Harmonized Report of Exempt Distribution
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1 Harmonized Report of Exempt Distribution Victoria Steeves Senior Legal Counsel, Corporate Finance Jody Ann Edman Assistant Manager, Corporate Finance May 31, 2016
2 What We Will Talk About Reasons for the harmonized form Structured format Additional disclosure requirements
3 Background BC Form F6
4 Reasons for New Form Better information for regulators Reduced burden for industry
5 Addressing Industry Concerns Balanced approach Changes since publication for comment
6 Harmonized Form F1 Effective June 30, 2016
7 Transition Provisions Before June 30 th Old Form After June 30 th New Form
8 New Form Design Modernized form design Structured format
9 Structured Format Easier for filers to complete Improved data integrity
10 Report Type Filing amended reports
11 Issuer Information Previous legal name Legal entity identifier (LEI)
12 Issuer Information Previous legal name Legal entity identifier (LEI)
13 Underwriter Information NRD Number
14 Title Issuer Identifiers NAICS code Number of employees SEDAR profile number
15 Title Issuer Identifiers NAICS code Number of employees SEDAR profile number
16 Title Issuer Identifiers NAICS code Number of employees SEDAR profile number
17 Title Issuer Identifiers NAICS code Number of employees SEDAR profile number
18 Title Issuer Identifiers NAICS code Number of employees SEDAR profile number
19 Title Issuer Identifiers Information required if no SEDAR profile
20 Title Issuer Identifiers CUSIP number
21 Title Issuer Identifiers Size of assets
22 Investment Fund Disclosure NRD number
23 Investment Fund Disclosure Type of fund
24 Investment Fund Disclosure CUSIP number Net asset value
25 Investment Fund Disclosure CUSIP number Net asset value
26 Information about the Distribution Distribution dates
27 Information about the Distribution Purchaser information
28 Information about the Distribution Security code CUSIP number
29 Information about the Distribution Security code CUSIP number
30 Information about the Distribution Summary table Unique purchasers
31 Information about the Distribution Summary table Unique purchasers
32 Investment Fund Disclosure Net proceeds by jurisdiction
33 Information about the Distribution Offering materials disclosure Not required in BC
34 Compensation Information Registration status NRD number Funding portal used
35 Compensation Information Registration status NRD number Funding portal used
36 Compensation Information Registration status NRD number Funding portal used
37 Compensation Information Additional information if no NRD number Relationship to issuer or investment fund manager
38 Compensation Information Security codes Deferred compensation
39 Compensation Information Security codes Deferred compensation
40 Title Insider Disclosure Carve outs
41 Title Insider Disclosure Addresses of insiders
42 Title Insider Disclosure Promoter information Control person information
43 Title Certification Certification by issuer or underwriter
44 Title Contact Person
45 Title Schedule 1 Details of exemption relied on
46 Title Schedule 1 Is purchaser an insider / registrant? Link to person compensated for each purchaser
47 Title Schedule 2 CEO contact information
48 Tips BC Interpretation Note CSA Staff Notice BCSC FAQs about Exempt Distributions
49 New Filing System Web based filing on eservices Webinar June 9, 2016
50 Contact Us Inquiries Victoria Steeves vsteeves@bcsc.bc.ca Jody Ann Edman jedman@bcsc.bc.ca
First Published April 26, 2012, revised June 25, 2015, April 7, 2016 and September 29, 2016
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