osc bulletin · introduce the crowdfunding regime in ontario and the other participating csa...

The Ontario Securities Commission

OSC Bulletin

November 12, 2015

Volume 38, Issue 45

(2015), 38 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 Carswell, a Thomson Reuters business 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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November 12, 2015 (2015), 38 OSCB

Table of Contents Chapter 1 Notices / News Releases ...................... 9481 1.1 Notices .......................................................... 9481 1.1.1 Exempt Market Review – Backgrounder ........ 9481 1.2 Notices of Hearing ........................................ 9483 1.2.1 Lance Kotton and Titan Equity Group Ltd. – ss. 127(7), 127(8) ....................................... 9483 1.2.2 Eda Marie Agueci – s. 144 ............................. 9484 1.3 Notices of Hearing with Related Statements of Allegations ........................... 9485 1.3.1 Quadrus Investment Services Ltd. – ss. 127(1), 127(2), 127.1 ............................ 9485 1.4 News Releases .............................................. (nil) 1.5 Notices from the Office of the Secretary ............................................ 9488 1.5.1 Majestic Supply Co. Inc. et al. ........................ 9488 1.5.2 Quadrus Investment Services Ltd. ................. 9488 1.5.3 Future Solar Developments Inc. et al. ............ 9489 1.5.4 Future Solar Developments Inc. et al. ........... 9489 1.5.5 Lance Kotton and Titan Equity Group Ltd.................................... 9490 1.5.6 Quadrus Investment Services Ltd. ................. 9490 1.5.7 Eda Marie Agueci et al. .................................. 9491 1.5.8 Blue Gold Holdings Ltd. et al. ......................... 9492 1.6 Notices from the Office of the Secretary with Related Statements of Allegations ............................ (nil) Chapter 2 Decisions, Orders and Rulings ............ 9493 2.1 Decisions ...................................................... 9493 2.1.1 Steadyhand Investment Management Ltd. and Steadyhand Investment Funds Inc. ........ 9493 2.1.2 SilverCrest Mines Inc. – s. 1(10)(a)(ii) ............ 9496 2.1.3 First Asset Investment Management Inc. et al. ......................................................... 9497 2.1.4 Hewlett-Packard Company ............................. 9501 2.1.5 Webtech Wireless Inc. – s. 1(10)(a)(ii) ........... 9504 2.1.6 Hydro One Limited and Hydro One Inc. ........ 9505 2.1.7 First Asset Investment Management Inc. ...... 9508 2.1.8 Boulevard Industrial Real Estate Investment Trust – s. 1(10)(a)(ii) .................... 9511 2.2 Orders............................................................ 9512 2.2.1 Avion Gold Corporation .................................. 9512 2.2.2 Majestic Supply Co. Inc. et al. – Rule 9 of the OSC Rules of Procedure ...................... 9513 2.2.3 Future Solar Developments Inc. et al. – ss. 127(1), 127(8) ....................................... 9514 2.2.4 Future Solar Developments Inc. et al. – ss. 127, 127.1 ............................................. 9515 2.2.5 TeraExchange, LLC – s. 144 .......................... 9517 2.2.6 Lance Kotton and Titan Equity Group Ltd. – ss. 127(1), 127(5) ................................. 9518 2.2.7 Blue Gold Holdings Ltd. et al. – s. 127 ........... 9520 2.3 Orders with Related Settlement Agreements ................................................... 9522 2.3.1 Quadrus Investment Services Ltd. – ss. 127(1), 127(2), 127.1 ............................ 9522 2.4 Rulings ........................................................... (nil)

Chapter 3 Reasons: Decisions, Orders and Rulings .................................................. 9535 3.1 OSC Decisions ............................................... (nil) 3.2 Director’s Decisions .................................... 9535 3.2.1 Cornerstone Asset Management L.P. – s. 31 ........................................................... 9535 3.3 Court Decisions ............................................. (nil) Chapter 4 Cease Trading Orders .......................... 9537 4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders ......................... 9537 4.2.1 Temporary, Permanent & Rescinding Management Cease Trading Orders ............. 9537 4.2.2 Outstanding Management & Insider Cease Trading Orders ................................... 9537 Chapter 5 Rules and Policies .................................. (nil) Chapter 6 Request for Comments .......................... (nil) Chapter 7 Insider Reporting .................................. 9539 Chapter 8 Notice of Exempt Financings............... 9621

Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 .............. 9621

Chapter 9 Legislation ............................................... (nil) Chapter 11 IPOs, New Issues and Secondary Financings ............................................. 9623 Chapter 12 Registrations ......................................... 9633 12.1.1 Registrants ..................................................... 9633 Chapter 13 SROs, Marketplaces,

Clearing Agencies and Trade Repositories ................................. (nil)

13.1 SROs ............................................................... (nil) 13.2 Marketplaces .................................................. (nil) 13.3 Clearing Agencies ......................................... (nil) 13.4 Trade Repositories ........................................ (nil) Chapter 25 Other Information ................................... (nil) Index ............................................................................ 9635

November 12, 2015

(2015), 38 OSCB 9481

Chapter 1

Notices / News Releases 1.1.1 Exempt Market Review – Backgrounder The Exempt Market Review – Backgrounder is reproduced on the following internally numbered pages. Bulletin pagination resumes at the end of the Backgrounder.

Notices / News Releases

November 12, 2015

(2015), 38 OSCB 9482

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Backgrounder Ontario Commission des FOR IMMEDIATE RELEASE Securities valeurs mobilières Commission de l’Ontario November 5, 2015 20 Queen Street West 22nd Floor Toronto, ON M5H 3S8

EXEMPT MARKET REVIEW

As part of its exempt market review, the Ontario Securities Commission (the OSC or we) is involved in several initiatives. On August 28, 2013, we published OSC Notice 45-712 Progress Report on Review of Prospectus Exemptions to Facilitate Capital Raising (the Progress Report). The Progress Report stated that the OSC was directing staff to undertake further work on developing four new capital raising prospectus exemptions for issuers other than investment funds, which included the following:

� a crowdfunding exemption along with regulatory requirements applicable to an online crowdfunding portal (collectively, the crowdfunding regime),

� an offering memorandum exemption (the OM exemption), � a family, friends and business associates exemption (the FFBA exemption), and � an exemption that would permit a reporting issuer to issue securities to its existing security holders in

reliance on the issuer’s continuous disclosure record (the ESH exemption). The Progress Report also indicated that the OSC would work with other Canadian Securities Administrators (CSA) members to see if the existing rights offering exemption available across Canada could be streamlined to improve its efficiency and effectiveness for reporting issuers. Finally, the Progress Report indicated that we intended to pursue further improvements to our data collection on exempt market activity, and planned to publish proposed amendments to Form 45-106F1 Report of Exempt Distribution (Form 45-106F1). The purpose of this backgrounder is to provide an update on the current status of each of these initiatives.

1. New capital raising prospectus exemptions

Overview of new exemptions On March 20, 2014, we published for comment rules that would introduce four new capital raising prospectus exemptions in Ontario:

� the ESH exemption, � the FFBA exemption, � the OM exemption, and � the crowdfunding regime.

The ESH exemption came into force on February 11, 2015. It allows publicly listed issuers on specified Canadian exchanges to cost-effectively raise capital from their existing investors in reliance on the issuer’s continuous disclosure record. The FFBA exemption came into force in Ontario on May 5, 2015. It allows issuers to raise capital from a broader network of close personal friends, family and close business associates. We have worked closely with staff in other CSA jurisdictions in formulating the OM exemption and the crowdfunding regime. The securities regulatory authorities in Alberta, New Brunswick, Quebec and Saskatchewan published for comment proposed amendments to the OM exemption that were similar to the OM exemption that we published for

2

comment. The securities regulatory authorities in Manitoba, New Brunswick, Nova Scotia, Quebec and Saskatchewan also published for comment the crowdfunding regime. The comment period ended on June 18, 2014 and the participating CSA jurisdictions collectively received approximately 1,000 comment letters regarding the OM exemption and approximately 70 comment letters regarding the crowdfunding regime. On October 29, 2015, we published final amendments that would introduce the OM exemption in Ontario and modify the OM exemption that exists in the other participating CSA jurisdictions. Subject to Ministerial approval, the amendments will come into force in Ontario on January 13, 2016. Today, we published final amendments that would introduce the crowdfunding regime in Ontario and the other participating CSA jurisdictions. Subject to Ministerial approval, the amendments will come into force on January 25, 2016. The key elements of the OM exemption and the crowdfunding regime are described below. Exemption Description OM exemption

� The OM exemption will allow businesses to raise capital based on an offering memorandum being made available to investors. The OM exemption will be available for a wide range of businesses at different stages of development.

� The OM exemption incorporates important investor protection measures, including: o requirement that a comprehensive disclosure document, that is subject

to statutory liability if it contains a misrepresentation, be delivered to investors at the point of sale,

o investment limits for investors who are individuals, other than those who would qualify as accredited investors or investors who would qualify to invest under the FFBA exemption, as follows:

o in the case of a purchaser that is not an eligible investor, $10,000 in a 12 month period,

o in the case of a purchaser that is an eligible investor, $30,000 in a 12 month period, and

o in the case of a purchaser that is an eligible investor and that receives advice from a portfolio manager, investment dealer or exempt market dealer that an investment above $30,000 is suitable, up to $100,000 in a 12 month period,

o requirements to provide investors with audited annual financial statements, annual notice regarding the use of the proceeds raised under the exemption and notice in the event of a discontinuation of the issuer’s business, a change in the issuer’s industry or a change of control of the issuer, and

o requirement for investors to sign a risk acknowledgement form

highlighting the key risks associated with the investment, which includes schedules to be completed by individual investors that require them to confirm they are investing within the investment limits, where applicable.

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Exemption Description Crowdfunding regime

� The crowdfunding regime will allow businesses to raise capital from a potentially large number of investors through an online portal registered with the securities regulatory authorities. Businesses could raise up to $1.5 million during a 12 month period. The crowdfunding regime is aimed primarily at start-ups and small- and medium-sized enterprises based in Canada.

� The crowdfunding regime incorporates important investor protection measures, including:

o investors will be subject to the following limits:

� in the case of an investor that does not qualify as an accredited investor:

o $2,500 per investment, and o in Ontario only, an annual limit of $10,000, and

� in the case of an accredited investor: o $25,000 per investment, o in Ontario only, an annual limit of $50,000, and o in Ontario only, no investment limits for a permitted client

(e.g., an individual with net financial assets exceeding $5 million).

o requirements to provide investors with annual financial statements, annual notice regarding the use of the proceeds raised under the exemption and notice in the event of a discontinuation of the issuer’s business, a change in the issuer’s industry or a change of control of the issuer,

o requirement for investors to sign a risk acknowledgement form

highlighting the key risks associated with the investment and which requires investors to confirm that they have understood the risk warnings and the information in the crowdfunding offering document,

o requirement that all investments be made through a single registered

crowdfunding portal that is unrelated to the issuer,

o funding portals must fulfill certain gatekeeper responsibilities prior to allowing an issuer access to its online platform, including reviewing the issuer’s disclosure in the crowdfunding offering document and other permitted materials for completeness, accuracy and any misleading statements, and

o funding portals must review information and obtain background checks on the issuer and its principals, and deny an issuer access to the funding portal in certain circumstances.

For further information on the OM exemption, please see the Notice of Amendments published on October 29, 2015: https://www.osc.gov.on.ca/en/SecuritiesLaw_ni_20151029_45-106_amendments.htm For further information on the crowdfunding regime, please see the Notice of Amendments published on November 5, 2015: http://www.osc.gov.on.ca/en/SecuritiesLaw_csa_20151105_45-108_multilateral-crowdfunding.htm Intermediaries in the exempt market We have seen a number of intermediaries applying to register as dealers that plan to operate online platforms in reliance on the new prospectus exemptions in Ontario. These online platforms can vary from platforms that facilitate private placements to accredited investors, to platforms that offer secondary market trading and co-investing

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opportunities. We continue to support innovative technology developed by industry that can benefit both issuers and investors. We remind intermediaries that plan to operate an online portal in Ontario that they must comply with applicable securities legislation, including registration prior to conducting business in Ontario. It is important to remember that registration is a separate requirement and the availability of a prospectus exemption to distribute securities does not mean there is a corresponding registration exemption. Compliance and oversight program As a broader group of retail investors will be able to access the exempt market through the OM exemption and the crowdfunding regime, the OSC is developing a compliance and oversight program to monitor distributions under these new capital raising tools. This program will have three main elements:

� assessing compliance, � enhancing awareness, and � gathering data to support the first two activities.

2. Modification to existing rights offering prospectus exemption

On November 27, 2014, the CSA published proposed amendments intended to streamline the existing rights offering prospectus exemption for non-investment fund reporting issuers and reduce the time and cost that have been noted as barriers to the use of this exemption. The comment period ended on February 25, 2015. Final amendments were published on September 24, 2015 and subject to Ministerial approval, will come into force on December 8, 2015. The amendments address investor protection concerns as well as concerns regarding compliance. The amendments include:

� removing the current regulatory review process prior to the use of the exemption, � increasing investor protection through the addition of civil liability for secondary market disclosure, � introducing a user-friendly form of rights offering circular, � introducing a new notice that reporting issuers must file on SEDAR and send to security holders informing

them about how to access the rights offering circular electronically, and � increasing the dilution limit from 25% to 100%.

The amendments also repeal the exemption for non-reporting issuers. For further information, please see the Notice of Amendments published on September 24, 2015: https://www.osc.gov.on.ca/en/SecuritiesLaw_ni_20150924_45-106_amd-rights-offerings.htm

3. Proposed report of exempt distribution

On March 20, 2014, we published two proposed new reports of exempt distribution for use in Ontario and certain other jurisdictions. The comment period ended on June 18, 2014. We received several comments regarding the need to harmonize the report of exempt distribution across the CSA. The report of exempt distribution is now being considered as a separate CSA initiative and we are working with CSA members to harmonize exempt distribution reporting requirements. This initiative aims to:

� reduce the compliance burden for issuers and underwriters by having a harmonized report of exempt distribution, and

� provide securities regulators with the necessary information to facilitate more effective regulatory oversight of the exempt market and improve analysis for policy development purposes.

As part of this initiative, the CSA published for comment a proposed harmonized report of exempt distribution on August 13, 2015. The comment period ended on October 13, 2015 and we received 18 comment letters. We are

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currently reviewing the comments and working with the CSA to develop final amendments to the report of exempt distribution. We continue to require issuers to file a Form 45-106F1 Report of Exempt Distribution, as is currently required for distributions in CSA jurisdictions other than British Columbia. In British Columbia, issuers are generally required to file Form 45-106F6 British Columbia Report of Exempt Distribution. For further information, please see the Notice and Request for Comment published on August 13, 2015: https://www.osc.gov.on.ca/documents/en/Securities-Category4/rule_20150812_45-501_exempt-distribution.pdf

4. Exempt market activity in Ontario

The exempt market continues to be an important part of Ontario’s capital markets. In 2014, non-investment fund issuers raised approximately $41 billion through prospectus-exempt distributions in Ontario through approximately 22,000 purchases made by Ontario residents. For these non-investment fund issuers:

� The accredited investor exemption was the most widely used prospectus exemption in Ontario. In 2014 it represented 92% of the capital raised, 74% of filings and almost two thirds of purchases.

� The minimum amount investment exemption was the second most used prospectus exemption by number of filings and amount raised.

� Although equity securities represented close to two thirds of purchases and filings, debt-related securities raised a larger proportion of capital (approximately 68%).

� While the majority of issuers that participate in the exempt market are non-financial issuers, on average financial issuers raised significantly more per offering from a smaller pool of investors. Examples of financial issuers include private equity firms, consumer credit securitization vehicles, banks, mortgage investment entities and insurance firms.

� Issuers in the energy and materials industry group were the most active group of non-financial issuers in the exempt market.

� Only about a quarter of the capital raised was by reporting issuers. � Among filings by non-reporting issuers, only about half were from issuers that were headquartered in

Canada. � A large proportion of exempt market activity by number of filings and purchases involved issuers that raised

under $1.5 million. However, these accounted for less than 2% of the total capital raised. A more detailed overview of exempt market activity in Ontario can be found at Appendix A.

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APPENDIX A

2014 EXEMPT MARKET ACTIVITY

Overview This appendix provides a snapshot of 2014 activity in Ontario’s prospectus-exempt market (the exempt market). The data contained in this appendix is based on information collected from reports filed with the OSC on Form 45-106F1 Report of Exempt Distributions (Form 45-106F1),1 which must be filed by issuers who rely on certain prospectus exemptions to distribute securities and includes information about the issuer and details of the distribution.2 Prospectus exemptions are available to a wide range of issuers, including reporting and non-reporting issuers and issuers at varying stages of development, provided they meet the requirements of the exemption they are seeking to rely on.

2014 Exempt Market Activity in Ontario

During 2014, issuers raised a total of $121 billion through prospectus-exempt distributions in Ontario. Approximately 67% or $80 billion of this total represented gross flows to investment companies and funds.3 The remaining $41 billion represented capital raised by non-investment fund issuers over 3,800 filings and involving 22,000 purchases by Ontario investors.4

FFigure 1

Comparison of Non-Investment Fund Flows with Previous Years

Overall activity for non-investment fund issuers in 2014 dropped slightly compared to the previous two years. We note that comparisons at this aggregate level are challenging given that both exogenous (e.g., local and foreign macro-economic climate) and endogenous (e.g., industry or policy specific) factors influence capital raising activity.

Figure 2

1 The data only covers reports on Form 45-106F1 that were electronically submitted through the OSC’s e-form from January 1, 2014 to August 31, 2015. 2 As only specified prospectus exemptions trigger a requirement to file a report, the data presented in this appendix does not capture all exempt market activity. See Part 6 of National Instrument 45-106 Prospectus Exemptions for more information on which exemptions must be reported on Form 45-106F1. We also note that this data reflects distributions to both individual and institutional investors under the applicable exemptions. 3 Issuers are only required to report gross inflows/sales and not redemptions. As most investment fund issuers are in continuous distribution and redemption throughout the year, the net flows or net sales for investment fund issuers will be lower than the amount indicated and could be negative if redemptions exceed sales over the same period. 4 The aggregated purchases figure only reflects total transactions by Ontario investors and does not represent the total number of unique investors that participated.

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Non-Investment Fund Issuers The following charts and tables provide a more detailed analysis of exempt market activity in 2014 by non-investment fund issuers.

Use of Exemptions

The accredited investor exemption remained the most relied upon prospectus exemption by capital raised (92%), filings (74%) and purchases (64%) in 2014.5 The second most commonly used exemption by number of filings and amount raised was the minimum amount investment exemption. Approximately 21% of filings reported distributions made in reliance on more than one prospectus exemption and the majority (99%) of these filings included the accredited investor exemption in addition to other prospectus exemptions.

FFigure 3

Types of Securities Distributed

Although equity securities represented close to two thirds of all purchases and filings, debt securities raised a larger proportion of capital (approximately 68%). Debt offerings are typically larger in size than equity offerings in both the private and public markets. Less than 5% of filings or amounts raised involved the distribution of warrants, subscription receipts or other types of securities.6 Filings which reported the distribution of more than one type of security represented only 5% of filings.

Figure 4

5 This number is likely higher given that among filings that indicated the use of multiple exemptions, 99% of them relied on the accredited investor exemption in addition to other exemptions. 6 Warrants, options, subscription receipts, other rights and securities that do not represent an equity interest or debt obligation of the issuer are categorized in the “Other” category in Figure 4.

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Financial Issuers vs Non-Financial Issuers

In close to 40% of filings, issuers selected “Other” for their industry category and provided a brief description of their business. These descriptions were reviewed to assign issuers across several broad industry categories as indicated in the charts below.7 Non-financial issuers represent the bulk of issuers that participate in the exempt market, however, on average financial issuers raised significantly more per offering from a smaller pool of investors than their non-financial peers.

FFigure 5

Non-Financial Industry Groups

Among non-financial issuers, issuers in the energy and materials group were the most active by amount raised, filings and number of purchases.

Figure 6

Reporting Issuer Status

Only about one quarter of capital raised by non-investment fund issuers in 2014 was raised by reporting issuers. Non-reporting issuers represented the majority of issuers filing reports of exempt distribution with the OSC but this was more prominent among financial issuers (84%) than non-financial issuers (56%). Over half of the filings from non-financial reporting issuers involved issuers that were listed on the TSX Venture Exchange.

Figure 7

7 For the purposes of this analysis, OSC staff made a best efforts attempt to assign appropriate industry groupings to issuers that selected “Other”. It should be noted that the groupings were not confirmed by issuers.

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Issuer Country

Issuers headquartered outside of Canada represented 50% of filings by financial issuers in 2014. The majority of these foreign issuers are US-based. In 2014, US-based issuers accounted for just over 20% of filings and more than one third of the capital raised in Ontario.

FFigure 8

Amount Raised Per Filing

A large proportion of exempt market activity involved issuers that raised under $1.5 million. Distributions of under $1.5 million per filing represented over 60% of filings and close to 40% of purchases by Ontario investors in 2014. However, they only accounted for less than 2% of the total capital raised in 2014. Larger distributions (>$100 million per filing) represented over 50% of the total capital raised but included less than 3% of filings and involved under 10% of purchases in 2014.

Figure 9


November 12, 2015

(2015), 38 OSCB 9483

1.2 Notices of Hearing 1.2.1 Lance Kotton and Titan Equity Group Ltd. – ss. 127(7), 127(8)

IN THE MATTER OF THE SECURITIES ACT,

R.S.O. 1990, c. S.5, AS AMENDED

AND

IN THE MATTER OF LANCE KOTTON and TITAN EQUITY GROUP LTD.

NOTICE OF HEARING

(Subsections 127(7) and 127(8) of the Securities Act) WHEREAS on November 6, 2015, the Ontario Securities Commission (the “Commission”) issued a temporary order (the “Temporary Order”) pursuant to subsections 127(1) and 127(5) of the Securities Act, R.S.O. 1990, c. S.5, as amended (the “Act”) ordering the following:

1. pursuant to clause 2 of subsection 127(1), trading in any securities by Lance Kotton (“Kotton”) and Titan Equity Group Ltd. (“TEG”) TEG shall cease;

2. pursuant to clause 3 of subsection 127(1), any exemptions contained in Ontario securities law do not apply to

Kotton or TEG; and 3. pursuant to subsection 127(6) of the Act, this Order shall take effect immediately and shall expire on the 15th

day after its making unless extended by the Commission; TAKE NOTICE THAT the Commission will hold a Hearing (the “Hearing”) pursuant to subsections 127(7) and (8) of the Act at the offices of the Commission at 20 Queen Street West, 17th Floor Hearing Room, in the City of Toronto, on November 19 , 2015 at 10:00 a.m. or as soon thereafter as the Hearing can be held; TO CONSIDER whether it is in the public interest for the Commission:

1. to extend the Temporary Order pursuant to subsections 127(7) and 127(8) of the Act until the conclusion of hearing or until such further time as considered necessary by the Commission; and

2. to make such further orders as the Commission considers appropriate;

BY REASON OF the facts recited in the Temporary Order and of such allegations and evidence as counsel may advise and the Commission may permit; AND TAKE FURTHER NOTICE that any party to the proceeding may be represented by counsel at the Hearing; AND TAKE FURTHER NOTICE that upon failure of any party to attend at the time and place aforesaid, the Hearing may proceed in the absence of that party and such party is not entitled to further notice of the proceeding; AND TAKE FURTHER NOTICE that the Notice of Hearing is also available in French, participation may be in either French or English and participants must notify the Secretary’s Office in writing as soon as possible, and in any event, at least thirty (30) days before a hearing if the participant is requesting a proceeding to be conducted wholly or partly in French; and ET AVIS EST ÉGALEMENT DONNÉ PAR LA PRÉSENTE que l'avis d'audience est disponible en français, que la participation à l'audience peut se faire en français ou en anglais et que les participants doivent aviser le Bureau du secrétaire par écrit le plus tôt possible et, dans tous les cas, au moins trente (30) jours avant l'audience si le participant demande qu'une instance soit tenue entièrement ou partiellement en français. DATED at Toronto, this 9th day of November, 2015. “Josée Turcotte”


November 12, 2015

(2015), 38 OSCB 9484

1.2.2 Eda Marie Agueci – s. 144



AND

IN THE MATTER OF EDA MARIE AGUECI, DENNIS WING, SANTO IACONO, JOSEPHINE RAPONI,

KIMBERLEY STEPHANY, HENRY FIORILLO, GIUSEPPE (JOSEPH) FIORINI, JOHN SERPA, IAN TELFER, JACOB GORNITZKI and POLLEN SERVICES LIMITED

NOTICE OF HEARING

(Section 144) WHEREAS on February 7, 2012, the Ontario Securities Commission (the “Commission”) issued a Notice of Hearing pursuant to sections 127 and 127.1 of the Securities Act, R.S.O. 1990, c. S.5, as amended (the “Act”) in connection with a Statement of Allegations filed by Staff of the Commission (“Staff”) on the same date against Eda Marie Agueci (“Agueci”), Dennis Wing (“Wing”), Santo Iacono, Josephine Raponi, Kimberley Stephany (“Stephany”), Henry Fiorillo (“Fiorillo”), Giuseppe (Joseph) Fiorini, John Serpa, Jacob Gorntizki, Pollen Services Limited (“Pollen”), and Ian Telfer; WHEREAS on September 26, 2013, Staff filed an Amended Statement of Allegations; WHEREAS on February 11, 2015, following a hearing on the merits, the Commission issued its Reasons and Decision with respect to the merits, including findings against Agueci, Wing, Stephany, Fiorillo and Pollen (the “Respondents”) (Re Eda Marie Agueci et al. (2015), 38 O.S.C.B. 1573); WHEREAS on June 24, 2015, the Commission made an order under sections 127 and 127.1 of the Act related to sanctions and costs against the Respondents (the “Sanctions and Costs Order”); TAKE NOTICE that the Commission will hold a hearing to consider whether it is in the public interest for the Commission to vary the Sanctions and Costs Order pursuant to section 144 of the Act and to make such further orders as the Commission considers appropriate; BY REASON OF the application dated November 4, 2015 filed by Staff with the Secretary’s Office of the Commission requesting a variation to the Sanctions and Costs Order, pursuant to section 144 of the Act, to allow Agueci to liquidate certain securities for the purpose of directing payment to the Commission in compliance with the Sanctions and Costs Order; AND TAKE FURTHER NOTICE that Staff requested that the application proceed by written hearing, in accordance with Rule 15.5 of the Commission’s Rules of Procedure (2014), 37 OSCB 4168, as the parties have consented to the variation sought to the order; AND TAKE FURTHER TAKE NOTICE that any party to the proceedings may be represented by counsel if he or she attends or submits evidence for the hearing; AND TAKE FURTHER NOTICE that upon failure of any party to attend at the time and place set for the hearing, the hearing may proceed in the absence of that party and the party is not entitled to any further notice of the proceeding; AND TAKE FURTHER NOTICE that the Notice of Hearing is also available in French, participation may be in either French or English and participants must notify the Secretary’s Office in writing as soon as possible, and in any event, at least thirty (30) days before a hearing if the participant is requesting a proceeding to be conducted wholly or partly in French; and ET AVIS EST ÉGALEMENT DONNÉ PAR LA PRÉSENTE que l'avis d'audience est disponible en français, que la participation à l'audience peut se faire en français ou en anglais et que les participants doivent aviser le Bureau du secrétaire par écrit le plut tôt possible et, dans tous les cas, au moins trente (30) jours avant l'audience si le participant demande qu'une instance soit tenue entièrement ou partiellement en français. DATED at Toronto, November 9, 2015. “Josée Turcotte” Secretary to the Commission


November 12, 2015

(2015), 38 OSCB 9485

1.3 Notices of Hearing with Related Statements of Allegations 1.3.1 Quadrus Investment Services Ltd. – ss. 127(1), 127(2), 127.1



AND

IN THE MATTER OF QUADRUS INVESTMENT SERVICES LTD.

NOTICE OF HEARING

(Subsections 127(1) and 127(2) and section 127.1) TAKE NOTICE THAT the Ontario Securities Commission (the “Commission”) will hold a hearing pursuant to subsections 127(1) and 127(2) and section 127.1 of the Securities Act, R.S.O. 1990, c. S.5, as amended (the “Act”) at the offices of the Commission located at 20 Queen Street West, 17th Floor, on November 10, 2015 at 11:00 a.m. or as soon thereafter as the hearing can be held; AND TAKE NOTICE that the purpose of the hearing is for the Commission to consider whether it is in the public interest to approve the Settlement Agreement dated November 6, 2015, on a no-contest basis, between Staff of the Commission and Quadrus Investment Services Ltd.; BY REASON OF the allegations set out in the Statement of Allegations dated November 6, 2015 and such additional allegations as counsel may advise and the Commission may permit; AND TAKE FURTHER NOTICE that any party to the proceedings may be represented by counsel at the hearing; AND TAKE FURTHER NOTICE that upon failure of any party to attend at the time and place aforesaid, the hearing may proceed in the absence of that party and such party is not entitled to any further notice of the proceeding; AND TAKE FURTHER NOTICE that the Notice of Hearing is also available in French, participation may be in either French or English and participants must notify the Secretary’s Office in writing as soon as possible, and in any event, at least thirty (30) days before a hearing if the participant is requesting a proceeding to be conducted wholly or partly in French; and ET AVIS EST ÉGALEMENT DONNÉ PAR LA PRÉSENTE que l'avis d'audience est disponible en français, que la participation à l'audience peut se faire en français ou en anglais et que les participants doivent aviser le Bureau du secrétaire par écrit le plut tôt possible et, dans tous les cas, au moins trente (30) jours avant l'audience si le participant demande qu'une instance soit tenue entièrement ou partiellement en français. DATED at Toronto this 6th day November, 2015. “Josée Turcotte” Secretary to the Commission


November 12, 2015

(2015), 38 OSCB 9486



AND


STATEMENT OF ALLEGATIONS OF

STAFF OF THE ONTARIO SECURITIES COMMISSION

Staff (“Staff”) of the Ontario Securities Commission (the “Commission”) make the following allegations: I. THE RESPONDENT 1. Quadrus Investment Services Ltd. (“Quadrus”) is a corporation incorporated pursuant to the laws of Ontario. Quadrus

is a member of the Mutual Fund Dealers Association of Canada (“MFDA”) and is registered with the Commission as a dealer in the category of mutual fund dealer.

II. BACKGROUND 2. In February 2015, Quadrus self-reported a matter to Staff and Staff of the MFDA relating to the Quadrus Group of

Funds (the “Quadrus Funds”), which resulted in certain eligible clients indirectly paying excess fees. The Quadrus Funds are managed by Mackenzie Financial Corporation and are exclusively available through Quadrus.

3. When it reported the matter to Staff, Quadrus advised Staff that:

a. Quadrus intended to pay appropriate compensation to clients and former clients; and b. Quadrus had begun taking corrective action, including implementing additional controls and supervision to

prevent the re-occurrence of the matter in the future. III. QUADRUS’ CONDUCT 4. The Quadrus Funds are available in different series of securities. The Management Expense Ratio (“MER”) differs for

each series of securities of the same mutual fund, with the MER being lower for series of securities with higher minimum investment thresholds (the “L Series”).

5. Beginning in 2011, certain eligible Quadrus clients were not advised that they qualified for the L Series securities and,

as a result, indirectly paid excess fees when they invested in the higher MER retail series of securities of the same Quadrus Fund.

6. There were inadequacies in Quadrus’ systems of controls and supervision which formed part of its compliance

systems, which resulted in eligible clients not being advised that they qualified for the L Series, and resulted in those clients indirectly paying excess fees that were not detected or corrected by Quadrus in a timely manner (the “MER Control and Supervision Inadequacy”).

IV. BREACH OF ONTARIO SECURITIES LAW AND CONDUCT CONTRARY TO THE PUBLIC INTEREST 7. With respect to the MER Control and Supervision Inadequacy, Quadrus failed to establish, maintain and apply

procedures to establish controls and supervision: a. sufficient to provide reasonable assurance that Quadrus, and each individual acting on behalf of Quadrus,

complied with securities legislation, including the requirement to deal fairly with clients with regard to fees; and b. that were reasonably likely to identify the non-compliance described in a. above at an early stage and that

would have allowed Quadrus to correct the non-compliant conduct in a timely manner.

8. As a result, the MER Control and Supervision Inadequacy constituted a breach of section 11.1 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations.


November 12, 2015

(2015), 38 OSCB 9487

9. The failure in Quadrus’ systems of controls and supervision associated with the MER Control and Supervision Inadequacy was contrary to the public interest.

10. Staff reserve the right to make such other allegations as Staff may advise and the Commission may permit. DATED at Toronto, this 6th day November, 2015.


November 12, 2015

(2015), 38 OSCB 9488

1.5 Notices from the Office of the Secretary 1.5.1 Majestic Supply Co. Inc. et al.

FOR IMMEDIATE RELEASE November 4, 2015

IN THE MATTER OF

THE SECURITIES ACT, R.S.O. 1990, c. S.5, AS AMENDED

AND

IN THE MATTER OF

MAJESTIC SUPPLY CO. INC., SUNCASTLE DEVELOPMENTS CORPORATION,

HERBERT ADAMS, STEVE BISHOP, MARY KRICFALUSI, KEVIN LOMAN AND

CBK ENTERPRISES INC. TORONTO – The Commission issued an Order in the above named matter which provides that the Hearing is adjourned to November 24, 2015 at 1:30 p.m., or to such other date as directed by the Office of the Secretary. A copy of the Order dated October 30, 2015 is available at www.osc.gov.on.ca. OFFICE OF THE SECRETARY JOSÉE TURCOTTE SECRETARY For media inquiries: [email protected] For investor inquiries: OSC Contact Centre 416-593-8314 1-877-785-1555 (Toll Free)

1.5.2 Quadrus Investment Services Ltd.


IN THE MATTER OF


AND

IN THE MATTER OF

QUADRUS INVESTMENT SERVICES LTD. TORONTO – The Office of the Secretary issued a Notice of Hearing to consider whether it is in the public interest to approve the Settlement Agreement dated November 6, 2015, on a no-contest basis, between Staff of the Commission and Quadrus Investment Services Ltd. The hearing pursuant to subsections 127(1) and 127(2) and section 127.1 of the Securities Act, R.S.O. 1990, c. S.5, as amended (the “Act”) will be held at the offices of the Commission located at 20 Queen Street West, 17th Floor, on November 10, 2015 at 11:00 a.m. A copy of the Notice of Hearing dated November 6, 2015 and Statement of Allegations of Staff of the Ontario Securities Commission dated November 6, 2015 are available at www.osc.gov.on.ca. OFFICE OF THE SECRETARY JOSÉE TURCOTTE SECRETARY For media inquiries: [email protected] For investor inquiries: OSC Contact Centre 416-593-8314 1-877-785-1555 (Toll Free)


November 12, 2015

(2015), 38 OSCB 9489

1.5.3 Future Solar Developments Inc. et al.


IN THE MATTER OF


AND

IN THE MATTER OF

FUTURE SOLAR DEVELOPMENTS INC., CENITH ENERGY CORPORATION, CENITH AIR INC.,

ANGEL IMMIGRATION INC. and XUNDONG QIN also known as SAM QIN

TORONTO – The Commission issued an Order in the above named matter which provides that:

1. pursuant to subsections 127(1) and 127(8) of the Act, the Temporary Order is extended until December 4, 2015, or until further order of the Commission; and

2. the hearing of this matter is adjourned

until December 2, 2015 at 9:30 a.m., or on such other date and time as provided by the Office of the Secretary and agreed to by the parties.

A copy of the Temporary Order dated October 30, 2015 is available at www.osc.gov.on.ca. OFFICE OF THE SECRETARY JOSÉE TURCOTTE SECRETARY For media inquiries: [email protected] For investor inquiries: OSC Contact Centre 416-593-8314 1-877-785-1555 (Toll Free)

1.5.4 Future Solar Developments Inc. et al.


IN THE MATTER OF


AND

IN THE MATTER OF




1. the Third Appearance in this matter is adjourned to December 2, 2015 at 9:30 a.m. or on such other date and time as provided by the Office of the Secretary and agreed to by the parties.

A copy of the Order dated October 30, 2015 is available at www.osc.gov.on.ca. OFFICE OF THE SECRETARY JOSÉE TURCOTTE SECRETARY For media inquiries: [email protected] For investor inquiries: OSC Contact Centre 416-593-8314 1-877-785-1555 (Toll Free)


November 12, 2015

(2015), 38 OSCB 9490

1.5.5 Lance Kotton and Titan Equity Group Ltd.


IN THE MATTER OF


AND

IN THE MATTER OF

LANCE KOTTON and TITAN EQUITY GROUP LTD. TORONTO – The Office of the Secretary issued a Notice of Hearing setting the matter down to be heard on November 19, 2015 at 10:00 a.m. to consider whether it is in the public interest for the Commission:

(1) to extend the Temporary Order pursuant to subsections 127(7) and (8) of the Act until the conclusion of the hearing, or until such further time as considered necessary by the Commission; and

(2) to make such further orders as the

Commission considers appropriate. A copy of the Notice of Hearing dated November 9, 2015 and Temporary Order dated November 6, 2015 are available at www.osc.gov.on.ca. OFFICE OF THE SECRETARY JOSÉE TURCOTTE SECRETARY For media inquiries: [email protected] For investor inquiries: OSC Contact Centre 416-593-8314 1-877-785-1555 (Toll Free)

1.5.6 Quadrus Investment Services Ltd.


IN THE MATTER OF


AND

IN THE MATTER OF

QUADRUS INVESTMENT SERVICES LTD. TORONTO – Following a hearing held today, the Commission issued an Order in the above named matter approving the Settlement Agreement reached between Staff of the Commission and Quadrus Investment Services Ltd. A copy of the Order dated November 10, 2015 and Settlement Agreement dated November 6, 2015 are available at www.osc.gov.on.ca. OFFICE OF THE SECRETARY JOSÉE TURCOTTE SECRETARY For media inquiries: [email protected] For investor inquiries: OSC Contact Centre 416-593-8314 1-877-785-1555 (Toll Free)


November 12, 2015

(2015), 38 OSCB 9491

1.5.7 Eda Marie Agueci et al.


IN THE MATTER OF


AND

IN THE MATTER OF

EDA MARIE AGUECI, DENNIS WING, SANTO IACONO, JOSEPHINE RAPONI, KIMBERLEY STEPHANY,

HENRY FIORILLO, GIUSEPPE (JOSEPH) FIORINI, JOHN SERPA, IAN TELFER, JACOB GORNITZKI

and POLLEN SERVICES LIMITED TORONTO – The Commission issued a Notice of Hearing in the above named matter to consider whether it is in the public interest to vary the Sanctions and Costs Order pursuant to section 144 of the Act and to make such further orders as the Commission considers appropriate. A copy of the Notice of Hearing dated November 9, 2015 is available at www.osc.gov.on.ca. OFFICE OF THE SECRETARY JOSÉE TURCOTTE SECRETARY For media inquiries: [email protected] For investor inquiries: OSC Contact Centre 416-593-8314 1-877-785-1555 (Toll Free)


November 12, 2015

(2015), 38 OSCB 9492

1.5.8 Blue Gold Holdings Ltd. et al.


IN THE MATTER OF


AND

IN THE MATTER OF

BLUE GOLD HOLDINGS LTD., DEREK BLACKBURN, RAJ KURICHH AND NIGEL GREENING


1. This matter is adjourned to a confidential pre-hearing conference on January 22, 2016, at 9:00 a.m.; 2. By November 16, 2015 counsel for Kurichh will file and serve on each party a notice of motion accompanied

by a motion record, in respect of the Disclosure Motion; 3. The Disclosure Motion shall be heard on January 8, 2016 at 10:00 a.m.; and 4. By January 15, 2016, the Participating Respondents will:

a. serve on Staff and the other Participating Respondent copies of all documents that the Participating Respondent intends to produce or enter as evidence at the hearing on the merits; and

b. serve on Staff and the other Participating Respondent summaries of the evidence that the

Participating Respondent’s witnesses are expected to give at the hearing.

A copy of the Order dated November 4, 2015 is available at www.osc.gov.on.ca. OFFICE OF THE SECRETARY JOSÉE TURCOTTE SECRETARY For media inquiries: [email protected] For investor inquiries: OSC Contact Centre 416-593-8314 1-877-785-1555 (Toll Free)

November 12, 2015

(2015), 38 OSCB 9493

Chapter 2

Decisions, Orders and Rulings 2.1 Decisions 2.1.1 Steadyhand Investment Management Ltd. and Steadyhand Investment Funds Inc. Headnote Under paragraph 4.1(1)(b) of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations a firm registered in any jurisdiction of Canada must not permit an individual to act as a dealing, advising or associate advising representative of the registered firm if the individual is registered as a dealing, advising or associate advising representative of another firm registered in any jurisdiction of Canada. A registered firm wants to permit an individual to act as a dealing, advising or associate advising representative where the individual is registered as a dealing, advising or associate advising representative of another registered firm – The registered firms are affiliated entities and have valid business reasons for the individuals to be registered with both firms. The individuals will have sufficient time to adequately serve both firms. The firms have policies and procedures in place to manage potential conflicts of interest. The firms are able to deal with any potential conflicts, including by supervising how the individual will deal with these conflicts. The registered firms are exempted from the prohibition. Applicable Legislative Provisions National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, ss. 4.1, 13.4, 15.1. National Instrument 81-107 Independent Review Committee for Investment Funds.

October 30, 2015

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

(the Jurisdictions)

AND

IN THE MATTER OF THE PROCESS FOR EXEMPTIVE RELIEF APPLICATIONS IN MULTIPLE JURISDICTIONS

AND

IN THE MATTER OF

STEADYHAND INVESTMENT MANAGEMENT LTD. (Steadyhand)

AND

STEADYHAND INVESTMENT FUNDS INC.

(SIFI and together with Steadyhand, the Filers)

DECISION

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

from the Filers for a decision under the securities legislation of the Jurisdictions (the Legislation) for relief from the restriction in paragraph 4.1(1)(b) of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103), pursuant to section 15.1 of NI 31-103, to permit an individual (the Representative) to be registered as both an advising representative of Steadyhand and a dealing representative of SIFI (Relief Sought).

Decisions, Orders and Rulings

November 12, 2015

(2015), 38 OSCB 9494

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

(a) the British Columbia Securities Commission (BCSC) is the principal regulator for this application; and (b) the decision is the decision of the principal regulator and evidences the decision of the securities

regulatory authority or regulator in Ontario.

Interpretation 2 Terms defined in National Instrument 14-101 Definitions, Multilateral Instrument 11-102 Passport System and NI 31-

103 have the same meaning if used in this decision, unless otherwise defined. Representations 3 This decision is based on the following facts represented by the Filers:

1. The Filers are both corporations governed by the Canada Business Corporations Act. 2. Steadyhand is registered in the categories of investment fund manager and portfolio manager with the

securities regulatory authorities in British Columbia and Ontario. SIFI is an affiliate of Steadyhand and is registered as a mutual fund dealer with the securities regulatory authorities in British Columbia, Alberta, Saskatchewan, Manitoba and Ontario and is a member of the Mutual Fund Dealers Association (MFDA).

3. the principal regulator of the Filers is the BCSC because the Filers' head offices are located in British

Columbia. 4. The Filers are not in default of securities legislation in any jurisdiction of Canada. 5. Steadyhand is the manager of the Steadyhand Savings Fund, Steadyhand Income Fund, Steadyhand

Founders Fund, Steadyhand Equity Fund, Steadyhand Global Equity Fund and Steadyhand Small-Cap Equity Fund (together, the Steadyhand Funds), a family of mutual funds distributed pursuant to a simplified prospectus. Steadyhand is the portfolio manager for the Steadyhand Founders Fund, a fund of funds which invests using the other five Steadyhand Funds (all managed by sub-advisors). Steadyhand is registered as a portfolio manager under securities laws to facilitate acting as an investment fund manager, and has no intention to provide discretionary client services.

6. SIFI is relying on approval granted by the MFDA, subject to certain terms and conditions, for the

Representative to be registered as a dealing representative of SIFI. 7. SIFT is the principal distributor of the Steadyhand Funds. 8. The Representative is currently registered as an advising representative (portfolio manager) of Steadyhand in

British Columbia and Ontario, and he intends to also be registered as a dealing representative (mutual fund dealer) of SIFI in British Columbia and Ontario.

9. The Representative, in his role as advising representative of Steadyhand, only conducts portfolio

management duties for the Steadyhand Founders Fund. The Representative also assists with the oversight of the sub-advisors for the other Steadyhand Funds. The Representative does not advise any other clients, including members of the public, in this role. The Representative's portfolio management duties are almost exclusively research and analysis, and the only instances he might engage in any manner of trading or securities-related business is when he determines the asset mix of the Steadyhand Founders Fund and reviews and approves funding allocations of this fund (the Representative does not make any trades on behalf of the Steadyhand Funds).

10. The Representative, in his role as dealing representative of SIFI, will not engage in any discretionary trading

or otherwise have any discretionary authority in his capacity as dealing representative of SIFI. The Representative's primary duties will include client contact (including answering questions, seeking feedback, and following up on unresolved issues); maintaining an intimate knowledge of SIFI's products, services and research; and providing back-up support when other team members are absent.

11. The majority of the Representative's time will be spent in his capacity as an advising representative of

Steadyhand. The Filers do not expect that the dual registration of the representative will create significant additional work for the Representative, nor will it interfere with his responsibilities to either Filer.


November 12, 2015

(2015), 38 OSCB 9495

12. The Representative will have sufficient time and resources to adequately serve Steadyhand and SIFI and their respective clients.

13. The Representative will be subject to supervision by, and the applicable compliance requirements of, both

Filers. Existing compliance and supervisory structures will apply depending on which regulatory entity's behalf the Representative is acting.

14. There are valid business reasons for the dual registration of the Representative at each of SIFI and

Steadyhand. The dual registration will create operational efficiencies and optimization of resources for the two affiliated entities.

15. The Representative will act in the best interests of the Steadyhand Founders Fund and his SIFI clients and

deal fairly, honestly and in good faith with them. 16. In order to minimize any client confusion, the relationship between the Filers, and the dual registration of the

Representative, will be disclosed in writing, and prior to providing registerable services, to the Steadyhand Founders Fund and clients of SIFI with whom the Representative communicates or otherwise provides services to. Specifically, in respect of any investment funds, the written disclosure will be made in each applicable fund's simplified prospectus, and in respect of SIFI, the written disclosure will be in SIFI's account opening documentation.

17. There will be minimal potential for conflicts of interest or client confusion because the Representative (in his

role as advising representative of Steadyhand) and Steadyhand itself (as a portfolio manager) will only advise the Steadyhand Funds, and will not advise any members of the public. In addition, the Filers do not share any clients and accordingly, any client confusion related to the dual registration of the Representative will be minimized.

18. The Representative will clearly understand which Filer he is acting on behalf of when he is conducting

registerable activities on behalf of a Filer. 19. Steadyhand and SIFI are affiliated and accordingly, the dual registration of the Representative will not give

rise to the conflicts of interest present in a similar arrangement involving unrelated, arm's length firms. The interests of the Filers are aligned and therefore the potential for conflicts of interest is remote. To the extent any conflicts of interest arise as a result of the dual registration of the Representative, the Filers have in place compliance and supervisory policies and procedures to monitor the conduct of the Representative and deal appropriately with these conflicts. The Representative is subject to these policies and procedures.

20. Each of the Filers are subject to the restrictions and requirements in Part 13 of NI 31-103 regarding conflict of

interest matters, except as follows. Section 13.4 of NI 31-103 does not apply to Steadyhand as the investment fund manager to certain of its investment funds that are subject to the requirements of National Instrument 81-107 Independent Review Committee for Investment Funds (NI 81-107) because these funds must instead comply with the requirements in NI 81-107 relating to conflict of interest matters, inter-fund trades and transactions in securities of related issuers.

22. Steadyhand, while the Representative is a dealing representative of SIFI, even though the Filers are affiliates.

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 Relief Sought is granted. “Sandra Jakab” Director, Capital Markets Regulation British Columbia Securities Commission


November 12, 2015

(2015), 38 OSCB 9496

2.1.2 SilverCrest Mines Inc. – s. 1(10)(a)(ii) Headnote National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – Issuer deemed to no longer be a reporting issuer under securities legislation. Applicable Legislative Provisions Securities Act, R.S.O. 1990, c. S.5, as am., s. 1(10)(a)(ii). Citation: Re SilverCrest Mines Inc., 2015 ABASC 922 November 3, 2015 McCullough O'Connor Irwin LLP Suite 2600, Oceanic Plaza 1066 West Hastings Street Vancouver, BC V6E 3X1 Attention: Farzad Forooghian Dear Sir: Re: SilverCrest Mines Inc. (the Applicant) – Application for a decision under the securities legislation of Alberta,

Saskatchewan, Manitoba, Ontario, Nova Scotia, New Brunswick, Prince Edward Island and Newfoundland and Labrador (the Jurisdictions) that the Applicant is not a reporting issuer

The Applicant has applied to the local securities regulatory authority or regulator (the Decision Maker) in each of the Jurisdictions for a decision under the securities legislation (the Legislation) of the Jurisdictions that the Applicant is not a reporting issuer. In this decision, “securityholder” means, for a security, the beneficial owner of the security. The Applicant has represented to the Decision Makers that:

(a) the outstanding securities of the Applicant, including debt securities, are beneficially owned, directly or indirectly, by fewer than 15 securityholders in each of the jurisdictions of Canada and fewer than 51 securityholders in total worldwide;

(b) no securities of the Applicant, including debt securities, are traded in Canada or another country on a

marketplace as defined in National Instrument 21-101 Marketplace Operation or any other facility for bringing together buyers and sellers of securities where trading data is publicly reported;

(c) the Applicant is applying for a decision that it is not a reporting issuer in all of the jurisdictions of Canada in

which it is currently a reporting issuer; and (d) the Applicant is not in default of any of its obligations under the Legislation as a reporting issuer.

Each of the Decision Makers is satisfied that the test contained in the Legislation that provides the Decision Maker with the jurisdiction to make the decision has been met and orders that the Applicant is deemed to have ceased to be a reporting issuer. “Denise Weeres” Manager, Legal Corporate Finance


November 12, 2015

(2015), 38 OSCB 9497

2.1.3 First Asset Investment Management Inc. et al. Headnote National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – investment fund manager obtaining relief from the requirement to obtain the approval of securityholders before changing the fundamental investment objective of a non-redeemable investment fund – relief required as a result of changes to tax law eliminating certain tax benefits associated with character conversion transactions – manager required to send written notice at least 30 days before the effective date of the change to the investment objective of the funds setting out the change, the reasons for such change and a statement that the funds will no longer distribute gains under forward contracts that are treated as capital gains for tax purposes – National Instrument 81-102 Investment Funds. Applicable Legislative Provisions National Instrument 81-102 Investment Funds, ss. 5.1(1)(c), 19.1.

November 3, 2015

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 FIRST ASSET INVESTMENT MANAGEMENT INC.

(the Filer)

AND

IN THE MATTER OF CANADIAN ADVANTAGED CONVERTIBLES FUND

AND

NORTH AMERICAN ADVANTAGED CONVERTIBLE FUND

(collectively, the Funds)

DECISION Background The principal regulator in the Jurisdiction has received an application from the Filer on behalf of the Funds for a decision under the securities legislation of the Jurisdiction (the Legislation) for exemptive relief from the requirement to obtain prior securityholder approval before changing the fundamental investment objective of the Funds under subsection 5.1(1)(c) of National Instrument 81 102 – Investment Funds (NI 81-102) (the Requested Relief). Under the Process for Exemptive Relief Applications in Multiple Jurisdictions (for a passport application):

1. the Ontario Securities Commission is the principal regulator for this application; and 2. the Filer has provided notice that section 4.7(1) of Multilateral Instrument 11-102 – Passport System (MI 11-

102) is intended to be relied upon in each of the other provinces and territories of Canada (collectively with Ontario, the Jurisdictions).


November 12, 2015

(2015), 38 OSCB 9498

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. The following terms have the following meaning: ADC means Canadian Advantaged Convertibles Fund; Fund means any one of the Funds, individually; NCD means North American Advantaged Convertible Fund. Representations This decision is based on the following facts represented by the Filer: 1. The Filer is the portfolio adviser and manager of the Funds. The Filer is registered as an investment fund manager in

Ontario, a portfolio manager and an exempt market dealer under the Securities Act (Ontario) and a commodity trading manager under the Commodity Futures Act (Ontario). It is also registered as an investment fund manager under the Securities Act (Newfoundland and Labrador) and Securities Act (Québec). The head office of the Filer is located at 95 Wellington Street West, Suite 1400, Toronto Ontario, M5J 2N7.

2. Each Fund is an investment trust established under the laws of the Province of Ontario pursuant to a declaration of

trust. 3. Neither the Filer nor the Funds are in default of securities legislation in any jurisdiction. 4. ADC is a non-redeemable investment fund. Its units were qualified for distribution pursuant to a prospectus dated

December 10, 2010 that was prepared and filed in accordance with the securities legislation of the Jurisdictions. Accordingly, ADC is a reporting issuer or the equivalent in each province or territory of Canada. The units of ADC are listed and posted for trading on the Toronto Stock Exchange (the TSX).

5. NCD is a non-redeemable investment fund. Its units were qualified for distribution pursuant to a prospectus dated April

19, 2011, that was prepared and filed in accordance with the securities legislation of the Jurisdictions. Accordingly, NCD is a reporting issuer or the equivalent in each province or territory of Canada. The units of NCD are listed and posted for trading on the TSX.

6. Under its current investment objective and strategies, each Fund is a party to a forward purchase and sale agreement

(each a Forward Agreement). Each Forward Agreement provides the applicable Fund with exposure to the returns of the securities of an applicable investment fund (individually, a Reference Fund or collectively, the Reference Funds). The current investment objective of each Fund is set out in the table below:

Fund Investment Objective

ADC The fund’s investment objectives are to provide holders of units with: (i) quarterly tax-advantaged distributions; and (ii) the opportunity for capital appreciation. The fund invests in an actively managed, diversified portfolio (the Portfolio) comprised primarily of convertible debentures of Canadian issuers. The fund obtains economic exposure to the Portfolio through the Forward Agreement. As the fund will partially settle the Forward Agreement to fund distributions, such distributions will be comprised primarily of returns of capital and capital gains and accordingly, such distributions are described herein as tax-advantaged.


November 12, 2015

(2015), 38 OSCB 9499

NCD The fund’s investment objectives are to provide holders of units with: (i) quarterly tax-advantaged distributions; and (ii) the opportunity for capital appreciation. The fund invests in the Portfolio comprised primarily of convertible debentures of Canadian, U.S. and global issuers and to seek to provide a good risk-adjusted way to invest in the Canadian, U.S. and global markets, through a combination of stable current income, security of principal and the opportunity for capital appreciation. The fund obtains economic exposure to the Portfolio through the Forward Agreement. As the fund will partially settle the Forward Agreement to fund distributions, such distributions will be comprised primarily of returns of capital and capital gains and accordingly, such distributions are described as tax-advantaged.

7. The fundamental investment objective of each Reference Fund is as follows:

ACD Reference Fund The fund’s investment objective is to provide holders of units with the opportunity for capital appreciation by investing in an actively managed portfolio comprised primarily of convertible debentures of Canadian issuers.

NCD Reference Fund The fund’s investment objective is to provide holders of units with the opportunity for capital appreciation by investing in an actively managed, diversified portfolio comprised primarily of convertible debentures of Canadian, U.S. and global issuers.

8. Through the use of the Forward Agreements, each Fund provides tax-advantaged distributions to securityholders

because each Fund will realize capital gains (or capital losses) on the disposition of securities acquired under the Forward Agreements, rather than ordinary income. Ordinary income is subject to tax at a higher rate in Canada than capital gains.

9. The Forward Agreements with respect to ADC and NCD are expected to expire and terminate on December 21, 2015

and May 20, 2016, respectively (the Forward Expiry Dates). 10. The Income Tax Act (Canada) was amended in December 2013 to implement proposals that were first announced in

the March 21, 2013 federal budget regarding the income tax treatment of character conversion transactions (the Tax Changes). Under the Tax Changes, the favourable tax treatment of character conversion transactions will be eliminated after a prescribed date (the Effective Date). The Effective Date for each Fund will be the applicable Forward Expiry Date.

11. As a result of the Tax Changes, it is anticipated that the Forward Agreements would no longer be able to, over the long

term, provide material tax efficiency to securityholders of the Funds. As a result, the Filer determined that, upon termination of the Forward Agreements, each Fund would own its portfolio of investments directly rather than through the Reference Fund, and the corresponding Reference Fund for each Fund will be wound up.

12. The Filer has determined that, as a result of the Tax Changes, it would be more efficient and less costly for each Fund

to seek to achieve its fundamental investment objective after the Effective Date by investing its assets directly in the same, or substantially the same, assets as those held by the applicable Reference Fund.

13. The Filer wishes to amend the investment objectives of each Fund to remove all references to the use of Forward

Agreements to gain exposure to the applicable Reference Fund, to delete references to “tax-advantaged” and to clarify that each Fund will invest directly in securities similar to those held by the applicable Reference Fund.

14. Following such amendment, the revised investment objectives of each Fund will be as set out in the table below:

Fund Investment Objective

ADC The Fund’s investment objectives are to provide holders of units with: (i) quarterly distributions; and (ii) the opportunity for capital appreciation. The Fund obtains exposure to the Portfolio comprised primarily of convertible debentures of Canadian issuers. The Portfolio will be actively managed by First Asset Investment Management Inc.


November 12, 2015

(2015), 38 OSCB 9500

NCD The Fund’s investment objectives are to provide holders of units with: (i) quarterly tax-advantaged distributions; and (ii) the opportunity for capital appreciation. The Fund has been created to obtain exposure to the Portfolio comprised primarily of convertible debentures of Canadian, U.S. and global issuers and to seek to provide a good risk-adjusted way to invest in the Canadian, U.S. and global markets, through a combination of stable current income, security of principal and the opportunity for capital appreciation.

15. The Filer expects to effect an inter-fund transfer of the portfolio assets of the Reference Funds to the Funds in

accordance with applicable securities laws, or an exemption therefrom. 16. The Filer has complied with the material change report requirements set out in Part 11 of National Instrument 81-106 –

Investment Fund Continuous Disclosure in connection with the Filer’s decision to make the changes to the investment objectives of the Funds set out above.

17. The Filer has determined that it would be in the best interests of each Fund and not prejudicial to the public interest to

receive the Requested Relief. 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, at least 30 days before the effective date of the change in the investment objectives of each Fund, the Filer will send to each securityholder of each Fund a written notice that sets out the change to the investment objective, the reasons for such change and a statement that such Fund will no longer distribute gains under forward contracts that are treated as capital gains for tax purposes. “Darren Mckall” Manager, Investment Funds and Structured Products Branch Ontario Securities Commission


November 12, 2015

(2015), 38 OSCB 9501

2.1.4 Hewlett-Packard Company Headnote National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – Dual application for Exemptive Relief Applications – Application for relief from prospectus requirements for spin-off by a U.S. publicly traded company to investors by issuing shares of spun-off entity – Distribution not covered by legislative exemptions – There is no market for the securities of the issuer in Canada – SpinCo will become a U.S. publicly traded company – The number of Canadian participants and their share ownership are de minimis – Relief granted, subject to conditions. Applicable Legislative Provisions Securities Act, R.S.O. 1990, c. S.5, as am., ss. 53, 74.

October 30, 2015

TRANSLATION


QUÉBEC AND ONTARIO (the Jurisdictions)

AND

IN THE MATTER OF


AND

IN THE MATTER OF HEWLETT-PACKARD COMPANY

(the Filer)

DECISION

Background The securities regulatory authority or regulator in each of the Jurisdictions (Decision Maker) has received an application from the Filer for a decision under the securities legislation of the Jurisdictions (the Legislation) for an exemption (the Exemption Sought) from the prospectus requirements contained in the Legislation in connection with the distribution (the Spin-Off) by the Filer of the shares of common stock of Hewlett Packard Enterprise Company (HPE), a direct wholly-owned subsidiary of the Filer, by way of a dividend to holders (Filer Shareholders) of shares of common stock of the Filer (Filer Shares) resident in Canada (Filer Canadian Shareholders). 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 (the Principal Regulator); (b) the Filer has provided notice that subsection 4.7(1) of Multilateral Instrument 11-102 – Passport System (MI

11-102) is intended to be relied upon in each of the other jurisdictions of Canada, other than Ontario; and (c) the decision is the decision of the principal regulator and evidences the decision of the securities regulatory

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


November 12, 2015

(2015), 38 OSCB 9502

1. The Filer is a corporation incorporated in Delaware with principal executive offices in Palo Alto, CA, U.S.A. The Filer is a leading global provider of products, technologies, software, solutions and services to individual consumers, small and medium sized businesses and large enterprises, including customers in the government, health and education sectors.

2. The Filer is a reporting issuer in Québec and is not a reporting issuer under the securities legislation of any other

jurisdiction of Canada and, currently, has no intention of becoming a reporting issuer under the securities legislation of any other jurisdiction of Canada.

3. The authorized capital of the Filer consists of 9.6 billion Filer Shares and 300 million shares of preferred stock. As of

July 31, 2015, there were approximately 1.874 billion Filer Shares issued and outstanding and no shares of preferred stock were issued and outstanding.

4. Filer Shares are listed on the New York Stock Exchange (the NYSE) and trade under the symbol “HPQ”. Filer Shares

are not listed on any Canadian stock exchange and, currently, the Filer has no intention of listing its securities on any Canadian stock exchange.

5. The Filer is subject to the 1934 Act and the rules, regulations and orders promulgated thereunder. 6. Based on a spreadsheet that breaks down the Filer’s record holders by domicile provided by Wells Fargo Shareowner

Services (the Filer’s transfer agent), as of July 11, 2015, there were 1,192 registered Filer Canadian Shareholders (149 of whom are in Québec), representing approximately 0.02% of the registered holders of the Filer worldwide, holding approximately 401,436 Filer Shares (65,975 of which are held in Québec), representing approximately 1.49% of the outstanding Filer Shares as of such date. The Filer does not expect these numbers to have materially changed since that date.

7. Based on a “Geographic Analysis Report” of beneficial holders provided by Broadridge Financial Solutions, Inc.

obtained by the Filer as of July 22, 2015, there were 14,886 beneficial Filer Canadian Shareholders (3,996 of whom are in Québec), representing approximately 2.5% of the beneficial holders of Filer Shares worldwide, holding approximately 15,107,215 Filer Shares (2,128,384 of which are held in Québec), representing approximately 0.081% of the outstanding Filer Shares. The Filer does not expect these numbers to have materially changed since that date.

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

proportion of Filer Shares held by such shareholders is de minimis. 9. The Filer is proposing to spin-off its enterprise technology infrastructure, software, services and financing businesses

into a newly formed independent company, HPE, through a series of transactions. These transactions are expected to result in the Spin-Off by the Filer, pro rata to its shareholders of all of the shares in the common stock of HPE (HPE Shares), which will be 100% of the HPE Shares outstanding immediately prior to such distribution.

10. HPE is a Delaware corporation with principal executive offices in Palo Alto, CA, U.S.A. It is currently a wholly-owned

subsidiary of the Filer that, at the time of the Spin-Off, will hold the Filer’s global enterprise technology infrastructure, software, services and financing businesses.

11. As of the date hereof, all of the issued and outstanding HPE Shares are held by the Filer, and no other shares or

classes of stock of HPE are issued and outstanding. 12. Fractional shares of HPE Shares will not be distributed in connection with the Spin-Off. The distribution agent will

aggregate the amount of fractional shares that would otherwise have been distributed and will sell such shares in the open market at prevailing market prices and distribute the cash proceeds (net of discounts and commissions) in U.S. Dollars. The distribution agent will distribute such net proceeds rateably to each Filer Shareholder who would otherwise have been entitled to receive a fractional share of HPE.

13. Filer Shareholders will not be required to pay any consideration for the HPE Shares, or to exchange or surrender Filer

Shares or take any other action to receive their HPE Shares. The Spin-Off will occur automatically and without any investment decision on the part of Filer Shareholders.

14. Following the Spin-Off, HPE will cease to be a subsidiary of the Filer. 15. HPE will apply to have the HPE Shares listed on the NYSE before the Spin-Off. 16. After the completion of the Spin-Off, the Filer is planning to continue to be listed and traded on the NYSE.


November 12, 2015

(2015), 38 OSCB 9503

17. HPE is not a reporting issuer in any jurisdiction of Canada nor are its securities listed on any Canadian stock exchange. Pursuant to the Spin-Off, HPE will become a reporting issuer under the Securities Act (Québec) by operation of law. To the knowledge of the Filer, HPE has no intention of becoming a reporting issuer in any other jurisdiction of Canada or to list its securities on any Canadian stock exchange after the completion of the Spin-Off.

18. The Spin-Off will be effected under the laws of the State of Delaware. 19. Because the Spin-Off will be effected by way of a dividend of HPE Shares to Filer Shareholders, no shareholder

approval of the proposed transaction is required (or being sought) under Delaware law. 20. In connection with the Spin-Off, HPE has filed with the SEC a registration statement on Form 10 (Registration

Statement) under the 1933 Act detailing the proposed Spin-Off. HPE initially filed the Registration Statement with the SEC on July 1, 2015 and subsequently filed amendments to the Registration Statement on August 10, 2015, September 4, 2015 and September 15, 2015.

21. After the SEC has completed its review of the Registration Statement, Filer Shareholders will receive a notice of

internet availability of an information statement (Information Statement) detailing the terms and conditions of the Spin-Off and forming part of the Registration Statement. All materials relating to the Spin-Off sent by or on behalf of the Filer and HPE in the United States (including the Information Statement) will be sent concurrently to Filer Canadian Shareholders.

22. The Information Statement will contain prospectus level disclosure about HPE as required to comply with the SEC

requirements for Form 10. 23. Filer Canadian Shareholders who receive HPE Shares pursuant to the Spin-Off will have the benefit of the same rights

and remedies in respect of the disclosure documentation received in connection with the Spin-Off that are available to Filer Shareholders resident in the United States.

24. Following the completion of the Spin-Off, HPE will send concurrently to HPE Shareholders resident in Canada the

same disclosure materials required to be sent under applicable U.S. federal securities law to HPE Shareholders resident in the United States.

25. There will be no active trading market for the HPE Shares in Canada following the Spin-Off and none is expected to

develop. Consequently, it is expected that any resale of HPE Shares distributed in connection with the Spin-Off will occur through the facilities of the NYSE.

26. The distribution to Filer Canadian Shareholders of HPE Shares in connection with the Spin-Off would be exempt from

the prospectus requirements pursuant to subsection 2.31(2) of NI 45-106 but for the fact that HPE will not be a reporting issuer at the time of the distribution under the securities legislation of any jurisdiction of Canada.

27. Neither the Filer nor HPE is in default of any securities legislation in any jurisdiction of Canada. 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 the first trade in the HPE Shares acquired pursuant to the Spin-Off will be deemed to be a distribution unless the conditions in section 2.6 or subsection 2.14(1) of National Instrument 45-102 – Resale of Securities are satisfied. “Lucie J. Roy” Senior Director, Corporate Finance


November 12, 2015

(2015), 38 OSCB 9504

2.1.5 Webtech Wireless Inc. – s. 1(10)(a)(ii) Headnote National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – Issuer deemed to no longer be a reporting issuer under securities legislation. Applicable Legislative Provisions Securities Act, R.S.O. 1990, c. S.5, as am., s. 1(10)(a)(ii). November 3, 2015 Webtech Wireless Inc. c/o Cassels Brock & Blackwell LLP 2100 Scotia Plaza, 40 King St. West Toronto, ON M5H 3C2 Dear Sirs/Mesdames: Re: Webtech Wireless Inc. (the Applicant) – application for a decision under the securities legislation of Ontario,

Alberta, Saskatchewan and Manitoba (the Jurisdictions) that the Applicant is not a reporting issuer The Applicant has applied to the local securities regulatory authority or regulator (the Decision Maker) in each of the Jurisdictions for a decision under the securities legislation (the Legislation) of the Jurisdictions that the Applicant is not a reporting issuer. In this decision, “securityholder” means, for a security, the beneficial owner of the security. The Applicant has represented to the Decision Makers that:






Each of the Decision Makers is satisfied that the test contained in the Legislation that provides the Decision Maker with the jurisdiction to make the decision has been met and orders that the Applicant is not a reporting issuer. “Shannon O’Hearn” Manager, Corporate Finance Ontario Securities Commission


November 12, 2015

(2015), 38 OSCB 9505

2.1.6 Hydro One Limited and Hydro One Inc. Headnote National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – National Instrument 52-107 Acceptable Accounting Principles and Auditing Standards (NI 52-107), s. 5.1 – the Issuer with activities subject to rate-regulation requests relief from the requirements under section 3.2 of NI 52-107 that financial statements be prepared in accordance with Canadian GAAP applicable to publicly accountable enterprises in order to permit the Issuer to prepare its financial statements in accordance with U.S. GAAP – requested relief granted. Applicable Legislative Provisions National Instrument 52-107 Acceptable Accounting Principles and Auditing Standard, s. 5.1.

August 27, 2015


ONTARIO (the Jurisdiction)

AND

IN THE MATTER OF


AND

IN THE MATTER OF HYDRO ONE LIMITED AND HYDRO ONE INC.

(the Filer)

DECISION

Background The principal regulator in the Jurisdiction has received an application from the Filer for a decision under the securities legislation of the Jurisdiction (the Legislation) exempting the entity that will become the sole shareholder of the Filer, a corporation to be incorporated under the Business Corporations Act (Ontario) and named Hydro One Limited (the Parent), from the requirements under section 3.2 of National Instrument 52-107 Acceptable Accounting Principles and Auditing Standards (NI 52-107) that financial statements (a) be prepared in accordance with Canadian GAAP applicable to publicly accountable enterprises; and (b) disclose an unreserved statement of compliance with IFRS in the case of annual financial statements and an unreserved statement of compliance with IAS 34 in the case of an interim financial report, which requirements are also applicable to financial statements included in a prospectus (the Exemption Sought). Furthermore, the principal regulator in the Jurisdiction has received a request from the Filer for a decision that the application and this decision be kept confidential and not be made public until the earlier of: (i) the date on which the Filer and/or the Parent publicly discloses all of the information in the application and this decision that has not been previously disclosed; (ii) the date on which the Filer and/or the Parent publicly discloses the granting of the Exemption Sought; (iii) the date on which the Parent obtains a receipt for a preliminary long form prospectus relating to the proposed initial public offering of the Parent (the IPO); (iv) the date on which the Filer advises the principal regulator that there is no longer any need for the application and this decision to remain confidential; and (v) the date that is 90 days after the date of this decision (the Confidentiality Sought). Under the Process for Exemptive Relief Applications in Multiple Jurisdictions (for a passport application):

(a) the Ontario Securities Commission is the principal regulator for this application; (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, Quebec, New Brunswick, Nova Scotia, Prince Edward Island, Newfoundland and Labrador, Yukon, Northwest Territories and Nunavut (the Passport Jurisdictions); and


November 12, 2015

(2015), 38 OSCB 9506

(c) the decision of the principal regulator automatically results in an equivalent decision in the Passport Jurisdictions.

Interpretation Terms defined in National Instrument 14-101 Definitions, MI 11-102 and NI 52-107 have the same meaning if used in this decision, unless otherwise defined, and the term “activities subject to rate regulation” has the meaning given in the Handbook. Representations This decision is based on the following facts represented by the Filer. 1. The Filer is incorporated under the Business Corporations Act (Ontario) and is currently wholly-owned by the Province

of Ontario (Province). The head office of the Filer is located at 483 Bay Street, South Tower, 8th Floor, Toronto, Ontario M5G 2P5.

2. The Filer is a reporting issuer in each of the provinces of Canada and is not in default of securities legislation in any

jurisdiction. 3. Prior to the filing of the preliminary prospectus for the proposed IPO, the Parent will be incorporated under the

Business Corporations Act (Ontario) and will, until completion of the IPO, be wholly-owned by the Province. The head office of the Parent will be located at 483 Bay Street, South Tower, 8th Floor, Toronto, Ontario M5G 2P5.

4. Prior to completion of the IPO, the Parent will complete a series of reorganizational steps (the Pre-Closing Steps)

such that after completion of the Pre-Closing Steps: (a) the authorized share capital of the Parent will consist of, among other things, an unlimited number of common

shares with all of the common shares of the Parent held by the Province; (b) the Filer will be a wholly-owned subsidiary of the Parent and its financial statements will be consolidated into

the financial statements of the Parent; and (c) the Parent will be a holding company which, through its subsidiaries (including the Filer and its subsidiaries):

(i) distributes electricity and engages in electricity conservation and demand management activities; and

(ii) transmits electricity to local distribution companies (LDCs) and non-LDC customers throughout

Ontario.

5. Following completion of the Pre-Closing Steps, the Province will sell a portion of its common shares held in the Parent to a syndicate of underwriters for distribution to the public under a long form prospectus filed by the Parent with the securities regulatory authorities in each of the provinces and territories of Canada in connection with the IPO.

6. Upon completion of the IPO, the bulk of the Parent’s business conducted through its subsidiaries (including the Filer

and its subsidiaries) will be subject to rate regulation by the Ontario Energy Board (OEB), which has broad powers relating to the licensing, standards of conduct and service and the regulation of rates charged by electricity distributors and transmitters in Ontario, including those subsidiaries of the Parent engaged in such activities. No change in the business of the Filer and its subsidiaries will occur as a result of the IPO other than the fact certain immaterial businesses of the Filer and its subsidiaries are expected to be transferred to the Parent or one of its subsidiaries prior to, in connection with, or immediately following, the closing of the IPO. In addition, prior to the IPO, it is expected that the shares of Hydro One Brampton Networks Inc., a subsidiary of the Filer, will be transferred to the Province.

7. The Filer is a SEC issuer that prepares and reports its financial statements in accordance with U.S. GAAP as permitted

by Section 3.7 of NI 52-107. 8. Upon completion of the IPO, the Parent will not be an SEC issuer. 9. Upon acquisition of all of the outstanding shares of the Filer, the Parent will have activities subject to rate regulation. 10. The International Accounting Standards Board (IASB) continues to work on a project focusing on accounting specific to

activities subject to rate regulation. It is not yet known when this project will be completed or whether IFRS will include a specific standard that is mandatory for entities with activities subject to rate regulation.


November 12, 2015

(2015), 38 OSCB 9507

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:

(a) the Exemption Sought is granted to the Parent in respect of the Parent’s financial statements required to be filed (or included in any prospectus of the Parent) on or after the date of this decision, provided that the Parent prepares those financial statements in accordance with U.S. GAAP; and

(b) the Exemption Sought will terminate in respect of the Parent on the earliest of the following:

(i) if the Parent does not complete the Pre-Closing Steps and the IPO in the manner contemplated in

this decision; (ii) January 1, 2019; (iii) if, after all of the outstanding shares of the Filer are acquired by the Parent, the Parent thereafter

ceases to have activities subject to rate regulation, the first day of the Parent’s financial year that commences after the Parent ceases to have activities subject to rate regulation; and

(iv) the effective date prescribed by the IASB for the mandatory application of a standard within IFRS

specific to entities with activities subject to rate regulation.

Furthermore, the decision of the principal regulator is that the Confidentiality Sought is granted. “Cameron McInnis” Chief Accountant Ontario Securities Commission


November 12, 2015

(2015), 38 OSCB 9508

2.1.7 First Asset Investment Management Inc. Headnote National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – A non-redeemable investment fund converting into an ETF granted relief from the concentration restriction in NI 81-102 to permit it to invest up to 20% of net asset value in each of six Canadian banks named in its investment objectives. Applicable Legislative Provisions National Instrument 81-102 Investment Funds, ss. 2.1(1), 19.1.

September 9, 2015


ONTARIO (THE JURISDICTION)

AND

IN THE MATTER OF


AND

IN THE MATTER OF FIRST ASSET INVESTMENT MANAGEMENT INC.

(THE MANAGER)

DECISION Background The securities regulatory authority or regulator in the Jurisdiction (the Decision Maker) has received an application from the Manager for a decision under the securities legislation of the Jurisdiction (the Legislation) for an exemption relieving Canbanc Income Corp. (the Fund), upon conversion into an exchange traded fund (ETF), from the prohibition in subsection 2.1(1) of National Instrument 81-102 – Investment Funds (NI 81-102) to permit the Fund to purchase a security of a Bank (as defined below), enter into a specified derivatives transaction or purchase index participation units, notwithstanding the fact that, immediately after the transaction, more than 10 percent of the net asset value of the mutual fund will be invested in securities of a single issuer, subject to certain restrictions (the Requested Relief). Under the Process for Exemptive Relief Applications in Multiple Jurisdictions (for a passport application):

(a) the Ontario Securities Commission (the Commission) is the principal regulator for this application; and (b) the Manager 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, Newfoundland and Labrador, Prince Edward Island, Yukon, Nunavut and Northwest Territories.

Interpretation Terms defined in National Instrument 14-101 – Definitions and MI 11-102 have the same meaning if used in this decision, unless otherwise defined herein. Representations This decision is based on the following facts represented by the Manager: Organization and Structure of the Fund 1. The Fund is a non-redeemable investment fund.


November 12, 2015

(2015), 38 OSCB 9509

2. On July 10, 2015, the holders of equity shares (Closed-End Shares) of the Fund approved a conversion (the Conversion) of the Fund from a non-redeemable investment fund into a class of exchange traded traded fund shares (ETF Shares).

3. Until the completion of the Conversion, the Fund is not a “mutual fund” as defined under applicable securities

legislation and does not operate in accordance with the requirements of securities legislation applicable to mutual funds.

4. The Manager is the portfolio adviser and manager of the Fund. The Manager is registered as an investment fund

manager, a portfolio manager and an exempt market dealer under the Securities Act (Ontario) and a commodity trading manager under the Commodity Futures Act (Ontario). It is also registered as an investment fund manager under the Securities Act (Newfoundland and Labrador) and Securities Act (Quebec). The head office of the Manager is located at 95 Wellington Street West, Suite 1400, Toronto, Ontario, M5J 2N7.

5. The Manager filed a prospectus dated July 26, 2010 (the Closed-End Prospectus) with the securities regulatory

authority in each province and territory of Canada to qualify the Closed-End Shares for distribution to the public. The Commission issued a receipt for the Closed-End Prospectus on July 27, 2010.

6. The Fund is a reporting issuer as defined under the applicable securities legislation of each province and territory of

Canada and is not in default of any of the requirements of the securities legislation of the provinces and territories of Canada.

7. The Manager is not in default of any of the requirements of the securities legislation of the provinces and territories of

Canada. 8. In connection with the Conversion, the constating documents of the Fund will be amended in order to effect the

Conversion and to permit it to continuously offer two classes of shares: ETF Shares and exchange traded fund advisor shares (the ETF Advisor Shares, and together with the ETF Shares, the Shares). The only difference between the ETF Shares and the ETF Advisor Shares is the management fee payable by the Fund due to the service fee payable by the Manager in respect of the ETF Advisor Shares.

9. After the Conversion, the Closed-End Shares of the Fund will become ETF Shares of a class to be named “First Asset

CanBanc Income ETF”, and the Shares will become a mutual fund subject to NI 81-102, subject to any exemptions therefrom that may be granted by the securities regulatory authorities.

10. Following the Conversion, Canbanc Income Corp. will be renamed “First Asset Fund Corp.”, or such other name as the

Manager may determine. 11. Shareholders will not be required to take any action in connection with the Conversion. Post-Conversion, holder of

Shares will have daily redemption rights. 12. The Manager filed a preliminary long form prospectus on June 29, 2015 (the ETF Prospectus) to qualify the

distribution of the Shares under National Instrument 41-101 – General Prospectus Requirements in each of the provinces and territories of Canada.

13. A material change report in connection with the results of the meeting of shareholders approving the Conversion was

filed on July 10, 2015 by the Manager. 14. The Closed-End Shares are listed on the Toronto Stock Exchange (the TSX) and will remain listed on the TSX after the

Conversion as ETF Shares. The Manager, on behalf of the ETF Advisor Shares, has applied to list the ETF Advisor Shares on the TSX.

Concentration Restriction 15. The investment objectives of the ETF will be to provide shareholders with: (a) quarterly distributions; (b) the opportunity

for capital appreciation; and (c) lower overall volatility of portfolio returns than would be experienced by owning a portfolio of common shares (the “Proposed Investments”) of the Bank of Montreal, Canadian Imperial Bank of Commerce, National Bank of Canada, Royal Bank of Canada, The Bank of Nova Scotia and The Toronto-Dominion Bank (collectively, the “Banks”) directly.

16. The ETF may also sell call options each month on up to 25% of the securities of each Bank in the Fund’s portfolio

(“Portfolio Securities”). The Manager may decide, in its discretion, not to sell call options in any month.


November 12, 2015

(2015), 38 OSCB 9510

17. If required to facilitate distributions or pay expenses of the ETF, securities of each Bank will be sold pro-rata across the ETF’s portfolio according to their relative market values at the time of such sale.

18. Future subscriptions for Shares, if any, will be used to acquire securities of each Bank in the same weights as the

Portfolio Securities exist in the portfolio, based on their relative market values at the time of such subscription. 19. In the absence of: (i) new subscriptions for Shares, (ii) sales of Portfolio Securities, if any, required to facilitate

distributions, redemptions or pay expenses of the Shares, or (iii) corporate actions of the Banks such as stock splits or consolidations, it is expected that the number of common shares of each of the Banks referable to the portfolio of the Shares will not change. The ETF’s portfolio will not be actively managed by the Manager.

20. The Portfolio Securities are listed on, among others, the New York Stock Exchange (NYSE) and/or the TSX. 21. The Banks are some of the most liquid equity securities listed on the TSX, and are less likely to be subject to liquidity

concerns than the securities of other issuers. The liquidity of the Portfolio Securities is further evidenced by the markets for options in connection with the Portfolio Securities. A liquid market for options on the Portfolio Securities is primarily provided by the Montreal Exchange.

22. As the names of each of the Banks are listed in the stated investment objectives of the ETF, and the ETF will not invest

in securities other than securities of the Banks, holders of the Shares will be fully aware of the risks involved with an investment in the Shares.

23. The investment objectives and investment strategies of the Fund, as well as the risk factors associated therewith, were

disclosed in the Closed-End Prospectus and the investment objectives and investment strategies of the ETF, as well as the risk factors associated therewith, will be disclosed in the ETF Prospectus and each renewal prospectus thereof.

Decision The Decision Maker 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 Maker under the Legislation is that the Requested Relief is granted, provided that:

(a) The Proposed Investments are in accordance with the investment objectives of the ETF; (b) The ETF will not purchase Portfolio Securities, or enter into any transaction to obtain indirect exposure to

Portfolio Securities if:

(i) immediately after the transaction, more than 20 percent of the net assets of the Fund, taken at market value at the time of the transaction, would be invested, directly or indirectly, in securities of any one Bank; or

(ii) the ETF becomes an insider of any Bank as a result of such investment;

(c) The ETF Prospectus discloses the fact that the ETF has obtained the Requested Relief to permit the

Proposed Investments on the terms described in this decision. “Darren McKall” Manager, Investment Funds and Structured Products Ontario Securities Commission


November 12, 2015

(2015), 38 OSCB 9511

2.1.8 Boulevard Industrial Real Estate Investment Trust – s. 1(10)(a)(ii) Headnote National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – application for an order that the issuer is not a reporting issuer. Ontario Statutes Securities Act, R.S.O. 1990, c. S.5, as am., s. 1(10)(a)(ii). November 9, 2015 Boulevard Industrial Real Estate Investment Trust c/o Osler, Hoskin & Harcourt LLP 100 King Street West, Suite 6100 Toronto, Ontario, M5X 1B8 Dear Sirs/Mesdames: Re: Boulevard Industrial Real Estate Investment Trust (the Applicant) – application for a decision under the

securities legislation of Ontario, Alberta, Saskatchewan, Manitoba, New Brunswick, Nova Scotia, Prince Edward Island and Newfoundland and Labrador (the Jurisdictions) that the Applicant is not a reporting issuer

The Applicant has applied to the local securities regulatory authority or regulator (the Decision Maker) in each of the Jurisdictions for a decision under the securities legislation (the Legislation) of the Jurisdictions that the Applicant is not a reporting issuer. In this decision, “securityholder” means, for a security, the beneficial owner of the security. The Applicant has represented to the Decision Makers that:






Each of the Decision Makers is satisfied that the test contained in the Legislation that provides the Decision Maker with the jurisdiction to make the decision has been met and orders that the Applicant is not a reporting issuer. “Kathryn Daniels” Deputy Director, Corporate Finance Ontario Securities Commission


November 12, 2015

(2015), 38 OSCB 9512

2.2 Orders 2.2.1 Avion Gold Corporation Headnote OSC Rule 13-502 Fees, s. 8.1 – application from wholly-owned subsidiary of an issuer from requirement to pay participation fees – subsidiary previously exempted from requirements of National Instrument 51-102 Continuous Disclosure Obligations, National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings and the insider reporting requirements under Part XXI of the related securities legislation and the requirement to file an insider profile under National Instrument 55-102 System for Electronic Disclosure by Insiders – capitalization of applicant included in capitalization of parent reporting issuer – relief granted. Applicable Legislative Provisions OSC Rule 13-502 Fees, s. 8.1.


R.S.O. 1990, C. S.5, AS AMENDED (THE “ACT”)

AND

IN THE MATTER OF

AVION GOLD CORPORATION

ORDER

WHEREAS the Ontario Securities Commission (the Commission) has received an application from Avion Gold Corporation (the Applicant) for an order pursuant to section 8.1 of OSC Rule 13-502 Fees (Rule 13-502) exempting the Applicant from the requirement in section 2.2 of Rule 13-502 to pay participation fees in respect of its fiscal year ended December 31, 2012 (the Exemption Sought); AND WHEREAS the Applicant has represented to the Commission that: 1. on October 18, 2012, the Applicant was acquired

by and became an indirect subsidiary of Endeavour Mining Corporation (Endeavour) by way of a plan of arrangement pursuant to the Business Corporations Act (Ontario), pursuant to which the issued and outstanding common shares of the Applicant were exchanged for: (i) ordinary shares of Endeavour (Ordinary Shares) or (ii) non-voting redeemable preferred shares of the Applicant which are exchangeable for Ordinary Shares (Exchangeable Shares), and all outstanding options of the Applicant were adjusted such that they were exercisable only for Ordinary Shares;

2. as at December 31, 2012, Endeavour’s capitalization was $928,373,118, the calculation of which included the securities of Endeavour issued in connection with the acquisition of the Applicant, including the Ordinary Shares underlying the Exchangeable Shares. Based on this capitali-zation, Endeavour paid $32,850 in participation fees for the fiscal year ended December 31, 2012;

3. on November 7, 2012, the Commission granted

the Applicant an exemption from the requirements of National Instrument 51-102 – Continuous Dis-closure Obligations (NI 51-102), National Instrument 52-109 – Certification of Disclosure in Issuers' Annual and Interim Filings and the insider reporting requirements under Part XXI of the related securities legislation and the requirement to file an insider profile under National Instrument 55-102 – System for Electronic Disclosure by Insiders (the November 2012 Order);

4. the Applicant continues to comply with the

conditions of the November 2012 Order; and 5. the Applicant would have been entitled to rely on

an exemption from having to pay participation fees pursuant to subsection 2.6(2) of Rule 13-502 (in effect as at March 31, 2013), but for the requirement in subparagraph 2.6(2)(e), which required the Applicant to be entitled to rely on an exemption from certain specified requirements of NI 51-102 throughout the fiscal year ended December 31, 2012.

AND UPON considering the application and the recommendation of staff of the Commission; AND UPON being satisfied that to do so would not be prejudicial to the public interest; IT IS ORDERED pursuant to Section 8.1 of Rule 13-502 that the Exemption Sought is granted. DATED this 15th day of September, 2015 “Kathryn Daniels” Deputy Director, Corporate Finance Ontario Securities Commission


November 12, 2015

(2015), 38 OSCB 9513

2.2.2 Majestic Supply Co. Inc. et al. – Rule 9 of the OSC Rules of Procedure

IN THE MATTER OF


AND

IN THE MATTER OF

MAJESTIC SUPPLY CO. INC., SUNCASTLE DEVELOPMENTS CORPORATION, HERBERT ADAMS, STEVE BISHOP, MARY KRICFALUSI, KEVIN LOMAN

AND CBK ENTERPRISES INC.

ORDER (Rule 9 of the Commission’s Rules of Procedure,

(2014) 37 OSCB 4168) WHEREAS: 1. on February 21, 2013, the Ontario Securities

Commission (“Commission”) issued its Reasons and Decision with respect to the merits (the “Merits Decision”), which found that Kevin Loman (“Loman”) and others engaged in conduct in breach of the Securities Act, R.S.O. 1990, c. S.5, as amended (Re Majestic Supply Co. Inc. et al. (2013), 36 O.S.C.B. 2104);

2. on November 29, 2013, the Commission issued its

Reasons and Decision with respect to sanctions and costs (the “Sanctions Decision”) and ordered sanctions against Loman and others (Re Majestic Supply Co. Inc. et al. (2013), 36 O.S.C.B. 11642);

3. Loman appealed the Merits Decision and the

Sanctions Decision to the Divisional Court; 4. on June 25, 2015, the Divisional Court dismissed

the appeal in respect of the Merits Decision but allowed the appeal with respect to certain of the sanctions imposed against Loman, which sanctions were remitted back to the Commission for a fresh determination (Loman v. Ontario Securities Commission, 2015 ONSC 4083);

5. on September 15, 2015, the Commission issued a

Notice of Hearing notifying that a hearing would proceed at the offices of the Commission on October 30, 2015, or as soon thereafter as the hearing could be held, for a fresh determination of certain sanctions ordered against Loman (the “Hearing”);

6. on August 25 and October 5, 2015, the parties

exchanged and filed written sanctions submissions in respect of the Hearing;

7. on October 30, 2015, the parties appeared before

the Commission, made oral submissions regarding the appropriateness of certain sanctions to be ordered against Loman and took differing

views on which of the sanctions were remitted back to the Commission by the Divisional Court;

8. on October 30, 2015, the parties requested a

short adjournment of this matter in order to permit the parties to seek clarification from the Divisional Court with respect to the scope of the sanctions remitted for a fresh determination by the Commission;

9. the Commission has concluded it is in the public

interest to make this order; IT IS HEREBY ORDERED that the Hearing is adjourned to November 24, 2015 at 1:30 p.m., or to such other date as directed by the Office of the Secretary. DATED at Toronto this 30th day of October, 2015. “Edward P. Kerwin”


November 12, 2015

(2015), 38 OSCB 9514

2.2.3 Future Solar Developments Inc. et al. – ss. 127(1), 127(8)

IN THE MATTER OF


AND

IN THE MATTER OF



TEMPORARY ORDER

(Subsections 127(1) and 127(8)) WHEREAS: 1. on February 17, 2015, the Ontario Securities

Commission (the “Commission”) issued a temporary cease trade order (the “Temporary Order”) pursuant to subsection 127(1) and 127(5) of the Securities Act, R.S.O. 1990, c. S.5, as amended (the “Act”) ordering the following: a. pursuant to paragraph 2 of subsection

127(1) of the Act, Future Solar Develop-ments Inc. (“FSD”), Cenith Energy Cor-poration (“Cenith Energy”), Cenith Air Inc. (“Cenith Air”), Angel Immigration Inc. (“Angel Immigration”) (together the “Corporate Respondents”) and Xundong Qin (also known as Sam Qin) (“Qin”) (together with the Corporate Respon-dents, the “Respondents”) cease trading in all securities;

b. pursuant to paragraph 2 of subsection

127(1) of the Act, all trading in the securities of FSD shall cease; and

c. pursuant to paragraph 3 of subsection

127(1) of the Act, any exemptions contained in Ontario securities law do not apply to any of the Respondents;

2. the Commission ordered that pursuant to

subsection 127(6) of the Act, the Temporary Order shall expire on the fifteenth day after its making unless extended by order of the Commission;

3. on February 19, 2015, the Commission issued a

Notice of Hearing (the “Notice of Hearing”) to consider the extension of the Temporary Order, to be held on March 2, 2015 at 11:00 a.m.;

4. Staff of the Commission (“Staff”) served the

Respondents with copies of the Temporary Order, the Notice of Hearing and Staff's supporting materials as evidenced by Affidavit of Service filed with the Commission;

5. the Commission held a hearing on March 2, 2015 and counsel for Staff and Qin, on behalf of himself and behalf of the Corporate Respondents, attended the hearing;


subsections 127(1) and 127(8) of the Act, the Temporary Order is extended until June 12, 2015 and that the hearing of the matter is adjourned until June 8, 2015 at 3:00 p.m.;

7. the Commission held a hearing on June 8, 2015,

and counsel for Staff and counsel for the Respondents attended the hearing;

8. counsel for the Respondents did not oppose an

extension of the Temporary Order for a period of three months;


subsections 127(1) and 127(8) of the Act, the Temporary Order is extended until September 11, 2012 and that the hearing of the matter be adjourned until September 9, 2015 at 10:00 a.m.;

10. the Commission held a hearing on September 9,

2015, and counsel for Staff and Qin, personally and on behalf of Cenith Energy, Cenith Air, and Angel Immigration, appeared and made submissions;

11. on September 9, 2015 no one appeared on behalf

of FSD; 12. the Commission ordered that pursuant to

subsections 127(1) and 127(8) of the Act, the Temporary Order is extended until November 12, 2015 and that the hearing of the matter be adjourned until November 9, 2015 at 10:00 a.m.;

13. a request was made to the Office of the Secretary

to reschedule the hearing in this matter, and the parties agreed to such other date and time as provided by the Office of the Secretary;

14. on October 27, 2015, the Commission ordered

that the hearing in this matter scheduled for November 9, 2015 at 10:00 a.m. is vacated and that the hearing in this matter he held on October 30, 2015 at 10:00 a.m.;

15. the Commission held a hearing on October 30,

2015 and counsel for Staff and counsel from the Litigation Assistance Program (“LAP”) attended on behalf of the Respondents;

16. on October 30, 2015, Qin was not in attendance at

the hearing; 17. the Commission considered the submissions of

Staff and the submissions of LAP counsel for the Respondents;


November 12, 2015

(2015), 38 OSCB 9515

18. LAP counsel appearing on behalf of the Respondents advised that the Respondents consent to the temporary order being extended;

19. the Commission is of the opinion that it is in the

public interest to make this order. IT IS ORDERED that:

1. pursuant to subsections 127(1) and 127(8) of the Act, the Temporary Order is extended until December 4, 2015, or until further order of the Commission; and

2. the hearing of this matter is adjourned

until December 2, 2015 at 9:30 a.m., or on such other date and time as provided by the Office of the Secretary and agreed to by the parties.

DATED at Toronto this 30th day of October, 2015. “Mary Condon”

2.2.4 Future Solar Developments Inc. et al. – ss. 127, 127.1

IN THE MATTER OF


AND

IN THE MATTER OF



ORDER

(Sections 127 and 127.1 of the Securities Act) WHEREAS 1. on March 26, 2015, the Ontario Securities

Commission (the “Commission”) issued a Notice of Hearing (the “Notice of Hearing”) pursuant to sections 127 and 127.1 of the Securities Act, R.S.O. 1990, c. S.5, as amended (the “Act”), in relation to a Statement of Allegations filed by Staff of the Commission (“Staff”) on March 26, 2015, to consider whether it is in the public interest to make certain orders against Future Solar Developments Inc. (“FSD”), Cenith Energy Corporation (“Cenith Energy”), Cenith Air Inc. (“Cenith Air”), Angel Immigration Inc. (“Angel Immigration”) (together, the “Corporate Respondents”) and Xundong Qin, also known as Sam Qin (“Qin”) (together with the Corporate Respondents, the “Respondents”);

2. the Notice of Hearing set April 15, 2015 as the

hearing date in this matter; 3. on April 15, 2015, Staff and counsel for the

Respondents appeared and made submissions; 4. the Commission ordered that the matter be

adjourned to a confidential pre-hearing conference on June 8, 2015 at 3:00 p.m.;

5. on June 8, 2015, the Commission held a

confidential pre-hearing conference and counsel for Staff and counsel for the Respondents attended the hearing;

6. the Commission ordered that:

1. the Second Appearance in this matter be

held on September 9, 2015 at 10:00 a.m.; and

2. that Staff shall provide to the Res-

pondents, no later than five (5) days before the Second Appearance, their witness lists and indicate any intent to call an expert witness, including the name of the expert witness and the issue


November 12, 2015

(2015), 38 OSCB 9516

on when the expert will be giving evidence;

7. on September 9, 2015, the Commission held a

Second Appearance and counsel for Staff and Qin, personally and on behalf of Cenith Energy, Cenith Air and Angel Immigration, appeared and made submissions;

8. on September 9, 2015, no one appeared on

behalf of FSD; 9. the Commission ordered that:

1. the Third Appearance in this matter be

held on November 9, 2015 at 10:00 a.m. or on such other date as provided by the Office of the Secretary and agreed to by the parties;

2. Staff shall provide to the Respondent

their witness summaries by September 18, 2015; and

3. the Respondents shall provide to Staff by

October 21, 2015 their witness lists and witness summaries and indicate any intent to call an expert witness, including the name of the expert witness and the issue on which the expert will be giving evidence.

10. a request was made to the Office of the Secretary

to reschedule the Third Appearance in this matter and the parties agreed to such other date and time as provided by the Office of the Secretary;

11. on October 27, 2015, the Commission ordered

that the Third Appearance in this matter scheduled for November 9, 2015 at 10:00 a.m. is vacated and that the Third Appearance in this matter he held on October 30, 2015 at 10:00 a.m.;

12. the Commission held a hearing on October 30,

2015 and counsel for Staff and counsel from the Litigation Assistance Program (“LAP”) attended on behalf of the Respondents;

13. on October 30, 2015, Qin was not in attendance at

the hearing; 14. the Commission considered the submissions of

Staff and the submissions of LAP counsel for the Respondents;

15. the Commission is of the opinion that it is in the

public interest to make this order. IT IS ORDERED that:

1. the Third Appearance in this matter is adjourned to December 2, 2015 at 9:30 a.m. or on such other date and time as

provided by the Office of the Secretary and agreed to by the parties.

DATED at Toronto this 30th day of October, 2015. “Mary Condon”


November 12, 2015

(2015), 38 OSCB 9517

2.2.5 TeraExchange, LLC – s. 144


R.S.O. 1990, CHAPTER S. 5, AS AMENDED (THE ACT)

AND

IN THE MATTER OF

TERAEXCHANGE, LLC

REVOCATION OF INTERIM ORDER (Section 144 of the Act)

WHEREAS TeraExchange, LLC (Tera) operates an electronic trading facility for swaps in the United States under the jurisdiction of the Commodity Futures Trading Commission (CFTC) and has obtained temporary registration with the CFTC to operate a swap execution facility; AND WHEREAS the Ontario Securities Commission (Commission) has, by interim order dated October 1 2013 and varied on September 30, 2014 (Interim Order), exempted Tera from the requirement to be recognized as an exchange pursuant to section 21(1) of the Act; AND WHEREAS Tera has filed an application dated July 7, 2015 with the Ontario Securities Commission (Commission) requesting revocation of the Interim Order; AND WHEREAS Tera has represented to the Commission that it does not have any participants in Ontario, and is not carrying on business in Ontario, and therefore does not require the exemptive relief provided by the Interim Order; AND WHEREAS, based on the application and the representations made by Tera to the Commission, the Commission has determined that the revocation of the Interim Order would not be prejudicial to the public interest; IT IS HEREBY ORDERED by the Commission, pursuant to section 144 of the Act, that the Interim Order is revoked. DATED November 6, 2015 “William J. Furlong” “Mary G. Condon”


November 12, 2015

(2015), 38 OSCB 9518

2.2.6 Lance Kotton and Titan Equity Group Ltd. – ss. 127(1), 127(5)



AND

IN THE MATTER OF LANCE KOTTON and TITAN EQUITY GROUP LTD.

TEMPORARY ORDER

(Subsections 127(1) and 127(5)) WHEREAS: 1. it appears to the Ontario Securities Commission (the “Commission”) that:

a. Lance Kotton (“Kotton”) is a resident of Vaughan, Ontario; b. Titan Equity Group Ltd. (“TEG”) is a corporation incorporated pursuant to the laws of Ontario; c. Kotton is a director and officer of TEG; d. Kotton and TEG are not registered with the Commission in any capacity; e. Kotton and TEG may have engaged in, and may be continuing to engage in, breaches of Ontario securities

law by:

i. engaging in or holding themselves out to be in the business of trading securities without being registered in accordance with Ontario securities law and without an exemption from the registration requirement, contrary to subsection 25(1) of the Securities Act, R.S.O. 1990, c. S.5, as amended (the “Act”);

ii. trading in securities, where such trades constituted distributions of the securities, in circumstances in

which no preliminary prospectus or prospectus had been filed or receipts issued therefor, and without an exemption from the prospectus requirement, contrary to subsection 53(1) of the Act;

iii. misappropriating investor funds for Kotton’s personal use, contrary to section 126.1 of the Act; iv. making misleading statements to investors, contrary to section 126.2 of the Act; and/or v. acting contrary to the public interest.

f. Kotton may have authorized, permitted or acquiesced in TEG’s noncompliance with Ontario securities law contrary to section 129.2 of the Act; and

g. Staff are conducting an investigation into the conduct described above;

2. the Commission is of the opinion that the time required to conclude a hearing could be prejudicial to the public interest as set out in subsection 127(5) of the Act;

3. the Commission is of the opinion that it is in the public interest to make this Order; 4. by Authorization Order made August 21, 2015, pursuant to subsection 3.5(3) of the Act, each of Howard I. Wetston,

Monica Kowal, D. Grant Vingoe, Mary G. Condon, Edward P. Kerwin, Janet Leiper, Alan J. Lenczner, Timothy Moseley, and Christopher Portner, acting alone, is authorized to make orders under section 127 of the Act.

IT IS ORDERED pursuant to section 127 of the Act that:

1. pursuant to clause 2 of subsection 127(1), trading in any securities by Kotton and TEG shall cease;


November 12, 2015

(2015), 38 OSCB 9519

2. pursuant to clause 3 of subsection 127(1), any exemptions contained in Ontario securities law do not apply to Kotton or TEG; and

3. pursuant to subsection 127(6) of the Act, this Order shall take effect immediately and shall expire on the 15th

day after its making unless extended by the Commission. DATED at Toronto, this 6th day of November, 2015. “Grant Vingoe”


November 12, 2015

(2015), 38 OSCB 9520

2.2.7 Blue Gold Holdings Ltd. et al. – s. 127



AND

IN THE MATTER OF BLUE GOLD HOLDINGS LTD., DEREK BLACKBURN,

RAJ KURICHH AND NIGEL GREENING

ORDER (Section 127 of the Act)

WHEREAS: 1. On March 11, 2015, the Ontario Securities Commission (the “Commission”) issued a Notice of Hearing pursuant to

sections 127 and 127.1 of the Act in relation to a Statement of Allegations filed by Staff of the Commission (“Staff”) on March 11, 2015, to consider whether it is in the public interest to make certain orders against Blue Gold Holdings Ltd. (‘Blue Gold”), Derek Blackburn (‘Blackburn”), Raj Kurichh (“Kurichh”), and Nigel Greening (“Greening”);

2. On April 1, 2015, the Commission issued an Amended Notice of Hearing with respect to the Respondents, which set a

hearing in this matter for April 10, 2015 at 10:00 a.m.; 3. On April 10, 2015, Staff, counsel for Kurichh, George Schwartz as agent on behalf of Blackburn and on behalf of Blue

Gold, and Greening personally attended; 4. On April 10, 2015, George Schwartz, as agent for Blackburn and Blue Gold, took the position that the Commission has

no constitutional jurisdiction to proceed, declined the opportunity to bring a motion or present submissions in that regard at this time, and then withdrew representation on behalf of Blackburn and Blue Gold;

5. On April 10, 2015, the Commission ordered that the respondents Blackburn and Blue Gold need not be served with any

further documentation or notice of proceedings in this matter; 6. This matter was adjourned to a confidential pre-hearing conference on July 27, 2015; 7. On July 8, 2015, Staff requested an additional confidential pre-hearing conference to seek a determination in respect of

the disclosure of documents by Greening; 8. On July 17, 2015 the Commission held a confidential pre-hearing conference which Staff attended in person, and

Greening and counsel for Kurichh attended via teleconference; 9. The Panel heard submissions from Staff and the parties in attendance; 10. On July 17, 2015, the Commission ordered that by October 28, 2015, Staff:

a. serve on Greening and Kurichh (the “Participating Respondents”) copies of all documents that Staff intends to

produce or enter as evidence at the hearing on the merits; b. serve on the Participating Respondents and file a list of witnesses Staff intends to call to testify at the hearing;

and c. serve on the Participating Respondents summaries of the evidence that Staff's witnesses are expected to give

at the hearing;

11. On July 17, 2015, the Commission ordered that by October 28, 2015, each of the Participating Respondents: a. serve on Staff and the other Participating Respondent copies of all documents that the Participating

Respondent intends to produce or enter as evidence at the hearing on the merits; b. serve on Staff and the other Participating Respondent and file a list of witnesses the Participating Respondent

intends to call to testify at the hearing; and


November 12, 2015

(2015), 38 OSCB 9521

c. serve on Staff and the other Participating Respondent summaries of the evidence that the Participating Respondent’s witnesses are expected to give at the hearing;

12. On July 17, 2015, the Commission ordered that the hearing on the merits in this matter will commence at 10:00 a.m. on

April 18, 2016, and continue on April 20 to 22, 2016, or at such other time or times and such other dates as may be ordered by the Commission;

13. This matter was adjourned to a confidential pre-hearing conference on November 4, 2015; 14. On November 4, 2015 the Commission held a confidential pre-hearing conference which Staff attended in person, and

Greening and counsel for Kurichh attended via teleconference; 15. The Panel heard submissions from Staff and the parties in attendance; 16. Counsel for Kurichh advised that Kurichh intends to bring a motion for disclosure (“Disclosure Motion”); 17. The Commission is of the opinion that it is in the public interest to make this order. IT IS ORDERED that:

1. This matter is adjourned to a confidential pre-hearing conference on January 22, 2016, at 9:00 a.m.; 2. By November 16, 2015 counsel for Kurichh will file and serve on each party a notice of motion accompanied

by a motion record, in respect of the Disclosure Motion; 3. The Disclosure Motion shall be heard on January 8, 2016 at 10:00 a.m.; and 4. By January 15, 2016, the Participating Respondents will:

a. serve on Staff and the other Participating Respondent copies of all documents that the Participating Respondent intends to produce or enter as evidence at the hearing on the merits; and

b. serve on Staff and the other Participating Respondent summaries of the evidence that the

Participating Respondent’s witnesses are expected to give at the hearing. DATED at Toronto this 4th day of November, 2015. “Janet Leiper” “Alan J. Lenczner” “Timothy Moseley”


November 12, 2015

(2015), 38 OSCB 9522

2.3 Orders with Related Settlement Agreements 2.3.1 Quadrus Investment Services Ltd. – ss. 127(1), 127(2), 127.1



AND


ORDER

(Subsections 127(1) and 127(2) and section 127.1) WHEREAS: 1. on November 6, 2015, the Ontario Securities Commission (the “Commission”) issued a Notice of Hearing in relation to

the Statement of Allegations filed by Staff of the Commission (“Commission Staff”) on November 6, 2015 with respect to Quadrus Investment Services Ltd. (“Quadrus”);

2. the Notice of Hearing gave notice that on November 10, 2015, the Commission would hold a hearing to consider

whether it is in the public interest to approve a settlement agreement between Commission Staff and Quadrus dated November 6, 2015 (the “Settlement Agreement”);

3. in the Statement of Allegations, Commission Staff alleged control and supervision inadequacies relating to the Quadrus

Group of Funds which resulted in clients of Quadrus paying excess fees (the “MER Control and Supervision Inadequacy”);

4. Commission Staff are satisfied that Quadrus discovered and self-reported the MER Control and Supervision

Inadequacy to Commission Staff; 5. Commission Staff are satisfied that during the investigation of the MER Control and Supervision Inadequacy by

Commission Staff, Quadrus provided prompt, detailed and candid cooperation to Commission Staff and staff of the Mutual Fund Dealers’ Association of Canada;

6. Commission Staff are satisfied that Quadrus had formulated an intention to pay appropriate compensation to clients

and former clients in connection with its report of the MER Control and Supervision Inadequacy to Commission Staff; 7. as part of the Settlement Agreement, Quadrus undertakes to:

a. pay appropriate compensation to eligible clients and former clients that were affected by the MER Control and

Supervision Inadequacy (the “Affected Clients”) in accordance with a plan submitted by Quadrus to Commission Staff (the “Compensation Plan”) and to report to a manager or deputy director in the Compliance and Registrant Regulation Branch of the Commission (the “OSC Manager”) in accordance with the Compensation Plan;

b. make a voluntary payment of $20,000, to reimburse the Commission for costs incurred or to be incurred by it

in accordance with subsection 3.4(2)(a) of the Act; and c. make a further voluntary payment of $250,000, to be designated for allocation to or for the benefit of third

parties, or for use by the Commission for the purpose of educating investors or promoting or otherwise enhancing knowledge and information of persons regarding the operation of the securities and financial markets in accordance with subsections 3.4(2)(b)(i) or (ii) of the Act,

(the “Undertaking”);

8. the Commission has received the voluntary payments totalling $270,000 in escrow pending approval of the Settlement Agreement;

9. the Commission reviewed the Settlement Agreement, the Notice of Hearing and the Statement of Allegations of

Commission Staff and heard submissions of counsel for Quadrus and from Commission Staff; and


November 12, 2015

(2015), 38 OSCB 9523

10. the Commission is of the opinion that it is in the public interest to make this order;

IT IS ORDERED THAT:

a) the Settlement Agreement is approved; b) within 90 days of receiving comments from Commission Staff, Quadrus shall provide to the OSC Manager,

revised written policies and procedures (the “Revised Policies and Procedures”) that address any remaining issues raised by Commission Staff (the “Remaining Issues”) with regard to Quadrus’ procedures and controls, supervisory and monitoring systems designed to prevent the re-occurrence of the MER Control and Supervision Inadequacy in the future (the “Enhanced Control and Supervision Procedures”);

c) thereafter, Quadrus shall make such further modifications to its Revised Policies and Procedures as are

required to ensure that the Revised Policies and Procedures address any Remaining Issues to the satisfaction of the OSC Manager;

d) within 8 months of receiving confirmation from the OSC Manager that the Revised Policies and Procedures

satisfy the Remaining Issues (the “Confirmation Date”), Quadrus shall submit a letter (the “Attestation Letter”), signed by the Ultimate Designated Person (“UDP”) and the Chief Compliance Officer (“CCO”) of Quadrus, to the OSC Manager, expressing their opinion as to whether the Enhanced Control and Supervision Procedures were adequately followed, administered and enforced by Quadrus for the six month period commencing from the Confirmation Date;

e) the Attestation Letter shall be accompanied by a report which provides a description of the testing performed

to support the conclusions contained in the Attestation Letter; f) Quadrus shall submit such additional reports as may be requested by the OSC Manager for the purpose of

satisfying the OSC Manager that the opinion expressed in the Attestation Letter described in subparagraph (d) above is valid;

g) Quadrus or Commission Staff may apply to the Commission for directions in respect of any issues that may

arise with regard to the implementation of subparagraphs (b) to (f) above; and h) Quadrus shall comply with the Undertaking to:

i. pay compensation to the Affected Clients in accordance with the Compensation Plan and to report to the OSC Manager in accordance with the Compensation Plan;

ii. make a voluntary payment of $20,000, to reimburse the Commission for costs incurred or to be

incurred by it in accordance with subsection 3.4(2)(a) of the Act; and iii. make a further voluntary payment of $250,000, to be designated for allocation to or for the benefit of

third parties, or for use by the Commission for the purpose of educating investors or promoting or otherwise enhancing knowledge and information of persons regarding the operation of the securities and financial markets in accordance with subsections 3.4(2)(b)(i) or (ii) of the Act.

DATED at Toronto, Ontario this 10th day of November, 2015 “Timothy Moseley”


November 12, 2015

(2015), 38 OSCB 9524



AND


SETTLEMENT AGREEMENT BETWEEN

STAFF OF THE COMMISSION and QUADRUS INVESTMENT SERVICES LTD.

PART I – INTRODUCTION 1. The Ontario Securities Commission (the “Commission”) will issue a Notice of Hearing to announce that it will hold a

hearing to consider whether, pursuant to sections 127 and 127.1 of the Securities Act, R.S.O. 1990, c. S.5, as amended (the “Act”), it is in the public interest for the Commission to make certain orders in respect of Quadrus Investment Services Ltd. (“Quadrus”).

2. Quadrus is a corporation incorporated pursuant to the laws of Ontario. Quadrus is a member of the Mutual Fund

Dealers Association of Canada (“MFDA”) and is registered with the Commission as a dealer in the category of mutual fund dealer.

3. In February 2015, Quadrus self-reported a matter to Staff of the Commission (“Commission Staff”) and Staff of the

MFDA (“MFDA Staff”) relating to the Quadrus Group of Funds which consists of 48 mutual funds (the “Quadrus Funds”). When it self-reported to Commission Staff, Quadrus indicated to Commission Staff that it intended to pay appropriate compensation to clients and former clients. During Commission Staff’s investigation of the matter, Quadrus provided prompt, detailed and candid co-operation to Commission Staff and MFDA Staff.

4. As described in Part III below, it is Commission Staff’s position that in relation to this matter there were inadequacies in

Quadrus’ systems of controls and supervision which formed part of its compliance systems, which resulted in certain eligible clients not being advised that they qualified for a lower Management Expense Ratio (“MER”) series of Quadrus Funds, and resulted in their indirectly paying excess fees that were not detected or corrected by Quadrus in a timely manner (the “MER Control and Supervision Inadequacy”).

PART II – JOINT SETTLEMENT RECOMMENDATION 5. Commission Staff and Quadrus have agreed to a settlement of the proceeding initiated in respect of Quadrus by a

Notice of Hearing dated November 6, 2015 (the “Proceeding”) on the basis of the terms and conditions set out in this settlement agreement (“Settlement Agreement”). Commission Staff have consulted with MFDA Staff in relation to the underlying facts which are the subject matter of this Settlement Agreement.

6. Pursuant to this Settlement Agreement, Commission Staff agree to recommend to the Commission that the Proceeding

be resolved and disposed of in accordance with the terms and conditions contained herein. 7. It is Commission Staff's position that:

a. the statement of facts set out by Commission Staff in Part III below, which is based on an investigation carried

out by Commission Staff following the self-reporting by Quadrus, is supported by the evidence reviewed by Commission Staff and the conclusions contained in Part III are reasonable; and

b. it is in the public interest for the Commission to approve this Settlement Agreement, having regard to the

following considerations: (i) Commission Staff’s allegations are that Quadrus failed to establish, maintain and apply procedures to

establish controls and supervision:

A. sufficient to provide reasonable assurance that Quadrus, and each individual acting on behalf of Quadrus, complied with securities legislation, including the requirement to deal fairly with clients with regard to fees; and


November 12, 2015

(2015), 38 OSCB 9525

B. that were reasonably likely to identify the non-compliance described in A. above at an early stage and that would have allowed Quadrus to correct the non-compliant conduct in a timely manner;

(ii) Commission Staff do not allege, and have found no evidence of dishonest conduct by Quadrus; (iii) Quadrus discovered and self-reported the MER Control and Supervision Inadequacy to Commission

Staff; (iv) during the investigation of the MER Control and Supervision Inadequacy following the self-reporting,

Quadrus provided prompt, detailed and candid cooperation to Commission Staff; (v) Quadrus indicated an intention to pay appropriate compensation to eligible clients and former clients

when it reported the MER Control and Supervision Inadequacy to Commission Staff and, having advised Commission Staff of its intention to compensate eligible clients and former clients, Quadrus thereafter co-operated with Commission Staff with a view to providing appropriate compensation to eligible clients and former clients that were harmed by the MER Control and Supervision Inadequacy (the “Affected Clients”);

(vi) as part of this Settlement Agreement, Quadrus has agreed to pay appropriate compensation to the

Affected Clients, in accordance with a plan submitted by Quadrus to Commission Staff and presented to the Commission (the “Compensation Plan”), and anticipates implementing the Compensation Plan before the end of 2015. As at the date of this Settlement Agreement, Quadrus anticipates paying compensation to Affected Clients of approximately $8,000,000 in respect of the MER Control and Supervision Inadequacy;

(vii) the Compensation Plan prescribes, among other things:

A. the detailed methodology to be used for determining the compensation to be paid to the

Affected Clients, including the time value of money in respect of any monies to be paid by Quadrus to the Affected Clients;

B. the approach to be taken with regard to contacting and making payments to the Affected

Clients; C. the timing to complete the various steps included in the Compensation Plan; D. a $25 de minimis exception per Affected Client (the aggregate of which will be donated to

the Chartered Professional Accountants Canada (“CPA Canada”) Financial Literacy Program);

E. the approach to be taken to any remaining funds that are not paid out to Affected Clients

after the steps included in the Compensation Plan have been fully implemented. In that regard, the Compensation Plan provides that if Quadrus is not able to contact any former Affected Clients, notwithstanding the steps described in the Compensation Plan, Quadrus will use reasonable efforts to locate any Affected Clients who are eligible to receive payment of $200 or more including directory searches, internet searches, and the employment of third parties to assist in the search. If Quadrus determines that an Affected Client is deceased but does not know the identity of the personal representative of the Affected Client’s estate, and the estate is eligible to receive more than $400, Quadrus shall make reasonable efforts to identify the personal representative of the deceased Affected Client. Subject to any applicable unclaimed property legislation, any amounts remaining which are undistributed to non-located Affected Clients by December 31, 2016 will be donated to the CPA Canada Financial Literacy Program;

F. the resolution of Affected Client inquiries through an escalation process; and G. regular reporting to a manager or deputy director in the Compliance and Registrant

Regulation Branch of the Commission (“OSC Manager”) detailing Quadrus’ progress with respect to the implementation of the Compensation Plan, including with regard to the resolution of Affected Client inquiries;


November 12, 2015

(2015), 38 OSCB 9526

(viii) Quadrus has advised Commission Staff that there is no other instance of an MER Control and Supervision Inadequacy other than the MER Control and Supervision Inadequacy described herein;

(ix) Quadrus has taken corrective action to address the MER Control and Supervision Inadequacy and

has developed and implemented procedures and controls, supervisory and monitoring systems designed to prevent the re-occurrence of the MER Control and Supervision Inadequacy in the future (the “Enhanced Control and Supervision Procedures”), which may be subject to further modifications following a review by Commission Staff. As part of this Settlement Agreement, Quadrus is required to report to the OSC Manager on its ongoing progress in developing and implementing the Enhanced Control and Supervision Procedures;

(x) Quadrus has agreed to make a voluntary payment of $250,000 to the Commission to advance the

Commission’s mandate of protecting investors and fostering fair and efficient capital markets and to make a further voluntary payment of $20,000 to be allocated to costs;

(xi) the total agreed settlement amount of $270,000 will be paid by wire transfer before the

commencement of the hearing before the Commission to approve this Settlement Agreement, which payment is conditional upon approval of this Settlement Agreement by the Commission; and

(xii) the terms of this Settlement Agreement are appropriate in all the circumstances, including mitigating

factors and the principles of general and specific deterrence. Commission Staff are of the view that the voluntary payments referred to above in addition to the amounts to be paid as compensation to Affected Clients by Quadrus will emphasize to the marketplace that Commission Staff expect registrants to have compliance systems with appropriate controls and supervision in place which:

A. provide reasonable assurance that registrants, and each individual acting on behalf of

registrants, are complying with securities legislation, including the requirement to deal fairly with clients including, without limitation, with regard to fees; and

B. are reasonably likely to allow registrants to identify and correct non-compliance with

securities legislation in a timely manner.

8. Quadrus neither admits nor denies the accuracy of the facts or the conclusions of Commission Staff as set out in Part III of this Settlement Agreement.

9. Quadrus agrees to this Settlement Agreement and to the making of an order in the form attached as Schedule “A”. PART III – COMMISSION STAFF’S STATEMENT OF FACTS AND CONCLUSIONS A. Overview 10. Beginning in 2011, certain eligible Quadrus clients were not advised that they qualified for a lower MER series of

mutual funds of which Quadrus is the principal distributor and, as a result, indirectly paid excess fees when they invested in the higher MER series of securities of the same mutual fund.

11. The MER Control and Supervision Inadequacy continued undetected until late 2014. Quadrus discovered the MER

Control and Supervision Inadequacy as part of a review of its internal practices and procedures (the “Review”) prompted by the publication of a no-contest settlement agreement Commission Staff entered into with TD Waterhouse Private Investment Counsel Inc., TD Waterhouse Canada Inc. and TD Investment Services Inc. in November 2014.

12. Quadrus has since that time taken remedial steps in order to correct the MER Control and Supervision Inadequacy. B. The MER Control and Supervision Inadequacy 13. The Quadrus Funds consist of 48 mutual funds managed by Mackenzie Financial Corporation that are exclusively

available through Quadrus. 14. The Quadrus Funds are available in different series of securities. The MER differs for each series of securities of the

same mutual fund, with the MER being lower for series of securities with higher minimum investment thresholds (the “L Series”).

15. Beginning in September 2011, the L Series securities of the Quadrus Funds were generally available to Quadrus

clients where the client alone, or together with certain eligible family members, had $500,000 or more invested in


November 12, 2015

(2015), 38 OSCB 9527

certain accounts and products, and the client invested at least $100,000 in the L Series securities. The MERs for the L Series securities were an average of 35 basis points lower than the retail series (the “Q Series”) of securities available for the same mutual fund. The MER differences varied by fund.

16. In the context of the Review, Quadrus discovered that certain client accounts invested in the Q Series of a Quadrus

Fund that appeared to qualify for the L Series securities of that fund were not invested in the L Series and therefore the holders of those client accounts did not benefit from the L Series’ lower MER with regard to their investment in that fund. Quadrus became aware of the issue in or around November 2014. Specifically, a. Quadrus determined that it did not have adequate systems of internal controls and supervision in place to

ensure that when a purchase or transfer of investments into the Q Series of a Quadrus Fund exceeded the minimum investment thresholds, the client was consistently advised that a lower MER L Series of the same mutual fund was available to the client;

b. Quadrus determined that its internal controls failed to identify this MER Control and Supervision Inadequacy in

a timely manner; and c. Quadrus began to implement enhancements to its processes to help identify clients that met the minimum

investment thresholds required to qualify for L Series securities. 17. Quadrus self-reported this MER Control and Supervision Inadequacy to Commission Staff and MFDA Staff in February

2015. 18. Quadrus engaged an independent third party to validate the process used by Quadrus to ensure an accurate and

complete identification of Affected Clients and the calculation of amounts to be paid to Affected Clients as appropriate compensation. This third party validation is currently underway.

19. Quadrus has determined that there were approximately 3,329 client accounts that ought to have been invested in the L

Series securities of the same mutual fund but were not. 20. In accordance with the Compensation Plan, in respect of those client accounts, Quadrus will pay:

a. an amount representing the impact on Affected Client net asset values caused by the MER differential

between Q Series securities held by the client of a Quadrus Fund and the L Series securities of that mutual fund, for the entire period commencing when the Affected Client qualified for the L Series securities of that mutual fund and concluding on the earliest of:

(i) the end of the month that the Affected Client transferred to the L Series; (ii) the end of the month that the Affected Client closed his or her Quadrus account; or (iii) September 30, 2015 (the “Impact of the MER Differential”); and

b. an amount representing the time value of money in respect of the Impact of the MER Differential, calculated

monthly from the month end when an Affected Client first became eligible for the L Series until the payment date, based on a simple interest rate of 5% per annum (the “Foregone Investment Opportunity Cost”).

21. On this basis, Quadrus has estimated that the total compensation to be paid to Affected Clients as a result of this MER

Control and Supervision Inadequacy is approximately $8,000,000 inclusive of the Foregone Investment Opportunity Cost, where applicable.

C. Breaches of Ontario Securities Law 22. With respect to the MER Control and Supervision Inadequacy, Quadrus failed to establish, maintain and apply

procedures to establish controls and supervision: a. sufficient to provide reasonable assurance that Quadrus, and each individual acting on behalf of Quadrus,

complied with securities legislation, including the requirement to deal fairly with clients with regard to fees; and b. that were reasonably likely to identify the non-compliance described in a. above at an early stage and that

would have allowed Quadrus to correct the non-compliant conduct in a timely manner.


November 12, 2015

(2015), 38 OSCB 9528

23. As a result, the MER Control and Supervision Inadequacy constituted a breach of section 11.1 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations. In addition, the failure in Quadrus’ systems of controls and supervision associated with the MER Control and Supervision Inadequacy was contrary to the public interest.

D. Mitigating Factors 24. Commission Staff do not allege, and have found no evidence of, dishonest conduct by Quadrus. 25. Quadrus discovered and self-reported the MER Control and Supervision Inadequacy to Commission Staff and MFDA

Staff. 26. During the investigation of the MER Control and Supervision Inadequacy following the self-reporting by Quadrus,

Quadrus provided prompt, detailed and candid cooperation to Commission Staff. 27. Quadrus had formulated an intention to pay appropriate compensation to Affected Clients in connection with its report

of the MER Control and Supervision Inadequacy to Commission Staff and, thereafter, co-operated with Commission Staff with a view to providing appropriate compensation to the Affected Clients that were harmed by the MER Control and Supervision Inadequacy.

28. Quadrus has begun implementing a program to pay appropriate compensation to the Affected Clients, in accordance

with the Compensation Plan. As at the date of this Settlement Agreement, Quadrus anticipates paying compensation to Affected Clients of approximately $8,000,000 in respect of the MER Control and Supervision Inadequacy.

29. The Compensation Plan prescribes, among other things:

a. the detailed methodology to be used for determining the compensation to be paid to the Affected Clients,

including the time value of money in respect of any monies to be paid by Quadrus to the Affected Clients; b. the approach to be taken with regard to contacting and making payments to the Affected Clients; c. the timing to complete the various steps included in the Compensation Plan; d. a $25 de minimis exception per Affected Client (the aggregate of which will be donated to the CPA Canada

Financial Literacy Program); e. the approach to be taken to any remaining funds that are not paid out to Affected Clients after the steps

included in the Compensation Plan have been fully implemented. In that regard, the Compensation Plan provides that if Quadrus is not able to contact any former Affected Clients, notwithstanding the steps described in the Compensation Plan, Quadrus will use reasonable efforts to locate any Affected Clients who are eligible to receive payment of $200 or more including directory searches, internet searches, and the employment of third parties to assist in the search. If Quadrus determines that an Affected Client is deceased but does not know the identity of the personal representative of the Affected Client’s estate, and the estate is eligible to receive more than $400, Quadrus shall make reasonable efforts to identify the personal representative of the deceased Affected Client. Subject to any applicable unclaimed property legislation, any amounts remaining which are undistributed to non-located Affected Clients by December 31, 2016 will be donated to the CPA Canada Financial Literacy Program;

f. the resolution of Affected Client inquiries through an escalation process; and g. regular reporting to the OSC Manager detailing Quadrus’ progress with respect to the implementation of the

Compensation Plan, including with regard to the resolution of Affected Client inquiries.

30. Quadrus has advised Commission Staff that there is no other instance of a MER Control and Supervision Inadequacy other than the MER Control and Supervision Inadequacy described herein.

31. Quadrus has taken corrective action, and has developed and implemented the Enhanced Control and Supervision

Procedures, which may be subject to further modifications following a review by Commission Staff. As part of this Settlement Agreement, Quadrus is required to report to the OSC Manager on its ongoing progress in developing and implementing the Enhanced Control and Supervision Procedures.


November 12, 2015

(2015), 38 OSCB 9529

32. Quadrus has agreed to make a voluntary payment of $250,000 to the Commission to advance the Commission’s mandate of protecting investors and fostering fair and efficient capital markets and to make a further voluntary payment of $20,000 to be allocated to costs.

33. Quadrus will pay the total agreed settlement amount of $270,000 by wire transfer before the commencement of the

hearing before the Commission to approve this Settlement Agreement, which payment is conditional upon approval of this Settlement Agreement by the Commission.

34. The terms of settlement are appropriate in all the circumstances, including mitigating factors and the principles of

general and specific deterrence. Commission Staff are of the view that the voluntary payments referred to above in addition to the amounts to be paid as compensation to Affected Clients by Quadrus will emphasize to the marketplace that Commission Staff expect registrants to have compliance systems with appropriate controls and supervision in place which: a. provide reasonable assurance that registrants, and each individual acting on behalf of registrants, are

complying with securities legislation, including the requirement to deal fairly with clients including, without limitation, with regard to fees; and

b. are reasonably likely to allow registrants to identify and correct non-compliance with securities legislation in a

timely manner.

E. Quadrus’ Undertaking 35. By signing this Settlement Agreement, Quadrus undertakes to:

a. pay compensation to the Affected Clients in accordance with the Compensation Plan and to report to the OSC Manager in accordance with the Compensation Plan;




(the “Undertaking”).

PART IV – TERMS OF SETTLEMENT 36. Quadrus agrees to the terms of settlement listed below and consents to the Order attached hereto, pursuant to

sections 127 and section 127.1 of the Act, that: a. the Settlement Agreement is approved; b. within 90 days of receiving comments from Commission Staff, Quadrus shall provide revised written policies

and procedures (the “Revised Policies and Procedures”) that address any remaining issues raised by Commission Staff with regard to Quadrus’ policies and procedures to establish the Enhanced Control and Supervision Procedures (the “Remaining Issues”);

c. thereafter, Quadrus shall make such further modifications to its Revised Policies and Procedures as are


d. within 8 months of receiving confirmation from the OSC Manager that the Revised Policies and Procedures


e. the Attestation Letter shall be accompanied by a report which provides a description of the testing performed

to support the conclusions contained in the Attestation Letter;


November 12, 2015

(2015), 38 OSCB 9530

f. Quadrus shall submit such additional reports as may be requested by the OSC Manager for the purpose of satisfying the OSC Manager that the opinion expressed in the Attestation Letter described in subparagraph (d) above is valid;

g. Quadrus or Commission Staff may apply to the Commission for directions in respect of any issues that may

arise with regard to the implementation of subparagraphs (b) to (f) above; h. Quadrus shall comply with the Undertaking to:

(i) pay compensation to the Affected Clients in accordance with the Compensation Plan and report to the OSC Manager in accordance with the Compensation Plan;

(ii) make a voluntary payment of $20,000, to reimburse the Commission for costs incurred or to be

incurred by it in accordance with subsection 3.4(2)(a) of the Act; and (iii) make a further voluntary payment of $250,000, to be designated for allocation to or for the benefit of


37. Quadrus agrees to make the payments described in subparagraphs 36(h)(ii) and (iii) above by wire transfer before the

commencement of the hearing before the Commission to approve this Settlement Agreement. PART V – COMMISSION STAFF COMMITMENT 38. If the Commission approves this Settlement Agreement, Commission Staff will not commence any proceeding under

Ontario securities law in relation to Commission Staff’s Statement of Facts and Conclusions set out in Part III of this Settlement Agreement, subject to the provisions of paragraph 39 below and except that with respect to paragraph 30 above, nothing in this Settlement Agreement shall be interpreted as limiting Commission Staff’s ability to commence proceedings against Quadrus in relation to any control and supervision inadequacies leading to clients paying excess fees other than the MER Control and Supervision Inadequacy described herein.

39. If the Commission approves this Settlement Agreement and Quadrus fails to comply with any of the terms of this

Settlement Agreement, Commission Staff may bring proceedings under Ontario securities law against Quadrus. These proceedings may be based on, but are not limited to, Commission Staff’s Statement of Facts and Conclusions set out in Part III of this Settlement Agreement as well as the breach of this Settlement Agreement.

PART VI – PROCEDURE FOR APPROVAL OF SETTLEMENT 40. The parties will seek approval of this Settlement Agreement at a public hearing before the Commission scheduled for

November 10, 2015, or on another date agreed to by Commission Staff and Quadrus, according to the procedures set out in this Settlement Agreement and the Commission’s Rules of Procedure.

41. Commission Staff and Quadrus agree that this Settlement Agreement will form all of the evidence that will be submitted

at the settlement hearing on Quadrus’ conduct, unless the parties agree that additional evidence should be submitted at the settlement hearing.

42. If the Commission approves this Settlement Agreement, Quadrus agrees to waive all rights to a full hearing, judicial

review or appeal of this matter under the Act. 43. If the Commission approves this Settlement Agreement, Quadrus will not make any public statement that is

inconsistent with this Settlement Agreement or with any additional evidence submitted at the settlement hearing. In addition, Quadrus agrees that it will not make any public statement that there is no factual basis for this Settlement Agreement. Nothing in this paragraph affects Quadrus’ testimonial obligations or the right to take legal or factual positions in other investigations or legal proceedings in which the Commission and/or Commission Staff is not a party or in which any provincial or territorial securities regulatory authority in Canada and/or its Commission Staff is not a party (“Other Proceedings”) or to make public statements in connection with Other Proceedings.

44. Whether or not the Commission approves this Settlement Agreement, Quadrus will not use in any proceeding, this

Settlement Agreement or the negotiation or process of approval of this Settlement Agreement, as the basis for any attack on the Commission's jurisdiction, alleged bias, alleged unfairness, or any other remedies or challenges that may otherwise be available.


November 12, 2015

(2015), 38 OSCB 9531

PART VII – DISCLOSURE OF SETTLEMENT AGREEMENT 45. If the Commission does not approve this Settlement Agreement or does not make the order attached as Schedule “A”

to this Settlement Agreement: a. this Settlement Agreement and all discussions and negotiations between Commission Staff and Quadrus

before the settlement hearing takes place will be without prejudice to Commission Staff and Quadrus; and b. Commission Staff and Quadrus will each be entitled to all available proceedings, remedies and challenges,

including proceeding to a hearing of the allegations contained in the Statement of Allegations. Any proceedings, remedies and challenges will not be affected by this Settlement Agreement, or by any discussions or negotiations relating to this Settlement Agreement.

46. The parties will keep the terms of this Settlement Agreement confidential until the commencement of the public hearing

to obtain approval of this Settlement Agreement by the Commission. Any obligations of confidentiality shall terminate upon the commencement of the public settlement hearing. If for whatever reason, the Commission does not approve this Settlement Agreement, the terms of this Settlement Agreement remain confidential indefinitely, unless Commission Staff and Quadrus otherwise agree or if required by law.

PART VIII – EXECUTION OF SETTLEMENT AGREEMENT 47. This agreement may be signed in one or more counterparts which, together, constitute a binding agreement. 48. A facsimile copy or other electronic copy of any signature will be as effective as an original signature.

Dated this 6th day of November, 2015.

“Monique Aitken” Witness

Quadrus Investment Services Ltd. By: “Ruth Ann McConkey” Authorized Signatory

By: “Geoff Heyland” Authorized Signatory

“Tom Atkinson” Tom Atkinson Director, Enforcement Branch


November 12, 2015

(2015), 38 OSCB 9532

SCHEDULE “A”



AND


ORDER

(Subsections 127(1) and 127(2) and section 127.1) WHEREAS: 1. on November 6, 2015, the Ontario Securities Commission (the “Commission”) issued a Notice of Hearing in relation to

the Statement of Allegations filed by Staff of the Commission (“Commission Staff”) on November 6, 2015 with respect to Quadrus Investment Services Ltd. (“Quadrus”);

2. the Notice of Hearing gave notice that on November 10, 2015, the Commission would hold a hearing to consider

whether it is in the public interest to approve a settlement agreement between Commission Staff and Quadrus dated November 6, 2015 (the “Settlement Agreement”);

3. in the Statement of Allegations, Commission Staff alleged control and supervision inadequacies relating to the Quadrus

Group of Funds which resulted in clients of Quadrus paying excess fees (the “MER Control and Supervision Inadequacy”);

4. Commission Staff are satisfied that Quadrus discovered and self-reported the MER Control and Supervision

Inadequacy to Commission Staff; 5. Commission Staff are satisfied that during the investigation of the MER Control and Supervision Inadequacy by

Commission Staff, Quadrus provided prompt, detailed and candid cooperation to Commission Staff and staff of the Mutual Fund Dealers’ Association of Canada;

6. Commission Staff are satisfied that Quadrus had formulated an intention to pay appropriate compensation to clients

and former clients in connection with its report of the MER Control and Supervision Inadequacy to Commission Staff; 7. as part of the Settlement Agreement, Quadrus undertakes to:

a. pay appropriate compensation to eligible clients and former clients that were affected by the MER Control and Supervision Inadequacy (the “Affected Clients”) in accordance with a plan submitted by Quadrus to Commission Staff (the “Compensation Plan”) and to report to a manager or deputy director in the Compliance and Registrant Regulation Branch of the Commission (the “OSC Manager”) in accordance with the Compensation Plan;




(the “Undertaking”);

8. the Commission has received the voluntary payments totalling $270,000 in escrow pending approval of the Settlement

Agreement; 9. the Commission reviewed the Settlement Agreement, the Notice of Hearing and the Statement of Allegations of

Commission Staff and heard submissions of counsel for Quadrus and from Commission Staff; and 10. the Commission is of the opinion that it is in the public interest to make this order;


November 12, 2015

(2015), 38 OSCB 9533

IT IS ORDERED THAT:

a) the Settlement Agreement is approved; b) within 90 days of receiving comments from Commission Staff, Quadrus shall provide to the OSC Manager,

revised written policies and procedures (the “Revised Policies and Procedures”) that address any remaining issues raised by Commission Staff (the “Remaining Issues”) with regard to Quadrus’ procedures and controls, supervisory and monitoring systems designed to prevent the re-occurrence of the MER Control and Supervision Inadequacy in the future (the “Enhanced Control and Supervision Procedures”);

c) thereafter, Quadrus shall make such further modifications to its Revised Policies and Procedures as are


d) within 8 months of receiving confirmation from the OSC Manager that the Revised Policies and Procedures


e) the Attestation Letter shall be accompanied by a report which provides a description of the testing performed

to support the conclusions contained in the Attestation Letter; f) Quadrus shall submit such additional reports as may be requested by the OSC Manager for the purpose of

satisfying the OSC Manager that the opinion expressed in the Attestation Letter described in subparagraph (d) above is valid;

g) Quadrus or Commission Staff may apply to the Commission for directions in respect of any issues that may

arise with regard to the implementation of subparagraphs (b) to (f) above; and h) Quadrus shall comply with the Undertaking to:

i. pay compensation to the Affected Clients in accordance with the Compensation Plan and to report to the OSC Manager in accordance with the Compensation Plan;

ii. make a voluntary payment of $20,000, to reimburse the Commission for costs incurred or to be

incurred by it in accordance with subsection 3.4(2)(a) of the Act; and iii. make a further voluntary payment of $250,000, to be designated for allocation to or for the benefit of


DATED at Toronto, Ontario this _______ day of November, 2015 ________________________________________


November 12, 2015

(2015), 38 OSCB 9534


November 12, 2015

(2015), 38 OSCB 9535

Chapter 3

Reasons: Decisions, Orders and Rulings 3.2 Director’s Decisions 3.2.1 Cornerstone Asset Management L.P. – s. 31

IN THE MATTER OF STAFF’S RECOMMENDATION TO SUSPEND THE REGISTRATION OF

CORNERSTONE ASSET MANAGEMENT L.P.

OPPORTUNITY TO BE HEARD BY THE DIRECTOR UNDER SECTION 31 OF THE SECURITIES ACT

1. Staff has made a recommendation to suspend the registration of Cornerstone Asset Management L.P. (Cornerstone).

Pursuant to section 31 of the Securities Act (Ontario) (the Act), Cornerstone requested an opportunity to be heard. 2. Cornerstone is registered in Ontario, Alberta and British Columbia as an exempt market dealer. Ontario is its principal

regulator. 3. The factual basis for Staff’s recommendation is as follows:

a) Cornerstone failed to deliver its financial statements for its 2014 financial year by the prescribed deadline of

March 31, 2015. They were ultimately filed late on August 21, 2015. b) Cornerstone failed to deliver its completed Form 31-103F1 Calculation of Excess Working Capital by the

prescribed deadline of March 31, 2015. This was ultimately filed late on June 3, 2015. c) Between March 31, 2015 and the dates they were ultimately filed, Staff made repeated inquiries as to when

Cornerstone would be making its financial information filings and as to whether Cornerstone was maintaining solvency. On several occasions, Cornerstone did not reply by the deadlines imposed by Staff.

d) In the course of correspondence with Cornerstone about its late filings, Staff identified concerns with

Cornerstone’s solvency and requested information about the recoverability of a related party receivable. The information Cornerstone provided was not adequate to resolve these concerns. Staff took the view that if the receivable proved not to be recoverable by Cornerstone, then Cornerstone would have a working capital deficiency.

e) Cornerstone was not responsive to repeated attempts by Staff to obtain the required information to address its

concerns.

4. Staff’s position is that the elements of the test for suspension of Cornerstone’s registration under section 28 of the Act are present in that: a) Cornerstone is unsuitable for registration in that it lacks the requisite solvency for registration; b) Cornerstone has failed to comply with Ontario securities law and specifically section 12.12 of National

Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, by failing to deliver its financial information within the required timeframe, and subsection 19(3) of the Act, by failing to deliver books and records required to be kept by a market participant to Staff in a timely manner; and

c) Cornerstone’s ongoing registration would be objectionable because it would be unfair to other registered firms

who have worked to expend the time and resources necessary to meet their solvency obligations and filing requirements and to comply with Staff’s requests.

5. Cornerstone initially requested an opportunity to be heard before the Director. However, in a letter subsequent to this

request, Cornerstone indicated that it intended to complete the restructuring of its business in a manner that would adequately recapitalize the firm, but that the restructuring was delayed. Cornerstone acknowledged that it has various capital issues and restructuring will be required to remedy the deficiencies. Finally, Cornerstone consented to the suspension of its registration.

Reasons: Decisions, Orders and Rulings

November 12, 2015

(2015), 38 OSCB 9536

6. My decision is that the registration of Cornerstone is suspended. I agree with Staff’s recommendations, including its analysis that the facts demonstrate the elements of the test for suspension under section 28 of the Act. Furthermore, Cornerstone was provided with the opportunity to submit materials for review by the Director and no factual information was submitted. Finally, Cornerstone acknowledged and accepted the suspension recommendation made by Staff.

“Debra Foubert” J.D. Director, Compliance and Registrant Regulation Branch Ontario Securities Commission November 6, 2015

November 12, 2015

(2015), 38 OSCB 9537

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 ofLapse/Revoke

Azabache Energy Inc. 9 November 2015 20 November 2015

EmberClear Corp. 6 November 2015 18 November 2015

La Jolla Capital Inc. 9 November 2015 20 November 2015

Medipure Holdings Inc. 9 November 2015 20 November 2015 4.2.1 Temporary, Permanent & Rescinding Management Cease Trading Orders

Company Name Date of Order or Temporary Order

Date of Hearing Date ofPermanent Order

Date of Lapse/ Expire

Date of Issuer

Temporary Order

Enerdynamic Hybrid Technologies Corp.

4 November 2015 16 November 2015

Enerdynamic Hybrid Technologies Corp.

22 October 2015 4 November 2015 4 November 2015

4.2.2 Outstanding Management & Insider Cease Trading Orders

Company Name Date of Order or Temporary Order

Date of Hearing Date ofPermanent Order

Date of Lapse/ Expire

Date of IssuerTemporary

Order

Boyuan Construction Group, Inc. 02 October 2015 14 October 2015 14 October 2015

Enerdynamic Hybrid Technologies Corp. 4 November 2015 16 November 2015

Enerdynamic Hybrid Technologies Corp. 22 October 2015 4 November 2015 4 November 2015

Enerdynamic Hybrid Technologies Corp. 15 October 2015 28 October 2015 28 October 2015

Cease Trading Orders

November 12, 2015

(2015), 38 OSCB 9538


November 12, 2015

(2015), 38 OSCB 9539

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

November 12, 2015

(2015), 38 OSCB 9540

Issuer Name Security Insider Name Rel'n Transaction Date

T/O Unit Price

Date/Month End Holdings

Acquired/ Disposed

Aberdeen International Inc. Common Shares Miller, III, Lloyd I. 3 04/11/2015 10 0.0923 1,740,000 44,500 Abitibi Royalties Inc. Common Shares Ball, Ian 4, 5 04/11/2015 51 2.18 42,237 7,270 Abitibi Royalties Inc. Common Shares Ball, Ian 4, 5 04/11/2015 10 2.61 6,150 200 Abitibi Royalties Inc. Common Shares Ball, Ian 4, 5 04/11/2015 10 2.55 6,550 400 Abitibi Royalties Inc. Common Shares Ball, Ian 4, 5 04/11/2015 10 2.56 6,650 100 Abitibi Royalties Inc. Common Shares Ball, Ian 4, 5 04/11/2015 10 2.56 6,750 100 Abitibi Royalties Inc. Common Shares Ball, Ian 4, 5 04/11/2015 10 2.5 6,850 100 Abitibi Royalties Inc. Common Shares Ball, Ian 4, 5 04/11/2015 10 2.58 6,950 100 Abitibi Royalties Inc. Common Shares Ball, Ian 4, 5 04/11/2015 10 2.45 7,050 100 Abitibi Royalties Inc. Common Shares Ball, Ian 4, 5 04/11/2015 10 2.7 7,150 100 Abitibi Royalties Inc. Common Shares Ball, Ian 4, 5 04/11/2015 10 2.45 7,250 100 Abitibi Royalties Inc. Options Ball, Ian 4, 5 04/11/2015 51 106,738 -7,270 Abitibi Royalties Inc. Common Shares Groia, Joseph 4, 6 04/11/2015 51 2.18 21,982 2,912 Abitibi Royalties Inc. Options Groia, Joseph 4, 6 04/11/2015 51 71,288 -2,912 Abitibi Royalties Inc. Common Shares Mullan, Glenn J 4, 6, 5 04/11/2015 51 2.5 85,195 2,940 Abitibi Royalties Inc. Options Mullan, Glenn J 4, 6, 5 04/11/2015 51 421,560 -2,940 Abitibi Royalties Inc. Common Shares Pepper, Andrew Turcotte 4 04/11/2015 51 2.5 13,603 4,144 Abitibi Royalties Inc. Options Pepper, Andrew Turcotte 4 04/11/2015 51 216,356 -4,144 Acasti Pharma Inc. Common Shares (Actions

de catégorie A) Bélanger, Jean-Daniel 5 15/10/2015 37 250 -2,250

Acasti Pharma Inc. Options Bélanger, Jean-Daniel 5 15/10/2015 37 7,200 -64,800 Acasti Pharma Inc. Options Bélanger, Jean-Daniel 5 25/10/2015 52 2.5 -25,000 Acasti Pharma Inc. Options Bélanger, Jean-Daniel 5 25/10/2015 52 2.5 -25,000 Acasti Pharma Inc. Options Bélanger, Jean-Daniel 5 25/10/2015 52 4,700 -2,500 Acasti Pharma Inc. Options Carter, Roderick Noel 4 15/10/2015 37 10,000 -90,000 Acasti Pharma Inc. Common Shares (Actions

de catégorie A) Denis, Ronald 4 15/10/2015 37 7,250 -65,250

Acasti Pharma Inc. Options Denis, Ronald 4 15/10/2015 37 15,000 -135,000 Acasti Pharma Inc. Common Shares (Actions

de catégorie A) Fitzgibbon, Pierre 4 15/10/2015 37 500 -4,500

Acasti Pharma Inc. Options Fitzgibbon, Pierre 4 15/10/2015 37 7,500 -67,500 Acasti Pharma Inc. Options Harvey, Laurent 5 15/10/2015 37 13,700 -123,300 Acasti Pharma Inc. Common Shares (Actions

de catégorie A) Huart, Benoît 5 15/10/2015 37 1,375 -12,375

Acasti Pharma Inc. Options Huart, Benoît 5 15/10/2015 37 13,600 -122,400 Acasti Pharma Inc. Common Shares (Actions

de catégorie A) Lemieux, Pierre 5 15/10/2015 37 7,000 -63,000

Acasti Pharma Inc. Options Lemieux, Pierre 5 15/10/2015 37 59,400 -534,600 Acasti Pharma Inc. Warrants (Units) Lemieux, Pierre 5 15/10/2015 37 2,000 -18,000 Acasti Pharma Inc. Options Montgomery, Adrian Taylor 4 15/10/2015 37 17,500 -157,500 Acasti Pharma Inc. Common Shares (Actions

de catégorie A) Moretz, John Morris 4 15/10/2015 37 80,000 -720,000

Acasti Pharma Inc. Common Shares (Actions de catégorie A)

Neptune Technologies & Bioressources inc.

3 15/10/2015 37 5,068,094 -45,612,839

Acasti Pharma Inc. Subscription Rights juin 2011


3 07/09/2011 10 1.25 4,000,000



3 07/09/2011 10 1.25 4,326,196 4,000,000



3 08/09/2011 10 1.25 1,443,460



3 08/09/2011 10 1.25 5,769,656 1,443,460



3 09/09/2011 10 1.25 9,230,350



3 09/09/2011 10 1.25 15,000,006 9,230,350



3 19/09/2011 57 1.25 -15,000,006



3 19/09/2011 57 1.25 0 -15,000,006

Acasti Pharma Inc. Warrants (Séries 3) Neptune Technologies & Bioressources inc.

3 31/12/2010 55 0.4 0 -7,081,619

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9541


T/O Unit Price


Acquired/ Disposed

Acasti Pharma Inc. Warrants (Units) Neptune Technologies & Bioressources inc.

3 15/10/2015 37 59,250 -533,250

Acasti Pharma Inc. Common Shares (Actions de catégorie A)

Ripplinger, John 5 15/10/2015 37 2,000 -18,000

Acasti Pharma Inc. Options Ripplinger, John 5 15/10/2015 37 20,600 -185,400 Acasti Pharma Inc. Warrants (Units) Ripplinger, John 5 15/10/2015 37 1,000 -9,000 Acasti Pharma Inc. Common Shares (Actions

de catégorie A) Timperio, Michel 5 15/10/2015 37 8,522 -76,695

Acasti Pharma Inc. Options Groupe 11A Timperio, Michel 5 15/10/2015 37 7,500 -67,500 Acasti Pharma Inc. Options Groupe 1A Timperio, Michel 5 15/10/2015 37 2,500 -22,500 Acasti Pharma Inc. Options Groupe 4A Timperio, Michel 5 15/10/2015 37 10,000 -90,000 Acasti Pharma Inc. Warrants (Units) Timperio, Michel 5 15/10/2015 37 1,000 -9,000 Acasti Pharma Inc. Common Shares (Actions

de catégorie A) Tuckson, Reed 4 15/10/2015 37 730 -6,569

Acasti Pharma Inc. Options Tuckson, Reed 4 15/10/2015 37 17,500 -157,500 Acasti Pharma Inc. Options Turcotte, Mario 5 15/10/2015 37 5,000 -45,000 Acasti Pharma Inc. Common Shares (Actions

de catégorie A) Waksal, Harlan 4 15/10/2015 37 91,120 -820,080

Acasti Pharma Inc. Options Waksal, Harlan 4 15/10/2015 37 50,000 -450,000 Acasti Pharma Inc. Warrants (Séries 4) Waksal, Harlan 4 08/10/2013 55 0.5 0 -165,000 Acasti Pharma Inc. Warrants (Séries 6) Waksal, Harlan 4 16/02/2015 55 1.5 0 -375,000 Acasti Pharma Inc. Warrants (Séries 7) Waksal, Harlan 4 16/02/2015 55 1.5 0 -375,000 Acasti Pharma Inc. Common Shares (Actions

de catégorie A) Wenker, Jerald Joseph 4 15/10/2015 37 250 -2,250

Acasti Pharma Inc. Options Wenker, Jerald Joseph 4 15/10/2015 37 17,500 -157,500 Accord Financial Corp. Common Shares Warden, Stephen Duncan 4 30/10/2015 10 10.35 8,200 1,200 Accord Financial Corp. Common Shares Warden, Stephen Duncan 4 03/11/2015 10 10.35 8,300 100 Active Growth Capital Inc. Common Shares Leboeuf, Eric 3 04/11/2015 10 0.035 2,100,000 100,000 ADF Group Inc. Unités d'actions différées

(UAD-DSU) Belcourt, Marc 4 31/10/2015 56 27,496 107

ADF Group Inc. Unités d'actions différées (UAD-DSU)

Meti, Antonio 4 31/10/2015 56 9,720 38

ADF Group Inc. Unités d'actions différées (UAD-DSU)

Paré, Robert 4 31/10/2015 56 80,904 4,673

Advantage Oil & Gas Ltd. Rights Deferred Share Units

Angevine, Jill Terilee 4 31/10/2015 56 2,930 573


Balog, Stephen 4 31/10/2015 56 13,073 573


Fagerheim, Grant Bradley 4 31/10/2015 56 11,195 573


Haggis, Paul 4 31/10/2015 56 16,339 716


McIntosh, Ronald A 4 31/10/2015 56 19,612 860

Aequus Pharmaceuticals Inc. Common Shares JANZEN, DOUG 4, 5 02/11/2015 10 0.52 3,680,000 8,000 Aequus Pharmaceuticals Inc. Common Shares JANZEN, DOUG 4, 5 03/11/2015 10 50 3,685,000 5,000 Aequus Pharmaceuticals Inc. Common Shares JANZEN, DOUG 4, 5 04/11/2015 10 50 3,690,000 5,000 Aequus Pharmaceuticals Inc. Common Shares JANZEN, DOUG 4, 5 04/11/2015 10 0.51 3,692,000 2,000 Aequus Pharmaceuticals Inc. Common Shares Plakogiannis, Fotios 3, 4 03/11/2015 10 0.5 5,892,500 10,000 Aequus Pharmaceuticals Inc. Common Shares Plakogiannis, Fotios 3, 4 04/11/2015 10 0.5 5,900,500 8,000 Africa Energy Corp. (formerly Horn Petroleum Corporation)

Common Shares Martinez, Paul 8 28/10/2015 10 0.081 472,000 39,000

Agellan Commercial Real Estate Investment Trust

Units Agellan Commercial Real Estate Investment Trust

1 05/10/2015 38 8.6603 6,800 6,800



1 05/10/2015 38 0 -6,800



1 06/10/2015 38 8.7187 6,800 6,800



1 06/10/2015 38 0 -6,800



1 07/10/2015 38 8.6697 3,700 3,700



1 07/10/2015 38 0 -3,700

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9542


T/O Unit Price


Acquired/ Disposed

AGF Management Limited Common Shares Class B AGF Management Limited, La Societe de Gestion AGF Limitee

1 31/10/2015 38 5.3 500,000 500,000

AGF Management Limited Common Shares Class B AGF Management Limited, La Societe de Gestion AGF Limitee

1 31/10/2015 38 5.3 0 -500,000

AGF Management Limited Common Shares Class B Davis, Sarah Ruth 4 02/11/2015 10 5.4319 26,500 15,000 AgJunction Inc. (formerly Hemisphere GPS Inc.)

Options Batcheller, Barry D. 4 19/10/2015 38 0 -60,000

AgJunction Inc. (formerly Hemisphere GPS Inc.)

Restricted Shares Bittner, Mark 5 15/10/2015 56 0.65 353,804


Retention Plan Restricted Shares

Bittner, Mark 5 15/10/2015 22 0.65 353,804



Bittner, Mark 5 15/10/2015 22 0.65 353,804



Bittner, Mark 5 15/10/2015 22 0.65 353,804 353,804


Restricted Shares Kal, Husam 5 15/10/2015 56 0.65 353,804



Kal, Husam 5 15/10/2015 22 0.65 353,804



Kal, Husam 5 15/10/2015 22 0.65 353,804



Kal, Husam 5 15/10/2015 22 0.65 353,804 353,804


Restricted Shares Ladd, Jonathan 4 15/10/2015 56 0.65 530,706



Ladd, Jonathan 4 15/10/2015 22 0.65 530,706



Ladd, Jonathan 4 15/10/2015 22 0.65 530,706



Ladd, Jonathan 4 15/10/2015 22 0.65 530,706 530,706


Restricted Shares McIlvain, Benjamin 5 15/10/2015 56 0.65 176,902



McIlvain, Benjamin 5 15/10/2015 22 0.65 176,902



McIlvain, Benjamin 5 15/10/2015 22 0.65 176,902



McIlvain, Benjamin 5 15/10/2015 22 0.65 176,902 176,902


Restricted Shares Vaughn, David Eugene 4 15/10/2015 56 0.65 1,415,217



Vaughn, David Eugene 4 15/10/2015 22 0.65 1,415,217



Vaughn, David Eugene 4 15/10/2015 22 0.65 1,415,217



Vaughn, David Eugene 4 15/10/2015 22 0.65 1,415,217 1,415,217

Aimia Inc. Common Shares Aimia Inc. 1 01/10/2015 38 11.401 25,000 25,000 Aimia Inc. Common Shares Aimia Inc. 1 01/10/2015 38 0 -25,000 Aimia Inc. Common Shares Aimia Inc. 1 02/10/2015 38 11.476 25,000 25,000 Aimia Inc. Common Shares Aimia Inc. 1 02/10/2015 38 0 -25,000 Aimia Inc. Common Shares Aimia Inc. 1 05/10/2015 38 11.827 25,000 25,000 Aimia Inc. Common Shares Aimia Inc. 1 05/10/2015 38 0 -25,000 Aimia Inc. Common Shares Aimia Inc. 1 06/10/2015 38 11.97 25,000 25,000 Aimia Inc. Common Shares Aimia Inc. 1 06/10/2015 38 0 -25,000 Aimia Inc. Common Shares Aimia Inc. 1 07/10/2015 38 12.191 25,000 25,000 Aimia Inc. Common Shares Aimia Inc. 1 07/10/2015 38 0 -25,000 Aimia Inc. Common Shares Aimia Inc. 1 08/10/2015 38 12.368 25,000 25,000 Aimia Inc. Common Shares Aimia Inc. 1 08/10/2015 38 0 -25,000 Aimia Inc. Common Shares Aimia Inc. 1 09/10/2015 38 13.373 25,000 25,000 Aimia Inc. Common Shares Aimia Inc. 1 09/10/2015 38 0 -25,000 Aimia Inc. Common Shares Aimia Inc. 1 13/10/2015 38 12.344 25,000 25,000 Aimia Inc. Common Shares Aimia Inc. 1 13/10/2015 38 0 -25,000

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9543


T/O Unit Price


Acquired/ Disposed

Aimia Inc. Common Shares Aimia Inc. 1 14/10/2015 38 12.607 25,000 25,000 Aimia Inc. Common Shares Aimia Inc. 1 14/10/2015 38 0 -25,000 Aimia Inc. Common Shares Aimia Inc. 1 15/10/2015 38 12.441 25,000 25,000 Aimia Inc. Common Shares Aimia Inc. 1 15/10/2015 38 0 -25,000 Aimia Inc. Common Shares Aimia Inc. 1 16/10/2015 38 12.188 25,000 25,000 Aimia Inc. Common Shares Aimia Inc. 1 16/10/2015 38 0 -25,000 Aimia Inc. Common Shares Aimia Inc. 1 19/10/2015 38 12.166 25,000 25,000 Aimia Inc. Common Shares Aimia Inc. 1 19/10/2015 38 0 -25,000 Aimia Inc. Common Shares Aimia Inc. 1 20/10/2015 38 11.981 25,000 25,000 Aimia Inc. Common Shares Aimia Inc. 1 20/10/2015 38 0 -25,000 Aimia Inc. Common Shares Aimia Inc. 1 21/10/2015 38 12.125 25,000 25,000 Aimia Inc. Common Shares Aimia Inc. 1 21/10/2015 38 0 -25,000 Aimia Inc. Common Shares Aimia Inc. 1 22/10/2015 38 12.17 20,000 20,000 Aimia Inc. Common Shares Aimia Inc. 1 22/10/2015 38 0 -20,000 Aimia Inc. Common Shares Aimia Inc. 1 23/10/2015 38 12.298 20,000 20,000 Aimia Inc. Common Shares Aimia Inc. 1 23/10/2015 38 0 -20,000 Aimia Inc. Common Shares Aimia Inc. 1 26/10/2015 38 12.328 20,000 20,000 Aimia Inc. Common Shares Aimia Inc. 1 26/10/2015 38 0 -20,000 Aimia Inc. Common Shares Aimia Inc. 1 27/10/2015 38 12.274 20,000 20,000 Aimia Inc. Common Shares Aimia Inc. 1 27/10/2015 38 0 -20,000 Aimia Inc. Common Shares Aimia Inc. 1 28/10/2015 38 12.373 20,000 20,000 Aimia Inc. Common Shares Aimia Inc. 1 28/10/2015 38 0 -20,000 Aimia Inc. Common Shares Aimia Inc. 1 29/10/2015 38 12.332 20,000 20,000 Aimia Inc. Common Shares Aimia Inc. 1 29/10/2015 38 0 -20,000 Aimia Inc. Common Shares Aimia Inc. 1 30/10/2015 38 12.341 20,000 20,000 Aimia Inc. Common Shares Aimia Inc. 1 30/10/2015 38 0 -20,000 Air Canada Class B Voting Shares Air Canada 1 14/09/2015 38 11.98 200,000 200,000 Air Canada Class B Voting Shares Air Canada 1 14/09/2015 38 0 -200,000 Air Canada Class B Voting Shares Air Canada 1 15/09/2015 38 11.85 200,000 200,000 Air Canada Class B Voting Shares Air Canada 1 15/09/2015 38 0 -200,000 AlarmForce Industries Inc. Common Shares AlarmForce Industries Inc. 1 29/10/2015 38 2,300 -20,200 AlarmForce Industries Inc. Common Shares AlarmForce Industries Inc. 1 30/10/2015 38 0 -2,300 AlarmForce Industries Inc. Common Shares AlarmForce Industries Inc. 1 04/11/2015 38 11.499 2,300 2,300 AlarmForce Industries Inc. Common Shares AlarmForce Industries Inc. 1 05/11/2015 38 11.409 4,600 2,300 AlarmForce Industries Inc. Common Shares Investmentaktiengesellschaf

t für langfristige Investoren TGV

3 02/11/2015 10 11.45 2,549,604 1,000

AlarmForce Industries Inc. Common Shares Investmentaktiengesellschaft für langfristige Investoren TGV

3 04/11/2015 10 11.5 2,556,104 6,500

Alderon Iron Ore Corp. Common Shares Genzel, Kate-Lynn 5 06/11/2015 00 Alderon Iron Ore Corp. Options Genzel, Kate-Lynn 5 06/11/2015 00 ALDRIN RESOURCE CORP. Common Shares Dardi, Robert John 4 30/10/2015 10 0.14 25,666 -140,000 Alexandria Minerals Corporation

Common Shares Miranda, Mario Alejandro 5 30/10/2015 10 0.025 285,000 77,000

Algold Resources Ltd. Common Shares vergnol, thierry 7 29/10/2015 10 0.12 922,883 93,000 Algold Resources Ltd. Common Shares vergnol, thierry 7 03/11/2015 10 0.14 1,032,883 110,000 Algoma Central Corporation Common Shares Vanagas, Algis 5 29/10/2015 10 15.34 4,409 86 Algoma Central Corporation Common Shares Vanagas, Algis 5 29/10/2015 10 15.65 4,032 -377 Alta Vista Ventures Ltd. Common Shares Foreman, Ian James 4, 5 04/11/2015 10 0.05 820,000 Alta Vista Ventures Ltd. Common Shares Foreman, Ian James 4, 5 04/11/2015 11 0.05 1,851,442 820,000 Alta Vista Ventures Ltd. Warrants Foreman, Ian James 4, 5 04/11/2015 11 0.075 1,820,000 820,000 AltaGas Ltd. Rights Restricted Units

(RU) Best, Catherine May 4 01/11/2015 56 7,344 2,400

AltaGas Ltd. Rights Restricted Units (RU)

Best, Catherine May 4 01/11/2015 30 7,378 34


Best, Catherine May 4 01/11/2015 59 6,477 -901



Insider Reporting

November 12, 2015

(2015), 38 OSCB 9544


T/O Unit Price


Acquired/ Disposed








Calvert, Victoria Anne 4 01/11/2015 00


Calvert, Victoria Anne 4 01/11/2015 56 2,400 2,400

AltaGas Ltd. Common Shares Cornhill, David Wallace 4, 5 03/11/2015 51 18.15 1,463,094 188,300 AltaGas Ltd. Common Shares Cornhill, David Wallace 4, 5 03/11/2015 10 34.522 1,403,194 -59,900 AltaGas Ltd. Common Shares Cornhill, David Wallace 4, 5 04/11/2015 10 34.35 1,313,094 -90,100 AltaGas Ltd. Options at $18.15 expiring

November 9, 2019 Cornhill, David Wallace 4, 5 03/11/2015 51 18.15 0 -188,300


Edgeworth, Allan Leslie 4 01/11/2015 56 7,341 2,400


Edgeworth, Allan Leslie 4 01/11/2015 30 7,375 34


Edgeworth, Allan Leslie 4 01/11/2015 59 6,474 -901










Fergusson, Hugh 4 01/11/2015 56 7,340 2,400


Fergusson, Hugh 4 01/11/2015 30 7,374 34


Fergusson, Hugh 4 01/11/2015 59 6,473 -901


Fergusson, Hugh 4 01/11/2015 30 6,505 32


Fergusson, Hugh 4 01/11/2015 59 5,670 -835


Fergusson, Hugh 4 04/11/2015 30 5,703 33


Fergusson, Hugh 4 04/11/2015 59 4,838 -865


Gilbert, Daryl Harvey 4 01/11/2015 56 7,341 2,400


Gilbert, Daryl Harvey 4 01/11/2015 30 7,375 34


Gilbert, Daryl Harvey 4 01/11/2015 59 6,474 -901










Hodgins, Robert Bruce 4 01/11/2015 56 7,341 2,400


Hodgins, Robert Bruce 4 01/11/2015 30 7,375 34


Hodgins, Robert Bruce 4 01/11/2015 59 6,474 -901





Insider Reporting

November 12, 2015

(2015), 38 OSCB 9545


T/O Unit Price


Acquired/ Disposed






Kanik, Myron 4 01/11/2015 56 7,341 2,400


Kanik, Myron 4 01/11/2015 30 7,375 34


Kanik, Myron 4 01/11/2015 59 6,474 -901


Kanik, Myron 4 01/11/2015 30 6,506 32


Kanik, Myron 4 01/11/2015 59 5,671 -835


Kanik, Myron 4 04/11/2015 30 5,704 33


Kanik, Myron 4 04/11/2015 59 4,839 -865

AltaGas Ltd. Common Shares Knoll, Phillip R. 4 01/11/2015 00 1,000 AltaGas Ltd. Preferred Shares Series C Knoll, Phillip R. 4 01/11/2015 00 1,000 AltaGas Ltd. Rights Restricted Units

(RU) Knoll, Phillip R. 4 01/11/2015 00


Knoll, Phillip R. 4 01/11/2015 56 2,400 2,400


Mackie, David French 4 01/11/2015 56 7,341 2,400


Mackie, David French 4 01/11/2015 30 7,375 34


Mackie, David French 4 01/11/2015 59 6,474 -901










McCrank, Michael Neil 4 01/11/2015 56 7,341 2,400


McCrank, Michael Neil 4 01/11/2015 30 7,375 34


McCrank, Michael Neil 4 01/11/2015 59 6,474 -901









Altus Group Limited Common Share Performance Share Units

Gurnsey, David Lee 5 04/03/2015 56 2,957


Gurnsey, David Lee 5 04/03/2015 56 2,957


Gurnsey, David Lee 5 04/03/2015 56 2,957 2,957

Altus Group Limited Common Shares Gurnsey, David Lee 5 04/03/2015 00 Altus Group Limited Common Shares Gurnsey, David Lee 5 04/03/2015 00 Altus Group Limited Common Shares Gurnsey, David Lee 5 04/03/2015 00 Altus Group Limited Common Shares Gurnsey, David Lee 5 04/03/2015 00 Altus Group Limited Common Shares Gurnsey, David Lee 5 04/03/2015 00 8,778 American Core Sectors Dividend Fund

Trust Units American Core Sectors Dividend Fund

1 30/10/2015 38 10.961 2,481,880 1,500

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9546


T/O Unit Price


Acquired/ Disposed

American Hotel Income Properties REIT LP

Units Evans, Steve 4 30/10/2015 45 10.12 250,222 39,032

American Hotel Income Properties REIT LP

Units O'Neill, Robert Francis 4, 5 30/10/2015 45 10.12 250,222 39,032

Americas Petrogas Inc. Options Badwi, Abdel Fattah 4 01/11/2015 00 Americas Petrogas Inc. Options Badwi, Abdel Fattah 4 01/11/2015 50 0.25 2,000,000 2,000,000 Anthem United Inc. (formerly Turnberry Resources Ltd.)

Common Shares Smith, Gregory 3, 4, 5 04/11/2015 10 0.31 11,752,872 1,000

Anthem United Inc. (formerly Turnberry Resources Ltd.)

Common Shares Smith, Gregory 3, 4, 5 06/11/2015 10 0.305 11,753,872 1,000

Aphria Inc. (formerly, Black Sparrow Capital Corp.)

Common Shares Kozlov, Robert Avery 4 27/10/2015 00 25,000


Options Kozlov, Robert Avery 4 27/10/2015 00


Options Kozlov, Robert Avery 4 01/11/2015 50 1.19 50,000 50,000

ARC Resources Ltd. Common Shares Sembo, William, George 4 06/11/2015 10 15,300 2,500 Argentex Mining Corporation Common Shares International Finance

Corporation 3 02/11/2015 11 0.04 0 -10,804,706

Aston Bay Holdings Ltd. Common Shares Hayes, John Philip 8 03/11/2015 54 0.15 551,000 100,000 Aston Bay Holdings Ltd. Warrants Hayes, John Philip 8 03/11/2015 54 0.15 125,500 -100,000 Aston Hill Financial Inc. Common Shares Aston Hill Financial Inc. 1 01/10/2015 38 0.41 42,000 19,000 Aston Hill Financial Inc. Common Shares Aston Hill Financial Inc. 1 01/10/2015 38 40,000 -2,000 Aston Hill Financial Inc. Common Shares Aston Hill Financial Inc. 1 02/10/2015 38 0.41 51,000 11,000 Aston Hill Financial Inc. Common Shares Aston Hill Financial Inc. 1 05/10/2015 38 0.41 59,000 8,000 Aston Hill Financial Inc. Common Shares Aston Hill Financial Inc. 1 06/10/2015 38 0.41 68,000 9,000 Aston Hill Financial Inc. Common Shares Aston Hill Financial Inc. 1 07/10/2015 38 0.41 76,000 8,000 Aston Hill Financial Inc. Common Shares Aston Hill Financial Inc. 1 08/10/2015 38 0.41 81,000 5,000 Aston Hill Financial Inc. Common Shares Aston Hill Financial Inc. 1 09/10/2015 38 0.41 89,000 8,000 Aston Hill Financial Inc. Common Shares Aston Hill Financial Inc. 1 30/10/2015 38 0 -89,000 Aston Hill Financial Inc. Convertible Debentures Aston Hill Financial Inc. 1 30/10/2015 38 $0 -$6,000 Atalaya Mining plc (formerly EMED Mining Public Limited)

Common Shares Constantinides, Demetrios 5 20/10/2015 37 0.075 21,611 -626,722

Atalaya Mining plc (formerly EMED Mining Public Limited)

Options Constantinides, Demetrios 5 20/10/2015 37 106,666 -3,093,334


Options Constantinides, Demetrios 5 05/11/2015 52 18,333 -88,333


Options Davey, Roger Owen 4 20/10/2015 37 43,333 -1,256,667


Options Davey, Roger Owen 4 05/11/2015 52 13,333 -30,000


Common Shares Lavandeira, Alberto 4 20/10/2015 37 0.075 100,000 -2,900,000


Options Lavandeira, Alberto 4 20/10/2015 37 200,000 -5,800,000


Common Shares Lopez, Jesus Fernandez 4 20/10/2015 37 0.075 130,833 -3,794,167


Common Shares Sierra, José Nicholas 4 20/10/2015 37 0.075 26,666 -773,334


Options Sierra, José Nicholas 4 20/10/2015 37 33,333 -966,667

ATCO LTD. Non-Voting Shares Class I Maher, Anthony L. 5 31/10/2015 30 39.35 1,424 356 ATCO LTD. Non-Voting Shares Class I Maher, Anthony L. 5 01/11/2015 10 38 -170 ATCO LTD. Non-Voting Shares Class I Maher, Anthony L. 5 01/11/2015 10 38 -170 ATCO LTD. Non-Voting Shares Class I Maher, Anthony L. 5 03/11/2015 10 38 -170 ATCO LTD. Non-Voting Shares Class I Maher, Anthony L. 5 03/11/2015 10 38 -170 ATCO LTD. Non-Voting Shares Class I Maher, Anthony L. 5 03/11/2015 10 38 1,254 -170 Atlantic Power Corporation Convertible Debentures

5.6% Atlantic Power Corporation 1 01/10/2015 38 94.06 $47,000 $13,000

Atlantic Power Corporation Convertible Debentures 5.6%

Atlantic Power Corporation 1 02/10/2015 38 94.25 $60,000 $13,000



Insider Reporting

November 12, 2015

(2015), 38 OSCB 9547


T/O Unit Price


Acquired/ Disposed






Atlantic Power Corporation 1 08/10/2015 38 94 $112,000 $13,000














Atlantic Power Corporation 1 21/10/2015 38 94 $203,000 $13,000












Atlantic Power Corporation 1 30/10/2015 38 $13,000 -$251,000

Aurvista Gold Corporation Common Shares Lafleur, Jean 4, 5 28/10/2015 10 0.04 437,000 60,000 AXMIN Inc. (formerly Asquith Resources Inc.)

Common Shares AOG Holdings BV 3 30/10/2015 11 0.01 0 -16,155,938

AXMIN Inc. (formerly Asquith Resources Inc.)

Common Shares AOG Participations BV 3 30/10/2015 00

AXMIN Inc. (formerly Asquith Resources Inc.)

Common Shares AOG Participations BV 3 30/10/2015 11 0.01 16,155,938 16,155,938

Bank of Nova Scotia, The Common Shares Bank of Nova Scotia, The 1 30/10/2015 38 0 -727,278 Banro Corporation Common Shares KONDRAT, ARNOLD T. 5 27/10/2015 10 0.2846 1,125,532 26,000 Banro Corporation Common Shares KONDRAT, ARNOLD T. 5 27/10/2015 10 0.2828 1,129,532 4,000 Barkerville Gold Mines Ltd. Common Shares changfeng energy 4 16/04/2013 00 Barkerville Gold Mines Ltd. Common Shares changfeng energy 4 04/11/2015 10 0.24 435,000 435,000 Barkerville Gold Mines Ltd. Common Shares OBRADOVICH, THOMAS

JOHN 4 04/11/2015 10 0.24 792,000 425,000

Baylin Technologies Inc. Deferred Share Units Day, Stockwell 4 31/10/2015 56 1.7 21,578 1,471 Baylin Technologies Inc. Deferred Share Units Jones, Douglas Aubrey 4 31/10/2015 56 1.7 21,578 1,471 Baylin Technologies Inc. Deferred Share Units Reiter, Barry 4 31/10/2015 56 1.7 3,333 Baylin Technologies Inc. Deferred Share Units Reiter, Barry 4 31/10/2015 56 1.7 3,333 Baylin Technologies Inc. Deferred Share Units Reiter, Barry 4 31/10/2015 56 1.7 33,139 1,961 Baylin Technologies Inc. Deferred Share Units SIMMONDS, DONALD E. 4 31/10/2015 56 1.7 21,578 1,471 Baylin Technologies Inc. Deferred Share Units Wolkin, Harold Morton 4 31/10/2015 56 1.7 27,101 1,961 Beaufield Resources Inc. Common Shares Deluce, William 4 26/10/2015 00 50,000 Big Rock Labs Inc. Common Shares Seemann, Harald 4 02/11/2015 10 0.441 12,699,010 -10,000 Big Rock Labs Inc. Common Shares Seemann, Harald 4 02/11/2015 10 0.44 12,689,010 -10,000 Big Rock Labs Inc. Common Shares Seemann, Harald 4 05/11/2015 10 0.42 12,601,010 -88,000 BIOflex Technologies Inc. Options Dorward, Kristine 4 29/10/2015 50 200,000 200,000 Black Bull Resources Inc. Common Shares Wood, David Leonard 4 28/10/2015 11 0.005 10,920 2,000 Blackbird Energy Inc. Options Ahrens, Burton Joel 4 05/11/2015 50 0.18 1,000,000 250,000 Blackbird Energy Inc. Options Andrus, Kevin 4 05/11/2015 50 0.18 1,000,000 250,000 Blackbird Energy Inc. Options BRAUN, Garth John 4, 5 05/11/2015 50 0.18 5,064,284 1,500,000 Blackbird Energy Inc. Options Campbell, Sean Patrick 3, 4 05/11/2015 50 0.18 25,000

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9548


T/O Unit Price


Acquired/ Disposed

Blackbird Energy Inc. Options Campbell, Sean Patrick 3, 4 05/11/2015 50 0.18 1,200,000 250,000 Blackbird Energy Inc. Options Mann, Joshua Sheldon 5 05/11/2015 50 0.18 2,200,000 500,000 Blackbird Energy Inc. Options Noakes, Donald William

Norman 5 05/11/2015 50 0.18 2,000,000 1,000,000

Blackbird Energy Inc. Options Schmitz, Ron A. 4 05/11/2015 50 0.18 1,621,427 250,000 Blackbird Energy Inc. Options Swainson, Jeffrey Philip

James 5 05/11/2015 50 0.18 2,200,000 1,000,000

Blackbird Energy Inc. Options Wiebe, Craig George 5 05/11/2015 50 0.18 1,000,000 Blackbird Energy Inc. Options Wiebe, Craig George 5 05/11/2015 50 0.18 3,250,000 1,000,000 Blackheath Resources Inc. Common Shares Langer, Alexander 5 02/05/2013 00 Blackheath Resources Inc. Common Shares Langer, Alexander 5 04/11/2015 16 0.12 75,000 75,000 Blackheath Resources Inc. Warrants Langer, Alexander 5 02/05/2013 00 Blackheath Resources Inc. Warrants Langer, Alexander 5 04/11/2015 16 0.2 75,000 75,000 Blackheath Resources Inc. Common Shares Spong, Kerry Melbourne 3, 4, 5 04/11/2015 16 0.12 1,094,000 165,000 Blackheath Resources Inc. Warrants Spong, Kerry Melbourne 3, 4, 5 04/11/2015 53 205,000 165,000 Blue Ribbon Income Fund (formerly Citadel Diversified Investment Trust)

Trust Units Blue Ribbon Income Fund 1 13/10/2015 38 9.12 3,000 3,000

Blue Ribbon Income Fund (formerly Citadel Diversified Investment Trust)

Trust Units Blue Ribbon Income Fund 1 13/10/2015 38 9.12 0 -3,000































Insider Reporting

November 12, 2015

(2015), 38 OSCB 9549


T/O Unit Price


Acquired/ Disposed



















BluMetric Environmental Inc. (formerly Seprotech Systems Incorporated)

Options Hotchkies, James Waugh 5 03/07/2015 00


Options Hotchkies, James Waugh 5 02/11/2015 50 0.28 40,000 40,000


Options Karaiskos, Paraskeve (Vivian)

5 02/11/2015 50 0.28 240,000 200,000

Boardwalk Real Estate Investment Trust

Trust Units Boardwalk Real Estate Investment Trust

1 01/10/2015 38 53.736 5,000 5,000



1 01/10/2015 38 53.736 0 -5,000



1 06/10/2015 38 54.814 5,000 5,000



1 06/10/2015 38 54.814 0 -5,000



1 07/10/2015 38 54.779 5,000 5,000



1 07/10/2015 38 54.779 0 -5,000



1 26/10/2015 38 54.86 5,000 5,000



1 26/10/2015 38 54.86 0 -5,000



1 27/10/2015 38 54.54 5,000 5,000



1 27/10/2015 38 54.54 0 -5,000



1 28/10/2015 38 54.323 5,000 5,000



1 28/10/2015 38 54.323 0 -5,000



1 29/10/2015 38 54.22 5,000 5,000



1 29/10/2015 38 54.22 0 -5,000



1 30/10/2015 38 54 5,000 5,000



1 30/10/2015 38 54 0 -5,000

Bonterra Energy Corp. Common Shares Oberndorf, William 3 30/10/2015 10 21.71 1,407,200 900,000

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9550


T/O Unit Price


Acquired/ Disposed

Bonterra Energy Corp. Common Shares Oberndorf, William 3 30/10/2015 10 21.71 1,432,770 -900,000 BrightPath Early Learning Inc. (formerly Edleun Group, Inc.)

Common Shares BrightPath Early Learning Inc.

1 04/11/2015 38 0 -125,500

BrightPath Early Learning Inc. (formerly Edleun Group, Inc.)


1 04/11/2015 38 0.335 10,000 10,000



1 05/11/2015 38 0.3275 20,000 10,000



1 06/11/2015 38 0.325 30,000 10,000


Options Clarke, Colley 4 16/05/2015 52 229,000 -250,000


Options Gallivan, Daniel F. 4 16/05/2015 52 107,000 -175,000


Options Kearns, Dale Patrick 5 16/05/2015 52 475,000 -1,250,000


Options Olin, Jeffrey 6 23/05/2015 52 207,000 -175,000


Options Rosen, Mitchell 4, 5 16/05/2015 52 124,000 -175,000


Common Shares Vision Capital Corporation 3 02/11/2015 10 0.33 7,484




Common Shares Vision Capital Corporation 3 02/11/2015 10 0.33 -46,530











Brookfield Renewable Energy Partners L.P.

Limited Partnership Units Rank, Ralf Niklas 7 04/11/2015 10 33.86 3,098 2,000


Limited Partnership Units Rank, Ralf Niklas 7 12/11/2012 00


Limited Partnership Units Rank, Ralf Niklas 7 04/11/2015 10 33.8 570 570

Brownstone Energy Inc. Common Shares Mintz, Steven Michael 4 02/11/2015 10 0.01 1,655,750 85,000 BRP Inc. Subordinate Voting

Shares BRP Inc. 1 01/10/2015 38 24.992 20,000 20,000

BRP Inc. Subordinate Voting Shares

BRP Inc. 1 02/10/2015 38 24.199 59,800 39,800


BRP Inc. 1 05/10/2015 38 25.063 200,000


BRP Inc. 1 05/10/2015 38 25.063 79,800 20,000


BRP Inc. 1 06/10/2015 38 25.125 99,800 20,000

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9551


T/O Unit Price


Acquired/ Disposed


BRP Inc. 1 07/10/2015 38 25.349 109,800 10,000


BRP Inc. 1 08/10/2015 38 25.579 123,700 13,900


BRP Inc. 1 09/10/2015 38 25.814 136,200 12,500


BRP Inc. 1 13/10/2015 38 26.158 151,200 15,000


BRP Inc. 1 14/10/2015 38 26.774 171,200 20,000


BRP Inc. 1 15/10/2015 38 26.277 184,900 13,700


BRP Inc. 1 16/10/2015 38 26.331 204,900 20,000


BRP Inc. 1 19/10/2015 38 26.103 214,900 10,000


BRP Inc. 1 20/10/2015 38 26.071 234,900 20,000


BRP Inc. 1 21/10/2015 38 24.821 499,900 265,000


BRP Inc. 1 22/10/2015 38 24.399 519,900 20,000


BRP Inc. 1 23/10/2015 38 23.572 539,900 20,000


BRP Inc. 1 26/10/2015 38 23.352 559,900 20,000


BRP Inc. 1 27/10/2015 38 23.057 574,900 15,000


BRP Inc. 1 28/10/2015 38 23.33 589,900 15,000


BRP Inc. 1 29/10/2015 38 23.67 609,900 20,000


BRP Inc. 1 30/10/2015 38 23.585 629,900 20,000


BRP Inc. 1 30/10/2015 38 0 -629,900

BRP Inc. Deferred Share Units Cary, William H. 4 09/09/2015 00 BRP Inc. Deferred Share Units Cary, William H. 4 30/10/2015 56 23.4 1,068 1,068 BRP Inc. Deferred Share Units Hanley, Michael 4 30/10/2015 56 23.4 9,524 1,068 BRP Inc. Deferred Share Units Mazzorin, Carlos Enrique 4 30/10/2015 56 23.4 9,524 1,068 BRP Inc. Deferred Share Units Métayer, Estelle 4 30/10/2015 56 23.4 5,997 1,068 BRP Inc. Deferred Share Units O'Neill, Daniel J. 4 30/10/2015 56 23.4 9,524 1,068 BRP Inc. Deferred Share Units Philip, Edward Michael 4 30/10/2015 56 23.4 9,524 1,068 Buccaneer Gold Corp. Common Shares Clausi, Peter Michael 4 02/11/2015 00 5,500 Buccaneer Gold Corp. Common Shares Lowy, Eric 4, 5 10/08/2015 00 Buccaneer Gold Corp. Common Shares Lowy, Eric 4, 5 29/10/2015 11 0.03 10,000 10,000 Buccaneer Gold Corp. Options Swanborough, Kevin 4, 5 31/10/2015 50 500,000 250,000 Buccaneer Gold Corp. Options Zyla, Paul 4, 5 31/10/2015 50 0.05 800,000 400,000 Buhler Industries Inc. Common Shares Buhler, John 3, 4 02/11/2015 10 5.7 2,768,950 400 Buhler Industries Inc. Common Shares Buhler, John 3, 4 04/11/2015 10 5.7 2,769,750 800 Buhler Industries Inc. Common Shares Buhler, John 3, 4 05/11/2015 10 5.7 2,770,950 1,200 Buhler Industries Inc. Common Shares Buhler, John 3, 4 06/11/2015 10 5.7 2,772,150 1,200 Caldwell U.S. Dividend Advantage Fund

Units Caldwell US Dividend Advantage Fund

1 03/11/2015 38 8.95 55,700 1,000

Caldwell U.S. Dividend Advantage Fund

Units Caldwell US Dividend Advantage Fund

1 04/11/2015 38 8.95 57,700 2,000


Units CALDWELL, BRENDAN T.N.

7 06/10/2015 10 8.88 2,000 500



7 07/10/2015 10 8.89 2,500 500



7 09/10/2015 10 9.13 3,000 500



7 02/11/2015 10 8.94 5,000 1,000

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9552


T/O Unit Price


Acquired/ Disposed



7 06/10/2015 10 8.88 500



7 07/10/2015 10 8.89 500



7 09/10/2015 10 9.13 500

Calfrac Well Services Ltd. Common Shares Brown, James Michael 5 04/11/2015 10 1.8348 9,500 1,500 Calfrac Well Services Ltd. Common Shares Brown, James Michael 5 04/11/2015 10 1.831 10,200 700 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 01/10/2015 38 11.825 800 800 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 01/10/2015 38 0 -800 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 01/10/2015 38 11.723 1,000 1,000 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 01/10/2015 38 0 -1,000 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 01/10/2015 38 11.656 800 800 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 01/10/2015 38 0 -800 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 02/10/2015 38 11.458 400 400 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 02/10/2015 38 0 -400 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 02/10/2015 38 11.394 900 900 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 02/10/2015 38 0 -900 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 02/10/2015 38 11.392 1,300 1,300 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 02/10/2015 38 0 -1,300 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 05/10/2015 38 11.525 1,300 1,300 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 05/10/2015 38 0 -1,300 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 05/10/2015 38 11.514 1,300 1,300 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 05/10/2015 38 0 -1,300 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 06/10/2015 38 11.12 1,700 1,700 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 06/10/2015 38 0 -1,700 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 06/10/2015 38 11.278 900 900 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 06/10/2015 38 0 -900 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 07/10/2015 38 11.92 2,600 2,600 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 07/10/2015 38 0 -2,600 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 08/10/2015 38 12 2,600 2,600 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 08/10/2015 38 0 -2,600 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 09/10/2015 38 12.097 2,600 2,600 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 09/10/2015 38 0 -2,600 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 13/10/2015 38 12.08 1,000 1,000 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 13/10/2015 38 0 -1,000 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 13/10/2015 38 11.936 500 500 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 13/10/2015 38 0 -500 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 13/10/2015 38 12.009 1,100 1,100 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 13/10/2015 38 0 -1,100 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 14/10/2015 38 12.121 1,300 1,300 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 14/10/2015 38 0 -1,300 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 14/10/2015 38 12.048 1,000 1,000 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 14/10/2015 38 0 -1,000 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 14/10/2015 38 12.04 300 300 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 14/10/2015 38 0 -300 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 15/10/2015 38 11.97 2,600 2,600 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 15/10/2015 38 0 -2,600 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 16/10/2015 38 11.852 500 500 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 16/10/2015 38 0 -500 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 16/10/2015 38 11.9 2,100 2,100 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 16/10/2015 38 0 -2,100 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 19/10/2015 38 11.863 2,600 2,600 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 19/10/2015 38 0 -2,600 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 20/10/2015 38 11.84 2,600 2,600 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 20/10/2015 38 0 -2,600 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 21/10/2015 38 11.719 1,300 1,300 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 21/10/2015 38 0 -1,300 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 21/10/2015 38 11.785 1,300 1,300

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9553


T/O Unit Price


Acquired/ Disposed

Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 21/10/2015 38 0 -1,300 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 22/10/2015 38 11.39 1,300 1,300 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 22/10/2015 38 0 -1,300 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 22/10/2015 38 11.47 1,300 1,300 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 22/10/2015 38 0 -1,300 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 23/10/2015 38 11.39 100 100 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 23/10/2015 38 0 -100 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 23/10/2015 38 11.518 600 600 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 23/10/2015 38 0 -600 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 23/10/2015 38 11.696 1,200 1,200 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 23/10/2015 38 0 -1,200 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 23/10/2015 38 11.693 700 700 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 23/10/2015 38 0 -700 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 26/10/2015 38 11.355 600 600 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 26/10/2015 38 0 -600 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 26/10/2015 38 11.393 1,100 1,100 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 26/10/2015 38 0 -1,100 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 26/10/2015 38 11.433 900 900 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 26/10/2015 38 0 -900 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 27/10/2015 38 11.22 1,900 1,900 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 27/10/2015 38 0 -1,900 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 27/10/2015 38 11.204 700 700 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 27/10/2015 38 0 -700 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 28/10/2015 38 11.541 1,100 1,100 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 28/10/2015 38 0 -1,100 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 28/10/2015 38 11.485 1,500 1,500 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 28/10/2015 38 0 -1,500 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 29/10/2015 38 11.17 200 200 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 29/10/2015 38 0 -200 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 29/10/2015 38 11.226 1,600 1,600 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 29/10/2015 38 0 -1,600 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 29/10/2015 38 11.366 800 800 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 29/10/2015 38 0 -800 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 30/10/2015 38 11.088 1,100 1,100 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 30/10/2015 38 0 -1,100 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 30/10/2015 38 10.981 1,500 1,500 Callidus Capital Corporation Common Shares Callidus Capital Corporation 1 30/10/2015 38 0 -1,500 Canaccord Genuity Group Inc.

Common Shares Davies, Simon John 7 05/11/2015 10 4.82 1,709 -1,180

Canadian High Income Equity Fund

Units Canadian High Income Equity Fund

1 01/10/2015 38 8.22 300 300



1 01/10/2015 38 8.22 0 -300



1 01/10/2015 38 8.23 2,700 2,700



1 01/10/2015 38 8.23 0 -2,700



1 13/10/2015 38 8.81 3,000 3,000



1 13/10/2015 38 8.81 0 -3,000



1 14/10/2015 38 8.81 3,000 3,000



1 14/10/2015 38 8.81 0 -3,000



1 15/10/2015 38 8.78 2,700 2,700



1 15/10/2015 38 8.78 0 -2,700



1 16/10/2015 38 8.76 2,200 2,200

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9554


T/O Unit Price


Acquired/ Disposed



1 16/10/2015 38 8.76 0 -2,200



1 19/10/2015 38 8.85 3,000 3,000



1 19/10/2015 38 8.85 0 -3,000



1 20/10/2015 38 8.79 1,700 1,700



1 20/10/2015 38 8.79 0 -1,700



1 21/10/2015 38 8.79 3,000 3,000



1 21/10/2015 38 8.79 0 -3,000



1 22/10/2015 38 8.79 100 100



1 22/10/2015 38 8.79 0 -100



1 23/10/2015 38 8.79 1,700 1,700



1 23/10/2015 38 8.79 0 -1,700



1 26/10/2015 38 8.79 3,000 3,000



1 26/10/2015 38 8.79 0 -3,000



1 27/10/2015 38 8.75 100 100



1 27/10/2015 38 8.75 0 -100



1 27/10/2015 38 8.74 2,900 2,900



1 27/10/2015 38 8.74 0 -2,900



1 27/10/2015 38 8.59 3,000 3,000



1 27/10/2015 38 8.59 0 -3,000



1 30/10/2015 38 8.54 1,300 1,300



1 30/10/2015 38 8.54 0 -1,300

Canadian National Railway Company

Common Shares Canadian National Railway Company

1 01/10/2015 38 -82,900



1 01/10/2015 38 -82,900



1 01/10/2015 38 64.141 82,000



1 01/10/2015 38 64.141 82,000



1 01/10/2015 38 69.141 82,000



1 01/10/2015 38 69.141 82,000



1 01/10/2015 38 69.141 82,000



1 01/10/2015 38 69.141 82,000



1 01/10/2015 38 69.141 329,013 82,000



1 01/10/2015 38 -82,900



1 01/10/2015 38 246,113 -82,900



1 02/10/2015 38 -82,700

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9555


T/O Unit Price


Acquired/ Disposed



1 02/10/2015 38 -82,700



1 02/10/2015 38 69.681 80,500



1 02/10/2015 38 69.681 80,500



1 02/10/2015 38 69.681 80,500



1 02/10/2015 38 69.681 80,500



1 02/10/2015 38 69.681 326,613 80,500



1 02/10/2015 38 -82,700



1 02/10/2015 38 243,913 -82,700



1 05/10/2015 38 70.555 79,500



1 05/10/2015 38 70.555 79,500



1 05/10/2015 38 70.555 79,500



1 05/10/2015 38 70.555 79,500



1 05/10/2015 38 70.555 242,000 79,500



1 06/10/2015 38 70.507 79,600



1 06/10/2015 38 70.507 79,600



1 06/10/2015 38 -82,000



1 06/10/2015 38 -82,000



1 06/10/2015 38 70.507 79,600



1 06/10/2015 38 70.507 79,600



1 06/10/2015 38 -82,000



1 06/10/2015 38 -82,000



1 06/10/2015 38 70.507 321,600 79,600



1 06/10/2015 38 239,600 -82,000



1 07/10/2015 38 77.908 786,000



1 07/10/2015 38 77.908 786,000



1 07/10/2015 38 -80,500



1 07/10/2015 38 -80,500



1 07/10/2015 38 71.35 78,600



1 07/10/2015 38 71.35 78,600



1 07/10/2015 38 -80,500



1 07/10/2015 38 -80,500



1 07/10/2015 38 71.35 318,200 78,600



1 07/10/2015 38 237,700 -80,500

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9556


T/O Unit Price


Acquired/ Disposed



1 08/10/2015 38 72.478 77,600



1 08/10/2015 38 72.478 77,600



1 08/10/2015 38 -79,500



1 08/10/2015 38 -79,500



1 08/10/2015 38 72.478 77,600



1 08/10/2015 38 72.478 77,600



1 08/10/2015 38 -79,500



1 08/10/2015 38 -79,500



1 08/10/2015 38 72.478 315,300 77,600



1 08/10/2015 38 235,800 -79,500



1 09/10/2015 38 80.257 76,700



1 09/10/2015 38 80.257 76,700



1 09/10/2015 38 73.402 76,700



1 09/10/2015 38 73.402 76,700



1 09/10/2015 38 -79,600



1 09/10/2015 38 -79,600



1 09/10/2015 38 73.402 312,500 76,700



1 09/10/2015 38 232,900 -79,600



1 12/10/2015 38 -78,600



1 12/10/2015 38 -78,600



1 12/10/2015 38 154,300 -78,600



1 13/10/2015 38 78.444 78,100



1 13/10/2015 38 78.444 78,100



1 13/10/2015 38 71.812 78,100



1 13/10/2015 38 71.812 78,100



1 13/10/2015 38 71.812 78,100



1 13/10/2015 38 71.812 78,100



1 13/10/2015 38 -77,600



1 13/10/2015 38 -77,600



1 13/10/2015 38 71.812 232,400 78,100



1 13/10/2015 38 154,800 -77,600



1 14/10/2015 38 70.934 79,100



1 14/10/2015 38 70.934 79,100

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9557


T/O Unit Price


Acquired/ Disposed



1 14/10/2015 38 70.934 79,100



1 14/10/2015 38 70.934 79,100



1 14/10/2015 38 -76,700



1 14/10/2015 38 -76,700



1 14/10/2015 38 70.934 233,900 79,100



1 14/10/2015 38 157,200 -76,700



1 15/10/2015 38 71.26 78,770



1 15/10/2015 38 71.26 78,770



1 15/10/2015 38 71.26 78,770



1 15/10/2015 38 71.26 78,770



1 15/10/2015 38 71.26 235,970 78,770



1 16/10/2015 38 70.707 79,390



1 16/10/2015 38 70.707 79,390



1 16/10/2015 38 70.707 79,390



1 16/10/2015 38 70.707 79,390



1 16/10/2015 38 -78,100



1 16/10/2015 38 -78,100



1 16/10/2015 38 70.707 315,360 79,390



1 16/10/2015 38 237,260 -78,100



1 19/10/2015 38 70.428 79,730



1 19/10/2015 38 70.428 79,730



1 19/10/2015 38 70.428 79,730



1 19/10/2015 38 70.428 79,730



1 19/10/2015 38 -79,100



1 19/10/2015 38 -79,100



1 19/10/2015 38 70.428 316,990 79,730



1 19/10/2015 38 237,890 -79,100



1 20/10/2015 38 71.468 78,580



1 20/10/2015 38 71.468 78,580



1 20/10/2015 38 714681 78,580



1 20/10/2015 38 714681 78,580



1 20/10/2015 38 -78,770



1 20/10/2015 38 -78,770

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9558


T/O Unit Price


Acquired/ Disposed



1 20/10/2015 38 71.468 316,470 78,580



1 20/10/2015 38 237,700 -78,770



1 21/10/2015 38 725559 77,500



1 21/10/2015 38 725559 77,500



1 21/10/2015 38 72.556 77,500



1 21/10/2015 38 72.556 77,500



1 21/10/2015 38 -79,390



1 21/10/2015 38 -79,390



1 21/10/2015 38 72.556 315,200 77,500



1 21/10/2015 38 235,810 -79,390



1 22/10/2015 38 73.532 76,300



1 22/10/2015 38 73.532 76,300



1 22/10/2015 38 73.532 76,300



1 22/10/2015 38 73.532 76,300



1 22/10/2015 38 -79,730



1 22/10/2015 38 -79,730



1 22/10/2015 38 -76,300



1 22/10/2015 38 -76,300



1 22/10/2015 38 73.532 312,110 76,300



1 22/10/2015 38 232,380 -79,730



1 23/10/2015 38 74.179 75,649



1 23/10/2015 38 74.179 75,649



1 23/10/2015 38 74.179 75,649



1 23/10/2015 38 74.179 75,649



1 23/10/2015 38 -78,580



1 23/10/2015 38 -78,580



1 23/10/2015 38 74.179 308,029 75,649



1 23/10/2015 38 229,449 -78,580



1 26/10/2015 38 -77,500



1 26/10/2015 38 -77,500



1 26/10/2015 38 151,949 -77,500



1 27/10/2015 38 75,649 -76,300



1 28/10/2015 38 -75,649

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9559


T/O Unit Price


Acquired/ Disposed



1 28/10/2015 38 -75,649



1 28/10/2015 38 0 -75,649


Common Shares Finn, Sean 5 30/10/2015 51 38.19 62,574 42,000


Common Shares Finn, Sean 5 30/10/2015 10 80.25 20,574 -42,000


Options Finn, Sean 5 30/10/2015 51 38.19 181,796 -42,000


Common Shares JOBIN, Luc 5 30/10/2015 51 22.185 76,893 70,000


Common Shares JOBIN, Luc 5 30/10/2015 51 25.62 174,293 97,400


Common Shares JOBIN, Luc 5 30/10/2015 10 80.546 6,893 -167,400


Options JOBIN, Luc 5 30/10/2015 51 22.185 456,448 -70,000


Options JOBIN, Luc 5 30/10/2015 51 25.62 359,048 -97,400


Common Shares Mongeau, Claude 4, 5 03/11/2015 51 22.463 186,503 120,000


Common Shares Mongeau, Claude 4, 5 03/11/2015 51 22.335 266,503 80,000


Common Shares Mongeau, Claude 4, 5 03/11/2015 10 60.83 186,503 -80,000


Common Shares Mongeau, Claude 4, 5 03/11/2015 10 60.83 66,503 -120,000


Options Mongeau, Claude 4, 5 03/11/2015 51 22.463 1,618,000 -120,000


Options Mongeau, Claude 4, 5 03/11/2015 51 22.335 1,538,000 -80,000


Common Shares Vena, Jim V. 5 05/11/2015 51 24.04 45,426 8,700








Common Shares Vena, Jim V. 5 05/11/2015 10 60.07 36,726 -83,860


Options Vena, Jim V. 5 05/11/2015 51 24.04 279,528 -8,700







Canadian Oil Recovery & Remediation Enterprises Ltd.

Common Shares Lorenzo, John Michael 4 02/11/2015 10 0.035 12,063,186 20,000

Canadian Pacific Railway Limited

Common Shares Canadian Pacific Railway Limited

1 01/10/2015 38 193.03 441,600 23,000



1 01/10/2015 38 192.99 493,600 52,000



1 01/10/2015 38 343,600 -150,000



1 02/10/2015 38 195.11 418,600 75,000



1 02/10/2015 38 268,600 -150,000



1 05/10/2015 38 198.01 343,600 75,000



1 05/10/2015 38 225,000 -118,600

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9560


T/O Unit Price


Acquired/ Disposed



1 06/10/2015 38 196.08 300,000 75,000



1 06/10/2015 38 225,000 -75,000



1 07/10/2015 38 198.87 300,000 75,000



1 07/10/2015 38 225,000 -75,000



1 08/10/2015 38 201.68 252,800 27,800



1 08/10/2015 38 177,800 -75,000



1 09/10/2015 38 203.15 202,800 25,000



1 09/10/2015 38 127,800 -75,000



1 13/10/2015 38 197.81 202,800 75,000



1 13/10/2015 38 127,800 -75,000



1 14/10/2015 38 195.1 202,800 75,000



1 14/10/2015 38 175,000 -27,800



1 15/10/2015 38 150,000 -25,000



1 16/10/2015 38 75,000 -75,000



1 19/10/2015 38 0 -75,000

Canadian Preferred Share Trust

Units Class A Canadian Preferred Share Trust

1 22/10/2015 38 8.25 1,000 1,000

Canadian Preferred Share Trust

Units Class A Canadian Preferred Share Trust

1 27/10/2015 38 0 -1,000

Canadian Real Estate Investment Trust

Units Real Estate Investment Trust Units

Barrett, Deborah Jean 4 02/11/2015 30 43.03 6,142 139



Brough, John A. 4 02/11/2015 30 43.03 7,322 139



Flood, Brian Michael 4 02/11/2015 30 43.03 4,481 140



Hoffman, Andrew 4 02/11/2015 30 43.03 9,110 140

Canadian Utilities Limited Non-Voting Shares Class A

Maher, Anthony L. 7 31/10/2015 30 36.75 812 10

Canadian Utilities Limited Non-Voting Shares Class A

Maher, Anthony L. 7 01/11/2015 10 35 542 -270

CANADIAN ZINC CORPORATION

Rights Deferred Share Unit

Nickerson, Dave 4 01/01/2005 00

CANADIAN ZINC CORPORATION

Rights Deferred Share Unit

Nickerson, Dave 4 03/11/2015 46 85,383 85,383

Canam Group Inc. Common Shares Lapointe, Robin 5 02/11/2015 10 15.08 2,300 -200 Canam Group Inc. Common Shares Lapointe, Robin 5 02/11/2015 10 15.07 1,900 -400 Canam Group Inc. Common Shares Lapointe, Robin 5 02/11/2015 10 15.06 1,800 -100 Canam Group Inc. Common Shares Lapointe, Robin 5 02/11/2015 10 15.05 1,400 -400 Canam Group Inc. Common Shares Lapointe, Robin 5 02/11/2015 10 15.04 -1,400 Canam Group Inc. Common Shares Lapointe, Robin 5 02/11/2015 10 15.04 0 -1,400 Canarc Resource Corp. Common Shares Biles, Garry 5 04/11/2015 10 0.06 967,766 -10,000 Canarc Resource Corp. Common Shares Biles, Garry 5 04/11/2015 10 0.06 957,766 -10,000 Canarc Resource Corp. Common Shares Biles, Garry 5 06/11/2015 10 0.06 947,766 -10,000 Canarc Resource Corp. Common Shares Marlin Gold Mining Ltd. 3 30/10/2015 00 Canarc Resource Corp. Common Shares Marlin Gold Mining Ltd. 3 30/10/2015 00 20,666,666 Canarc Resource Corp. Warrants Marlin Gold Mining Ltd. 3 30/10/2015 00 Canarc Resource Corp. Warrants Marlin Gold Mining Ltd. 3 30/10/2015 00 833,333 Canexus Corporation Options Bourgeois, Brian Paul 5 04/11/2015 52 6.72 283,246 -60,000

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9561


T/O Unit Price


Acquired/ Disposed

Canexus Corporation Rights Options Bonus Rights

Bourgeois, Brian Paul 5 04/11/2015 58 - Expiration of rights

193,403 -26,273

Canexus Corporation Options dos Santos, Pericles 7 04/11/2015 52 6.72 211,631 -35,000 Canexus Corporation Rights Options Bonus

Rights dos Santos, Pericles 7 04/11/2015 58 - Expiration

of rights 86,462 -15,326

Canexus Corporation Options McLellan, Richard Thomas 5 05/11/2015 52 6.72 262,778 -24,090 Canexus Corporation Rights Options Bonus

Rights McLellan, Richard Thomas 5 04/11/2015 58 - Expiration

of rights 256,348 -10,546

Canexus Corporation Options Van Shaik, James Grant 5 04/11/2015 52 6.72 128,064 -10,750 Canexus Corporation Rights Options Bonus

Rights Van Shaik, James Grant 5 04/11/2015 58 - Expiration

of rights 13,779 -4,707

Canfor Corporation Common Shares Canfor Corporation 1 02/11/2015 38 18.625 56,700 56,700 Canfor Corporation Common Shares Canfor Corporation 1 03/11/2015 38 18.94 123,600 66,900 Canfor Corporation Common Shares Canfor Corporation 1 04/11/2015 38 18.634 183,500 59,900 Canfor Corporation Common Shares Canfor Corporation 1 05/11/2015 38 18.565 234,000 50,500 Canfor Corporation Common Shares Canfor Corporation 1 06/11/2015 38 18.662 270,100 36,100 Canfor Pulp Products Inc. Common Shares Canfor Pulp Products Inc. 1 02/11/2015 38 13.767 38,900 7,400 Canfor Pulp Products Inc. Common Shares Canfor Pulp Products Inc. 1 03/11/2015 38 13.915 49,791 10,891 Canfor Pulp Products Inc. Common Shares Canfor Pulp Products Inc. 1 04/11/2015 38 13.94 60,682 10,891 Canfor Pulp Products Inc. Common Shares Canfor Pulp Products Inc. 1 05/11/2015 38 13.979 71,573 10,891 Canfor Pulp Products Inc. Common Shares Canfor Pulp Products Inc. 1 06/11/2015 38 13.892 77,673 6,100 Canlan Ice Sports Corp. Common Shares The Article 6 Marital Trust

created under the First Amended and Restated Jerry Zucker Revocable Trust dated 4-2-07

3 30/10/2015 10 3.49 2,059,100 400

Canlan Ice Sports Corp. Common Shares The Article 6 Marital Trust created under the First Amended and Restated Jerry Zucker Revocable Trust dated 4-2-07

3 30/10/2015 10 3.5 2,060,500 1,400

Canoe EIT Income Fund Trust Units Canoe EIT Income Fund 1 15/10/2015 38 6,268,322 -698,924 CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)

Common Shares Doman, Amardeip Singh 4 05/11/2015 10 5.18 9,337,854 5,000

Capital Power Corporation Common Shares Capital Power Corporation 1 01/10/2015 38 18.844 291,088 57,972 Capital Power Corporation Common Shares Capital Power Corporation 1 02/10/2015 38 18.997 349,060 57,972 Capital Power Corporation Common Shares Capital Power Corporation 1 02/10/2015 38 173,916 -175,144 Capital Power Corporation Common Shares Capital Power Corporation 1 05/10/2015 38 19.49 231,888 57,972 Capital Power Corporation Common Shares Capital Power Corporation 1 06/10/2015 38 19.583 289,860 57,972 Capital Power Corporation Common Shares Capital Power Corporation 1 09/10/2015 38 57,972 -231,888 Capital Power Corporation Common Shares Capital Power Corporation 1 09/10/2015 38 0 -57,972 Capital Power Corporation Common Shares Capital Power Corporation 1 29/10/2015 38 18.851 57,972 57,972 Capital Power Corporation Common Shares Capital Power Corporation 1 30/10/2015 38 18.835 115,944 57,972 Captiva Verde Industries Ltd. Common Shares perlis, morris 4, 5 27/10/2015 00 876,000 Captiva Verde Industries Ltd. Options perlis, morris 4, 5 27/10/2015 00 500,000 Captiva Verde Industries Ltd. Warrants Common Share

Purchase Warrants perlis, morris 4, 5 27/10/2015 00 437,500

Captiva Verde Industries Ltd. Common Shares Silber, Allan Charles 4 27/10/2015 00 1,000,000 Captiva Verde Industries Ltd. Options Silber, Allan Charles 4 27/10/2015 00 500,000 Captiva Verde Industries Ltd. Warrants Common Share

Purchase Warrants Silber, Allan Charles 4 27/10/2015 00 500,000

Cardiff Energy Corp. Common Shares Bal, Jatinder Singh 4 27/10/2015 10 0.195 800,000 -50,000 Cardiff Energy Corp. Common Shares Bal, Jatinder Singh 4 28/10/2015 10 0.19 718,500 -81,500 Cardiff Energy Corp. Common Shares Bal, Jatinder Singh 4 29/10/2015 10 0.2 678,500 -40,000 Cardiff Energy Corp. Common Shares Campbell, Greg 5 28/10/2015 10 0.195 1,150,757 -26,000 Cardiff Energy Corp. Common Shares Campbell, Greg 5 29/10/2015 10 0.2 1,100,757 -50,000 Cardiff Energy Corp. Common Shares Campbell, Greg 5 05/11/2015 10 0.18 1,060,757 -40,000 Cardiff Energy Corp. Common Shares Campbell, Greg 5 06/11/2015 10 0.176 930,257 -130,500 Cardiff Energy Corp. Common Shares Campbell, Greg 5 06/11/2015 54 0.2 1,100,757 170,500 Cardiff Energy Corp. Warrants Campbell, Greg 5 06/11/2015 54 0.2 589,500 -170,500 Cardinal Energy Ltd. Common Shares Brussa, John Albert 4 04/11/2015 57 620,141 1,334

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9562


T/O Unit Price


Acquired/ Disposed

Cardinal Energy Ltd. Common Shares Brussa, John Albert 4 05/11/2015 51 6.75 625,697 5,556 Cardinal Energy Ltd. Options Brussa, John Albert 4 05/11/2015 51 0 -5,556 Cardinal Energy Ltd. Stock Appreciation Rights Brussa, John Albert 4 04/11/2015 57 1,333 -1,334 Cardinal Energy Ltd. Common Shares Hyde, Tim 5 30/10/2015 36 182,402 5,000 Cardinal Energy Ltd. Common Shares Hyde, Tim 5 05/11/2015 57 186,298 3,896 Cardinal Energy Ltd. Common Shares Hyde, Tim 5 30/10/2015 36 128,667 5,000 Cardinal Energy Ltd. Stock Appreciation Rights Hyde, Tim 5 05/11/2015 57 3,333 -3,334 Cardinal Energy Ltd. Common Shares Johnson, David Daniel 4 30/10/2015 36 299,296 30,000 Cardinal Energy Ltd. Common Shares Johnson, David Daniel 4 05/11/2015 57 300,854 1,558 Cardinal Energy Ltd. Stock Appreciation Rights Johnson, David Daniel 4 05/11/2015 57 1,333 -1,334 Cardinal Energy Ltd. Subscription Rights

Subscription Receipts issued October 6, 2015.

Johnson, David Daniel 4 30/10/2015 36 0 -30,000

Cardinal Energy Ltd. Common Shares Kolochuk, Craig 5 30/10/2015 36 288,238 20,000 Cardinal Energy Ltd. Common Shares Kolochuk, Craig 5 05/11/2015 57 290,575 2,337 Cardinal Energy Ltd. Stock Appreciation Rights Kolochuk, Craig 5 05/11/2015 57 2,000 -2,000 Cardinal Energy Ltd. Subscription Rights


Kolochuk, Craig 5 30/10/2015 36 0 -20,000

Cardinal Energy Ltd. Common Shares PEET, SHANE 5 05/11/2015 57 907,263 4,675 Cardinal Energy Ltd. Stock Appreciation Rights PEET, SHANE 5 05/11/2015 57 4,000 -4,000 Cardinal Energy Ltd. Common Shares Ratushny, M. Scott 4, 5 30/10/2015 36 1,108,451 10,000 Cardinal Energy Ltd. Common Shares Ratushny, M. Scott 4, 5 05/11/2015 57 1,113,126 4,675 Cardinal Energy Ltd. Stock Appreciation Rights Ratushny, M. Scott 4, 5 05/11/2015 57 4,000 -4,000 Cardinal Energy Ltd. Subscription Rights


Ratushny, M. Scott 4, 5 30/10/2015 36 0 -10,000

Cardinal Energy Ltd. Common Shares Smith, Douglas Kevin 5 05/11/2015 57 433,752 3,506 Cardinal Energy Ltd. Stock Appreciation Rights Smith, Douglas Kevin 5 05/11/2015 57 3,000 -3,000 Cardinal Energy Ltd. Common Shares Smith, James Cameron 4 05/11/2015 57 151,537 1,558 Cardinal Energy Ltd. Stock Appreciation Rights Smith, James Cameron 4 05/11/2015 57 1,333 -1,334 Caribbean Utilities Company, Ltd.

Options Small, Andrew 5 02/11/2015 38 0 -8,000

Caribbean Utilities Company, Ltd.

Options US$12.22 Small, Andrew 5 02/11/2015 38 0 -14,000


Performance Share Units Small, Andrew 5 31/10/2015 38 5,000 -2,500


Performance Share Units Small, Andrew 5 31/10/2015 38 2,500 -2,500


Performance Share Units Small, Andrew 5 31/10/2015 38 0 -2,500

Caribou King Resources Ltd. Common Shares England, Michael Bruno John Franz

4, 5 02/11/2015 10 0.09 691,833 -193,000

Carrus Capital Corporation Common Shares Shynkaryk, Chester 4 13/01/2014 00 500 Carrus Capital Corporation Common Shares Shynkaryk, Chester 4 30/10/2015 97 0.1 10,500 10,000 Carube Copper Corp. (formerly Miocene Resources Limited)

Common Shares Blake, H.J. 6 05/11/2015 00 203,499

CB Gold Inc. Common Shares Batero Gold Corp. 3 05/11/2015 16 0.06 83,020,237 13,082,211 CB Gold Inc. Common Shares Red Eagle Mining

Corporation 3 04/11/2015 11 0.06 107,505,972 16,917,789

CB Gold Inc. Common Shares Red Eagle Mining Corporation

3 05/11/2015 10 0.06 107,527,972 22,000

Celestica Inc. Multiple Voting Shares Heersink, Ewout R. 6 03/11/2015 97 0 -125,734 Celestica Inc. Onex Management

Investment Derivatives Heersink, Ewout R. 6 20/12/2001 00

Celestica Inc. Onex Management Investment Derivatives

Heersink, Ewout R. 6 03/11/2015 97 125,734 125,734


Onex Corporation 3 24/10/2001 00


Onex Corporation 3 03/11/2015 97 1,232,231 1,232,231

Celestica Inc. Subordinate Voting Shares


Insider Reporting

November 12, 2015

(2015), 38 OSCB 9563


T/O Unit Price


Acquired/ Disposed




Onex Corporation 3 03/11/2015 97 0 -1,382,403

Celestica Inc. Multiple Voting Shares Schwartz, Gerald Wilfred 4, 6 03/11/2015 97 0 -688,807 Celestica Inc. Onex Management

Investment Derivatives Schwartz, Gerald Wilfred 4, 6 04/07/2002 00


Schwartz, Gerald Wilfred 4, 6 03/11/2015 97 688,807 688,807

Centerra Gold Inc. Options Herbert, Frank Hamilton 5 06/11/2015 50 7.33 556,700 5,779 Centerra Gold Inc. Performance Share Units Herbert, Frank Hamilton 5 02/11/2015 56 5.38 208,149 3,167 Centerra Gold Inc. Options Perry, Scott Graeme 5 02/11/2015 00 Centerra Gold Inc. Options Perry, Scott Graeme 5 06/11/2015 50 7.33 42,400 42,400 Centerra Gold Inc. Performance Share Units Perry, Scott Graeme 5 02/11/2015 00 Centerra Gold Inc. Performance Share Units Perry, Scott Graeme 5 02/11/2015 56 5.38 43,298 43,298 Century Iron Mines Corporation

Common Shares Chim, Sandy Chun Kwan 4, 6, 7, 5 30/10/2015 10 0.25 1,180,900 29,500

Cervus Equipment Corporation

Common Shares Deferred Shares

Lacey, Peter Alan 3, 4, 5 27/10/2015 30 14.46 27,454 2,564

CGI Group Inc. Subordinate Voting Shares Classe A

Groupe CGI inc. 1 01/10/2015 38 47.302 249,800 49,800


Groupe CGI inc. 1 06/10/2015 38 47.5 66,800 17,000


Groupe CGI inc. 1 07/10/2015 38 47.486 88,300 21,500


Groupe CGI inc. 1 08/10/2015 38 47.479 111,400 23,100


Groupe CGI inc. 1 16/10/2015 38 47.488 138,700 27,300


Groupe CGI inc. 1 19/10/2015 38 47.483 170,500 31,800


Groupe CGI inc. 1 20/10/2015 38 47.498 192,500 22,000


Groupe CGI inc. 1 29/10/2015 38 0 -192,500

Changfeng Energy Inc. Options Warren, Graham 4 28/09/2015 52 0 -350,000 Chemtrade Logistics Income Fund

Trust Units Colcleugh, Dave 4 31/10/2015 30 18.89 83,438 1,654

Chemtrade Logistics Income Fund

Trust Units Di Clemente, Lucio 4 31/10/2015 30 18.89 19,135 496


Trust Units Gee, David 4 31/10/2015 30 18.89 46,017 496


Trust Units McArthur, Susan J. 4 31/10/2015 30 18.89 13,329 1,241


Trust Units Rethy, Katherine Anne 4 01/07/2015 00


Trust Units Rethy, Katherine Anne 4 31/10/2015 30 18.89 1,654 1,654


Trust Units Waisberg, Lorie 4 31/10/2015 30 18.89 33,671 992

CI Financial Corp. Common Shares CI Financial Corp. 1 02/10/2015 38 29.81 25,767 25,767 CI Financial Corp. Common Shares CI Financial Corp. 1 02/10/2015 38 0 -25,767 CI Financial Corp. Common Shares CI Financial Corp. 1 06/10/2015 38 31.216 57,000 57,000 CI Financial Corp. Common Shares CI Financial Corp. 1 06/10/2015 38 0 -57,000 CI Financial Corp. Common Shares CI Financial Corp. 1 07/10/2015 38 31.709 114,867 114,867 CI Financial Corp. Common Shares CI Financial Corp. 1 07/10/2015 38 0 -114,867 CI Financial Corp. Common Shares CI Financial Corp. 1 08/10/2015 38 31.702 6,067 6,067 CI Financial Corp. Common Shares CI Financial Corp. 1 08/10/2015 38 0 -6,067 CI Financial Corp. Common Shares CI Financial Corp. 1 09/10/2015 38 31.771 151,567 151,567 CI Financial Corp. Common Shares CI Financial Corp. 1 09/10/2015 38 0 -151,567 CI Financial Corp. Common Shares CI Financial Corp. 1 13/10/2015 38 31.629 7,467 7,467 CI Financial Corp. Common Shares CI Financial Corp. 1 13/10/2015 38 0 -7,467 CI Financial Corp. Common Shares CI Financial Corp. 1 14/10/2015 38 31.454 107,367 107,367 CI Financial Corp. Common Shares CI Financial Corp. 1 14/10/2015 38 0 -107,367

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9564


T/O Unit Price


Acquired/ Disposed

CI Financial Corp. Common Shares CI Financial Corp. 1 16/10/2015 38 31.624 53,667 53,667 CI Financial Corp. Common Shares CI Financial Corp. 1 16/10/2015 38 0 -53,667 Cineplex Inc. Performance Share Units Allen, Christopher 5 30/10/2015 30 991 3 Cineplex Inc. Deferred Share Units Banks, Jordan 4 30/10/2015 30 5,230 13 Cineplex Inc. Deferred Share Units Briant, Heather 5 30/10/2015 30 15,983 41 Cineplex Inc. Performance Share Units Briant, Heather 5 30/10/2015 30 9,361 24 Cineplex Inc. Deferred Share Units Bruce, Robert W. 4 30/10/2015 30 11,683 30 Cineplex Inc. Deferred Share Units Dea, Joan 4 30/10/2015 30 9,607 25 Cineplex Inc. Deferred Share Units Fitzgerald, Anne Tunstall 5 30/10/2015 30 8,927 23 Cineplex Inc. Performance Share Units Fitzgerald, Anne Tunstall 5 30/10/2015 30 9,771 25 Cineplex Inc. Deferred Share Units Greenberg, Ian 4 30/10/2015 30 11,681 30 Cineplex Inc. Deferred Share Units Jacob, Ellis 4, 5 30/10/2015 30 103,817 268 Cineplex Inc. Performance Share Units Jacob, Ellis 4, 5 30/10/2015 30 135,876 350 Cineplex Inc. Performance Share Units Kennedy, Michael 5 30/10/2015 30 16,078 41 Cineplex Inc. Performance Share Units Kent, Jeff 5 30/10/2015 30 15,441 40 Cineplex Inc. Performance Share Units Legault, Lorraine Marie 5 30/10/2015 30 4,085 11 Cineplex Inc. Performance Share Units Mandryk, Suzanna 5 30/10/2015 30 8,789 23 Cineplex Inc. Deferred Share Units Marwah, Sarabjit 4 30/10/2015 30 12,709 33 Cineplex Inc. Deferred Share Units McGrath, Daniel F. 5 30/10/2015 30 13,505 35 Cineplex Inc. Performance Share Units McGrath, Daniel F. 5 30/10/2015 30 38,811 100 Cineplex Inc. Deferred Share Units Munk, Anthony 4 30/10/2015 30 6,799 18 Cineplex Inc. Deferred Share Units Nelson, Gordon 5 30/10/2015 30 9,729 25 Cineplex Inc. Performance Share Units Nelson, Gordon 5 30/10/2015 30 25,546 66 Cineplex Inc. Performance Share Units Nonis, Paul 5 30/10/2015 30 8,792 23 Cineplex Inc. Performance Share Units Sautter, George 5 30/10/2015 30 8,371 22 Cineplex Inc. Deferred Share Units Sonshine, Edward 4 30/10/2015 30 13,174 34 Cineplex Inc. Performance Share Units Stanghieri, Fabrizio 5 30/10/2015 30 8,288 21 Cineplex Inc. Deferred Share Units Steacy, Robert Joseph 4 30/10/2015 30 7,453 19 Cineplex Inc. Deferred Share Units Yaffe, Phyllis 4 30/10/2015 30 9,269 24 Clairvest Group Inc. Common Shares Rotman, Kenneth Brice 4, 6, 5 28/10/2015 51 9.2008 111,000 45,000 Clairvest Group Inc. Options Rotman, Kenneth Brice 4, 6, 5 28/10/2015 51 9.2008 0 -45,000 Clean Seed Capital Group Ltd.

Common Shares Rush, Colin Michael 4 01/05/2014 00

Clean Seed Capital Group Ltd.

Common Shares Rush, Colin Michael 4 12/06/2014 10 0.6 191,100 191,100




Common Shares Rush, Colin Michael 4 01/05/2014 00






Options Rush, Colin Michael 4 01/05/2014 00 250,000


Options Rush, Colin Michael 4 10/02/2015 50 0.5 300,000 50,000

Co-operators General Insurance Company

Preferred Shares Class A Series B

Daniel, Kevin 7 31/10/2015 30 100 904 1



Hanna, Paul 7 31/10/2015 30 100 895 1



McCombie, Richard Allen 7 31/10/2015 30 100 2,203 4

Codrington Resource Corporation

Common Shares hobkirk, adrian frederick 4, 5 29/10/2015 10 0.04 3,046,722 10,000

Cogeco Cable Inc. Incentive Units / Unités incitatives

Audet, Louis 4, 5 31/10/2015 57 68.34 -5,800


Audet, Louis 4, 5 01/11/2015 57 68.34 6,601 -5,800

Cogeco Cable Inc. Subordinate Voting Shares actions subalternes à droit de vote

Audet, Louis 4, 5 31/10/2015 57 68.64 59,756 2,784

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9565


T/O Unit Price


Acquired/ Disposed


Guimond, René 5 01/11/2015 57 68.34 500 -480


Guimond, René 5 02/11/2015 10 68.34 1,836 230


Jetté, Philippe 5 02/11/2015 57 68.34 4,000 -2,400


Jetté, Philippe 5 02/11/2015 57 68.34 1,422 1,152


Jolivet, Christian 5 01/11/2015 57 68.34 1,101 -600


Jolivet, Christian 5 02/11/2015 57 68.34 1,429 288


Maheux, Pierre 5 01/11/2015 57 68.34 1,701 -756


Maheux, Pierre 5 02/11/2015 57 68.34 1,097 363


Pinard, Andrée 5 01/11/2015 57 68.34 750 -400


Pinard, Andrée 5 01/11/2015 57 68.34 451 192


Salomon, Carole 4 04/11/2015 10 68.95 4,000 1,000


St-Pierre, Louise 5 01/11/2015 57 68.34 15,326 -7,100


St-Pierre, Louise 5 02/11/2015 57 68.34 3,408 3,408


Tessier, Alex 5 01/11/2015 57 68.34 901 -625

Cogeco Cable Inc. Options Tessier, Alex 5 05/11/2015 51 39 13,310 -240 Cogeco Cable Inc. Options Tessier, Alex 5 05/11/2015 51 48.02 12,830 -480 Cogeco Cable Inc. Options Tessier, Alex 5 05/11/2015 51 38.16 12,055 -775 Cogeco Cable Inc. Options Tessier, Alex 5 05/11/2015 51 50.1 10,855 -1,200 Cogeco Cable Inc. Options Tessier, Alex 5 05/11/2015 51 61.22 10,315 -540 Cogeco Cable Inc. Subordinate Voting

Shares actions subalternes à droit de vote

Tessier, Alex 5 02/11/2015 57 68.34 402 300


Tessier, Alex 5 05/11/2015 51 39 642 240


Tessier, Alex 5 05/11/2015 10 69.5 402 -240


Tessier, Alex 5 05/11/2015 51 48.02 882 480


Tessier, Alex 5 05/11/2015 10 69.5 722 -160


Tessier, Alex 5 05/11/2015 10 69.41 622 -100


Tessier, Alex 5 05/11/2015 10 69.38 422 -200


Tessier, Alex 5 05/11/2015 10 69.42 402 -20


Tessier, Alex 5 05/11/2015 51 38.16 1,177 775

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9566


T/O Unit Price


Acquired/ Disposed


Tessier, Alex 5 05/11/2015 10 69.39 977 -200


Tessier, Alex 5 05/11/2015 10 69.36 882 -95


Tessier, Alex 5 05/11/2015 10 69.42 602 -280


Tessier, Alex 5 05/11/2015 10 69.4 402 -200


Tessier, Alex 5 05/11/2015 51 50.1 1,602 1,200


Tessier, Alex 5 05/11/2015 10 69.35 1,502 -100


Tessier, Alex 5 05/11/2015 10 69.38 1,302 -200


Tessier, Alex 5 05/11/2015 10 69.36 797 -505


Tessier, Alex 5 05/11/2015 10 69.39 597 -200


Tessier, Alex 5 05/11/2015 10 69.37 402 -195


Tessier, Alex 5 05/11/2015 51 61.22 942 540


Tessier, Alex 5 05/11/2015 10 69.37 437 -505


Tessier, Alex 5 05/11/2015 10 69.51 402 -35

Cogeco Inc Incentive Units/Unités incitatives

ALVES, ELIZABETH 5 01/11/2015 57 55.42 1,842 -355

Cogeco Inc Subordinate Voting Shares actions subalternes à droit de vote

ALVES, ELIZABETH 5 02/11/2015 57 55.42 646 171


Audet, Louis 4, 5 01/11/2015 57 55.61 24,976 -12,000


Audet, Louis 4, 5 01/11/2015 57 55.61 98,061 5,788


Guimond, René 5 01/11/2015 57 55.42 2,475 -960


Guimond, René 5 01/11/2015 57 55.42 2,314 463


Jolivet, Christian 5 01/11/2015 57 55.42 4,301 -1,320


Jolivet, Christian 5 02/11/2015 57 55.42 1,318 637


Pinard, Andrée 5 01/11/2015 57 55.42 2,650 -800


Pinard, Andrée 5 01/11/2015 57 55.42 826 386


Tessier, Alex 5 01/11/2015 57 55.42 2,926 -1,375


Tessier, Alex 5 02/11/2015 57 55.42 666 663

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9567


T/O Unit Price


Acquired/ Disposed

COLLIERS INTERNATIONAL GROUP INC.

Subordinate Voting Shares

Bowden, David John 5 07/08/2015 10 61.2 129,600 -4,200









Bowden, David John 5 04/11/2015 10 64.26 124,600 -100


Options Friedrichsen, John 5 04/11/2015 51 18.06 240,000 -60,000











Friedrichsen, John 5 04/11/2015 51 18.06 310,000 60,000













Colombian Mines Corporation

Options Cross, David Allen 5 28/10/2015 50 44,000

Colombian Mines Corporation

Options Cross, David Allen 5 28/10/2015 50 108,000 88,000

Colt Resources Inc. Common Shares Perrault, Nikolas 4, 5 05/10/2015 10 0.145 1,878,920 -189,000 Colt Resources Inc. Common Shares Perrault, Nikolas 4, 5 06/10/2015 10 0.145 1,378,920 -500,000 Colt Resources Inc. Common Shares Perrault, Nikolas 4, 5 20/10/2015 10 0.15 839,420 -539,500 Colt Resources Inc. Common Shares Perrault, Nikolas 4, 5 21/10/2015 10 0.145 459,420 -380,000 Colt Resources Inc. Common Shares Perrault, Nikolas 4, 5 22/10/2015 10 0.1387 480,420 21,000 Colt Resources Inc. Common Shares Perrault, Nikolas 4, 5 04/11/2015 16 0.175 2,880,420 2,400,000 Colt Resources Inc. Common Shares Perrault, Nikolas 4, 5 21/10/2015 10 0.15 2,689,636 -1,000,000 Colt Resources Inc. Common Shares Perrault, Nikolas 4, 5 04/11/2015 10 0.1149 2,744,636 55,000 Colt Resources Inc. Warrants Perrault, Nikolas 4, 5 04/11/2015 16 0.175 3,287,500 2,400,000 COM DEV International Ltd. Rights Deferred Share

Units Masotti, David 4 02/11/2015 56 863

COM DEV International Ltd. Rights Deferred Share Units

Masotti, David 4 02/11/2015 56 24,338 883


Monahan, Gregory Rush 4 02/11/2015 56 863


Monahan, Gregory Rush 4 02/11/2015 56 29,333 883


O'Donovan, Christopher 4 02/11/2015 56 38,501 1,767


Sgro, David Daniel 4 02/11/2015 56 29,449 1,104

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9568


T/O Unit Price


Acquired/ Disposed


Watson, Colin D. 4 02/11/2015 56 37,737 1,325

Concordia Healthcare Corp. (formerly Mercari Acquisition Corp.)

Units Restricted Share Units

Ahmad, Adeel 5 30/10/2015 56 21,021 40



Bultmann, Lori A. 7 30/10/2015 56 248 1



Deeth, Douglas Norman 4 30/10/2015 56 2,123 5



Kreppner, Wayne Walter 5 30/10/2015 56 56,994 106



Kupinsky, Jordan 4 30/10/2015 56 2,123 5



Mookerjee, Arijit 7 30/10/2015 56 2,687 5



O'Neil, Erin Colleen 7 30/10/2015 56 2,017 4



Tallarico, Francesco 5 30/10/2015 56 31,992 63



Thompson, Mark Laurence 4, 5 30/10/2015 56 69,195 127

Continental Gold Inc. Common Shares Sussman, Ari B 4, 5 05/11/2015 10 1.37 1,462,984 5,000 Continental Gold Inc. Common Shares Sussman, Ari B 4, 5 06/11/2015 10 1.33 1,467,984 5,000 Continental Gold Inc. Common Shares Sussman, Ari B 4, 5 06/11/2015 10 1.335 1,468,684 700 Continental Gold Inc. Common Shares Sussman, Ari B 4, 5 06/11/2015 10 1.34 1,471,484 2,800 COPPER REEF MINING CORPORATION

Common Shares Masson, Stephen Leo 3 03/11/2015 10 0.015 4,862,816 100,000

COPPER REEF MINING CORPORATION


COPPER REEF MINING CORPORATION


Copperbank Resources Corp.

Common Shares Kovacevic, John Gianni 4, 5 02/11/2015 10 0.04 11,145,000 60,000

Copperbank Resources Corp.

Common Shares Kovacevic, John Gianni 4, 5 03/11/2015 10 0.04 11,157,000 12,000

Corazon Gold Corp. Common Shares Scharfe, Bradley Nixon 5 04/11/2015 10 0.18 1,092,295 2,000 Cortex Business Solutions Inc.

Deferred Share Unit Billing, Grant Donald 4 11/11/2013 00

Cortex Business Solutions Inc.

Deferred Share Unit Billing, Grant Donald 4 30/10/2015 46 1.896 21,092 21,092


Common Shares Henderson, Randall Douglas

4 02/11/2015 46 1.8965 26,892 21,092


Rights Deferred Share Units

Lamacraft, Scott Emmett 3, 4 28/02/2014 00



Lamacraft, Scott Emmett 3, 4 02/11/2015 46 1.896 21,092 21,092


Deferred Share Unit Powell, Keith 4 04/02/2004 00


Deferred Share Unit Powell, Keith 4 02/11/2015 46 1.896 21,092 21,092


Deferred Share Unit Ripplinger, Mark Stephen 4 24/07/2006 00


Deferred Share Unit Ripplinger, Mark Stephen 4 02/11/2015 46 1.896 21,092 21,092

Cougar Minerals Corp. Common Shares Cardey, Darryl 4, 5 05/11/2015 16 0.05 1,300,000 800,000 Cougar Minerals Corp. Common Shares Chiu, Tong, Ricky 4 05/11/2015 10 0.05 1,400,000 900,000 CounterPath Corporation Common Shares Jones, Donovan 4, 5 02/11/2015 37 40,161 -361,451 CounterPath Corporation Common Shares Jones, Donovan 4, 5 04/11/2015 30 4.104 40,823 662 CounterPath Corporation Common Shares Karp, David Lawrence 5 02/11/2015 37 18,262 -164,357

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9569


T/O Unit Price


Acquired/ Disposed

CounterPath Corporation Common Shares Karp, David Lawrence 5 04/11/2015 30 4.104 18,373 111 Cricket Media Group Ltd. Convertible Debentures Gilburne, Miles Richard 4 02/11/2015 11 0.32 $4,671,250 -$50,000 Cricket Media Group Ltd. Convertible Debentures Poirier, Roger Robert 4 02/11/2015 11 0.32 $600,000 $50,000 Cricket Media Group Ltd. Convertible Debentures Zolt, Nina Beth 4 02/11/2015 11 0.32 $4,671,250 -$50,000 Crystal Peak Minerals Inc. (formerly EPM Mining Ventures Inc.)

Common Shares Voting EMR Capital Resources Fund 1, LP

3 30/10/2015 10 0.15 15,000

Crystal Peak Minerals Inc. (formerly EPM Mining Ventures Inc.)


3 30/10/2015 10 0.15 15,000



3 03/11/2015 10 0.16 27,000



3 03/11/2015 10 0.16 27,000



3 02/06/2015 00



3 02/06/2015 00



3 30/10/2015 10 0.15 15,000



3 30/10/2015 10 0.15 34,531,129 15,000



3 03/11/2015 10 0.16 27,000



3 03/11/2015 10 0.16 34,558,129 27,000



3 05/11/2015 10 0.1785 34,640,629 82,500


Warrants EMR Capital Resources Fund 1, LP

3 02/06/2015 00


Warrants EMR Capital Resources Fund 1, LP

3 02/06/2015 00

Currency Exchange International, Corp.

Options August, Joseph Andrade 4 30/10/2015 50 24.64 29,376 4,412


Options Bezhitashvili, Khatuna 5 30/10/2015 50 24.64 4,333 1,000


Options Bhavsar, Chirag Jashvantlal 4 30/10/2015 50 24.64 13,436 4,412


Options Bracy, Wade Alan 5 30/10/2015 50 24.64 32,824 9,997


Options Mickleborough, Mark Douglas

4 30/10/2015 50 24.64 29,376 4,412


Options Ohm, Paul Christian 5 30/10/2015 50 24.64 3,167 1,500


Options Pinna, Randolph W. 3, 4, 5 30/10/2015 50 24.64 97,446 30,565


Options Prakash, Stacey Lynn 5 30/10/2015 50 24.64 42,816 12,353


Options Sardo, Vincent James 4 30/10/2015 50 24.64 29,376 4,412


Options Scherer, Peter 5 30/10/2015 50 24.64 68,641 18,778


Options Schillo, Matthew Alan 5 30/10/2015 50 24.64 29,109 8,482


Options Shaffer, Angela 5 30/10/2015 50 24.64 4,918

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9570


T/O Unit Price


Acquired/ Disposed


Options Shaffer, Angela 5 30/10/2015 50 24.64 7,644 4,918


Options Stromme, Linda Anne 4 30/10/2015 50 24.64 8,436 4,412


Options white, james david alexander

4 30/10/2015 50 24.64 14,376 4,412

Currie Rose Resources Inc. Options KIRTLAN, ROBERT EDWARD

4 27/10/2015 00 300,000

Detour Gold Corporation Common Shares Hibbard, Ingrid Jo-Ann 4 03/11/2015 10 13.82 144,502 -5,000 Detour Gold Corporation Common Shares Hibbard, Ingrid Jo-Ann 4 03/11/2015 10 14.13 137,502 -7,000 Detour Gold Corporation Common Shares Martin, Paul Douglas 4, 5 05/11/2015 10 13.31 65,827 10,000 DHX Media Ltd. Common Voting Shares Day, Graham 4 20/10/2015 30 8.135 65,919 121 DiagnoCure Inc. Options Zurawski, Vincent R. 4 01/11/2015 52 4.21 138,978 -10,000 Difference Capital Financial Inc.

Convertible Debentures 8% Unsecured Subordinated

Difference Capital Financial Inc.

1 15/10/2015 38 0.88 $13,235,000 $12,000,000




1 19/10/2015 38 $0 -$13,235,000



Wekerle, Michael A. 3, 4 19/10/2015 30 0.88 -$3,187,930



Wekerle, Michael A. 3, 4 19/10/2015 30 0.88 $1,812,000 -$3,188,000

DMD Digital Health Connections Group Inc. (Formely Aptilon Corporation)

Common Shares Benthin, Mark 4 02/11/2015 10 0.22 1,020,500 -29,000


Common Shares Charron, André 7, 5 30/10/2015 10 0.21 1,711,766 50,000








Common Shares Martineau, Denis 4 02/11/2015 10 0.21 12,388,354 33,500


Common Shares Martineau, Denis 4 06/11/2015 10 0.22 12,428,354 40,000

Dollarama Inc. Deferred Share Units (DSU)

Bekenstein, Joshua 4 02/11/2015 56 90.49 1,417 197


Bekenstein, Joshua 4 04/11/2015 35 89.291 1,418 1


David, Gregory 4 02/11/2015 56 90.49 1,248 155


David, Gregory 4 04/11/2015 35 89.291 1,249 1

Dollarama Inc. Common Shares Dollarama Inc. 1 01/10/2015 38 90.342 79,565 79,565 Dollarama Inc. Common Shares Dollarama Inc. 1 02/10/2015 38 90.962 94,765 15,200 Dollarama Inc. Common Shares Dollarama Inc. 1 06/10/2015 38 89.825 362,215 267,450 Dollarama Inc. Common Shares Dollarama Inc. 1 07/10/2015 38 89.439 441,780 79,565 Dollarama Inc. Common Shares Dollarama Inc. 1 08/10/2015 38 89.265 521,345 79,565 Dollarama Inc. Common Shares Dollarama Inc. 1 09/10/2015 38 88.387 600,910 79,565 Dollarama Inc. Common Shares Dollarama Inc. 1 13/10/2015 38 88.79 680,475 79,565

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9571


T/O Unit Price


Acquired/ Disposed

Dollarama Inc. Common Shares Dollarama Inc. 1 14/10/2015 38 89.221 760,040 79,565 Dollarama Inc. Common Shares Dollarama Inc. 1 15/10/2015 38 89.052 839,605 79,565 Dollarama Inc. Common Shares Dollarama Inc. 1 16/10/2015 38 89.079 919,170 79,565 Dollarama Inc. Common Shares Dollarama Inc. 1 19/10/2015 38 89.012 941,270 22,100 Dollarama Inc. Common Shares Dollarama Inc. 1 20/10/2015 38 90.001 988,970 47,700 Dollarama Inc. Common Shares Dollarama Inc. 1 21/10/2015 38 91 989,470 500 Dollarama Inc. Common Shares Dollarama Inc. 1 22/10/2015 38 91 995,670 6,200 Dollarama Inc. Common Shares Dollarama Inc. 1 27/10/2015 38 90.995 1,019,870 24,200 Dollarama Inc. Common Shares Dollarama Inc. 1 28/10/2015 38 89.671 1,099,435 79,565 Dollarama Inc. Common Shares Dollarama Inc. 1 29/10/2015 38 90.187 1,178,935 79,500 Dollarama Inc. Common Shares Dollarama Inc. 1 30/10/2015 38 88.984 1,258,500 79,565 Dollarama Inc. Common Shares Dollarama Inc. 1 30/10/2015 38 0 -1,258,500 Dollarama Inc. Deferred Share Units

(DSU) Garcia C., Elisa D. 4 02/11/2015 56 90.49 1,175 163


Garcia C., Elisa D. 4 04/11/2015 35 89.291 1,176 1


Gunn, Stephen 4 04/11/2015 35 89.291 667 1


Nomicos, Nicholas George 4 02/11/2015 56 90.49 1,320 163


Nomicos, Nicholas George 4 04/11/2015 35 89.291 1,322 2


Roy, Richard G 4 02/11/2015 56 90.49 1,354 185


Roy, Richard G 4 04/11/2015 35 89.291 1,355 1


Swidler, John Joseph 4 04/11/2015 35 89.291 667 1


Thomas, John Huw 4 02/11/2015 56 90.49 1,404 193


Thomas, John Huw 4 04/11/2015 35 89.291 1,406 2

Dolly Varden Silver Corporation

Rights DSU Birak, Donald James 4 31/10/2015 56 33,122 6,633

Dolly Varden Silver Corporation

Rights DSU Wharton, Jr., Thomas E. 4 31/10/2015 56 0.251 33,122 6,633

Dominion Diamond Corporation

Common Shares BELL, Brendan Rupert 7 02/11/2015 57 20,000 10,000


Rights Restricted Share Units

BELL, Brendan Rupert 7 02/11/2015 57 64,770 -10,000



Clow, Graham G. 4 31/10/2015 56 13,183 1,410



Perrott-Humphrey, Fiona E. 4 31/10/2015 56 9,447 1,211



Strahl, Chuck 4 31/10/2015 56 13,708 1,419

DragonWave Inc. Common Shares Farrar, David Russell 7, 5 02/11/2015 30 0.1437 341,400 16,722 DragonWave Inc. Options Houston, Patrick Belanger 5 30/10/2015 50 0.16 164,800 50,000 Dundee Energy Limited (formerly Eurogas Corporation)

Options MacRae, Garth A. C. 4, 6 04/11/2015 52 100,000 -200,000

Dundee Precious Metals Inc. Common Shares Tawil, Marie-Anne 4 04/11/2015 00 Eagle Energy Trust Trust Units Eagle Energy Trust 1 05/10/2015 38 1.84 2,000 2,000 Eagle Energy Trust Trust Units Eagle Energy Trust 1 06/10/2015 38 1.85 5,000 3,000 Eagle Energy Trust Trust Units Eagle Energy Trust 1 07/10/2015 38 1.98 8,000 3,000 Eagle Energy Trust Trust Units Eagle Energy Trust 1 08/10/2015 38 1.9553 11,000 3,000 Eagle Energy Trust Trust Units Eagle Energy Trust 1 09/10/2015 38 1.95 14,000 3,000 Eagle Energy Trust Trust Units Eagle Energy Trust 1 13/10/2015 38 1.9 16,000 2,000 Eagle Energy Trust Trust Units Eagle Energy Trust 1 14/10/2015 38 1.89 18,000 2,000 Eagle Energy Trust Trust Units Eagle Energy Trust 1 15/10/2015 38 1.87 20,000 2,000 Eagle Energy Trust Trust Units Eagle Energy Trust 1 16/10/2015 38 1.86 22,000 2,000 Eagle Energy Trust Trust Units Eagle Energy Trust 1 19/10/2015 38 1.84 24,000 2,000 Eagle Energy Trust Trust Units Eagle Energy Trust 1 20/10/2015 38 1.84 27,000 3,000

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9572


T/O Unit Price


Acquired/ Disposed

Eagle Energy Trust Trust Units Eagle Energy Trust 1 21/10/2015 38 1.8 30,000 3,000 Eagle Energy Trust Trust Units Eagle Energy Trust 1 27/10/2015 38 0 -30,000 East Coast Investment Grade Income Fund

Units Arrow Capital Management Inc.

7 30/10/2015 10 9.4719 -43,700

East Coast Investment Grade Income Fund


7 30/10/2015 38 9.4719 0 -43,700



7 30/10/2015 10 9.4719 -6,500



7 30/10/2015 38 9.4719 0 -6,500



7 30/10/2015 10 9.4719 -14,100



7 30/10/2015 38 9.4719 0 -14,100

Echelon Financial Holdings Inc.

Restricted Share Units Dodokin, Michelle Grace 5 09/02/2015 00

Echelon Financial Holdings Inc.

Restricted Share Units Dodokin, Michelle Grace 5 01/03/2015 56 11,500 11,500

Eco (Atlantic) Oil & Gas Ltd. (formerly Goldbard Capital Corporation)

Common Shares Eco (Atlantic) Oil & Gas Ltd. 1 06/10/2015 38 0.115 1,500,500 39,500



























Ecuador Gold and Copper Corp.

Convertible Debentures Deller-Klein, Michel 3 30/10/2015 16 $2,133,000 $1,063,000

Eguana Technologies Inc. Warrants DHCT II Luxembourg S.a.r.l. 3 04/11/2015 55 3,529,411 -1,250,000 Eguana Technologies Inc. Options Smith, Curtis 5 05/10/2015 50 225,000 Eguana Technologies Inc. Options Smith, Curtis 5 05/10/2015 50 225,000 225,000 Eldorado Gold Corporation Common Shares Zaleski, Jacinta Maree 5 01/11/2015 00 Eldorado Gold Corporation Options Zaleski, Jacinta Maree 5 01/11/2015 00 88,950 Eldorado Gold Corporation Restricted Share Units Zaleski, Jacinta Maree 5 01/11/2015 00

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9573


T/O Unit Price


Acquired/ Disposed

Ellipsiz Communications Ltd. (formerly NXA Inc.)

Common Shares Bolton, Douglas Clifford 5 04/11/2015 00 28,600


Common Shares Chang, Chiang-sen 7 04/11/2015 00 8,535,098


Common Shares Jacobson, Elliott Morton 4 04/11/2015 00 715,000


Common Shares Sawiak, Grant V. 4 04/11/2015 00 715,000

Energy Credit Opportunities Income Fund

Class A Units Energy Credit Opportunities Income Fund

1 05/10/2015 38 7.65 800 800



1 06/10/2015 38 7.7 1,600 800



1 07/10/2015 38 7.81 2,400 800



1 08/10/2015 38 1,600 -800



1 08/10/2015 38 7.8 2,100 500



1 09/10/2015 38 1,300 -800



1 09/10/2015 38 7.94 2,100 800



1 13/10/2015 38 1,300 -800



1 14/10/2015 38 800 -500



1 15/10/2015 38 0 -800



1 16/10/2015 38 8.07 800 800



1 21/10/2015 38 0 -800



1 27/10/2015 38 8.19 800 800



1 30/10/2015 38 0 -800



1 30/10/2015 38 8.05 800 800



1 04/11/2015 38 0 -800


Class U Units Energy Credit Opportunities Income Fund

1 19/10/2015 38 8 100 100


Class U Units Energy Credit Opportunities Income Fund

1 22/10/2015 38 0 -100

Energy Fuels Inc. Rights Restricted Stock Units

Antony, Stephen 4, 5 01/10/2015 56 72,895 17,241

Energy Fuels Inc. Common Shares Brown, Ames 4 25/09/2015 00 494,520 Energy Fuels Inc. Common Shares Brown, Ames 4 25/09/2015 00 Energy Fuels Inc. Common Shares Brown, Ames 4 25/09/2015 00 Energy Fuels Inc. Common Shares Brown, Ames 4 25/09/2015 00 245,000 Energy Fuels Inc. Rights Restricted Stock

Units Goranson, William Paul 5 18/06/2015 00

Energy Fuels Inc. Rights Restricted Stock Units

Goranson, William Paul 5 06/08/2015 56 21,649 21,649

Engagement Labs Inc. Common Shares Paterson, G. Scott 4 04/11/2015 10 0.247 733,289 200,000 Engagement Labs Inc. Common Shares Segal, Bryan 5 29/10/2015 57 0.26 178,106 78,106 Engagement Labs Inc. Restricted Stock Units Segal, Bryan 5 29/10/2015 57 0.27 416,666 -83,334 Enterprise Group, Inc. Common Shares JAROSZUK, LEONARD 4, 5 05/11/2015 10 0.33 2,989,356 27,500 Enterprise Group, Inc. Common Shares JAROSZUK, LEONARD 4, 5 06/11/2015 10 0.33 2,991,856 2,500 ENTREC Corporation Common Shares 1498398 Ontario Inc. 3 29/10/2015 00 16,549,600 ENTREC Corporation Common Shares 1498398 Ontario Inc. 3 04/11/2015 10 0.3495 21,246,100 4,696,500 EPM Mining Ventures Inc. Common Shares Voting EMR Capital Resources

Fund 1, LP 3 02/06/2015 00

EPM Mining Ventures Inc. Common Shares Voting EMR Capital Resources Fund 1, LP

3 02/06/2015 00 34,516,129

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9574


T/O Unit Price


Acquired/ Disposed

EPM Mining Ventures Inc. Warrants EMR Capital Resources Fund 1, LP

3 02/06/2015 00

EPM Mining Ventures Inc. Warrants EMR Capital Resources Fund 1, LP

3 02/06/2015 00 34,516,129

Esrey Energy Ltd Common Shares Larkin, Paul Anthony 4 04/11/2015 10 0.05 416,100 40,000 Esrey Energy Ltd Common Shares Larkin, Paul Anthony 4 04/11/2015 10 0.05 100,000 74,850 EXFO Inc. (formerly know as EXFO Electro-Optical Engineering Inc.)


EXFO Inc. 1 14/10/2015 38 3 200 200

EXFO Inc. (formerly know as EXFO Electro-Optical Engineering Inc.)


EXFO Inc. 1 14/10/2015 38 3 0 -200

Fairfax Financial Holdings Limited


Rivett, Paul 5 02/11/2015 10 650.01 493 -815

Fiera Capital Corporation (formerly Fiera Sceptre Inc.)

Special Shares Class B Voting

FIERA CAPITAL S.E.C. 3 06/11/2015 36 19,847,577 -51,441

Fiera Capital Corporation (formerly Fiera Sceptre Inc.)

Subordinate Voting Shares Class A

FIERA CAPITAL S.E.C. 3 05/11/2015 10 11.5 145,485 -500

Fireswirl Technologies Inc. Common Shares Ng, Lawrence 4, 5 03/11/2015 11 3,779,687 3,334,687 First Capital Realty Inc. Convertible Debentures

4.95% unsecured due Mar 31. /17 - FCR.DB.H

First Capital Realty Inc. 1 01/10/2015 38 1.015 $1,000 $1,000

First Capital Realty Inc. Convertible Debentures 4.95% unsecured due Mar 31. /17 - FCR.DB.H

First Capital Realty Inc. 1 01/10/2015 38 1.015 $0 -$1,000













First Capital Realty Inc. Convertible Debentures 5.25% unsecured debentures due Jan. 31/19 - FCR.DB.F












Insider Reporting

November 12, 2015

(2015), 38 OSCB 9575


T/O Unit Price


Acquired/ Disposed





First Capital Realty Inc. Convertible Debentures 5.4% unsecured due Jan. 31./19 - FCR.DB.E




































First Mining Finance Corp. (formerly Albion Petroleum Ltd.)

Common Shares Neumeyer, Keith 4 02/11/2015 10 0.41 4,961,054 64,500





Insider Reporting

November 12, 2015

(2015), 38 OSCB 9576


T/O Unit Price


Acquired/ Disposed





First National Financial Corporation

Preferred Shares FN.PR.A Tawse, Moray 4, 7, 5 04/11/2015 10 10.9 70,400 6,500

FIRSTSERVICE CORPORATION

Options Commisso, Attilio 7 04/11/2015 51 13.2 12,900 -2,500







Commisso, Attilio 7 04/11/2015 51 12.78 3,450 2,400








Options Cooke, Douglas G. 5 04/11/2015 51 12.78 100,000 -23,000











Cooke, Douglas G. 5 30/10/2015 10 45.85 124,574 -10,000



Cooke, Douglas G. 5 30/10/2015 10 46.48 114,574 -10,000



Cooke, Douglas G. 5 02/11/2015 10 46.75 104,574 -10,000



Cooke, Douglas G. 5 04/11/2015 10 47.05 101,574 -3,000



Cooke, Douglas G. 5 04/11/2015 51 12.78 124,574 23,000



Cooke, Douglas G. 5 04/11/2015 51 13.2 142,074 17,500



Cooke, Douglas G. 5 04/11/2015 51 12.85 153,324 11,250



Cooke, Douglas G. 5 04/11/2015 51 20.52 159,574 6,250



Cooke, Douglas G. 5 04/11/2015 51 23.96 162,074 2,500



FirstService Corporation 1 02/11/2015 00



FirstService Corporation 1 02/11/2015 10 46.75 3,000 3,000



FirstService Corporation 1 03/11/2015 10 46.1 3,400 400



















Insider Reporting

November 12, 2015

(2015), 38 OSCB 9577


T/O Unit Price


Acquired/ Disposed



FirstService Corporation 1 04/11/2015 10 46 20,443 1,200





















FirstService Corporation 1 04/11/2015 10 47 29,343 700


Options Kocur, Roman 7 30/10/2015 51 12.78 0 -9,900



Kocur, Roman 7 01/06/2015 00



Kocur, Roman 7 30/10/2015 51 12.78 9,900 9,900



Roy, Kevin 7 30/10/2015 10 45.8 34,258 -1,000



Roy, Kevin 7 30/10/2015 10 45.85 33,258 -1,000



Roy, Kevin 7 02/11/2015 10 48.35 32,258 -1,000



Roy, Kevin 7 05/11/2015 10 48.5 30,258 -2,000

Flaherty & Crumrine Investment Grade Fixed Income Fund

Trust Units Flaherty & Crumrine Investment Grade Fixed Income Fund

1 20/10/2015 38 12.55 3,000 3,000



1 20/10/2015 38 12.55 0 -3,000



1 28/10/2015 38 12.62 1,600 1,600



1 28/10/2015 38 12.62 0 -1,600



1 29/10/2015 38 12.52 3,000 3,000



1 29/10/2015 38 12.52 0 -3,000



1 30/10/2015 38 12.55 1,200 1,200



1 30/10/2015 38 12.55 0 -1,200

Foraco International SA Common Shares Foraco International SA 1 12/06/2014 30 1,107,499 1 Foraco International SA Common Shares Foraco International SA 1 06/10/2015 38 0.26 416,571 2,072 Foraco International SA Common Shares Foraco International SA 1 07/10/2015 38 0.26 418,643 2,072 Foraco International SA Common Shares Foraco International SA 1 08/10/2015 38 0.26 420,715 2,072 Foraco International SA Common Shares Foraco International SA 1 14/10/2015 38 0.26 422,715 2,000 Foraco International SA Common Shares Foraco International SA 1 15/10/2015 38 0.26 424,787 2,072 Foraco International SA Common Shares Foraco International SA 1 16/10/2015 38 0.26 426,787 2,000 Foraco International SA Common Shares Foraco International SA 1 19/10/2015 38 0.26 427,287 500 Foraco International SA Common Shares Foraco International SA 1 20/10/2015 38 0.26 429,359 2,072 Foraco International SA Common Shares Foraco International SA 1 21/10/2015 38 0.26 431,431 2,072 Foraco International SA Common Shares Foraco International SA 1 22/10/2015 38 0.26 433,503 2,072 Foraco International SA Common Shares Foraco International SA 1 23/10/2015 38 0.26 435,575 2,072

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9578


T/O Unit Price


Acquired/ Disposed

Foraco International SA Common Shares Foraco International SA 1 28/10/2015 38 0.26 437,647 2,072 Fortis Inc. Common Shares Gosse, Karen J. 5 01/11/2015 00 11,564 Fortis Inc. Common Shares Gosse, Karen J. 5 01/11/2015 00 668 Fortis Inc. Common Shares Gosse, Karen J. 5 01/11/2015 00 100 Fortis Inc. Common Shares Gosse, Karen J. 5 01/11/2015 00 100 Fortis Inc. Options Gosse, Karen J. 5 01/11/2015 00 28,426 Frontenac Mortgage Investment Corporation

Common Shares Cruickshank, Kevin 5 04/11/2015 15 30 11,024 100

Frontenac Mortgage Investment Corporation

Common Shares REISER, DAWN 5 04/11/2015 15 30 558 7

Gabriel Resources Ltd. Options Segsworth, Walter Thomas 4 07/11/2015 50 0.4 625,000 75,000 GB Minerals Ltd. Common Shares Mordashov, Alexey 3 27/10/2015 00 GB Minerals Ltd. Common Shares Mordashov, Alexey 3 27/10/2015 00 26,788,000 Gencan Capital Inc. Common Shares Litwin, Frederick Arnold 3, 4, 6 26/10/2015 00 Gencan Capital Inc. Common Shares Litwin, Frederick Arnold 3, 4, 6 28/10/2015 11 0.145 1,301,622 1,301,622 Gencan Capital Inc. Common Shares Litwin, Frederick Arnold 3, 4, 6 26/10/2015 00 12,564,188 GENDIS INC. Common Shares GENDIS INC. 1 01/10/2015 38 3.35 1,000 1,000 GENDIS INC. Common Shares GENDIS INC. 1 01/10/2015 38 0 -1,000 GENDIS INC. Common Shares GENDIS INC. 1 06/10/2015 38 3.25 1,000 1,000 GENDIS INC. Common Shares GENDIS INC. 1 06/10/2015 38 0 -1,000 GENDIS INC. Common Shares GENDIS INC. 1 07/10/2015 38 3.25 1,000 1,000 GENDIS INC. Common Shares GENDIS INC. 1 07/10/2015 38 0 -1,000 GENDIS INC. Common Shares GENDIS INC. 1 13/10/2015 38 3.25 1,000 1,000 GENDIS INC. Common Shares GENDIS INC. 1 13/10/2015 38 0 -1,000 GENDIS INC. Common Shares GENDIS INC. 1 14/10/2015 38 3.25 1,000 1,000 GENDIS INC. Common Shares GENDIS INC. 1 14/10/2015 38 0 -1,000 GENDIS INC. Common Shares GENDIS INC. 1 15/10/2015 38 3.25 1,000 1,000 GENDIS INC. Common Shares GENDIS INC. 1 15/10/2015 38 0 -1,000 GENDIS INC. Common Shares GENDIS INC. 1 16/10/2015 38 3 1,000 1,000 GENDIS INC. Common Shares GENDIS INC. 1 16/10/2015 38 0 -1,000 GENDIS INC. Common Shares GENDIS INC. 1 19/10/2015 38 3 1,000 1,000 GENDIS INC. Common Shares GENDIS INC. 1 19/10/2015 38 0 -1,000 GENDIS INC. Common Shares GENDIS INC. 1 26/10/2015 38 3.1 1,000 1,000 GENDIS INC. Common Shares GENDIS INC. 1 26/10/2015 38 0 -1,000 GENDIS INC. Common Shares GENDIS INC. 1 29/10/2015 38 3.1 1,000 1,000 GENDIS INC. Common Shares GENDIS INC. 1 29/10/2015 38 0 -1,000 GENDIS INC. Common Shares GENDIS INC. 1 30/10/2015 38 3.1 1,000 1,000 GENDIS INC. Common Shares GENDIS INC. 1 30/10/2015 38 0 -1,000 Genesis Land Development Corp.

Common Shares Genesis Land Development Corp.

1 05/10/2015 38 3.1725 29,100 10,000

Genesis Land Development Corp.


1 06/10/2015 38 3.0965 39,100 10,000



1 07/10/2015 38 3.0503 42,900 3,800



1 08/10/2015 38 3.0755 52,900 10,000



1 13/10/2015 38 3.07 53,900 1,000



1 14/10/2015 38 3.0921 62,900 9,000



1 15/10/2015 38 3.15 68,200 5,300



1 16/10/2015 38 3.15 69,600 1,400



1 19/10/2015 38 3.1255 73,400 3,800



1 20/10/2015 38 3.12 74,100 700



1 21/10/2015 38 3.1421 88,100 14,000



1 22/10/2015 38 3 90,900 2,800

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9579


T/O Unit Price


Acquired/ Disposed



1 26/10/2015 38 3.05 98,300 7,400



1 27/10/2015 38 3.07 100,100 1,800



1 28/10/2015 38 3.037 113,600 13,500



1 29/10/2015 38 3 116,700 3,100



1 30/10/2015 38 2.9996 132,349 15,649



1 30/10/2015 38 34,049 -98,300

Genius Properties Ltd. Common Shares 9191364 Canada Inc. 3 28/10/2015 97 0 -30,000,000 Genius Properties Ltd. Common Shares 9248-7792 Québec Inc. 3 03/11/2015 10 0.025 7,572,533 127,000 Genius Properties Ltd. Common Shares 9248-7792 Québec Inc. 3 05/11/2015 10 0.03 7,618,533 46,000 Genius Properties Ltd. Common Shares Genius Properties Ltd. / Les

propriétés Genius Ltée 1 10/10/2013 00

Genius Properties Ltd. Common Shares Genius Properties Ltd. / Les propriétés Genius Ltée

1 28/10/2015 38 30,000,000


1 28/10/2015 97 30,000,000 30,000,000


1 28/10/2015 38 0 -30,000,000

Genius Properties Ltd. Common Shares Lafontaine, Patricia 4 04/11/2015 10 0.03 384,000 160,000 Genius Properties Ltd. Common Shares Leblanc, Stéphane 3, 4, 5 03/11/2015 10 0.025 7,572,533 127,000 Genius Properties Ltd. Common Shares Leblanc, Stéphane 3, 4, 5 05/11/2015 10 0.03 7,618,533 46,000 Genius Properties Ltd. Common Shares Richard, Denis 3, 6, 5 28/10/2015 97 0 -30,000,000 Genoil Inc. Options Abbott, Bruce 4 03/11/2015 50 0.03 16,550,000 850,000 Genoil Inc. Options Bojar, Timothy 4 03/11/2015 50 0.03 5,000,000 1,000,000 Genoil Inc. Options Koch, Bengt 4 03/11/2015 50 0.03 5,250,000 1,000,000 Genoil Inc. Options Puhalac, Slobodan 4 03/11/2015 50 0.03 4,750,000 1,000,000 GeoNovus Media Corp. Common Shares Brusatore, Nicholas Gordon 3 30/10/2015 00 1,226,400 GeoNovus Media Corp. Common Shares Brusatore, Nicholas Gordon 3 02/11/2015 10 0.075 1,306,400 80,000 GeoNovus Media Corp. Common Shares Brusatore, Nicholas Gordon 3 03/11/2015 10 0.08 1,308,400 2,000 GeoNovus Media Corp. Common Shares Brusatore, Nicholas Gordon 3 03/11/2015 10 0.085 1,385,400 77,000 GeoNovus Media Corp. Common Shares Brusatore, Nicholas Gordon 3 04/11/2015 10 0.08 1,406,400 21,000 GeoNovus Media Corp. Common Shares Brusatore, Nicholas Gordon 3 05/11/2015 10 0.08 1,419,400 13,000 GeoNovus Media Corp. Common Shares Masters, John Parker 5 03/11/2015 10 0.085 113,000 -12,000 GeoNovus Media Corp. Common Shares Masters, John Parker 5 03/11/2015 10 0.08 112,500 -500 GeoNovus Media Corp. Common Shares Masters, John Parker 5 03/11/2015 37 0 -112,500 Global Dividend Growers Income Fund

Trust Units Global Dividend Growers Income Fund

1 02/11/2015 38 12.31 2,696,156 200

Global Dividend Growers Income Fund

Trust Units Global Dividend Growers Income Fund

1 04/11/2015 38 12.2 2,696,556 400

Global Gardens Group Inc. Common Shares Isherwood, Brian Clifford 4 30/10/2015 10 0.16 3,329,838 51,000 Global Gardens Group Inc. Common Shares Isherwood, Brian Clifford 4 30/10/2015 10 0.155 3,349,338 19,500 Global Gardens Group Inc. Common Shares Isherwood, Brian Clifford 4 30/10/2015 10 0.165 3,378,838 29,500 Global Healthcare Dividend Fund

Trust Units Global Healthcare Dividend Fund

1 30/10/2015 38 11.037 494,400 6,000

Global Healthcare Dividend Fund


1 30/10/2015 38 10.994 495,800 1,400



1 03/11/2015 38 11.053 497,000 1,200



1 04/11/2015 38 11 497,600 600

Global Healthcare Income & Growth Fund

Units Global Healthcare Income & Growth Fund

1 26/10/2015 00



1 26/10/2015 38 9.26 100 100



1 26/10/2015 38 9.26 0 -100



1 28/10/2015 38 9.44 600 600

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9580


T/O Unit Price


Acquired/ Disposed



1 28/10/2015 38 9.44 0 -600



1 29/10/2015 38 9.43 3,000 3,000



1 29/10/2015 38 9.43 0 -3,000



1 29/10/2015 38 9.31 1,200 1,200



1 29/10/2015 38 9.31 0 -1,200



1 30/10/2015 38 9.54 3,000 3,000



1 30/10/2015 38 9.54 0 -3,000



1 30/10/2015 38 9.39 3,000 3,000



1 30/10/2015 38 9.39 0 -3,000

Global Infrastructure Dividend Fund

Trust Units Global Infrastructure Dividend Fund

1 30/10/2015 38 8.84 1,770,600 5,700



1 02/11/2015 10 8.82 1,767,600 -3,000



1 04/11/2015 10 8.8001 1,750,600 -17,000

Global Real Estate Dividend Growers Corp.

Common Shares Equity Shares


1 30/10/2015 38 9.1183 163,600 6,300




1 02/11/2015 38 9.2855 165,800 2,200




1 03/11/2015 38 9.2036 170,800 5,000




1 04/11/2015 38 9.2184 175,300 4,500




1 05/11/2015 38 9.18 178,400 3,100

Globex Mining Enterprises Inc.

Options STOCH, DIANNE 4, 5 07/11/2015 52 0.63 330,000 -200,000

Gluskin Sheff + Associates Inc.

Common Shares Morris, David Roy 5 04/11/2015 97 1,919 1,872

Gluskin Sheff + Associates Inc.

Common Shares Morris, David Roy 5 04/11/2015 97 6,928 -1,872

goeasy Ltd. (formerly, easyhome Ltd.)

Deferred Share Unit Plan Appel, David Harry 4 31/10/2015 30 16.51 42,350 167


Deferred Share Unit Plan Basian, Karen 4 31/10/2015 30 16.51 4,798 167


Deferred Share Unit Plan Johnson, Donald Kenneth 3, 4 30/10/2015 30 16.51 167


Deferred Share Unit Plan Johnson, Donald Kenneth 3, 4 31/10/2015 30 16.51 54,622 167


Deferred Share Unit Plan Lewis, David Andrew 4 31/10/2015 30 16.51 42,477 167


Deferred Share Unit Plan Morrison, Sean 4 30/10/2015 30 16.51 167


Deferred Share Unit Plan Morrison, Sean 4 31/10/2015 30 16.51 1,343 167


Deferred Share Unit Plan Thomson, David J. 4 30/10/2015 30 16.51 167


Deferred Share Unit Plan Thomson, David J. 4 31/10/2015 30 16.51 13,300 167

Gold Wheaton Gold Corp. Options Carmichael, Trevor 7 16/10/2008 00 Gold Wheaton Gold Corp. Options Carmichael, Trevor 7 16/10/2008 00 200,000 Goldcorp Inc. Common Shares Castaños Perez, Arturo

Pablo 5 05/11/2015 57 12.21 4,796 833

Goldcorp Inc. Common Shares Castaños Perez, Arturo Pablo

5 05/11/2015 10 12.21 4,534 -262

Goldcorp Inc. Rights Castaños Perez, Arturo Pablo

5 05/11/2015 57 12.21 20,238 -833

Goldcorp Inc. Common Shares Hubbard, Michael Gerald 5 05/11/2015 57 12.21 7,898 2,466

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9581


T/O Unit Price


Acquired/ Disposed

Goldcorp Inc. Common Shares Hubbard, Michael Gerald 5 05/11/2015 10 12.21 7,130 -768 Goldcorp Inc. Rights Hubbard, Michael Gerald 5 05/11/2015 57 12.21 23,185 -2,466 Goldcorp Inc. Options Perkins, David Patrick

Michael 7 06/11/2015 52 45.41 113,238 -35,000

Goldman Sachs U.S. Income Builder Trust

Units Class A Goldman Sachs U.S. Income Builder Trust

1 01/10/2015 38 7.69 3,000 3,000



1 01/10/2015 38 7.69 0 -3,000



1 01/10/2015 38 7.54 2,500 2,500



1 01/10/2015 38 7.54 0 -2,500



1 05/10/2015 38 7.57 2,200 2,200



1 05/10/2015 38 7.57 0 -2,200



1 15/10/2015 38 7.91 3,000 3,000



1 15/10/2015 38 7.91 0 -3,000



1 19/10/2015 38 7.95 3,000 3,000



1 19/10/2015 38 7.95 0 -3,000



1 26/10/2015 38 8.15 3,000 3,000



1 26/10/2015 38 8.15 0 -3,000



1 27/10/2015 38 8.1 3,000 3,000



1 27/10/2015 38 8.1 0 -3,000



1 29/10/2015 38 8.1 3,000 3,000



1 29/10/2015 38 8.1 0 -3,000



1 30/10/2015 38 8.09 3,000 3,000



1 30/10/2015 38 8.09 0 -3,000

GoldQuest Mining Corp. Common Shares Balint, Frank 4 22/05/2013 00 GoldQuest Mining Corp. Common Shares Balint, Frank 4 06/11/2015 11 0.11 500,000 500,000 GoldQuest Mining Corp. Warrants Balint, Frank 4 22/05/2013 00 GoldQuest Mining Corp. Warrants Balint, Frank 4 06/11/2015 53 0.18 250,000 250,000 GoldQuest Mining Corp. Common Shares Niemi, Jeremy Karl 5 06/11/2015 11 0.11 90,862 90,862 GoldQuest Mining Corp. Warrants Niemi, Jeremy Karl 5 04/09/2012 00 GoldQuest Mining Corp. Warrants Niemi, Jeremy Karl 5 06/11/2015 53 0.18 45,431 45,431 GoldQuest Mining Corp. Common Shares Siegfried, Florian 4 06/11/2015 11 750,000 100,000 GoldQuest Mining Corp. Warrants Siegfried, Florian 4 06/11/2015 53 0.18 50,000 50,000 Goviex Uranium Inc. Common Shares Class A Lechtzier, Matthew 4 09/05/2014 00 Goviex Uranium Inc. Common Shares Class A Lechtzier, Matthew 4 03/11/2015 16 0.1125 35,000 35,000 Goviex Uranium Inc. Warrants Lechtzier, Matthew 4 09/05/2014 00 Goviex Uranium Inc. Warrants Lechtzier, Matthew 4 03/11/2015 16 35,000 35,000 Goviex Uranium Inc. Common Shares Class A Major, Daniel John 4, 5 09/05/2014 00 Goviex Uranium Inc. Common Shares Class A Major, Daniel John 4, 5 03/11/2015 16 0.1125 15,000 15,000 Goviex Uranium Inc. Warrants Major, Daniel John 4, 5 09/05/2014 00 Goviex Uranium Inc. Warrants Major, Daniel John 4, 5 03/11/2015 16 15,000 15,000 Goviex Uranium Inc. Common Shares Class A Wallace, Christopher 4 26/06/2015 00 Goviex Uranium Inc. Common Shares Class A Wallace, Christopher 4 03/11/2015 16 0.1125 50,000 50,000 Goviex Uranium Inc. Warrants Wallace, Christopher 4 26/06/2015 00 Goviex Uranium Inc. Warrants Wallace, Christopher 4 03/11/2015 16 50,000 50,000 Greenbank Capital Inc. Common Shares Cullingham, Paul Winston 4 02/11/2015 10 0.35 150,000 -2,000 Greenbank Capital Inc. Common Shares Cullingham, Paul Winston 4 03/11/2015 10 0.35 142,000 -8,000

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9582


T/O Unit Price


Acquired/ Disposed

Greenbank Capital Inc. Common Shares Cullingham, Paul Winston 4 04/11/2015 10 0.36 -1,000 Greenbank Capital Inc. Common Shares Cullingham, Paul Winston 4 04/11/2015 10 0.35 141,000 -1,000 Greenbank Capital Inc. Common Shares Cullingham, Paul Winston 4 05/11/2015 10 0.35 140,000 -1,000 Greenbank Capital Inc. Common Shares Cullingham, Paul Winston 4 06/11/2015 10 0.3 135,000 -5,000 Greencastle Resources Ltd. Common Shares Greencastle Resources Ltd. 1 02/10/2015 38 0.055 922,000 2,000 Greencastle Resources Ltd. Common Shares Greencastle Resources Ltd. 1 08/10/2015 38 0.055 927,000 5,000 Greencastle Resources Ltd. Common Shares Greencastle Resources Ltd. 1 09/10/2015 38 0.055 937,000 10,000 Greencastle Resources Ltd. Common Shares Greencastle Resources Ltd. 1 16/10/2015 38 0.055 945,000 8,000 Guardian Capital Group Limited

Non-Voting Shares Class A

Guardian Capital Group Limited

1 30/10/2015 38 0 -184,924

Gulf & Pacific Equities Corp. Common Shares Cohen, Anthony 3, 4, 5 30/10/2015 36 0.3 5,784,166 3,716,666 Gulf & Pacific Equities Corp. Convertible Debentures Cohen, Anthony 3, 4, 5 30/10/2015 36 0.3 $50,000 -$1,115,000 Guyana Goldfields Inc. Common Shares Wagenaar, Jacqueline 5 03/11/2015 51 3.22 95,000 25,000 Guyana Goldfields Inc. Common Shares Wagenaar, Jacqueline 5 03/11/2015 51 3.22 70,000 -25,000 Guyana Goldfields Inc. Options Wagenaar, Jacqueline 5 03/11/2015 51 3.22 205,000 -25,000 Hatch Interactive Technologies Corporation

Options 10% rolling options plan

McGraw, William James 4 08/09/2015 00

Hatch Interactive Technologies Corporation

Options 10% rolling options plan

McGraw, William James 4 02/11/2015 50 0.1 1,500,000 1,500,000


Common Shares Naughty, Blair Lawrence 5 08/09/2015 00 71,500


Common Shares Naughty, Blair Lawrence 5 03/11/2015 10 0.1 91,500 20,000


Common Shares Naughty, Blair Lawrence 5 05/11/2015 10 0.1 101,500 10,000

Hemisphere Energy Corporation

Common Shares Duncan, Ian 5 02/11/2015 10 0.13 390,296 15,500

Hemisphere Energy Corporation

Common Shares Duncan, Ian 5 03/11/2015 10 0.15 410,096 19,800

HI HO SILVER RESOURCES INC.

Common Shares McKnight, Dennis Harry 4 04/11/2015 11 3,661,992 -1,246,260

High Liner Foods Incorporated

Common Shares Dexter, Robert P. 4 06/11/2015 10 12.49 429,116 10,000


Common Shares O'Neill, J. Jeffery 5 01/05/2015 00


Common Shares O'Neill, J. Jeffery 5 01/05/2015 00 3,910

Highmark Marketing Inc. Common Shares Branson, Marc Robert 4 04/11/2015 51 0.025 4,935,000 960,000 Highmark Marketing Inc. Options Branson, Marc Robert 4 04/11/2015 51 0.025 40,000 -960,000 Holloway Lodging Corporation

Common Shares Holloway Lodging Corporation

1 01/10/2015 30 4.63 132,600 130,000

Holloway Lodging Corporation

Common Shares Holloway Lodging Corporation

1 02/11/2015 38 0 -132,600


Convertible Debentures HLC.DB 6.25% due Feb 28, 2020


1 02/10/2015 30 0.87 $12,000 $3,000




1 06/10/2015 30 0.8695 $15,000 $3,000




1 07/10/2015 30 0.855 $18,000 $3,000




1 13/10/2015 30 0.88 $21,000 $3,000




1 16/10/2015 30 0.86 $24,000 $3,000




1 02/11/2015 38 $0 -$24,000

HudBay Minerals Inc. Common Shares Garofalo, David 4, 5 21/10/2015 30 6.18 140,266 1,895 HUMBOLDT CAPITAL CORPORATION

Options Clark, Donald K. 4, 5 05/11/2015 52 2.16 0 -100,000

HUMBOLDT CAPITAL CORPORATION

Options McPherson, Robert Lockland

4 05/11/2015 52 2.16 0 -60,000

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9583


T/O Unit Price


Acquired/ Disposed

HUMBOLDT CAPITAL CORPORATION

Options Teare, Charles Anton 4, 5 05/11/2015 52 2.16 0 -150,000

Hunt Mining Corp Warrants Hunt, Darrick 4 31/10/2015 55 0.5 0 -110,000 Hunt Mining Corp Warrants Hunt, Timothy 3, 4, 5 31/10/2015 55 0.5 0 -2,000,000 Hydro One Limited Common Shares Her Majesty the Queen in

Right of Ontario, as represented by the Minister of Energy

3 29/10/2015 00 100,000

Hydro One Limited Common Shares Her Majesty the Queen in Right of Ontario, as represented by the Minister of Energy

3 31/10/2015 16 1 999,999,999


3 31/10/2015 16 1 999,999,999


3 31/10/2015 16 1 500,100,000 500,000,000


3 04/11/2015 16 1 999,999,999


3 04/11/2015 16 1 999,999,999


3 04/11/2015 16 1 1,000,100,000 500,000,000


3 04/11/2015 37 595,000,000 -405,100,000


3 05/11/2015 10 20.5 513,900,000 -81,100,000


3 05/11/2015 16 20.5 510,387,805 -3,512,195


3 05/11/2015 16 20.5 510,143,903 -243,902


3 05/11/2015 16 20.5 509,564,635 -579,268


3 05/11/2015 16 20.5 509,418,294 -146,341

Hydro One Limited Preferred Shares (Series 1)

Her Majesty the Queen in Right of Ontario, as represented by the Minister of Energy

3 29/10/2015 00

Hydro One Limited Preferred Shares (Series 1)

Her Majesty the Queen in Right of Ontario, as represented by the Minister of Energy

3 31/10/2015 16 25 16,720,000 16,720,000

IGM Financial Inc. Executive Performance Share Units

Asman, Todd 7 30/10/2015 30 37.8 3,168 47


Carney, Jeffrey 4 30/10/2015 30 37.8 20,150 296

IGM Financial Inc. Senior Executive Share Units

Carney, Jeffrey 4 30/10/2015 30 37.8 8,104 119

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9584


T/O Unit Price


Acquired/ Disposed


Elavia, Tony 7 30/10/2015 30 37.8 6,978 103


Elavia, Tony 7 30/10/2015 30 37.8 3,333 49


Gooding, Brian J. 7 30/10/2015 30 37.8 17,681 260


Gould, J. Luke 7 30/10/2015 30 37.8 3,310 49

IGM Financial Inc. Common Shares IGM Financial Inc. 1 01/10/2015 38 34.445 10,700 10,700 IGM Financial Inc. Common Shares IGM Financial Inc. 1 01/10/2015 38 0 -10,700 IGM Financial Inc. Common Shares IGM Financial Inc. 1 02/10/2015 38 34.311 10,700 10,700 IGM Financial Inc. Common Shares IGM Financial Inc. 1 02/10/2015 38 0 -10,700 IGM Financial Inc. Common Shares IGM Financial Inc. 1 05/10/2015 38 36.043 10,200 10,200 IGM Financial Inc. Common Shares IGM Financial Inc. 1 05/10/2015 38 0 -10,200 IGM Financial Inc. Common Shares IGM Financial Inc. 1 06/10/2015 38 36.437 10,100 10,100 IGM Financial Inc. Common Shares IGM Financial Inc. 1 06/10/2015 38 0 -10,100 IGM Financial Inc. Common Shares IGM Financial Inc. 1 07/10/2015 38 36.857 10,000 10,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 07/10/2015 38 0 -10,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 08/10/2015 38 37.202 9,900 9,900 IGM Financial Inc. Common Shares IGM Financial Inc. 1 08/10/2015 38 0 -9,900 IGM Financial Inc. Common Shares IGM Financial Inc. 1 09/10/2015 38 37.491 9,800 9,800 IGM Financial Inc. Common Shares IGM Financial Inc. 1 09/10/2015 38 0 -9,800 IGM Financial Inc. Common Shares IGM Financial Inc. 1 13/10/2015 38 37.511 9,800 9,800 IGM Financial Inc. Common Shares IGM Financial Inc. 1 13/10/2015 38 0 -9,800 IGM Financial Inc. Common Shares IGM Financial Inc. 1 14/10/2015 38 37.224 9,900 9,900 IGM Financial Inc. Common Shares IGM Financial Inc. 1 14/10/2015 38 0 -9,900 IGM Financial Inc. Common Shares IGM Financial Inc. 1 15/10/2015 38 37.048 9,900 9,900 IGM Financial Inc. Common Shares IGM Financial Inc. 1 15/10/2015 38 0 -9,900 IGM Financial Inc. Common Shares IGM Financial Inc. 1 16/10/2015 38 36.958 10,000 10,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 16/10/2015 38 0 -10,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 19/10/2015 38 37.028 9,900 9,900 IGM Financial Inc. Common Shares IGM Financial Inc. 1 19/10/2015 38 0 -9,900 IGM Financial Inc. Common Shares IGM Financial Inc. 1 20/10/2015 38 37.323 9,900 9,900 IGM Financial Inc. Common Shares IGM Financial Inc. 1 20/10/2015 38 0 -9,900 IGM Financial Inc. Common Shares IGM Financial Inc. 1 21/10/2015 38 37.847 9,700 9,700 IGM Financial Inc. Common Shares IGM Financial Inc. 1 21/10/2015 38 0 -9,700 IGM Financial Inc. Common Shares IGM Financial Inc. 1 22/10/2015 38 38.177 9,600 9,600 IGM Financial Inc. Common Shares IGM Financial Inc. 1 22/10/2015 38 0 -9,600 IGM Financial Inc. Common Shares IGM Financial Inc. 1 23/10/2015 38 38.008 9,700 9,700 IGM Financial Inc. Common Shares IGM Financial Inc. 1 23/10/2015 38 0 -9,700 IGM Financial Inc. Common Shares IGM Financial Inc. 1 26/10/2015 38 37.846 9,700 9,700 IGM Financial Inc. Common Shares IGM Financial Inc. 1 26/10/2015 38 0 -9,700 IGM Financial Inc. Common Shares IGM Financial Inc. 1 27/10/2015 38 37.457 9,800 9,800 IGM Financial Inc. Common Shares IGM Financial Inc. 1 27/10/2015 38 0 -9,800 IGM Financial Inc. Common Shares IGM Financial Inc. 1 28/10/2015 38 37.717 9,800 9,800 IGM Financial Inc. Common Shares IGM Financial Inc. 1 28/10/2015 38 0 -9,800 IGM Financial Inc. Common Shares IGM Financial Inc. 1 29/10/2015 38 37.833 9,700 9,700 IGM Financial Inc. Common Shares IGM Financial Inc. 1 29/10/2015 38 0 -9,700 IGM Financial Inc. Common Shares IGM Financial Inc. 1 30/10/2015 38 37.676 9,800 9,800 IGM Financial Inc. Common Shares IGM Financial Inc. 1 30/10/2015 38 0 -9,800 IGM Financial Inc. Equity Forward Contract -

IGM 3 IGM Financial Inc. 1 30/10/2015 30 37.8 1

IGM Financial Inc. Equity Forward Contract - IGM 3

IGM Financial Inc. 1 30/10/2015 30 37.8 10 1


IGM Financial Inc. 1 30/10/2015 30 37.8 1





Insider Reporting

November 12, 2015

(2015), 38 OSCB 9585


T/O Unit Price


Acquired/ Disposed

IGM Financial Inc. Equity-Swap - IGM1 IGM Financial Inc. 1 30/10/2015 30 37.8 36 1 IGM Financial Inc. Equity-Swap - IGM3 IGM Financial Inc. 1 30/10/2015 30 37.8 17 1 IGM Financial Inc. Equity-Swap - IGM4 IGM Financial Inc. 1 30/10/2015 30 37.8 9 1 IGM Financial Inc. Equity-Swap - IGM8 IGM Financial Inc. 1 30/10/2015 30 37.8 3 1 IGM Financial Inc. Executive Performance

Share Units Kinzel, Mark Richard 7 30/10/2015 30 37.8 9,258 136


Lawrence, Ian 7 30/10/2015 30 37.8 1,822 27


MacDonald, Donald James 7 30/10/2015 30 37.8 2,201 32


McCullum, David 7 30/10/2015 30 37.8 3,651 54


McCullum, David 7 30/10/2015 30 37.8 5,978 88


Murdoch, Robert Charles 5 30/10/2015 30 37.8 2,032 30


Regan, Kevin Ernest 7 30/10/2015 30 37.8 9,006 132


Singer, Jeffrey 7 30/10/2015 30 37.8 6,970 102


Taylor, Murray John 4, 5 30/10/2015 30 37.8 37,175 545


Tretiak, Gregory Dennis 4, 6 30/10/2015 30 37.8 7,035 103

IMAX Corporation Common Shares IMAX Corporation 1 03/11/2015 30 27,267 -15,339 IMAX Corporation Common Shares IMAX Corporation 1 03/11/2015 30 19,824 -7,443 IMAX Corporation Common Shares IMAX Corporation 1 04/11/2015 30 3,082 -16,742 IMAX Corporation Common Shares Lindzon-Jacobs, Carrie 5 30/10/2015 51 27.82 8,157 3,537 IMAX Corporation Common Shares Lindzon-Jacobs, Carrie 5 30/10/2015 10 38.67 4,620 -3,537 IMAX Corporation Options 1:1 Lindzon-Jacobs, Carrie 5 30/10/2015 51 27.82 72,598 -3,537 IMAX Corporation Common Shares Lister, Robert D. 5 02/11/2015 51 13.38 18,801 5,750 IMAX Corporation Common Shares Lister, Robert D. 5 02/11/2015 51 20.25 24,801 6,000 IMAX Corporation Common Shares Lister, Robert D. 5 02/11/2015 10 38.448 13,051 -11,750 IMAX Corporation Options 1:1 Lister, Robert D. 5 02/11/2015 51 13.38 235,967 -5,750 IMAX Corporation Options 1:1 Lister, Robert D. 5 02/11/2015 51 20.25 229,967 -6,000 IMAX Corporation Common Shares Vance, Jeff 5 02/11/2015 51 25.82 16,888 15,750 IMAX Corporation Common Shares Vance, Jeff 5 02/11/2015 51 15.88 22,888 6,000 IMAX Corporation Common Shares Vance, Jeff 5 02/11/2015 10 38.501 1,138 -21,750 IMAX Corporation Options 1:1 Vance, Jeff 5 02/11/2015 51 25.82 51,992 -15,750 IMAX Corporation Options 1:1 Vance, Jeff 5 02/11/2015 51 15.88 45,992 -6,000 IMAX Corporation Common Shares Wechsler, Bradley J. 4, 5 03/11/2015 10 38.912 32,000 -7,500 IMAX Corporation Common Shares Welton, Mark 5 02/11/2015 51 15.88 31,076 25,000 IMAX Corporation Common Shares Welton, Mark 5 02/11/2015 10 38.553 6,076 -25,000 IMAX Corporation Options 1:1 Welton, Mark 5 02/11/2015 51 15.88 158,523 -25,000 Imvescor Restaurant Group Inc.

Options Hennessey, Frank 4, 5 01/11/2015 50 1,100,000 400,000

Indexplus Income Fund Trust Units INDEXPLUS Income Fund 1 30/10/2015 38 10.966 34,236,365 2,800 InMed Pharmaceuticals Inc. (formerly Cannabis Technologies Inc,)

Common Shares Chris, Bogart 5 26/10/2015 10 0.14 3,371,500 20,000

InMed Pharmaceuticals Inc. (formerly Cannabis Technologies Inc,)

Common Shares Chris, Bogart 5 03/11/2015 10 0.13 3,421,500 50,000

Innergex Renewable Energy Inc.

Common Shares Innergex énergie renouvelable inc.

1 01/10/2015 38 10.19 30,639 30,639



1 02/10/2015 38 10.297 58,278 27,639



1 05/10/2015 38 10.442 84,917 26,639



1 06/10/2015 38 10.362 95,956 11,039



1 07/10/2015 38 10.236 127,595 31,639

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9586


T/O Unit Price


Acquired/ Disposed



1 08/10/2015 38 10.29 150,834 23,239



1 09/10/2015 38 10.684 162,973 12,139



1 13/10/2015 38 10.745 168,112 5,139



1 27/10/2015 38 10.75 199,851 31,739



1 28/10/2015 38 10.74 203,651 3,800



1 29/10/2015 38 10.73 224,090 20,439



1 30/10/2015 38 10.693 252,390 28,300



1 31/10/2015 38 0 -252,390

InnVest Real Estate Investment Trust

Trust Units KingSett Real Estate Growth LP No. 5

3 15/07/2014 35 5.29 58,717



3 15/07/2014 35 5.29 58,291



3 15/07/2014 35 5.29 9,675,089 58,290


Trust Units Love, Jon E. 4 15/07/2014 35 5.29 58,717


Trust Units Love, Jon E. 4 15/07/2014 35 5.29 58,291


Trust Units Love, Jon E. 4 15/07/2014 35 5.29 9,675,089 58,290

International Datacasting Corporation

Options McDougall, Glenn M.J. 4 02/11/2015 50 0.037 208,327 168,925



McDougall, Glenn M.J. 4 02/11/2015 56 0.037 208,327 168,925


Options Smith, David John 4 02/11/2015 50 0.037 522,369 202,710



Smith, David John 4 02/11/2015 56 0.037 522,369 202,710


Options Van Staveren, Christopher John

4 02/11/2015 50 0.037 1,106,207 304,066



Van Staveren, Christopher John

4 02/11/2015 56 0.037 1,106,207 304,066

International Road Dynamics Inc.

Common Shares Kolla, Ray 4 05/05/2015 00


Common Shares Kolla, Ray 4 02/11/2015 46 1.19 1,576 1,576


Common Shares Wong, Connie 5 29/10/2015 99 19,938 -30,000


Options Wong, Connie 5 29/10/2015 99 0.31 30,000 30,000

Intertape Polymer Group Inc. Common Shares Intertape Polymer Group, Inc.

1 01/10/2015 38 14.43 37,100 37,100


1 02/10/2015 38 14.45 43,500 6,400


1 06/10/2015 38 14.5 43,600 100


1 08/10/2015 38 14.49 85,900 42,300


1 09/10/2015 38 14.47 126,400 40,500


1 13/10/2015 38 14.33 166,000 39,600


1 14/10/2015 38 14.37 205,400 39,400


1 15/10/2015 38 14.15 244,900 39,500


1 16/10/2015 38 14.2 284,900 40,000

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9587


T/O Unit Price


Acquired/ Disposed


1 19/10/2015 38 14.11 324,900 40,000


1 20/10/2015 38 14.15 364,900 40,000


1 21/10/2015 38 14.35 366,600 1,700


1 31/10/2015 38 0 -366,600

Jaguar Mining Inc. Convertible Debentures 2015

Hope, Stephen McCaughan 4, 6 22/04/2014 00


Hope, Stephen McCaughan 4, 6 27/10/2015 11 0.15 $5,350,000 $5,350,000


Outrider Management, LLC 3 22/04/2014 00


Outrider Management, LLC 3 27/10/2015 11 0.15 $5,350,000 $5,350,000

Jericho Oil Corporation (fka Dakar Resource Corp.)

Common Shares Wilson, Allen William 4 29/10/2015 10 0.345 1,692,108 3,000

JINHUA CAPITAL CORPORATION

Common Shares Dhanani, Zahir 4 04/11/2015 30 0.13 216,499 1,000

Kicking Horse Energy Inc. Common Shares Kwasnicia, Randy 4 30/10/2015 10 4.7 1,011,377 4,255 Kicking Horse Energy Inc. Common Shares Watt, Colin David 4 02/11/2015 51 3.33 576,263 124,500 Kicking Horse Energy Inc. Options Watt, Colin David 4 02/11/2015 51 3.33 100,000 -124,500 Kinaxis Inc. Common Shares Gwin, Howard 4 04/11/2015 51 44.799 17,325 2,325 Kinaxis Inc. Common Shares Gwin, Howard 4 04/11/2015 51 44.799 27,325 10,000 Kinaxis Inc. Common Shares Gwin, Howard 4 04/11/2015 51 44.799 41,700 14,375 Kinaxis Inc. Common Shares Gwin, Howard 4 04/11/2015 51 44.799 44,200 2,500 Kinaxis Inc. Common Shares Gwin, Howard 4 05/11/2015 51 44.053 54,400 10,200 Kinaxis Inc. Options Gwin, Howard 4 04/11/2015 51 1 70,675 -2,325 Kinaxis Inc. Options Gwin, Howard 4 04/11/2015 51 1.6 60,675 -10,000 Kinaxis Inc. Options Gwin, Howard 4 04/11/2015 51 3.2 46,300 -14,375 Kinaxis Inc. Options Gwin, Howard 4 04/11/2015 51 9.75 43,800 -2,500 Kinaxis Inc. Options Gwin, Howard 4 05/11/2015 51 1 33,600 -10,200 Kinaxis Inc. Common Shares Monkman, Richard George 5 03/11/2015 51 3.2 278,974 50,000 Kinaxis Inc. Common Shares Monkman, Richard George 5 04/11/2015 90 278,874 -100 Kinaxis Inc. Common Shares Monkman, Richard George 5 04/11/2015 90 2,160 100 Kinaxis Inc. Options Monkman, Richard George 5 03/11/2015 51 3.2 75,000 -50,000 Kingsway Financial Services Inc.

Common Shares Baqar, Hassan Raza 5 02/11/2015 10 4.2915 30,108 166

Kingsway Financial Services Inc.

Common Shares Hickey, William A. 5 02/11/2015 10 4.2915 59,700 350

Kingsway Financial Services Inc.

Common Shares Swets, Jr., Larry Gene 3, 4, 5 02/11/2015 10 4.2915 669,011 486

Kiska Metals Corporation Options Girling, W. Barry 4 30/10/2015 00 Kiska Metals Corporation Options Girling, W. Barry 4 30/10/2015 50 0.05 350,000 350,000 Kobex Capital Corp. Options Atkinson, Michael James 4 31/10/2015 52 0.96 335,000 -50,000 Kombat Copper Inc. Common Shares Katti, Knowledge Raymond 4 07/04/2014 00 1,900,000 LAURENTIAN BANK OF CANADA

Medium Term notes 2010-1 / 2010-1 Medium Term Notes

Banque Laurentienne du Canada

1 26/11/2001 00

LAURENTIAN BANK OF CANADA



1 02/11/2015 38 $250,000,000 $250,000,000

LAURENTIAN BANK OF CANADA



1 02/11/2015 38 $0 -$250,000,000

Levon Resources Ltd. Options Boddy, Christina Lynn 5 09/07/2015 00 Levon Resources Ltd. Options Boddy, Christina Lynn 5 03/11/2015 50 250,000 250,000 Levon Resources Ltd. Options Chevillon, Victor 4, 5 09/07/2015 00 Levon Resources Ltd. Options Chevillon, Victor 4, 5 03/11/2015 50 750,000 750,000 Levon Resources Ltd. Options Honig, Barry 4 09/07/2015 00 Levon Resources Ltd. Options Honig, Barry 4 03/11/2015 50 2,250,000 2,250,000 Levon Resources Ltd. Options Robertson, Gary Ralph 4 09/07/2015 00

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9588


T/O Unit Price


Acquired/ Disposed

Levon Resources Ltd. Options Robertson, Gary Ralph 4 03/11/2015 50 500,000 500,000 Levon Resources Ltd. Options Tremblay, Ron Michael 4, 5 09/07/2015 00 Levon Resources Ltd. Options Tremblay, Ron Michael 4, 5 03/11/2015 50 5,000,000 5,000,000 Lexaria Corp. Common Shares Bunka, Christopher 4, 5 30/10/2015 10 0.1839 5,987,206 7,000 Lexaria Corp. Common Shares Bunka, Christopher 4, 5 30/10/2015 10 0.179 5,988,706 1,500 Lexaria Corp. Common Shares Bunka, Christopher 4, 5 02/11/2015 10 0.184 5,993,706 5,000 Lexaria Corp. Common Shares Bunka, Christopher 4, 5 02/11/2015 10 0.24 5,995,206 1,500 Lexaria Corp. Common Shares Bunka, Christopher 4, 5 02/11/2015 10 0.25 6,005,206 10,000 Lexaria Corp. Common Shares Bunka, Christopher 4, 5 03/11/2015 10 0.205 6,006,706 1,500 Lexaria Corp. Common Shares Bunka, Christopher 4, 5 04/11/2015 10 0.19 6,013,206 6,500 Lexaria Corp. Common Shares Bunka, Christopher 4, 5 04/11/2015 10 0.193 6,017,706 4,500 Lexaria Corp. Common Shares Bunka, Christopher 4, 5 04/11/2015 10 0.195 6,022,706 5,000 Lexaria Corp. Common Shares Bunka, Christopher 4, 5 04/11/2015 10 0.179 6,022,776 70 Lexaria Corp. Common Shares Bunka, Christopher 4, 5 05/11/2015 10 0.202 6,025,276 2,500 Lexaria Corp. Common Shares Bunka, Christopher 4, 5 05/11/2015 10 0.199 6,026,276 1,000 Lexaria Corp. Common Shares Bunka, Christopher 4, 5 06/11/2015 10 0.19 6,050,776 24,500 Lexaria Corp. Common Shares Bunka, Christopher 4, 5 06/11/2015 10 0.2044 6,051,776 1,000 LGX Oil + Gas Inc. Common Shares Miller, III, Lloyd I. 3 03/11/2015 10 0.0412 4,068,500 -180,000 LIONS GATE ENTERTAINMENT CORP.

Common Shares Burns, Michael Raymond 4, 5 30/10/2015 30 39.69 1,717,429 -16,959

LIONS GATE ENTERTAINMENT CORP.

Common Shares Burns, Michael Raymond 4, 5 03/11/2015 30 1,722,403 4,974

LIONS GATE ENTERTAINMENT CORP.

Common Shares Burns, Michael Raymond 4, 5 03/11/2015 30 39.11 1,719,901 -2,502

Logistec Corporation Subordinate Voting Shares Class B

LOGISTEC CORPORATION

1 30/10/2015 38 4,000 -9,000



1 03/11/2015 38 39.9 5,000 1,000



1 04/11/2015 38 1,000 -4,000

Loon Energy Corporation Common Shares Kulczyk, Estate of Jan J. 3 30/10/2015 48 - Acquisition by inheritance or disposition by bequest

0 -6,755,209

Loon Energy Corporation Common Shares Luglio Limited 3 30/10/2015 00 Loon Energy Corporation Common Shares Luglio Limited 3 30/10/2015 48 - Acquisition

by inheritance or disposition by bequest

6,755,209 6,755,209

Lorne Park Capital Partners Inc.

Common Shares Sewell, Robert Darrell 4, 5 30/10/2015 10 0.4 11,256,500 500


Common Shares Sewell, Robert Darrell 4, 5 04/11/2015 10 0.4 11,261,500 5,000


Common Shares Sewell, Robert Darrell 4, 5 05/11/2015 10 0.4 11,266,500 5,000

Lornex Capital Inc. Options Larmour, Allan Charles 4 30/10/2015 50 0.18 90,000 50,000 Lotus Ventures Inc. Options Correia, Carl Joseph 3, 5 27/11/2014 00 Lotus Ventures Inc. Options Correia, Carl Joseph 3, 5 03/11/2015 50 450,000 450,000 Lotus Ventures Inc. Common Shares Mathiesen, Steve 4 29/10/2015 10 0.175 963,500 -10,000 Lotus Ventures Inc. Options McClanaghan, Dale Bernard 4, 5 27/11/2014 00 Lotus Ventures Inc. Options McClanaghan, Dale Bernard 4, 5 08/12/2014 50 500,000 500,000 Lotus Ventures Inc. Options McClanaghan, Dale Bernard 4, 5 03/11/2015 50 950,000 450,000 Macarthur Minerals Limited Common Shares Options Phillips, Alan Joseph 4 02/09/2015 50 0.05 1,000,000 Macarthur Minerals Limited Common Shares Options Phillips, Alan Joseph 4 02/09/2015 50 0.05 500,000 500,000 Magna International Inc. Rights Restricted Stock

Units Apfalter, Guenther Friedrich 5 29/10/2015 56 47.897 33,042 279

Magna International Inc. Rights Restricted Stock Units

Galifi, Vincent Joseph 5 29/10/2015 56 47.897 170,625 11,945


Kotagiri, Seetarama Swamy 5 29/10/2015 56 47.897 51,881 1,035


Neeb, Marc Joseph 5 29/10/2015 56 47.897 25,592 1,792

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9589


T/O Unit Price


Acquired/ Disposed


Palmer, Jeffrey Owen 5 29/10/2015 56 47.897 124,818 8,063


Skudutis, Tommy Joseph 7, 5 29/10/2015 56 47.897 170,625 11,945


Tobin, Sr., James Joseph 5 29/10/2015 56 47.897 62,560 4,380


Walker, Donald James 4, 5 29/10/2015 56 47.897 426,555 29,863

Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 01/10/2015 38 32 4,061,102 400 Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 01/10/2015 38 32 4,060,702 -400 Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 01/10/2015 38 31.9 4,085,702 25,000 Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 01/10/2015 38 31.9 4,060,702 -25,000 Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 05/10/2015 38 31.2 4,062,702 2,000 Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 05/10/2015 38 31.9 4,060,702 -2,000 Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 06/10/2015 38 31.39 4,062,950 2,248 Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 06/10/2015 38 31.39 4,060,702 -2,248 Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 07/10/2015 38 31.5 4,061,402 700 Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 07/10/2015 38 31.5 4,060,702 -700 Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 08/10/2015 38 32 4,062,950 2,248 Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 08/10/2015 38 32 4,060,702 -2,248 Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 08/10/2015 38 32 4,078,702 18,000 Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 08/10/2015 38 32 4,060,702 -18,000 Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 09/10/2015 38 32 4,062,950 2,248 Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 09/10/2015 38 32 4,060,702 -2,248 Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 22/10/2015 38 32.23 4,061,302 600 Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 22/10/2015 38 32.23 4,060,702 -600 Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 23/10/2015 38 32.31 4,061,202 500 Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 23/10/2015 38 32.31 4,060,702 -500 Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 26/10/2015 38 32.3 4,061,202 500 Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 26/10/2015 38 32.3 4,060,702 -500 Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 27/10/2015 38 32.35 4,062,950 2,248 Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 27/10/2015 38 32.35 4,060,702 -2,248 Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 28/10/2015 38 32.25 4,061,902 1,200 Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 28/10/2015 38 32.25 4,060,702 -1,200 Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 29/10/2015 38 32.48 4,062,950 2,248 Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 29/10/2015 38 32.48 4,060,702 -2,248 Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 30/10/2015 38 32.5 4,062,102 1,400 Mainstreet Equity Corp. Common Shares Mainstreet Equity Corp 1 30/10/2015 38 32.5 4,060,702 -1,400 Majescor Resources Inc. Common Shares Barrie, C. Tucker 4, 5 04/11/2015 10 0.045 910,000 5,000 Majescor Resources Inc. Common Shares Barrie, C. Tucker 4, 5 04/11/2015 10 0.05 911,000 1,000 Major Drilling Group International Inc.

Deferred Share Units Balser, David 5 02/11/2015 97 4.54 6,355 28

Major Drilling Group International Inc.

Deferred Share Units Dyment, Fred J. 4 02/11/2015 97 4.54 18,454 81


Deferred Share Units Gibson, James Alexander 5 02/11/2015 97 4.54 6,684 29


Common Shares Graham, Benjamin Luke 5 02/11/2015 00 3,643


Options Graham, Benjamin Luke 5 02/11/2015 00 61,600


Common Shares Landry, Marc 5 02/11/2015 00 4,000


Options Landry, Marc 5 02/11/2015 00 42,200


Deferred Share Units McGuire, Francis Phillip 4, 5 02/11/2015 97 4.54 6,431 28


Deferred Share Units McLeod-Seltzer, Catherine 4 02/11/2015 97 4.54 25,223 2,386


Deferred Share Units Rennie, Janice Gaye 4 02/11/2015 97 4.54 10,065 44

Manitok Energy Inc. Common Shares Dion, Robert George 5 03/11/2015 30 0.3006 40,783 6,237 Manitok Energy Inc. Common Shares Geremia, Massimo Mario 5 03/11/2015 30 0.3006 43,502 6,653

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9590


T/O Unit Price


Acquired/ Disposed

Manitok Energy Inc. Common Shares Jerhoff, Timothy Franklin 5 03/11/2015 30 0.3006 40,783 6,237 Manitok Energy Inc. Common Shares Martin, Donald Robert 5 03/11/2015 30 0.3006 37,162 5,821 Manitok Energy Inc. Common Shares Vouri, Cameron Grant 5 03/11/2015 30 0.3006 43,502 6,653 Maple Leaf Foods Inc. Common Shares Aziz, William Elias 4 03/11/2015 10 20.96 13,075 200 Maple Leaf Foods Inc. Common Shares Aziz, William Elias 4 03/11/2015 10 20.955 14,275 1,200 Maple Leaf Foods Inc. Common Shares Lamoureux, Claude 4 15/10/2015 30 21.004 47,506 1,036 Maple Leaf Foods Inc. Common Shares Maple Leaf Foods Inc. 1 30/10/2015 38 20.881 40,000 40,000 Maple Leaf Foods Inc. Common Shares Maple Leaf Foods Inc. 1 30/10/2015 38 0 -40,000 Maple Leaf Foods Inc. Common Shares Maple Leaf Foods Inc. 1 02/11/2015 38 20.639 40,000 40,000 Maple Leaf Foods Inc. Common Shares Maple Leaf Foods Inc. 1 02/11/2015 38 0 -40,000 Maple Leaf Foods Inc. Common Shares Maple Leaf Foods Inc. 1 03/11/2015 38 20.968 40,000 40,000 Maple Leaf Foods Inc. Common Shares Maple Leaf Foods Inc. 1 03/11/2015 38 0 -40,000 Maple Leaf Foods Inc. Common Shares Maple Leaf Foods Inc. 1 04/11/2015 38 20.871 40,000 40,000 Maple Leaf Foods Inc. Common Shares Maple Leaf Foods Inc. 1 04/11/2015 38 0 -40,000 Maple Leaf Foods Inc. Common Shares Maple Leaf Foods Inc. 1 05/11/2015 38 20.834 40,000 40,000 Maple Leaf Foods Inc. Common Shares Maple Leaf Foods Inc. 1 05/11/2015 38 0 -40,000 Marapharm Ventures Inc. Options Kjosness, Les 4, 5 02/11/2015 50 0.5 700,000 200,000 Marapharm Ventures Inc. Common Shares Klassen, Corey Dean 4, 5 03/11/2015 11 0.37 385,000 200,000 Marapharm Ventures Inc. Options Klassen, Corey Dean 4, 5 02/11/2015 50 0.5 500,000 200,000 Marapharm Ventures Inc. Common Shares Peterson, Brian 4 22/07/2015 10 0.49 54,500 -500 Marapharm Ventures Inc. Common Shares Peterson, Brian 4 23/07/2015 10 0.49 52,000 -2,500 Marapharm Ventures Inc. Common Shares Peterson, Brian 4 28/07/2015 10 0.41 45,000 -7,000 Marapharm Ventures Inc. Common Shares Peterson, Brian 4 28/07/2015 10 0.4 25,000 -20,000 Marapharm Ventures Inc. Common Shares Peterson, Brian 4 28/07/2015 10 0.48 24,500 -500 Marapharm Ventures Inc. Common Shares Peterson, Brian 4 29/07/2015 10 0.48 24,000 -500 Marapharm Ventures Inc. Common Shares Peterson, Brian 4 30/07/2015 10 0.41 19,000 -5,000 Marapharm Ventures Inc. Common Shares Peterson, Brian 4 30/07/2015 10 0.4 14,000 -5,000 Marapharm Ventures Inc. Common Shares Peterson, Brian 4 30/07/2015 10 0.46 9,000 -5,000 Marapharm Ventures Inc. Common Shares Peterson, Brian 4 30/07/2015 10 0.4 4,000 -5,000 Marapharm Ventures Inc. Common Shares Peterson, Brian 4 30/07/2015 10 0.4 0 -4,000 Marapharm Ventures Inc. Options Peterson, Brian 4 03/11/2015 50 500,000 200,000 Marathon Gold Corporation Common Shares Walford, Phillip Charles 4, 5 02/11/2015 10 0.2 1,978,057 57,557 Marifil Mines Limited Common Shares Burnett, Gregory Clifford 4 04/11/2015 16 0.01 4,040,000 1,900,000 Marifil Mines Limited Warrants Burnett, Gregory Clifford 4 04/11/2015 16 0.05 4,000,000 1,900,000 Marifil Mines Limited Common Shares Foster, Roger Lee 5 04/11/2015 10 0.01 857,000 300,000 Marifil Mines Limited Common Shares Hite, John Blanchard 3, 4, 5 04/11/2015 16 0.01 8,665,081 1,200,000 Marifil Mines Limited Warrants Hite, John Blanchard 3, 4, 5 04/11/2015 16 0.05 3,200,000 1,200,000 Marifil Mines Limited Common Shares Pearson, John William 4 04/11/2015 16 0.01 355,000 250,000 Marifil Mines Limited Warrants Pearson, John William 4 04/11/2015 16 250,000 Marifil Mines Limited Warrants Pearson, John William 4 04/11/2015 16 290,000 250,000 Marifil Mines Limited Common Shares Sweatman, Michael 4 04/11/2015 16 0.01 725,000 250,000 Marifil Mines Limited Warrants Sweatman, Michael 4 04/11/2015 16 0.05 625,000 250,000 Marlin Gold Mining Ltd. Rights RSU Leisman, Akiba Jacob

Issachar 4 13/09/2012 00 1,500,000

Mason Graphite Inc. Common Shares Marcotte, Simon 5 02/11/2015 10 0.39 1,237,500 500 Mason Graphite Inc. Common Shares Marcotte, Simon 5 03/11/2015 10 0.382 1,239,000 1,500 Mason Graphite Inc. Common Shares Marcotte, Simon 5 05/11/2015 10 0.395 1,239,500 500 Matachewan Consolidated Mines, Limited

Common Shares McCloskey, Richard Duncan 4, 5 04/11/2015 10 0.4 491,015 -4,000

MAYA GOLD & SILVER INC. Common Shares Desimpel, Lucie 3 02/09/2015 00 MAYA GOLD & SILVER INC. Common Shares Desimpel, Lucie 3 02/09/2015 00 MAYA GOLD & SILVER INC. Common Shares Desimpel, Lucie 3 02/09/2015 00 19,814,488 MBN Corporation Units MBN Corporation 1 30/10/2015 38 5.3 100 100 MBN Corporation Units MBN Corporation 1 30/10/2015 38 0 -100 MCAN Mortgage Corporation Common Shares Sutherland, Derek 5 22/06/2015 30 12.667 5,395 58 MCAN Mortgage Corporation Common Shares Sutherland, Derek 5 30/06/2015 30 12.208 5,517 122 MCAN Mortgage Corporation Common Shares Sutherland, Derek 5 30/06/2015 30 12.023 5,578 61 MCAN Mortgage Corporation Common Shares Sutherland, Derek 5 16/07/2015 30 11.91 5,639 61 MCAN Mortgage Corporation Common Shares Sutherland, Derek 5 04/08/2015 30 11.37 5,704 65

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9591


T/O Unit Price


Acquired/ Disposed

MCAN Mortgage Corporation Common Shares Sutherland, Derek 5 14/08/2015 30 11.3 5,769 65 MCAN Mortgage Corporation Common Shares Sutherland, Derek 5 01/09/2015 30 11.875 5,831 62 MCAN Mortgage Corporation Common Shares Sutherland, Derek 5 15/09/2015 30 13 5,888 57 MCAN Mortgage Corporation Common Shares Sutherland, Derek 5 30/09/2015 30 12.138 6,022 134 MCAN Mortgage Corporation Common Shares Sutherland, Derek 5 01/10/2015 30 12.757 6,080 58 MCAN Mortgage Corporation Common Shares Sutherland, Derek 5 16/10/2015 30 13.13 6,136 56 MCAN Mortgage Corporation Restricted Share Units Sutherland, Derek 5 30/09/2015 30 12.296 7,263 53 MCAN Mortgage Corporation Restricted Share Units Sutherland, Derek 5 30/09/2015 30 12.296 7,315 52 MCAN Mortgage Corporation Restricted Share Units Sutherland, Derek 5 30/09/2015 30 12.296 7,374 59 McChip Resources Inc Common Shares McCloskey, Richard Duncan 4, 5 03/11/2015 10 0.8 370,700 3,000 Meadow Bay Gold Corporation

Common Shares Morginn, Lance 4 30/10/2015 10 0.135 125,000 9,000

Meadow Bay Gold Corporation







Options Morginn, Lance 4 27/08/2015 00 750,000


Options Morginn, Lance 4 06/11/2015 97 0.25 500,000 -250,000


Common Shares Reed, Charles William 4 02/03/2011 00 250,000


Options Reed, Charles William 4 06/11/2015 97 0.25 625,000 -250,000


Common Shares Robertson, Adrian 4 10/09/2010 00 250,000

Metalore Resources Limited Common Shares Chilian, George 6 02/11/2015 10 2.45 394,600 1,900 Metalore Resources Limited Common Shares Chilian, George 6 03/11/2015 10 2.45 394,700 100 Methanex Corporation Common Shares Maddren, Simon

Christopher 5 05/11/2015 10 42.05 8,659 3,000

Methanex Corporation Common Shares Methanex Corporation 1 01/10/2015 38 45 10,000 10,000 Methanex Corporation Common Shares Methanex Corporation 1 02/10/2015 38 43.95 20,000 10,000 Methanex Corporation Common Shares Methanex Corporation 1 05/10/2015 38 46.2 30,000 10,000 Methanex Corporation Common Shares Methanex Corporation 1 06/10/2015 38 48.367 40,000 10,000 Methanex Corporation Common Shares Methanex Corporation 1 07/10/2015 38 53.391 50,000 10,000 Methanex Corporation Common Shares Methanex Corporation 1 08/10/2015 38 55.417 60,000 10,000 Methanex Corporation Common Shares Methanex Corporation 1 09/10/2015 38 56.39 70,000 10,000 Methanex Corporation Common Shares Methanex Corporation 1 13/10/2015 38 54.015 80,000 10,000 Methanex Corporation Common Shares Methanex Corporation 1 14/10/2015 38 53.573 90,000 10,000 Methanex Corporation Common Shares Methanex Corporation 1 15/10/2015 38 53.041 100,000 10,000 Methanex Corporation Common Shares Methanex Corporation 1 16/10/2015 38 53.454 110,000 10,000 Methanex Corporation Common Shares Methanex Corporation 1 19/10/2015 38 52.937 120,000 10,000 Methanex Corporation Common Shares Methanex Corporation 1 20/10/2015 38 53.092 130,000 10,000 Methanex Corporation Common Shares Methanex Corporation 1 21/10/2015 38 51.116 140,000 10,000 Methanex Corporation Common Shares Methanex Corporation 1 22/10/2015 38 52.76 150,000 10,000 Methanex Corporation Common Shares Methanex Corporation 1 23/10/2015 38 53.803 160,000 10,000 Methanex Corporation Common Shares Methanex Corporation 1 26/10/2015 38 52.4 170,000 10,000 Methanex Corporation Common Shares Methanex Corporation 1 27/10/2015 38 50.75 180,000 10,000 Methanex Corporation Common Shares Methanex Corporation 1 28/10/2015 38 51.486 190,000 10,000 Methanex Corporation Common Shares Methanex Corporation 1 29/10/2015 38 49 200,000 10,000 Methanex Corporation Common Shares Methanex Corporation 1 30/10/2015 38 49.5 210,000 10,000 Methanex Corporation Common Shares Methanex Corporation 1 30/10/2015 38 0 -210,000 Metro inc. Common Shares Metro inc. 1 01/10/2015 38 153,500 -147,300 Metro inc. Common Shares Metro inc. 1 01/10/2015 38 35.998 263,300 109,800 Metro inc. Common Shares Metro inc. 1 02/10/2015 38 111,900 -151,400 Metro inc. Common Shares Metro inc. 1 02/10/2015 38 36 113,200 1,300 Metro inc. Common Shares Metro inc. 1 05/10/2015 38 111,100 -2,100 Metro inc. Common Shares Metro inc. 1 06/10/2015 38 35.996 120,700 9,600 Metro inc. Common Shares Metro inc. 1 06/10/2015 38 10,900 -109,800

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9592


T/O Unit Price


Acquired/ Disposed

Metro inc. Common Shares Metro inc. 1 07/10/2015 38 35.982 126,900 116,000 Metro inc. Common Shares Metro inc. 1 07/10/2015 38 125,600 -1,300 Metro inc. Common Shares Metro inc. 1 08/10/2015 38 35.971 132,600 7,000 Metro inc. Common Shares Metro inc. 1 09/10/2015 38 123,000 -9,600 Metro inc. Common Shares Metro inc. 1 13/10/2015 38 7,000 -116,000 Metro inc. Common Shares Metro inc. 1 14/10/2015 38 0 -7,000 Metro inc. Common Shares Metro inc. 1 27/10/2015 38 37.111 147,000 147,000 Metro inc. Common Shares Metro inc. 1 28/10/2015 38 37.053 298,400 151,400 Metro inc. Common Shares Metro inc. 1 29/10/2015 38 37.078 434,000 135,600 Metro inc. Common Shares Metro inc. 1 30/10/2015 38 35.78 1,034,000 600,000 Metro inc. Common Shares Metro inc. 1 30/10/2015 38 37.362 1,161,600 127,600 Metro inc. Common Shares Metro inc. 1 30/10/2015 38 1,014,600 -147,000 Metro inc. Common Shares Metro inc. 1 02/11/2015 38 863,200 -151,400 Milestone Apartments Real Estate Investment Trust

Subscription Receipts Biggar, William John 4 06/03/2013 00

Milestone Apartments Real Estate Investment Trust

Subscription Receipts Biggar, William John 4 30/10/2015 15 7,000 7,000


Subscription Receipts Matheson, Richard Norman 4 06/03/2013 00


Subscription Receipts Matheson, Richard Norman 4 30/10/2015 15 1,500 1,500


Subscription Receipts Senst, Graham David 4 06/03/2013 00


Subscription Receipts Senst, Graham David 4 30/10/2015 15 10,000 10,000

MINT Income Fund Trust Units MINT Income Fund 1 30/10/2015 38 7.68 58,525,210 200 MINT Income Fund Trust Units MINT Income Fund 1 03/11/2015 38 7.5192 58,526,410 1,200 MINT Income Fund Trust Units MINT Income Fund 1 05/11/2015 10 7.5 58,516,410 -10,000 Mobi724 Global Solutions Inc. (Formerly Hybrid Paytech World Inc.)

Common Shares Rosenheck, Allan 4 03/08/2015 00 76,309

Mobi724 Global Solutions Inc. (Formerly Hybrid Paytech World Inc.)

Common Shares Rosenheck, Allan 4 28/10/2015 16 0.1657 991,134 914,825

Mobi724 Global Solutions Inc. (Formerly Hybrid Paytech World Inc.)

Common Shares Vienneau, Marcel 7 28/10/2015 16 0.1657 10,331,500 9,632,118

Montana Exploration Corp. Common Shares Collins, James William 4 30/10/2015 11 0.03 37,947,168 -3,010,000 Montana Exploration Corp. Common Shares Collins, James William 4 30/10/2015 11 0.03 40,957,168 3,010,000 Montana Gold Mining Company Inc.

Common Shares ELLWOOD, EDWARD LEITH

5 29/10/2015 10 0.05 3,815,796 2,000

Morien Resources Corp. Common Shares Morien Resources Corp 1 28/09/2015 38 0.2 345,000 14,000 Morien Resources Corp. Common Shares Morien Resources Corp 1 01/10/2015 38 0.2 -25,000 Morien Resources Corp. Common Shares Morien Resources Corp 1 01/10/2015 38 0.2 370,000 25,000 Morien Resources Corp. Common Shares Morien Resources Corp 1 02/10/2015 38 0.19 380,000 10,000 Morien Resources Corp. Common Shares Morien Resources Corp 1 06/10/2015 38 0.18 380,500 500 Morien Resources Corp. Common Shares Morien Resources Corp 1 16/10/2015 38 0.22 405,500 25,000 Morien Resources Corp. Common Shares Morien Resources Corp 1 19/10/2015 38 60,500 -14,000 Morien Resources Corp. Common Shares Morien Resources Corp 1 19/10/2015 38 0.22 65,500 5,000 Morien Resources Corp. Common Shares Morien Resources Corp 1 20/10/2015 38 0.22 76,000 10,500 Morien Resources Corp. Common Shares Morien Resources Corp 1 21/10/2015 38 0.22 101,000 25,000 Morien Resources Corp. Common Shares Morien Resources Corp 1 26/10/2015 38 0.19 108,000 7,000 Morien Resources Corp. Common Shares Morien Resources Corp 1 27/10/2015 38 0.19 113,000 5,000 Morien Resources Corp. Common Shares Morien Resources Corp 1 05/11/2015 38 88,000 -25,000 Morien Resources Corp. Common Shares Morien Resources Corp 1 05/11/2015 38 78,000 -10,000 Morien Resources Corp. Common Shares Morien Resources Corp 1 05/11/2015 38 -10,000 Morien Resources Corp. Common Shares Morien Resources Corp 1 05/11/2015 38 -10,000 Morien Resources Corp. Common Shares Morien Resources Corp 1 05/11/2015 38 77,500 -500 Morien Resources Corp. Common Shares Morien Resources Corp 1 05/11/2015 38 52,500 -25,000 Morien Resources Corp. Common Shares Morien Resources Corp 1 05/11/2015 38 47,500 -5,000 Morien Resources Corp. Common Shares Morien Resources Corp 1 05/11/2015 38 37,000 -10,500 Morien Resources Corp. Common Shares Morien Resources Corp 1 05/11/2015 38 12,000 -25,000

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9593


T/O Unit Price


Acquired/ Disposed

Morien Resources Corp. Common Shares Morien Resources Corp 1 05/11/2015 38 5,000 -7,000 Morien Resources Corp. Common Shares Morien Resources Corp 1 05/11/2015 38 0 -5,000 Morneau Shepell Inc. Rights Post Retirement

DSU Chisholm, Robert William 5 30/10/2015 56 15.452 31,283 1,424

Morneau Shepell Inc. Rights Post Retirement DSU

Denham, Gillian H. (Jill) 5 30/10/2015 56 15.452 12,227 590


MacDiarmid, Diane Barbara 5 30/10/2015 56 15.452 18,673 590


MINTZ, JACK MAURICE 5 30/10/2015 56 15.452 26,314 1,278


Morneau, Sr., William Frank 5 30/10/2015 56 15.452 11,548 550


Pennington, Kevin 4 30/10/2015 56 20.385 3,174 906


Rogers, John A. 5 30/10/2015 56 15.452 14,106 671

NEMI Northern Energy & Mining Inc.

Common Shares Nemi Northern Energy & Mining Inc.

1 19/10/2015 38 0.455 500 500



1 20/10/2015 38 0.52 42,500 42,000



1 23/10/2015 38 0 -42,500



1 28/10/2015 38 0.54 14,500 14,500

Neptune Technologies & Bioressources Inc.

Call-options Bélanger, Jean-Daniel 5 15/10/2015 37 5,000 -45,000


Call-options Denis, Ronald 4 15/10/2015 37 15,750 -141,750


Call-options Huart, Benoît 5 15/10/2015 37 5,000 -45,000


Common Shares Moretz, John Morris 4 30/10/2015 10 1.04 1,220,177 500


Call-options Ripplinger, John 5 15/10/2015 37 2,500 -22,500


Call-options Timperio, Michel 5 15/10/2015 37 15,000 -135,000


Call-options Waksal, Harlan 4 15/10/2015 37 -382,500


Call-options Waksal, Harlan 4 15/10/2015 37 -382,500

Nesscap Energy Inc. (formerly, Asian Resource Global Strategies Inc.)

Common Shares Livart Investments Corp 3 02/11/2014 10 0.0852 7,911,750 350,000

Nevada Sunrise Gold Corporation

Common Shares Stanyer, Warren William 4, 5 06/11/2015 16 0.15 582,800 135,000


Warrants Stanyer, Warren William 4, 5 06/11/2015 16 0.25 135,000 135,000


Common Shares Sweatman, Michael 4 06/11/2015 16 0.15 143,500 80,000


Warrants Sweatman, Michael 4 06/11/2015 16 0.25 130,000 80,000

Nevada Zinc Corporation (formerly Goldspike Exploration Inc.)

Common Shares Norvista Capital Corporation 3 02/11/2015 10 0.25 6,091,333 4,500

Nevada Zinc Corporation (formerly Goldspike Exploration Inc.)

Common Shares Norvista Capital Corporation 3 03/11/2015 10 0.25 6,096,333 5,000

New Oroperu Resources Inc. Options Livingstone, Kent Wayne 4, 5 30/10/2015 50 1,150,000 400,000 New Oroperu Resources Inc. Options Morfopoulos, Aris 5 30/10/2015 50 600,000 200,000 New Pacific Metals Corp. Common Shares Kong, David TokPay 4 03/11/2015 10 0.21 48,500 -1,500 New Pacific Metals Corp. Common Shares Kong, David TokPay 4 03/11/2015 10 0.185 190,000 -80,000 Newfoundland Capital Corporation Limited

Subordinate Voting Shares Class A

Weatherby, Scott G.M. 5 04/11/2015 30 10.08 25,789 636

Newlox Gold Ventures Corp. Convertible Debentures Dent, Roger 3 29/05/2015 00 Newlox Gold Ventures Corp. Convertible Debentures Dent, Roger 3 02/11/2015 16 0.05 $20,000 $20,000

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9594


T/O Unit Price


Acquired/ Disposed

Newlox Gold Ventures Corp. Convertible Debentures Quinsam Capital Corporation

3 02/11/2015 16 0.05 $155,968 $23,138

Newmarket Gold Inc. Common Shares Getz, Robert Hinman 4 23/10/2015 30 86,896 6,140 Norsat International Inc. Common Shares Caprio, Joseph 4 06/11/2015 30 6.05 23,731 1,985 Norsat International Inc. Units Restricted Share

Units Caprio, Joseph 4 06/11/2015 57 6.05 2,049 -1,985

Norsat International Inc. Common Shares Chan, Amiee Yuet Yee 5 06/11/2015 30 6.05 89,447 6,569 Norsat International Inc. Units Restricted Share

Units Chan, Amiee Yuet Yee 5 06/11/2015 57 6.05 29,385 -6,569

Norsat International Inc. Common Shares Chin, Arthur David 5 06/11/2015 30 6.05 20,899 4,679 Norsat International Inc. Units Restricted Share

Units Chin, Arthur David 5 06/11/2015 57 6.05 25,187 -4,679

Norsat International Inc. Common Shares Ciceri, Peter 4 06/11/2015 30 6.05 671 671 Norsat International Inc. Units Restricted Share

Units Ciceri, Peter 4 06/11/2015 57 6.05 1,054 -671

Norsat International Inc. Common Shares Doninelli, Fabio 4 06/11/2015 30 6.05 30,219 2,519 Norsat International Inc. Units Restricted Share

Units Doninelli, Fabio 4 06/11/2015 57 6.05 2,610 -2,519

Norsat International Inc. Common Shares Topham, James Walter 4 06/11/2015 30 6.05 12,544 2,131 Norsat International Inc. Units Restricted Share

Units Topham, James Walter 4 06/11/2015 57 6.05 2,209 -2,131

North American Energy Partners Inc.

Deferred Share Units McIntosh, Ronald A 4 31/10/2015 56 167,694 3,107

Northern Superior Resources Inc.

Options Klassen, Arnold 4 05/11/2015 50 0.05 700,000 75,000


Options Klassen, Arnold 4 08/11/2015 52 475,000 -225,000


Options Morris, Thomas, Findlay 5 05/11/2015 50 0.05 5,133,334 600,000

Northview Apartment Real Estate Investment Trust

Exchangeable Shares .3908 exchangeable unit=1 unit and 1 sv unit

Drimmer, Daniel 3, 4 30/10/2015 00 4,076,855



Drimmer, Daniel 3, 4 30/10/2015 00 1,405,150



Drimmer, Daniel 3, 4 30/10/2015 00 125,000



Drimmer, Daniel 3, 4 30/10/2015 00 3,011,120



Drimmer, Daniel 3, 4 30/10/2015 00 1,182,514



Drimmer, Daniel 3, 4 30/10/2015 00 1,405,151



Drimmer, Daniel 3, 4 30/10/2015 00 1,077,090



Drimmer, Daniel 3, 4 30/10/2015 00 105,357


Limited Partnership Units 1 Class B LP Unit = 1 trust unit and 1 special voting unit

Drimmer, Daniel 3, 4 30/10/2015 00 684,157



Drimmer, Daniel 3, 4 30/10/2015 00 170,837



Drimmer, Daniel 3, 4 30/10/2015 00 1,246,033

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9595


T/O Unit Price


Acquired/ Disposed



Drimmer, Daniel 3, 4 30/10/2015 00 194,896


Trust Units Drimmer, Daniel 3, 4 30/10/2015 00 247,355






Trust Units Rosenberg, Graham Lawrence

4 30/10/2015 00 1,189


Trust Units Rosenberg, Graham Lawrence

4 30/10/2015 00 5,723


Trust Units Veiner, Leslie 5 30/10/2015 00 17,252

NovaCopper Inc. Options Giardini, Tony Serafino 4 06/11/2015 50 0.5 250,000 100,000 NovaCopper Inc. Options Hayden, William 4 19/06/2015 00 NovaCopper Inc. Options Hayden, William 4 06/11/2015 50 0.5 100,000 100,000 NovaCopper Inc. Options Lang, Gregory Anthony 4 06/11/2015 50 250,000 100,000 NovaCopper Inc. Options Levental, Igor 4 06/11/2015 50 0.5 250,000 100,000 NovaCopper Inc. Options Madhavpeddi, Kalidas 4 06/11/2015 50 0.5 250,000 100,000 NovaCopper Inc. Options Sanders, Elaine 5 06/11/2015 50 0.5 600,000 200,000 NovaCopper Inc. Options Van Nieuwenhuyse, Rick 5 06/11/2015 50 0.5 1,737,500 937,500 NSS Resources Inc. Common Shares Sandhu, Jag 3, 4, 5 03/11/2015 10 0.2 2,000,500 500 Nutritional High International Inc. (formerly, Sonoma Capital Inc.)

Common Shares Youhana, Anne Marie 5 26/10/2015 46 0.07 161,111 50,000

NYX Gaming Group Limited Common Shares Flynn, David 5 25/09/2015 10 2.74 353,528 -33,225 Oil Sands Sector Fund Trust Units Oil Sands Sector Fund 1 26/10/2015 38 4.25 300 300 Oil Sands Sector Fund Trust Units Oil Sands Sector Fund 1 26/10/2015 38 4.25 0 -300 Olympia Financial Group Inc. Common Shares Olympia Financial Group

Inc. 1 02/10/2015 30 23.74 86,900 1,000

Olympia Financial Group Inc. Common Shares Olympia Financial Group Inc.

1 06/10/2015 30 23.6 87,900 1,000


1 07/10/2015 30 23.75 88,900 1,000


1 14/10/2015 30 23 89,200 300


1 15/10/2015 30 23.9 89,400 200


1 16/10/2015 30 23.8 90,000 600


1 22/10/2015 30 23.47 90,100 100


1 22/10/2015 30 23.5 90,800 700

ONEX CORPORATION Subordinate Voting Shares

Onex Corporation 1 02/10/2015 38 74.88 35,500 35,500


Onex Corporation 1 02/10/2015 38 0 -35,500















Insider Reporting

November 12, 2015

(2015), 38 OSCB 9596


T/O Unit Price


Acquired/ Disposed



Open Source Health Inc. Common Shares Satveit, Sonya 4, 5 03/11/2015 11 0.35 3,850,322 -1,000,000 Open Text Corporation Common Shares OTEX

Common Barrenechea, Mark James 4, 5 05/11/2015 57 47.22 91,215 38,855

Open Text Corporation Common Shares OTEX Common

Barrenechea, Mark James 4, 5 05/11/2015 57 47.22 111,039 19,824

Open Text Corporation Performance Share Units Barrenechea, Mark James 4, 5 05/11/2015 57 47.22 133,379 -38,855 Open Text Corporation Performance Share Units Barrenechea, Mark James 4, 5 05/11/2015 38 132,586 -793 Open Text Corporation Restricted Share Units Barrenechea, Mark James 4, 5 05/11/2015 57 47.22 140,732 -19,824 Open Text Corporation Common Shares OTEX

Common Davies, Gordon Allan 5 05/11/2015 57 47.22 18,665 9,283


Davies, Gordon Allan 5 05/11/2015 57 47.22 23,401 4,736

Open Text Corporation Performance Share Units Davies, Gordon Allan 5 05/11/2015 57 47.22 -9,283 Open Text Corporation Performance Share Units Davies, Gordon Allan 5 05/11/2015 57 47.22 -9,283 Open Text Corporation Performance Share Units Davies, Gordon Allan 5 05/11/2015 38 -189 Open Text Corporation Performance Share Units Davies, Gordon Allan 5 05/11/2015 38 -189 Open Text Corporation Performance Share Units Davies, Gordon Allan 5 05/11/2015 57 47.22 28,423 -9,283 Open Text Corporation Performance Share Units Davies, Gordon Allan 5 05/11/2015 38 28,234 -189 Open Text Corporation Restricted Share Units Davies, Gordon Allan 5 05/11/2015 57 47.22 14,128 -4,736 Open Text Corporation Deferred Share Units Fowlie, Randy 4 30/10/2015 56 45.89 27,023 4,358 Open Text Corporation Deferred Share Units Fowlie, Randy 4 30/10/2015 56 45.89 28,249 1,226 Open Text Corporation Deferred Share Units Hamilton, Gail 4 30/10/2015 56 45.89 22,374 4,358 Open Text Corporation Common Shares OTEX

Common Harrison, Simon David 5 05/11/2015 57 47.22 3,275 2,785


Harrison, Simon David 5 05/11/2015 57 47.22 4,695 1,420

Open Text Corporation Performance Share Units Harrison, Simon David 5 05/11/2015 57 47.22 5,347 -2,785 Open Text Corporation Performance Share Units Harrison, Simon David 5 05/11/2015 38 5,290 -57 Open Text Corporation Restricted Share Units Harrison, Simon David 5 05/11/2015 57 47.22 7,600 -1,420 Open Text Corporation Deferred Share Units Jackman, Brian 4 30/10/2015 56 45.89 4,358 Open Text Corporation Deferred Share Units Jackman, Brian 4 30/10/2015 56 45.89 4,358 Open Text Corporation Deferred Share Units Jackman, Brian 4 30/10/2015 56 45.89 17,494 4,358 Open Text Corporation Common Shares OTEX

Common Jamieson, John David 5 05/11/2015 57 47.22 1,263 833

Open Text Corporation Restricted Share Units Jamieson, John David 5 05/11/2015 57 47.22 4,497 -833 Open Text Corporation Deferred Share Units Jenkins, P. Thomas 4 30/10/2015 56 45.89 23,403 6,428 Open Text Corporation Deferred Share Units Jenkins, P. Thomas 4 30/10/2015 56 45.89 27,761 4,358 Open Text Corporation Common Shares OTEX

Common Majzoub, Muhieddine 5 05/11/2015 57 47.22 16,030 6,033


Majzoub, Muhieddine 5 05/11/2015 57 47.22 19,108 3,078

Open Text Corporation Performance Share Units Majzoub, Muhieddine 5 05/11/2015 57 47.22 22,349 -6,033 Open Text Corporation Performance Share Units Majzoub, Muhieddine 5 05/11/2015 38 22,226 -123 Open Text Corporation Restricted Share Units Majzoub, Muhieddine 5 05/11/2015 57 47.22 11,108 -3,078 Open Text Corporation Common Shares OTEX

Common McGourlay, Christopher James

5 05/11/2015 57 47.22 5,413 2,785


McGourlay, Christopher James

5 05/11/2015 57 47.22 6,833 1,420

Open Text Corporation Performance Share Units McGourlay, Christopher James

5 05/11/2015 57 47.22 8,275 -2,785

Open Text Corporation Performance Share Units McGourlay, Christopher James

5 05/11/2015 38 8,218 -57

Open Text Corporation Restricted Share Units McGourlay, Christopher James

5 05/11/2015 57 47.22 4,110 -1,420

Open Text Corporation Deferred Share Units Sadler, Stephen 4 30/10/2015 56 45.89 24,814 4,358 Open Text Corporation Deferred Share Units Sadler, Stephen 4 30/10/2015 56 45.89 25,904 1,090 Open Text Corporation Deferred Share Units Slaunwhite, Michael William

George 4 30/10/2015 56 45.89 31,495 4,358

Open Text Corporation Deferred Share Units Slaunwhite, Michael William George

4 30/10/2015 56 45.89 32,719 1,224

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9597


T/O Unit Price


Acquired/ Disposed


Stevenson, Katharine Berghuis

4 30/10/2015 51 46.4 28,600 20,600



4 30/10/2015 10 46.4 8,000 -20,600

Open Text Corporation Deferred Share Units Stevenson, Katharine Berghuis

4 30/10/2015 56 45.89 22,903 4,358

Open Text Corporation Deferred Share Units Stevenson, Katharine Berghuis

4 30/10/2015 56 45.89 24,129 1,226

Open Text Corporation Options All OTEX Option Plans


4 30/10/2015 51 46.4 24,400 -20,600

Open Text Corporation Deferred Share Units Weinstein, Deborah 4 30/10/2015 56 45.89 29,218 4,358 Open Text Corporation Deferred Share Units Weinstein, Deborah 4 30/10/2015 56 45.89 30,465 1,247 Open Text Corporation Common Shares OTEX

Common Weiss, Gary 5 05/11/2015 57 47.22 3,894 2,785


Weiss, Gary 5 05/11/2015 57 47.22 5,314 1,420

Open Text Corporation Performance Share Units Weiss, Gary 5 05/11/2015 57 47.22 5,715 -2,785 Open Text Corporation Performance Share Units Weiss, Gary 5 05/11/2015 38 5,658 -57 Open Text Corporation Restricted Share Units Weiss, Gary 5 05/11/2015 57 47.22 5,400 -1,420 Opsens Inc. Common Shares Fiera Capital Corporation

(formerly Fiera Sceptre Inc.)3 03/11/2015 10 0.86 6,264,229 28,000

Orezone Gold Corporation Common Shares Sun Valley Gold LLC 3 05/11/2015 10 0.25 21,308,033 277,000 Orezone Gold Corporation Common Shares Sun Valley Gold Master

Fund, Ltd. 3 05/11/2015 10 0.25 13,491,136 148,195

Oyster Oil and Gas Ltd. Common Shares Wood, Michael Ian Thomas 3, 4, 5 02/11/2015 11 0.11 5,886,947 300,000 Pacific & Western Bank of Canada

Preferred Shares Series 1 Dixon, Michael Richard 5 02/02/2015 10 9.85 300 300

Pacific & Western Bank of Canada

Common Shares George, Patrick 6 28/10/2015 10 5.11 97,228 200


Common Shares George, Patrick 6 29/10/2015 10 5.12 98,028 800


Common Shares George, Patrick 6 05/11/2015 10 5.47 99,028 1,000


Common Shares Matrundola, Telemaco (Tel) 5 06/11/2015 10 5.4 6,850 1,000


Common Shares Matrundola, Telemaco (Tel) 5 06/11/2015 10 5.396 7,850 1,000


Common Shares Matrundola, Telemaco (Tel) 5 06/11/2015 10 5.45 8,150 300


Common Shares TAYLOR, DAVID ROY 4, 6, 7, 5 30/10/2015 10 5.39 10,400 400


Common Shares TAYLOR, DAVID ROY 4, 6, 7, 5 30/10/2015 10 5.398 12,000 1,600


Common Shares TAYLOR, DAVID ROY 4, 6, 7, 5 30/10/2015 10 5.661 16,000 4,000


Preferred Shares Series 1 TAYLOR, DAVID ROY 4, 6, 7, 5 30/10/2015 10 10 0 -100

Painted Pony Petroleum Ltd. Common Shares Fleming, Tonya Louise 5 30/10/2015 30 4.63 53,160 738 Painted Pony Petroleum Ltd. Common Shares Hall, Bruce 5 30/10/2015 30 4.63 59,243 743 Painted Pony Petroleum Ltd. Common Shares Hanbury, Edwin Stewart 5 30/10/2015 30 4.63 85,572 916 Painted Pony Petroleum Ltd. Common Shares Jaggard, Stuart 1 30/10/2015 30 4.63 27,270 760 Painted Pony Petroleum Ltd. Common Shares McNamara, Leo Barry 5 30/10/2015 30 4.63 93,120 1,089 Painted Pony Petroleum Ltd. Common Shares REIMER, JAMES D. 5 30/10/2015 30 4.63 48,322 1,098 Painted Pony Petroleum Ltd. Common Shares Van de Pol, John 5 30/10/2015 30 4.63 101,158 965 Painted Pony Petroleum Ltd. Common Shares Ward, Patrick Russell 4, 5 30/10/2015 30 4.63 1,016,274 1,330 Palamina Corp. Common Shares Masterman, Glenton 4 02/11/2015 10 0.13 184,008 100,000 Palamina Corp. Common Shares Thomson, Andrew 4 02/11/2015 10 0.13 585,785 200,000 Panoro Minerals Ltd. Common Shares Boden, William John 4 03/11/2015 10 0.095 10,454,120 55,000 Panoro Minerals Ltd. Common Shares Boden, William John 4 04/11/2015 10 0.1 10,459,120 5,000 Panoro Minerals Ltd. Common Shares Boden, William John 4 05/11/2015 10 0.126 10,464,120 5,000 Parkit Enterprise Inc. Common Shares Baxter, Richard 4 03/11/2015 10 0.39 1,931,700 19,500 Parkit Enterprise Inc. Common Shares Baxter, Richard 4 04/11/2015 10 0.39 1,934,200 2,500 Partners Real Estate Investment Trust

Units Tawse, Moray 3 02/11/2015 10 3.2 26,008 1,100

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9598


T/O Unit Price


Acquired/ Disposed

Partners Real Estate Investment Trust

Units Tawse, Moray 3 04/11/2015 10 3.2 87,908 61,900

Pathfinder Income Fund Trust Units Pathfinder Convertible Debenture Fund

1 30/10/2015 38 9.336 8,215,783 5,000

People Corporation Options Leipsic, Richard 4 04/11/2015 50 2.92 145,313 20,313 Petrolympic Ltd. Common Shares Ekstein, Brocha 3 03/11/2015 10 0.155 15,227,607 2,000 Petrolympic Ltd. Common Shares Ekstein, Brocha 3 04/11/2015 10 0.16 15,231,607 4,000 Picton Mahoney Tactical Income Fund

Trust Units Class A Units Mesman, Thomas Philip 7 06/11/2015 10 8.35 8,350 100

Pine Cliff Energy Ltd. Common Shares Disbrow, Robert 3 30/10/2015 10 1.08 14,466,300 9,500 Pine Cliff Energy Ltd. Common Shares Disbrow, Robert 3 02/11/2015 10 1.07 14,471,600 5,300 Pinetree Capital Ltd. Convertible Debentures Fleming, Andrew 4 29/10/2015 38 $5 -$2 Pinetree Capital Ltd. Convertible Debentures Patricio, Richard J 5 29/10/2015 38 $27 -$14 Pinetree Capital Ltd. Convertible Debentures Steuter, Andrew 4 29/10/2015 38 $36 -$19 Plateau Uranium Inc. Common Shares Disbrow, Robert 3 03/11/2015 10 0.275 4,443,429 -10,000 Plateau Uranium Inc. Common Shares Disbrow, Robert 3 04/11/2015 10 0.275 4,436,762 -6,667 Potash Corporation of Saskatchewan Inc.

Common Shares Brownlee, Wayne Richard 5 03/11/2015 51 12.42 1,043,900 450,000

Potash Corporation of Saskatchewan Inc.

Common Shares Brownlee, Wayne Richard 5 03/11/2015 10 28.536 593,900 -450,000

Potash Corporation of Saskatchewan Inc.

Options Employee Stock Options

Brownlee, Wayne Richard 5 03/11/2015 51 12.42 958,850 -450,000

Power Corporation of Canada

Preferred Shares Participating

Desmarais Family Residuary Trust

3 30/10/2015 90 0 -48,235,700

Power Corporation of Canada

Preferred Shares Participating

Desmarais Family Residuary Trust

3 30/10/2015 90 48,603,392 48,235,700

Power Financial Corporation Equity Forward Contract POWER FINANCIAL CORPORATION

1 30/10/2015 70 32.432 45 1

Power Financial Corporation Equity Swap - Long Position PFC 2014-05

POWER FINANCIAL CORPORATION

1 30/10/2015 70 32.52 6 1



1 30/10/2015 70 32.52 6 1



1 30/10/2015 70 32.52 2 1



1 30/10/2015 70 32.52 2 1

Power Financial Corporation Equity Swap - Long Position PFC1


1 30/10/2015 70 32.52 10 1

Power Financial Corporation Equity Swap - Long Position PFC2


1 30/10/2015 70 32.52 10 1

Precious Metals Bullion Trust Units Precious Metals Bullion Trust

1 29/10/2015 38 9.4 3,000 3,000


1 29/10/2015 38 9.4 0 -3,000


1 30/10/2015 38 9.4 2,000 2,000


1 30/10/2015 38 9.4 0 -2,000

Premier Diversified Holdings Inc.

Common Shares Castree, Stephen Mark 8, 7 27/10/2015 00

PrimeWest Mortgage Investment Corporation

Common Shares Class A HOUGH, Michael Lee 4 30/10/2015 11 10 7,910 6,250

Prism Medical Ltd. Options PAPASTAMOS, ROSE 5 03/11/2015 50 8.6 100,000 50,000 Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)

Common Shares MILLER, THOMAS 5 05/11/2015 10 23.51 3,507 1,100

Progressive Waste Solutions Ltd.(formerly IESI-BFC Ltd.)

Common Shares MILLER, THOMAS 5 05/11/2015 10 23.52 3,807 300





ProMetic Life Sciences Inc. Common Shares Weaver, Gregory 5 01/11/2015 00 ProMetic Life Sciences Inc. Options Weaver, Gregory 5 01/11/2015 00

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9599


T/O Unit Price


Acquired/ Disposed

ProMetic Life Sciences Inc. Unités d'actions restreintes / Restricted Share Units

Weaver, Gregory 5 01/11/2015 00

Prophecy Development Corp.

Common Shares without par value

Miranda, Gustavo Adolfo 7 28/10/2015 10 0.04 -130,000



Miranda, Gustavo Adolfo 7 28/10/2015 10 0.04 737,862 -20,000










Puma Exploration Inc. Common Shares Robillard, Marcel 4, 5 03/11/2015 10 0.045 1,266,750 2,000 Puma Exploration Inc. Common Shares Robillard, Marcel 4, 5 05/11/2015 10 0.045 1,268,750 2,000 Puma Exploration Inc. Common Shares Robillard, Marcel 4, 5 05/11/2015 10 0.045 1,270,750 2,000 Pure Technologies Ltd. Common Shares Elford, Sara 4 05/11/2015 00 14,600 Pure Technologies Ltd. Common Shares Elford, Sara 4 05/11/2015 00 5,600 PWC Capital Inc. (formerly Pacific & Western Credit Corp.)

Common Shares George, Patrick 4, 6 05/10/2015 10 0.15 173,300 7,500

PWC Capital Inc. (formerly Pacific & Western Credit Corp.)





Common Shares TAYLOR, DAVID ROY 4, 7, 5 30/10/2015 10 0.195 25,000 25,000

Raging River Exploration Inc. Common Shares Barlow, Jesse Thor 5 05/11/2015 00 15,000 Raging River Exploration Inc. Common Shares Barlow, Jesse Thor 5 05/11/2015 00 11,748 Raging River Exploration Inc. Options Barlow, Jesse Thor 5 05/11/2015 00 259,000 Raging River Exploration Inc. Common Shares Fink, George Frederick 4 19/10/2015 51 1.9 1,242,084 135,604 Raging River Exploration Inc. Options Fink, George Frederick 4 19/10/2015 51 1.9 203,500 -175,000 Real Asset Income and Growth Fund

Units Class A Real Asset Income and Growth Fund

1 15/10/2015 38 8.07 1,000 1,000

Real Asset Income and Growth Fund


1 16/10/2015 38 8.21 1,300 300



1 20/10/2015 38 300 -1,000



1 21/10/2015 38 0 -300



1 26/10/2015 38 8.35 1,000 1,000



1 29/10/2015 38 0 -1,000

Redknee Solutions Inc. Rights Performance Share Units

McGrady, Brian Christopher 5 19/12/2013 59 56,598 -5,274

Redknee Solutions Inc. Rights Performance Share Units


Redknee Solutions Inc. Rights Restricted Share Units

McGrady, Brian Christopher 5 01/04/2013 00


McGrady, Brian Christopher 5 01/04/2013 00 39,799





REIT INDEXPLUS Income Fund

Trust Units REIT INDEXPLUS Income Fund

1 30/10/2015 38 12.35 7,847,678 1,600

REIT INDEXPLUS Income Fund

Trust Units REIT INDEXPLUS Income Fund

1 04/11/2015 38 12.3 7,848,278 600

Restaurant Brands International Inc.

Common Shares Lederer, John A. 4 02/11/2015 10 51.18 32,800 400

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9600


T/O Unit Price


Acquired/ Disposed








Common Shares Lederer, John A. 4 02/11/2015 10 51.24 34,300 1,000





















Rheingold Exploration Corp. Common Shares McIntosh, Donald Grant 4 03/11/2015 10 0.025 2,221,200 36,000 Richards Packaging Income Fund

Trust Units Edwards, Terry 5 05/11/2015 10 17.97 16,430 500

Richards Packaging Income Fund

Trust Units Prupas, David Lewis 7 04/11/2015 10 17.82 412,605 5,800

Richelieu Hardware Ltd. Unités d'actions différées Chicoyne, Denyse 4 05/11/2015 56 69.19 16,954 37 Richelieu Hardware Ltd. Unités d'actions différées Courteau, Robert 4 05/11/2015 56 69.19 17,005 37 Richelieu Hardware Ltd. Unités d'actions différées DOUVILLE, Jean R. 4 05/11/2015 56 69.19 17,460 38 Richelieu Hardware Ltd. Unités d'actions différées Gauvin, Mathieu 4 05/11/2015 56 69.19 19,345 42 Richelieu Hardware Ltd. Common Shares Grenier, Guy 5 04/11/2015 10 69.01 10,435 -1,000 Richelieu Hardware Ltd. Common Shares Lord, Richard 4, 5 30/10/2015 10 68.74 1,417,291 -4,000 Richelieu Hardware Ltd. Common Shares Lord, Richard 4, 5 02/11/2015 10 68.74 1,405,991 -11,300 Richelieu Hardware Ltd. Common Shares Lord, Richard 4, 5 03/11/2015 10 68.74 1,400,091 -5,900 Richelieu Hardware Ltd. Unités d'actions différées Poulin, Marc 4 05/11/2015 56 69.19 2,877 6 Richelieu Hardware Ltd. Common Shares Proteau, Jocelyn 4 03/11/2015 10 69 3,100 -1,000 Richelieu Hardware Ltd. Common Shares Proteau, Jocelyn 4 04/11/2015 10 69.45 2,100 -1,000 Richelieu Hardware Ltd. Common Shares Proteau, Jocelyn 4 04/11/2015 10 70 1,100 -1,000 Richelieu Hardware Ltd. Unités d'actions différées Proteau, Jocelyn 4 05/11/2015 56 69.19 9,529 10 Richmont Mines Inc. Options Adam, Daniel 5 05/10/2015 52 5.22 120,000 -15,000 RIOCAN REAL ESTATE INVESTMENT TRUST

Trust Units Devine, Cynthia Jane 5 06/11/2015 30 8,220 102

Robix Alternative Fuels, Inc. Options Cutler, Wanda 4 05/10/2015 00 Robix Alternative Fuels, Inc. Options Cutler, Wanda 4 06/11/2015 50 90,000 90,000 RockBridge Resources Inc. Common Shares Mathiesen, Steve 4, 5 04/11/2015 10 0.02 1,528,881 5,000 Rockcliff Copper Corporation (formerly Solvista Gold Corporation)

Common Shares Allen, Robert William 3 21/10/2015 10 0.04 12,298,695 -91,000

Rockcliff Copper Corporation (formerly Solvista Gold Corporation)

Common Shares Allen, Robert William 3 26/10/2015 10 0.04 12,296,695 -2,000

Rockhaven Resources Ltd. Common Shares Drechsler, Richard Micheal 6 30/10/2015 10 172,000 500 Rockhaven Resources Ltd. Common Shares Drechsler, Richard Micheal 6 02/11/2015 10 180,000 8,000 Rocky Mountain Liquor Inc. Common Shares ROCKY MOUNTAIN

LIQUOR INC. 1 01/10/2015 38 0.06 166,000 4,000

Rocky Mountain Liquor Inc. Common Shares ROCKY MOUNTAIN LIQUOR INC.

1 02/10/2015 38 0.06 169,000 3,000

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9601


T/O Unit Price


Acquired/ Disposed


1 07/10/2015 38 0.06 175,000 6,000


1 21/10/2015 38 0.06 380,000 205,000

Rocky Mountain Liquor Inc. Convertible Debentures 7.75%

ROCKY MOUNTAIN LIQUOR INC.

1 07/10/2015 38 0.68 $454,000 $20,000

Rodinia Lithium Inc. Options Abasov, Farhad 4, 5 28/04/2015 52 0.47 550,000 -200,000 Rodinia Lithium Inc. Options Abasov, Farhad 4, 5 15/06/2015 52 0.34 450,000 -100,000 Rodinia Lithium Inc. Options Ptolemy, Ryan Jeffery 5 05/10/2014 52 0.45 260,000 -130,039 Rodinia Lithium Inc. Options Ptolemy, Ryan Jeffery 5 15/06/2015 52 0.34 210,000 -50,000 Rodinia Lithium Inc. Options Randall, William 5 05/10/2014 52 0.45 1,450,000 -162,549 Rodinia Lithium Inc. Options Randall, William 5 15/06/2015 52 0.34 1,150,000 -300,000 Rogers Communications Inc. Non-Voting Shares Class

B Hooper, Dale Edward 5 30/10/2015 10 52.12 775 -850

Rogers Communications Inc. Options (Non-Performance)

Hooper, Dale Edward 5 30/10/2015 38 39,378 -10,750

Rogers Communications Inc. Options (Non-Performance)

Hooper, Dale Edward 5 05/11/2015 38 29,378 -10,000

Rogers Communications Inc. Stock Appreciation Rights (Non-Performance)

Hooper, Dale Edward 5 30/10/2015 59 18.069 39,378 -10,750

Rogers Communications Inc. Stock Appreciation Rights (Non-Performance)

Hooper, Dale Edward 5 05/11/2015 59 14.972 29,378 -10,000

Rogers Sugar Inc. Common Shares Rogers Sugar Inc 1 28/10/2015 38 0 -17,500 Rogers Sugar Inc. Common Shares Rogers Sugar Inc 1 30/10/2015 38 4.0956 28,500 5,400 Rogers Sugar Inc. Common Shares Rogers Sugar Inc 1 02/11/2015 38 4.0925 32,500 4,000 Royal Bank of Canada Rights RBC Capital

Markets Unit Awards Anderson, Robert James 5 31/10/2015 59 75.512 28,994 -30,986

Royal Bank of Canada Common Shares - Share Purchase Plans (RESSOP, DSSP, DSPP etc.)

guzman, douglas antony 5 01/11/2015 00 3,332

Royal Bank of Canada Rights Deferred Share Units


Royal Bank of Canada Rights RBC Capital Markets Unit Awards


Royal Bank of Canada Rights RBC Capital Markets Unit Awards

Hughes, Mark Richard 5 31/10/2015 59 75.512 14,363 -25,507

Rugby Mining Limited Common Shares Simpson, Yale Ronald 4 15/10/2015 10 0.08 2,550,000 1,250,000 Rugby Mining Limited Options Simpson, Yale Ronald 4 15/10/2015 50 0.1 450,000 100,000 Rugby Mining Limited Options Simpson, Yale Ronald 4 15/10/2015 53 0.1 1,700,000 1,250,000 Russel Metals Inc. Convertible Debentures

7.75% Benedetti, Alain 4 04/11/2015 38 $0 -$250,000

Russel Metals Inc. Convertible Debentures 7.75%

Britton, Marion Eleanor 5 04/11/2015 38 $0 -$500,000


Coleman, Lesley Margaret Seppings

5 04/11/2015 38 $0 -$50,000


Dinning, James Francis 4 04/11/2015 38 $0 -$25,000


Halcrow, David 5 04/11/2015 38 $0 -$100,000


Hanna, John 4 04/11/2015 38 $0 -$100,000


Hedges, Brian Robie 5 04/11/2015 38 $0 -$100,000


Kelly, Maureen Ann 5 04/11/2015 38 $0 -$60,000


O'Reilly, William Michael 5 04/11/2015 38 $0 -$100,000

Russel Metals Inc. Common Shares Tulloch, John Russell 4 04/11/2015 10 19 4,200 1,200 Russel Metals Inc. Common Shares Tulloch, John Russell 4 04/11/2015 10 19.05 4,500 300 Russel Metals Inc. Common Shares Tulloch, John Russell 4 04/11/2015 10 19.055 4,600 100 Russel Metals Inc. Common Shares Tulloch, John Russell 4 04/11/2015 10 19.065 4,700 100 Russel Metals Inc. Common Shares Tulloch, John Russell 4 04/11/2015 10 19.07 5,000 300 Russel Metals Inc. Common Shares Tulloch, John Russell 4 04/11/2015 10 19.075 5,500 500

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9602


T/O Unit Price


Acquired/ Disposed

Russel Metals Inc. Common Shares Tulloch, John Russell 4 04/11/2015 10 19.08 5,600 100 Russel Metals Inc. Common Shares Tulloch, John Russell 4 04/11/2015 10 19.1 6,200 600 Russel Metals Inc. Common Shares Tulloch, John Russell 4 04/11/2015 10 19.11 7,000 800 Russel Metals Inc. Common Shares Tulloch, John Russell 4 04/11/2015 10 19.115 7,300 300 Russel Metals Inc. Common Shares Tulloch, John Russell 4 04/11/2015 10 19.12 7,500 200 Russel Metals Inc. Common Shares Tulloch, John Russell 4 04/11/2015 10 19.13 7,700 200 Russel Metals Inc. Common Shares Tulloch, John Russell 4 04/11/2015 10 19.16 7,800 100 Russel Metals Inc. Common Shares Tulloch, John Russell 4 04/11/2015 10 19.17 8,000 200 Rye Patch Gold Corp. Common Shares Rye Patch Gold Corp. 1 03/11/2015 38 0.115 74,500 -5,000 Rye Patch Gold Corp. Common Shares Rye Patch Gold Corp. 1 03/11/2015 38 0.125 60,000 -14,500 Rye Patch Gold Corp. Common Shares Rye Patch Gold Corp. 1 03/11/2015 38 0.125 46,500 -13,500 Rye Patch Gold Corp. Common Shares Rye Patch Gold Corp. 1 03/11/2015 38 0.1208 34,500 -12,000 Rye Patch Gold Corp. Common Shares Rye Patch Gold Corp. 1 03/11/2015 38 0.1287 11,500 -23,000 Rye Patch Gold Corp. Common Shares Rye Patch Gold Corp. 1 03/11/2015 38 0.1293 0 -11,500 Rye Patch Gold Corp. Common Shares Rye Patch Gold Corp. 1 04/11/2015 38 0.1333 21,000 21,000 Rye Patch Gold Corp. Common Shares Rye Patch Gold Corp. 1 05/11/2015 38 0.135 26,000 5,000 Sandspring Resources Ltd. Options Adams, John Robert 4, 6 06/11/2015 50 658,332 400,000 Sandspring Resources Ltd. Options Bailie, Rhylin Pauline

Arkinstall 5 11/09/2015 00

Sandspring Resources Ltd. Options Bailie, Rhylin Pauline Arkinstall

5 06/11/2015 50 0.2 50,000 50,000

Sandspring Resources Ltd. Options Barnes, Phillip Gregory 4, 5 06/11/2015 50 624,998 500,000 Sandspring Resources Ltd. Options Beharry, Suresh Edward 4 06/11/2015 50 566,665 400,000 Sandspring Resources Ltd. Options Constable, David Wayne 4 06/11/2015 50 566,664 400,000 Sandspring Resources Ltd. Options Crichton, Jeremy 5 11/09/2015 00 Sandspring Resources Ltd. Options Crichton, Jeremy 5 06/11/2015 50 200,000 200,000 Sandspring Resources Ltd. Options Giustra, Frank 4 11/09/2015 00 Sandspring Resources Ltd. Options Giustra, Frank 4 06/11/2015 50 400,000 400,000 Sandspring Resources Ltd. Options Laing, David Charles 4 11/09/2015 00 Sandspring Resources Ltd. Options Laing, David Charles 4 06/11/2015 50 400,000 400,000 Sandspring Resources Ltd. Options Munson, Richard Allen 4, 6, 5 06/11/2015 50 666,665 500,000 Sandspring Resources Ltd. Options Pokrandt, Harry Rudolf 4 11/09/2015 00 Sandspring Resources Ltd. Options Pokrandt, Harry Rudolf 4 06/11/2015 50 400,000 400,000 Sandvine Corporation Common Shares Caputo, David 4 05/11/2015 30 2.72 108,510 662 Sandvine Corporation Common Shares Caputo, David 4 02/11/2015 10 2.69 2,718,100 -15,000 Sandvine Corporation Common Shares Donnelly, Tom 5 05/11/2015 30 2.72 19,843 144 Sandvine Corporation Common Shares Donnelly, Tom 5 02/11/2015 10 2.69 2,391,930 -25,000 Sandvine Corporation Common Shares Hamilton, Scott 4 05/11/2015 30 2.72 5,554 62 Sandvine Corporation Common Shares Siim, Brad 5 05/11/2015 30 2.72 935,018 299 Savary Gold Corp. Common Shares Dudek, Don 4, 5 04/11/2015 10 0.035 1,499,000 50,000 ScoZinc Mining Ltd. (formerly Selwyn Resources Ltd.)

Common Shares Miller, III, Lloyd I. 3 03/11/2015 10 0.8825 284,730 1,900

Seabridge Gold Inc. Common Shares Reynolds, Christopher Justin

5 02/11/2015 57 12500 62,500 12,500

Seabridge Gold Inc. Rights Restricted Share Units

Reynolds, Christopher Justin

5 02/11/2015 57 15,000 -12,500

Seabridge Gold Inc. Common Shares Trujillo, Gloria M. 8 02/11/2015 57 13,900 5,000 Seabridge Gold Inc. Rights Restricted Share

Units Trujillo, Gloria M. 8 02/11/2015 57 5,000 -5,000

Secure Energy Services Inc. Common Shares Employee Share Ownership Plan

Amirault, Rene 3, 4, 5 05/11/2015 30 8.99 32,247 205


Gransch, Allen Peter 5 05/11/2015 30 8.99 15,688 99


Higham, Corey Ray 5 05/11/2015 30 8.99 17,129 90


McGurk, Brian Kenneth Stanley

5 05/11/2015 30 8.99 8,682 56

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9603


T/O Unit Price


Acquired/ Disposed


Steinke, Daniel 5 05/11/2015 30 8.99 15,855 76


WADSWORTH, GEORGE 7 05/11/2015 30 8.99 11,659 108

Security Devices International Inc.

Options Stock Option Plan MALHOTRA, RAKESH 5 28/10/2015 50 0.38 245,000 50,000

Serinus Energy Inc. Common Shares Kulczyk, Estate of Jan J. 3 30/10/2015 48 - Acquisition by inheritance or disposition by bequest

0 -39,909,606

Serinus Energy Inc. Options Kulczyk, Estate of Jan J. 3 30/10/2015 48 - Acquisition by inheritance or disposition by bequest

0 -20,000

Serinus Energy Inc. Common Shares Luglio Limited 3 30/10/2015 00 Serinus Energy Inc. Common Shares Luglio Limited 3 30/10/2015 48 - Acquisition

by inheritance or disposition by bequest

39,909,606 39,909,606

SHAW COMMUNICATIONS INC.

Directors' Deferred Share Units (DDSU)

Green, Richard R. 4 31/10/2015 30 20.79 41,334 647



Keating, Gregory John 4 31/10/2015 30 27.32 42,265 532



Pew, Paul Kenneth 4 31/10/2015 30 27.33 65,750 875



Royer, Jeffrey 4 31/10/2015 30 27.29 67,363 623



Weatherill, Sheila Christine 4 31/10/2015 30 27.33 35,114 507

Silver Bullion Trust Trust Units Polar Securities Inc. 3 02/11/2015 10 10.65 576,100 500 Silver Bullion Trust Trust Units Polar Securities Inc. 3 02/11/2015 10 10.64 596,100 20,000 Silver Bullion Trust Trust Units Polar Securities Inc. 3 02/11/2015 10 10.62 596,200 100 Silver Bullion Trust Trust Units Polar Securities Inc. 3 02/11/2015 10 10.61 596,600 400 Silver Bullion Trust Trust Units Polar Securities Inc. 3 02/11/2015 10 10.6 597,300 700 Silver Bullion Trust Trust Units Polar Securities Inc. 3 02/11/2015 10 10.59 597,400 100 Silver Bullion Trust Trust Units Polar Securities Inc. 3 02/11/2015 10 10.58 597,700 300 Silver Bullion Trust Trust Units Polar Securities Inc. 3 02/11/2015 10 10.57 598,000 300 Silver Bullion Trust Trust Units Polar Securities Inc. 3 02/11/2015 10 10.63 599,200 1,200 Silver Bullion Trust Trust Units Polar Securities Inc. 3 04/11/2015 10 10.37 600,700 1,500 Silver Bullion Trust Trust Units Polar Securities Inc. 3 05/11/2015 10 10.33 602,200 1,500 Silver Bullion Trust Trust Units Polar Securities Inc. 3 05/11/2015 10 10.49 602,400 200 Silver Bullion Trust Trust Units Polar Securities Inc. 3 05/11/2015 10 10.5 603,900 1,500 Silver Bullion Trust Trust Units Polar Securities Inc. 3 05/11/2015 10 10.57 605,100 1,200 Silver Bullion Trust Trust Units Polar Securities Inc. 3 05/11/2015 10 10.58 606,300 1,200 Silver Bullion Trust Trust Units Polar Securities Inc. 3 06/11/2015 10 10.58 606,400 100 Silver Bullion Trust Trust Units Polar Securities Inc. 3 06/11/2015 10 10.59 623,900 17,500 Sintana Energy Inc. (formerly Mobius Resources Inc.)

Options Austin, Sean 5 05/11/2015 50 0.175 759,212 575,000

Sintana Energy Inc. (formerly Mobius Resources Inc.)

Options Cherry, David 5 05/11/2015 50 0.175 1,101,320 575,000


Options Macqueen, Ian 4 05/11/2015 50 0.175 450,000 250,000


Options Manner, Douglas Glenn 4, 5 05/11/2015 50 0.175 1,301,320 575,000


Options Marrelli, Carmelo 5 05/11/2015 50 0.175 126,316 100,000


Options Maruzzo, Bruno 4 18/08/2015 52 65,790 -13,158


Options Maruzzo, Bruno 4 05/11/2015 50 0.175 315,790 250,000


Options Pettigrew, Lee Alexander 5 31/12/2014 52 920,000 -6,286,667


Options Pettigrew, Lee Alexander 5 05/11/2015 50 0.175 1,495,000 575,000

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9604


T/O Unit Price


Acquired/ Disposed


Options Spickelmier, Keith Dean 4, 5 05/11/2015 50 0.175 1,101,320 575,000

Sirius XM Canada Holdings Inc. (formerly Canadian Satellite Radio Holdings Inc.)

Options Class A Bitove, John Ivan 3, 4, 5 02/11/2015 50 4.99 58,978 22,293


Options Class A Brecht, James 5 29/10/2015 00








Options Class A Brecht, James 5 29/10/2015 00 27,425


Rights Restricted Stock Units

Brecht, James 5 29/10/2015 00



Brecht, James 5 29/10/2015 00



Brecht, James 5 29/10/2015 00



Brecht, James 5 29/10/2015 00



Brecht, James 5 29/10/2015 00 29,251


Options Class A Casgrain, Tim 4 02/11/2015 50 4.99 58,978 22,293


Options Class A Coriat, David 4 02/11/2015 50 4.99 58,978 22,293



Cunningham, Timothy Paul 5 03/11/2015 57 30,652 -27,027



Cunningham, Timothy Paul 5 03/11/2015 57 40,996 27,027


Options Class A Evershed, Philip 5 02/11/2015 50 4.99 83,978 22,293



Gordon, Ian Sheffield 5 03/11/2015 57 27,972 -946



Gordon, Ian Sheffield 5 03/11/2015 57 946 946


Options Class A Johnson, Guy 4 02/11/2015 50 4.99 83,978 22,293



Knapton, Francis Mark 5 03/11/2015 57 26,308 -22,077



Knapton, Francis Mark 5 03/11/2015 57 37,077 22,077



Lewis, John Edward 5 03/11/2015 57 28,910 -24,372



Lewis, John Edward 5 03/11/2015 57 25,872 24,372

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9605


T/O Unit Price


Acquired/ Disposed


Options Class A Magee, Christine 4 02/11/2015 50 4.99 59,536 22,293



Redmond, Mark Laurence 5 03/11/2015 57 245,477 -105,001



Redmond, Mark Laurence 5 03/11/2015 57 175,226 105,001


Options Class A Viner, Anthony Peers 4 02/11/2015 50 4.99 108,978 22,293

Slate Office REIT (formerly, FAM Real Estate Investment Trust)

Trust Units Slate Office REIT 1 01/10/2015 38 7.23 5,257 5,257


Trust Units Slate Office REIT 1 01/10/2015 38 0 -5,257



































Insider Reporting

November 12, 2015

(2015), 38 OSCB 9606


T/O Unit Price


Acquired/ Disposed











































Slate Retail REIT (formerly, Slate U.S. Opportunity (No. 1) Realty Trust)

Trust Units Class U Units Slate Retail REIT 1 26/10/2015 38 13.5 20,400 20,400

Slate Retail REIT (formerly, Slate U.S. Opportunity (No. 1) Realty Trust)

Trust Units Class U Units Slate Retail REIT 1 26/10/2015 38 0 -20,400

Solarvest BioEnergy Inc. Common Shares Greenham, Gerri Joseph 4 02/11/2015 10 0.24 8,176,500 4,000

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9607


T/O Unit Price


Acquired/ Disposed

Solegear Bioplastic Technologies Inc. (formerly Rodeo Capital III Corp.)

Common Shares Antoniadis, Paul John 4 02/11/2015 10 0.155 376,784 10,000

























Sonoro Metals Corp. Common Shares MacLeod, Kenneth 4, 5 04/11/2015 10 0.055 1,297,667 1,000 SouthGobi Resources Ltd. Common Shares Turquoise Hill Resources

Ltd. 3 02/11/2015 10 0.4342 52,244,015 -25,000

SouthGobi Resources Ltd. Common Shares Turquoise Hill Resources Ltd.

3 03/11/2015 10 0.4315 52,202,165 -41,850


3 05/11/2015 10 0.4252 52,145,965 -56,200


3 06/11/2015 10 0.4181 52,077,165 -68,800

Spanish Mountain Gold Ltd. Common Shares Lattanzi, Christopher 4 13/06/2008 00 Spanish Mountain Gold Ltd. Common Shares Lattanzi, Christopher 4 27/10/2015 16 0.03 666,667 666,667 Spanish Mountain Gold Ltd. Warrants Lattanzi, Christopher 4 13/06/2008 00 Spanish Mountain Gold Ltd. Warrants Lattanzi, Christopher 4 27/10/2015 16 666,667 666,667 Sparton Resources Inc. Common Shares Ding, Yongbiao 5 30/10/2015 10 0.28 -250,000 Sparton Resources Inc. Common Shares Ding, Yongbiao 5 30/10/2015 10 0.028 0 -250,000 SponsorsOne Inc. Common Shares Bartholomew, Gary 4 03/11/2015 11 0.4 317,167 -108,000 SponsorsOne Inc. Common Shares Bartholomew, Gary 4 03/11/2015 11 0.4 1,466,667 -700,000 SponsorsOne Inc. Common Shares Bartholomew, Myles 3 03/11/2015 11 0.4 4,458,333 -1,000,000 SponsorsOne Inc. Common Shares Bartholomew, Myles 3 03/11/2015 11 0.4 347,167 -108,000 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 01/10/2015 38 0.6092 31,162 31,162 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 01/10/2015 38 0.6092 0 -31,162 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 05/10/2015 38 0.6094 25,662 25,662 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 05/10/2015 38 0.6094 0 -25,662 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 06/10/2015 38 0.6045 31,162 31,162 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 06/10/2015 38 0.6045 0 -31,162 Stella-Jones Inc. Common Shares Fox, Doug 7 30/10/2015 11 37.08 68,000 -2,000 Strata-X Energy Ltd. Common Shares Nerland, Dennis Leroy 4 02/11/2015 16 0.07 1,519,842 464,286

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9608


T/O Unit Price


Acquired/ Disposed

Strike Diamond Corp. Common Shares Kalt, Ryan 3, 4, 5 29/10/2015 11 0.05 2,121,500 100,000 Strike Diamond Corp. Warrants Kalt, Ryan 3, 4, 5 29/10/2015 11 0.05 1,336,000 100,000 Strike Diamond Corp. Common Shares Way, David Blair 4 29/10/2015 11 0.05 1,500,000 100,000 Strike Diamond Corp. Warrants Way, David Blair 4 21/03/2012 00 Strike Diamond Corp. Warrants Way, David Blair 4 29/10/2015 10 100,000 100,000 Sun Life Financial Inc. Common Shares Powers, Scott F. 4 30/10/2015 00 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 01/10/2015 38 35.59 46,492 46,492 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 01/10/2015 38 0 -46,492 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 02/10/2015 38 35.25 23,415 23,415 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 02/10/2015 38 0 -23,415 Superior Plus Corp. 6.50% Senior Unsecured

Notes of Superior Plus LP Bingham, Wayne Mitchell 5 27/09/2015 10 $0 -$100,000

Superior Plus Corp. Common Shares Bingham, Wayne Mitchell 5 03/11/2015 10 10.28 278,104 1,900 Surge Energy Inc. Common Shares Surge Energy Inc. 1 30/10/2015 38 3.17 358,500 358,500 Surge Energy Inc. Common Shares Surge Energy Inc. 1 30/10/2015 38 0 -358,500 Symphony Floating Rate Senior Loan Fund

Units Class A Symphony Floating Rate Senior Loan Fund

1 01/10/2015 38 8.74 700 700

Symphony Floating Rate Senior Loan Fund


1 01/10/2015 38 8.74 0 -700



1 02/10/2015 38 8.74 900 900



1 02/10/2015 38 8.74 0 -900



1 05/10/2015 38 8.74 3,000 3,000



1 05/10/2015 38 8.74 0 -3,000



1 06/10/2015 38 8.75 3,000 3,000



1 06/10/2015 38 8.75 0 -3,000



1 08/10/2015 38 8.74 2,000 2,000



1 08/10/2015 38 8.74 0 -2,000



1 09/10/2015 38 8.74 2,500 2,500



1 09/10/2015 38 8.74 0 -2,500



1 15/10/2015 38 8.71 3,000 3,000



1 15/10/2015 38 8.71 0 -3,000



1 21/10/2015 38 8.76 3,000 3,000



1 21/10/2015 38 8.76 0 -3,000



1 22/10/2015 38 8.64 500 500



1 22/10/2015 38 8.64 0 -500



1 27/10/2015 38 8.71 3,000 3,000



1 27/10/2015 38 8.71 0 -3,000



1 30/10/2015 38 8.7 3,000 3,000



1 30/10/2015 38 8.7 0 -3,000

Synodon Inc. Common Shares Class “A”

Rodrigo, Deborah 5 01/10/2015 46 0.0585 126,385 28,490


Rodrigo, Deborah 5 02/11/2015 46 0.0593 154,497 28,112


Rodrigo, Deborah 5 02/11/2015 46 0.0593 28,112

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9609


T/O Unit Price


Acquired/ Disposed


Rodrigo, Deborah 5 02/11/2015 46 0.0593 28,112


Rodrigo, Nimal Rohith 5 01/10/2015 46 0.0585 1,052,771 56,980


Rodrigo, Nimal Rohith 5 02/11/2015 46 0.0593 1,108,996 56,225


Rodrigo, Nimal Rohith 5 02/11/2015 46 0.0593 56,225


Rodrigo, Nimal Rohith 5 02/11/2015 46 0.0593 56,225

TAG Oil Ltd Common Shares Akanthos Capital Management LLC

3 06/11/2015 10 0.5342 4,839,000 39,000

TAG Oil Ltd Common Shares Akanthos Capital Management LLC

3 06/11/2015 10 0.5342 1,550,000 87,500

TAG Oil Ltd Common Shares TAG Oil Ltd. 1 02/11/2015 38 0 -27,000 Takara Resources Inc. Common Shares Basa, Frank Joseph 4, 5 02/11/2015 10 0.03 20,000 20,000 Takara Resources Inc. Common Shares Basa, Frank Joseph 4, 5 03/11/2015 10 0.03 115,000 95,000 Tamarack Valley Energy Ltd. Common Shares GMT Capital Corp 3 03/11/2015 10 2.23 3,040,400 5,200 Tamarack Valley Energy Ltd. Common Shares GMT Capital Corp 3 03/11/2015 10 2.23 3,379,100 6,900 Tamarack Valley Energy Ltd. Common Shares GMT Capital Corp 3 03/11/2015 10 2.23 6,549,800 11,400 Tamarack Valley Energy Ltd. Common Shares GMT Capital Corp 3 03/11/2015 10 2.23 759,800 1,100 Tamarack Valley Energy Ltd. Common Shares GMT Capital Corp 3 03/11/2015 10 2.23 626,400 1,000 Tartisan Resources Corp. Common Shares Appleby, D. Mark 4, 5 27/10/2015 10 0.02 1,573,000 -500,000 Taylor North American Equity Opportunities Fund

Units Taylor North American Equity Opportunities Fund

1 01/10/2015 38 10.12 3,000 3,000

Taylor North American Equity Opportunities Fund


1 01/10/2015 38 10.12 0 -3,000



1 02/10/2015 38 10.12 3,000 3,000



1 02/10/2015 38 10.12 0 -3,000



1 21/10/2015 38 11.11 3,000 3,000



1 21/10/2015 38 11.11 0 -3,000



1 22/10/2015 38 11.01 3,000 3,000



1 22/10/2015 38 11.01 0 -3,000



1 27/10/2015 38 11.1 3,000 3,000



1 27/10/2015 38 11.1 0 -3,000



1 28/10/2015 38 10.98 3,000 3,000



1 28/10/2015 38 10.98 0 -3,000



1 28/10/2015 38 10.83 2,300 2,300



1 28/10/2015 38 10.83 0 -2,300



1 29/10/2015 38 10.99 3,000 3,000



1 29/10/2015 38 10.99 0 -3,000

Tech Leaders Income Fund Units Tech Leaders Income Fund 1 13/10/2015 38 9.05 400 400 Tech Leaders Income Fund Units Tech Leaders Income Fund 1 13/10/2015 38 9.05 0 -400 Tech Leaders Income Fund Units Tech Leaders Income Fund 1 14/10/2015 38 9.07 3,000 3,000 Tech Leaders Income Fund Units Tech Leaders Income Fund 1 14/10/2015 38 9.07 0 -3,000 Tech Leaders Income Fund Units Tech Leaders Income Fund 1 15/10/2015 38 8.98 3,000 3,000 Tech Leaders Income Fund Units Tech Leaders Income Fund 1 15/10/2015 38 8.98 0 -3,000 Tech Leaders Income Fund Units Tech Leaders Income Fund 1 20/10/2015 38 8.99 3,000 3,000 Tech Leaders Income Fund Units Tech Leaders Income Fund 1 20/10/2015 38 8.99 0 -3,000 Tech Leaders Income Fund Units Tech Leaders Income Fund 1 21/10/2015 38 8.94 1,900 1,900

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9610


T/O Unit Price


Acquired/ Disposed

Tech Leaders Income Fund Units Tech Leaders Income Fund 1 21/10/2015 38 8.94 0 -1,900 Tech Leaders Income Fund Units Tech Leaders Income Fund 1 27/10/2015 38 9.19 3,000 3,000 Tech Leaders Income Fund Units Tech Leaders Income Fund 1 27/10/2015 38 9.19 0 -3,000 Tech Leaders Income Fund Units Tech Leaders Income Fund 1 28/10/2015 38 8.99 3,000 3,000 Tech Leaders Income Fund Units Tech Leaders Income Fund 1 28/10/2015 38 8.99 0 -3,000 Temple Hotels Inc. Rights Aghar, Peter 4 29/10/2015 57 -650,000 Temple Hotels Inc. Rights Aghar, Peter 4 29/10/2015 57 0 -650,000 Temple Hotels Inc. Common Shares Beeston, Larry James 5 29/10/2015 57 1.1 26,838 10,238 Temple Hotels Inc. Common Shares Beeston, Larry James 5 29/10/2015 57 1.1 31,214 4,376 Temple Hotels Inc. Rights Beeston, Larry James 5 29/10/2015 56 16,558 4,958 Temple Hotels Inc. Rights Beeston, Larry James 5 29/10/2015 57 4,958 -11,600 Temple Hotels Inc. Rights Beeston, Larry James 5 29/10/2015 57 0 -4,958 Temple Hotels Inc. Common Shares Cahill, Chris J. 4 28/10/2015 10 1.1625 250,000 250,000 Temple Hotels Inc. Common Shares Morguard Corporation 3 29/10/2015 57 1.1 17,771,668 12,786,295 Temple Hotels Inc. Common Shares Morguard Corporation 3 02/11/2015 15 1.1 23,237,889 5,466,221 Temple Hotels Inc. Rights Morguard Corporation 3 29/10/2015 57 1.1 0 -14,486,873 Temple Hotels Inc. Convertible Debentures

7.25% Series E Convertible Redeemable Unsecured Subordinated

Temple Hotels Inc. 1 02/11/2015 38 $10,000 -$5,000

Temple Hotels Inc. Convertible Debentures 7.25% Series E Convertible Redeemable Unsecured Subordinated


Temple Hotels Inc. Convertible Debentures 7.25% Series E Convertible Redeemable Unsecured Subordinated

Temple Hotels Inc. 1 04/11/2015 38 $0 -$5,000

Temple Hotels Inc. Convertible Debentures 8.0% Series C Convertible Redeemable Unsecured Subordinated





Temple Hotels Inc. 1 04/11/2015 38 $0 -$4,000

Temple Hotels Inc. Common Shares Thorsteinson, Arni Clayton 4, 5 29/10/2015 57 1.1 5,933,921 2,838,356 Temple Hotels Inc. Common Shares Thorsteinson, Arni Clayton 4, 5 29/10/2015 57 1.1 9,486 4,447 Temple Hotels Inc. Common Shares Thorsteinson, Arni Clayton 4, 5 29/10/2015 57 1.1 1,507,853 616,704 Temple Hotels Inc. Rights Thorsteinson, Arni Clayton 4, 5 29/10/2015 57 1.1 0 -3,215,858 Temple Hotels Inc. Rights Thorsteinson, Arni Clayton 4, 5 29/10/2015 57 1.1 0 -5,039 Temple Hotels Inc. Rights Thorsteinson, Arni Clayton 4, 5 29/10/2015 57 1.1 0 -698,725 TerraVest Capital Inc. Convertible Debentures Haw, Dustin 7 04/11/2015 10 91.99 $45,000 $10,000 TerraVest Capital Inc. Common Shares PELLERIN, CHARLES 3 02/11/2015 10 6.04 424,100 900 TerraVest Capital Inc. Common Shares PELLERIN, CHARLES 3 02/11/2015 10 6.05 424,200 100 TerraVest Capital Inc. Common Shares PELLERIN, CHARLES 3 02/11/2015 10 6.07 424,400 200 TerraVest Capital Inc. Common Shares PELLERIN, CHARLES 3 04/11/2015 10 6.05 426,200 1,800 TerraVest Capital Inc. Common Shares PELLERIN, CHARLES 3 04/11/2015 10 6.1 426,300 100 THC BIOMED INTL LTD. Common Shares Watson, Geoff 4 04/11/2015 10 0.12 318,333 -15,000 THC BIOMED INTL LTD. Common Shares Watson, Geoff 4 05/11/2015 10 0.13 303,333 -15,000 The Canadian Bioceutical Corporation

Common Shares Layman, David J 4 03/11/2015 51 0.05 40,000 25,000

The Canadian Bioceutical Corporation

Options Layman, David J 4 03/11/2015 51 0.05 210,000 -25,000

The Jean Coutu Group (PJC) Inc.

Subordinate Voting Shares Catégorie A

Coutu, Jean 3, 4, 5 05/11/2015 10 20 429,051 1,600



Coutu, Jean 3, 4, 5 05/11/2015 10 20.02 434,051 5,000



Coutu, Jean 3, 4, 5 05/11/2015 10 20.03 434,251 200

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9611


T/O Unit Price


Acquired/ Disposed



Coutu, Jean 3, 4, 5 05/11/2015 10 20.05 440,051 5,800



Coutu, Jean 3, 4, 5 05/11/2015 10 20.07 441,051 1,000



Coutu, Jean 3, 4, 5 05/11/2015 10 20.08 446,451 5,400



Coutu, Jean 3, 4, 5 05/11/2015 10 20.1 447,451 1,000

The North West Company Inc.

Deferred Share Units Coleman, Frank Joseph 4 31/10/2015 56 29 20,250 473


Deferred Share Units Evans, Frances Wendy 4 31/10/2015 56 29 26,240 283


Deferred Share Units Glendinning, Stewart 4 31/10/2015 56 29 3,714 499


Deferred Share Units Kennedy, Robert 4 31/10/2015 56 29 37,072 396


Deferred Share Units King, Anna Lisa 4 31/10/2015 56 29 1,662 18


Deferred Share Units Konkle, Violet 4 31/10/2015 56 29 5,460 314


Deferred Share Units Merasty, Gary 4 31/10/2015 56 29 13,160 397


Deferred Share Units Riley, Sanford 4 31/10/2015 56 29 59,988 639


Deferred Share Units Stefanson, Eric 4 31/10/2015 56 29 8,139 88


Deferred Share Units Tootoo, Victor 4 31/10/2015 56 29 1,662 18

The Second Cup Ltd. Common Shares Merson, Rael Phillip 4 05/11/2015 10 2.75 0 -74,800 The Second Cup Ltd. Common Shares Merson, Rael Phillip 4 05/11/2015 10 2.75 130,800 74,800 The Toronto-Dominion Bank Rights Deferred Share

Units (DSU) Bennett, William E. 4, 7 31/10/2015 46 55.17 113

The Toronto-Dominion Bank Rights Deferred Share Units (DSU)

Bennett, William E. 4, 7 31/10/2015 46 55.17 79,361 113


Bragg, John 4 31/10/2015 46 55.17 66,119 498


Brinkley, Amy Woods 4, 7 31/10/2015 46 55.17 27,316 566


Brinkley, Amy Woods 4, 7 31/10/2015 46 55.17 27,694 378


Ferguson, Brian Charles 4 31/10/2015 46 55.17 2,714 498


Goggins, Colleen 4 31/10/2015 46 55.17 16,437 498


Haddad, Mary Jo 4 31/10/2015 46 55.17 3,448 408

The Toronto-Dominion Bank Common Shares CUSIP 891160 50 9

Kepler, David E. 4 31/10/2015 46 53.79 2,313 301


Levitt, Brian 4 31/10/2015 46 55.17 59,527 952


MacGibbon, Alan 4, 7 31/10/2015 46 55.17 407


MacGibbon, Alan 4, 7 31/10/2015 46 55.17 6,263 408


MacGibbon, Alan 4, 7 31/10/2015 46 55.17 378


MacGibbon, Alan 4, 7 31/10/2015 46 55.17 6,641 378


MacKay, Harold H. 4 31/10/2015 46 55.17 64,103 159


Maidment, Karen 4 31/10/2015 46 55.17 21,736 702


Miller, Irene Ruth 4 31/10/2015 46 55.17 59,376 498


Mohamed, Nadir 4 31/10/2015 46 55.17 38,799 408

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9612


T/O Unit Price


Acquired/ Disposed


Mongeau, Claude 4 31/10/2015 46 55.17 2,592 453


Prezzano, Wilbur J 4 31/10/2015 46 55.17 101,137 793

Thomson Reuters Corporation

Common Shares Johnston, Bernadette 7 05/11/2015 51 40.85 4,389 2,500


Options Johnston, Bernadette 7 03/11/2015 51 40.85 2,500


Options Johnston, Bernadette 7 03/11/2015 51 40.85 2,500


Options Johnston, Bernadette 7 03/11/2015 51 40.85 0 -2,500


Common Shares Thomson Reuters Corporation

1 23/09/2015 38 54.59 22,000



1 23/09/2015 38 54.59 22,000



1 01/10/2015 38 53.195 475,500 30,000



1 02/10/2015 38 53.128 508,500 33,000



1 05/10/2015 38 53.639 541,500 33,000



1 06/10/2015 38 53.511 574,500 33,000



1 07/10/2015 38 53.616 596,500 22,000



1 08/10/2015 38 53.508 618,500 22,000



1 09/10/2015 38 53.663 195,000 22,000



1 09/10/2015 38 66,000 -129,000



1 12/10/2015 38 41.757 88,000 22,000



1 13/10/2015 38 54.192 110,000 22,000



1 14/10/2015 38 53.862 132,000 22,000



1 15/10/2015 38 53.627 154,000 22,000



1 16/10/2015 36 53.692 176,000 22,000



1 16/10/2015 38 66,000 -110,000



1 19/10/2015 38 53.902 88,000 22,000



1 20/10/2015 38 54.305 110,000 22,000



1 21/10/2015 38 54.983 132,000 22,000



1 22/10/2015 38 55.074 154,000 22,000



1 23/10/2015 38 44,000 -110,000



1 23/10/2015 38 54.59 66,000 22,000



1 30/10/2015 38 0 -66,000

Thunderbird Resorts, Inc. Common Shares LeSar, Peter 5 06/01/2011 00 118,716 Thunderbird Resorts, Inc. Common Shares LeSar, Peter 5 04/11/2015 11 0.5 168,716 50,000 Timbercreek Mortgage Investment Corporation

Common Shares Timbercreek Mortgage Investment Corporation

1 01/10/2015 38 7.6219 13,100 13,100

Timbercreek Mortgage Investment Corporation


1 01/10/2015 38 0 -13,100



1 02/10/2015 38 7.5427 9,600 9,600

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9613


T/O Unit Price


Acquired/ Disposed



1 02/10/2015 38 0 -9,600

Timbercreek Senior Mortgage Investment Corporation

Common Shares Timbercreek Senior Mortgage Investment Corporation

1 01/10/2015 38 7.4877 3,900 3,900



1 01/10/2015 38 0 -3,900



1 02/10/2015 38 7.4609 3,200 3,200



1 02/10/2015 38 0 -3,200

TransAlta Corporation Common Shares Park, Benjamin 5 22/10/2015 00 TransAlta Corporation PSU (Performance Share

Units) Park, Benjamin 5 22/10/2015 00 8,406

TransAlta Corporation RSU (Restricted Share Units)

Park, Benjamin 5 22/10/2015 00 4,204

Transat A.T. inc. Unités d'actions différées (UAD)

Bachand, Raymond 4 01/11/2015 56 7.75 14,289 2,258


Beaulieu, Louis-Marie 4 01/11/2015 56 7.75 11,533 1,339


Chabot, Lucie 4 22/10/2015 00


Chabot, Lucie 4 01/11/2015 56 7.75 542 542


De Cesare, Lina 4, 7 01/11/2015 56 7.75 11,437 484


Delisle, Jean-Pierre 4 01/11/2015 56 7.75 13,005 484


Edwards, Brian 4 01/11/2015 56 7.75 27,553 1,548


Kudzman, Susan 4 01/11/2015 56 7.75 15,853 2,290


Leblanc, Jean-Yves 4 01/11/2015 56 7.75 18,009 806


Simoneau, Jacques 4 01/11/2015 56 7.75 13,619 484


Sureau, Philippe 4, 7 01/11/2015 56 7.75 17,509 484

Transat A.T. inc. Action à droit de vote de catégorie B

Transat A.T. inc. 1 01/10/2015 38 7.27 4,600 4,600


Transat A.T. inc. 1 01/10/2015 38 0 -4,600


Transat A.T. inc. 1 02/10/2015 38 7.33 3,800 3,800


Transat A.T. inc. 1 02/10/2015 38 0 -3,800


Transat A.T. inc. 1 05/10/2015 38 7.31 3,500 3,500


Transat A.T. inc. 1 05/10/2015 38 0 -3,500


Transat A.T. inc. 1 06/10/2015 38 7.52 1,400 1,400


Transat A.T. inc. 1 06/10/2015 38 0 -1,400


Transat A.T. inc. 1 07/10/2015 38 7.7 7,700 7,700


Transat A.T. inc. 1 07/10/2015 38 0 -7,700


Transat A.T. inc. 1 08/10/2015 38 7.52 700


Transat A.T. inc. 1 08/10/2015 38 7.51 700 700


Transat A.T. inc. 1 08/10/2015 38 0 -700

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9614


T/O Unit Price


Acquired/ Disposed


Transat A.T. inc. 1 09/10/2015 38 7.68 19,500 19,500


Transat A.T. inc. 1 09/10/2015 38 0 -19,500


Transat A.T. inc. 1 13/10/2015 38 7.64 5,000 5,000


Transat A.T. inc. 1 13/10/2015 38 0 -5,000


Transat A.T. inc. 1 14/10/2015 38 7.67 5,000 5,000


Transat A.T. inc. 1 14/10/2015 38 0 -5,000


Transat A.T. inc. 1 15/10/2015 38 7.73 47,300 47,300


Transat A.T. inc. 1 15/10/2015 38 0 -47,300


Transat A.T. inc. 1 16/10/2015 38 7.72 10,400 10,400


Transat A.T. inc. 1 16/10/2015 38 0 -10,400


Transat A.T. inc. 1 19/10/2015 38 7.77 4,000 4,000


Transat A.T. inc. 1 19/10/2015 38 0 -4,000


Transat A.T. inc. 1 20/10/2015 38 7.68 3,300 3,300


Transat A.T. inc. 1 20/10/2015 38 0 -3,300


Transat A.T. inc. 1 21/10/2015 38 7.76 10,000 10,000


Transat A.T. inc. 1 21/10/2015 38 0 -10,000


Transat A.T. inc. 1 22/10/2015 38 7.83 2,000 2,000


Transat A.T. inc. 1 22/10/2015 38 0 -2,000


Transat A.T. inc. 1 23/10/2015 38 7.78 1,100 1,100


Transat A.T. inc. 1 23/10/2015 38 0 -1,100


Transat A.T. inc. 1 26/10/2015 38 7.8 1,300 1,300


Transat A.T. inc. 1 26/10/2015 38 0 -1,300


Transat A.T. inc. 1 27/10/2015 38 7.77 3,000 3,000


Transat A.T. inc. 1 27/10/2015 38 0 -3,000


Transat A.T. inc. 1 28/10/2015 38 7.65 42,262 42,262


Transat A.T. inc. 1 28/10/2015 38 0 -42,262


Transat A.T. inc. 1 29/10/2015 38 7.74 7,000 7,000


Transat A.T. inc. 1 29/10/2015 38 0 -7,000


Transat A.T. inc. 1 30/10/2015 38 7.74 3,200 3,200


Transat A.T. inc. 1 30/10/2015 38 0 -3,200

Transcontinental Inc. Participation Units d'actions différées (UAD-administrateurs) / (DSU-directors)

Bouchard, Lucien 4 01/11/2015 56 20.22 64,579 1,175


Dubois, Claude 4 01/11/2015 56 20.22 61,689 1,026

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9615


T/O Unit Price


Acquired/ Disposed


Fitzgibbon, Pierre 4 01/11/2015 56 20.22 16,813 513


Fortin, Richard 4 01/11/2015 56 20.22 68,697 1,867


Marcoux, Nathalie 4, 6 01/11/2015 56 20.22 23,095 804


Martini, Anna 4 01/11/2015 56 20.22 27,031 1,026


Plourde, Mario 4 01/11/2015 56 20.22 2,633 1,009


Saputo, Lino Anthony 4 01/11/2015 56 20.22 45,847 1,026


Tremblay, André 4 01/11/2015 56 20.22 37,355 686

TransGlobe Energy Corporation

DSU Chase, Geoffrey Charles 4 15/05/2015 56 4.99 12,400


DSU Chase, Geoffrey Charles 4 15/05/2015 56 4.99 32,656 19,514


DSU Chase, Geoffrey Charles 4 30/06/2015 56 321


DSU Chase, Geoffrey Charles 4 30/06/2015 56 33,067 411


DSU Chase, Geoffrey Charles 4 30/09/2015 56 496


DSU Chase, Geoffrey Charles 4 30/09/2015 56 33,701 634


DSU Dyment, Fred J. 4 15/05/2015 56 4.99 19,514


DSU Dyment, Fred J. 4 15/05/2015 56 4.99 33,319 12,400


DSU Dyment, Fred J. 4 30/06/2015 56 508


DSU Dyment, Fred J. 4 30/06/2015 56 33,738 419


DSU Dyment, Fred J. 4 30/09/2015 56 785


DSU Dyment, Fred J. 4 30/09/2015 56 34,385 647

Traverse Energy Ltd. Common Shares Kolibar, Daniel George 4, 5 29/10/2015 16 0.6 275,000 35,000 Tree Island Steel Ltd. Common Shares Tree Island Steel Ltd.

(formerly known as Tree Island Wire Income Fund)

1 08/10/2015 38 2.9 200 200

Tree Island Steel Ltd. Common Shares Tree Island Steel Ltd. (formerly known as Tree Island Wire Income Fund)

1 30/10/2015 38 2.9 8,500 8,300

Tree Island Steel Ltd. Common Shares Tree Island Steel Ltd. (formerly known as Tree Island Wire Income Fund)

1 04/11/2015 38 0 -8,500

Trevali Mining Corporation Common Shares Hoffman, Michael 4 02/11/2015 10 0.65 465,812 153,846 Tribute Pharmaceuticals Canada Inc. (formerly Stellar Pharmaceuticals Inc.)

Common Shares The K2 Principal Fund L.P. 3 02/11/2015 10 1.1616 11,316,525 -9,400

Tribute Pharmaceuticals Canada Inc. (formerly Stellar Pharmaceuticals Inc.)

Common Shares The K2 Principal Fund L.P. 3 03/11/2015 10 1.1002 11,344,725 28,200

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9616


T/O Unit Price


Acquired/ Disposed






Common Shares The K2 Principal Fund L.P. 3 06/11/2015 10 1.2 11,349,125 -5,000

Tricon Capital Group Inc. Phantom Units Berman, David 3, 4, 6, 5 14/02/2014 56 12,802 Tricon Capital Group Inc. Phantom Units Berman, David 3, 4, 6, 5 14/02/2014 99 -12,802 Tricon Capital Group Inc. Phantom Units Berman, David 3, 4, 6, 5 14/02/2014 99 136,715 -23,889 Tricon Capital Group Inc. Phantom Units Berman, Gary 4, 5 14/02/2014 56 12,299 Tricon Capital Group Inc. Phantom Units Berman, Gary 4, 5 14/02/2014 99 12,299 12,299 Tricon Capital Group Inc. Common Shares Tricon Capital Group Inc. 1 28/10/2015 38 10.731 350,800 18,600 Tricon Capital Group Inc. Common Shares Tricon Capital Group Inc. 1 29/10/2015 38 10.712 380,300 29,500 Tricon Capital Group Inc. Common Shares Tricon Capital Group Inc. 1 30/10/2015 38 48,100 -332,200 Tricon Capital Group Inc. Common Shares Tricon Capital Group Inc. 1 30/10/2015 38 10.732 77,400 29,300 Tricon Capital Group Inc. Common Shares Tricon Capital Group Inc. 1 02/11/2015 38 10.747 87,600 10,200 Tricon Capital Group Inc. Common Shares Tricon Capital Group Inc. 1 03/11/2015 38 10.75 88,500 900 Tricon Capital Group Inc. Common Shares Tricon Capital Group Inc. 1 04/11/2015 38 10.743 95,300 6,800 TriMetals Mining Inc. Options with tandem

share appreciation right CANTON, ANTONIO 4 06/11/2015 52 675,000 -100,000

TriMetals Mining Inc. Options with tandem share appreciation right

Dreisinger, David Bruce 5 06/11/2015 52 175,000 -133,400


Haber, Paul 4 16/09/2015 52 200,000 -50,000


Woodside, Tina Mercedes 4 06/11/2015 52 175,000 -50,000

TriStar Gold Inc. Common Shares Jones, III, Mark E. 4 03/11/2015 10 0.18 7,996,384 8,000 True Leaf Medicine International Ltd.

Common Shares Bottomley, Kevin 4 05/11/2015 10 0.115 335,500 -10,000

Trueclaim Exploration Inc. Warrants Coulthard, Byron K 4, 5 02/11/2015 55 1,000,000 -100,000 TSO3 inc. Common Shares Rivard, Daniel 5 30/10/2015 30 1.83 2,714 500 TSO3 inc. Common Shares Simard-Veilleux, Éléna 5 30/10/2015 30 1.83 1,354 346 Tuscany Energy Ltd. Common Shares Lamond, Robert William 4, 6, 5 04/11/2015 10 0.095 979,074 14,000 U.S. Dividend Growers Income Corp.


U.S. Dividend Growers Income Corp.

1 30/10/2015 38 9.0075 504,000 10,100




1 02/11/2015 38 8.9933 504,900 900




1 03/11/2015 38 9.0186 509,200 4,300




1 04/11/2015 38 9.0057 509,900 700




1 05/11/2015 38 9.0057 512,000 2,100

U.S. Financials Income Fund Trust Units Class A (CAD $)

World Financial Split Corp. 8 04/11/2015 10 8.3967 3,000 -6,000

U3O8 Corp. Common Shares Barron, Keith Michael 4 03/11/2015 16 0.025 24,420,037 9,720,000 U3O8 Corp. Warrants Barron, Keith Michael 4 03/11/2015 16 0.035 10,220,001 9,720,000 U3O8 Corp. Common Shares DELAWARE STREET

CAPITAL MASTER FUND, L.P.

3 03/11/2015 00 20,875,000

U3O8 Corp. Common Shares DELAWARE STREET CAPITAL MASTER FUND, L.P.

3 03/11/2015 16 0.025 25,675,000 4,800,000

U3O8 Corp. Warrants DELAWARE STREET CAPITAL MASTER FUND, L.P.

3 03/11/2015 00 6,875,000

U3O8 Corp. Warrants DELAWARE STREET CAPITAL MASTER FUND, L.P.

3 03/11/2015 16 0.035 11,675,000 4,800,000

Uni-Sélect Inc. Common Shares Hotte, Annie 5 12/12/2012 00 Uni-Sélect Inc. Common Shares Hotte, Annie 5 02/11/2015 10 65.92 50 50 Uni-Sélect Inc. Common Shares Hotte, Annie 5 02/11/2015 10 65.91 150 100

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9617


T/O Unit Price


Acquired/ Disposed

Uranium Energy Corp. Common Shares Obara, Pat 5 29/10/2015 00 27,954 Uranium Energy Corp. Common Shares Obara, Pat 5 30/10/2015 46 1.12 35,269 7,315 Uranium Energy Corp. Options Obara, Pat 5 29/10/2015 00 705,000 Urbana Corporation Non-Voting Shares Class

A Urbana Corporation 1 01/10/2015 38 1.97 4,000 4,000

Urbana Corporation Non-Voting Shares Class A

Urbana Corporation 1 01/10/2015 38 0 -4,000


Urbana Corporation 1 21/10/2015 38 2.04 4,500 4,500








Urbana Corporation 1 22/10/2015 38 -4,500









US Buyback Leaders Fund Units US Buyback Leaders Fund 1 05/11/2015 38 1,400 1,400 US Buyback Leaders Fund Units US Buyback Leaders Fund 1 05/11/2015 38 0 -1,400 Valeant Pharmaceuticals International, Inc.

Common Shares Morfit, Garrison Mason 4 25/10/2015 00 13,934,468

Valeant Pharmaceuticals International, Inc.

Common Shares Morfit, Garrison Mason 4 25/10/2015 00 1,059,793

ValGold Resources Ltd. Common Shares Oban Mining Corporation 3 05/11/2015 00 ValGold Resources Ltd. Common Shares Oban Mining Corporation 3 05/11/2015 16 0.01 7,000,000 7,000,000 ValGold Resources Ltd. Common Shares Patricio, Richard J 6 05/11/2015 11 0.01 0 -7,000,000 ValGold Resources Ltd. Common Shares Pinetree Capital Ltd. 3 05/11/2015 11 0.01 0 -7,000,000 Velan Inc. Subordinate Voting

Shares Velan Inc. 1 19/10/2015 38 16.17 100 100

Velan Inc. Subordinate Voting Shares

Velan Inc. 1 20/10/2015 38 16.15 1,100 1,000


Velan Inc. 1 23/10/2015 38 16.19 2,100 1,000


Velan Inc. 1 26/10/2015 38 15.99 2,800 700


Velan Inc. 1 26/10/2015 38 16 3,100 300


Velan Inc. 1 27/10/2015 38 16 4,100 1,000


Velan Inc. 1 28/10/2015 38 15.9 5,100 1,000


Velan Inc. 1 29/10/2015 38 15.9 1,000


Velan Inc. 1 29/10/2015 38 15.89 6,100 1,000


Velan Inc. 1 30/10/2015 38 15.83 7,100 1,000

Ventripoint Diagnostics Ltd. (formerly Luca Capital Inc.)

Common Shares Skidmore, Melanie Laine 3 24/04/2014 10 0.06 24,000

Ventripoint Diagnostics Ltd. (formerly Luca Capital Inc.)

Common Shares Skidmore, Melanie Laine 3 24/04/2015 10 0.06 6,970,700 24,000

Victoria Gold Corp. (formerly Victoria Resource Corporation)

Common Shares Sun Valley Gold LLC 3 30/10/2015 10 0.14 8,735,500 43,500

Victoria Gold Corp. (formerly Victoria Resource Corporation)

Common Shares Sun Valley Gold LLC 3 05/11/2015 10 0.135 8,890,000 154,500

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9618


T/O Unit Price


Acquired/ Disposed

VidWRX Inc. (previously SoMedia Networks Inc.)

Common Shares Fleming, George 4 30/10/2015 10 0.085 1,297,261 50,000

ViXS Systems Inc. Common Shares Chappell, Perry Daniel 5 29/10/2015 10 0.5457 134,000 74,000 Vodis Pharmaceuticals Inc. Common Shares Good, Derek 3 02/10/2015 10 0.16 14,283,500 10,000 Vodis Pharmaceuticals Inc. Common Shares Good, Derek 3 02/10/2015 10 0.165 14,293,500 10,000 Wesdome Gold Mines Ltd. Options PAGE, CHARLES ELIJAH 4 06/07/2015 00 50,000 Wesdome Gold Mines Ltd. Options PAGE, CHARLES ELIJAH 4 05/11/2015 50 1.09 200,000 Wesdome Gold Mines Ltd. Options PAGE, CHARLES ELIJAH 4 05/11/2015 50 1.09 200,000 West Fraser Timber Co. Ltd. Common Shares Ketcham, John Kendall 4 05/11/2015 10 35.45 991,100 14,000 Western Energy Services Corp.

Common Shares Western Energy Services Corp.

1 02/11/2015 38 3.8738 13,000 13,000

WestJet Airlines Ltd. Common Shares - Voting Cummings, Robert 5 04/11/2015 10 23.74 22,294 -1,800 WestJet Airlines Ltd. Common Shares - Voting Cummings, Robert 5 04/11/2015 51 14.73 23,243 949 WestJet Airlines Ltd. Common Shares - Voting Cummings, Robert 5 04/11/2015 10 23.74 22,294 -949 WestJet Airlines Ltd. Options 2012 Stock

Options Cummings, Robert 5 04/11/2015 51 14.73 1,660 -2,500

Westshore Terminals Investment Corporation

Common Shares Korenberg, Michael 4 30/10/2015 00


Common Shares Korenberg, Michael 4 30/10/2015 10 21.783 10,000 10,000


Common Shares Pattison, James A. 3 02/11/2015 10 22.202 4,415,100 109,400









Whistler Blackcomb Holdings Inc.

Common Shares Black, Jeremy Michael Thomas

5 30/10/2015 36 21,699 5,000



Black, Jeremy Michael Thomas

5 30/10/2015 36 7,500 -5,000


Common Shares Brownlie, David Barrie 4, 5 30/10/2015 36 63,243 12,500



Brownlie, David Barrie 4, 5 30/10/2015 36 22,231 -12,500


Common Shares Rempel, Stuart Nicolas 5 30/10/2015 36 19,141 4,000



Rempel, Stuart Nicolas 5 30/10/2015 36 6,000 -4,000

Wi-LAN Inc. Common Shares Anderson, Roxanne Leigh 4 05/11/2015 10 1.67 10,900 7,900 Wi-LAN Inc. Common Shares Anderson, Roxanne Leigh 4 05/11/2015 10 1.68 15,700 4,800 Wi-LAN Inc. Common Shares Anderson, Roxanne Leigh 4 05/11/2015 10 1.69 18,000 2,300 Wi-LAN Inc. Common Shares Shorkey, Richard John 4 05/11/2015 10 1.58 22,601 12,000 Wildflower Marjijuana Inc. Common Shares Pearce, Stephen 4, 5 30/10/2015 16 0.1 1,998,500 750,000 Wildflower Marjijuana Inc. Common Shares Pearce, Stephen 4, 5 05/08/2014 00 Wildflower Marjijuana Inc. Common Shares Pearce, Stephen 4, 5 30/10/2015 16 0.1 200,000 200,000 Wildflower Marjijuana Inc. Warrants Pearce, Stephen 4, 5 30/10/2015 16 0.15 950,000 750,000 Wildflower Marjijuana Inc. Warrants Pearce, Stephen 4, 5 05/08/2014 00 Wildflower Marjijuana Inc. Warrants Pearce, Stephen 4, 5 30/10/2015 16 0.15 200,000 200,000 Xenon Pharmaceuticals Inc. Common Shares Patou, Gary 4 04/11/2015 51 6.07 4,086 1,542 Xenon Pharmaceuticals Inc. Options Patou, Gary 4 04/11/2015 51 6.07 51,845 -3,497 Xenon Pharmaceuticals Inc. Options Tarnow, Michael M. 4 02/11/2015 47 6.07 100,092 -5,041 Xtra-Gold Resources Corp. Common Shares Xtra-Gold Resources Corp. 1 04/11/2015 38 0.21 2,500 2,500 Xtra-Gold Resources Corp. Common Shares Xtra-Gold Resources Corp. 1 04/11/2015 38 0 -2,500 Yamana Gold Inc. Deferred Share Unit Begeman, John A. 4 05/11/2015 56 81,844 10,620 Yamana Gold Inc. Deferred Share Unit BERGEVIN, Christiane 4 05/11/2015 56 72,231 21,241 Yamana Gold Inc. Deferred Share Unit Davidson, Alexander John 4 05/11/2015 56 111,453 10,620 Yamana Gold Inc. Deferred Share Unit Graff, Richard P 4 05/11/2015 56 81,844 10,620 Yamana Gold Inc. Deferred Share Unit Lees, Charles Nigel 4 05/11/2015 56 81,844 10,620

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9619


T/O Unit Price


Acquired/ Disposed

Yamana Gold Inc. Deferred Share Unit Mars, Patrick James 4 05/11/2015 56 81,844 10,620 Yamana Gold Inc. Deferred Share Unit Renzoni, Carl 4 05/11/2015 56 90,346 10,620 Yamana Gold Inc. Deferred Share Unit Sadowsky, Jane 4 05/11/2015 56 72,231 21,241 Yamana Gold Inc. Deferred Share Unit Titaro, Dino 4 05/11/2015 56 81,844 10,620 Yieldplus Income Fund Trust Units YIELDPLUS Income Fund 1 30/10/2015 38 6.0556 88,878,824 5,000 Yieldplus Income Fund Trust Units YIELDPLUS Income Fund 1 02/11/2015 10 6.04 88,868,824 -10,000 Yieldplus Income Fund Trust Units YIELDPLUS Income Fund 1 05/11/2015 10 6.02 88,863,824 -5,000 Yorbeau Resources Inc. Options Gupta, Amit 4, 6 17/12/2014 00 Yorbeau Resources Inc. Options Gupta, Amit 4, 6 05/11/2015 50 0.18 300,000 300,000 Zenith Epigenetics Corp. Units Restricted Share

Units Johann, Peter 4 30/10/2015 46 124,688 28,784

Zenith Epigenetics Corp. Units Restricted Share Units

MCCAFFREY, DONALD J. 4 30/10/2015 46 274,146 41,530


McNeill, Kelly Bret 4 30/10/2015 46 151,311 41,868


Smith, Eldon 4 30/10/2015 46 148,230 41,868


Zuerblis, Kenneth 4 30/10/2015 46 139,539 38,998

Insider Reporting

November 12, 2015

(2015), 38 OSCB 9620


November 12, 2015

(2015), 38 OSCB 9621

Chapter 8

Notice of Exempt Financings REPORT OF TRADES ON FORM 45-106F1 AND 45-501F1 There are no Reports of Exempt Distribution on Forms 45-106F1 or 45-501F1 in this Bulletin. The Notice of Exempt Financings in Chapter 8 of the Bulletin will be discontinued on November 19, 2015. As of October 2015, summaries of reported exempt distribution information will be posted on a regular basis on the OSC website at: http://www.osc.gov.on.ca/en/exempt-distributions-summary.htm. The summaries are based on information contained in Form 45-106F1 filed with the OSC where Ontario purchasers have been identified. This is similar to the information that was previously reported in Chapter 8 of the Bulletin.

Notice of Exempt Financings

November 12, 2015

(2015), 38 OSCB 9622


November 12, 2015

(2015), 38 OSCB 9623

Chapter 11

IPOs, New Issues and Secondary Financings Issuer Name: 3TL Technologies Corp. Principal Regulator - British Columbia Type and Date: Preliminary Short Form Prospectus dated November 5, 2015 NP 11-202 Receipt dated November 5, 2015 Offering Price and Description: $2,000,000.00 - * Units Price: $ * per Unit Underwriter(s) or Distributor(s): Global Securities Corporation Promoter(s): Robert Craig Carlos Yong Project #2412562 _______________________________________________ Issuer Name: Atrium Mortgage Investment Corporation Principal Regulator - Ontario Type and Date: Preliminary Short Form Prospectus dated November 4, 2015 NP 11-202 Receipt dated November 4, 2015 Offering Price and Description: $25,002,900.00 - 2,137,000 Common Shares Price: $11.70 per Common Share Underwriter(s) or Distributor(s): TD Securities Inc. RBC Dominion Securities Inc. CIBC World Markets Inc. Scotia Capital Inc. BMO Nesbitt Burns Inc. National Bank Financial Inc. Canaccord Genuity Corp. GMP Securities L.P. Raymond James Ltd. Industrial Alliance Securities Inc. Dundee Securities Ltd. Promoter(s): - Project #2409727 _______________________________________________

Issuer Name: CO2 Solutions Inc. Principal Regulator - Quebec Type and Date: Preliminary Base Shelf Prospectus dated November 6, 2015 NP 11-202 Receipt dated November 6, 2015 Offering Price and Description: $20,000,000.00 Common Shares Subscription Receipts Debt Securities Warrants Units Underwriter(s) or Distributor(s): - Promoter(s): - Project #2412826 _______________________________________________ Issuer Name: Horizons China High Dividend Yield Index ETF Principal Regulator - Ontario Type and Date: Preliminary Long Form Prospectus dated November 2, 2015 NP 11-202 Receipt dated November 4, 2015 Offering Price and Description: Class A Units Underwriter(s) or Distributor(s): - Promoter(s): HORIZONS ETFs MANAGEMENT (CANADA) INC. Project #2411140 _______________________________________________

IPOs, New Issues and Secondary Financings

November 12, 2015

(2015), 38 OSCB 9624

Issuer Name: Kew Media Group Inc. Principal Regulator - Ontario Type and Date: Preliminary Long Form Prospectus dated November 5, 2015 NP 11-202 Receipt dated November 6, 2015 Offering Price and Description: $70,000,000.00 - 7,000,000 Class A Restricted Voting Units Price: $10.00 per Class A Restricted Voting Unit Underwriter(s) or Distributor(s): TD Securities Inc. Cantor Fitzgerald Canada Corporation National Bank Financial Inc. Promoter(s): KMG ENTERTAINMENT LP Project #2412860 _______________________________________________ Issuer Name: Canadian Scholarship Trust Family Savings Plan Canadian Scholarship Trust Group Savings Plan 2001 Canadian Scholarship Trust Individual Savings Plan Principal Regulator - Ontario Type and Date: Amendment #1 dated October 21, 2015 to Long Form Prospectus dated May 25, 2015 NP 11-202 Receipt dated November 3, 2015 Offering Price and Description: - Underwriter(s) or Distributor(s): - Promoter(s): - Project #232053;2320534;2320531 _______________________________________________ Issuer Name: Connected Wealth Tactical Class* Connected Wealth Core Income Class* (Series A and F securities) *Each a class of shares of Connected Wealth Funds Inc. Type and Date: Final Simplified Prospectuses dated November 4, 2015 NP 11-202 Receipt dated November 6, 2015 Offering Price and Description: Series A and F units Underwriter(s) or Distributor(s): - Promoter(s): RICHARDSON GMP LIMITED Project #2335447 _______________________________________________

Issuer Name: TD Private Canadian Bond Income Fund TD Private Canadian Bond Return Fund TD Private Canadian Equity Plus Fund TD Private U.S. Mid-Cap Equity Fund TD Private International Equity Fund TD Private Target Return Fund TD Private Target Return Plus Fund Principal Regulator - Ontario Type and Date: Amendment #1 dated October 29, 2015 to the Simplified Prospectuses and Annual Information Form dated July 23, 2015 NP 11-202 Receipt dated November 5, 2015 Offering Price and Description: - Underwriter(s) or Distributor(s): TD Waterhouse Canada Inc. TD Investment Services Inc. (for Investor Series units) TD Investment Services Inc. (for Investor Series and e-Series units) TD Investment Services Inc.(for Investor Series units) TD Investment Services Inc. (for Investor Series and e-Series Units) TD Waterhouse Canada Inc. TD Waterhouse Canada Inc. (W-Series and WT-Series only) TD Investment Services Inc. (for Investor Series) TD Investment Services Inc. (for Investor Series and Premium Series units) Promoter(s): TD Asset Management Inc. Project #2363093 _______________________________________________


November 12, 2015

(2015), 38 OSCB 9625

Issuer Name: Fidelity Canadian Disciplined Equity® Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1, Series P2 and Series P3 shares) Fidelity Canadian Growth Company Class (Series A, Series B, Series F, Series P1, Series P2, Series P3, Series P4 and Series P5 shares) Fidelity Canadian Large Cap Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1, Series P2, Series P3, Series P1T5 and Series P2T5 shares) Fidelity Canadian Opportunities Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1, Series P2 and Series P3 shares) Fidelity Dividend Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1, Series P2, Series P3, Series P4 and Series P1T5 shares) Fidelity Greater Canada Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1 and Series P2 shares) Fidelity Special Situations Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1, Series P2, Series P3, Series P4 and Series P1T5 shares) Fidelity True North® Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1, Series P2, Series P3 and Series P4 shares) Fidelity Dividend Plus Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1, Series P2, Series P3, Series P4 and Series P1T5 shares) Fidelity American Disciplined Equity® Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1, Series P2, Series P3, Series P4 and Series P5 shares) Fidelity American Disciplined Equity® Currency Neutral Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1 and Series P2 shares) Fidelity American Opportunities Class (Series A, Series B and Series F shares) Fidelity U.S. Focused Stock Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series P1, Series P2, Series P3 and Series P4 shares) Fidelity U.S. Focused Stock Currency Neutral Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8 and Series P1 shares) Fidelity Small Cap America Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1, Series P2, Series P3, Series P4, Series P5, Series P1T5 and Series P2T5 shares)

Fidelity Small Cap America Currency Neutral Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1, Series P2, Series P3 and Series P4 shares) Fidelity U.S. All Cap Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1, Series P2, Series P3, Series P4, Series P5 and Series P1T5 shares) Fidelity U.S. All Cap Currency Neutral Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8 and Series P1 shares) Fidelity American Equity Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1, Series P2, Series P3, Series P4, Series P5 and Series P1T5 shares) Fidelity American Equity Currency Neutral Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1 and Series P2 shares) Fidelity Event Driven Opportunities Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1, Series P2 and Series P3 shares) Fidelity AsiaStar® Class (Series A, Series B, Series F, Series P1 and Series P2 shares) Fidelity China Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1, Series P2 and Series P3 shares) Fidelity Emerging Markets Class (Series A, Series B, Series F, Series P1, Series P2 and Series P3 shares) Fidelity Europe Class (Series A, Series B, Series F, Series P1, Series P2 and Series P3 shares) Fidelity Far East Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1, Series P2, Series P3 and Series P4 shares) Fidelity Global Class (Series A, Series B, Series F, Series T5, Series T8, Series S5,Series S8 and Series P1 shares) Fidelity Global Disciplined Equity® Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series P1, Series P2 and Series P3 shares) Fidelity Global Disciplined Equity® Currency Neutral Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series P1 and Series P2 shares) Fidelity Global Dividend Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1, Series P2, Series P3, Series P4 and Series P1T5 shares) Fidelity Global Large Cap Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series P1, Series P2, Series P3 and Series P4 shares)


November 12, 2015

(2015), 38 OSCB 9626

Fidelity Global Large Cap Currency Neutral Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8 and Series P1 shares) Fidelity Global Small Cap Class (Series A, Series B, Series F, Series P1, Series P2 and Series P3 shares) Fidelity International Disciplined Equity® Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series P1 and Series P2 shares) Fidelity International Disciplined Equity® Currency Neutral Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8 and Series P1 shares) Fidelity Japan Class (Series A, Series B, Series F and Series P1 shares) Fidelity NorthStar® Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1, Series P2, Series P3, Series P4, Series P5, Series P1T5 and Series P2T5 shares) Fidelity NorthStar® Currency Neutral Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1, Series P2, Series P3 and Series P4 shares) Fidelity Global Concentrated Equity Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1, Series P2, Series P3, Series P4, Series P5 and Series P1T5 shares) Fidelity International Growth Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8 and Series P1 shares) Fidelity Global Consumer Industries Class (Series A, Series B, Series F, Series P1 and Series P2 shares) Fidelity Global Financial Services Class (Series A, Series B, Series F, Series P1 and Series P2 shares) Fidelity Global Health Care Class (Series A, Series B, Series F, Series P1 and Series P2 shares) Fidelity Global Natural Resources Class (Series A, Series B, Series F, Series P1 and Series P2 shares) Fidelity Global Real Estate Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1 and Series P2 shares) Fidelity Global Technology Class (Series A, Series B, Series F, Series P1 and Series P2 shares) Fidelity Global Telecommunications Class (Series A, Series B, Series F and Series P1 shares) Fidelity Canadian Asset Allocation Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1, Series P2, Series P3, Series P4 and Series P1T5 shares) Fidelity Canadian Balanced Class (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1, Series P2, Series P3, Series P4, Series P1T5 and Series P2T5 shares) Fidelity Monthly Income Class (Series A, Series B, Series F, Series T5, Series T8, Series S5,

Series S8, Series F5, Series F8, Series P1, Series P2, Series P3, Series P4, Series P5, Series P1T5 and Series P2T5 shares) Fidelity Income Class Portfolio (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1, Series P2, Series P3 and Series P1T5 shares) Fidelity Global Income Class Portfolio (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1, Series P2, Series P3, Series P4 and Series P1T5 shares) Fidelity Balanced Class Portfolio (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1, Series P2, Series P3 and Series P1T5 shares) Fidelity Global Balanced Class Portfolio (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1, Series P2, Series P3 and Series P1T5 shares) Fidelity Growth Class Portfolio (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1 and Series P2 shares) Fidelity Global Growth Class Portfolio (Series A, Series B, Series F, Series T5, Series T8, Series S5, Series S8, Series F5, Series F8, Series P1, Series P2 and Series P1T5 shares) Fidelity Canadian Short Term Income Class (Series A, Series B, Series F, Series P1, Series P2, Series P3 and Series P4 shares) Fidelity Corporate Bond Class (Series A, Series B, Series F, Series T5, Series S5, Series F5, Series P1, Series P2 and Series P1T5 shares) Principal Regulator - Ontario Type and Date: Amended and Restated Simplified Prospectuses and Annual Information Form dated October 29, 2015 (the amended prospectus) amending and restating the Simplified Prospectuses and Annual Information Form dated March 27, 2015 NP 11-202 Receipt dated November 3, 2015 Offering Price and Description: - Underwriter(s) or Distributor(s): - Promoter(s): Fidelity Investments Canada ULC Project #2308295 _______________________________________________


November 12, 2015

(2015), 38 OSCB 9627

Issuer Name: Fidelity Global Intrinsic Value Class Principal Regulator - Ontario Type and Date: Amended and Restated Simplified Prospectus and Annual Information Form dated October 29, 2015 (the amended prospectus), amending and restating the Simplified Prospectus and Annual Information Form dated April 20, 2015 NP 11-202 Receipt dated November 3, 2015 Offering Price and Description: Series A, B, F, P1, P2, P3, P4, P5, T5, T8, S5, S8, F5 and F8 shares available @ Net Asset Value Underwriter(s) or Distributor(s): Fidelity Investments Canada ULC Promoter(s): FIDELITY INVESTMENTS CANADA ULC Project #2318045 _______________________________________________ Issuer Name: Series A, Series B and Series F Securities (unless otherwise indicated) of Fidelity Dividend Investment Trust (Series O units only) Fidelity North American Equity Investment Trust (Series O units only) Fidelity North American Equity Class* (Series P1, T5, T8, S5, S8, F5, P1T5 and F8 shares also available) Fidelity Global Intrinsic Value Currency Neutral Class* (Series P1, T5, T8, S5, S8, F5, P1T5 and F8 shares also available) (* Class of Fidelity Capital Structure Corp.) Principal Regulator - Ontario Type and Date: Amended and Restated Simplified Prospectuses and Annual Information Form dated October 29, 2015 (the amended prospectus), amending and restating the Simplified Prospectuses and Annual Information Form dated October 16, 2015 NP 11-202 Receipt dated November 3, 2015 Offering Price and Description: Series A, B, F, O, P1, T5, T8, S5, S8, F5, P1T5 and F8 Securities @ Net Asset Value Underwriter(s) or Distributor(s): Fidelity Investments Canada ULC Promoter(s): Fidelity Investments Canada ULC Project #2398086 _______________________________________________

Issuer Name: First Asset Canadian Convertible Bond ETF First Asset Provincial Bond Index ETF First Asset 1-5 Year Laddered Government Strip Bond Index ETF Principal Regulator - Ontario Type and Date: Amendment #2 dated October 28, 2015 to the Long Form Prospectus dated June 10, 2015 NP 11-202 Receipt dated November 4, 2015 Offering Price and Description: - Underwriter(s) or Distributor(s): - Promoter(s): - Project #2346243 _______________________________________________ Issuer Name: FIRST ASSET ACTIVE CANADIAN DIVIDEND ETF FIRST ASSET ACTIVE UTILITY & INFRASTRUCTURE ETF FIRST ASSET HAMILTON CAPITAL EUROPEAN BANK ETF FIRST ASSET U.S. & CANADA LIFECO INCOME ETF Principal Regulator - Ontario Type and Date: Amendment #1 dated October 28, 2015 to the Long Form Prospectus dated July 20, 2015 NP 11-202 Receipt dated November 4, 2015 Offering Price and Description: - Underwriter(s) or Distributor(s): - Promoter(s): FIRST ASSET INVESTMENT MANAGEMENT INC. Project #2365203 _______________________________________________ Issuer Name: First Asset Active Credit ETF Principal Regulator - Ontario Type and Date: Amendment #1 dated October 28, 2015 to the Long Form Prospectus dated January 12, 2015 NP 11-202 Receipt dated November 4, 2015 Offering Price and Description: Exchange traded securities at net asset value Underwriter(s) or Distributor(s): - Promoter(s): FIRST ASSET INVESTMENT MANAGEMENT INC Project #2281418 _______________________________________________


November 12, 2015

(2015), 38 OSCB 9628

Issuer Name: FIRST ASSET CAN-ENERGY COVERED CALL ETF FIRST ASSET CAN-MATERIALS COVERED CALL ETF FIRST ASSET TECH GIANTS COVERED CALL ETF FIRST ASSET ENERGY GIANTS COVERED CALL ETF Principal Regulator - Ontario Type and Date: Amendment #2 dated October 28, 2015 to the Long Form Prospectus dated June 22, 2015 NP 11-202 Receipt dated November 4, 2015 Offering Price and Description: Exchange traded fund securities at net asset value Underwriter(s) or Distributor(s): - Promoter(s): - Project #2349905 _______________________________________________ Issuer Name: FIRST ASSET GLOBAL DIVIDEND FUND (Class A (CAD Hedged), Class A1 (Unhedged), Class F (CAD Hedged) and Class F1 (Unhedged) units) FIRST ASSET CANADIAN CONVERTIBLE BOND FUND FIRST ASSET REIT INCOME FUND FIRST ASSET UTILITY PLUS FUND FIRST ASSET CANADIAN ENERGY CONVERTIBLE DEBENTURE FUND FIRST ASSET CANADIAN DIVIDEND OPPORTUNITY FUND (Class A units and Class F units) Principal Regulator - Ontario Type and Date: Amendment #1 dated October 28, 2015 to the Simplified Prospectuses and Annual Information Form dated April 27, 2015 NP 11-202 Receipt dated November 5, 2015 Offering Price and Description: Class A (CAD Hedged), Class A1 (Unhedged), Class F (CAD Hedged) and Class F1 (Unhedged) units Underwriter(s) or Distributor(s): - Promoter(s): First Asset Investment Management Inc. Project #2320488 _______________________________________________

Issuer Name: First Asset Canadian REIT ETF Principal Regulator - Ontario Type and Date: Amendment #1 dated October 28, 2015 to the Long Form Prospectus dated July 10, 2015 NP 11-202 Receipt dated November 4, 2015 Offering Price and Description: Exchange traded fund securities at net asset value Underwriter(s) or Distributor(s): - Promoter(s): First Asset Investment Management Inc. Project #2361172 _______________________________________________ Issuer Name: First Asset CanBanc Income ETF Principal Regulator - Ontario Type and Date: Amendment #1 dated October 28, 2015 to the Long Form Prospectus dated September 18, 2015 NP 11-202 Receipt dated November 4, 2015 Offering Price and Description: - Underwriter(s) or Distributor(s): - Promoter(s): First Asset Investment Management Inc. Project #2369467 _______________________________________________ Issuer Name: First Asset Core Balanced ETF First Asset Core Canadian Equity ETF First Asset Core U.S. Equity ETF Principal Regulator - Ontario Type and Date: Amendment #1 dated October 28, 2015 to the Long Form Prospectus dated January 12, 2015 NP 11-202 Receipt dated November 4, 2015 Offering Price and Description: Exchange traded fund securities at net asset value Underwriter(s) or Distributor(s): - Promoter(s): FIRST ASSET INVESTMENT MANAGEMENT INC. Project #2280707 _______________________________________________


November 12, 2015

(2015), 38 OSCB 9629

Issuer Name: First Asset Core Canadian Equity Income ETF Principal Regulator - Ontario Type and Date: Final Long Form Prospectus dated November 4, 2015 NP 11-202 Receipt dated November 5, 2015 Offering Price and Description: Exchange traded fund securities at net asset value Underwriter(s) or Distributor(s): - Promoter(s): First Asset Investment Management Inc. Project #2404110 _______________________________________________

Issuer Name: First Asset Morningstar Canada Dividend Target 30 Index ETF (Common Units and Advisor Class Units) First Asset Morningstar US Dividend Target 50 Index ETF (Common Units, Advisor Class Units, Unhedged Common Units and Unhedged Advisor Class Units) First Asset Morningstar Canada Momentum Index ETF (Common Units and Advisor Class Units) First Asset Morningstar US Momentum Index ETF (Common Units, Advisor Class Units, Unhedged Common Units and Unhedged Advisor Class Units) First Asset Morningstar Canada Value Index ETF (Common Units and Advisor Class Units) First Asset Morningstar US Value Index ETF (Common Units, Advisor Class Units, Unhedged Common Units and Unhedged Advisor Class Units) First Asset Morningstar National Bank Québec Index ETF (Common Units and Advisor Class Units) First Asset Morningstar International Momentum Index ETF (Common Units, Advisor Class Units, Unhedged Common Units and Unhedged Advisor Class Units) First Asset Morningstar International Value Index ETF (Common Units, Advisor Class Units, Unhedged Common Units and Unhedged Advisor Class Units) First Asset MSCI Canada Low Risk Weighted ETF (Common Units and Advisor Class Units) First Asset MSCI USA Low Risk Weighted ETF (Common Units, Advisor Class Units, Unhedged Common Units and Unhedged Advisor Class Units) First Asset MSCI Europe Low Risk Weighted ETF (Common Units, Advisor Class Units, Unhedged Common Units and Unhedged Advisor Class Units) First Asset MSCI World Low Risk Weighted ETF (Common Units, Advisor Class Units, Unhedged Common Units and Unhedged Advisor Class Units) Principal Regulator - Ontario Type and Date: Final Long Form Prospectus dated October 29, 2015 NP 11-202 Receipt dated November 3, 2015 Offering Price and Description: Common units, Advisor Class units, Unhedged Common units and Unhedged Advisor units Underwriter(s) or Distributor(s): - Promoter(s): - Project #2399140 _______________________________________________


November 12, 2015

(2015), 38 OSCB 9630

Issuer Name: First Asset Resource Fund Inc. Principal Regulator - Ontario Type and Date: Amendment #1 dated October 28, 2015 to the Simplified Prospectus and Annual Information Form dated June 24, 2015 NP 11-202 Receipt dated November 5, 2015 Offering Price and Description: Class A Shares, Series 1 Underwriter(s) or Distributor(s): TDK Management Fund Inc. Promoter(s): - Project #2349732 _______________________________________________ Issuer Name: HealthSpace Informatics Ltd. Principal Regulator - British Columbia Type and Date: Final Long Form Prospectus dated November 4, 2015 NP 11-202 Receipt dated November 5, 2015 Offering Price and Description: - Underwriter(s) or Distributor(s): - Promoter(s): Conrad Krebs Christopher Morris Joseph Willmott Ali Hakimzadeh Project #2390878 _______________________________________________

Issuer Name: Trimark Advantage Bond Fund (Series A, Series F, Series I and Series PTF) Trimark Canadian Endeavour Fund (Series A, Series D, Series F, Series I, Series P, Series PF and Series PTF) Trimark Canadian Opportunity Class (Series A, Series D, Series F, Series I, Series P, Series PF and Series PTF)* Trimark Emerging Markets Class (Series A, Series D, Series F, Series I, Series P, Series PF, Series PTF and Series PTFU)* Trimark Fund (Series A, Series D, Series F, Series H, Series I, Series O, Series P, Series PF, Series PTF, Series PTFU, Series SC, Series T4, Series T6 and Series T8) Trimark Global Dividend Class (Series A, Series D, Series F, Series F4, Series F6, Series P, Series PF, Series PF4, Series PF6, Series PT4, Series PT6, Series PTF, Series T4, Series T6 and Series T8)* Trimark Global Fundamental Equity Fund (Series A, Series D, Series F, Series H, Series I, Series T4, Series T6 and Series T8) Trimark Global Fundamental Equity Class (Series A, Series F, Series FH, Series H, Series I, Series P, Series PF, Series PH, Series PTF, Series T4, Series T6 and Series T8)* Trimark International Companies Fund (Series A, Series F and Series I) Trimark International Companies Class (Series A, Series F, Series P, Series PF and Series PTF)* Invesco Canadian Premier Growth Class (Series A, Series F, Series I, Series P, Series PF, Series PTF, Series T4, Series T6 and Series T8)* Invesco Global Growth Class (Series A, Series D, Series F, Series I, Series P, Series PF, Series PTF and Series PTFU)* PowerShares Diversified Yield Fund (Series A, Series D, Series F, Series T6 and Series T8) Invesco Intactive Diversified Income Portfolio Class (Series A, Series F, Series F4, Series F6, Series P, Series PF, Series PF4, Series PF6, Series PT4, Series PT6, Series T4 and Series T6)* Invesco Intactive Balanced Income Portfolio Class (Series A, Series F, Series F4, Series F6, Series P, Series PF, Series PF4, Series PF6, Series PT4, Series PT6, Series T4 and Series T6)* *Part of Invesco Corporate Class Inc. Principal Regulator - Ontario Type and Date: Amendment #1 dated October 30, 2015 to the Simplified Prospectuses and Annual Information Form dated July 31, 2015 NP 11-202 Receipt dated November 9, 2015 Offering Price and Description: Series A, Series D, Series F, Series F4, Series F6, Series P, Series PF, Series PF4, Series PF6, Series PT4, Series PT6, Series PTF, Series T4, Series T6 and Series T8 Underwriter(s) or Distributor(s): - Promoter(s):


November 12, 2015

(2015), 38 OSCB 9631

Invesco Canada Ltd. Project #2360859 _______________________________________________ Issuer Name: NAV CANADA Principal Regulator - Ontario Type and Date: Final Base Shelf Prospectus dated November 6, 2015 NP 11-202 Receipt dated November 6, 2015 Offering Price and Description: $500,000,000.00 - General Obligation Notes Underwriter(s) or Distributor(s): RBC Dominion Securities Inc. TD Securities Inc. BMO Nesbitt Burns Inc. CIBC World Markets Inc. National Bank Financial Inc. Laurentian Bank Securities Inc. Promoter(s): - Project #2408172 _______________________________________________

Issuer Name: Vanguard FTSE Developed Europe All Cap Index ETF (formerly, Vanguard FTSE Developed Europe Index ETF) Principal Regulator - Ontario Type and Date: Amendment #3 dated November 2, 2015 to the Long Form Prospectus dated June 25, 2015 NP 11-202 Receipt dated November 6, 2015 Offering Price and Description: - Underwriter(s) or Distributor(s): - Promoter(s): VANGUARD INVESTMENTS CANADA INC. Project #2347862 _______________________________________________ Issuer Name: Legacy Education Savings Plan Principal Jurisdiction - Ontario Type and Date: Preliminary Long Form Prospectus dated August 27, 2015 Withdrawn on November 4, 2015 Offering Price and Description: Units Underwriter(s) or Distributor(s): Global RESP Corporation Promoter(s): Global Educational Trust Foundation Project #2411132 _______________________________________________


November 12, 2015

(2015), 38 OSCB 9632


November 12, 2015

(2015), 38 OSCB 9633

Chapter 12

Registrations 12.1.1 Registrants

Type Company Category of Registration Effective Date

Consent to Suspension (Pending Surrender)

CGS Asset Management Ltd.

Restricted Portfolio Manager, Exempt Market Dealer

November 5, 2015

Registrations

November 12, 2015

(2015), 38 OSCB 9634


November 12, 2015 (2015), 38 OSCB 9635

Index

Adams, Herbert Notice from the Office of the Secretary ..................... 9488 Order – Rule 9 of the OSC Rules of Procedure ........ 9513 Agueci, Eda Marie Notice of Hearing – s. 144......................................... 9484 Notice from the Office of the Secretary ..................... 9491 Angel Immigration Inc. Notice from the Office of the Secretary ..................... 9489 Temporary Order – ss. 127(1), 127(8) ...................... 9514 Order – ss. 127, 127.1 .............................................. 9515 Avion Gold Corporation Order ......................................................................... 9512 Azabache Energy Inc. Cease Trading Order ................................................ 9537 Bishop, Steve Notice from the Office of the Secretary ..................... 9488 Order – Rule 9 of the OSC Rules of Procedure ........ 9513 Blackburn, Derek Notice from the Office of the Secretary ..................... 9492 Order – s. 127 ........................................................... 9520 Blue Gold Holdings Ltd. Notice from the Office of the Secretary ..................... 9492 Order – s. 127 ........................................................... 9520 Boulevard Industrial Real Estate Investment Trust Decision – s. 1(10)(a)(ii) ............................................ 9511 Boyuan Construction Group, Inc. Cease Trading Order ................................................ 9537 Canadian Advantaged Convertibles Fund Decision .................................................................... 9497 CBK Enterprises Inc. Notice from the Office of the Secretary ..................... 9488 Order – Rule 9 of the OSC Rules of Procedure ........ 9513 Cenith Air Inc. Notice from the Office of the Secretary ..................... 9489 Temporary Order – ss. 127(1), 127(8) ...................... 9514 Order – ss. 127, 127.1 .............................................. 9515 Cenith Energy Corporation Notice from the Office of the Secretary ..................... 9489 Temporary Order – ss. 127(1), 127(8) ...................... 9514 Order – ss. 127, 127.1 .............................................. 9515 CGS Asset Management Ltd. Consent to Suspension (Pending Surrender)............ 9633

Cornerstone Asset Management L.P. Reasons: Director's Decision – s. 31 ........................ 9535 EmberClear Corp. Cease Trading Order ................................................ 9537 Enerdynamic Hybrid Technologies Corp. Cease Trading Order ................................................ 9537 Exempt Market Review – Backgrounder Notice ....................................................................... 9481 Fiorillo, Henry Notice of Hearing – s. 144 ........................................ 9484 Notice from the Office of the Secretary ..................... 9491 Fiorini, Giuseppe (Joseph) Notice of Hearing – s. 144 ........................................ 9484 Notice from the Office of the Secretary ..................... 9491 First Asset Investment Management Inc. Decision .................................................................... 9497 Decision .................................................................... 9508 Future Solar Developments Inc. Notice from the Office of the Secretary ..................... 9489 Temporary Order – ss. 127(1), 127(8) ...................... 9514 Order – ss. 127, 127.1 .............................................. 9515 Gornitzki, Jacob Notice of Hearing – s. 144 ........................................ 9484 Notice from the Office of the Secretary ..................... 9491 Greening, Nigel Notice from the Office of the Secretary ..................... 9492 Order – s. 127........................................................... 9520 Hewlett-Packard Company Decision .................................................................... 9501 Hydro One Inc. Decision .................................................................... 9505 Hydro One Limited Decision .................................................................... 9505 Iacono, Santo Notice of Hearing – s. 144 ........................................ 9484 Notice from the Office of the Secretary ..................... 9491 Kotton, Lance Notice of Hearing – ss. 127(7), 127(8) ...................... 9483 Notice from the Office of the Secretary ..................... 9490 Temporary Order – ss. 127(1), 127(5) ..................... 9518

Index

November 12, 2015 (2015), 38 OSCB 9636

Kricfalusi, Mary Notice from the Office of the Secretary ..................... 9488 Order – Rule 9 of the OSC Rules of Procedure ........ 9513 Kurichh, Raj Notice from the Office of the Secretary ..................... 9492 Order – s. 127 ........................................................... 9520 La Jolla Capital Inc. Cease Trading Order ................................................ 9537 Loman, Kevin Notice from the Office of the Secretary ..................... 9488 Order – Rule 9 of the OSC Rules of Procedure ........ 9513 Majestic Supply Co. Inc. Notice from the Office of the Secretary ..................... 9488 Order – Rule 9 of the OSC Rules of Procedure ........ 9513 Medipure Holdings Inc. Cease Trading Order ................................................ 9537 North American Advantaged Convertible Fund Decision .................................................................... 9497 Pollen Services Limited Notice of Hearing – s. 144......................................... 9484 Notice from the Office of the Secretary ..................... 9491 Qin, Sam Notice from the Office of the Secretary ..................... 9489 Temporary Order – ss. 127(1), 127(8) ...................... 9514 Order – ss. 127, 127.1 .............................................. 9515 Qin, Xundong Notice from the Office of the Secretary ..................... 9489 Temporary Order – ss. 127(1), 127(8) ...................... 9514 Order – ss. 127, 127.1 .............................................. 9515 Quadrus Investment Services Ltd. Notice from the Office of the Secretary ..................... 9490 Order with Related Settlement Agreement – ss. 127(1), 127(2), 127.1 ....................................... 9522 Quadrus Investment Services Ltd. Notice of Hearing with Related Statement of Allegations – ss. 127(1), 127(2), 127.1 ..................... 9485 Notice from the Office of the Secretary ..................... 9488 Raponi, Josephine Notice of Hearing – s. 144......................................... 9484 Notice from the Office of the Secretary ..................... 9491 Serpa, John Notice of Hearing – s. 144......................................... 9484 Notice from the Office of the Secretary ..................... 9491 SilverCrest Mines Inc. Decision – s. 1(10)(a)(ii) ............................................ 9496 Steadyhand Investment Funds Inc. Decision .................................................................... 9493

Steadyhand Investment Management Ltd. Decision .................................................................... 9493 Stephany, Kimberley Notice of Hearing – s. 144 ........................................ 9484 Notice from the Office of the Secretary ..................... 9491 Suncastle Developments Corporation Notice from the Office of the Secretary ..................... 9488 Order – Rule 9 of the OSC Rules of Procedure ........ 9513 Telfer, Ian Notice of Hearing – s. 144 ........................................ 9484 Notice from the Office of the Secretary ..................... 9491 TeraExchange, LLC Revocation of Interim Order – s. 144 ........................ 9517 Titan Equity Group Ltd. Notice of Hearing – ss. 127(7), 127(8) ...................... 9483 Notice from the Office of the Secretary ..................... 9490 Temporary Order – ss. 127(1), 127(5) ..................... 9518 Webtech Wireless Inc. Decision – s. 1(10)(a)(ii) ........................................... 9504 Wing, Dennis Notice of Hearing – s. 144 ........................................ 9484 Notice from the Office of the Secretary ..................... 9491

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