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Westaim Corp – ‘D’ on 9/18/15

On:  Friday, 9/18/15, at 5:43pm ET   ·   As of:  9/21/15   ·   Effective:  9/21/15   ·   Accession #:  1108828-15-1   ·   File #:  21-247924

Previous ‘D’:  ‘D’ on 8/13/14   ·   Latest ‘D’:  This Filing

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  As Of                Filer                Filing    For·On·As Docs:Size

 9/21/15  Westaim Corp                      D           9/21/15    1:13K

Notice of an Offering of Securities Made Without Registration   —   Form D
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: D           Notice of an Offering of Securities Made Without    HTML     13K 
                          Registration -- primary_doc.xml/7.7


        

This ‘D’ Document is an XML Data File that may be rendered in various formats:

  Form D    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
XML Data rendering:  Notice of an Exempt Offering of Securities
 
                                                                                                                                                                                
<?xml version="1.0" encoding="windows-1252"?>
<edgarSubmission>
<schemaVersion> X0707 </schemaVersion>
<submissionType> D </submissionType>
<testOrLive> LIVE </testOrLive>
<primaryIssuer>
<cik> 0001108828 </cik>
<entityName> WESTAIM CORP </entityName>
<issuerAddress>
<street1> 70 YORK STREET </street1>
<street2> SUITE 1700 </street2>
<city> TORONTO </city>
<stateOrCountry> A6 </stateOrCountry>
<stateOrCountryDescription> ONTARIO, CANADA </stateOrCountryDescription>
<zipCode> M5J 1S9 </zipCode>
</issuerAddress>
<issuerPhoneNumber> 416-969-3333 </issuerPhoneNumber>
<jurisdictionOfInc> ALBERTA, CANADA </jurisdictionOfInc>
<issuerPreviousNameList>
<value> None </value>
</issuerPreviousNameList>
<edgarPreviousNameList>
<value> None </value>
</edgarPreviousNameList>
<entityType> Corporation </entityType>
<yearOfInc>
<overFiveYears> true </overFiveYears>
</yearOfInc>
</primaryIssuer>
<relatedPersonsList>
<relatedPersonInfo>
<relatedPersonName>
<firstName> IAN </firstName>
<middleName> WILLIAM </middleName>
<lastName> DELANEY </lastName>
</relatedPersonName>
<relatedPersonAddress>
<street1> 70 YORK STREET </street1>
<street2> SUITE 1700 </street2>
<city> TORONTO </city>
<stateOrCountry> A6 </stateOrCountry>
<stateOrCountryDescription> ONTARIO, CANADA </stateOrCountryDescription>
<zipCode> M5J 1S9 </zipCode>
</relatedPersonAddress>
<relatedPersonRelationshipList>
<relationship> Director </relationship>
</relatedPersonRelationshipList>
<relationshipClarification> Chairman of the board of directors </relationshipClarification>
</relatedPersonInfo>
<relatedPersonInfo>
<relatedPersonName>
<firstName> JOHN </firstName>
<middleName> CAMERON </middleName>
<lastName> MACDONALD </lastName>
</relatedPersonName>
<relatedPersonAddress>
<street1> 70 YORK STREET </street1>
<street2> SUITE 1700 </street2>
<city> TORONTO </city>
<stateOrCountry> A6 </stateOrCountry>
<stateOrCountryDescription> ONTARIO, CANADA </stateOrCountryDescription>
<zipCode> M5J 1S9 </zipCode>
</relatedPersonAddress>
<relatedPersonRelationshipList>
<relationship> Executive Officer </relationship>
<relationship> Director </relationship>
</relatedPersonRelationshipList>
<relationshipClarification> President and Chief Executive Officer </relationshipClarification>
</relatedPersonInfo>
<relatedPersonInfo>
<relatedPersonName>
<firstName> JOHN </firstName>
<middleName> WILLIAM </middleName>
<lastName> GILDNER </lastName>
</relatedPersonName>
<relatedPersonAddress>
<street1> 70 YORK STREET </street1>
<street2> SUITE 1700 </street2>
<city> TORONTO </city>
<stateOrCountry> A6 </stateOrCountry>
<stateOrCountryDescription> ONTARIO, CANADA </stateOrCountryDescription>
<zipCode> M5J 1S9 </zipCode>
</relatedPersonAddress>
<relatedPersonRelationshipList>
<relationship> Director </relationship>
</relatedPersonRelationshipList>
<relationshipClarification></relationshipClarification>
</relatedPersonInfo>
<relatedPersonInfo>
<relatedPersonName>
<firstName> BRUCE </firstName>
<middleName> VINCENT </middleName>
<lastName> WALTER </lastName>
</relatedPersonName>
<relatedPersonAddress>
<street1> 70 YORK STREET </street1>
<street2> SUITE 1700 </street2>
<city> TORONTO </city>
<stateOrCountry> A6 </stateOrCountry>
<stateOrCountryDescription> ONTARIO, CANADA </stateOrCountryDescription>
<zipCode> M5J 1S9 </zipCode>
</relatedPersonAddress>
<relatedPersonRelationshipList>
<relationship> Director </relationship>
</relatedPersonRelationshipList>
<relationshipClarification></relationshipClarification>
</relatedPersonInfo>
<relatedPersonInfo>
<relatedPersonName>
<firstName> PETER </firstName>
<middleName> HARRY </middleName>
<lastName> PUCCETTI </lastName>
</relatedPersonName>
<relatedPersonAddress>
<street1> 70 YORK STREET </street1>
<street2> SUITE 1700 </street2>
<city> TORONTO </city>
<stateOrCountry> A6 </stateOrCountry>
<stateOrCountryDescription> ONTARIO, CANADA </stateOrCountryDescription>
<zipCode> M5J 1S9 </zipCode>
</relatedPersonAddress>
<relatedPersonRelationshipList>
<relationship> Director </relationship>
</relatedPersonRelationshipList>
<relationshipClarification></relationshipClarification>
</relatedPersonInfo>
<relatedPersonInfo>
<relatedPersonName>
<firstName> ROBERT </firstName>
<middleName> TERRANCE </middleName>
<lastName> KITTEL </lastName>
</relatedPersonName>
<relatedPersonAddress>
<street1> 70 YORK STREET </street1>
<street2> SUITE 1700 </street2>
<city> TORONTO </city>
<stateOrCountry> A6 </stateOrCountry>
<stateOrCountryDescription> ONTARIO, CANADA </stateOrCountryDescription>
<zipCode> M5J 1S9 </zipCode>
</relatedPersonAddress>
<relatedPersonRelationshipList>
<relationship> Executive Officer </relationship>
</relatedPersonRelationshipList>
<relationshipClarification> Chief Operating Officer </relationshipClarification>
</relatedPersonInfo>
<relatedPersonInfo>
<relatedPersonName>
<firstName> GLENN </firstName>
<middleName> GARRY </middleName>
<lastName> MACNEIL </lastName>
</relatedPersonName>
<relatedPersonAddress>
<street1> 70 YORK STREET </street1>
<street2> SUITE 1700 </street2>
<city> TORONTO </city>
<stateOrCountry> A6 </stateOrCountry>
<stateOrCountryDescription> ONTARIO, CANADA </stateOrCountryDescription>
<zipCode> M5J 1S9 </zipCode>
</relatedPersonAddress>
<relatedPersonRelationshipList>
<relationship> Executive Officer </relationship>
</relatedPersonRelationshipList>
<relationshipClarification> Chief Financial Officer </relationshipClarification>
</relatedPersonInfo>
<relatedPersonInfo>
<relatedPersonName>
<firstName> STEPHEN </firstName>
<middleName> REGINALD </middleName>
<lastName> COLE </lastName>
</relatedPersonName>
<relatedPersonAddress>
<street1> 70 YORK STREET </street1>
<street2> SUITE 1700 </street2>
<city> TORONTO </city>
<stateOrCountry> A6 </stateOrCountry>
<stateOrCountryDescription> ONTARIO, CANADA </stateOrCountryDescription>
<zipCode> M5J 1S9 </zipCode>
</relatedPersonAddress>
<relatedPersonRelationshipList>
<relationship> Director </relationship>
</relatedPersonRelationshipList>
<relationshipClarification></relationshipClarification>
</relatedPersonInfo>
</relatedPersonsList>
<offeringData>
<industryGroup>
<industryGroupType> Investing </industryGroupType>
</industryGroup>
<issuerSize>
<revenueRange> Decline to Disclose </revenueRange>
</issuerSize>
<federalExemptionsExclusions>
<item> 06b </item>
</federalExemptionsExclusions>
<typeOfFiling>
<newOrAmendment>
<isAmendment> false </isAmendment>
</newOrAmendment>
<dateOfFirstSale>
<value> 2015-05-28 </value>
</dateOfFirstSale>
</typeOfFiling>
<durationOfOffering>
<moreThanOneYear> false </moreThanOneYear>
</durationOfOffering>
<typesOfSecuritiesOffered>
<isEquityType> true </isEquityType>
<isOptionToAcquireType> true </isOptionToAcquireType>
</typesOfSecuritiesOffered>
<businessCombinationTransaction>
<isBusinessCombinationTransaction> false </isBusinessCombinationTransaction>
<clarificationOfResponse></clarificationOfResponse>
</businessCombinationTransaction>
<minimumInvestmentAccepted> 0 </minimumInvestmentAccepted>
<salesCompensationList>
<recipient>
<recipientName> GMP SECURITIES L.P. </recipientName>
<recipientCRDNumber> None </recipientCRDNumber>
<associatedBDName> None </associatedBDName>
<associatedBDCRDNumber> None </associatedBDCRDNumber>
<recipientAddress>
<street1> 145 KING STREET WEST </street1>
<street2> SUITE 300 </street2>
<city> TORONTO </city>
<stateOrCountry> A6 </stateOrCountry>
<stateOrCountryDescription> ONTARIO, CANADA </stateOrCountryDescription>
<zipCode> M5H 1J8 </zipCode>
</recipientAddress>
<statesOfSolicitationList>
<state> NJ </state>
<description> NEW JERSEY </description>
<state> NY </state>
<description> NEW YORK </description>
</statesOfSolicitationList>
<foreignSolicitation> false </foreignSolicitation>
</recipient>
<recipient>
<recipientName> TD SECURITIES INC. </recipientName>
<recipientCRDNumber> None </recipientCRDNumber>
<associatedBDName> None </associatedBDName>
<associatedBDCRDNumber> None </associatedBDCRDNumber>
<recipientAddress>
<street1> 66 WELLINGTON STREET WEST </street1>
<street2> 9TH FLOOR </street2>
<city> TORONTO </city>
<stateOrCountry> A6 </stateOrCountry>
<stateOrCountryDescription> ONTARIO, CANADA </stateOrCountryDescription>
<zipCode> M5K 1A2 </zipCode>
</recipientAddress>
<statesOfSolicitationList>
<state> NJ </state>
<description> NEW JERSEY </description>
<state> NY </state>
<description> NEW YORK </description>
</statesOfSolicitationList>
<foreignSolicitation> false </foreignSolicitation>
</recipient>
<recipient>
<recipientName> CORMARK SECURITIES INC. </recipientName>
<recipientCRDNumber> None </recipientCRDNumber>
<associatedBDName> None </associatedBDName>
<associatedBDCRDNumber> None </associatedBDCRDNumber>
<recipientAddress>
<street1> 200 BAY STREET </street1>
<street2> SUITE 2800 </street2>
<city> TORONTO </city>
<stateOrCountry> A6 </stateOrCountry>
<stateOrCountryDescription> ONTARIO, CANADA </stateOrCountryDescription>
<zipCode> M5J 2J2 </zipCode>
</recipientAddress>
<statesOfSolicitationList>
<state> NJ </state>
<description> NEW JERSEY </description>
<state> NY </state>
<description> NEW YORK </description>
</statesOfSolicitationList>
<foreignSolicitation> false </foreignSolicitation>
</recipient>
<recipient>
<recipientName> SCOTIA CAPITAL INC. </recipientName>
<recipientCRDNumber> None </recipientCRDNumber>
<associatedBDName> None </associatedBDName>
<associatedBDCRDNumber> None </associatedBDCRDNumber>
<recipientAddress>
<street1> 40 KING STREET </street1>
<street2> 66TH FLOOR </street2>
<city> TORONTO </city>
<stateOrCountry> A6 </stateOrCountry>
<stateOrCountryDescription> ONTARIO, CANADA </stateOrCountryDescription>
<zipCode> M5W 2X6 </zipCode>
</recipientAddress>
<statesOfSolicitationList>
<state> NJ </state>
<description> NEW JERSEY </description>
<state> NY </state>
<description> NEW YORK </description>
</statesOfSolicitationList>
<foreignSolicitation> false </foreignSolicitation>
</recipient>
</salesCompensationList>
<offeringSalesAmounts>
<totalOfferingAmount> 28000494 </totalOfferingAmount>
<totalAmountSold> 28000494 </totalAmountSold>
<totalRemaining> 0 </totalRemaining>
<clarificationOfResponse> CAD 32,591,971.75 converted to USD 26,121,641.22 at Bank of Canada exchange rate as of May 28, 2015. CAD 2,500,000.00 converted to USD 1,878,853.00 at rate agreed by parties based on Bank of Canada exchange rate prior to closing on August 31, 2015. </clarificationOfResponse>
</offeringSalesAmounts>
<investors>
<hasNonAccreditedInvestors> false </hasNonAccreditedInvestors>
<totalNumberAlreadyInvested> 11 </totalNumberAlreadyInvested>
</investors>
<salesCommissionsFindersFees>
<salesCommissions>
<dollarAmount> 467214 </dollarAmount>
</salesCommissions>
<findersFees>
<dollarAmount> 0 </dollarAmount>
</findersFees>
<clarificationOfResponse> CAD 582,943.97 converted to USD 467,214.85 at Bank of Canada exchange rate as of May 28, 2015. </clarificationOfResponse>
</salesCommissionsFindersFees>
<useOfProceeds>
<grossProceedsUsed>
<dollarAmount> 0 </dollarAmount>
</grossProceedsUsed>
<clarificationOfResponse></clarificationOfResponse>
</useOfProceeds>
<signatureBlock>
<authorizedRepresentative> false </authorizedRepresentative>
<signature>
<issuerName> WESTAIM CORP </issuerName>
<signatureName> /S/ ROBERT KITTEL </signatureName>
<nameOfSigner> ROBERT KITTEL </nameOfSigner>
<signatureTitle> CHIEF OPERATING OFFICER </signatureTitle>
<signatureDate> 2015-09-17 </signatureDate>
</signature>
</signatureBlock>
</offeringData>
</edgarSubmission>


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