Securities Law & Instruments

PDF Version

PDF Version


AMENDMENTS TO
ONTARIO SECURITIES COMMISSION RULE 72-503 DISTRIBUTIONS OUTSIDE CANADA



1. Ontario Securities Commission Rule 72-503 Distributions Outside Canada is amended by this Instrument.

2. Part 4 is amended by adding the following section:

Distributions by more than one issuer of a single security

4.4 An issuer is not required to file a report of trade under section 4.1 for a distribution of a security if a report has been filed by another issuer for the distribution of the same security.

3. Form 72-503F Report of Distributions Outside Canada is amended

(a) by replacing the table under the heading "Instructions:" with the following:

Security code

Security type

 

BND

Bonds

 

CER

Certificates (including pass-through certificates, trust certificates)

 

CMS

Common shares

 

CVD

Convertible debentures

 

CVN

Convertible notes

 

CVP

Convertible preferred shares

 

DCT

Digital coins or tokens

 

DEB

Debentures

 

DRS

Depository receipts (such as American or Global depository receipts/shares)

 

FTS

Flow-through shares

 

FTU

Flow-through units

 

LPU

Limited partnership units and limited partnership interests (including capital commitments)

 

MTG

Mortgages (other than syndicated mortgages)

 

NOT

Notes (include all types of notes except convertible notes)

 

OPT

Options

 

PRS

Preferred shares

 

RTS

Rights

 

SMG

Syndicated mortgages

 

SUB

Subscription receipts

 

UBS

Units of bundled securities (such as a unit consisting of a common share and a warrant)

 

UNT

Units (exclude units of bundled securities, include trust units and mutual fund units)

 

WNT

Warrants (including special warrants)

 

OTH

Other securities not included above (if selected, provide details of security type in Item 7d)

Distributions by more than one issuer of a single security: If two or more issuers distributed a single security, provide the full legal name(s) of the co-issuer(s) in section 1c) other than the issuer named in section 1a).

(b) in section 1, by adding the following:

- - - - - - - - - - - - - - - - - - - -

c) Full legal name(s) of co-issuer(s) (if applicable)

- - - - - - - - - - - - - - - - - - - -

(c) in section 2, under the row entitled "Types of securities distributed", by deleting "2.2,";

(d) in section 2, under the row entitled "Details of rights and convertible/exchangeable securities", by replacing "Security code" in the first column with "Convertible/exchangeable security code";

(e) in section 5, by adding "If the report is being certified by an agent on behalf of the issuer, provide the applicable information for the agent in the boxes below." immediately following "The certification may be delegated, but only to an agent that has been authorized by an officer or director of the issuer to prepare and certify the report on behalf of the issuer.";

4. This Instrument comes into force on October 5, 2018.