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User Guide - Canadian Securities Administrators

1. eate insider profile m 55 102F1 Enter ividual information ate insider profile id an issuer to the sider profile the issuer Create insider profile Add contact information Optional Create insider profile View issuers added to Certification 31 To create an insider profile SCREEN Insider home page 1 Insider home page As an insider you can create or amend your insider profile Form 55 102F1 file or amend insider reports Form 55 102F2 amend your SEDI user registration form Form 55 102F5 view SEDI filings that are available to the public including insider reports You need an insider access key to update your insider profile or to file or amend an insider report If you don t have an insider access key you must create your insider profile To do so click here Create insider profile If you already have an insider access key because someone else created your insider profile you must link your SEDI user ID to your insider profile To do so click here Link your SEDI Account to your Insider Profile Click Create insider profile x The Create insider profile button only appears on the Insider home page if AN your SEDI account is not already associated with an insider profile If you are an agent log in with your SEDI user ID and password and then click Create insider profile on the Agent home page For more information see Us
2. File insider report Opening balance on initial SEDI report File insider report Enter transaction information File insider report Final Review _ Required screen es Optional screen File insider report Completed 109 To file an insider report stv The screens in this section show an example of an insider report on common shares For an example of an insider report on a derivative see Appendix 2 Commonly Filed Trades on page 191 1 Click Insider report in the top right navigation bar SCREEN Introduction to insider report activities Form 55 102F2 E Inside e page B Logout tact us Help April 3 2003 Insider profile Insider report Your user information Insider Doe Introduction to insider report activities Form 55 102F2 2 Click File insider report in the left navigation bar W7 For guidelines on filing insider trades click Insider reporting guidelines SCREEN File insider report Form 55 102F2 Select issuer alij Process tracher Sptect Over insider Examgte Exarpte File insider report Form 55 102F2 Select issuer Select an issuer from the insider profile 00008201 NAME Inc NAME Ine R vies 10001415 SEDI Test SEDI Test N ves View issuer event reports Cancel filing 110 3 Click on an issuer to select it in the List of issuers from the insider profile 4 Click File insider report OPTIONS View Issuer Event Rep
3. 21 Ensure that the details of your amendment are complete and accurate aly If you disagree with the balance calculated by SEDI enter a balance in the Insider s calculated balance field Only provide a balance for transactions you have filed in SEDI The Insider s calculated balance does not override the SEDI balance Staff from your securities regulatory authority will contact you to resolve the discrepancy For information about how balances are calculated see Appendix 1 Balances on page 185 143 22 Click File OPTIONS Edit Security To edit information about the security click Edit security to return to the Amend insider transac tion Select security designation screen Edit Holder To edit information about the holder click Edit holder to return to the Amend insider transaction Select ownership type screen Edit Transaction To edit transaction details click Edit details to return to the Amend insider transaction Enter transaction details screen Print To print the details about the amendment click Printer friendly version SEDI displays the amendment in a format that is easily printed and your browser s Print dialog box opens Click Back in the SEDI screen NOT on the browser to return to SEDI Cancel To cancel your amendment click Cancel and then click OK in the dialog box Your amendment is not filed and you return to the Amend insider transaction Select issuer screen SCREEN Ce
4. Select one of the following options Option 1 Select an issuer from the insider profile from the insider profile If the issuer does not appear in the list follow Option 3 Option 2 Select this option if you want to see an issuer event report before filing an insider report List of issuers from the insider profile If the issuer does not appear in the list follow Option 3 ABC Company Inc prior to filing an insider report Add issuer or amend issuer information List of Amend insider transaction issuers View issuer event reports Option 3 Add an issuer or amend issuer information in the insider profite 135 4 Click an issuer to select it in the List of issuers from the insider profile OPTIONS View Issuer Event Reports To view issuer event reports before amending the insider report 1 Select an issuer in the second list box and then click View issuer event reports SCREEN File insider report Select issuer event report 2 Click the radio button beside a report and then click View Report SCREEN Amend insider transaction View issuer event report information 3 Click View another report to return to the File insider report Select issuer event report screen or click Viewing completed to return to the Amend insider transaction Select issuer screen Add Issuer or Amend Issuer Information To add an issuer to the insider profile or to amend issuer information in the insider profile c
5. 416 555 5556 jjones ABC com What was my dog s name Rex Printer friendly version File Edit Cancel 73 8 Click File and then click OK in the dialog box OPTIONS Edit To edit the information in the issuer profile supplement click Edit on the Create issuer profile supplement File information screen to move to the Create issuer profile supplement Edit information screen Type over the entries to edit them and then click Next to return to the Cre ate issuer profile supplement File information screen Print To print a copy of the issuer profile supplement click Printer friendly version on the Create issuer profile supplement File information screen SEDI displays the issuer profile supplement in a format that is easily printed and your browser s Print dialog box opens Click Back in the SEDI screen NOT on the browser to return to SEDI Cancel To cancel the issuer profile click Cancel on the Create issuer profile supplement File informa tion screen and then click OK in the dialog box You return to the Create issuer profile supple ment Select issuer screen and all information entered will be deleted SCREEN Create issuer profile supplement View issuer access key 9 Make note of the issuer access key displayed on the screen The issuer access key is unique and you need it to access this profile To print this screen for your reference click Print on your browser s navigation bar to
6. System for Electronic Disclosure by Insiders Systeme Electronique de D claration des Initi s User Guide SEDI and www sedi ca and related words and logos are trade marks and or trade names of CDS INC collectively the CDS Trade marks SEDAR is a registered trade mark of the Canadian Securities Administrators the CSA Trade mark Posted September 2008 Table of Contents Getting Started ci oii iat ee cee ectoen ee estsdeee Sew eare anise seeenadte nds 5 System Requirements 25 22 06 dusacede undies pee Keeeudeeudee etal cee qe ageducs 6 Connecting to SED rete piresi Guus ea ie E DE Re GN eee Awe ee ee 7 Navigating in SEDI od desu ed bbusecesee bed rd hhos6e04e4 eens oer ee ee 5b4e9s 8 lInterace TOOK 22 53 2tuded cuseseetdeba iteedd eee ends oe datedie sees 8 Using Browser Buttons and Keyboard KeyS 0000 cee eee eee eee 10 Using the Process Tracker 0 00 cece eee 10 Saving Data in SEDI wcecenveteawhs bo hade ede etoebertisaedctcuwededees 11 Choosing Language o od unees ceva ca ee cates euuectueeees de ceGeeannecd 12 Secunly POaUes cic cnachonewen ete tend s peeve ote es poe cele 2a ek See 13 Managing SEDI User Accounts 0 0 cece eee eee 14 Creating a SEDI User Account sie y ovens ce cede aes Seeker va eee ee eeeeees ees 15 Activating Yo r ACCOUN ois cous yess deueee ab a See ueer eee eek a oe a eae 19 Viewing a SEDI User Account essoveeteer coated sageeeusetessceewedeesas 21 Amen
7. To perform activities on behalf of an insider SCREEN Agent home page 1 Use the drop down list box to select the insider from your Insider list OR Enter the insider number in the Insider number field 2 Enter the insider s access key in the Insider access key field 4z The insider number and insider access key are issued when the insider profile is created For more information see Creating an Insider Profile on page 29 and Understanding Passwords and Access Keys on page 103 3 Click Next SCREEN Insider activities From the nsider activities screen you can QO View or amend the insider profile See page 46 and page 47 File insider reports See page 106 Q Change the insider access key See page 65 95 Creating an Insider Profile If the insider that you represent does not have an insider profile click Create insider profile on the Agent home page to move to the Create insider profile Enter individual information screen Follow the steps described in Creating an Insider Profile on page 29 When you finish creating the insider profile the insider is added to your Insider list and you proceed to the nsider activities screen Adding an Insider to your Insider List If the insider that you represent has already created an insider profile you simply need to add the insider to your Insider list To add an insider to your Insider list SCREEN Agent home page 1 Click Add insider in the lef
8. For information about security designations and how balances are calculated in SEDI see Appendix 1 Balances on page 185 2 Click Next SCREEN Amend security designation File amendment Amend security designation File amendment Issuer Derivatives Security category Options Rights Provide a security designation using the fields below Select the most relevant security name in the first field and add additional descriptors if any in the second field Security designation Additional Security name description Cif applicable Options Underlying security designation An underlying security is the security into which a derivative is exercisable or convertible When you have an option to acquire common shares do the following Under Security category select Equity under Security name select Common shares Additional Security category Security name description if applicable Equity Common Shares File Cancel 5 Select a security name in the drop down list box Enter information in the Additional description field if it helps to better describe the security wey Click File OPTION Information you enter in the Additional description field will not be translated To cancel the amendment click Cancel You will return SCREEN Amend security designation Completed wy the SEDI screen NOT on the browser to return to SEDI The issuer pr
9. Form 55 102F5 e view SEDI filings that are available to the public including insider reports As an agent acting on behalf of an insider you can e create or amend an insider profile Form 55 102F1 e file or amend insider reports Form 55 102F2 As an agent acting on behalf of an issuer you can e create or amend the issuer profile supplement Form 55 102F3 e file or amend issuer event reports Form 55 102F4 To perform insider activities To perform issuer activities 1 Select an insider from your 1 Select an issuer from your issuer list or insider list or enter the insider enter the issuer number number 2 Enter the issuer access key 2 Enter the insider access key 3 Click Next 3 Click Next Issuer 00019040 ABC Company Inc Insider SDOEOO2 Doe John James list list i Se Issuer Insider number number Issuer Insider access access key key Next To add an insider to your i 7 7 insider list above click Add To add an issuer to your issuer list above click Add issuer insider Add insider Add issuer If an insider profile does If an issuer profile supplement does not exist create the insider not exist create the issuer profile profile and the insider access supplement and the issuer access key will key will be generated once be generated once you file the issuer you file the insider profile profile supplement information You need information You need this this issuer ac
10. General remarks necessary to descre th Options granted for 2007 transaction Private remarks to securities regulatory authorities 5 File and certify your insider report 196 Filing an Acquisition of Common Shares The following example describes how to file an insider report in which QO You are reporting that you bought 1700 common shares in the public market Q The shares are owned indirectly through a family trust To file the insider report 1 Begin filing your insider report as described in Filing an Insider Report on page 107 SCREEN File insider report Select security designation D Invider prefile Imeader report Your user informstion Al Process tracker Select issuer select security Gevignaties p insider nyder jenriter ts suer Datas File insider report Select security designation Select security designation from the list below Outstanding securities Options Common Shares Common Shares Insider defined security Add nade defined seounty J The a no lor rchived security list contains those securities that are no longer outstanding for this issuer and those securities that m iger be issued Archived security designation Ne aj Cc ance fing 2 Select Common Shares in the Outstanding securities list 197 SCREEN File insider report Select ownership type 4 leider pestile insir report Your weer infermmation Process track
11. Participation Units Preferred Shares Special Shares Subordinate Voting Shares Trust Units Units Issuer Derivatives Options Other Rights Special Warrants Subscription Rights Warrants 186 Security Category Security Name Third Party Derivatives Equity Swap Long Position Equity Swap Short Position Exchange Traded Call Options Exchange Traded Put Options Forward Purchase Forward Sale Futures Contract Long Position Futures Contract Short Position OTC Calls including Private Options to Purchase OTC Puts including Private Options to Sell Other a If you select Other as the security name SEDI displays the information you provide in the Additional description field as the security designation SEDI also uses groups to identify securities and calculate their balances correctly SEDI divides security designations into the following groups Q Outstanding securities QO Archived securities LI Insider defined securities Outstanding Securities The Outstanding securities list is defined by the issuer When the issuer creates an issuer profile supplement they provide a list of all securities held by their insiders These securities appear on the Outstanding securities list Archived Securities The Archived security designation list is also defined by the issuer If an issuer archives a security you can still file an insider report about it and SEDI adds the balances a
12. authorities field This is an optional field These remarks will only be accessible by securities regu latory authorities 13 Click Next 115 SCREEN File insider report Final review Ametder peutic imiderrmport Your user mfurrmetio A Process trecker Select issuer Select security designation Select ownership type registered holders Enter transaction information e and cert Insider Example Issuer NAME Ds Security Forte Hokier Soora RRSP File insider report Final review Please review this transaction before you certify it Security Gesignation Sonds Registered holder Spousal RRSP Opening balance of securities held 2500 Date of transaction 2005 02 27 Nature of transaction 00 Opening Salance Initial SED Report General remarks 7 necessary to descroe Ime vate remarks to securities regulatory authorities File Cancel 14 Ensure that the details of your report are complete and accurate 15 Skip to Step 24 The File insider report Enter transaction information screen opens if you have previ ously filed reports about the security SCREEN File insider report Enter transaction information A Revider profile lnenter report Your weer niometisn A Procevs tracker Select issuer Select security designation Select ownership type registered holders Enter transection infermmetion x Insider Exampie Issuer NAME fr Security fonds Neckties s File insider
13. authorities field This is an optional field These remarks will only be accessible by securities regu latory authorities 22 Click Next SCREEN File insider report Final review File insider report Final review j holde Sp si RRSP Nature of transaction t Acquisition or disposition in the public mar 118 23 Ensure that the details of your report are complete and accurate If you disagree with the balance calculated by SEDI enter a balance in the Insider s calculated balance field Only provide a balance for transactions you have filed in SEDI The Insider s calculated balance does not override the SEDI balance Staff from your securities regulatory authority will contact you to resolve the discrepancy ss V For information about how balances are calculated see Appendix 1 Balances on page 185 24 Click File the system displays a dialog box with the certification statement Certification 1 as an insider filing this information certify or 1 as an agent filing thts information on behalf of an insider certify to the best of my knowledge information and belief that the information is true and complete in every respect Warning A certification made by an agent on behalf of an insider is based on the agent s best knowledge information and belief but the insider is still responsible for ensuring that the information filed by an agent is true and complete It is an offence to subentt i
14. Click Next we SEDI only allows one issuer profile supplement per issuer Once an issuer has created an issuer profile supplement the issuer does not appear on this list To determine whether an issuer has created an issuer profile supplement search for it in the public reports For more information see Viewing Public Reports on page 160 If the issuer does not appear in the search results click New Search to return to the Create issuer profile supplement Select issuer screen and change or refine your search SCREEN Create issuer profile supplement Enter insider affairs contact information Create issuer profile supplement Enter insider affairs contact information Issuer number 00019040 Full legal name English ABC Company Inc Full legal name French Compagnie ABC Inc Family name Jones Given names in full Jane Anne Country Canada Address street name and Line 1 3500 Yonge Street number etc Municipality city town etc Toronto Province territory or state Ontario 3 Postal code or zip code MaN2P8s i s s Daytime telephone number 416 555 5555 ext C Fax number 416 555 5556 T Not Applicable E mail address jjones ABC com To get a new issuer access key the SEDI operator will ask you a question to verify that you are who you say you are You should provide a question for which only you would know the answer For example What is your favourite movie rather
15. Option 5 Enter the name of the issuer for which the insider is an insider in the Issuer name field 1 When searching use the drop down list boxes beside the fields to further Y Y define your search parameters Choose from e Starts with Searches for items that begin with your entry in the field e Contains Searches for items that contain your entry in the field e Exact match Searches for items that exactly match your entry in the field Click Search ss ty To clear all fields click Reset 97 SCREEN Select insider profile View search results Select insider profile View search results Legend Previous insider name matched search criteria Current insider name displayed Insider full Insider Insider Issuer Issuer name name municipality English French Doe John JDOE002 Toronto ABC Compagnie James Company ABC Inc Inc Next New Search 4 Click the radio button beside the insider that you want to add to your Insider list 5 Click Next tv If the desired insider does not appear in the search results click New Search to return to the Select insider profile Search for insider screen and change or refine your search SCREEN Agent home page The insider is added to your Insider list 98 Performing Issuer Activities Use the right column on the Agent home page to manage the list of issuers that you rep resent and to file information for
16. SCREEN Register as a SEDI user Conditional registration completed 12 Make note of your SEDI user ID and password displayed on the screen The SEDI user ID and password are unique and you need them to log Lin YY into your account To print this screen for your reference click Print on your browser s navigation bar to open the Print dialog box To print the details of your SEDI user account click Printer friendly version SEDI displays the details in a format that is easily printed and your browser s Print dialog box opens Click Back in the SEDI screen NOT on the browser to return to SEDI Activating Your Account When you complete the above steps you will have been registered conditionally as a SEDI user Your registration as a SEDI user is not complete until activated by the SEDI Administrator CDS INC To complete the registration process and activate your account you must deliver a signed paper copy of your completed SEDI user registration form to CDS INC by prepaid mail courier personal delivery or fax at CDS INC Attention SEDI Administrator 85 Richmond Street West Toronto ON Canada M5H 2C9 Fax 1 866 729 8011 In Quebec CDS INC Attention SEDI Administrator 600 boulevard de Maisonneuve Ouest Montreal QC Canada H3A 3J2 Fax 1 866 729 8011 After CDS INC has performed the appropriate validations of the registration information provided by you this generally takes 24 hours your
17. SEDI will generate an error message if you have performed an illegal action within the system If there are discrepancies in the infor mation that you submit staff from the securi ties regulatory authority will contact you Does SEDI accept wildcard characters when searching What about AND or OR state ments That is can search for two items at once a AND b or one of two items a OR b at once No SEDI does not accept wildcard characters or AND OR statements Search parameters are defined for each search What happens if two users concurrently try to file information for an issuer or an insider The second user trying to file will receive an error message clicked Back on my browser What can do Click in the navigation bar to re try the opera tion If you are unsuccessful log out of SEDI and then log back in If you cannot log out close your Internet browser re open it and try to log in Any information that you have entered but not certified or filed is deleted when you log out My browser shows page not available What can do Contact the CDS INC help desk The system is very slow What can do Contact the CDS INC help desk 182 Question Answer My browser or computer crashed halfway through filing What can do When your browser crashes SEDI may lock you out of the system for 20 minutes If you cannot log in after 20 minutes contact
18. Security designation Common Shares Date of transaction March z 20 2003 Nature of taneaction 10 Acquisition or disposition in the public market hd Number or value of OE A or securities q disposed of Unit price or 11 75 C Not Applicable Currency Canadian Dollar exercise price General remarks if necessary to describe the transaction Private remarks to securities regulatory authorities Next 14 Use the drop down list boxes to enter a month and day in the Date of transaction fields Enter a 4 digit year 15 Select a Nature of transaction code from the drop down list box S For information about nature of transaction codes see Appendix 3 C Nature of Transaction Codes on page 200 16 Type a value in either the Number or value of securities acquired or Number or value of securities disposed of fields 1 Do not enter a value in both of these fields N 7 If you have specified a derivative as the security additional fields appear in which you enter the value of underlying securities acquired or disposed of For information about filing trades on derivatives click Guidelines on derivatives 17 Enter a Unit price or exercise price and use the drop down list box to choose a Currency The Canadian dollar CAD is the default value If the currency does not appear in the list convert it to CAD OR Click the Not Applicable check box 18 Enter any remarks you want to mak
19. This option moves you to the Amend insider transaction Enter transaction information screen From this screen continue to file your report as described in Amending an Insider Report on page 122 146 Q Option 2 Same security amp different holder Select this option to file an amendment about the same security but a different registered holder This option moves you to the Amend insider transaction Select ownership type screen From this screen continue to file your report as described in Amending an Insider Report on page 122 QO Option 3 Different security Select this option to file an amendment about a different security This option moves you to the Amend insider transaction Select security designation screen From this screen continue to file your report as described in Amending an Insider Report on page 122 147 Filing and Amending Issuer Event Reports As an issuer or an agent of an issuer you must file issuer event reports in SEDI These reports are displayed to insiders and agents for insiders when they file insider reports and are also available to the public Event reports include issuer events such as stock splits and consolidations and aid insiders by providing them with accurate and current information about the issuer This chapter contains the following sections QO Filing an Issuer Event Report OY Viewing an Issuer Event Report OY Amending an Issuer Event Report You are only required to file re
20. To print this information click Printer friendly version 00019040 ABC Company Inc Compagnie ABC Inc Miscellaneous All Provinces ABC Canada TSE United States NYSE No Jones Jane Anne 3500 Yonge Street Suite 1200 Toronto Ontario Canada M4N 2P8 416 555 5555 416 555 5556 jjones ABC com Ontario Securities Commission What was my dog s name Rex Suite 1200 3500 Yonge Street Toronto Ontario Canada MAN 2P8 Suite 1200 3500 Yonge Street Toronto Ontario Canada M4N 2P8 11 81 The left navigation bar expands to include the following options View issuer profile and supplement Displays relevant sections of the issuer profile in SEDAR and the supplementary information in SEDI To print a copy of the issuer profile supplement click Printer friendly version SEDI displays the issuer profile supplement in a format that is easily printed and your browser s Print dialog box opens Click Back in the SEDI screen NOT on the browser to return to SEDI wa QO View security designation Lists Outstanding and Archived securities in the issuer profile supplement Click the radio button beside a security and then click Next to view details about the security on the View security designation View details of security screen To print the details about the security click Printer friendly version SEDI displays the details in a format that is easily printed and your
21. a new insider access key Q Issuer name or issuer number for which you are an insider Q Your insider relationship s to the issuer For example director or senior officer e Registered holder If your shareholding is indirect or if you have control or direction over a security that is not registered in your name you need the name of the registered holder of the securities For example a holding com pany family trust or the person or company that owns the securities that you have control or direction over 29 Q Date on which you became an insider of the issuer If you have not previously filed insider reports for this issuer OR Opening balance date If you have previously filed insider reports for this issuer QO Contact person Optional e Family name given names in full Do not use initials nicknames or abbrevi ations e Full address Use a principal residential address A post office box is not suf ficient e Daytime telephone number Fax number If available e E mail address If available For security purposes you will be logged out of SEDI if you leave it inactive for more than 20 minutes Any information that you have entered but not certified is deleted when you are logged out 30 When you create an insider profile you navigate through the following screens Required screen U Optional screen Create insider profile Add registered holders
22. access key The issuer access key is unique and you need it to access the issuer profile supplement or to file event reports for the issuer To print this screen for your reference click Print on your browser s navigation bar to open the Print dialog box 92 Using Agent Accounts As an agent you can file information on behalf of insiders or issuers depending on whom you represent When you log in to SEDI with an activated agent user ID the Agent home page opens On the Agent home page you can Q Choose an insider or issuer that has already been added to your account that you want to file information about QO Create insider profiles and issuer profile supplements for insiders and issuers QO Add insiders and issuers who have already created insider profiles and issuer pro file supplements to your account When you file information on behalf of an insider or issuer you use the same screens that they use when they file This chapter contains the following sections Using the Agent Home Page QO Performing Insider Activities OI Performing Issuer Activities 93 Using the Agent Home Page When you log in with your activated SEDI user ID and password the Agent home page opens The Agent home page is divided into two columns Use the left column to perform insider activities and the right column to perform issuer activities Agent home page As an agent you can e amend your SEDI user registration form
23. agent account 93 99 issuer filing for using issuer account 67 L language choosing 12 Linking 77 linking your SEDI account to an existing insider profile 43 your SEDI account to an existing issuer profile supplement 77 login logout 24 message URL http IWWWW Sedi ca 7 mmonly 199 N Nature of transaction code 107 115 117 149 208 navigating browser buttons 10 in SEDI 8 interface tools 8 keyboard keys 10 process tracker 10 ning 37 O only 199 ownership type selecting when filing insider report 113 128 132 148 P password 19 103 changing 26 profile seeinsider profile issuer profile supplement public reports insider information 181 issuer information 185 summary reports 169 insider information by issuer 175 insider transaction detail 169 issuer event history 172 weekly summary 178 viewing 168 R registered holder adding to insider profile 38 56 62 selecting when filing insider report 113 129 132 148 S saving data in SEDI 11 securities 194 adding to issuer profile supplement 74 addint to issuer profile supplement 86 amending in issuer profile supplement 87 archiving in issuer profile supplement 89 selecting when amending insider report 127 146 selecting when filing insider report 107 111 viewing in issuer profile supplement 82 189 security features 13 passwords and access keys 103 SEDAR 67 82 103 185 187 SEDI user account 14 103 activating 19 amending 22 creating 15 ogging
24. an Insider to your Insider List n n nannaa aaea 96 Performing ISSUGrACIVIIGG 32c 0nenceendedeeceucece wee KeeRG kee Se aude du ee 99 Creating an Issuer Profile Supplement 0000 eee eee eee 100 Adding an Issuer to your Issuer List 0 000 eee eee eee 100 Understanding Passwords and Access KeyS 2000seeeeeeeeeeeeeee 103 PoseWOlOs coe aceeet nirai aday eaaa ce teeboteseteeseene E aaa ai 103 Access Keys and Numbers 0 0000 e cece eee 104 Filing and Amending Insider Reports 20 cess eee eee eee 106 Filing an Insider Repor 0 2 0 cee tees 107 Amending an Insider Report 000 e eee ee eee 122 Amending a SED tiled Aeponts veww ss he vede eeu oe wEwwe eee teuwnee eds 123 Amending a Paper filed Report 00 00 c eee eee eee ee 134 Filing and Amending Issuer Event Reports 0 000e eee eee e eee 148 Filing an Issuer Event Report sn con cds dade bee daves ee ee ee bVed has eed cout 149 Viewing an Issuer Event Report 0 0c cee ees 155 Amending an Issuer Event Report 0 0 000 eee eee 157 Viewing Public Reports 20 0c cece eee eee eee 160 Viewing Summary Reports sc cececeed eus est eadicaeesesdcr audi ben ey dass 161 Viewing Insider Transaction Detail Reports 0200 cee ee eee 161 Viewing Issuer Event History Reports 00 eee eee eee 164 Viewing Insider Information by Issuer
25. balances for this issuer This date should be prior to the date of any transactions that you will report for this issuer in SEDI Date the insider became an Select One x Select One x yyy insider of this issuer or Opening balance date March 25 2003 If the insider has ceased to be an insider for this issuer provide the cease date in the fields below Date the insider ceased Select One Select One YYYY being an insider of this issuer To reset dates press Reset Optional information v If you wish to be contacted at another address or you wish to name another contact person check this box F If you wish to specify one or more registered holders for other than direct holdings check this box Nex 2 Use the drop down list box to select a relationship in the Insider s relationship to issuer field To select more than one relationship press and hold the Ctrl keyboard key and mouse click your selections 59 3 Use the drop down list boxes and fields to amend one of the following as appro priate Q Amend the Date the insider became an insider of this issuer or the Open ing balance date Date the insider became an insider of this issuer Use the Date the insider became an insider of this issuer if you have not previously filed insider reports wy Opening balance date Use the Opening balance date if you have previously filed insider reports The Opening balance date you e
26. corresponding button and click Remove If you remove a registered holder from this list previous filings will not be affected Doe Holdings Inc Remove we This screen is optional To skip this screen click Next If you indicated that you want to specify one or more registered holders for other than direct holdings on the Amend insider profile Amend issuer information screen 9 Add a registered holder to the current issuer s Local list Registered holders appear in Master and Local lists The Master list contains all registered holders that you have saved and the Local list contains all registered holders that you have added to the current issuer Until you have added a registered holder to your Master or Local list neither list will appear on the screen wy To add a registered holder to your Master and Local lists enter the holder name in the Registered holder field and then click Add registered holder The Amend insider profile Add registered holders screen re opens the registered holder is added to your Master and Local lists and both lists are displayed on the screen To copy a registered holder from the Master list to the Local list click the registered holder in the Master list of registered holders and then click Select from master list To remove a registered holder from the Local list click the radio button beside the registered holder and click Remove Click Confirm removal on the Amend i
27. create an issuer profile supple ment or link your user ID to an existing issuer profile supplement You must create an issuer profile supplement if one has not been created for the issuer If the issuer profile supplement has already been created see Linking your Account to an Existing Issuer Profile Supplement on page 77 If you are an agent log in with your SEDI user ID and password and click Create issuer profile supplement on the Agent home page For more information see Using Agent Accounts on page 93 Before you begin gather the following information L Issuer name or SEDAR profile number Q Family name given names in full of the insider affairs contact for the issuer Do not use initials nicknames or abbreviations Full address A post office box is not sufficient Daytime telephone number Fax number If available E mail address Oooveow do Prepared confidential question and answer A confidential question and answer to which only you know the answer For example What was my dog s name when was a child instead of What colour is the sky The SEDI Operator will use this question to verify your identity if you request a new access key QO Security designations A list of all securities that are held by insiders For security purposes you will be logged out of SEDI if you leave it inactive for more than 20 minutes Any information that you have entered but not filed is deleted when y
28. date of previous paper filing by clicking View insider profile e amend insider profile by clicking Amend insider profile change the insider access key by clicking Change insider access key 2 Click Amend insider profile in the left navigation bar 47 SCREEN Amend insider profile Amend insider profile To amend the insider profile select the appropriate options below When you are finished click Next to save the amendment Option 1 Amend the insider information for this Amend insider information insider profile Option 2 Add or amend issuer information add Add or amend issuer information registered holders or enter the date the insider ceased being an insider of a reporting issuer Glick Next to save the amendment after you have amended your Next profile 3 On the Amend insider profile screen select one of the following options OY Option 1 Amend insider information Allows you to amend individual or company insider information such as your address phone number or confidential question and answer See Amend insider information below Q Option 2 Add or amend issuer information add registered holders or enter the date the insider ceased being an insider of a reporting issuer Allows you to amend issuer information See page 50 Amend insider information From the Amend insider profile screen you can choose to amend insider information in the insider profile 1 Click Am
29. deleted reports are reviewed by securities regulatory authorities SCREEN Delete insider report Final review Delete insider report Final review Transaction Number 858151 Security designation Bonds Opening balance of securities held 1250 Filing date 2008 08 26 Date of transaction 2008 08 24 Nature of transaction 11 Acquisition or disposition carried out privately Number or value of securities acquired 1500 Unit price or exercise price Currency Canadian Dollar Closing balance of securities held General remarks if necessary to describe the transaction Private remarks to securities regulatory authorities Delete Cancel deletion 131 2 Click Delete OPTION To cancel the deletion click Cancel deletion to return to the introduction to insider report activities screen SCREEN Dialog box Windows Internet Explorer QD Certification I as an insider filing this information certify or I as an agent filing this information on behalf of an insider certify to the best of my knowledge information and belief that the information is true and complete in every respect Warning A certification made by an agent on behalf of an insider is based on the agent s best knowledge information and belief but the insider is still responsible for ensuring that the information filed by an 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
30. do not own or trade in securities of the issuer with whom they have a relationship need not file insider reports or profiles 2 Click View summary reports in the left navigation bar SCREEN View summary reports Please select a report to run from the list of available reports below Report titles Description Insider transaction Active insider transactions special filters detail available to narrow results as desired Issuer event history The system will provide a list and description of issuer events matching the search criteria Insider information The system will provide a list of all insiders by issuer related to a specified issuer results presented may include just a listing of the insiders name or may also include a summary of the insider s holding by class of security Weekly summary Generated weekly summary of transactions Nea 3 Click the radio button beside Issuer event history 4 Click Next 165 SCREEN Issuer event history Enter search criteria 5 Enter the criteria by which you want to search for issuer events Use the drop down list boxes and fields provided to enter a Date range of filing Search results only include issuer events that were filed with the date range 1 To refine your search you can Y Y Enter an issuer name in the issuer name field Use the drop down list box beside the field to further define your search parameters e Select a jurisdicti
31. entering your name 2 Insider family _ d Starts with name Insider given i O Stanswith names Search Reset 2 Search for an insider profile using one of the following options Q Option 1 Enter the insider number in the Insider number field The insider number is issued when the insider profile is created For more information see Creating an Insider Profile on page 29 Q Option 2 Enter the insider s family and given names in the Insider family name and Insider given names fields 1 When searching use the drop down list boxes beside the fields to further YY define your search parameters Choose from e Starts with Searches for items that begin with your entry in the field e Contains Searches for items that contain your entry in the field e Exact match Searches for items that exactly match your entry in the field 3 Click Search we To clear all fields click Reset 44 SCREEN Link your SEDI user ID to your insider profile View search results 4 Click the radio button beside the insider profile to which you want to link your SEDI user ID 5 Click Next tz If your insider profile does not appear in the search results click New Search to return to the Link your SEDI Account to your Insider Profile screen and change or refine your search SCREEN Link your SEDI user ID to your insider profile Enter insider access key 6 Enter the correct insider access key i
32. filed in SEDI the amendments do not affect the balances that SEDI calculates To update the balance in SEDI you must update the opening balance in your initial SEDI report For more infor mation about how balances are calculated see Appendix 1 Balances on page 185 To amend a paper filed insider report 1 Click Insider report in the top right navigation bar SCREEN Introduction to insider report activities Form 55 102F2 er home page Logout Contact us A A Insider profile Insider report Your user information Insider Doe J Introduction to insider report activities Form 55 102F2 2 Click Amend insider transaction in the left navigation bar 134 SCREEN Amend insider transaction Amend insider transaction amend an insider report that was filed in paper click Amend paper filing to enter the transaction information Select an issuer from the insider profile List of issuers from the ABC Company Inc insider profile Enter the date range for the transaction or check Show all transactions to view all transactions filed for the issuer Starting on Select One gt Select One gt yyy Ending on April X 3 gt 2003 or Show all m transactions Search Reset Insider Reports filed in paper are not stored in SEDI To Amend Paper Filing 3 Click Amend Paper Filing SCREEN Amend insider transaction Select issuer Amend insider transaction Select issuer
33. holder if applicable Q Opening balance of securities or contracts held If this is your initial SEDI report for a specific security m Date of transaction m Nature of transaction For a list of Nature of transaction codes see Appendix 3 Nature of Transaction Codes on page 200 Number value of securities acquired or disposed Unit price or exercise or conversion price Type of currency Oovoo Closing balance of securities held 107 Q General remarks If any QO Private remarks to securities regulatory authority If any For security purposes you will be logged out of SEDI if you leave it inactive for more than 20 minutes Any information that you have entered but not certified is deleted when you are logged out SEDI does not save a draft of your report we When you begin filing your insider report SEDI provides an option to amend the information in your insider profile if necessary 108 When you file an insider report you navigate through the following screens Introduction to insider report activities Form 55 102F2 File insider report Select issuer event report File insider report View issuer event report information File insider report Form 55 102F2 Select issuer File insider report Select security designation File insider report Insider defined security File insider report Select ownership type
34. in the top right navigation bar SCREEN Introduction to issuer event report activities Form 55 102F4 B Logout Contact us Help April 3 2003 _ r a Issuer profile supplement Issuer event report Your user information Issuer ABC Company Inc Introduction to issuer event report activities Form 55 102F4 With issuer event report activities you can view the issuer event report by clicking View issuer event report file an issuer event report by clicking file issuer event report amend an issuer event report by clicking Amend issuer event report 2 Click Amend issuer event report in the left navigation bar 157 SCREEN Amend issuer event report Amend issuer event report Select an issuer event report from the list below Effective date Filing date Issuer event Issuer event Filed by itype title Stock Split on Special Shares Division des Actions sp ciales Stock Consolidation Stock on Special Shares JIONESOOL Consolidation Regroupement des Actions sp ciales ABC Company Inc ABC merger with XYZ Company 2003 04 01 2003 04 02 Stock Split IIONESOO1 2003 04 01 2003 04 02 Amalgamation 2003 04 01 2003 04 02 Merger or Reorganization Inc XYZ Fusion IONESOO1A de la Compagnie ABC Inc ABC avec la Compagnie XYZ XYZ Next 3 Click the radio button beside the report that you want to amend Issuer event reports are liste
35. language during your SEDI session click English or Fran ais in the top right navigation bar Insider profile Insider report Your user information Insider Doe J Introduction to insider report activities Form 55 102F2 Insiders reports are used to report e securities held by an insider when an insider becomes an insider of an issuer transactions and any changes in ownership made by the insider e changes resulting from events that affect all holdings of a class of securities of an issuer You cannot change the language on all screens in SEDI Where language selection is unavailable the Fran ais or English links do not appear in the navigation bar SEDI translates information in drop down lists Text you type in a field is not translated For example when you file an issuer profile supplement you only need to specify a security name in one language SEDI will automatically translate the name However if you enter additional information in a field it is not translated 12 Security Features SEDI includes several security features that protect the information that you submit and ensure that it is correct Some of these features include m U Q If you attempt to log in with an incorrect password three times in a row you will be locked out of the system for 30 minutes If you leave SEDI inactive for more than 20 minutes you will be logged out All information that has not yet been submitted t
36. manner on a per share basis For example the following items are not issuer events rights offerings normal course issuer bids redemptions of debentures expiry of warrants and private placements Select an issuer event type from the list below Issuer event type Stock Split Next 3 Use the drop down list box to select an Issuer event type 4 Click Next sN For your reference issuer event reports that have already been filed are listed on the bottom of this screen under Previous issuer event reports 152 SCREEN File issuer event report Enter and file information File issuer event report Enter and file information Issuer event type Stock Split Effective date April fa 2003 Provide a descriptive title to distinguish this event from others of a similar type Provide this tite in both English and French if appropriate Issuer event title Stock Split on Special Shares Division des Actions sp ciales Describe the issuer event including details such as affected classes of securities resulting classes of securities conversion or exchange ratios and any rounding considerations Provide these details in both English and French if appropriate Issuer event On April 1 2003 ABC Company Inc announced the details split of its special shares ata 2 1 ratio f Le 1 avril 2003 La Compagnie ABC Inc a annonc la division de ses actions sp ciales raison de 2 contre 1 Private rem
37. maturity General remarks 7 necessary to descrte the Cransacto Private remarks to securities regulatory authorities Next Cancel filina 4 Fill out the fields as shown 195 SCREEN File insider report Final review Devider profile Ineeterrepert Your weer hiomo Process tracker Select newer Select security designation Select ownership type registered holders Enter transaction information 1G and certi Insider neder Issuer Datpaave System Secwity tam Common File insider report Final review Please review this transaction before you certify it Security designation Options Common Shares Opening balance of securities or contracts 2000 held Date of transaction 2007 08 13 Noture of transaction 50 Grant of options Number oc value of securities or contracts 2000 ecquired Equivalent number or value of underlying 2000 securities acquired Number or value of securities of contracts disposed of Equivalent number or value of underlying securities disposed of Unit price Currency Conversion or Exercise price 60 00 Currency Canadian Dollar Date of expiry or maturity 2008 06 24 If the closing balance of the securities or contracts is incorrect enter the covrect balance in the Insider s calculated balance if you provide a balance here a securities regulatory authority may ask you to reconcile your closing balance numbers Closing balance of securities or contracts 4000 Insider s calculated balance held
38. name because it is in a drop down list 13 Enter information in the Additional description field if it helps to better describe the security Information that you enter in the Additional description field will not be O translated 75 14 Click File Securities that have been added are displayed on the screen under Outstanding securities The displayed security designation includes the security name and the additional description SCREEN Add security designation Completed OPTION 1 TO print a copy of the new security designation click YY Printer friendly version SEDI displays the information To add another security in a format that is easily printed and your browser s Print designation click Add dialog box opens Click Back in the SEDI screen NOT security designation on the browser to return to SEDI After you create the issuer profile supplement a letter is sent to the issuer The letter confirms that you have created an issuer profile supplement for the issuer and includes the issuer access key Once you have created the issuer profile supplement the ssuer representative home page prompts you for the issuer access key when you log in to SEDI Submit the correct access key and click Next to open the ssuer activities screen from which you can QO Amend the issuer profile supplement See page 83 File and amend issuer events See page 148 76 Linking your Account to an Existing Issuer P
39. name drop down list pro vide an Additional description if necessary and then click Next This adds the security designation to your list of Insider defined securities In limited circumstances where you will be unable to meet your filing requirement because your issuer has not added a security to their issuer profile supplement you may need to add an insider defined security Your insider defined security is recognized as a unique security and the acquisition or disposition reported does not affect the SEDI balance of your issuer defined securities For more information see Appendix 1 Balances on page 185 6 Click Next 112 SCREEN File insider report Select ownership type Ineider prafilo Imesder repert Yew weer infernnation or Selectinever Select security designation Select ownership typt registered holders Issuer MAM curity rship type 7 Use the drop down list box to specify an Ownership type for the selected secu 8 rity Choose from Q Direct Ownership Indicates that you hold the security directly For example you hold the securities in an account with your broker and the account is in your name Q Indirect Ownership Indicates that you hold the security indirectly For exam ple you beneficially own common shares in X Co but the registered owner is another entity such as a holding company that you own Q Control or Direction Indicates that you have control or direction over a secu rit
40. name field When searching use the drop down list boxes beside the fields to further DLEA Y Y define your search parameters Choose from e Starts with Searches for items that begin with your entry in the field e Contains Searches for items that contain your entry in the field e Exact match Searches for items that exactly match your entry in the field 3 Click Search we C To clear all fields click Reset SCREEN Search for issuers View search results Search for issuer View search results The following issuers met your search criteria Select an issuer from the list below heavier hunter Issuer name Issuer name English French 00019040 ABC Company Compagnie ABC Inc Inc Next New Search 4 Click the radio button beside the issuer that you want to add to your Issuer list 101 5 Click Next wiz If the desired issuer does not appear in the search results click New Search to return to the Select issuer profile supplement Search for issuer screen and change or refine your search SCREEN Agent home page The issuer is added to your Issuer list 102 Understanding Passwords and Access Keys Accounts and information in SEDI are controlled by passwords and access keys These two security features ensure the confidentiality of your personal information in the SEDI database and control who is able to file insider reports or issuer event reports on your behalf When S
41. not use initials nicknames or abbreviations Country You can select Canada U S or Other If you select Other a field appears in which you can type your country name 11 Click Next 55 SCREEN Amend insider profile Add registered holders Amend insider profile Add registered holders To add a registered holder for this issuer either select an existing registered holder from the Master list of registered holders or enter a new registered holder Each registered holder that you add will appear in your list of registered holders for this issuer and will also appear in your master list of registered holders When you have finished adding registered holders for this issuer click Next Master list of registered holders Master list of Doe Holdings Inc Select from master list registered holders or Registered Doe Trust Lid Add registered holder holder To continue with the amendment click Next we C This screen is optional To skip this screen click Next If you indicated that you want to specify one or more registered holders for other than direct holdings on the Amend insider profile Amend issuer information screen 12 Add a registered holder to the current issuer s Local list Registered holders appear in Master and Local lists The Master list contains all registered holders that you have saved and the Local list contains all registered holders that you have added to the curr
42. profile change the insider access key by clicking Change insider access key 2 Click View insider profile in the left navigation bar To print a copy of the insider profile click Printer friendly version SEDI displays the profile in a format that is easily printed and your browser s Print dialog box opens Click Back in the SEDI screen NOT on the browser to return to SEDI we 46 Amending an Insider Profile To reflect changes to your personal information or changes to your relationships with issuers you may need to amend your insider profile You can amend the details of an insider profile at any time while you are logged in If you are an agent choose an insider from your Insider list and enter the correct insider access key For more information see Performing Insider Activities on page 95 To amend your insider profile 1 Click Insider profile in the top right navigation bar SCREEN Introduction to insider profile activities Form 55 102F 1 O Insider home page ancais Insider profile Insider report Your user information y Insider Doe J Introduction to insider profile activities Form 55 102F1 With insider profile activities you can Logou Contact us telp April 1 2003 e view the insider profile which includes the insider s name address phone number the name of the issuer the relationship of the insider to the issuer and the date the insider became an insider or the
43. profile Add an issuer to the insider profile Create insider profile Add an issuer to the insider profile Search for an issuer using one of the following options Option Search for an issuer by entering the issuer number Note 1 you must enter all 8 digits including the leading zeros Issuer number Option Search for an issuer by entering the issuer name 2 Issuer name ABC Company Inc Exact match Note If you are unable to locate the issuer try to refine your search or contact the issuer as the issuer profile supplement may not have been created Search Reset 7 Search for an issuer to add to your profile using one of the following options QO Option 1 Enter the SEDAR profile number in the Issuer number field Q Option 2 Enter the issuer s name in the Issuer name field v y When searching use the drop down list boxes beside the fields to further YY define your search parameters Choose from o e Starts with Searches for items that begin with your entry in the field e Contains Searches for items that contain your entry in the field e Exact match Searches for items that exactly match your entry in the field 8 Click Search we C To reset all fields click Reset SCREEN Create insider profile View issuer search results Create insider profile View issuer search results The following issuers met your search criteria Select the issuer you wish to add to the
44. registration will be completed and you may proceed to file reports on SEDI You will not be able to access Insider Issuer or Agent functionality within SEDI until the registration process has been completed To check whether your registration has been completed you should login as a SEDI user and click Your user information and then click View your user information to verify your registration status 19 For information about resetting passwords see Changing your Password on page 26 For information about logging in to your SEDI account see Logging In and Out on page 24 20 Viewing a SEDI User Account Once you have created a SEDI user account you can view it at any point in your SEDI session To view the details of your SEDI account 1 Click Your user information in the top right navigation bar at any point in your SEDI session SCREEN Introduction to SEDI user activities April 1 2003 R N Your user information Introduction to SEDI user activities With SEDI user activities you can e view your registration information by clicking View your user information amend your registration information by clicking Amend your user information change your password by clicking Change your password 2 Click View your user information in the left navigation bar SCREEN View your user information To print a copy of your user information click Printer friendly version SEDI displays the user information in a fo
45. search by a security click the check box beside the security s name To include all securities within a security category in your search criteria either leave all check boxes unchecked or click Select all To deselect a security after selecting them all click the check box beside the security To search by an issuer industry classification click the industry in the Issuer industry classification field 6 Click Search SCREEN Insider transaction detail Select insider 7 To view the transaction for a specific insider click View beside the insider in the list If the transaction that you want to view does not appear in the list of transaction reports click Refine Search Criteria to return to the Insider transaction detail Enter search criteria screen If you searched by issuer click View beside the issuer in the list 163 SCREEN Insider transaction detail View details for insider The transactions displayed are sorted by security designation registered holder and then date of transaction xiy Inthe report reports about the same transaction are differentiated using YY the following codes e O Original transaction A Amended transaction e A Second amendment to transaction Further amendments are marked A A etc AP Amendment to paper filing AP Second amendment to paper filing Further amendments are marked AP AP etc OPTIONS View Remarks You can view repo
46. than What colour is the sky In addition you must provide an answer to the question Confidential What was my dog s name question Answer to confidential question Line 2 Suite 1200 Rex 72 6 Enter information about the insider affairs contact person in the fields provided 1 Name Use upper and lower case letters as applicable Do not use initials nicknames or abbreviations Country Use the drop down list box to select Canada U S or Other If you select Other a field appears in which you can type your country name Every field must be filled in or marked Not Applicable with the check box This information is not accessible to the public 7 Click Next SCREEN Create issuer profile supplement File information information Issuer number Full legal name English Full legal name French Insider affairs contact Family name Given names in full Address street name and ned number etc Line 2 Municipality city town etc Province territory or state Country Postal code or zip code Daytime telephone number Fax number E mail address Confidential question Answer to confidential question To print this informetion click Printer friendly version Create issuer profile supplement File 00019040 ABC Company Inc Compagnie ABC Inc Jones Jane Anne 3500 Yonge Street Suite 1200 Toronto Ontario Canada M4N 2P8 416 555 5555
47. the CDS INC help desk If you had not certified your report before the crash you will be required to enter the infor mation again If you are unable to complete your insider report before your filing deadline because of a technical problem you may use the temporary hardship exemption File the report using the paper insider report form and write TEMPO RARY HARDSHIP EXEMPTION FILING at the top of the form Fax the paper form to your securities regulatory authorities made a mistake on a previous screen What can do If you have submitted data to the server using a button such as Certify or File you can edit or amend the information To check if your data has been filed view the public reports If you have not submitted data to the server click Cancel or Edit If there is no Cancel but ton click the link to return to your home page Agent home page Insider home page or Issuer representative home page and start the task over Why can t I log in to SEDI SEDI locks you out of the system for 20 30 minutes if e You have attempted to log in with an incor rect password three times in a row e You closed your browser while logged in to SEDI After 20 30 minutes you can log in with the correct password Do passwords access keys expire When Passwords expire after 1 year 90 days Access keys do not expire I ve forgotten my password What can do Contact the CDS INC help desk En
48. them Issuers that you have added to your account appear in the Issuer list You will be unable to perform issuer activities until your account is activated For more information about activating accounts see Creating a SEDI User Account on page 15 ss ty Once you have added an issuer to your list you cannot remove it If the issuer that you represent does not appear in your Issuer list you must create their issuer profile supplement or if they have already created an issuer profile supplement add them to your Issuer list For more information see Creating an Issuer Profile Sup plement and Adding an Issuer to your Issuer List on page 100 To perform activities on behalf of an issuer SCREEN Agent home page 1 Use the drop down list box to select the issuer from your Issuer list OR Enter the SEDAR profile number in the Issuer number field 2 Enter the issuer s access key in the Issuer access key field 4z The issuer access key is issued when the issuer profile supplement is created For more information see Creating an Issuer Profile Supplement on page 68 3 Click Next SCREEN Issuer activities From the ssuer activities screen you can QO View or amend the issuer profile supplement See page 80 and page 83 QO File issuer event reports See page 148 UO Change the access key See page 91 99 Creating an Issuer Profile Supplement If the issuer that you represent does not have an issuer p
49. to Ra confidential question _Next 1 Enter the new information in the fields 2 Click Next 84 SCREEN Amend issuer profile supplement File amended information 3 Ensure that the amendment to the issuer profile supplement is correct 4 Click File and then click OK in the dialog box To print the amendments to the issuer profile supplement click Printer friendly version SEDI displays the details in a format that is easily printed and your browser s Print dialog box opens Click Back in the SEDI screen NOT on the browser to return to SEDI wy SCREEN Amend issuer profile supplement Completed The issuer profile supplement has been amended OPTION To cancel the amendment click Cancel and then click OK in the dialog box You return to the Amend insider affairs contact information screen 85 Add security designation 1 Click Add security designation in the left navigation bar SCREEN Add security designation Add security designation Before you add a new security designation ensure that the security designation is not already in the Outstanding securities list below Note Options rights and warrants are issuer derivatives Security Issuer Derivatives Options Rights category Provide a security designation using the fields below Select the most relevant security name in the first field and add additional descriptors if any in the second field Security designati
50. use the drop down list boxes beside the fields to further YY define your search parameters Choose from O e Starts with Searches for items that begin with your entry in the field e Contains Searches for items that contain your entry in the field e Exact match Searches for items that exactly match your entry in the field 3 Click Search we C To clear all fields click Reset SCREEN Link your SEDI user ID to the issuer profile View search results Link your SEDI user ID to the issuer profile supplement View search results The following issuers met your search criteria Select an issuer from the list below issuer number Issuer name Issuer name English French ABC Company Compagnie ABC G 00019040 the aes Next New Search 4 Click the radio button beside the issuer profile supplement to which you want to link your SEDI user ID 5 Click Next If the issuer profile supplement does not appear in the search results click New Search to return to the Link your SEDI User ID to the issuer profile supplement screen and change or refine your search we If you are unable to locate the issuer profile supplement after several searches confirm that it has been created SCREEN Link your SEDI user ID to the issuer profile Enter issuer access key 6 Enter the correct issuer access key in the field tz The access key is assigned when you create the issuer profile supplement For mo
51. you are an agent choose an issuer from your Issuer list and enter the correct issuer access key For more information see Performing Issuer Activities on page 99 To change the issuer access key 1 Click Issuer profile supplement in the top right navigation bar SCREEN Introduction to issuer profile supplement activities Form 55 102F3 D Issuer home page P Logout Contact us Q Help April 1 2003 ial Issuer profile supplement Issuer event report Your user information Issuer ABC Company Inc Introduction to issuer profile supplement activities Form 55 102F3 By acting on behalf of an issuer you can view the issuer profile and supplement by clicking View issuer profile access Key and supplement e amend the issuer profile and supplement by clicking Amend issuer profile and supplement e amend the issuer access key by clicking Change issuer access key 2 Click Change issuer access key in the left navigation bar 91 SCREEN Change issuer access key Change issuer access key To change the issuer access key enter the current issuer access key and click Next Issuer access key Next Cancel 3 Enter the current issuer access key in the field provided 4 Click Next SCREEN Change issuer access key Completed The new issuer access key is displayed on the screen A letter is sent to you that con firms the issuer access key was changed and contains the new issuer
52. your SEDI user ID and password to that profile To link to an existing insider profile you must provide the correct insider access key The insider access key is created when you create an insider profile For more information see Creating an Insider Profile on page 29 To link your account to an existing insider profile SCREEN Insider home page Insider home page As an insider you can create or amend your insider profile Form 55 102F1 file or amend insider reports Form 55 102F2 amend your SEDI user registration form Form 55 102F5 view SEDI filings that are available to the public including insider reports You need an insider access key to update your insider profile or to file or amend an insider report If you don t have an insider access key you must create your insider profile To do so click here Create insider profile If you already have an insider access key because someone else created your insider profile you must link your SEDI user ID to your insider profile To do so click here Link your SEDI Account to your Insider Profile 1 Click Link your SEDI Account to your Insider Profile 43 SCREEN Link your SEDI User ID to your insider profile Link your SEDI User ID to your insider profile Select one of the following options Option Search for your insider profile by entering your insider 1 number Insider C Y number Option Search for your insider profile by
53. Archived security designation Nea _Cancel ting 2 Select Options Common shares in the Outstanding securities list SCREEN File insider report Select ownership type Process tracker Imede peefite inesder repert Yow weer infernmstion Select issuer Select security designation Select ownership typt registered holders vader neder Issuer Dstanave Sytten Security Ophens Commer File insider report Select ownership type Select en ownership type Direct Ovmership Neat Cancel fing 3 Select Direct Ownership as the Ownership type 194 SCREEN File insider report Enter transaction information SS File insider report Enter transaction information Guidelines on derivatives Security designation Options Common Shares Date of transaction Select One Select One YYYY Nature of transaction Select One Enter the number or value of securities or contracts acquired or disposed of Number or value of or Number or value of securities or contracts securities or contracts acquired disposed of Enter the equivalent number or value of underlying securities acquired or disposed of Equivalent number or or Equivalent number or value of underlying value of underlying securities acquired securities disposed of ro OF exerce CONot Applicable Currency Canadian Dollar or Exercise ONot Applicable Currency Cansdien Dollar 9 Date of expiry or Select One SelectOme YYYY DNot Applicable
54. Choose from e Starts with Searches for items that begin with your entry in the field e Contains Searches for items that contain your entry in the field e Exact match Searches for items that exactly match your entry in the field wey 3 Click Search aly OPTION x a To clear all fields click Reset To return to the Amend insider profile Add or amend issuer information screen click Go Back SCREEN Amend insider profile View issuer search results Amend insider profile View issuer search results The following issuers met your search criteria Select the issuer you wish to add to the insider profile from the list below Issuer name Issuer name Issuer number 3 English French 00000000 aa Company a XYZ Next New Search 4 Click the radio button beside your issuer stv You can only select one issuer at a time If you are unable to locate your issuer click New Search to return to the Amend insider profile Add an issuer to the insider profile screen and refine your search 5 Click Next 52 SCREEN Amend insider profile Amend issuer information 6 Use the drop down list box to select a relationship in the Insider s relationship to issuer field To select more than one relationship press and hold the Ctrl keyboard key and mouse click your selections 7 Specify the date the insider became an insider of the current issuer OR the open ing balance date in the fi
55. DE Weekly summary Last week Sorted by class of security PDF Weekly summary Two weeks ago Sorted by insider PDF Weekly summary Two weeks ago Sorted by class of security PDE Weekly summary Three weeks ago Sorted by insider PDE Weekly summary Three weeks ago Sorted by class of security 171 5 Click PDF beside the report and then click OK in the dialog box to download the desired report Iv These reports can be quite large and downloading may take several minutes In the report reports about the same transaction are differentiated using the following codes e O Original transaction A Amended transaction e A Second amendment to transaction Further amendments are marked A A etc AP Amendment to paper filing AP Second amendment to paper filing Further amendments are marked AP AP etc The PDF report opens in your browser Click Print on your browser to print the report and click Back on your browser to return to SEDI 172 Viewing Insider Information Some of the information about insiders filed in SEDI is publicly available Personal information such as address and telephone number is not included in public reports To view insider information SCREEN Welcome to SEDI S E D RN Register as aSEDI user Access public filings Welcome to SEDI 1 Click Access public filings in the top right navigation bar SCREEN Intr
56. EDI user accounts insider profiles or issuer profile supplements are created SEDI assigns IDs passwords numbers and access keys The following table outlines the IDs passwords numbers and access keys that you will need to perform activities for each user classification SEDI User Classification IDs Passwords and Access Keys Assigned Insider SEDI user ID password e Insider number e Insider access key Issuer e SEDI user ID password e Issuer access key Note SEDI also uses the profile number defined for the issuer in the System for Electronic Document Anal ysis and Retrieval SEDAR Agent e SEDI user ID password Note To file information about insiders or issuers you must enter the access key assigned to the insider pro file or issuer profile supplement Passwords Each SEDI user account whether it is an insider issuer or agent account is assigned a password This password is linked to your SEDI user ID and protects it from use by oth ers SEDI issues your password when you create your SEDI user account and displays iton the screen when you have completed the registration form For information about creating a SEDI user account see Creating a SED User Account on page 15 Passwords are case sensitive d 103 The SEDI Operator cannot retrieve your password Ensure that you print it and keep it in a secure location If you lose your password the SEDI Operator can reset
57. Full legal name English Full legal name French Industry classification Jurisdiction s where reporting issuer Stock symbol Stock exchanges or markets Previous Issuer Head office Department Address street name and Line 1 number etc Line 2 Municipality city town etc Province territory or state Country Postal code or zip code Daytime telephone number Fax number Mailing address Address street name and tine number etc Line 2 Municipality city town etc Province territory or state Country Postal code or zip code Daytime telephone number Fax number To print this information click Printer friendly version 00019040 ABC Company Inc Compagnie ABC Inc Miscellaneous All Provinces ABC Canada TSE United States NYSE No Suite 1200 3500 Yonge Street Toronto Ontario Canada M4N 2P8 Suite 1200 3500 Yonge Street Toronto Ontario Canada M4N 2P8 Printer friendly version The left navigation bar expands to include the following options QO View issuer profile and supplement QO View issuer event report Q View security designation View issuer profile and supplement Select this option to view the relevant sections of the issuer profile in SEDAR and sup plement from SEDI To print a copy of the issuer profile supplement click Printer friendly version SEDI displays the issuer profile supplement in a format that is easily printed and your brows
58. If you want to be contacted at a different telephone To cancel the contact information click Cancel You return to the Amend insider number fill in only the Daytime telephone number profile Amend issuer fields information screen If you want correspondence to be sent to a different person fill in all the fields Name Use upper and lower case letters as applicable Do not use initials nicknames or abbreviations Country You can select Canada U S or Other If you select Other a field appears in which you can type your country name 61 8 Click Next SCREEN Amend insider profile Add registered holders Amend insider profile Add registered holders To add a registered holder for this issuer either select an existing registered holder from the Master list of registered holders or enter a new registered holder Each registered hoider that you add will appear in your iist of registered holders for this issuer and will also appear in your master list of registered hoiders When you have finished adding registered holders for this issuer click Next Master list of registered holders Master list of Doe Holdings Inc Select from master list registered Doe Trust Ltd holders xj or Registered E Add registered holder holder To continue with the amendment click Next _Next Local list of the registered holders for this issuer To remove a registered hoider for this issuer select the
59. Insider Example E Introduction to insider report activities Form 55 102F2 2 Click Amend or delete insider report in the left navigation bar SCREEN Amend or delete insider report Amend or delete insider report Select issuer Select an issuer from the insider profile Issuer number Issuer name Engksh Issuer name French Issuer information 00008201 NAME Inc NAME Inc 10001415 SEDI Test SEDI Test To narrow your search enter a transaction date range Starting on Select One Select One YYYY Ending on August 26 2008 l Amend or delete insider report View issuer event reports Cancel Insider Reports filed in paper are not stored in SEDI To amend an insider report that was filed in paper click Amend paper filing to enter the transaction information Amend Paper Filing 3 Select an issuer from the List of issuers from the insider profile 123 4 To narrow your search use the drop down list boxes to enter a month and a day and enter a 4 digit year in the Starting on and Ending on fields These dates represent the date the transaction occurred not when the report was filed 5 Click Amend or delete insider report OPTION To view issuer event reports from the issuer 1 Select an issuer from the list of issuers 2 Click View issuer event reports An information window is displayed listing the issuer event reports filed since the insider s last insider report filing 3 Se
60. Reports 0 002000 eee eee 167 Viewing Weekly Summary Reports 0000 eee eee ees 170 Viewing Insider Information 012adaceec ee edveee serena shen d deed es 173 Viewing Issuer Information iyi eee es cede es nthe eauke eee ides eks ke eeae et 177 View issuer profile and supplement 00 0c eee eee ee eee 179 View issuer event report 2 0 0 0 00 eee 180 View security designation cs een ean Mase nce eew ewe eee eee wn ees 181 Troubleshooting fio sie dedee eee ee Geet s ad Seek eee Ges ea ae awk eee 182 Appendix 1 Balances cacciac cs cce we iac knee ea iee se cows Bee eeeswee ee eee 185 POIOINGS e cucuktueueoeeeaeeeieumataGuseedao seas N EENEG E 185 SEGUITS a saa i a deho dadean a aa a Ai pos da ad aa laaa i a a Ea a i aa a BR ei 186 Balance Dales cence eaueced oe te Re kamaa peewee he a E enews eed sees 189 Appendix 2 Commonly Filed Trades 0000 eee e eee eee eee 191 Filing an Initial Report ecccaunee se bubeeeSideded debe eeedthedohesteedee 191 Filing an Acquisition of Options Exercisable into Common Shares 193 Filing an Acquisition of Common Shares 000 00 eee eee ees 197 Appendix 3 Nature of Transaction Codes 000 0s cece 200 ce te ee ee ee ee ee E ee re re 202 Getting Started Welcome to the System for Electronic Disclosure by Insiders SEDI the official on line system for filing insider trading reports as required by Canadian securities legislat
61. amendment click Cancel and then click OK in the dialog box The insider profile is not amended and you return to the Amend insider profile screen SCREEN Certification 14 Review the certification information carefully 15 Click Accept OPTION To print the insider profile with a date and time stamp click the check box provided SEDI displays the profile in a format that is easily printed and your browser s Print dialog box opens Click Back in the SEDI screen NOT on the browser to return to SEDI SS ty To decline the Certification click Decline You return to the Amend insider profile File amended information screen SCREEN Amend insider profile Completed Your insider profile has been amended 64 Changing your Insider Access Key SEDI assigns an insider access key to each insider profile To file information about an insider SEDI users must supply the correct insider access key Because the insider access key is assigned to the insider profile it is not specific to one SEDI user Two users can use the same access key as long as they have both logged in with their own unique SEDI user ID and password If you feel that your insider access key is no longer secure you can generate a new one If you forget or lose your insider access key contact CDS INC at 1 800 219 5381 The SEDI Operator will verify your identity and then issue you a single use insider access key A letter is sent to you containing the s
62. ance will not be automatically updated In this case you must manually correct it as follows File another report for the insider defined security but select Nature of transaction code 99 Correction of informa tion and report an equal and opposite transaction See the following example Example If you want to file a report for a grant from your issuer for 500 options that can be exer cised into common shares and the option does not appear in the Outstanding securities list you need to add an insider defined security in order to meet your filing requirement You should only create an insider defined security if the issuer cannot add the security to the Outstanding securities list before your filing deadline Create the insider defined security Options Common Shares and file your insider report If the issuer then adds Options Common Shares to the Outstanding securities list and you file a transaction against this security SEDI will not add the balance of this transac tion to your first transaction Because the transactions are filed for an insider defined security and an outstanding security SEDI considers them different securities 188 To reconcile your SEDI balances you must file two transactions 1 First file an equal and opposite transaction for the insider defined security When you file select Options Common Shares in your Insider defined security list select Nature of transaction code 99 Correction of infor
63. anding securities list select it from the Archived security designation list If the security is not in the Outstanding securities or Archived security designation list select an Insider defined security For more information about issuer and insider defined securities see Appendix 1 Balances on page 185 Amend Holder and or Ownership type SCREEN Amend insider report Select ownership type and registered holder Amend insider report Select ownership type and registered holder Select an ownership type Indirect Ownership Select a registered holder RRSP Spousal RRSP RESP des enfants RRSP Nouveau 0 Add new holder Next Cancel amendment 1 Use the drop down list box to specify an Ownership type for the selected security Choose from QO Direct Ownership Indicates that you hold the security directly For example you hold the securities in an account with your broker but the account is in your name 126 QO Indirect Ownership Indicates that you hold the security indirectly For example you beneficially own common shares in X Co but the registered owner is another entity such as a holding company that you own Securities held in an RRSP account is another example of securities reported under Indirect Ownership QO Control or Direction Indicates that you have control or direction over a security You have control or direction if directly or indirectly you have or share voti
64. arks to securities regulatory authorities a File Cancel 5 Use the drop down list boxes to enter a month and day in the Effective date fields Enter a 4 digit year Enter a descriptive title in the Issuer event title field Enter details about the event that you want made public in the Issuer event details field i Information that you enter in the Issuer event details field will not be translated Enter information in English and French if appropriate 153 8 Enter private remarks about the event in the Private remarks to securities regu latory authorities field This is an optional field These remarks will only be accessible by securities regu latory authorities 9 Click File and then click OK in the dialog box OPTION SCREEN File issuer event report Completed To cancel the issuer event report click Cancel on the File issuer event report Enter and file information screen and then click OK in the dialog box The report is not filed and you return to a blank File issuer event report Form 55 102F4 screen 154 Viewing an Issuer Event Report To view an issuer event report QO You must have an issuer or agent account For more information see Creating a SEDI User Account on page 15 Q You must be logged in with a valid SEDI user ID and password and you must have entered the correct issuer access key For more information see Logging In and Out on page 24 and Using Issuer Ac
65. ary January 3 1500 500 2000 10 January 5 January 4 2000 300 2300 189 Note that the opening and closing balances for the transaction that occurred on January 4 in the last row of the above table has changed to reflect the acquisition that you made on January 3 Certifying the Closing Balance When you file or amend an insider report SEDI prompts you to certify the closing bal ance that it has calculated for the security If you disagree with the closing balance you can enter another value in the Insider s defined balance field is not updated and will not appear as the opening balance when you file your next insider report Staff from your securities regulatory authority will contact you to resolve the discrepancy When you report an insider defined balance the calculated SEDI balance Remember that SEDI balances only reflect transactions that you have reported on the system If the SEDI closing balance is incorrect because of exempt trades that you have not filed in SEDI for example trades related to automatic securities purchase plans do not enter a value in the Insider s calculated balance field SEDI balances should only reflect transactions that you have filed in SEDI Amendments to Paper Filings When you amend insider reports filed in SEDI the system recalculates your balance as appropriate However if you file an amendment to a paper filing this amendment does NOT affect the balance of yo
66. box opens Click Back in the SEDI screen NOT on the brower to return to SEDI Insider reports are normally publicly available on SEDI within five minutes after filing 121 Amending an Insider Report To amend an insider report QO You must have an insider or agent account that has been activated For more information see Creating a SEDI User Account on page 15 and Activating Your Account on page 19 QO You must be logged in with a valid SEDI user ID and password For more informa tion see Logging In and Out on page 24 and Using Insider Accounts on page 28 If you are an agent choose an insider from your Insider list and enter the correct insider access key For more information see Performing Insider Activities on page 95 You can amend an insider report that was filed in SEDI or filed in paper before SEDI was launched QO Amending a SEDI filed Report See page 123 QO Amending a Paper filed Report See page 134 122 Amending a SEDI filed Report When you amend an insider report that was filed in SEDI you can Q Amend information about the security Q Amend information about the security s registered holder Q Amend the details of the report QO Delete the report To begin amending a SEDI filed report 1 Click Insider report in the top right navigation bar SCREEN Introduction to insider report activities Form 55 102F2 SED Insider profile Insider report Your user information 1
67. browser s Print dialog box opens Click Back in the SEDI screen NOT on the browser to return to SEDI wy 82 Amending an Issuer Profile Supplement To reflect changes to insider affairs contact information or changes to the list of securi ties held by issuers you may need to amend an issuer profile supplement You can make amendments to an issuer profile supplement at any time while you are logged in after your account has been activated If you are an agent choose an issuer from your Issuer list and enter the correct issuer access key For more information see Performing Issuer Activities on page 99 To amend an issuer profile supplement 1 Click Issuer profile supplement in the top right navigation bar SCREEN Introduction to issuer profile supplement activities Form 55 102F3 P Logout Contact us EB Help April 1 2003 S Issuer ABC Company Inc Introduction to issuer profile supplement activities Form 55 102F3 O Issuer home page Issuer profile supplement Issuer event report Your user information By acting on behalf of an issuer you can view the issuer profile and supplement by clicking View issuer profile L ACCESS KEY and supplement e amend the issuer profile and supplement by clicking Amend issuer profile and supplement e amend the issuer access key by clicking Change issuer access key 2 Click Amend issuer profile supplement in the left navigation bar The left navigat
68. c ABC merger with XYZ Company C 2003 04 01 2003 04 02 Stock Split JIONESOO1 Stock 2003 04 01 2003 04 02 Consolidation Amalgamation cC 2003 04 01 2003 04 02 Merger or Reorganization Inc XYZ Fusion 110NESOO1 de la Compagnie ABC Inc ABC avec la Compagnie XYZ XYZ Nex 3 Click the radio button beside the report that you want to view Issuer event reports are listed by Effective date 4 Click Next SCREEN View issuer event report View information To print the details about the event click Printer friendly version SEDI displays the details in a format that is easily printed and your browser Print dialog box opens Click Back in the SEDI screen NOT on the browser to return to SEDI wy 156 Amending an Issuer Event Report To amend an issuer event report QO You must have an issuer or agent account For more information see Creating a SEDI User Account on page 15 Q You must be logged in with a valid SEDI user ID and password and you must have entered the correct issuer access key For more information see Logging In and Out on page 24 and Using Issuer Accounts on page 67 LY Your SEDI account must be activated If you are an agent choose an issuer from your Issuer list and enter the correct issuer access key For more information see Performing Issuer Activities on page 99 To amend the details of an issuer event report 1 Click Issuer event report
69. ccord ingly Insider defined Securities You may need to file an insider report about a security that is not defined in the issuer profile supplement for example a third party derivative call option that is not issued by 187 the issuer In this case the security is one that you have defined yourself so it does not appear in the Outstanding securities or Archived security designation lists securities or Archived security designation list contact the issuer and have them add the security to their issuer profile supplement Do not If the security is issued by your issuer but is not on the Outstanding i ae create an insider defined security In limited circumstances where you will be unable to meet your filing requirement because your issuer has not added a security to their issuer profile supplement you may need to add an insider defined security When you file a report about an insider defined security the security is not added to the issuer profile supplement and SEDI does not recognize the security as one defined by your issuer Because SEDI considers the insider defined security to be unique transactions filed for an insider defined security do NOT affect the balances that SEDI calculates for securities issued by your issuers even if the name of the security is the same If after you have filed a report about an insider defined security the issuer adds that security to the outstanding securities list your SEDI bal
70. cess key to perform any access key to perform any subsequent amendments to the issuer subsequent amendments to profile supplement or to report an issuer the insider profile or to file an event insider report for the insider Create insider profile Create issuer profile supplement If you are not a SEDI agent you have also been redirected to this page because your SEDI user classification shows you could be acting as both an insider or an issuer representative Where it affects system operability SEDI will disable the use of your browser s back button In these instances clicking the browser back button will not return you to a prior screen you will remain on the current screen While in SEDI if for any reason you click the browser stop button you must click the browser refresh button in order to proceed 94 Performing Insider Activities Use the left column on the Agent home page to manage the list of insiders that you rep resent and to file information for them Insiders that you have added to your account appear in the Insider list wy Once you have added an insider to your list you cannot remove it If the insider that you represent does not appear in your Insider list you must create their insider profile or if they have already created an insider profile you must add them to your Insider list For more information see Creating an Insider Profile and Adding an Insider to your Insider List on page 96
71. check boxes to add contact information or regis tered holders you return to the Amend insider profile screen Skip to Step 11 60 6 Amend insider profile Add contact information optional we Amend insider profile Add contact information optional Family name Given names in full Address street name and number etc Une 1 Line 2 Municipality city town etc Country Province territory or state Postal code or zip code Daytime telephone number Fax number E mail address Next Cancel Doe Jane fi23 Granville Street Suite 201 Vancouver Canada British Columbia LON 2P9 604 B33 333 ext eor Bas poaa jdoe business com This screen is optional To skip this screen click Next When you provide optional contact information any correspondence regarding your SEDI filings is sent to the address entered here rather than to your personal address If you indicated that you want to provide another address or contact person on the Amend insider profile Amend issuer information screen 7 Enter the contact s personal information in the fields provided we You do not need to fill in all the fields For example if you want to receive correspondence at an address that is not your principal address simply fill in the address fields OPTION When you fill in some of the address fields e g Province territory or state you must fill in the remaining address fields
72. ck View insider information Insiders that do not own or trade in securities of the issuer with whom they have a relationship need not file insider reports or profiles 2 Click View issuer information in the left navigation bar 177 SCREEN Select issuer 3 Search for the issuer using one of the following options QO Option 1 Enter the SEDAR profile number in the Issuer number field QO Option 2 Enter the issuer s name in the Issuer name field 1 When searching use the drop down list boxes beside the fields to further YY define your search parameters Choose from e Starts with Searches for items that begin with your entry in the field e Contains Searches for items that contain your entry in the field e Exact match Searches for items that exactly match your entry in the field 4 Click Search ss ty To clear all fields click Reset SCREEN Select issuer View search results 5 Click the radio button beside the issuer about which you want to view information 6 Click Next iz If the desired issuer does not appear in the search results click New Search to return to the View insider information screen and change or refine your search 178 SCREEN View issuer profile and supplement View issuer information event report View security designation Issuer ABC Company Inc Register as a SEDI user Access public filings View issuer profile and supplement Issuer number
73. counts on page 67 Q Your SEDI account must be activated i If you are an agent choose an issuer from your Issuer list and enter the correct issuer access key For more information see Performing Issuer o Activities on page 99 You can also view issuer events in the publicly available reports For more information see Viewing Issuer Information on page 177 To view the details of an issuer event report 1 Click Issuer event report in the top right navigation bar Introduction to issuer event report activities Form 55 102F4 Fran ais Issuer home page ogou Contact us _ bl Issuer profile supplement Issuer event report Your user information Issuer ABC Company Inc Introduction to issuer event report activities Form 55 102F4 With issuer event report activities you can view the issuer event report by clicking View issuer event report file an issuer event report by clicking file issuer event report amend an issuer event report by clicking Amend issuer event report 2 Click View issuer event report in the left navigation bar 155 SCREEN View issuer event report View issuer event report Select an issuer event report from the list below Effective date Filing date Issuer event Issuer event Filed by type title Stock Split on Special Shares Division des Actions sp ciales Stock Consolidation on Special Shares JIONESOO1 Regroupement des Actions sp ciales ABC Company In
74. ct 57 16 Click Certify OPTIONS Edit To edit the amendment click Edit On the Amend insider profile Edit Amendment screen click one of the following options e Amend insider information Opens the Amend insider profile Form 55 102F 1 Amend insider information screen See Amend insider information on page 48 Add or amend issuer information Opens the Amend insider profile Add or amend issuer information screen See Add or amend issuer information on page 50 Print To print a copy of the insider profile click Printer friendly version SEDI displays the profile in a format that is easily printed and your browser s Print dialog box opens Click Back in the SEDI screen NOT on the browser to return to SEDI Cancel To cancel the amendment click Cancel and then click OK in the dialog box The insider profile is not amended and you return to the Amend insider profile screen SCREEN Certification 17 Review the certification information carefully 18 Click Accept OPTION aly To print the insider profile with a date and time stamp l To decline the Certification click the check box provided SEDI displays the profile in click Decline You return to a format that is easily printed and your browser s Print the Amend insider profile dialog box opens Click Back in the SEDI screen NOT File amended information on the browser to return to SEDI screen SCREEN Amend insider profile Completed Your ins
75. d Your new insider access key is displayed on the screen A letter is sent to you at your personal address which confirms the insider access key was changed and contains the new insider access key The insider access key is unique and Agents need it to access the insider profile or to file insider reports for the insider To print this screen for your reference click Print on your browser s navigation bar to open the Print dialog box 66 Using Issuer Accounts After you create a new issuer account in SEDI and the SEDI Administrator activates your account you should either create an issuer profile supplement or link your account to an existing issuer profile supplement An issuer profile supplement includes information about the issuer SEDI reads the issuer profile from the System for Electronic Document Analysis and Retrieval SEDAR but further information is required for insider reporting purposes such as a list of securities held by insiders The information in the issuer pro file supplement augments the issuer profile from SEDAR _No insider reports can be filed for an issuer until the issuer profile supplement has been completed The issuer profile supplement is protected by an Issuer access key Only SEDI users who supply the correct issuer access key can access the profile or file any issuer event reports on behalf of the issuer associated with the profile You cannot file issuer event reports until you have created an i
76. d by Effective date 4 Click Next 158 SCREEN Amend issuer event report Amend and file information Amend issuer event report Amend and file information Issuer event type Stock Consolidation Effective date April 2 2003 Provide a descriptive tite to distinguish this event from others of a similar type Provide this title in both English and French if appropriate Issuer event title Stock Consolidation on Special Shares Regroupement des Action Describe the issuer event including details such as affected classes of securities resulting classes of securities conversion or exchange ratios and any rounding considerations Provide these details in both English and French if appropriate Issuer event details On April 2 2003 ABC Company Inc announced the consolidation ofits special shares ata 1 2 f Le 2 avril 2003 la Compagnie ABC Inc a annonc le regroupement de ses actions sp ciales raison de 1 contre 2 z Private remarks to r securities regulatory a authorities File Cancel 5 Enter the new information in the fields 6 Click File and then click OK in the dialog box OPTION SCREEN Amend issuer event report Completed To cancel the amendment click Cancel on the Amend Your issuer event report has been amended issuer event report Amend and file information screen and then click OK in the dia log box The report is not amended and you return toa blank Amend issuer eve
77. d to your Master and Local lists and both lists are displayed on the screen To copy a registered holder from the Master list to the Local list click the registered holder in the Master list of registered holders and then click Select from master list To remove a registered holder from the Local list click the radio button beside the registered holder and then click Remove Click Confirm removal on the Create insider profile Confirm removal screen Note If an insider report has been filed about a security held by a registered holder you cannot remove that registered holder In addition you cannot remove a registered holder from the Master list 18 Click Next 39 SCREEN Create insider profile View issuers added to profile Create insider profile View issuers added to profile To add another issuer to this insider profile click Add issuer otherwise click Next Issuer number Issuer name Issuer relationships 00019040 ABC Company Inc Senior Officer of Issuer Add issuer Next 19 Ensure that the list of issuers is correct 20 Click Next OPTION To add another issuer to the insider profile click Add issuer You return to the Create insider profile Add an issuer to the insider profile screen 40 SCREEN Create insider profile Certify and file insider profile 21 Ensure that the information you entered is correct 22 Click Certify OPTIONS Edit To edit the insider profile click E
78. der whose profile you want to view 6 Click Next ty If the desired insider does not appear in the search results click New Search to return to the View insider information screen and change or refine your search 175 SCREEN View insider profile xiy TO print a copy of the insider profile click Printer friendly version SEDI 7 displays the profile in a format that is easily printed and your browser s Print dialog box opens Click Back in the SEDI screen NOT on the browser to return to SEDI 176 Viewing Issuer Information Some information about issuers is publicly accessible through SEDI This information is filed on the System for Electronic Document Analysis and Retrieval SEDAR and in SEDI Some information filed about issuers is confidential and is not included in public reports To view issuer information SCREEN Welcome to SEDI Francais Login Contact us telp Ap 3 Ri i Register as a SEDI user Access public filings EN Welcome to SEDI 1 Click Access public filings in the top right navigation bar SCREEN Introduction to access public filings activities Francais Login Contact us telp April 3 2003 Ri i Register as a SEDI user Access public filings an Introduction to access public filings activities Insider information To view profiles of insiders directors senior officers and significant shareholders that have filed insider reports in SEDI cli
79. ding a SEDI User Account 04 664 cece hene dene va mend enn ceebeeudas 22 Logging IN QneOUr usd cc oe ee ey oe penton E EE a eee eta KOTA E 24 Changing your Passwords coco cceskeeatededwedededeus ehueets Sotedede caus 26 Using Insider AGCOUNS d00ctawiteein ne eee we w eda e nae ak eae weal 28 Creating an Insider Profile 303 300s yuan woe done dees ORE ee Eee Bee ee eed 29 Linking your Account to an Existing Insider Profile 2 0000 eee eee 43 Viewing an Insider Profile oucucencwideveuS deeds enbeudetee ese ataddeud bed 46 Amending an Insider Profile 0 000 eee 47 Amend insider information 02 000 cece ee eee 48 Add or amend issuer information 0 000 eee eee 50 Changing your Insider Access Key 000 0c e eee eee eee 65 Using Issuer Accounts 6 6 cease aie eva wed bee ew ae wee eee 67 Creating an Issuer Profile Supplement 00000 cece eee ees 68 Linking your Account to an Existing Issuer Profile Supplement TI Viewing an Issuer Profile Supplement nananana annaa 80 Amending an Issuer Profile Supplement nananana anaana 83 Changing your Issuer Access Key 000 cece ee ees 91 Using Agent Accounts nin i evn ah hn hin ny yom ay a gh a a 93 Using the Agent Home Page 0 00 cece eee 94 Performing Insider Activities 6c 266 604sdnenencnes es deve earer nq eehunnes 95 Creating an Insider Profile nunnu anaana 96 Adding
80. dit On the Create insider profile Edit information screen click one of the following options Edit profile information Returns you to the Create insider profile Form 55 102F 1 Enter individual information screen Add issuer information Returns you to the Create insider profile Add an issuer to the insider profile screen To return to the Create insider profile Edit information screen without editing the insider profile click Go Back e Edit issuer information Opens the Create insider profile Edit issuer information screen Click the radio button beside the issuer you want to edit and then click Edit or Remove To return to the Create insider profile Edit information screen without editing the insider profile click Go Back When you have finished editing the insider profile click Next to proceed to the Create insider profile Certify and file insider profile screen Print To print the insider profile click Printer friendly version SEDI displays the profile in a format that is easily printed and your browser s Print dialog box opens Click Back in the SEDI window NOT in the browser to return to SEDI Cancel To cancel the insider profile click Cancel and then click OK in the dialog box The insider pro file is not created and you return to a blank Create an insider profile Form 55 102F 1 Enter individual information screen SCREEN Certification 23 Review the certification information carefull
81. duction to insider report activities screen Final review screen 129 SCREEN Dialog box Windows Internet Explorer Certification I as an insider filing this information certify or I as an agent filing this information on behalf of an insider certify to the best of my knowledge information and belief that the information is true and complete in every respect Warning A certification made by an agent on behalf of an insider is based on the agent s best knowledge information and belief but the insider is still responsible for ensuring that the information filed by an 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 Click OK to Accept Click Cancel to Decline cna 5 Review the certification information carefully 6 Click OK SCREEN Amend insider report Completed Amend insider report Completed The insider report has been amended Security designation Registered holder Opening Date of Number o Filing Balance transactior valu quired Balance date time 858151 2008 08 24 11 Acquisition 2008 08 26 or disposition 15 17 42 cared out privately To print this information click Printer Printer friendh version friendly version Amend or delete another report Same issuer Different issuer Yes fo Note Amending another insider repor
82. e month day and year as of which you want the security to be archived 5 Click File V Insiders can file insider reports for archived securities SCREEN Archive security designation Confirm archive 6 Click Confirm archive ty To return to the previous screen click Cancel SCREEN Archive security designation Completed The issuer profile supplement has been amended OPTION To cancel the archive click Cancel on the Archive security designation File archive screen and then click OK in the dialog box You return to the Archive security designation File archive screen 90 Changing your Issuer Access Key SEDI assigns an issuer access key to each issuer profile supplement To file information about an issuer SEDI users must supply the correct issuer access key Because the access key is assigned to the issuer profile it is not specific to one SEDI user Two users could use the same issuer access key as long as they have both logged in with their own unique user ID and password If you feel that the issuer access key is no longer secure you can generate a new one If you forget or lose the issuer access key contact CDS INC at 1 800 219 5381 The SEDI Operator will verify your identity and then issue you a single use issuer access key A letter is sent to you containing the single use issuer access key After logging in once with the single use issuer access key you must change it If
83. e public in the General remarks field This is an optional field Only enter information in this field if it adds necessary information about the transaction 19 Enter any private comments in the Private remarks to securities regulatory authorities field This is an optional field These remarks will only be accessible by your securities regulatory authority 20 Click Next 142 SCREEN Amend insider transaction File transaction information Amend insider transaction File transaction information Security designation Common Shares Opening balance of o securities held Date of transaction 2003 03 20 Nature of transaction 10 Acquisition or disposition in the public market Number or value of 600 securities acquired Unit price or exercise price 11 75 Currency Canadian Dollar If the closing balance of the securities or contracts is incorrect enter the correct balance in the Insider s calculated balance If you provide a balance here a securities regulatory authority may ask you to reconcile your closing balance numbers Closing balance of 600 Insider s securities held calculated balance General remarks rf necessary to Gescribe the transaction Private remarks to securities regulatory authorities To edit this information ick the appropiate Edit security Edit holder Edit details button To print this Printer friendly version information click Printer friendly version File Cancel
84. e report or file reports for another issuer Q Select either Same security amp holder Same security amp different holder Differ ent security or Different Issuer and click Yes Same security and holder will return you to the File insider report Enter transaction information screen From this screen continue to file your report as described in Filing an insider report on page 117 Same security amp different holder will return you to the File insider report select ownership type screen From this screen continue to file your report as described in Filing an insider report on page 113 Different Security will return you to the File insider report Select security designation screen From this screen continue to file your report as described in Filing an insider report on page 111 Differenet Issuer will return you to the File insider report Select issuer screen From this screen continue to file your report as described in Filing an insider report on page 110 we Note that the File insider report Completed screen will only display reports filed for one issuer When selecting and filing a report for another issuer this screen will no longer display the previous reports filed for the first issuer 120 Q Click No to return to the ntroduction to insider report activities screen Q Click Printer friendly version to display the information in a format that is easily printed and your browser s print dialog
85. e supplement 68 100 SEDI user account 15 D DAR 187 DI 21 diagram creating a SEDI user account 16 creating insider profile 31 creating issuer profile supplement 69 filing insider report 109 filing issuer event report 159 draft savings as 11 E edi 7 ess 42 examples commonly filed trades 199 F filing insider report 107 issuer event report 157 French viewing SEDI in 12 Initial 115 insider 111 insider access key 28 42 changing 65 insider account 28 insider information viewing in public reports 181 insider information by issuer report 175 insider number 42 104 insider profile 28 103 amending 47 creating 29 96 insider access key 28 42 changing 65 insider number 42 linking your SEDI account to an existing 43 viewing 46 insider report 106 amending 122 filing 107 viewing seepublic reports insider transaction detail report 169 insider filing for using insider account 28 insider filing for using agent account 93 95 Internet address Canadian Securities Administrators CSA 190 SEDI 7 Internet browser requirements 6 issuer access key 67 74 changing 91 issuer account 67 issuer event history report 172 issuer event report 156 amending 165 202 filing 157 viewing 163 issuer information viewing in public reports 185 issuer profile supplement 67 103 amending 83 creating 68 100 issuer access key 67 74 changing 91 linking your SEDI account to an existing 77 viewing 80 issuer filing for using
86. ecause it is a third party derivative select it from the Insider defined security list or follow these steps to add an insider defined security 1 Use the drop down list box to select a security in the Security Category field click Add security designation and then click OK in the dialog box SCREEN Amend insider transaction Add security designation 2 Select a security name in the Security name list box provide an Additional description if necessary and then click Next This adds the security designation to your list of Insider defined securities SCREEN Amend insider transaction Select security designation screen 3 Use the drop down list box to select the security in the Insider defined security field and then click Select insider defined security designation In limited circumstances where you will be unable to meet your filing requirement because your issuer has not added a security to their issuer profile supplement you may need to add an insider defined security Your insider defined security is recognized as a unique security and the acquisition or disposition reported does not affect the SEDI balance of your issuer defined securities For more information see Appendix 1 Balances on page 185 10 Click Next SCREEN Amend insider transaction Select ownership type Amend insider transaction Select ownership type Select an ownership type Ownership type Direct Ownership If the ownership type is indirect ownersh
87. ecurity ss ty Information that you enter in the Additional description field will not be translated Click File Securities that have been added are displayed on the screen under Outstanding securities The displayed security designation includes the security name and the additional description SCREEN Add security designation Completed OPTION To print a copy of the issuer profile supplement click Printer friendly version SEDI displays the issuer profile supplement in a format that is easily printed and your browser s Print dialog box opens Click Back in the SEDI screen NOT on the browser to return to SEDI we To add another security designation click Add security designation The issuer profile supplement has been amended Amend security designation Click Amend security designation in the left navigation bar 87 SCREEN Amend security designation Amend security designation Select the security designation to be amended from the list below Outstanding securities Security designation Underlying security Filing date designation Common Shares 2003 04 01 Options Preferred Shares Series 2003 04 01 27 Next You can only amend the security designation not the security category For example if the original security s category was Equity and its designation was Preferred Shares you can change it to Equity Special Shares but you cannot change it to Debt Bonds
88. een Use the links in these navigation bars to move to different areas within SEDI QO Scroll bars Scroll bars are movable bars at the side or bottom of the screen When you click and drag a scroll bar the content in the area moves in the direc tion of the slide bar You may need to use the scroll bars provided to view the entire SEDI screen QO Fields Fields are empty boxes into which you can type information Fields are typically used to enter variable information such as names Q Drop down list boxes Drop down list boxes allow you to enter information by selecting an item in a list Click the drop down list arrow to view the listed items When you click an item in the list it appears in the field Q Check boxes Check boxes are small square fields that you can click to select options If a check box is already selected you can deselect it by clicking the check box Q Radio buttons Radio buttons are small round fields that you can click to select or deselect options Radio buttons are typically used to select an item in a list of search results Navigation bar a ON Insider profile Insider report Your user information Issuer ABC Company Inc Security Common Sha Amend Amend insider transaction Select ine security designation Select a security designation from the list below Outstanding securities Security designation Underlying security designation Common Shares Preferred Shares Se
89. eld provided Use the drop down list boxes to enter a month and day in the Date the insider became an insider of this issuer fields Enter a 4 digit year OR Use the drop down list boxes to enter a month and day in the Opening balance date fields Enter a 4 digit year If you have not previously filed insider reports enter a Date the insider dy became an insider of this issuer If you have previously filed insider reports enter an Opening balance date If you specify an opening balance date the date you enter must be prior to the dates of any transactions you intend to file in SEDI For example if your first SEDI report is a transaction that occurred on January 10 enter January 9 as the opening balance date To clear all fields click Reset 8 If desired indicate that you want to provide another address or contact person or you want to specify one or more registered holders for other than direct holdings by clicking the check boxes at the bottom of the screen These are optional steps 9 Click Next If you did not click the check boxes to add contact information or regis tered holders you return to the Amend insider profile screen Skip to Step 14 53 SCREEN Amend insider profile Add contact information optional Amend insider profile Add contact information optional Family name Doe Given names in full Jane Address street name and Line 1 123 Granville Street number etc Line 2 S
90. end insider information 48 SCREEN Amend insider profile Amend insider information 2 Type over information in the fields to amend it Name Use upper and lower case letters as applicable Do not use we i ts initials nicknames or abbreviations Country You can select Canada U S or Other If you select Other a field appears in which you can type your country name Every field must be filled in or marked Not Applicable with the check box 3 Click Next SCREEN Amend insider profile When you finish amending the insider information you return to the Amend insider pro file screen From this screen you can add or amend issuer information or click Next to certify the amendment Your amendment is not saved until you certify it fe 4 Click Next SCREEN Amend insider profile File amended information 5 Ensure that the information you entered is correct 49 6 Click Certify OPTIONS Edit To edit the amendment click Edit On the Amend insider profile Edit Amendment screen click one of the following options e Amend insider information Opens the Amend insider profile Form 55 102F 1 Amend insider information screen See Amend insider information on page 48 e Add or amend issuer information Opens the Amend insider profile Add or amend issuer information screen See Add or amend issuer information below Print To print a copy of the insider profile click Printer friendly v
91. ent issuer Until you have added a registered holder to your Master or Local list neither list will appear on the screen wy To add a registered holder to your Master and Local lists enter the holder name in the Registered holder field and then click Add registered holder The Amend insider profile Add registered holders screen re opens the registered holder is added to your Master and Local lists and both lists are displayed on the screen To copy a registered holder from the Master list to the Local list click the registered holder in the Master list of registered holders and then click Select from master list To remove a registered holder from the Local list click the radio button beside the registered holder and click Remove Click Confirm removal on the Amend insider profile Confirm removal screen Note If an insider report has been filed about a security held by a registered holder you cannot remove that registered holder In addition you cannot remove a registered holder from the Master list 13 Click Next SCREEN Amend insider profile When you finish adding the issuer information you return to the Amend insider profile screen From this screen you can add or amend issuer information or click Next to cer tify the amendment Your amendment is not saved until you certify it 14 Click Next SCREEN Amend insider profile File amended information 15 Ensure that the information you entered is corre
92. ential question To certify and submit your amended registration information click Certify JDOEOO5 Conditional Doe John James 123 Orchard Lane Toronto Ontario Canada T5T 5T5 416 777 7777 416 777 8888 jjdoe home com Insider What is my favourite movie Gone with the Wind Certify Cancel 5 Ensure that the displayed user information is correct 6 Click Certify and then click OK in the dialog box SCREEN Amend your user information Completed OPTION To cancel the amendment click Cancel and then click OK in the dialog box You return to the Amend your user information Form 55 102F5 screen and the amended information is deleted 23 Logging In and Out To log in to your SEDI account SCREEN Welcome to SEDI Register as aSEDI user Access public filings Welcome to SEDI 1 Click Login in the top right navigation bar SCREEN SEDI user login SEDI user login If you are a registered SEDI user enter your SEDI user ID and your password Entry of your password shall be deemed to constitute acceptance of the Terms of Use SEDI User last updated on April 7 2003 Fora printer friendly version of the complete Terms of Use SEDI User click here SEDI user ID JDOE005 Password passa Next Reset 2 Enter your SEDI user ID and password in the fields provided wy The password is case sensitive Ensure that you type the correct upper a
93. er s Print dialog box opens Click Back in the SEDI screen NOT on the browser to return to SEDI we 179 View issuer event report Select this option to view event reports filed by the issuer SCREEN View issuer event report View issuer event report Select an issuer event report from the list below Effective date Filing date Issuer event Issuer event title type Stock Split on Special Shares 2003 04 01 2003 04 02 Stock Split a sie inane oe Actions sp ciales Stock Consolidation on 2003 04 02 2003 04 02 Stock Special Shares Consolidation Regroupement des Actions sp ciales ABC Company Inc ABC merger with XYZ Amalgamation Company Inc Cc 2003 04 01 2003 04 02 Merger or Fusion de la Reorganization Compagnie ABC Inc ABC avec la Compagnie XYZ Inc Nex 1 Click the radio button beside the event report that you want to view 2 Click Next SCREEN View issuer event report View information To print a copy of the issuer event report click Printer friendly version SEDI displays the issuer profile supplement in a format that is easily printed and your browser s Print dialog box opens Click Back in the SEDI screen NOT on the browser to return to SEDI we 180 View security designation Select this option to view a list of Outstanding and Archived securities in the issuer profile supplement SCREEN View Security Designation View security designation F
94. er Select issuer Select security designation Select ownersiip type reaietered holders Insider osde issuer Dataa ave Syster Security Common She File insider report Select ownership type and registered holder Select an ownership type indirect Ownership Select a registered holder Family Trust Add new holder Next Cancel fing Select Indirect Ownership as the Ownership type Select Family Trust as the Registered holder SCREEN File insider report Enter transaction information J baudor profile Innder report Your user eformetion A Process tracker Select issuer Select security designation Select ownership type registered holders nter transects informaation Insider noder j issuer Detanave Syster Security Common Sa Holder Fary Trust File insider report Enter transaction information Security Gesignation Common Shares Date of transaction Acapast 2 2007 Nature of transaction 10 Acquisition or disposition in the public market Number or Number or value of x value of 1700 or securities acquired Not Applicable Next Cancel filing 5 Fill out the fields as shown 198 SCREEN File insider report Final review File insider report Final review Please review this transaction before you certify it Security designation Common Shares Registered holder Family Trust Opening balance of securities held Q Date of transaction 2007 08 22 Nature of transacti
95. er address or contact person on the Create insider profile Enter information about the insider s relationship to the issuer screen 15 Enter the contact s personal information in the fields provided ss ty You do not need to fill in all the fields For example if you want to receive correspondence at an address that is not your principal address simply fill in the address fields When you fill in some of the address fields e g Province territory or state you must fill in the remaining address fields If you want to be contacted at a different telephone number fill in only the Daytime telephone number fields If you want correspondence to be sent to a different person fill in all the fields Name Use upper and lower case letters as applicable Do not use initials nicknames or abbreviations Country You can select Canada U S or Other If you select Other a field appears in which you can type your country name 16 Click Next SCREEN Create insider profile Add registered holders OPTION To cancel the contact information click Cancel You return to the Create insider profile Enter information about the insider s relationship to the issuer screen holders holder issuer Click Next To continue creating the insider profile click Next New Create insider profile Add registered If this insider holds securities of this issuer in the name of a registered holder for ot
96. ersion SEDI displays the profile in a format that is easily printed and your browser s Print dialog box opens Click Back in the SEDI screen NOT on the browser to return to SEDI Cancel To cancel the amendment click Cancel and then click OK in the dialog box The insider profile is not amended and you return to the Amend insider profile screen SCREEN Certification 7 Review the certification information carefully 8 Click Accept OPTION xiy TO print the insider profile with a date and time stamp QY _ click the check box provided SEDI displays the profile in Tsidecina the Coriicaion a format that is easily printed and your browser s Print click Decline You return to dialog box opens Click Back in the SEDI screen NOT the Amend insider profile on the browser to return to SEDI File amended information screen SCREEN Amend insider profile Completed Your insider profile has been amended Add or amend issuer information From the Amend insider profile screen you can choose to add or amend issuer informa tion in the insider profile For information about the Amend insider profile screen see page 48 Click Add or amend issuer information 50 SCREEN Amend insider profile Add or amend issuer information Amend insider profile Add or amend issuer information To add an issuer click Add issuer to profile Add issuer to profile To amend or remove issuer information listed below select the corre
97. es screen LJ Click No to amend the transaction and move to the Amend insider transaction Select a report option screen For more information see Amending Multiple trade Reports on page 146 145 Amending Multiple trade Reports When you are amending more than one transaction SEDI allows you to add additional amendments for the same issuer to a single report You can only amend another transaction on the same report if it involves the same issuer n If the amendment involves a different issuer you must amend the report from the beginning on the Amend insider transaction screen To amend another transaction click No when asked if you are finished amending the insider transaction on the Amend insider transaction Completed screen SCREEN Amend insider transaction Select a transaction option Amend insider transaction Select a report option Select one of the following options Option 1 Add a transaction for Same security amp holder the same security designation and registered holder Option 2 Add a transaction for Same security amp different holder the same security designation and a different registered holder Option 3 Add a transaction for Different security a different security designation Select one of the following options Q Option 1 Same security amp holder Select this option to file an amendment about the same security and registered holder as the last report
98. fusionn avec XYZ pour cr er la Compagnie DEF Inc Chaque action ordinaire de ABC sera chang e pour une action ordinaire de la Compagnie DEF Pour plus de renseignements consulter le communiqu de presse de ABC sur son site www ABC com C To see this issuer event report the next time you file an insider report for this issuer check this box Next To view ali of the issuer event reports for this issuer click View all issuer events View ali issuer event reports 8 View any new issuer event reports and then click Next OPTION To view more event reports from the issuer 1 Click View all issuer events SCREEN File insider report Select issuer event report 2 Click the radio button beside a report and then click View Report SCREEN Amend insider transaction View issuer event report information 3 Click View another report to return to the File insider report Select issuer event report screen or click Viewing completed to move to the Amend insider transaction Select secu rity designation screen 137 SCREEN Amend insider transaction Select security designation Amend insider transaction Select security designation Select a security designation from the list below Outstanding securities Securit y designation Underlying security designation Common Shares C Preferred Shares Series 14 Nex The archived security list contains those securities that are no longer outstanding fo
99. he criteria by which you want to search for insiders a Use the drop down list box to select Issuer name or Issuer number b Enter the issuer s name or SEDAR profile number in the field v z When searching use the drop down list box beside the field to further Y Y define your search parameters Choose from e Starts with Searches for items that begin with your entry in the field e Exact match Searches for items that exactly match your entry in the field When searching by issuer number you can only select Exact match To further refine your search specify a range of report dates as a search criteria using the drop down list arrows and fields When you specify a date range the search results only include reports in which the last transaction that the insider filed for the issuer occurred within the date range 6 Click Search 168 SCREEN Insider Information by Issuer Select Issuer 7 To view the details of an insider click View beside the issuer in the list tz If the issuer whose insider information you want to view does not appear in the list of issuer reports click Refine Search criteria to return to the Insider information by issuer Enter search criteria screen SCREEN Insider Information by Issuer View Results OPTIONS Download PDF To download a PDF of the report click Download PDF Report The PDF opens in your browser Click Print on your browser to print the report and click Back on your browser
100. her than direct holdings you must provide the name of the registered To add a registered holder for this issuer either select an existing registered holder from the Master list of registered holders or enter a new registered holder Each registered holder that you add will appear in your list of registered holders for this issuer and will also appear in your master list of registered holders When you have finished adding registered holders for this Registered Doe Holdings Inc Add registered holder holder 38 ty If you indicated that you want to specify one or more registered holders for other than This screen is optional To skip this screen click Next direct holdings on the Create insider profile Enter information about the insider s rela tionship to the issuer screen 17 Add a registered holder to the current issuer s Local list wa Registered holders appear in Master and Local lists The Master list contains all registered holders that you have saved and the Local list contains all registered holders that you have added to the current issuer Until you have added a registered holder to your Master or Local list neither list will appear on the screen To add a registered holder to your Master and Local lists enter the holder name in the Registered holder field and then click Add registered holder The Create insider profile Add registered holders screen re opens the registered holder is adde
101. hin hpr registered holders Security Cormon She File insider report Select ownership type Direct Ownership Newt Cancel fing La ter orma isip Emad us Privacy Statement Terms of Use S 00c5 7 0 2 3 Select Direct Ownership as the Ownership type SCREEN File insider report Enter transaction information Insatser inecter opening balance Security designation Opening balance of securities held Opening initial balance date This is the date you entered in your insider profile Nature of transaction General remarks secessary te descre the transaecto Private remarks to securities regulatory authorities Issuer Datanave System File insider report Opening balance on initial SEDI report Enter the number of securities of this issuer held by the insider or the selected registered holder If you or the selected registered holder did not hold any of the selected securities as of the date below enter The Opening initial balance date can only be changed by amending the Opening balance date field in your insider profile inude profile Imider report Your weer wfurmation Process tracker Select issuer Select security designation Select ownership type registered holders tnter transection information Securty Common Sha O asthe Common Shares 200 2007 01 01 00 Opening Balance Initial SED Report Cancel thing 4 Fill out the fields as shown 192 SCREEN F
102. ider profile has been amended Amend or remove information about a linked issuer ls E 3 You cannot remove an issuer if insider reports have been filed about it or if it is the only issuer associated with the profile To amend or remove information about a linked issuer 1 On the Amend insider profile Add or amend issuer information screen click the radio button beside the issuer and click Amend or Remove For information about the Amend insider profile Add or amend issuer information screen see page 51 58 If you click Remove click Confirm removal on the Amend insider profile Con firm removal of issuer screen You can only remove an issuer if no insider reports have been filed for it If you click Amend proceed to Step 2 SCREEN Amend insider profile Amend issuer information Amend Insider Profile Amend issuer information Select the insider s relationships to the issuer from the list below Insider s relationship to issuer Issuer To select Subsidiary of Issuer more than one 3 10 Security Holder of Issuer relationship Director of Issuer press the r MEE m x Ctrl key Senior Officer of Issuer while clicking the mouse If the insider has not previously filed an insider report for this issuer provide the date on which this insider became an insider of this issuer Otherwise provide the opening balance date The opening balance date will be used for all your opening
103. ilable 149 QO Private remarks Private remarks about the event that will only be accessible by staff of the security regulatory authority if any For security purposes you will be logged out of SEDI if you leave it inactive for more than 20 minutes Any information that you have entered but not filed is deleted when you are logged out 150 When you file an issuer event report you navigate through the following screens 151 To file an issuer event report 1 Click Issuer event report in the top right navigation bar SCREEN Introduction to issuer event report activities Form 55 102F4 B Logout Contact us Help n bl Issuer profile supplement Issuer event report Your user information y Issuer ABC Company Inc Introduction to issuer event report activities Form 55 102F4 With issuer event report activities you can e view the issuer event report by clicking View issuer event report e file an issuer event report by clicking file issuer event report e amend an issuer event report by clicking Amend issuer event report 2 Click File issuer event report in the left navigation bar I Tian fs Ww To view guidelines about reporting issuer events click Issuer event O reporting guidelines SCREEN File issuer event report Form 55 102F4 File issuer event report Form 55 102F4 An issuer event is an event that affects all holdings of a class of securities of an issuer in the same
104. ile insider report Final review imde prafilo Innder ropot Your weer miusta Select issuer Select security designation Select ownership type registered holders Enter transection information 4 e and certi Process tracher Insider noaie Issuer Date Secwity File insider report Final review Security designation Common Shares Date of transaction 2007 01 01 Opening Balance Initial SEDI Report 5 File and certify your insider report Filing an Acquisition of Options Exercisable into Common Shares The following example describes how to file an insider report in which QO You are reporting a grant of 2000 options that are exercisable into common shares QO You are the direct owner of the options To file the insider report 1 Begin filing your insider report as described in Filing an Insider Report on page 107 193 SCREEN File insider report Select security designation Inude profile Imeiter report Your user mfarmetion Process trocker Select issuer Select Security designation insider neder pecrater File insider report Select security designation Select a security designation from the list below Outstanding securities Options Common Shares Common Shares Insider defined security L Add insider defined security _ The archived security list c ontains those securities that are no longer outstanding for this issuer and those securities that may no longer be issued
105. in out 24 password 19 changing 26 user ID 19 viewing 21 SEDI user ID 19 system requirements 6 U url Canadian Securities Administrators CSA 190 SEDI 7 Using 67 V Viewing 80 viewing insider profile 46 issuer event report 163 issuer profile supplement 80 SEDI user account 21 WwW web site Canadian Securities Administrators CSA 190 SEDI 7 weekly summary report 178 203
106. ing Agent Accounts on page 93 32 SCREEN Create insider profile Form 55 102F1 Enter individual information 2 Enter your personal information Click Copy your user registration to copy the information that you entered for your SEDI user account or type the information in the fields 1 lo change information that you have copied type over it in the fields x 7 The Copy your user registration button does not appear if you are logged in as an agent Name Use upper and lower case letters as applicable Do not use initials nicknames or abbreviations Country You can select Canada U S or Other If you select Other a field appears in which you can type your country name Every field must be filled in or marked Not Applicable with the check box OR If the insider is a company a Click Enter company information SCREEN Create insider profile Form 55 102F1 Enter company information b Enter the company information in the fields provided 3 Click the radio button beside your preferred language of correspondence This setting determines the language used in correspondence between you and the securities regulatory authority Applicable to residents of Quebec Ontario New Brunswick and Manitoba 4 Enter a question to which only you know the answer in the Confidential question field 5 Enter the answer to the question in the Answer to confidential question field 6 Click Next 33 SCREEN Create insider
107. ingle use insider access key After logging in once with the single use insider access key you must change it If you are an agent choose an insider from your Insider list and enter the correct insider access key For more information see Performing Insider Activities on page 95 To change your insider access key 1 Click Insider profile in the top right navigation bar SCREEN Introduction to insider profile activities Form 55 ali Insider Doe J Introduction to insider profile activities Form 55 102F1 With insider profile activities you can 102F1 Ou April 1 2003 Insider profile Insider report Your user information key e view the insider profile which includes the insider s name address phone number the name of the issuer the relationship of the insider to the issuer and the date the insider became an insider or the date of previous paper filing by clicking View insider profile e amend insider profile by clicking Amend insider profile e change the insider access key by clicking Change insider access key 2 Click Change insider access key in the left navigation bar 65 SCREEN Change insider access key Change insider access key To change the insider access key enter the current insider access key and click Next Insider access key Next Cancel 3 Enter your current insider access key in the field provided 4 Click Next SCREEN Change insider access key Complete
108. insider profile from the list below Issuer name Issuer name Issuer number 3 English French 00019040 ABC Company Compagnie ABC Inc Inc Net _ NewSearch 9 Click the radio button beside your issuer we You can only select one issuer If you are unable to locate your issuer click New Search to return to the Create insider profile Add an issuer to the insider profile screen and change or refine your search If you are unable to locate your issuer after several searches confirm that the issuer has created an issuer profile supplement The issuer is required to create an issuer profile supplement before you create your insider profile and file insider reports 10 Click Next 35 SCREEN Create insider profile Enter information about the insider s relationship to the issuer Create insider profile Enter information about the insider s relationship to the issuer Select the insider s relationships to the issuer from the list below Insider s relationship to issuer Issuer To select Subsidiary of Issuer more than one 3 10 Security Holder of Issuer relationship Director of Issuer press the Ctri key while clicking the mouse If the insider has not previously filed an insider report for this issuer provide the date on which this insider became an insider of this issuer Otherwise provide the opening balance date The opening balance date will be u
109. ion If you lose an access key the SEDI Operator can reset it for you You will be issued a temporary access key that can be used once You must log in immediately and reset the access key For insiders who file for themselves the system will automatically reset the access key when you log on and display the new access key For agents who file for insiders the system will prompt you to enter the temporary access key and then display the new access key In addition a letter is sent to the insider confirming that the SEDI Operator assigned a temporary access key 104 If you feel that the access key is no longer secure you can reset it A letter is sent con firming that the access key was reset For more information see Changing your Insider Access Key on page 65 and Changing your Issuer Access Key on page 91 tz Letters about an insider access key are addressed to the insider identified in the insider profile Letters about an issuer access key are addressed to the insider affairs contact identified in the issuer profile supplement 105 Filing and Amending Insider Reports As an insider or an agent for an insider you must use SEDI to file insider reports These insider reports are publicly available on SEDI and fulfill your reporting requirements as required by Canadian securities legislation This chapter contains the following sections Filing an Insider Report OY Amending an Insider Report You will be unable to perform i
110. ion SEDI allows you to easily file and view insider reports electronically and facilitates timely and accurate disclosure of trading activity Developed and operated for the Canadian Securities Administrators CSA by Canadian Depository for Securities CDS INC SEDI is an on line system that is available to anyone with Internet access Using SEDI filing and retrieving reports is more efficient and convenient than with conventional paper filings To enable insiders to file accurate trading reports SEDI is also a repository for some issuer event information such as reports about stock splits and consolidations All issu ers required to file information on the System for Electronic Document Analysis and Retrieval SEDAR except mutual funds must report issuer events in SEDI Issuers must also provide a list of the securities that they issue to their insiders This information enables insiders to file trading reports based on the most current information about the issuer This chapter contains the following sections Q System Requirements Connecting to SEDI Navigating in SEDI Saving Data in SEDI Choosing Language Oooo do Security Features System Requirements For optimum performance when using SEDI your computer should meet the following system requirements Q Windows 95 Windows 98 Windows NT 4 0 or Windows 2000 as an operating system Screen resolution of 800 by 600 pixels or greater is highly recommended Also set yo
111. ion bar 170 SCREEN Introduction to access public filings activities Register as aSEDI user Access public filings Introduction to access public filings activities Insider information To view profiles of insiders directors senior officers and significant shareholders that have filed insider reports in SEDI click View insider information Insiders that do not own or trade in securities of the issuer with whom they have a relationship need not file insider reports or profiles 2 Click View summary reports in the left navigation bar SCREEN View summary reports Please select a report to run from the list of available reports below Report titles Description Insider transaction Active insider transactions special filters detail available to narrow results as desired Issuer event history The system will provide a list and description of issuer events matching the search criteria Insider information The system will provide a list of all insiders by issuer related to a specified issuer results presented may include just a listing of the insiders name or may also include a summary of the insider s holding by class of security Weekly summary Generated weekly summary of transactions na 3 Click the radio button beside Weekly summary 4 Click Next SCREEN Weekly summary Download a report Weekly summary Download a report PDF Weekly summary Last week Sorted by insider P
112. ion bar expands to include the following options QO Amend insider affairs contact information See page 84 Q Add security designation See page 86 O Amend security designation See page 87 QO Archive security designation See page 89 83 Amend insider affairs contact information Use this screen to amend insider affairs information This screen opens by default when you click Amend issuer profile supplement SCREEN Amend insider affairs contact information Amend issuer profile supplement Amend insider affairs contact information Issuer number 00019040 Full legal name English ABC Company Inc Full legal name French Compagnie ABC Inc Family name Jones Given names in full Jane Anne Country Canada z Address street name and Line 1 s500 Yonge Street number etc Line 2 Suite 2600 Municipality city town etc Toronto Province territory or state Ontario 3 Postal code or zip code M4N2P8 Daytime telephone number 416 555 5555 ext C Fax number 416 555 5556 T Not Applicable E mail address jjones ABC com To get a new issuer access key the SEDI operator wili ask you a question to verify that you are who you say you are You should provide a question for which only you would know the answer For example What is your favourite movie rather than What colour is the sky In addition you must provide an answer to the question quae ha Answer
113. ip or the ownership type is control or direction select a registered holder from the list below Registered holder Select One If the registered holder is not in the list click Add Add registered holder registered holder Next 139 11 Use the drop down list box to specify an Ownership type for the selected secu rity Choose from QO Direct Ownership Indicates that you hold the security directly For example you hold the securities in an account with your broker but the account is in your name Q Indirect Ownership Indicates that you hold the security indirectly For exam ple you beneficially own common shares in X Co but the registered owner is another entity such as a holding company that you own Q Control or Direction Indicates that you have control or direction over a secu rity You have control or direction if directly or indirectly you have or share vot ing power or investment power through any contract arrangement understanding or relationship For example you may have been granted authority to vote or to trade securities owned by family members friends or associates 12 If the Ownership type is Indirect Ownership or Control or Direction select a regis tered holder from the Registered holder list box OPTION If the desired registered holder does not appear in the list click Add registered holder to open the Amend insider transaction Add registered holders screen Reg
114. istered holders appear in Master and Local lists The Master list contains all registered holders that you have saved and the Local list contains all registered holders that you have added to the current issuer Until you have added a registered holder to your Master or Local list neither list will appear on the screen To add a registered holder to your Master and Local lists enter the holder name in the Registered holder field and then click Add registered holder The Amend insider report Add registered holders screen re opens the registered holder is added to your Master and Local lists and both lists are displayed on the screen To copy a registered holder from the Master list to the Local list click the registered holder in the Master list of registered holders and then click Select from master list To remove a registered holder from the Local list click the radio button beside the registered holder and click Remove Click Confirm removal on the Create insider profile Confirm removal screen Note If an insider report has been filed about a security held by a registered holder you cannot remove that registered holder In addition you cannot remove a registered holder from the Master list To return to the Amend insider transaction Select ownership type screen click Next 13 Click Next 140 SCREEN Amend insider transaction Enter transaction information Amend insider transaction Enter transaction information
115. it for you You will be issued a temporary password that can be used once You must log in immediately and reset the password Passwords expire in 1 year 90 days When your password expires SEDI prompts you to create a new one before allowing you to proceed in the system In addition you can change your password For more information see Changing your Password on page 26 Access Keys and Numbers Each insider profile is associated with an insider number and insider access key Each issuer profile supplement is associated with an issuer access key These numbers are unique to the profile and are not associated with a SEDI user account You use the insider number to search for insiders in SEDI To be permitted to file information about an insider or issuer Agents must enter the access key associated with the insider profile or issuer profile supplement The Insider number is assigned when you create an insider profile Access keys are assigned when you create an insider profile or an issuer profile supplement SEDI dis plays the access key and insider number if you have created an insider profile on the screen and a letter is sent confirming that the profile has been created For more infor mation see Creating an Insider Profile on page 29 and Creating an Issuer Profile Sup plement on page 68 l Access keys are case sensitive e The SEDI Operator cannot retrieve an access key Ensure that you print it and keep it in a secure locat
116. ity is one that you have defined yourself so it does not appear in the Outstanding securities or Archived security designation lists 5 Click the radio button beside the security that you want to file a report about in the Outstanding securities list When you file insider reports SEDI calculates balances for each holding ls YY of securities that you own SEDI defines a holding as the combination of issuer security designation and registered holder For information about security designations and how balances are calculated in SEDI see Appendix 1 Balances on page 185 OPTION If the security that you want to file a report about is not listed in the Outstanding securities list select it from the Archived security designation list Note If the security is issued by your issuer but is not on the Outstanding securities or Archived security designation list contact the issuer and have them add the security to their issuer profile supplement Do not create an insider defined security If the security is not in the Outstanding securities or Archived security designation list because it is a third party derivative select it from the Insider defined security list or follow these steps to add an insider defined security 1 Click Add insider defined security SCREEN File insider report Add insider defined security 2 Select a security category from the drop down list 3 Select a corresponding Security designation from the Security
117. ke certain amendments For example you cannot amend a security or holder if the new security holder combination does not have an existing opening balance initial report Amend security From the Amend or delete insider report View search results screen you can choose to amend details about the security in the report by clicking Amend security For informa tion about the Amend or delete insider report View search results screen see page 124 SCREEN Amend insider report Select security designation Amend insider report Select security designation Select a security designation from the list below Security designation Underlying security designation Outstanding securities Bonds American Depository Receipts Options Insider defined security The archived security list contains those securities that are no longer outstanding for this issuer and those securities that may no longer be issued Archived security designation Next Cancel amendment Add insider defined security 125 1 Click the radio button beside the security about which you want to amend a report in the Outstanding securities list and then click Next You can only amend the security designation not the security category For information about security designations and how balances are calculated in SEDI see Appendix 1 Balances on page 185 OPTION If the security that you want to file a report about is not listed in the Outst
118. l provide a list of all insiders related to a specified issuer results presented may include just a listing of the insiders name or may also include a summary of the insider s holding by class of security Generated weekly summary of transactions 3 Click the radio button beside Insider transaction detail 4 Click Next SCREEN Insider transaction detail Enter Search criteria 5 Enter the criteria by which you want to search for insider transactions If you are searching for reports by issuer and you want the results to be sorted by security designation click the Security designation radio button beside Trans actions sorted by Insider is selected by default 162 In the Identify insider or issuer field use the drop down list box to choose Insider family name Insider company name or Issuer name If you select Insider family name a field appears in which you can enter wy Pane the insider s given name When searching use the drop down list box beside the field to further define your search parameters Choose from e Starts with Searches for items that begin with your entry in the field e Exact match Searches for items that exactly match your entry in the field AND OR Under Identify date range use the drop down list boxes and fields to enter a date range within which the transaction occurred 1 You can also search by a specific security or issuer industry classification Ss 7 To
119. lect an issuer event report and click View Report The issuer event report is displayed in the information window Click View another report to return to the list of reports or click Viewing completed to close the window To cancel the amendment click Cancel You will be returned to the Introduction to insider report activities screen To amend an insider report that was submitted in paper format click Amend Paper Filing SCREEN Amend or delete insider report View search results Amend or delete insider report View search results The following insider reports have met your search criteria Select an insider report from the list below 858149 2005 2 2008 08 26 ening Balance Initial SEDI Report 858150 2007 06 26 2008 08 26 Acquisition or disposition in the public market 856151 2008 08 24 2008 08 26 Acquisition or Amend security J Amend holder J Amend details l Delete report iC Cancel amendment 6 Click the radio button beside the report that you want to amend The transactions are sorted by security designation registered holder and then date of transaction 124 7 Select one of the amendment options Amend security See page 125 Q Amend holder and or Ownership type See page 126 QO Amend details See page 128 O Delete report See page 131 When you select one of these options you proceed through the same screens as when you file an insider report SEDI does not allow you to ma
120. lick Add issuer or amend issuer information to move to the Amend insider information screen For information about amending insider information see Amending an Insider Profile on page 47 After amending the insider profile click Next to return to the Amend insider transaction Select issuer screen 5 Click Amend insider transaction SCREEN Amend insider transaction Review issuer information 6 Review the issuer information and ensure that it is correct 7 Click Next OPTION If the issuer information from the insider profile is incorrect click Amend to move to the Amend insider information screen For information about amending insider information see Amending an Insider Profile on page 47 After amending the insider profile click Next to return to the Amend insider transaction Select issuer screen 136 SCREEN Amend insider transaction View new issuer event reports Amend insider transaction View new issuer event reports Issuer event type Amalgamation Merger or Reorganization Effective date 2003 04 01 Issuer event title ABC Company Inc ABC merger with XYZ Company Inc XYZ Fusion de la Compagnie ABC Inc ABC avec la Compagnie XYZ XYZ Issuer event details ABC merged with XYZ on April 1 2003 to form DEF Company Inc Each common share of ABC will be exchanged for 1 common share of DEF Company Inc See ABC s March 31 2003 press release on its web site at www ABC com for details Le 1 avril 2003 ABC a
121. mation and report that you disposed of 500 options common shares 2 Second file a report for the security in the Outstanding securities list When you file select Options Common Shares from the Outstanding securities list select Nature of transaction code 99 Correction of information and report that you were granted 500 options common shares For both transactions enter the same transaction date you reported in the original trans action report Balance Dates Opening and closing balances in SEDI are calculated by transaction date not by filing date If you file transactions in a different order than that in which they occurred SEDI recalculates the opening and closing balances of each transaction to accurately reflect a running balance based on the dates on which the transactions occurred Example If you file the following two transactions on January 5 Filing Date Transaction Date Opening Acquisition Closing Balance Balance Disposition January 5 January 1 1000 500 1500 January 5 January 4 1500 300 1800 and then file a report on January 10 for an acquisition of 500 that occurred on January 3 SEDI inserts the transaction into transaction date sequence and recalculates the open ing and closing balances as follows Filing Date Transaction Date Opening Acquisition Closing Balance Balance Disposition January 5 January 1 1000 500 1500 Janu
122. mes or abbreviations Address If you are registering as an insider enter your principal residential address If you are registering as an issuer or agent enter the business address where you are employed Country Use the drop down list box to select Canada U S or Other If you select Other a field appears in which you can type your country name Every field must be filled in or marked Not Applicable with the check box 3 Click on a SEDI user classification Insider Issuer or Agent to select it we y You can only register once as a SEDI user Depending on your needs you can register as one two or three of the account types insider issuer or agent To select more than one SEDI user type press and hold the Ctrl keyboard key and mouse click your selections 4 Enter a question to which only you know the answer in the Confidential question field Enter the answer to the question in the Answer to confidential question field Click Next SCREEN Register as a SEDI user Accept terms of use SEDI User 7 Carefully review the TERMS OF USE SEDI USER ss L ty To print the Terms of Use click the link on the screen to view a printer friendly version in a new browser window and then click Print to open your browser s Print dialog box 8 Click Accept OPTION If you click Decline your SEDI user account is not created and you return to the Welcome to SEDI screen 17 SCREEN Register a
123. n the field The access key is assigned when you create the insider profile For more informa tion see Creating an Insider Profile on page 29 7 Click Next SCREEN Insider activities page Once you link your insider account to an insider profile the Insider activities screen is displayed from which you can Q Amend your insider profile See page 47 File and amend insider trades See page 106 45 Viewing an Insider Profile You can view the details of your insider profile at any time while you are logged in after your account has been activated If you are an agent choose an insider from your Insider list and enter the correct insider access key For more information see Performing Insider Activities on page 95 To view the details of your insider profile 1 Click Insider profile in the top right navigation bar SCREEN Introduction to insider profile activities Form 55 102F 1 April 1 2003 _ nl Insider profile Insider report Your user information Ai Insider Doe J Introduction to insider profile activities Form 55 102F1 With insider profile activities you can view the insider profile which includes the insider s name address phone number the name of the issuer the relationship of the insider to the issuer and the date the insider became an insider or the date of previous paper filing by clicking View insider profile e amend insider profile by clicking Amend insider
124. nd lower case letters and that you do not have Caps Lock enabled on your keyboard If you attempt to log in three times with an incorrect user ID or password SEDI locks you out of the system for 30 minutes After 30 minutes you can attempt to log in again 3 Click Next wy To clear all fields click Reset 24 Depending on the type of SEDI account that you have logging in opens one of the fol lowing screens QO Insider home page The first time you log in to your insider account after it has been activated the nsider home page prompts you to create an insider profile or link your account to an existing insider profile For more information see Using Insider Accounts on page 28 On subsequent logins the Insider home page prompts you for your insider access key Once you supply the correct access key you can view or amend your insider profile or file insider reports For more information see Using Insider Accounts on page 28 and Filing and Amending Insider Reports on page 106 QO ssuer representative home page The first time you log in to your issuer account after it has been activated the ssuer representative home page prompts you to create an issuer profile supplement or link your account to an existing issuer pro file supplement For more information see Using Issuer Accounts on page 67 On subsequent logins the ssuer representative home page prompts you for your issuer access key Once you su
125. nformation that in a material respect and at the Gene and in the light of the Grounstances in which It is gubenitted is misleading or untrue Click OK to Accept ick Cancef to Dedine OK Cancel Cancel To cancel your insider report Click Cancel and then click OK in the dialog box Your report is not filed and you return to the File insider report Form 55 102F2 Select issuer screen 25 Review the certification information in the dialog box carefully 26 Click OK Insider reports are normally publicly available on SEDI within five minutes after filing OPTION To decline the Certification click Cancel The dialog box closes and you remain at the File insider report Final review screen 119 SCREEN File insider report Completed Process tracker Insider Example Issuer NAME Security bords Holter Sposa PRSP File insider report Completed The transection has been reported Reported transactions for this session Bonds 00 Opening Spousal RRSP 2500 2005 02 27 Balance Initial 0 2500 rt nei SED Report Bonds 10 Acquisition 2 of disposition in 2007 08 25 Spousal RRSP 2500 2007 08 27 the public 1000 3500 13 40 16 market File another transaction D Same security amp holder Same security amp different holder Different security 27 Indicate whether you want to file another transaction SEDI allows you to add additional transactions for the same issuer to a singl
126. ng balance on initial SEDI report D Devider profile Imhirr report Your user iiormetisa Process tracker Select issuer Select security designation Select ownervhip type registered holders ntet treneection informetion a RSP Insaber Excampie Issuer hang Security fonts Wesker File insider report Opening balance on initial SEDI report ening balance of securities held ening initial balance date the date you entered in The Opening initial balance date matches the date that you specified when you created your insider profile This date must be before the dates of any transactions you report for the issuer in SEDI Otherwise SEDI cannot accurately calculate the balance of your securities If you need to change the Opening initial balance date amend your insider profile For information see Amending an Insider Profile on page 47 When you file an initial report the Nature of transaction default value is 00 Opening Balance Initial SEDI Report For information about nature of transaction codes see Appendix 3 Nature of Transaction Codes on page 200 10 Enter an opening balance in the Opening balance of securities held field 11 Enter any remarks that you want to make public in the General remarks field This is an optional field Only enter information in this field if it adds necessary information about the transaction 12 Enter any private comments in the Private remarks to securities regulatory
127. ng power or investment power through any contract arrangement understanding or relationship For example you may have been granted authority to vote or to trade securities owned by family members friends or associates 2 If the Ownership type is Indirect Ownership or Control or Direction the screen will refresh and display a list of registered holders Select a registered holder from the Registered holder list OPTION If the desired registered holder does not appear in the list click Add new holder and enter the registered holder in the text box As this is a new registered holder and security combination the system will ask for an opening balance The filer follows the procedures for filing an insider report by selecting on the File Insider Report button from the left navigation bar Once the opening balance report has been filed the filer can return to the amend insider report process Cancel Amendment To cancel your amendment click Cancel amendment Your amendment is not filed and you return to the ntroduction to insider report activities screen 3 Click Next SEDI will direct the filer to complete the amendment by displaying the Amend details screens and allowing the filer to make any additional amendments to the report before allowing the filer to certify the amendment 127 Amend details SCREEN Amend insider report Enter transaction information Amend insider report Enter transaction information Security Bond
128. nsider activities until your account is activated For more information about activating accounts see Creating a SEDI User Account on page 15 and Activating Your Account on page 19 106 Filing an Insider Report To file an insider report Q You must have an insider or agent account that has been activated For more information see Creating a SEDI User Account on page 15 and Activating Your Account on page 19 QO You must be logged in with a valid SEDI user ID and password and in the case of agents filing for an insider must have entered the correct insider access key For more information see Logging In and Out on page 24 and Using Insider Accounts on page 28 If you are an agent choose an insider from your Insider list and enter the correct insider access key For more information see Performing Insider Activities on page 95 Q The issuer that you are an insider of must have completed an issuer profile sup plement Before you begin gather the following information about the transaction or position you are reporting QO Security designation If the transaction or position involves derivatives you also need e Security designation of underlying security Opening balance of equivalent number of underlying securities If this is your initial SEDI report Equivalent number of underlying securities acquired or disposed of e Date of expiry or maturity of derivative W7 m Ownership type and registered
129. nsider profile Confirm removal screen Note If an insider report has been filed about a security held by a registered holder you cannot remove that registered holder In addition you cannot remove a registered holder from the Master list 10 Click Next SCREEN Amend insider profile When you finish amending the issuer information you return to the Amend insider profile screen From this screen you can amend insider information add or amend issuer infor mation or click Next to certify the amendment Your amendment is not saved until you certify it 11 Click Next 63 SCREEN Amend insider profile File amended information 12 Ensure that the information you entered is correct 13 Click Certify OPTIONS Edit To edit the amendment click Edit On the Amend insider profile Edit Amendment screen click one of the following options e Amend insider information Opens the Amend insider profile Form 55 102F 1 Amend insider information screen See Amend insider information on page 48 Add or amend issuer information Opens the Amend insider profile Add or amend issuer information screen See Add or amend issuer information on page 50 Print To print a copy of the insider profile click Printer friendly version SEDI displays the profile in a format that is easily printed and your browser s Print dialog box opens Click Back in the SEDI screen NOT on the browser to return to SEDI Cancel To cancel the
130. nt report screen 159 Viewing Public Reports Some of the information filed in SEDI is publicly accessible You do not need a SEDI user ID and password to view summary reports insider information or issuer information When viewing summary reports you can also view individual reports filed in SEDI This chapter contains the following sections Viewing Summary Reports Viewing Insider Information OW Viewing Issuer Information siz You cannot view public reports while you are logged in with a SEDI user ID and password To view public reports log out and then click Access public filings in the top right navigation bar 160 Viewing Summary Reports Four summary reports are available to the public QO Insider transaction detail QO Issuer event history Q Insider information by issuer Q Weekly summary Insider transaction detail insider information by issuer and weekly summary reports are based on information filed by insiders Issuer event history reports are based on informa tion filed by issuers Because information filed by insiders is easily available in the sys tem within a few minutes reports generated by SEDI are much more convenient and current than those based on conventional paper filing Viewing Insider Transaction Detail Reports Insider transaction detail reports display details about transactions that have been filed by insiders These reports provide many more search filters that allow you to customi
131. nter must be prior to the dates of any transactions you intend to file for this issuer in SEDI For example if your first SEDI report is a transaction that occurred on January 10 enter January 9 as the opening balance date QO Enter a Date the insider ceased being an insider of this issuer if you are no longer an insider for this issuer and then click OK in the dialog box After you enter a date that you have ceased to be an insider and file the amendment you cannot amend your profile as it relates to this issuer or add a new regis tered holder for this issuer if you file an insider report for this issuer If you need to add a registered holder for this issuer in order to file an insider report and you have already begun to enter a date in the Date the insider ceased being an insider of this issuer field click OK in the dialog box and then click Amend insider profile in the left navigation bar to return to the Amend insider profile screen Any changes you have made to the issuer information are not saved Add the registered holder and then provide the Date the insider ceased being an insider of this issuer we To clear all fields click Reset 4 If desired indicate that you want to provide another address or contact person or you want to specify one or more registered holders for other than direct holdings by clicking the check boxes at the bottom of the screen These are optional steps 5 Click Next If you did not click the
132. o the system certified is deleted when you are logged out Accounts and information in SEDI are controlled by passwords and access keys For more information see Understanding Passwords and Access Keys on page 103 All information passed between your computer and the SEDI server is encrypted Managing SEDI User Accounts Your SEDI user account contains information about you as a user Every time you want to submit information in SEDI you must log in with your SEDI user ID and password When you create your SEDI user account you can choose from three account types L Insider Files information on behalf of one insider Issuer Files information on behalf of one issuer QO Agent Files information on behalf of one or more insiders or issuers This chapter contains the following sections O Creating a SEDI User Account QO Viewing a SEDI User Account LY Amending a SEDI User Account OY Logging In and Out OY Changing your Password Creating a SEDI User Account Before you begin gather the following information E m 0o00 DO Family name given names in full Do not use initials nicknames or abbrevia tions Employer name If you are acting on behalf of an employer use the full legal name of your employer and your position with that employer Full address If you are an insider use your principal residential address Other wise use the business address where you are employed A post office box is no
133. oduction to access public filings activities Francais Login Contact us ielp April 3 i Register as a SEDI user Access public filings a Introduction to access public filings activities Insider information To view profiles of insiders directors senior officers and significant SRE shareholders that have filed insider reports in SEDI click View insider information Insiders that do not own or trade in securities of the issuer with whom they have a relationship need not file insider reports or profiles 2 Click View insider information in the left navigation bar 173 SCREEN View insider information View insider information Select one of the following options Option 1 Search by entering the insider number Insider 4 number Option 2 Ff this insider is an individual search by entering the insider name Insider family oe Exactmatch E name Insider given John James Exact match z names Option if this insider is a company search by entering the insider 3 company name Insider er aEay Starts with name Option 4 Search for aif insiders of an issuer by entering the issuer number Issuer number Option 5 Search for ali insiders of an issuer by entering the issuer name Issuer name Starts with gt Search Reset 3 Search for the insider using one of the following options QO Option 1 Enter the insider number in the Insider number field The insider n
134. of the circumstances in which it is submitted is misleading or untrue Click OK to Accept Click Cancel to Decline coe OPTION 3 Review the certification information carefully To decline the certification click 4 Click OK Cancel to close the Certification dialog box and return to the Delete insider report Final review screen SCREEN Delete insider report Completed Delete insider report Completed The insider report has been deleted Amend or delete another report Same issuer Different issuer 132 The transaction has been amended 5 Indicate whether or not you want to amend or delete another report Q Click Yes and indicate if you want to amend or delete another report for either e The same issuer and return to the Amend or delete insider report View search results screen e A different issuer and return to the Amend or delete insider report Select issuer screen Q Click No to return to the Introduction to insider report activities Form 55 102F2 screen Deleted reports are normally removed from SEDI within five minutes 133 Amending a Paper filed Report Amending a paper filed report is essentially the same as filing a new report because you are entering new information into SEDI The transaction will be marked AP in the public reports to indicate that it was an amendment to a paper filed report Because amendments to paper filings affect information that was not
135. ofile and supplement by clicking Amend issuer profile and supplement e amend the issuer access key by clicking Change issuer access key 2 Click View issuer profile and supplement in the left navigation bar 80 SCREEN View issuer profile and supplement N View issuer profile and supplement nd View security designation Issuer ABC Company Inc Issuer profile supplement Issuer event report Your user information View issuer profile and supplement Issuer number Full legal name English Full legal name French Industry classification Jurisdiction s where reporting issuer Stock symbol Stock exchanges or markets Previous Issuer Insider affairs contact Family name Given names in full Address street name and Line 4 number etc Line 2 Municipality city town etc Province territory or state Country Postal code or zip code Daytime telephone number Fax number E mail address Principal regulator for insider trading purposes Confidential question Answer to confidential question Head office Department Address street name and Line 4 number etc Line 2 Municipality city town etc Province territory or state Country Postal code or zip code Daytime telephone number Fax number Mailing address Address street name and line 1 number etc Line 2 Municipality city town etc Province territory or state Country Postal code or zip code Daytime telephone number Fax number
136. ofile supplement has been amended Archive security designation 1 Click Archive security designation in the left navigation bar SCREEN Archive security designation File archive Archive security designation File archive The issuer must archive a security designation if the security is no longer outstanding and may no longer be issued Archived security designations will still be available for insider reporting purposes Select the security designation to be archived from the list below iis designation Underlying security Filing date designation Common Shares 2003 04 01 Options Common Shares 2003 04 01 A to the Amend security designation screen To print a copy of the issuer profile supplement click Printer friendly version SEDI displays the issuer profile supplement in a format that is easily printed and your browser s Print dialog box opens Click Back in 2 Click the radio button beside the security that you want to archive Click Next 3 89 SCREEN Archive security designation File archive Underlying security i Common Shares designation File Cancel Archive security designation File archive Security category Issuer Derivatives Options Rights Security designation Options Enter the date as of which you would like the security designation archived Archival date April fi gt 2003 4 Use the drop down list boxes and field to enter th
137. on 38 Redemption retraction cancellation repurchase 40 Short sale 45 Compensation for property 46 Compensation for services 47 Acquisition or disposition by gift 48 Acquisition by inheritance or disposition by bequest 50 Grant of options 51 Exercise of options 52 Expiration of options 53 Grant of warrants 54 Exercise of warrants 200 Code Description 55 Expiration of warrants 56 Grant of rights 57 Exercise of rights 58 Expiration of rights 59 Exercise for cash 70 Acquisition or disposition writing of third party derivative 71 Exercise of third party derivative 72 Other settlement of third party derivative 73 Expiration of third party derivative 90 Change in the nature of ownership 97 Other 99 Correction of information 201 Index A access key 103 104 insider 28 42 changing 65 issuer 67 74 changing 91 activating SEDI user account 19 acvm 190 Add 86 agent account 93 filing for insiders 95 filing for issuers 99 Insider list 95 96 Issuer list 99 100 Amending 83 amending insider profile 47 insider report 122 issuer event report 165 issuer profile supplement 83 SEDI user account 22 balances 193 insiders calculated balance 119 131 135 138 151 opening balance date 37 53 60 115 browser requirements 6 C CDS INC activating accounts 19 CDS INC 5 help desk 190 Changing 65 91 creating insider profile 29 96 issuer profil
138. on Additional Security name description if applicable Options z Underlying security designation An underlying security is the security into which a derivative is exercisable or convertible When you have an option to acquire common shares do the following Under Security category select Equity under Security name select Common shares Additional Security category Security name description if applicable Equity Preferred Shares Series 27 File Outstanding securities Security designation Underlying security Filing date designation Common Shares 2003 04 01 we For information about security designations and how balances are O calculated in SEDI see Appendix 1 Balances on page 185 2 Select a Security category in the drop down list box If you select Issuer Derivatives an Underlying security designation section appears on the screen In this section use the drop down list boxes and fields to provide details about the underlying security 3 Select a Security name in the drop down list box 86 The available security names depend on the security category you selected wl You only need to add the securities that are or will be held by insiders You only need to specify a security name in one language SEDI will automatically translate the name because it is in a drop down list Enter information in the Additional description field if it helps to better describe the s
139. on principal regulator or issuer event type To include all items within a category in your search criteria either leave all check boxes unchecked or click Select all To deselect an item after selecting all items in a category click the check box beside the item 6 Click Search If you used Issuer name as a search criteria on the ssuer event history Enter search criteria screen the Issuer event history Select issuer screen opens wa To view the details for a particular issuer click View beside the issuer in the list If the issuer that you want to view does not appear in the list of issuer event reports click Refine Search Criteria to return to the Issuer event history Enter search criteria screen SCREEN Issuer event history View results OPTIONS Download PDF To download a PDF of the report click Download PDF Report The PDF opens in your browser Click Print on your browser to print the report and click Back on your browser to return to SEDI Refine Search Click Refine Search Criteria to return to the Insider transaction detail Enter search criteria screen 166 Viewing Insider Information by Issuer Reports Insider information by issuer reports display a list of all insiders related to a specific issuer This report provides the closing balances of all securities held by an insider for a specific issuer To view an insider information by issuer report SCREEN Welcome to SEDI Welcome
140. on 10 Acquisition or disposition in the public market Number or value of securities acquired 1700 Unit price or exercise price 25 00 Currency Canadian Dollar If the closing balance of the securities or Contracts is incorrect enter the correct balance in the Insider s calculated balance If you provide a balance here a securities regulatory authority may ask you to reconcile your closing balance numbers Closing balance of securities held 1700 Insider s calculated balance General remarks necessary to cescrte the trarsecbor Private remarks to securities regulatory authorities File Cancel 6 File and certify your insider report 199 Appendix 3 Nature of Transaction Codes The following table describes the nature of transaction codes you can use to file insider reports These codes are current as of the publication of this book Nature of transaction codes can change slightly Code Description 00 Opening Balance Initial SEDI Report 10 Acquisition or disposition in the public market 11 Acquisition or disposition carried out privately 15 Acquisition or disposition under a prospectus 16 Acquisition or disposition under a prospectus exemption 22 Acquisition or disposition pursuant to a take over bid merger or acquisition 30 Acquisition or disposition under a purchase ownership plan 35 Stock dividend 36 Conversion or exchange 37 Stock split or consolidati
141. open the Print dialog box 10 Click Add security designation 74 SCREEN Add security designation Add security designation Before you add 2 new security designation ensure that the security designation is not already in the Outstanding securities list below Note Options rights and warrants are issuer derivatives Security fEquy E category Exe Provide a security designation using the fields below Select the most relevant security name in the first field and add additional descriptors if any in the second field Security designation Additional Security name description Cif applicable Common Shares z File Outstanding securities Security designation Underlying security Filing date j designation SX For information about security designations and how balances are C calculated in SEDI see Appendix 1 Balances on page 185 11 Select a Security category in the drop down list box If you select Issuer Derivatives an Underlying security designation section appears on the screen In this section use the drop down list boxes and fields to provide details about the underlying security 12 Selected a Security name in the drop down list box The available security names depend on the security category you selected aly You only need to add the securities that are or will be held by insiders You only need to specify a security name in one language SEDI will automatically translate the
142. or more information about a security listed below select that security and click Next Outstanding securities Security designation Underlying security Filing date designation Common Shares 2003 04 01 Preferred Shares Series 2003 04 03 14 Archived securities Security designation Underlying security Archive date designation Options Common Shares 2003 04 01 Next 1 Click the radio button beside the security that you want to view 2 Click Next SCREEN View security designation View details of security he To print the details about the security click Printer friendly version er SEDI displays the details in a format that is easily printed and your browser s Print dialog box opens Click Back in the SEDI screen NOT on the browser to return to SEDI 181 Troubleshooting This chapter contains commonly asked questions about using the SEDI web site For information about compliance with Canadian securities legislation specific questions about your insider reporting requirement and help navigating in the system see the Canadian Securities Administrators CSA web site at www csa acvm ca or the web site for the securities regulatory authority in your jurisdiction For technical support and password access key problems contact the CDS INC help desk at 1 800 219 5381 Service is available in English and French Question Answer How do know if I ve filed my report correctly
143. orts To view issuer event reports before filing the insider report 1 Select an issuer in the second List of issuers from the insider profile and then click View issuer event reports SCREEN File insider report Select issuer event report 2 Click the radio button beside a report and click View Report SCREEN File insider report View issuer event report information 3 Click View another report to return to the File insider report Select issuer event report screen or click Viewing completed to return to the File insider report Form 55 102F2 Select issuer screen SCREEN File insider report Select security designation File insider report Select security designation Outstanding securities Bonds American Depository Receipts Insider defined security Add mnsxder defined seounty Archived security designation Next ance Sing The Outstanding securities list is defined by the issuer When the issuer creates an issuer profile supplement they provide a list of all securities held by their insiders The Archived security designation list is also defined by the issuer If an issuer archives a security you can still file an insider report about it and SEDI adds the balances accord ingly 111 You may need to file an insider report about a security that is not defined in the issuer s issuer profile supplement for example a third party derivative call option that is not issued by the issuer In this case the secur
144. ou are logged out 68 When you create an issuer profile supplement you navigate through the following screens Create issuer profile J Required screen feel Optional screen Create issuer profile supplement Select issuer isplay search results eate issuer profile plement Enter insider irs contact information reate issuer profile upplement File information Create issuer profile supplement Edit information Create issuer profile access key 69 To create an issuer profile supplement SCREEN Issuer representative home page Issuer representative home page If you do not have an issuer access key you must create the issuer profile supplement To do so click here Create issuer profile supplement If you already have an issuer access key because someone else created the issuer profile supplement you must link your SEDI user ID to that issuer profile supplement To do so click here Link your SEDI user ID to the issuer profile supplement 1 Click Create issuer profile supplement 1 The Create issuer profile supplement button only appears on the Issuer Y Y representative home page if your SEDI account has been activated If you are an agent log in with your SEDI user ID and password and then click Create issuer profile supplement on the Agent home page For more information see Using Agent Accounts on page 93 SCREEN Crea
145. out you for example your name and address The profile also contains information about the issuers of which you are an insider and optional contact and registered holder information Information in the insider profile is protected by an insider access key Only SEDI users who supply the correct insider access key can access your insider profile or file any trades on your behalf You cannot file insider reports until you have activated your account and ly created an insider profile Only one insider profile can be associated with each insider account If you want to file information on behalf of more than one insider or for a combination of insiders and issuers re classify your SEDI account as an agent account For more information see Amending a SED User Account on page 22 and Using Agent Accounts on page 93 Once you have created your insider profile or linked your account to an existing profile click Next to open the Insider activities screen from which you can amend your insider profile or file and amend insider reports This chapter contains the following sections Creating an Insider Profile Linking your Account to an Existing Insider Profile OW Viewing an Insider Profile LY Amending an Insider Profile LI Changing your Insider Access Key 28 Creating an Insider Profile The first time you log in using your SEDI user ID and password after your account has been activated the nsider home page prompts
146. ports about events that affect all securities held by your insiders in the same manner If the event does not affect all insider holdings e g a rights offering or a normal course issuer bid do not file a report in SEDI 148 Filing an Issuer Event Report To file an issuer event report QO You must have an issuer or agent account For more information see Creating a SEDI User Account on page 15 Q You must be logged in with a valid SEDI user ID and password and you must have entered the correct issuer access key For more information see Logging In and Out on page 24 and Using Issuer Accounts on page 67 LY Your SEDI account must be activated If you are an agent choose an issuer from your Issuer list and enter the correct issuer access key For more information see Performing Issuer Activities on page 99 Before you begin gather the following information Q Event type Determine which of the following event types describes the event Amalgamation Merger or Reorganization Conversion issuer initiated Reclassification Redesignation Spin off Stock Consolidation Stock Dividend Stock Split Other Issuer Event L Effective date Date at which the issuer event is effective QO Descriptive title A title that other SEDI users will see when reports are listed Ensure that the title accurately distinguishes the event Q Public details Details about the event that will be publicly ava
147. pply the correct access key you can view or amend your issuer profile supplement or file information for the issuer For more information see Using Issuer Accounts on page 67 and Filing and Amending Issuer Event Reports on page 148 QO Agent home page When you log in to your agent account after it has been acti vated the Agent home page appears For more information see Using Agent Accounts on page 93 To log out of your SEDI account at any time during your SEDI session click Logout in the top right navigation bar xiy If you log out of your SEDI account before you have certified information the information is deleted You cannot view public reports while you are logged in To view public reports log out and then click Access public filings in the top right navigation bar 25 Changing your Password Each SEDI user account is assigned a password This password is linked to your SEDI user ID and protects your account from use by others SEDI issues your password when you create your SEDI user account for more information see Creating a SED User Account on page 15 Passwords are case sensitive and the SEDI Operator cannot retrieve your password for you Ensure that you print it and keep it in a secure location Passwords expire 1 year 90 days after they are generated If you do not change your password before it expires SEDI prompts you to change the password when you log in before allowing you to proceed in the
148. r this issuer and those securities that may no longer be issued If the security designation is not available in the list above select a security designation from the list below Archived security designation Select One z Select archived security designation If the security designation is not available in the lists above select a security designation from the list below Insider defined security Select One Select insider defined security designation If the security designation is not available from any of the lists above select a security category and click Add security designation Security Category Select One z Add security designation 9 Click the radio button beside the security about which you want to file an amend ment in the Outstanding securities list SX For information about security designations and how balances are O calculated in SEDI see Appendix 1 Balances on page 185 138 OPTION If the security that you want to file a report about is not listed in the Outstanding securities list select it from the Archived security designation list Note If the security is issued by your issuer but is not on the Outstanding securities or Archived security designation list contact the issuer and have them add the security to their issuer profile supplement Do not create an insider defined security If the security is not in the Outstanding securities or Archived security designation list b
149. re information see Creating an Issuer Profile Supplement on page 68 7 Click Next SCREEN Issuer activities Once you have linked your account to an existing issuer profile supplement the ssuer representative home page prompts you for the issuer access key when you log in to SEDI Submit the correct issuer access key and click Next to open the ssuer activities screen from which you can O Amend your issuer profile supplement See page 83 File and amend issuer events See page 148 79 Viewing an Issuer Profile Supplement You can view the issuer profile supplement at any time while you are logged in after your account has been activated If you are an agent choose an issuer from your Issuer list and enter the correct issuer access key For more information see Performing Issuer Activities on page 99 To view the details of the issuer profile supplement 1 Click Issuer profile supplement in the top right navigation bar SCREEN Introduction to issuer profile supplement activities Form 55 102F3 Fras P Logout Contact us E Help April 1 2003 6 Issue _ _ A Issuer profile supplement Issuer event report Your user information q Issuer ABC Company Inc Introduction to issuer profile supplement activities Form 55 102F3 By acting on behalf of an issuer you can view the issuer profile and supplement by clicking View issuer profile ma cCESS Key and supplement amend the issuer pr
150. report Enter transaction information Security designation Bonds Date of transaction Select Orme Select One YYYY Nature of transaction Select Ore nit price or exercise Not Applicable 16 Enter the date the transaction occured in the Date of transaction fields then enter a 4 digit year 17 Select a Nature of transaction code from the drop down list box For information about nature of transaction codes see Appendix 3 C Nature of Transaction Codes on page 200 18 Type a value in either the Number or value of securities acquired or Number or value of securities disposed of fields 1 Do not enter a value in both of these fields s Ca If you have specified a derivative as the security additional fields appear in which you enter the value of underlying securities acquired or disposed of For information about filing trades on derivatives click Guidelines on derivatives 117 19 Enter a Unit price or exercise price and use the drop down list box to choose a Currency The Canadian dollar CAD is the default value If the currency does not appear in the list convert it to CAD OR Click the Not Applicable check box 20 Enter any remarks that you want to make public in the General remarks field This is an optional field Only enter information in this field if it adds necessary information about the transaction 21 Enter any private comments in the Private remarks to securities regulatory
151. ries 14 N Scroll bar Radio button Drop down list box File insider report Enter transaction information Security designation Common Shares Date of transaction Select One Select One YYYY Nature of transaction Select One Number or value of Number or value of ES securities acquired alae of Unit price or C Not Applicable Currency Canadian Dollar exercise price General remarks if necessary to describe the transaction Private remarks to securities regulatory authorities Nea Check box Field Using Browser Buttons and Keyboard Keys During your SEDI session you generally should not click Back or Stop on your browser Clicking Back or Stop can cause SEDI to terminate or to issue an error message In instances where you may need to go back to a previous screen buttons are provided in SEDI You can safely navigate backwards using SEDI buttons wy When you are viewing public reports you can click Back on your browser To move from one field to another click a field with your mouse or press the Tab key Do not press the Enter key Click the Next button provided in SEDI to proceed through your SEDI session The Next button usually appears at the bottom of the SEDI screen Do not press the Enter key to submit information Using the Process Tracker While you file information in SEDI for example an insider profile the Process Tracker appea
152. rmat that is easily printed and your browser s Print dialog box opens Click Back in the SEDI screen NOT on the browser to return to SEDI we 21 Amending a SEDI User Account Once you have created a SEDI user account you can amend it at any point in your SEDI session To amend your SEDI user account 1 Click Your user information in the top right navigation bar at any point in your SEDI session SCREEN Introduction to SEDI user activities Introduction to SEDI user activities With SEDI user activities you can e view your registration information by clicking View your user information e amend your registration information by clicking Amend your user information e change your password by clicking Change your password 2 Click Amend your user information in the left navigation bar SCREEN Amend your user information Form 55 102F5 3 Type over the information in the fields to amend it 4 Click Next 22 SCREEN Amend your user information Certify and submit information Amend your user information Certify and submit information SEDI user ID Registration status Family name Given names in full Employer name and position Address street name and iaga number etc Line 2 Municipality city town etc Province territory or state Country Postal code or zip code Daytime telephone number Fax number E mail address SEDI user classification Confidential question Answer to confid
153. rofile Supplement To link your account to an existing issuer profile supplement SCREEN Issuer representative home page Issuer representative home page If you do not have an issuer access key you must create the issuer profile supplement To do so click here Create issuer profile supplement If you already have an issuer access key because someone else created the issuer profile supplement you must link your SEDI user ID to that issuer profile supplement To do so click here Link your SEDI user ID to the issuer profile supplement 1 Click Link your SEDI user ID to the issuer profile supplement SCREEN Link your SEDI User ID to the issuer profile supplement Link your SEDI user ID to the issuer profile supplement Select one of the following options Option Search for an issuer by entering the issuer number Note 1 you must enter all 8 digits including the leading zeros Issuer number Option Search for an issuer by entering the issuer name Issuer name ABC Company Inc Exact match Note If you are unable to locate the issuer try to refine your search or contact the issuer as the issuer profile supplement may not have been created Search Reset 77 2 Search for an issuer using one of the following options QO Option 1 Enter the SEDAR profile number in the Issuer number field Q Option 2 Enter the issuer s name in the Issuer name field xiz When searching
154. rofile supplement click Create issuer profile supplement on the Agent home page to move to the Create issuer profile supplement Select issuer screen Follow the steps described in Creating an Issuer Pro file Supplement on page 68 When you finish creating the issuer profile supplement the issuer is added to your Issuer list and you proceed to the ssuer activities screen Adding an Issuer to your Issuer List If the issuer that you represent has already created an issuer profile supplement you simply need to add the issuer to your Issuer list To add an issuer to your Issuer list SCREEN Agent home page 1 Click Add issuer in the right column SCREEN Select issuer profile supplement Search for issuer Select issuer profile supplement Search for Issuer Select one of the following options Option Search for an issuer by entering the issuer number Note 1 you must enter all 8 digits including the leading zeros Issuer number Option Search for an issuer by entering the issuer name 2 Issuer name ABC Company Inc Exact match gt Note If you are unable to locate the issuer try to refine your search or contact the issuer as the issuer profile supplement may not have been created Search Reset 100 2 Search for the issuer using one of the following options QO Option 1 Enter the SEDAR profile number in the Issuer number field Q Option 2 Enter the issuer s name in the Issuer
155. rs at the top of the page The Process Tracker tracks your progress through the steps required to complete your task and indicates where you are in the process The Process Tracker displays the current step in the process underlined in green com pleted steps are displayed in black and upcoming steps in the process are displayed in grey The Process Tracker can be used to return to previous steps in the process how ever any information entered in the process after the step you ve returned to will be lost You will need to complete these subsequent steps again You cannot use the Process Tracker to skip ahead in the process Insider profile Insider report Your user information Process tracker Select neuer gt Select security designation gt Select ownership type rege tered holders E omeo 0 8 8 issuer Fereu Resourcer Secumity Commmearcal Process Tracker Current Step Previous Steps Upcoming Steps 10 Saving Data in SEDI SEDI does not save data until you certify it When you are finished entering information the SEDI screen will generally contain a button called Accept or Certify which you click to submit your data to the SEDI server SEDI does not save drafts If you log out before you have certified the information you have entered it is deleted Choosing Language You can view SEDI in English or French Click English or Fran ais on the SEDI opening screen before logging in If you want to change the
156. rtification 23 Review the certification information carefully 24 Click Accept OPTION To decline the Certification To print the amended insider transaction with a date and d click Decline You return to time stamp click the check box provided SEDI displays bie the amendment in a format that is easily printed and the Amend insider report your browser s Print dialog box opens Click Back in the Fle transaction information SEDI screen NOT on the browser to return to SEDI peice te wy 144 SCREEN Amend insider transaction Completed Warning Balances may be impacted by amending a paper filing Review initial SEDI report if any and amend balance if necessary Amend insider transaction Completed The transaction has been reported Reported transactions for this session Security Registered Opening Date of Nature of Number Closing designation holder Balance transaction transaction or value Balance acquired jor disposed of 10 Common Acquisition Shares zoa CF o i 03 disposition 600 600 in the public market Are you finished with this insider Y o Wy report Yes No To print this information click Printer friendly version Printer friendly version Note Ensure your printer is set to print in landscape format 25 Indicate whether you are finished amending transactions Q Click Yes to finish amending the transaction and return to the Introduction to insider report activiti
157. rts with or without general remarks Click Yes at the top of the report to toggle the remarks on and off Download PDF To download a PDF of the report click Download PDF Report The PDF opens in your browser Click Print on your browser to print the report and click Back on your browser to return to SEDI Refine Search Click Refine Search Criteria to return to the Insider transaction detail Enter search criteria screen View Search Results Click Return to Search Results to return to the nsider transaction detail Select insider screen Viewing Issuer Event History Reports Issuer event history reports display issuer event reports that have been filed by issuers Event reports include issuer events such as stock splits and consolidations and aid reporting insiders by providing them with accurate and current information about the issuer 164 To view an issuer event history report SCREEN Welcome to SEDI ate mS Register as aSEDI user Access public filings Welcome to SEDI 1 Click Access public filings in the top right navigation bar SCREEN Introduction to access public filings activities gt Register as aSEDI user Access public filings Ra Yes Introduction to access public filings activities Insider information To view profiles of insiders directors senior officers and significant shareholders that have filed insider reports in SEDI click View insider information Insiders that
158. ry to describe the transaction Private remarks to securities regulatory authorities nend this inform propria t o To amend this information click the appropriate button naasa urity Hl a eae Ht meee If you are satisfied with the changes you have made click Certify Certify Cancel amendment 3 Ensure that the details of your amendment are complete and accurate f you disagree with the balance calculated by SEDI enter a balance in the Insider s calculated balance field Only provide a balance for transactions you have filed in SEDI If you enter a balance staff from your securities regulatory authority will contact you wv For information about how balances are calculated see Appendix 1 Balances on page 185 4 Click Certify OPTIONS Amend Security To amend information about the security click Amend security to return to the Amend insider report Select security designation screen Amend Holder To amend information about the holder click Amend holder to return to the Amend insider report Select ownership type and registered holder screen Amend Details OPTION To amend transaction information click Amend details to return to the D Amend insider report Enter transaction information screen To decline the Certifi cation click Cancel Cancel You return to the To cancel your amendment click Cancel amendment Your amendment is Amend insider report not filed and you return to the Intro
159. s designation Date of a transaction August as 24 me 2008 Nature of transaction Number or Number or value of l f he 1500 joa securities securities acquired disposed of Unit price or Not Applicable Currency Canadian Dollar exercise price General remarks if necessary to describe the transaction Private remarks to securities regulatory authorities 11 Acquisition or disposition carried out privately Cancel amendment 1 Amend the transaction information in the report 2 Click Next OPTION To cancel your amendment click Cancel amendment Your amendment is not filed and you return to the Introduction to insider report activities screen 128 SCREEN Amend insider report Final review Amend insider report Final review Please review this amendment before you certify it Transaction Number 858151 Security designation Bonds Opening balance of securities held 1250 Date of transaction 2008 08 24 Nature of transaction 11 Acquisition or disposition carried out privately Number or value of securities acquired 1500 Unit price or exercise price Currency If the closing balance of the securities or contracts is incorrect enter the correct balance in the Insider s calculated balance If you provide a balance here a securities regulatory authority may ask you to reconcile your closing balance numbers Closing balance of securities held 2750 Insider s calculated balance General remarks if necessa
160. s a SEDI user Certify and submit registration information Form 55 102F5 Register as a SEDI user Certify and submit registration information Form 55 102F5 Family name Doe Given names in full John James Employer name and position Address street name and tine 123 Orchard tane number etc Line 2 Municipality city town etc Toronto Province territory or state Ontario Country Canada Postal code or zip code T5T 5T5 Daytime telephone number 416 777 7777 Fax number 416 777 7778 E mail address jjdoe home com SEDI user classification Insider To certify and submit your i P registration information click Cont Esit Cancel Certify 9 Ensure that the information you entered is correct 10 Click Certify to submit your registration form 11 Carefully review the statement in the Certification dialog box and then click OK OPTIONS Edit To edit your SEDI account registration form click Edit on the Register as a SEDI user Certify and submit registration information screen You return to the Register as a SEDI User Form 55 102F5 screen Type over your previous entries to edit the registration Cancel To cancel your registration click Cancel on the Register as a SEDI user Certify and submit registration information screen and then click OK in the dialog box Your SEDI user account is not created and you return to a blank Register as a SEDI User Form 55 102F5 screen 18
161. sed for all your opening balances for this issuer This date should be prior to the date of any transactions that you will report for this issuer in SEDI Date the insider became Select One Select One x aara an insider of this issuer or Opening balance date March 24 x 2003 To reset dates press Reset Reset Optional information If you wish to be contacted at another address or you wish to name a contact person check this box If you wish to specify one or more registered holders for other than direct holdings check this box Next 11 Use the drop down list box to select a relationship in the Insider s relationship to issuer field To select more than one relationship press and hold the Ctrl keyboard C key and mouse click your selections 12 Specify the date on which the insider became an insider of the issuer OR the opening balance date in the field provided Use the drop down list boxes to enter a month and day in the Date the insider became an insider of this issuer fields Enter a 4 digit year 36 OR Use the drop down list boxes to enter a month and day in the Opening balance date fields Enter a 4 digit year If you have not previously filed insider reports enter a Date the insider became an insider of this issuer If you have previously filed insider reports enter an Opening balance date If you specify an opening balance date the date you enter must be prior to
162. signation and the registered holder Example If you hold common shares of an issuer both directly and indirectly you report both hold ings separately as follows Filing Transaction Security Ownership Registered Opening Acquisition Balance Date Date Designation Type Holder Balance Disposition Jan Jan 1 Common Direct N A 0 500 500 10 Shares Jan Jan 1 Common Indirect RRSP 0 200 200 10 Shares SEDI recognizes that you have two distinct holdings and calculates a balance for each one 185 Securities To specify a security in SEDI you select a security category and then specify a security designation The security designation includes a security name selected from the drop down list box and the additional description if you have provided one The options in the Security name drop down list box depend on the security category you have selected The security categories and their associated security names are outlined in the following table Security Category Security Name Debt Bonds Commercial Paper Convertible Debentures Convertible Notes Debentures Medium Term notes Notes Other Promissory Notes Equity American Depository Receipts Common Shares Convertible Preferred Shares Exchangeable Shares General Partnership Units Instalment Receipts Limited Partnership Units Multiple Voting Shares Non Voting Shares Other
163. sponding button and click either Amend or Remove Issuer number Issuer name 00019040 ABC Company Inc Amend Remove From this screen you can Q Add an issuer See Add issuer to profile below Q Amend or remove information about an issuer already linked to the insider profile See page 58 Add issuer to profile To add an issuer to the profile 1 Click Add issuer to profile on the Amend insider profile Add or amend issuer information screen SCREEN Amend insider profile Add an issuer to the insider profile Amend insider profile Add an issuer to the insider profile Search for an issuer using one of the following options Option Search for an issuer by entering the issuer number Note you must enter all 8 digits including the leading zeros Issuer number Option Search for an issuer by entering the issuer name Issuer name xyz Company Inc Exact match Note If you are unable to locate the issuer try to refine your search or contact the issuer as the issuer profile supplement may not have been created Search Go Back Reset 51 2 Search for an issuer to add to your profile using one of the following options Q Option 1 Enter the SEDAR profile number in the Issuer number field Q Option 2 Enter the issuer s name in the Issuer name field When searching use the drop down list boxes beside the fields to further define your search parameters
164. ssuer we profile supplement Only one issuer profile supplement can be associated with each issuer account If you want to file information on behalf of more than one issuer or for a combination of issuers and insiders re classify your SEDI account as an agent account For more information see Amending a SED User Account on page 22 and Using Agent Accounts on page 93 You cannot create an issuer profile supplement until your SEDI account has been activated For more information about activating accounts see Creating a SEDI User Account on page 15 and Activating Your Account on page 19 Once you have created your issuer profile supplement or linked your account to an exist ing issuer profile supplement the ssuer representative home page prompts you for the issuer access key when you log in to SEDI Submit the correct issuer access key and click Next to open the ssuer activities screen from which you can amend the issuer pro file supplement or file and amend issuer event reports This chapter contains the following sections Creating an Issuer Profile Supplement Linking your Account to an Existing Issuer Profile Supplement Viewing an Issuer Profile Supplement LI Amending an Issuer Profile Supplement OI Changing your Issuer Access Key 67 Creating an Issuer Profile Supplement The first time you log in using your SEDI user ID and password after your account has been activated the ssuer home page prompts you to
165. sure that you have the answer to the confidential ques tion you supplied when you created your account How long does it take to activate my SEDI account If you fax in Form 55 102F5 Register as a SEDI user it normally takes approximately 24 hours to validate your account 183 Question Answer Do need a SEDI account to view reports No All members of the public can view reports Click Access public filings in the top right navigation bar If my account has been deactivated or can celled can create a new one Yes 184 Appendix 1 Balances When you file insider reports SEDI calculates balances for each holding of securities that you own SEDI defines a holding as the combination of issuer security designation and registered holder The first time you file an insider report for a security SEDI prompts you for an opening balance for that holding The next time you file a report for the same holding i e match ing by issuer security designation registered holder SEDI adds or subtracts your acquisition or disposition accordingly When you finish filing the insider report SEDI dis plays the closing balance it has calculated for the security This appendix contains the following sections QO Holdings QO Securities L Balance Dates Holdings SEDI calculates a unique balance for each holding filed for the issuer A holding is a combination of the security de
166. system To change your SEDI user account password Your user information Insider home page 1 Click Your user information in the top right navigation bar SCREEN Introduction to SEDI user activities Francais Insider home page ogout Contact us elp Apni 1 2003 Your user information q Introduction to SEDI user activities With SEDI user activities you can e view your registration information by clicking View your user information e amend your registration information by clicking Amend your user information e change your password by clicking Change your password 2 Click Change your password in the left navigation bar 26 SCREEN Change your password Change your password Enter your old o password Enter your new E password Enter your new Co password again Next 3 Enter your old current password in the field provided 4 Enter a new password in the field provided 4 Passwords must be 6 8 characters long They can include letters or numbers but cannot include special characters e g an asterisk 5 Enter the new password in the field provided to confirm it 6 Click Next SCREEN Change your password Completed 27 Using Insider Accounts After you create a new insider account in SEDI you should either create an insider pro file or link your SEDI account to an existing insider profile An insider profile contains per sonal information ab
167. t sufficient Daytime telephone number Fax number If available E mail address If available Type of user classification Insider Issuer or Agent Prepared confidential question and answer A confidential question and answer to which only you know the answer For example What was my dog s name when I was a child instead of What colour is the sky The SEDI Operator will use this question to verify your identity if you request a new password For security purposes you will be logged out of SEDI if you leave it inactive for more than 20 minutes Any information that you have entered but not certified is deleted when you are logged out 15 When you create a SEDI user account you navigate through the following screens Welcome to SEDI Register as a SEDI user Form 55 102F5 Register as a SEDI user Accept terms of use SEDI User Register as a SEDI user Certify and submit registration information Form 55 102F5 Register as a SEDI user Conditional registration completed To create a SEDI user account SCREEN Welcome to SEDI i gt Register as a SEDI user Access public filings Welcome to SEDI 1 Click Register as a SEDI user in the top right navigation bar SCREEN Register as a SEDI user Form 55 102F5 2 Enter your personal information in the fields provided wy Name Use upper and lower case letters as applicable Do not use initials nickna
168. t column SCREEN Select insider profile Search for insider Option 2 Option 3 Option 5 Select insider profile Search for insider Select one of the following options Option 1 Search by entering the insider number Insider number If this insider is an individual search by entering the insider name Insider family s exact match E name Insider given John James Exact match names If this insider is a company search by entering the insider company name Insider company Starts with name Option 4 Search for ali insiders of an issuer by entering the issuer number Issuer number Search for ali insiders of an issuer by entering the issuer name Issuer name Starts with Search Reset 96 2 3 Search for the insider using one of the following options Q Option 1 Enter the insider number in the Insider number field 101 The insider number is issued when the insider profile is created For more information see Creating an Insider Profile on page 29 Q Option 2 Enter the insider s family and given names in the Insider family name and Insider given names fields if the insider is an individual Q Option 3 Enter the insider s company name in the Insider company name field if the insider is a company Q Option 4 Enter the SEDAR profile number of the issuer for which the insider is an insider in the Issuer number field Q
169. t will automatically refresh this page and the report above will no longer be displayed To keep a record of this amendment please print this information by clicking on the printer friendly version button OPTION Print To print the details about the amendment click Printer friendly version SEDI displays the amendment in a format that is easily printed and your browser s Print dialog box opens Click Back in the SEDI screen NOT on the browser to return to SEDI The transaction has been amended 130 7 Indicate whether or not you want to amend another transaction QO Click Yes and indicate if you want to amend another transaction for either e The same issuer and return to the Amend or delete insider report View search results screen e A different issuer and return to the Amend or delete insider report Select issuer screen Q Click No to return to the Introduction to insider report activities Form 55 102F2 screen Amendments to reports are normally publicly available on SEDI within five minutes after filing Delete report From the Amend or delete insider report View search results screen you can choose to delete an insider report For information about the Amend or delete insider report View search results screen see page 124 1 Click Delete report You should only delete a report in very specific circumstances It is strongly recommended that you amend a report instead of deleting it All
170. te issuer profile supplement Select issuer Create issuer profile supplement Select issuer Search for an issuer using one of the following options Option Search for an issuer by entering the issuer number Note 1 you must enter all 8 digits including the leading zeros Issuer number Option Search for an issuer by entering the issuer name Issuer name ABC Company Inc Exact match Search Reset 70 2 Search for the issuer using the following options QO Option 1 Enter the SEDAR profile number in the Issuer number field Q Option 2 Enter the issuer s name in the Issuer name field 1 When searching use the drop down list boxes beside the fields to further Y Y define your search parameters Choose from O e Starts with Searches for items that begin with your entry in the field e Contains Searches for items that contain your entry in the field e Exact match Searches for items that exactly match your entry in the field 3 Click Search wy O To clear all fields click Reset SCREEN Create issuer profile supplement Select issuer Create issuer profile supplement Select issuer The following issuers met your search criteria Select an issuer from the list below Pasian Hance Issuer name Issuer name English French ABC Company Compagnie ABC Ce 00019040 Tie fne Next New Search 71 4 Click the radio button beside the issuer 5
171. the dates of any transactions that you intend to file for this issuer in SEDI For example if your first SEDI report is a transaction that occurred on January 10 enter January 9 as the opening balance date To clear all fields click Reset 13 If desired indicate that you want to provide another address or contact person or you want to specify one or more registered holders for other than direct holdings by clicking the check boxes at the bottom of the screen These are optional steps 14 Click Next If you did not click the check boxes to add contact information or regis tered holders skip to Step 19 SCREEN Create insider profile Add contact information Optional Create insider profile Add contact information Optional Family name Doe Given names in full Jane Address street name and Line 1 fi23 Granville Street number etc Line 2 Suite 201 Municipality city town etc Vancouver Country Canada F Province territory or state British Columbia Postal code or zip code L929 o Daytime telephone number 604 B33 B333 ext Fax number e04 33 p334 E mail address jdoe business com _ Next Cancel we This screen is optional To skip this screen click Next 37 When you provide optional contact information any correspondence regarding your SEDI filings is sent to the address entered here rather than to your personal address If you indicated that you want to provide anoth
172. to return to SEDI Refine Search Click Refine Search Criteria to return to the Insider information by issuer Enter search criteria screen View Search Results Click Return to Search Results to return to the Insider Information by Issuer Select Issuer screen 169 Viewing Weekly Summary Reports Weekly summary reports display all transactions filed in SEDI in the last week Weekly reports are generated every Thursday at 4 00 p m and they are posted on the SEDI web site overnight Weekly summary reports for the last three weeks are posted on SEDI Weekly reports are sorted by Q Insider Lists all the trading activities by issuer for each insider within the speci fied period Q Class of security Lists all the trading activities by issuer for each security e g common shares preferred shares etc within the specified period 1 Because of the large volume of information contained in a weekly bad summary report these files are quite large and can take several minutes to download If you are interested in a particular insider or issuer or if you require information that is more than three weeks old consider viewing an insider transaction detail report For more information see Viewing Insider Transaction Detail Reports on page 161 To view a weekly summary report SCREEN Welcome to SEDI Register as aSEDI user Access public filings Welcome to SEDI 1 Click Access public filings in the top right navigat
173. to SEDI 1 Click Access public filings in the top right navigation bar SCREEN Introduction to access public filings activities KY user L vl Introduction to access public filings activities Insider information To view profiles of insiders directors senior officers and significant shareholders that have filed insider reports in SEDI click View insider information Insiders that do not own or trade in securities of the issuer with whom they have a relationship need not file insider reports or profiles 2 Click View summary reports in the left navigation bar 167 SCREEN View summary reports Please select a report to run from the list of available reports below Report titles Description Insider transaction Active insider transactions special filters detail available to narrow results as desired C Issuer event history The system will provide a list and description of issuer events matching the search criteria Insider information The system will provide a list of all insiders by issuer related to a specified issuer results presented may include just a listing of the insiders name or may also include a summary of the insider s holding by class of security Cc Weekly summary Generated weekly summary of transactions Next 3 Click the radio button beside Insider information by issuer 4 Click Next SCREEN Insider information by issuer Enter search criteria 5 Enter t
174. uite 201 Municipality city town etc Vancouver Country Canada 3 Province territory or state British Columbia Postal code or zip code Lonza Daytime telephone number 604 333 B333 ext Fax number e04 B33 f334 E mail address jdoe business com _ Next Cancel we C This screen is optional To skip this screen click Next When you provide optional contact information any correspondence regarding your SEDI filings is sent to the address entered here rather than to your personal address If you indicated that you want to provide another address or contact person on the Amend insider profile Amend issuer information screen 54 10 Enter the contact s personal information in the fields provided You do not need to fill in all the fields For example if you want to receive correspondence at an address that is not your principal address simply fill in the address fields OPTION When you fill in some of the address fields e g Province territory or state you must fill in the remaining address fields ty To cancel the contact information click Cancel You return to the Amend insider profile Amend issuer information screen If you want to be contacted at a different telephone number fill in only the Daytime telephone number fields If you want correspondence to be sent to a different person fill in all the fields Name Use upper and lower case letters as applicable Do
175. umber is issued when the insider profile is created For more information see Creating an Insider Profile on page 29 QO Option 2 Enter the insider s family and given names in the Insider family and given name fields if the insider is an individual QO Option 3 Enter the insider s company name in the Insider company name field if the insider is a company QO Option 4 Enter the SEDAR profile number of the issuer for which the insider is an insider in the Issuer number field Q Option 5 Enter the name of the issuer for which the insider is an insider in the Issuer name field 174 1 When searching use the drop down list boxes beside the fields to further YY define your search parameters Choose from O e Starts with Searches for items that begin with your entry in the field e Contains Searches for items that contain your entry in the field e Exact match Searches for items that exactly match your entry in the field 4 Click Search wy To clear all fields click Reset SCREEN View insider information View search results View insider information View search results Legend Previous insider name matched search criteria Current insider name displayed A Issuer Insider full Insider Insider Issuer name municipality English pale Doe John IDOEO02 Toronto ABC Compagnie James Company ABC Inc Inc New Search 5 Click the radio button beside the insi
176. ur monitor to view SEDI with at least 256 colours Q 56K modem minimum Q An Internet connection Q Microsoft Internet Explorer 5 5x or 6 0x or Netscape 6 2 3x QO Adobe Acrobat Reader 5 0 Per session cookies and Javascript should be enabled in your web l browser For more information see the sections on Security in your d browser s Help It is recommended that you maximize your browser window For information about downloading browser upgrades and Adobe Acrobat Reader see the following web sites as appropriate www microsoft com www netscape com www adobe com Connecting to SEDI To connect to SEDI access the www sedi ca web site On the opening screen click English or Francais The Welcome to SEDI screen appears in the language you have chosen From this screen you can create a SEDI user account log in or view public reports For more information see Creating a SEDI User Account on page 15 OI Logging In and Out on page 24 Viewing Public Reports on page 160 SX For convenient access to SEDI add www sedi ca to your browser bookmarks Navigating in SEDI The following sections contain some important tips on using SEDI interface tools browser buttons and keyboard keys and the Process tracker Interface Tools The SEDI interface includes the following tools QO Navigation bars Navigation bars appear along the top right corner the bottom and sometimes along the left side of the scr
177. ur securities To update the balance of your securities amend the opening balance on your initial insider report 190 Appendix 2 Commonly Filed Trades This appendix contains examples of commonly filed trades Note that this is not an exhaustive procedure for filing insider reports For detailed instructions on filing insider reports see Filing an Insider Report on page 107 Filing an Initial Report The following example describes how to file an initial SEDI report about 200 common shares that you own directly To file the insider report 1 Begin filing your insider report as described in Filing an Insider Report on page 107 SCREEN File insider report Select security designation AN a a T File insider report Select security designation designation from the list below Select a security Outstanding securities Options Common Shares Common Shares Insider defined security Add nade dahned security ed security list contains those securities that are no longer outstanding for this issuer and those securities that may Archived security designation Newt Cancel ting 2 Select Common Shares in the Outstanding securities list 191 SCREEN File insider report Select ownership type Process tracker Insider neoe Select an ownership type issuer Datenave Syster inder pm ie Unetderrepart Your usr intormetien Select hsuer Select security designation Select owes
178. y 24 Click Accept OPTION To print the insider profile with a date and time stamp click the check box provided When you click Accept SEDI displays the profile in a format that is easily printed and your browser s Print dialog box opens Click Next in SEDI to proceed to the Create Insider Profile Completed screen ss ty To decline the Certification click Decline You return to the Create insider profile Certify and file insider profile screen 41 SCREEN Create insider profile Completed 25 Make note of your Insider number and access key displayed on the screen The insider number and insider access key are unique and you need the insider access key to access the insider profile or file trades for the o insider To print this screen for your reference click Print on your browser s navigation bar to open the Print dialog box 26 Click Next SCREEN Insider activities After you create your insider profile a letter is sent to you at your personal address The letter confirms that you have created an insider profile and includes your insider number and insider access key Once you have created your insider profile the nsider activities screen is displayed from which you can Q Amend your insider profile See page 47 File and amend insider trades page 106 42 Linking your Account to an Existing Insider Profile If an insider profile has already been created for you you can link
179. y You have control or direction if directly or indirectly you have or share vot ing power or investment power through any contract arrangement understanding or relationship For example you may have been granted authority to vote or to trade securities owned by family members friends or associates If the Ownership type is Indirect Ownership or Control or Direction select a regis tered holder from the Registered holder list 113 If the desired registered holder does not appear in the list select the radio button Add new holder and enter the name of the new holder in the accompany text box The new holder will be added to your registered holder list 9 Click Next If you are filing an initial SEDI report proceed to Step 10 If you are filing subsequent SEDI reports skip to Step 16 The File insider report Opening balance on initial SEDI report screen opens if this is the first transaction you have filed for a holding related to this issuer a holding is a combina tion of the security designation and the registered holder On this screen SEDI prompts you for an opening balance for the holding The next time you file a report for the same holding The File insider report Enter transaction information screen appears on which you report the details of your transaction SEDI adds or subtracts your acquisition or dis position and updates your closing balance accordingly 114 SCREEN File insider report Openi
180. you to either create an insider profile or link your user ID to an existing insider profile You must create an insider profile if one has not been created for you If your insider pro file has already been created see Linking your Account to an Existing Insider Profile on page 43 If you are an agent log in with your SEDI user ID and password and then click Create insider profile on the Agent home page For more information see Using Agent Accounts on page 93 Before you begin creating an insider profile gather the following information Q Family name given names in full of the insider if the insider is an individual Do not use initials nicknames or abbreviations OR Insider company name and family name given names in full of insider represen tative if the insider is a company Do not use initials nicknames or abbrevia tions Q Full address If the insider is an individual use a principal residential address If the insider is a company use the company s address A post office box is not suf ficient Daytime telephone number Fax number If available QO E mail address If available QO Prepared confidential question and answer A confidential question and answer to which only you know the answer For example What was my dog s name when I was a child instead of What colour is the sky The SEDI Operator will use this question to verify your identity if you request
181. ze your search For example you can search for a specific insider or for all insiders of a specific issuer You can even search by a specific security or issuer industry To view an insider transaction detail report SCREEN Welcome to SEDI Francais Login Contact us Help April 3 2003 Ea a Ri i Register as a SEDI user Access public filings EN Welcome to SEDI 1 Click Access public filings in the top right navigation bar 161 SCREEN Introduction to access public filings activities activities Insider information Introduction to access public filings To view profiles of insiders directors senior officers and significant shareholders that have filed insider reports in SEDI click View insider information Insiders that do not own or trade in securities of the issuer with whom they have a relationship need not file insider reports or profiles 2 Click View summary reports in the left navigation bar SCREEN View summary reports Register as aSEDI user Access public filings Report titles Insider transaction detail Issuer event history Insider information by issuer Weekly summary B Please select a report to run from the list of available reports below Description Active insider transactions special filters available to narrow results as desired The system will provide a list and description of issuer events matching the search criteria The system wil

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