Start-up Crowdfunding Registration and Prospectus Exemptions Form 4 - Start-up Crowdfunding – Funding Portal – Individual Information Form GENERAL INSTRUCTIONS: (1) This form must be typed, printed, signed and delivered via e-mail with any attachments and the corresponding Start-up Crowdfunding – Funding Portal Information Form to the securities regulatory authority or regulator of each of the participating jurisdictions where the funding portal facilitates or intends to facilitate a start-up crowdfunding distribution at the e-mail address(es) provided on the last page of this form. (2) This form must be completed and certified by each promoter, director, officer, and control person of the funding portal. (3) The information provided on this form must be specific to the individual certifying this form. (4) Question 5 and questions 11 to 23: Please check the appropriate space provided. If your answer to any of these questions is “Yes”, you must, in an attachment, provide complete details, including the circumstances, relevant dates, names of the parties involved and final disposition, if known. Responses must consider all time periods. (5) An attachment in response to any question must be signed and dated by the individual certifying this form. (6) If a change occurs and the form and documents filed with the securities regulatory authority or regulator are no longer up to date or the information they contain is no longer true, you must complete a new form setting out the change, and deliver it to the securities regulatory authority or regulator of each applicable participating jurisdiction as soon as practicable. (7) For funding portal information, please refer to the Start-up Crowdfunding Guide for Funding Portals available on the website of the securities regulatory authority or regulator of the participating jurisdictions. FUNDING PORTAL INFORMATION 1. Provide the full legal name of the funding portal as it appears on the funding portal’s organizing documents. 2. Provide the name that the funding portal will be operating under. 3. Indicate the position(s) you hold with the funding portal. INDIVIDUAL INFORMATION 4. Full legal name: First name Middle name(s) Last name 1
5. Are you currently, or have you ever been, known by any name(s) other than your full legal name stated above, for example nicknames or names due to marriage? Yes ☐ No ☐ If yes, you must provide details. 6. Telephone, fax number and e-mail address: Residential: ( ) Fax number: ( ) Business: ( ) E-mail: 7. Provide all residential addresses for the past five years starting with your current residential address. Number, street, city, province, territory or state, From To country and postal/ZIP code MM YYYY MM YYYY 8. If you are not a resident of Canada, you must have one address for service of process in Canada and provide the following information: Name of agent for service: Name of contact person: Address for service: Telephone: 9. Sex, date and place of birth: Sex Date of birth Place of birth Female ☐ MM DD YYYY City Province/ Country Territory/ State Male ☐ 10. Country of citizenship: 2
11. Are you currently or have you ever been registered or licensed in any capacity with any Canadian securities regulatory authority or regulator, or with any other professional or regulatory entity? Yes ☐ No ☐ If yes, you must provide your licence/ registration type, name of the entity, and the start date and ending date, if applicable: 12. Have you ever been dismissed for cause by an employer from a position following allegations that you: • violated any statutes, regulations, rules or standards of conduct; • failed to appropriately supervise compliance with any statutes, regulations, rules or standards of conduct; or • committed fraud or the wrongful taking of property, including theft? Yes ☐ No ☐ If yes, you must provide details. CRIMINAL DISCLOSURE 13. Have you ever been found guilty, pleaded no contest to, or been granted an absolute or conditional discharge from: • a summary conviction or indictable offence under the Criminal Code (R.S.C., 1985, c. C-46) (Canada), • a quasi-criminal offence in any jurisdiction of Canada or a foreign jurisdiction, • a misdemeanour or felony under the criminal legislation of the United States of America, or any state or territory therein, or • an offence under the criminal legislation of any other foreign jurisdiction. Yes ☐ No ☐ If yes, you must provide details. 14. Are there any outstanding or stayed charges against you alleging a criminal offence that was committed? Yes ☐ No ☐ If yes, you must provide details. 15. To the best of your knowledge, are there any outstanding or stayed charges against any entity of which you were, at the time the criminal offence was alleged to have taken place, a promoter, director, officer or control person? Yes ☐ No ☐ If yes, you must provide details. 3
16. To the best of your knowledge, has any entity, when you were a promoter, director, officer or control person, ever been found guilty, pleaded no contest to or been granted an absolute or conditional discharge from a criminal offence that was committed? Yes ☐ No ☐ If yes, you must provide details. CIVIL DISCLOSURE 17. Have you ever been the subject of an order, judgment, decree, sanction, or administrative penalty in Canada or a foreign jurisdiction in the last ten years related to your involvement in any type of business, securities, insurance or banking activity? Yes ☐ No ☐ If yes, you must provide details. 18. Are there currently any outstanding civil actions alleging fraud, theft, deceit, misrepresentation, or similar misconduct against you or an entity of which you are or were a promoter, director, officer or control person? Yes ☐ No ☐ If yes, you must provide details. 19. Have you or an entity of which you are or were a promoter, director, officer or control person ever been a defendant or respondent in any civil proceeding in which a fraud, theft, deceit, misrepresentation, or similar misconduct is, or was, successfully established in a judgement? Yes ☐ No ☐ If yes, you must provide details. FINANCIAL DISCLOSURE 20. Have you or any entity when you were a promoter, director, officer or control person of that entity, ever had a petition in bankruptcy issued or made a voluntary assignment in bankruptcy or any similar proceeding? Yes ☐ No ☐ If yes, you must provide details. 21. Have you or any entity when you were a promoter, director, officer or control person of that entity made a proposal under any legislation relating to bankruptcy or insolvency or any similar proceeding? Yes ☐ No ☐ If yes, you must provide details. 4
22. Have you or any entity when you were a promoter, director, officer or control person of that entity ever been subject to proceedings under any legislation relating to the winding up or dissolution of that entity, or under the Companies’ Creditors Arrangement Act (Canada) or similar legislation? Yes ☐ No ☐ If yes, you must provide details. 23. Have you or any entity when you were a promoter, director, officer or control person of that entity ever been subject to, or initiated any proceedings, arrangement or compromise with creditors? This includes having a receiver, receiver-manager, administrator or trustee appointed by or at the request of creditors, privately, through court process or by order of a regulatory authority, to hold your assets. Yes ☐ No ☐ If yes, you must provide details. COLLECTION AND USE OF PERSONAL INFORMATION The personal information required under this form is collected, used and disclosed by the securities regulatory authority or, where applicable, regulator of the participating jurisdictions under the authority granted in securities legislation for the purposes of the administration and enforcement of the securities legislation. By submitting this form, you consent to the collection, use and disclosure of this personal information by the securities regulatory authority or regulator of each participating jurisdiction and any police records, records from other government or non-governmental regulators or self-regulatory organizations, credit records and employment records about you that the securities regulatory authority or regulator may need to determine the completeness of the information submitted in this form and compliance with the conditions of the start-up crowdfunding registration and prospectus exemptions. The securities regulatory authority or regulator may contact government and private bodies or agencies, individuals, corporations and other organizations for information about you. If you have any questions about the collection and use of this information, contact the securities regulatory authority or regulator of any participating jurisdiction in which this form is delivered. Contact information is listed at the end of this form. 5
CERTIFICATION By submitting this form, I: • certify that the statements made in this form are true and complete, and • agree to be subject to the securities legislation of each participating jurisdiction of Canada where I have submitted this form. This includes the jurisdiction of any tribunals or any proceedings that relate to my activities as a promoter, director, officer or control person of a funding portal under applicable securities legislation. Signature: Date: Print name: Position held: IT IS AN OFFENCE TO MAKE A MISREPRESENTATION IN THIS FORM 6
Deliver by e-mail to the securities regulatory authority or regulator of each applicable participating jurisdiction: British Columbia British Columbia Securities Commission P.O. Box 10142, Pacific Centre 701 West Georgia Street Vancouver, British Columbia V7Y 1L2 Telephone: 604-899-6854 Toll free across Canada: 1-800-373-6393 E-mail: portal@bcsc.bc.ca www.bcsc.bc.ca Saskatchewan Financial and Consumer Affairs Authority of Saskatchewan Securities Division Suite 601 – 1919 Saskatchewan Drive Regina, Saskatchewan S4P 4H2 Telephone: 306-787-5645 E-mail: registrationfcaa@gov.sk.ca www.fcaa.gov.sk.ca Manitoba The Manitoba Securities Commission 500 – 400 St Mary Avenue Winnipeg, Manitoba R3C 4K5 Telephone: 204-945-2548 Toll free in Manitoba: 1-800-655-2548 E-mail: exemptions.msc@gov.mb.ca www.mbsecurities.ca Québec Autorité des marchés financiers Direction du financement des sociétés 800, rue du Square-Victoria, 22nd floor P.O. Box 246, Tour de la Bourse Montréal, Québec H4Z 1G3 Telephone: 514-395-0337 Toll free in Québec: 1-877-525-0337 E-mail: financement-participatif@lautorite.qc.ca www.lautorite.qc.ca New Brunswick Financial and Consumer Services Commission 85 Charlotte Street, Suite 300 Saint John, New Brunswick E2L 2J2 Toll free: 1-866-933-2222 E-mail: emf-md@fcnb.ca www.fcnb.ca Nova Scotia Nova Scotia Securities Commission Suite 400, 5251 Duke Street Halifax, Nova Scotia B3J 1P3 Telephone: 902-424-7768 Toll free in Nova Scotia: 1-855-424-2499 E-mail: nssc.crowdfunding@novascotia.ca nssc.novascotia.ca 7
You are being directed to the most recent version of the statute which may not be the version considered at the time of the judgment.