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.”
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.
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
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).
Calgary, AB T2P 0R4
Attention: Information Officer
Telephone: (403) 297-6454
701 West Georgia Street
Vancouver, BC V7Y 1L2
Attention: Supervisor, Insider Reporting
Telephone: (604) 899-6500 or (800) 373-6393 (in BC)
Manitoba Securities Commission
Attention: Director, Legal
Telephone: (204) 945-4508
Commission of Newfoundland
Floor, West Block
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
Yellowknife, Northwest Territories, X1A 2L9
Attention: Deputy Superintendent of Securities
Tel: (867) 920-3318
Scotia Securities Commission
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
20 Queen Street West
Toronto, ON M5H 3S8
Attention: FOI Coordinator
Telephone: (416) 593-8314
Autorité des marchés
Attention: Responsable de l’accès à l’information
(514) 940-2150 or (800) 361-5072
Saskatchewan Financial Services Commission
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