xenon Pharmaceuticals Inc. Common Shares Pimstone, Simon Neil 4 2019-09-17 51 3.74 253,374 25,239 Xenon Pharmaceuticals Inc. Common Shares Pimstone, Simon Neil 4 2019-09-17 51 3.74 259,864 6,490Xenon Pharmaceuticals Inc. Common Shares Pimstone, Simon Neil 4 2019-09-17 51 3.74 268,517 8,653 Xenon Pharmaceuticals Inc. Options Pimstone, Simon Neil 4 2019-09-16 50 9.44 975,132 280,000Xenon Pharmaceuticals Inc. Options Pimstone, Simon Neil 4 2019-09-17 51 3.74 949,893 -25,239 Xenon Pharmaceuticals Inc. Options Pimstone, Simon Neil 4 2019-09-17 38 939,124 -10,769Xenon Pharmaceuticals Inc. Options Pimstone, Simon Neil 4 2019-09-17 51 3.74 932,634 -6,490 Xenon Pharmaceuticals Inc. Options Pimstone, Simon Neil 4 2019-09-17 38 929,865 -2,769

Insider Reporting

September 26, 2019

(2019), 42 OSCB 7876


T/O Unit Price


Acquired/ Disposed

Xenon Pharmaceuticals Inc. Options Pimstone, Simon Neil 4 2019-09-17 51 3.74 921,212 -8,653Xenon Pharmaceuticals Inc. Options Pimstone, Simon Neil 4 2019-09-17 38 917,520 -3,692 Xenon Pharmaceuticals Inc. Options Scheller, Richard Henry 4 2019-09-16 50 9.44 45,230 15,000Xenon Pharmaceuticals Inc. Common Shares Sherrington, Robin Paul 5 2019-09-12 51 3.74 10,196 4,304 Xenon Pharmaceuticals Inc. Options Sherrington, Robin Paul 5 2019-09-12 51 3.74 232,852 -4,304Xenon Pharmaceuticals Inc. Options Sherrington, Robin Paul 5 2019-09-12 38 230,984 -1,868 Xenon Pharmaceuticals Inc. Options Sherrington, Robin Paul 5 2019-09-16 50 9.44 275,984 45,000Xenon Pharmaceuticals Inc. Options Svoronos, Dawn 4 2019-09-16 50 9.44 38,644 15,000 Xenon Pharmaceuticals Inc. Options Tarnow, Michael M. 4 2019-09-16 50 9.44 101,633 15,000Yangarra Resources Ltd. Common Shares Glessing, James, Alan 5 2019-09-17 10 1.8 253,363 16,740Yangarra Resources Ltd. Common Shares Glessing, James, Alan 5 2019-09-17 10 1.8 81,227 8,260Yellow Pages Limited Common Shares King, Sherilyn Ann 5 2019-09-11 00 858Yellow Pages Limited Options King, Sherilyn Ann 5 2019-09-11 00 55,939Yellow Pages Limited Performance Share Unit King, Sherilyn Ann 5 2019-09-11 00 5,753Yellow Pages Limited Restricted Share Unit King, Sherilyn Ann 5 2019-09-11 00 14,615Yorbeau Resources Inc. Common Shares Class A Kocisko, Terry 4 2019-09-17 10 0.03 2,150,000 400,000Zargon Oil & Gas Ltd. Common Shares Doetzel, Randolph John 5 2019-09-13 10 0.35 6,243 -10,000Zargon Oil & Gas Ltd. Common Shares Doetzel, Randolph John 5 2019-09-17 30 0.3512 11,413 5,170

September 26, 2019

(2019), 42 OSCB 7877

Chapter 11

IPOs, New Issues and Secondary Financings

INVESTMENT FUNDS

Issuer Name: First Trust Short Duration High Yield Bond ETF (CAD-Hedged) Principal Regulator - Ontario Type and Date: Amendment #1 to Final Long Form Prospectus dated September 18, 2019 Received on September 19, 2019 Offering Price and Description: - Underwriter(s) or Distributor(s): FT Portfolios Canada Co. Promoter(s): N/A Project #2889290 _______________________________________________ Issuer Name: IPC ESG Balanced Essentials Portfolio (formerly,Counsel Balanced Growth Portfolio) Counsel High Income Portfolio Principal Regulator - Ontario Type and Date: Amendment #5 to Final Simplified Prospectus dated September 13, 2019 NP 11-202 Receipt dated September 18, 2019 Offering Price and Description: - Underwriter(s) or Distributor(s): N/A Promoter(s): N/A Project #2818942 _______________________________________________ Issuer Name: First Trust Short Duration High Yield Bond ETF (CAD-Hedged) Principal Regulator - Ontario Type and Date: Amendment #1 to Final Long Form Prospectus dated September 18, 2019 NP 11-202 Receipt dated September 20, 2019 Offering Price and Description: - Underwriter(s) or Distributor(s): FT Portfolios Canada Co. Promoter(s): N/A Project #2889290 _______________________________________________

Issuer Name: iShares Core S&P 500 Index ETF iShares Core S&P U.S. Total Market Index ETF iShares Core MSCI EAFE IMI Index ETF iShares Core MSCI Emerging Markets IMI Index ETF iShares Core MSCI All Country World ex Canada Index ETF iShares Core MSCI US Quality Dividend Index ETF iShares Core MSCI Global Quality Dividend Index ETF iShares S&P U.S. Mid-Cap Index ETF iShares Edge MSCI Min Vol USA Index ETF iShares Edge MSCI Multifactor USA Index ETF Principal Regulator - Ontario Type and Date: Amendment #2 to Final Long Form Prospectus dated September 16, 2019 NP 11-202 Receipt dated September 20, 2019 Offering Price and Description: - Underwriter(s) or Distributor(s): BlackRock Asset Management Canada Limited Promoter(s): N/A Project #2878215 _______________________________________________ Issuer Name: TD Active Global Income ETF TD Active Global Real Estate Equity ETF TD Active U.S. High Yield Bond ETF TD Canadian Long Term Federal Bond ETF TD Income Builder ETF TD Q Canadian Dividend ETF TD Q Global Dividend ETF TD Q Global Multifactor ETF TD Q U.S. Small-Mid-Cap Equity ETF TD U.S. Long Term Treasury Bond ETF Principal Regulator – Ontario Type and Date: Preliminary Long Form Prospectus dated Sep 19, 2019 NP 11-202 Preliminary Receipt dated Sep 19, 2019 Offering Price and Description: - Underwriter(s) or Distributor(s): N/A Promoter(s): N/A Project #2968330 _______________________________________________


September 26, 2019

(2019), 42 OSCB 7878

Issuer Name: Counsel Balanced Growth Portfolio IPC Balanced Essentials Portfolio IPC Growth Essentials Portfolio IPC Income Essentials Portfolio Principal Regulator – Ontario Type and Date: Combined Preliminary and Pro Forma Simplified Prospectus dated Sep 17, 2019 NP 11-202 Final Receipt dated Sep 23, 2019 Offering Price and Description: Series F Securities, Series A Securities and Series I Securities Underwriter(s) or Distributor(s): N/A Promoter(s): N/A Project #2949063 _______________________________________________ Issuer Name: Mulvihill Premium Yield Fund Principal Regulator – Ontario Type and Date: Preliminary Simplified Prospectus, Annual Information Form and Fund Facts (NI 81-101) dated Sep 18, 2019 NP 11-202 Final Receipt dated Sep 20, 2019 Offering Price and Description: Class UF mutual fund units, Class F mutual fund units, Class A mutual fund units and Class UA mutual fund units Underwriter(s) or Distributor(s): N/A Promoter(s): N/A Project #2934060 _______________________________________________ Issuer Name: DFA World Equity Portfolio Principal Regulator – British Columbia Type and Date: Preliminary Simplified Prospectus dated Sep 19, 2019 NP 11-202 Preliminary Receipt dated Sep 19, 2019 Offering Price and Description: Class F Units, Class I Units and Class A Units Underwriter(s) or Distributor(s): N/A Promoter(s): N/A Project #2968387 _______________________________________________

Issuer Name: CI Lawrence Park Alternative Investment Grade Credit Fund CI Marret Alternative Absolute Return Bond Fund CI Munro Alternative Global Growth Fund Principal Regulator - Ontario Type and Date: Amendment #2 to the Simplified Prospectus dated September 17, 2019 NP 11-202 Receipt dated September 20, 2019 Offering Price and Description: Class A units, Class AH units, Class F units, Class FH units, Class I units, Class IH Units Underwriter(s) or Distributor(s): N/A Promoter(s): N/A Project #2899088 _______________________________________________ Issuer Name: Mackenzie Canadian Aggregate Bond Index ETF Mackenzie Canadian All Corporate Bond Index ETF Mackenzie Canadian Equity Index ETF Mackenzie Canadian Large Cap Equity Index ETF Mackenzie Canadian Short-Term Bond Index ETF Mackenzie China A-Shares CSI 300 Index ETF Mackenzie International Equity Index ETF Mackenzie International Equity Index ETF Mackenzie US High Yield Bond Index ETF Mackenzie US Investment Grade Corporate Bond Index ETF Mackenzie US Large Cap Equity Index ETF Mackenzie US Large Cap Equity Index ETF Mackenzie US TIPS Index ETF Principal Regulator - Ontario Type and Date: Amendment #1 to the Long Form Prospectus dated September 20, 2019 NP 11-202 Receipt dated September 23, 2019 Offering Price and Description: CAD-Hedged Underwriter(s) or Distributor(s): N/A Promoter(s): N/A Project #2922728 _______________________________________________


September 26, 2019

(2019), 42 OSCB 7879

Issuer Name: IA Clarington Floating Rate Income Fund IA Clarington Strategic Income Fund IA Clarington Focused Canadian Equity Class IA Clarington Strategic Equity Income Class IA Clarington Global Allocation Fund IA Clarington Global Allocation Class IA Clarington Balanced Portfolio IA Clarington Conservative Portfolio IA Clarington Growth Portfolio IA Clarington Maximum Growth Portfolio IA Clarington Moderate Portfolio Principal Regulator - Quebec Type and Date: Amendment #1 to the Simplified Prospectus dated September 9, 2019 NP 11-202 Receipt dated September 17, 2019 Offering Price and Description: Series A, B, B5, E, E5, E6, EF, EX, EX5, EX6, F, F5, F6, F8, I, L, L5, L6, L8, O, P, P5, P6, T5, T6, T8, Y and Series ETF Underwriter(s) or Distributor(s): N/A Promoter(s): N/A Project #2911271 _______________________________________________


September 26, 2019

(2019), 42 OSCB 7880

NON-INVESTMENT FUNDS Issuer Name: AltaGas Ltd. Principal Regulator - Alberta Type and Date: Preliminary Shelf Prospectus dated September 18, 2019 NP 11-202 Receipt dated September 19, 2019 Offering Price and Description: $2,000,000,000.00 - Common Shares, Preferred Shares, Subscription Receipts, Debt Securities, Units Underwriter(s) or Distributor(s): - Promoter(s): - Project #2968229 _______________________________________________ Issuer Name: AMV Capital Corporation Principal Regulator - British Columbia Type and Date: Final Long Form Prospectus dated September 13, 2019 NP 11-202 Receipt dated September 17, 2019 Offering Price and Description: $400,000.00 - 4,000,000 Common Shares at $0.10 per Common Share Price Per Share: $0.10 Underwriter(s) or Distributor(s): Mackie Research Capital Corporation Promoter(s): Qiang Sean Wang Project #2950107 _______________________________________________ Issuer Name: Antalis Ventures Corp. Principal Regulator - British Columbia Type and Date: Final CPC Prospectus dated September 17, 2019 NP 11-202 Receipt dated September 18, 2019 Offering Price and Description: $300,000.00 - 3,000,000 OFFERED SHARES Price: $0.10 per Offered Share Underwriter(s) or Distributor(s): Leede Jones Gable Inc. Promoter(s): - Project #2964359 _______________________________________________

Issuer Name: Appili Therapeutics Inc. Principal Regulator - Nova Scotia Type and Date: Final Shelf Prospectus dated September 19, 2019 NP 11-202 Receipt dated September 19, 2019 Offering Price and Description: $50,000,000.00 - Class A Common Shares, Class B Common Shares, Preferred Shares, Warrants, Units, Subscription Receipts, Debt Securities Underwriter(s) or Distributor(s): - Promoter(s): - Project #2966189 _______________________________________________ Issuer Name: Cenovus Energy Inc. Principal Regulator - Alberta Type and Date: Final Shelf Prospectus dated September 19, 2019 NP 11-202 Receipt dated September 20, 2019 Offering Price and Description: US$5,000,000,000 Debt Securities Common Shares Preferred Shares Subscription Receipts Warrants Share Purchase Contracts Units Underwriter(s) or Distributor(s): - Promoter(s): - Project #2966244 _______________________________________________ Issuer Name: Chemtrade Logistics Income Fund Principal Regulator - Ontario Type and Date: Final Short Form Prospectus dated September 23, 2019 NP 11-202 Receipt dated September 23, 2019 Offering Price and Description: $100,000,000.00 - 6.50% Convertible Unsecured Subordinated Debentures Price: $1,000 per Debenture Underwriter(s) or Distributor(s): BMO NESBITT BURNS INC. SCOTIA CAPITAL INC. RBC DOMINION SECURITIES INC. CIBC WORLD MARKETS INC. NATIONAL BANK FINANCIAL INC. TD SECURITIES INC. DESJARDINS SECURITIES INC. RAYMOND JAMES LTD. Promoter(s): - Project #2966211 _______________________________________________


September 26, 2019

(2019), 42 OSCB 7881

Issuer Name: Evergold Corp. Principal Regulator - Ontario Type and Date: Final Long Form Prospectus dated September 16, 2019 NP 11-202 Receipt dated September 19, 2019 Offering Price and Description: Minimum Public Offering of 13,304,370 Offered Units for Gross Proceeds of $2,660,874 Maximum Public Offering of 15,000,000 Offered Units for Gross Proceeds of $3,000,000 Price: $0.20 per Unit Underwriter(s) or Distributor(s): Leede Jones Gable Inc. Promoter(s): Kevin M. Keough Charles J. Greig P. Alexander Walcott Project #2939482 _______________________________________________ Issuer Name: First Responder Technologies Inc. Principal Regulator - British Columbia Type and Date: Preliminary Long Form Prospectus dated September 18, 2019 NP 11-202 Preliminary Receipt dated September 19, 2019 Offering Price and Description: Minimum Public Offering: $3,500,000.00 / 10,000,000 Units Maximum Public Offering: $7,000,000.00 / 20,000,000 Units Price: C$0.35 per Unit Underwriter(s) or Distributor(s): PI FINANCIAL CORP. Promoter(s): Kulwant Malhi Project #2968468 _______________________________________________ Issuer Name: Franchise Holdings International, Inc. Type and Date: Amended and Restated Preliminary Long Form Prospectus dated September 23, 2019 (Preliminary) Receipted on September 23, 2019 Offering Price and Description: No securities are being offered pursuant to this amended and restated preliminary prospectus. Underwriter(s) or Distributor(s): - Promoter(s): Steven Rossi Project #2934087 _______________________________________________

Issuer Name: Harte Gold Corp. Principal Regulator - Ontario Type and Date: Preliminary Short Form Prospectus dated September 17, 2019 NP 11-202 Preliminary Receipt dated September 17, 2019 Offering Price and Description: $6,000,000.00 - 20,000,000 Flow-Through Shares Price: C$0.30 per Flow-Through Share Underwriter(s) or Distributor(s): ECHELON WEALTH PARTNERS INC. Promoter(s): - Project #2967781 _______________________________________________ Issuer Name: Loblaw Companies Limited Principal Regulator - Ontario Type and Date: Final Shelf Prospectus dated September 19, 2019 NP 11-202 Receipt dated September 20, 2019 Offering Price and Description: $2,000,000,000.00 - Debentures (unsecured) Second Preferred Shares, Common Shares Underwriter(s) or Distributor(s): - Promoter(s): - Project #2963827 _______________________________________________ Issuer Name: Martello Technologies Group Inc. Principal Regulator - Ontario Type and Date: Final Short Form Prospectus dated September 20, 2019 NP 11-202 Receipt dated September 20, 2019 Offering Price and Description: $3,999,999.90.00 - 13,333,333 Common Shares Underwriter(s) or Distributor(s): Canaccord Genuity Corp. CIBC World Markets Inc. PI Financial Corp. Promoter(s): - Project #2966765 _______________________________________________ Issuer Name: Northview Apartment Real Estate Investment Trust Principal Regulator - Alberta Type and Date: Final Shelf Prospectus dated September 20, 2019 NP 11-202 Receipt dated September 20, 2019 Offering Price and Description: $750,000,000.00 - Units, Debt Securities, Subscription Receipts Underwriter(s) or Distributor(s): - Promoter(s): - Project #2966752 _______________________________________________


September 26, 2019

(2019), 42 OSCB 7882

Issuer Name: Royal Nickel Corporation dba as RNC Minerals Principal Regulator - Ontario Type and Date: Final Short Form Prospectus dated September 17, 2019 NP 11-202 Receipt dated September 17, 2019 Offering Price and Description: $18,000,000.00 - 45,000,000 Units Price: C$$0.40 per Offered Unit Underwriter(s) or Distributor(s): HAYWOOD SECURITIES INC. CIBC WORLD MARKETS INC. Promoter(s): - Project #2956735 _______________________________________________ Issuer Name: Titan Medical Inc. Principal Regulator - Ontario Type and Date: Preliminary Short Form Prospectus dated September 23, 2019 NP 11-202 Preliminary Receipt dated September 23, 2019 Offering Price and Description: Minimum: US $18,000,000.00 ([*] Units) Maximum: US $22,000,000.00 ([*] Units) Price: US $[*.**] per Unit Underwriter(s) or Distributor(s): BLOOM BURTON SECURITIES INC. Promoter(s): - Project #2969015 _______________________________________________ Issuer Name: Trisura Group Ltd. Principal Regulator - Ontario Type and Date: Final Short Form Prospectus dated September 18, 2019 NP 11-202 Receipt dated September 18, 2019 Offering Price and Description: $40,022,400.00 - 1,516,000 Common Shares Price: $26.40 per Offered Share Underwriter(s) or Distributor(s): CORMARK SECURITIES INC. BMO NESBITT BURNS INC CIBC WORLD MARKETS INC. GMP SECURITIES L.P. TD SECURITIES INC. BFIN SECURITIES LP NATIONAL BANK FINANCIAL INC. RAYMOND JAMES LTD. RBC DOMINION SECURITIES INC. SCOTIA CAPITAL INC. Promoter(s): - Project #2964797 _______________________________________________

Issuer Name: WeedMD Inc. Principal Regulator - Ontario Type and Date: Final Short Form Prospectus dated September 18, 2019 NP 11-202 Receipt dated September 18, 2019 Offering Price and Description: $12,000,000 8.5% Unsecured Convertible Debenture Units PRICE: $1,000 per Convertible Debenture Unit Underwriter(s) or Distributor(s): MACKIE RESEARCH CAPITAL CORPORATION HAYWOOD SECURITIES INC. Promoter(s): - Project #2966106 _______________________________________________ Issuer Name: Wikileaf Technologies Inc. Principal Regulator - Ontario Type and Date: Final Long Form Prospectus dated September 16, 2019 NP 11-202 Receipt dated September 19, 2019 Offering Price and Description: - Underwriter(s) or Distributor(s): - Promoter(s): Daniel Nelson Manoj Hippola Charles Rifici Project #2922728 _______________________________________________

September 26, 2019

(2019), 42 OSCB 7883

Chapter 12

Registrations 12.1.1 Registrants

Type Company Category of Registration Effective Date

THERE IS NOTHING TO REPORT THIS WEEK.

Registrations

September 26, 2019

(2019), 42 OSCB 7884


September 26, 2019

(2019), 42 OSCB 7885

Chapter 13

SROs, Marketplaces, Clearing Agencies and Trade Repositories

13.1 SROs 13.1.1 MFDA – Continuing Education Requirements for MFDA Members and their Approved Persons – Notice of

Commission Approval

NOTICE OF COMMISSION APPROVAL

MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA)

CONTINUING EDUCATION REQUIREMENTS FOR MFDA MEMBERS AND THEIR APPROVED PERSONS The Ontario Securities Commission (Commission) has approved proposed MFDA Rules 1.2 (Definitions) and 1.2.6 (Continuing Education), and proposed MFDA Policy No. 9 – Continuing Education (CE) Requirements. The rules and policy establish continuing education (CE) requirements for MFDA members and their approved persons, and minimum standards for complying with these requirements to assist approved persons with maintaining high standards of professionalism, and keeping their industry knowledge current. The proposed rules and policy were published for public comment on March 22, 2018. Fifteen comment letters were received. The MFDA has made non-substantive changes to the rules and policy as published in 2018 in response to the comments received. A summary of the public comments and the MFDA’s responses, as well as a blacklined copy of the proposed rules and policy showing changes made to the version published for comment can be found at http://osc.gov.on.ca. The rules and policy will be effective on a date to be subsequently determined by the MFDA. Pursuant to Schedule A, section 12(H) of the MFDA’s current recognition order, the Commission will require that the MFDA provide the following additional reporting relating to the MFDA’s CE Reporting and Tracking System (Tracking System): (1) Prompt notification if and when it becomes evident that the development costs of the Tracking System will materially

exceed the budgeted amount approved by the MFDA’s Board of Directors. (2) Prompt notification if and when it becomes evident that the Tracking System will not become available to intended end

users within the timeline approved by the MFDA’s Board of Directors. (3) On a quarterly basis, details of any outreach which the MFDA has conducted with intended end users (including, but

not limited to, accreditation providers) in regard to the development of the Tracking System. (4) On a biennial basis, a report prepared by a qualified party in accordance with established audit standards which

provides details of a review designed to ensure that the Tracking System has an adequate system of internal controls (including, but not limited to, integration into the MFDA business continuity and disaster recovery plans). The MFDA shall discuss the choice of the qualified party and scope of the review with the Commission before finalizing any engagement.

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; the Office of the Superintendent of Securities, Service Newfoundland and Labrador; and the Prince Edward Island Office of the Superintendent of Securities Office have either not objected to or have approved the rules and policy.

SROs, Marketplaces, Clearing Agencies and Trade Repositories

September 26, 2019

(2019), 42 OSCB 7886

13.2 Marketplaces 13.2.1 Canadian Securities Exchange – System Functionality – Closing Price Session – Notice of Approval

CANADIAN SECURITIES EXCHANGE

NOTICE OF APPROVAL

SYSTEM FUNCTIONALITY – CLOSING PRICE SESSION

In accordance with the Process for the Review and Approval of Rules and the Information Contained in Form 21-101F1 and the Exhibits Thereto, CNSX Markets Inc. (“CSE”) has proposed, and the Ontario Securities Commission has approved significant changes to the CSE trading system. On August 8th, 2019 the CSE published Notice 2019-003 – Amendments to Trading System Functionality & Features – Request for Comment with respect to the introduction of a closing price trading session on the CSE and a related order type, the Closing Price Session Cross. The comment period expired September 10, 2019. CSE did not receive any public comments regarding these proposed changes. IMPLEMENTATION The Closing Price Session will be launched during Q1 2020. Questions about this notice may be directed to: Mark Faulkner, Vice President Listings & Regulation, [email protected], or 416-367-7341

September 26, 2019

(2019), 42 OSCB 7887

Index Ascension Foundation Notice from the Office of the Secretary ..................... 7783 Temporary Order – ss. 127(8), 127(1) ...................... 7810 AUG Enterprises Inc. Notice from the Office of the Secretary ..................... 7783 Temporary Order – ss. 127(8), 127(1) ...................... 7810 Beleave Inc. Cease Trading Order ................................................ 7811 BetterU Education Corp. Cease Trading Order ................................................ 7811 Canadian Securities Exchange Marketplaces – System Functionality – Closing Price Session – Notice of Approval .......................... 7886 CannTrust Holdings Inc. Cease Trading Order ................................................ 7811 CryptoWealth Notice from the Office of the Secretary ..................... 7783 Temporary Order – ss. 127(8), 127(1) ...................... 7810 Cybervision MMX Inc. Notice from the Office of the Secretary ..................... 7783 Temporary Order – ss. 127(8), 127(1) ...................... 7810 Daley, Sean Notice from the Office of the Secretary ..................... 7783 Temporary Order – ss. 127(8), 127(1) ...................... 7810 Digital Consumer Dividend Fund Decision .................................................................... 7799 Driscoll, Sean Notice from the Office of the Secretary ..................... 7783 Order – s. 144 ........................................................... 7809 Emera Incorporated Decision .................................................................... 7793 J.P. Morgan Securities Canada Inc. Decision .................................................................... 7793 Mackenzie China Bond Fund Decision .................................................................... 7785 Mackenzie Financial Corporation Decision .................................................................... 7785 MFDA SROs – Continuing Education Requirements for MFDA Members and their Approved Persons – Notice of Commission Approval ................................ 7885

Ninepoint Partners LP Decision .................................................................... 7789 OTO.Money Notice from the Office of the Secretary .................... 7783 Temporary Order – ss. 127(8), 127(1) ...................... 7810 Performance Sports Group Ltd. Cease Trading Order ................................................ 7811 RBC Dominion Securities Inc. Decision .................................................................... 7793 Royal Bank of Canada Decision .................................................................... 7802 Scotia Capital Inc. Decision .................................................................... 7793 Sentry Investments Inc. Notice from the Office of the Secretary .................... 7783 Order – s. 144 .......................................................... 7809 SilentVault Notice from the Office of the Secretary .................... 7783 Temporary Order – ss. 127(8), 127(1) ...................... 7810 Wealth Distributed Corp. Notice from the Office of the Secretary .................... 7783 Temporary Order – ss. 127(8), 127(1) ...................... 7810 Wilkerson, Kevin Notice from the Office of the Secretary .................... 7783 Temporary Order – ss. 127(8), 127(1) ...................... 7810

Index

September 26, 2019

(2019), 42 OSCB 7888


OSC Bulletin - Westlaw Canada

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