Unofficial Consolidated Versions

FORM 55-102F1

 

Insider Profile

 

An insider profile filed in SEDI format shall contain the information prescribed below.  The information shall be entered using the online version of this form accessible by SEDI users at the SEDI web site (www.sedi.ca).  All references to web pages, fields and lists relate to the online version of the form. 

 

If the insider is an individual, start entering information on the web page titled “Create insider profile (Form 55-102F1) - Enter individual information”.  If the individual insider has submitted a SEDI user registration form, select “Copy your user registration information” to avoid re-entering the insider’s personal information.  If the insider is not an individual, select “Enter company information” and start entering information on the web page titled “Create insider profile (Form 55-102F1) - Enter company information”.

 

1.         Insider’s full legal name

 

Provide the full legal name of the insider.  Use upper and lower case letters as applicable.  Do not use initials, nicknames or abbreviations.  If the insider is an individual, complete the “Insider family name” and the “Insider given names” fields.  If the insider is not an individual, provide the full legal name of the insider in the “Insider company name” field.

 

2.         Name of insider representative (if applicable)

 

If the insider is not an individual, provide the full legal name of an individual representative of the insider using the “Family name” and “Given names” fields. Use upper and lower case letters as applicable.  Do not use initials, nicknames or abbreviations.

 

3.         Insider’s address

 

If the insider is an individual, provide the insider’s principal residential address.  Otherwise, provide the business address where the insider’s representative (provided in item 2 above) is employed.  In either case, select or provide the country and provide the address (street name and number, etc.), the municipality (city, town, etc.), province, territory or state and postal or zip code, as applicable.  A post office box or similar mailing address is not acceptable. 

 

4.         Insider’s telephone number

 

Provide a daytime telephone number for the insider (if the insider is an individual) or for the insider’s representative (if the insider is not an individual).

 

5.         Insider’s fax number (if applicable)

 

If available, provide a fax number for the insider (if the insider is an individual) or for the insider’s representative (if the insider is not an individual).

 

6.         Insider’s e-mail address (if applicable)

 

If available, provide an e-mail address for the insider (if the insider is an individual) or for the insider’s representative (if the insider is not an individual).

 

7.         Correspondence in English or French

 

If the insider is an individual resident in Quebec, the insider may choose to receive any correspondence from the Quebec securities regulatory authority in English.  If no choice is made, any correspondence from the Quebec securities regulatory authority shall be in French.  If the insider is a person or company other than an individual and is resident in Quebec, any correspondence from the Quebec securities regulatory authority shall be in French.

 

If the insider is resident in Manitoba or Ontario, the insider may choose to receive any correspondence from the local securities regulatory authority in French.  If no choice is made, any correspondence from the local securities regulatory authority shall be in English.

 

If the insider is resident in New Brunswick, the insider may choose to receive any correspondence from the New Brunswick securities regulatory authority in French or English.

 

8.         Confidential question and answer

 

Provide a “confidential question” and an answer to the confidential question for use in verifying the identity of the insider or the insider’s representative if a request is being made to the SEDI operator for a new insider access key.  Keep a record of the confidential question and answer in a secure location.

 

9.         Add name(s) of reporting issuer(s)

 

Add the name of each reporting issuer in respect of which the insider is required to file an insider report in SEDI format.  Search for and select each reporting issuer to be added from a database of all SEDI issuers provided for this purpose.  Use the reporting issuer’s SEDAR number or its legal name (in English or French) to conduct your search.  Make sure you select the correct reporting issuer before you proceed further.  If you are unable to find the reporting issuer that you are searching for, contact the reporting issuer or the SEDI operator for assistance.  Note that the reporting issuer will not appear in your search results unless the reporting issuer has created an issuer profile in SEDAR and filed an issuer profile supplement in SEDI.

 

If the insider has ceased to be an insider of a reporting issuer added previously to the insider profile, see item 12 below.

 

10.        Insider’s relationship to reporting issuer

 

For each reporting issuer added under item 9 above, disclose all of the insider’s relationships to that reporting issuer by selecting from the list of relationship types provided.

 

11.        Date the insider became an insider or date of opening balance

 

For each reporting issuer added under item 9 above, if the insider has not filed an insider report in respect of the reporting issuer since becoming an insider, provide the date on which the insider became an insider of the reporting issuer.  Otherwise, provide an opening balance date.  This opening balance date will be used as the date for all opening balances of securities of this reporting issuer.  The opening balance date should be a date prior to the date of any transactions that will be reported for this reporting issuer in SEDI.

 

12.        Date the insider ceased to be an insider

 

If the insider has ceased to be an insider of a reporting issuer added previously to the insider profile, amend the insider profile by providing the date on which the insider ceased to be an insider of the reporting issuer in the fields provided for this purpose on the web page titled “Amend insider profile - Amend issuer information.”

 

Optional Information

 

An insider profile filed in SEDI format may, at the option of the insider, contain the following additional information:

 

13.        Additional contact information

 

For each reporting issuer added to the insider profile, the insider may provide another address at which the insider prefers to be contacted (such as a business address) or may provide contact information for another individual who is to be contacted by the securities regulatory authority instead of the insider.  To provide additional contact information, check the applicable box under “Optional information” on the web page titled “Create insider profile - Enter information about the insider’s relationship to the issuer”.

 

14.        Add name(s) of registered holder(s) of securities

 

If the insider is required to file an insider report in respect of securities owned indirectly or over which control or direction is exercised, the insider must provide the name of the registered holder of the securities at the time the insider report is filed.  To assist the insider in complying with this requirement, for each reporting issuer added to the insider’s profile the insider may add the name(s) of the registered holder(s) of securities of the reporting issuer that the insider is required to provide in an insider report. 

 

To add the name(s) of the registered holder(s) for the reporting issuer, check the applicable box under “Optional information” on the web page titled “Create insider profile - Enter information about the insider’s relationship to the issuer”. Any name added to the insider’s profile in this manner may be selected when an insider report is prepared in SEDI format and registered holder information is required.  The full legal name of the registered holder must be provided in each case.

 

Securities beneficially owned directly but held through a nominee such as a broker or book-based depository are considered direct holdings.

 

Amending Insider Profile To Add a Reporting Issuer

 

If an insider that has previously filed an insider profile is required to file an insider report in SEDI format in respect of a reporting issuer that is not already disclosed in the insider profile, amend the insider profile to add the name of the reporting issuer, to disclose all of the insider’s relationships to the reporting issuer and to provide the date the insider became an insider or the date of the previous paper filing, as applicable.  Provide the information required in items 9, 10 and 11 above.

 

Certification

 

Prior to submitting an insider profile, the insider or the insider’s agent must certify that the information is true and complete in every respect by selecting “Certify” on the web page titled “Create insider profile - Certify and file insider profile” and following the instructions provided for this purpose.  In the case of an agent, the certification is based on the agent’s best knowledge, information and belief but the insider is still responsible for ensuring that the information filed by the agent is true and complete.  It is an offence to submit information that, in a material respect and at the time and in the light of the circumstances in which it is submitted, is misleading or untrue.

 

Notice – Collection and Use of Personal Information

 

The personal information required under this form is collected on behalf of and used by the securities regulatory authorities set out below for purposes of the administration and enforcement of certain provisions of the securities legislation in British Columbia, Alberta, Saskatchewan, Manitoba, Ontario, Northwest Territories, Quebec, New Brunswick, Nova Scotia, Prince Edward Island, Newfoundland and Yukon.  Some of the required information will be made public pursuant to the securities legislation in each of the jurisdictions indicated above.  Other required information will remain confidential and will not be disclosed to any person or company except to any of the securities regulatory authorities or their authorized representatives.  If you have any questions about the collection and use of this information, you may contact the securities regulatory authority in any jurisdiction(s) in which the required information is filed, at the address(es) or telephone number(s) set out below.  In Quebec, questions may also be addressed to the Commission d’accès à l’information du Québec
(1-888-528-7741, web site: www.cai.gouv.qc.ca).

 

Alberta Securities Commission Suite 600, 250 – 5th Street SW Calgary, AB  T2P 0R4 Attention: Information Officer Telephone: (403) 297-6454	British Columbia Securities Commission P.O. Box 10142, Pacific Centre 701 West Georgia Street Vancouver, BC  V7Y 1L2 Attention: Supervisor, Insider Reporting Telephone: (604) 899-6500 or (800) 373-6393 (in BC)
The Manitoba Securities Commission 500-400 St. Mary Avenue, Winnipeg, MB   R3C 4K5 Attention: Director, Legal Telephone: (204) 945-4508	Securities Commission of Newfoundland P.O. Box 8700 2nd Floor, West Block Confederation Building St. John’s, NFLD   A1B 4J6 Attention: Director of Securities Telephone: (709) 729-4189
Superintendent of Securities Department of Justice Government of the Northwest Territories 1st Floor, Stuart M. Hodgson Building 5009-49th Street P.O.Box 1320 Yellowknife, Northwest Territories, X1A 2L9 Attention: Deputy Superintendent of Securities Tel: (867) 920-3318	Nova Scotia Securities Commission Suite 400, 5251 Duke Street Halifax, Nova Scotia  B3J 1P3 Attention: FOI Officer Telephone: (902) 424-7768
Government of Nunavut Office of Superintendent of Securities P.O. Box 100, Station 570 1st Floor, Brown Building Iqualuit, Nunavat, X0A 0H0 Contact person: Superintendent of Securities Tel: (867) 975-6590 Fax: (867) 975-6595 Email: securities@gov.nu.ca	Ontario Securities Commission Suite 1903, Box 55 20 Queen Street West Toronto, ON   M5H 3S8 Attention: FOI Coordinator Telephone: (416) 593-8314
Autorité des marchés financiers Stock Exchange Tower P.O. Box 246, 22nd Floor 800 Victoria Square Montréal, PQ   H4Z 1G3 Attention: Responsable de l’accès à l’information Telephone: (514) 940-2150 or (800) 361-5072 (in Quebec)	Saskatchewan Financial Services Commission Securities Division 6th Floor, 1919 Saskatchewan Drive Regina, SK   S4P 3V7 Attention: Director Telephone: (306) 787-5645
Financial and Consumer Services Commission 85 Charlotte Street ,Suite 300 Saint John, NB  E2L 2J2 Attention: Corporate Finance Officer Telephone: (506) 658-3060 or (866) 933-2222 (in New Brunswick)	Superintendent of Securities Government of Prince Edward Island 4th Floor, Shaw Building 95 Rochford Street P.O. Box 2000 Charlottetown PE  C1A 7N8 Tel: (902) 368-4550
Office of the Yukon Superintendent of Securities Government of Yukon Department of Community Services 307 Black Street, 1st Floor PO Box 2703 (C-6) Whitehorse, Yukon  Y1A 2C6 Telephone:  (867) 667-5466 Facsimile: (867) 393-6251