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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 3/22/21 High Tide Inc. 40FR12B 3/19/21 155:68M EdgarAgents LLC/FA |
Document/Exhibit Description Pages Size 1: 40FR12B Registration Statement by a Canadian Issuer HTML 123K 2: EX-99.1 MD&A Dated for the Year Ended October 31, 2019 HTML 176K 11: EX-99.10 Report of Exempt Distribution Excluding Schedule 1 HTML 39K of 45-106F1 Dated December 19, 2019 101: EX-99.100 News Release Dated December 14, 2020 HTML 49K 102: EX-99.101 News Release Dated December 29, 2020 HTML 48K 103: EX-99.102 News Release Dated January 4, 2021 HTML 46K 104: EX-99.103 News Release Dated January 7, 2021 HTML 46K 105: EX-99.104 Ni 44-101 Notice of Intent to Qualify Dated HTML 38K January 6, 2021 106: EX-99.105 News Release Dated January 10, 2021 HTML 46K 107: EX-99.106 Report of Exempt Distribution Excluding Schedule 1 HTML 38K of 45-106F1 Dated January 13, 2021 108: EX-99.107 Business Acquisition Report Dated January 15, 2021 HTML 46K 109: EX-99.108 News Release Dated January 22, 2021 HTML 43K 110: EX-99.109 News Release Dated January 25, 2021 HTML 55K 12: EX-99.11 News Release Dated December 27, 2019 HTML 46K 111: EX-99.110 News Release Dated February 1, 2021 HTML 47K 112: EX-99.111 News Release Dated February 1, 2021 HTML 43K 113: EX-99.112 News Release Dated February 2, 2021 HTML 48K 114: EX-99.113 Amended and Restated Bought Deal Offering of Units HTML 111K Dated February 2, 2021 115: EX-99.114 Cover Letter From Newsfile Corp. Dated February 2, HTML 40K 2021 116: EX-99.115 Letter From Foreign Issuer Dated February 2, 2021 HTML 38K 117: EX-99.116 Term Sheet Dated February 1, 2021 HTML 46K 118: EX-99.117 Amended and Restated Term Sheet Dated February 2, HTML 45K 2021 119: EX-99.118 Qualification Certificate Dated February 5, 2021 HTML 43K 120: EX-99.119 Preliminary Short Form Prospectus Dated February HTML 424K 5, 2021 13: EX-99.12 Loan Agreement Dated January 6, 2020 HTML 243K 121: EX-99.120 Decision Document Dated February 5, 2021 HTML 38K 122: EX-99.121 Marketing Materials Dated February 9, 2021 HTML 47K 123: EX-99.122 Other Material Contract(S) Dated February 9, 2021 HTML 123K 124: EX-99.123 News Release Dated February 10, 2021 HTML 44K 125: EX-99.124 News Release Dated February 16, 2021 HTML 46K 126: EX-99.125 Undertaking to File Documents and Material HTML 39K Contracts Dated February 16, 2021 127: EX-99.126 Government of Alberta Certificate of Amendment and HTML 52K Registration of Restated Articles 128: EX-99.127 Consent Letter of Underwriters' Legal Counsel HTML 42K Dated February 16, 2021 129: EX-99.128 Consent Letter of Issuer's Legal Counsel HTML 39K 130: EX-99.129 Auditors' Consent Letter Dated February 16, 2021 HTML 39K 14: EX-99.13 News Release Dated January 7, 2020 HTML 48K 131: EX-99.130 Auditors' Consent Letter Dated February 16, 2021 HTML 39K 132: EX-99.131 Underwriting or Agency Agreement Dated February HTML 303K 16, 2021 133: EX-99.132 Final Short Form Prospectus Dated February 16, HTML 440K 2021 134: EX-99.133 Decision Document Dated February 17, 2021 HTML 38K 135: EX-99.134 News Release Dated February 18, 2021 HTML 47K 136: EX-99.135 News Release Dated February 22, 2021 HTML 48K 137: EX-99.136 2021 Warrant Indenture Dated February 22, 2021 HTML 309K 138: EX-99.137 News Release Dated February 23, 2021 HTML 48K 139: EX-99.138 On Form 13-502F1 (Class 1 and 3B Reporting Issuers HTML 37K - Participation Fee) Dated March 1, 2021 140: EX-99.139 Consolidated Financial Statements for the Years HTML 485K Ended October 31, 2020 and 2019 15: EX-99.14 News Release Dated January 7, 2020 HTML 48K 141: EX-99.140 Ab Form 13-501F1 (Class 1 and 3B Reporting Issuers HTML 38K - Participation Fee) Dated March 1, 2021 142: EX-99.141 MD&A for the Year Ended October 31, 2020 HTML 152K 143: EX-99.142 52-109Fv1 - Certification of Annual Filings - CFO HTML 41K (E) Dated March 1, 2021 144: EX-99.143 52-109Fv1 - Certification of Annual Filings - CEO HTML 41K (E) Dated March 1, 2021 145: EX-99.144 News Release Dated March 1, 2021 HTML 76K 146: EX-99.145 News Release Dated March 4, 2021 HTML 44K 147: EX-99.146 News Release Dated March 5, 2021 HTML 43K 148: EX-99.147 News Release Dated March 8, 2021 HTML 44K 149: EX-99.148 News Release Dated March 10, 2021 HTML 43K 150: EX-99.149 Annual Information Form Dated March 5, 2021 HTML 410K 16: EX-99.15 Early Warning Report Dated January 9, 2020 HTML 61K 151: EX-99.150 52-109F1 - Aif - Certification of Filings With HTML 41K Voluntarily Filed Aif - CFO (E) Dated March 11, 2021 152: EX-99.151 52-109F1 - Aif - Certification of Filings With HTML 42K Voluntarily Filed Aif - CEO (E) Dated March 11, 2021 153: EX-99.152 News Release Dated March 15, 2021 HTML 43K 154: EX-99.153 Consent of Independent Registered Public HTML 38K Accounting Firm Dated March 19, 2021 From Mnp LLP 155: EX-99.154 Consent of Independent Registered Public HTML 38K Accounting Firm Dated March 19, 2021 From Ernst & Young LLP 17: EX-99.16 Report of Exempt Distribution Excluding Schedule 1 HTML 38K of 45-106F1 Dated January 16, 2020 18: EX-99.17 News Release Dated January 27, 2020 HTML 49K 19: EX-99.18 News Release Dated January 28, 2020 HTML 48K 20: EX-99.19 News Release Dated January 31, 2020 HTML 46K 3: EX-99.2 News Release Dated November 7, 2019 HTML 45K 21: EX-99.20 Condensed Interim Consolidated Financial HTML 330K Statements for the Three Months Ended January 31, 2020 and 2019 22: EX-99.21 MD&A for the Three Months Ended January 31, 2020 HTML 144K and 2019 23: EX-99.22 Report of Exempt Distribution Excluding Schedule 1 HTML 39K of 45-106F1 Dated February 6, 2020 24: EX-99.23 News Release Dated February 14, 2020 HTML 50K 25: EX-99.24 News Release Dated February 21, 2020 HTML 48K 26: EX-99.25 On Form 13-502F1 (Class 1 and 3B Reporting HTML 37K Issueers - Participation Fee) Dated February 28, 2020 27: EX-99.26 Audited Annual Financial Statements Dated February HTML 437K 28, 2020 28: EX-99.27 Ab Form 13-501F1 (Class 1 and 3B Reporting Issuers HTML 37K - Participation Fee) Dated February 27, 2020 29: EX-99.28 51-109Fv1 - Certification of Annual Filings - CFO HTML 41K (E) Dated February 28, 2020 30: EX-99.29 51-109Fv1 - Certification of Annual Filings - CEO HTML 41K (E) Dated February 28, 2020 4: EX-99.3 News Release Dated November 15, 2019 HTML 45K 31: EX-99.30 News Release Dated March 2, 2020 HTML 74K 32: EX-99.31 News Release Dated March 31, 2020 HTML 61K 33: EX-99.32 52-109Fv2 - Certification of Interim Filings - CFO HTML 41K (E) Dated March 30, 2020 34: EX-99.33 52-109Fv2 - Certification of Interim Filings - CEO HTML 41K (E) Dated March 30, 2020 35: EX-99.34 News Release Dated April 6, 2020 HTML 46K 36: EX-99.35 News Release Dated April 8, 2020 HTML 45K 37: EX-99.36 News Release Dated April 13, 2020 HTML 44K 38: EX-99.37 News Release Dated April 20, 2020 HTML 45K 39: EX-99.38 News Release Dated April 22, 2020 HTML 45K 40: EX-99.39 Condensed Interim Consolidated Financial HTML 386K Statements for the Three and Six Months Ended April 30, 2020 and 2019 5: EX-99.4 News Release Dated November 21, 2019 HTML 47K 41: EX-99.40 MD&A for the Three and Six Months Ended April 30, HTML 164K 2020 and 2019 42: EX-99.41 Report of Exempt Distribution Excluding Schedule 1 HTML 40K of 45-106F1 Dated May 1, 2020 43: EX-99.42 News Release Dated May 4, 2020 HTML 45K 44: EX-99.43 News Release Dated May 8, 2020 HTML 44K 45: EX-99.44 News Release Dated May 14, 2020 HTML 44K 46: EX-99.45 Notice of the Meeting and Record Dated, Dated May HTML 42K 21, 2020 47: EX-99.46 News Release Dated May 25, 2020 HTML 44K 48: EX-99.47 News Release Dated June 9, 2020 HTML 44K 49: EX-99.48 News Release Dated June 15, 2020 HTML 39K 50: EX-99.49 News Release Dated June 17, 2020 HTML 65K 6: EX-99.5 Report of Exempt Distribution Excluding Schedule 1 HTML 86K of 45-106F1 51: EX-99.50 52-109Fv1 - Certification of Interim Filings - CFO HTML 41K (E) Dated June 16, 2020 52: EX-99.51 52-109Fv1 - Certification of Interim Filings - CEO HTML 41K (E) Dated June 16, 2020 53: EX-99.52 Notice of Meeting Dated June 19, 2020 HTML 42K 54: EX-99.53 Management Information Circular Dated June 19, HTML 176K 2020 55: EX-99.54 Form of Proxy HTML 48K 56: EX-99.55 Report of Exempt Distribution Excluding Schedule 1 HTML 40K of 45-106F1 Dated July 2, 2020 57: EX-99.56 Security Agreement Dated July 22, 2020 HTML 144K 58: EX-99.57 Debt Restructuring Agreement Dated July 22, 2020 HTML 84K 59: EX-99.58 News Release Dated July 24, 2020 HTML 48K 60: EX-99.59 News Release Dated July 31, 2020 HTML 46K 7: EX-99.6 News Release Dated November 27, 2019 HTML 44K 61: EX-99.60 Letter From Former Auditor Dated July 31, 2020 HTML 38K 62: EX-99.61 Notice of Change of Auditor Dated July 31, 2020 HTML 39K 63: EX-99.62 Condensed Interim Consolidated Financial HTML 401K Statements for the Three and Nine Months Ended July 31, 2020 and 2019 64: EX-99.63 MD&A for the Three and Nine Months Ended July 31, HTML 155K 2020 and 2019 65: EX-99.64 Letter From Ernst & Young Regarding Change of HTML 38K Auditor Notice Dated July 31, 2020 66: EX-99.65 News Release Dated August 7, 2020 HTML 43K 67: EX-99.66 News Release Dated August 10, 2020 HTML 43K 68: EX-99.67 Arrangement Agreement Dated August 20, 2020 HTML 465K 69: EX-99.68 Support and Voting Agreement Dated August 20, 2020 HTML 81K 70: EX-99.69 News Release Dated August 21, 2020 HTML 61K 8: EX-99.7 News Release Dated December 5, 2019 HTML 45K 71: EX-99.70 Material Change Report Dated August 28, 2020 HTML 50K 72: EX-99.71 Amended and Restated Asset Purchase Agreement HTML 205K Dated September 1, 2020 73: EX-99.72 News Release Dated September 1, 2020 HTML 50K 74: EX-99.73 News Release Dated September 1, 2020 HTML 50K 75: EX-99.74 News Release Dated September 8, 2020 HTML 43K 76: EX-99.75 News Release Dated September 14, 2020 HTML 43K 77: EX-99.76 52-109Fv2 - Certification of Interim Filings - CFO HTML 41K (E) Dated September 16, 2020 78: EX-99.77 52-109Fv2 - Certification of Interim Filings - CEO HTML 41K (E) Dated September 16, 2020 79: EX-99.78 News Release Dated September 16, 2020 HTML 68K 80: EX-99.79 News Release Dated September 16, 2020 HTML 70K 9: EX-99.8 Share Purchase Agreement Dated December 9, 2019 HTML 157K 81: EX-99.80 News Release Dated September 22, 2020 HTML 47K 82: EX-99.81 Management Information Circular Dated September HTML 1.08M 23, 2020 83: EX-99.82 Report of Exempt Distribution Excluding Schedule 1 HTML 85K of 45-106F1 (Amended) Dated October 19, 2020 84: EX-99.83 News Release Dated October 28, 2020 HTML 47K 85: EX-99.84 News Release Dated November 3, 2020 HTML 44K 86: EX-99.85 First Supplemental Warrant Indenture Dated HTML 107K November 16, 2020 87: EX-99.86 First Supplemental Debenture Indenture Dated HTML 78K November 16, 2020 88: EX-99.87 News Release Dated November 17, 2020 HTML 46K 89: EX-99.88 News Release Dated November 17, 2020 HTML 46K 90: EX-99.89 Support and Voting Agreement Dated November 18, HTML 76K 2020 10: EX-99.9 News Release Dated December 10, 2019 HTML 49K 91: EX-99.90 Articles of Arrangement Dated November 18, 2020 HTML 142K 92: EX-99.91 News Release Dated November 23, 2020 HTML 44K 93: EX-99.92 News Release Dated November 25, 2020 HTML 44K 94: EX-99.93 Material Change Report Dated November 25, 2020 HTML 45K 95: EX-99.94 News Release Dated November 30, 2020 HTML 49K 96: EX-99.95 News Release Dated December 3, 2020 HTML 43K 97: EX-99.96 Report of Exempt Distribution Excluding Schedule 1 HTML 41K of 45-106F1 Dated December 4, 2020 98: EX-99.97 News Release Dated December 8, 2020 HTML 43K 99: EX-99.98 News Release Dated December 9, 2020 HTML 45K 100: EX-99.99 Report of Exempt Distribution Excluding Schedule 1 HTML 41K of 45-106F1 Dated December 10, 2020
EXHIBIT 99.82
Note: [05 Oct 2018] - The
following is a consolidation of 45-106F1. It incorporates the amendments to this document that came
into effect on October 5, 2018. This consolidation is provided for your convenience and should not be relied on as authoritative.
Form 45-106F1 Report of Exempt Distribution
A. | General Instructions |
1. | Filing instructions |
An issuer or underwriter that is required to file a report of exempt distribution and pay the applicable fee must file the report and pay the fee as follows:
● | In British Columbia – through BCSC eServices at http://www.bcsc.bc.ca. |
● | In Ontario – through the online e-form available at http://www.osc.gov.on.ca. |
● | In all other jurisdictions – through the System for Electronic Document Analysis and Retrieval (SEDAR) in accordance with National Instrument 13-101 System for Electronic Document Analysis and Retrieval (SEDAR) if required, or otherwise with the securities regulatory authority or regulator, as applicable, in the applicable jurisdictions at the addresses listed at the end of this form. |
The issuer or underwriter must file the report in a jurisdiction of Canada if the distribution occurs in the jurisdiction, and the issuer or underwriter is relying on a specific exemption from the prospectus requirement set out in section 6.1 of the Instrument. The requirement to file this report might also be a condition of a prospectus exemption provided in a national, multilateral or local rule or instrument, or a condition of an exemptive relief order. If a distribution is made in more than one jurisdiction of Canada, the issuer or underwriter may satisfy its obligation to file the report by completing a single report identifying all purchasers, and file the report in each jurisdiction of Canada in which the distribution occurs. Filing fees payable in a particular jurisdiction are not affected by identifying all purchasers in a single report.
In order to determine the applicable fee in a particular jurisdiction of Canada, consult the securities legislation of that jurisdiction.
2. | Issuers located outside of Canada |
If an issuer located outside of Canada determines that a distribution has taken place in a jurisdiction of Canada, include information about purchasers resident in that jurisdiction only.
3. | Multiple distributions |
An issuer may use one report for multiple distributions occurring within 10 days of each other, provided the report is filed on or before the 10th day following the first distribution date. However, an investment fund issuer that is relying on the exemptions set out in subsection 6.2(2) of NI 45-106 may file the report annually in accordance with that subsection.
4. | References to purchaser |
References to a purchaser in this form are to the beneficial owner of the securities.
However, if a trust company, trust corporation, or registered adviser described in paragraph (p) or (q) of the definition of “accredited investor” in section 1.1 of NI 45-106 has purchased the securities on behalf of a fully managed account, provide information about the trust company, trust corporation or registered adviser only; do not include information about the beneficial owner of the fully managed account.
Joint purchasers may be treated as one purchaser for the purposes of Item 7(f) of this form.
5. | References to issuer |
References to “issuer” in this form include an investment fund issuer and a non-investment fund issuer, unless otherwise specified.
6. | Investment fund issuers |
If the issuer is an investment fund, complete Items 1-3, 6-8, 10, 11 and Schedule 1 of this form.
7. | Mortgage investment entities |
If the issuer is a mortgage investment entity, complete all applicable items of this form other than Item 6.
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8. | Language |
The report must be filed in English or in French. In Québec, the issuer or underwriter must comply with linguistic rights and obligations prescribed by Québec law.
9. | Currency |
All dollar amounts in the report must be in Canadian dollars. If the distribution was made or any compensation was paid in connection with the distribution in a foreign currency, convert the currency to Canadian dollars using the daily exchange rate of the Bank of Canada on the distribution date. If the distribution date occurs on a date when the daily exchange rate of the Bank of Canada is not available, convert the currency to Canadian dollars using the most recent daily exchange rate of the Bank of Canada available before the distribution date. For investment funds in continuous distribution, convert the currency to Canadian dollars using the average daily exchange rate of the Bank of Canada for the distribution period covered by the report.
If the distribution was not made in Canadian dollars, provide the foreign currency in Item 7(a) of the report.
10. | Date of information in report |
Unless otherwise indicated in this form, provide the information as of the distribution end date.
11. | Date of formation |
For the date of formation, provide the date on which the issuer was incorporated, continued or organized (formed). If the issuer resulted from an amalgamation, arrangement, merger or reorganization, provide the date of the most recent amalgamation, arrangement, merger or reorganization.
12. | Security codes |
Wherever this form requires disclosure of the type of security, use the following security codes:
Security code | Security type | |
BND | Bonds | |
CER | Certificates (including pass-through certificates, trust certificates) | |
CMS | Common shares | |
CVD | Convertible debentures | |
CVN | Convertible notes | |
CVP | Convertible preferred shares | |
DCT | Digital coins or tokens | |
DEB | Debentures | |
DRS | Depository receipts (such as American or Global depository receipts/shares) | |
FTS | Flow-through shares | |
FTU | Flow-through units | |
LPU | Limited partnership units and limited partnership interests (including capital commitments) | |
MTG | Mortgages (other than syndicated mortgages) | |
NOT | Notes (include all types of notes except convertible notes) | |
OPT | Options | |
PRS | Preferred shares | |
RTS | Rights | |
SMG | Syndicated mortgages | |
SUB | Subscription receipts | |
UBS | Units of bundled securities (such as a unit consisting of a common share and a warrant) | |
UNT | Units (exclude units of bundled securities, include trust units and mutual fund units) | |
WNT | Warrants (including special warrants) | |
OTH | Other securities not included above (if selected, provide details of security type in Item 7d) |
13. | Distributions by more than one issuer of a single security |
If two or more issuers distributed a single security, provide the full legal names of the co-issuers in Item 3.
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B. | Terms used in the form |
1. | For the purposes of this form: |
“designated foreign jurisdiction” means Australia, France, Germany, Hong Kong, Italy, Japan, Mexico, the Netherlands, New Zealand, Singapore, South Africa, Spain, Sweden, Switzerland or the United Kingdom of Great Britain and Northern Ireland;
“eligible foreign security” means a security offered primarily in a foreign jurisdiction as part of a distribution of securities in either of the following circumstances:
(a) | the security is issued by an issuer |
(i) | that is incorporated, formed or created under the laws of a foreign jurisdiction, |
(ii) | that is not a reporting issuer in a jurisdiction of Canada, |
(iii) | that has its head office outside of Canada, and |
(iv) | that has a majority of the executive officers and a majority of the directors ordinarily resident outside of Canada; |
(b) | the security is issued or guaranteed by the government of a foreign jurisdiction; |
“foreign public issuer” means an issuer where any of the following apply:
(a) | the issuer has a class of securities registered under section 12 of the 1934 Act; |
(b) | the issuer is required to file reports under section 15(d) of the 1934 Act; |
(c) | the issuer is required to provide disclosure relating to the issuer and the trading in its securities to the public, to security holders of the issuer or to a regulatory authority and that disclosure is publicly available in a designated foreign jurisdiction; |
“legal entity identifier” means a unique identification code assigned to the person
(a) | in accordance with the standards set by the Global Legal Entity Identifier System, or |
(b) | that complies with the standards established by the Legal Entity Identifier Regulatory Oversight Committee for pre-legal entity identifiers; |
“NRD” means National Registration Database;
“permitted client” has the same meaning as in National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations;
“SEDAR profile” means a filer profile required under section 5.1 of National Instrument 13-101 System for Electronic Document Analysis and Retrieval (SEDAR).
2. | For the purposes of this form, a person is connected with an issuer or an investment fund manager if either of the following applies: |
(a) | one of them is controlled by the other; |
(b) | each of them is controlled by the same person. |
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SCHEDULE 1 TO FORM 45-106F1 (CONFIDENTIAL PURCHASER INFORMATION)
Schedule 1 must be filed in the format of an Excel spreadsheet in a form acceptable to the securities regulatory authority or regulator.
The information in this schedule will not be placed on the public file of any securities regulatory authority or regulator. However, freedom of information legislation may require the securities regulatory authority or regulator to make this information available if requested.
a) | General information (provide only once) |
1. | Name of issuer |
2. | Certification date (YYYY-MM-DD) |
Provide the following information for each purchaser that participated in the distribution. For each purchaser, create separate entries for each distribution date, security type and exemption relied on for the distribution.
b) | Legal name of purchaser |
If two or more individuals have purchased a security as joint purchasers, provide information for each purchaser under the columns for family name, first given name and secondary given names, if applicable, and separate the individuals’ names with an ampersand. For example, if Jane Jones and Robert Smith are joint purchasers, indicate “Jones & Smith” in the family name column.
1. | Family name |
2. | First given name |
3. | Secondary given names (if applicable) |
4. | Full legal name of non-individual (if applicable) |
c) | Contact information of purchaser |
1. | Residential street address |
2. | Municipality |
3. | Province/State |
4. | Postal code/Zip code |
5. | Country |
6. | Telephone number |
7. | Email address (if available) |
d) | Details of securities purchased |
1. | Date of distribution (YYYY-MM-DD) |
2. | Number of securities |
3. | Security code |
4. | Amount paid (Canadian $) |
e) | Details of exemption relied on |
1. | Rule, section and subsection number |
2. | If relying on section 2.3 [Accredited investor] of NI 45-106, provide the paragraph number in the definition of “accredited investor” in section 1.1 of NI 45-106 that applies to the purchaser. (select only one – if the purchaser is a permitted client that is not an individual, “NIPC” can be selected instead of the paragraph number) |
3. | If relying on section 2.5 [Family, friends and business associates] of NI 45-106, provide: |
a. | the paragraph number in subsection 2.5(1) that applies to the purchaser (select only one); and |
b. | if relying on paragraphs 2.5(1)(b) to (i), provide: |
i. | the name of the director, executive officer, control person, or founder of the issuer or affiliate of the issuer claiming a relationship to the purchaser. (Note: if Item 9(a) has been completed, the name of the director, executive officer or control person must be consistent with the name provided in Item 9 and Schedule 2.) |
ii. | the position of the director, executive officer, control person, or founder of the issuer or affiliate of the issuer claiming a relationship to the purchaser. |
4. | If relying on subsection 2.9(2) or, in Alberta, New Brunswick, Nova Scotia, Ontario, Québec, or Saskatchewan, subsection 2.9(2.1) [Offering memorandum] of NI 45-106 and the purchaser is an eligible investor, provide the paragraph number in the definition of “eligible investor” in section 1.1 of NI 45-106 that applies to the purchaser. (select only one) |
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f) | Other information |
Paragraphs f)1. and f)2. do not apply if any of the following apply:
(a) | the issuer is a foreign public issuer; |
(b) | the issuer is a wholly owned subsidiary of a foreign public issuer; |
(c) | the issuer is distributing only eligible foreign securities and the distribution is to permitted clients only. |
1. | Is the purchaser a registrant? (Y/N) |
2. | Is the purchaser an insider of the issuer? (Y/N) (not applicable if the issuer is an investment fund) |
3. | Full legal name of person compensated for distribution to purchaser. If a person compensated is a registered firm, provide the firm NRD number only. (Note: the names must be consistent with the names of the persons compensated as provided in Item 8.) |
INSTRUCTIONS FOR SCHEDULE 1
Any securities issued as payment for commissions or finder’s fees must be disclosed in Item 8 of the report, not in Schedule 1.
Details of exemption relied on – When identifying the exemption the issuer relied on for the distribution to each purchaser, refer to the rule, statute or instrument in which the exemption is provided and identify the specific section and, if applicable, subsection or paragraph. For example, if the issuer is relying on an exemption in a National Instrument, refer to the number of the National Instrument, and the subsection or paragraph number of the specific provision. If the issuer is relying on an exemption in a local blanket order, refer to the blanket order by number.
For exemptions that require the purchaser to meet certain characteristics, such as the exemption in section 2.3 [Accredited investor], section 2.5 [Family, friends and business associates] or subsection 2.9(2) or, in Alberta, New Brunswick, Nova Scotia, Ontario, Québec, or Saskatchewan, subsection 2.9(2.1) [Offering memorandum] of NI 45-106, provide the specific paragraph in the definition of those terms that applies to each purchaser.
Reports filed under paragraph 6.1(1)(j) [TSX Venture Exchange offering] of NI 45-106 – For reports filed under paragraph 6.1(1)(j) [TSX Venture Exchange offering] of NI 45-106, Schedule 1 must list the total number of purchasers by jurisdiction only, and is not required to include the name, residential address, telephone number or email address of the purchasers.
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SCHEDULE 2 TO FORM 45-106F1 (CONFIDENTIAL DIRECTOR, EXECUTIVE OFFICER, PROMOTER AND CONTROL PERSON INFORMATION)
Schedule 2 must be filed in the format of an Excel spreadsheet in a form acceptable to the securities regulatory authority or regulator.
Complete the following only if Item 9(a) is required to be completed. This schedule also requires information to be provided about control persons of the issuer at the time of the distribution.
The information in this schedule will not be placed on the public file of any securities regulatory authority or regulator. However, freedom of information legislation may require the securities regulatory authority or regulator to make this information available if requested.
a) | General information (provide only once) |
1. | Name of issuer |
2. | Certification date (YYYY-MM-DD) |
b) | Business contact information of Chief Executive Officer (if not provided in Item 10 or 11 of report) |
1. | Email address |
2. | Telephone number |
c) | Residential address of directors, executive officers, promoters and control persons of the issuer |
Provide the following information for each individual who is a director, executive officer, promoter or control person of the issuer at the time of the distribution. If the promoter or control person is not an individual, provide the following information for each director and executive officer of the promoter and control person. (Note: names of directors, executive officers and promoters must be consistent with the information in Item 9 of the report, if required to be provided.)
1. | Family name |
2. | First given name |
3. | Secondary given names |
4. | Residential street address |
5. | Municipality |
6. | Province/State |
7. | Postal code/Zip code |
8. | Country |
9. | Indicate whether the individual is a control person, or a director and/or executive officer of a control person (if applicable) |
d) | Non-individual control persons (if applicable) |
If the control person is not an individual, provide the following information. For locations within Canada, state the province or territory, otherwise state the country.
1. | Organization or company name |
2. | Province or country of business location |
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Questions: Refer any questions to:
Alberta Securities Commission Suite 600, 250 – 5th Street SW Calgary, Alberta T2P 0R4 Telephone: 403-297-6454 Toll free in Canada: 1-877-355-0585 Facsimile: 403-297-2082 Public official contact regarding indirect collection of information: FOIP Coordinator
British Columbia Securities Commission P.O. Box 10142, Pacific Centre 701 West Georgia Street Vancouver, British Columbia V7Y 1L2 Inquiries: 604-899-6854 Toll free in Canada: 1-800-373-6393 Facsimile: 604-899-6581 Public official contact regarding indirect collection of information: FOI Inquiries
The Manitoba Securities Commission 500 – 400 St. Mary Avenue Winnipeg, Manitoba R3C 4K5 Telephone: 204-945-2561 Toll free in Manitoba: 1-800-655-5244 Facsimile: 204-945-0330 Public official contact regarding indirect collection of information: Director
Financial and Consumer Services Commission (New Brunswick) 85 Charlotte Street, Suite 300 Saint John, New Brunswick E2L 2J2 Telephone: 506-658-3060 Toll free in Canada: 1-866-933-2222 Facsimile: 506-658-3059 Email: info@fcnb.ca Public official contact regarding indirect collection of information: Chief Executive Officer and Privacy Officer
Government of Newfoundland and Labrador Financial Services Regulation Division P.O. Box 8700 Confederation Building 2nd Floor, West Block Prince Philip Drive St. John’s, Newfoundland and Labrador A1B 4J6 Attention: Director of Securities Telephone: 709-729-4189 Facsimile: 709-729-6187 Public official contact regarding indirect collection of information: Superintendent of Securities |
Government of the Northwest Territories Office of the Superintendent of Securities P.O. Box 1320 Yellowknife, Northwest Territories X1A 2L9 Telephone: 867-767-9305 Facsimile: 867-873-0243 Public official contact regarding indirect collection of information: Superintendent of Securities
Nova Scotia Securities Commission Suite 400, 5251 Duke Street Duke Tower P.O. Box 458 Halifax, Nova Scotia B3J 2P8 Telephone: 902-424-7768 Facsimile: 902-424-4625 Public official contact regarding indirect collection of information: Executive Director
Government of Nunavut Department of Justice Legal Registries Division P.O. Box 1000, Station 570 1st Floor, Brown Building Iqaluit, Nunavut X0A 0H0 Telephone: 867-975-6590 Facsimile: 867-975-6594 Public official contact regarding indirect collection of information: Superintendent of Securities
Ontario Securities Commission 20 Queen Street West, 22nd Floor Toronto, Ontario M5H 3S8 Telephone: 416-593-8314 Toll free in Canada: 1-877-785-1555 Facsimile: 416-593-8122 Email: exemptmarketfilings@osc.gov.on.ca Public official contact regarding indirect collection of information: Inquiries Officer
Prince Edward Island Securities Office 95 Rochford Street, 4th Floor Shaw Building P.O. Box 2000 Charlottetown, Prince Edward Island C1A 7N8 Telephone: 902-368-4569 Facsimile: 902-368-5283 Public official contact regarding indirect collection of information: Superintendent of Securities |
C:
Autorité des marchés financiers | ||
800, rue du Square-Victoria, 22e étage | ||
C.P. 246, tour de la Bourse | ||
Montréal, Québec H4Z 1G3 | ||
Telephone: 514-395-0337 or 1-877-525-0337 | ||
Facsimile: 514-873-6155 (For filing purposes only) | ||
Facsimile: 514-864-6381 (For privacy requests only) | ||
Email: financementdessocietes@lautorite.qc.ca (For corporate finance issuers); fonds_dinvestissement@lautorite.qc.ca (For investment fund issuers) | ||
Public official contact regarding indirect collection of information: Corporate Secretary | ||
Financial and Consumer Affairs Authority of Saskatchewan | ||
Suite 601 - 1919 Saskatchewan Drive | ||
Regina, Saskatchewan S4P 4H2 | ||
Telephone: 306-787-5842 | ||
Facsimile: 306-787-5899 | ||
Public official contact regarding indirect collection of information: Director | ||
Office of the Superintendent of Securities Government of Yukon | ||
Department of Community Services | ||
307 Black Street, 1st Floor | ||
P.O. Box 2703, C-6 | ||
Whitehorse, Yukon Y1A 2C6 | ||
Telephone: 867-667-5466 | ||
Facsimile: 867-393-6251 | ||
Email: securities@gov.yk.ca | ||
Public official contact regarding indirect collection of information: Superintendent of Securities |
This ‘40FR12B’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed as of: | 3/22/21 | F-X | ||
Filed on: | 3/19/21 | |||
10/5/18 | ||||
List all Filings |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 9/20/21 High Tide Inc. F-10/A 9/17/21 28:2.9M Newsfile Corp./FA 9/17/21 High Tide Inc. F-10 27:2.9M Newsfile Corp./FA 5/28/21 High Tide Inc. 40FR12B/A 4:664K EdgarAgents LLC/FA 5/25/21 High Tide Inc. 40FR12B/A 43:7.1M EdgarAgents LLC/FA 4/01/21 High Tide Inc. 40FR12B/A 14:3.5M EdgarAgents LLC/FA |