Alberta Gazette, Part I — Friday, April 30, 2010
Friday, April 30, 2010
Alberta — Gazette
The Alberta Gazette
Part I
Vol. 106 Edmonton, Friday, April 30, 2010 No. 8
PROCLAMATION
[GREAT SEAL]
CANADA
PROVINCE OF ALBERTA Norman Kwong, Lieutenant Governor.
ELIZABETH THE SECOND, by the Grace of God, of the United Kingdom,
Canada, and Her Other Realms and Territories, QUEEN, Head of the
Commonwealth, Defender of the Faith
P R O C L A M A T I O N
To all to Whom these Presents shall come
G R E E T I N G
Grant Sprague, Acting Deputy Minister of Justice and
Acting Deputy Attorney General
WHEREAS
section 45 of the Personal Information Protection Amendment Act, 2009
provides that that Act comes into force on Proclamation; and
WHEREAS it is expedient to proclaim the Personal Information Protection
Amendment Act, 2009 in force:
NOW KNOW YE THAT by and with the advice and consent of Our Executive
Council of Our Province of Alberta, by virtue of the provisions of the said Act
hereinbefore referred to and of all other power and authority whatsoever in Us vested
in that behalf, We have ordered and declared and do hereby proclaim the Personal
Information Protection Amendment Act, 2009 in force on May 1, 2010.
IN TESTIMONY WHEREOF We have caused these Our Letters to be made Patent
and the Great Seal of Our Province of Alberta to be hereunto affixed.
WITNESS: THE HONOURABLE NORMAN L. KWONG, Lieutenant Governor
of Our Province of Alberta, in Our City of Edmonton in Our Province of Alberta, this
15th day of April in the Year of Our Lord Two Thousand Ten and in the Fifty-ninth
Year of Our Reign.
BY COMMAND Alison Redford, Provincial Secretary.
PROCLAMATION
[GREAT SEAL]
CANADA
PROVINCE OF ALBERTA Norman Kwong, Lieutenant Governor.
ELIZABETH THE SECOND, by the Grace of God, of the United Kingdom,
Canada, and Her Other Realms and Territories, QUEEN, Head of the
Commonwealth, Defender of the Faith
P R O C L A M A T I O N
To all to Whom these Presents shall come
G R E E T I N G
Grant Sprague, Acting Deputy Minister of Justice and
Acting Deputy Attorney General
WHEREAS
section 53 of the Security Services and Investigators Act provides that
that Act comes into force on Proclamation; and
WHEREAS it is expedient to proclaim the Security Services and Investigators Act,
except
section 33, in force:
NOW KNOW YE THAT by and with the advice and consent of Our Executive
Council of Our Province of Alberta, by virtue of the provisions of the said Act
hereinbefore referred to and of all other power and authority whatsoever in Us vested
in that behalf, We have ordered and declared and do hereby proclaim the Security
Services and Investigators Act, except
section 33, in force on June 1, 2010.
IN TESTIMONY WHEREOF We have caused these Our Letters to be made Patent
and the Great Seal of Our Province of Alberta to be hereunto affixed.
WITNESS: THE HONOURABLE NORMAN L. KWONG, Lieutenant Governor
of Our Province of Alberta, in Our City of Edmonton in Our Province of Alberta, this
15th day of April in the Year of Our Lord Two Thousand Ten and in the Fifty-ninth
Year of Our Reign.
BY COMMAND Alison Redford, Provincial Secretary.
ORDERS IN COUNCIL
O.C. 68/2010
(Municipal Government Act)
Approved and ordered:
Norman Kwong
Lieutenant Governor. March 25, 2010
The Lieutenant Governor in Council orders that
(
a) effective January 1, 2010, the land described in Appendix A and shown on
the sketch in Appendix B is separated from Lamont County and annexed to
the Village of Chipman,
(
b) any taxes owing to Lamont County at the end of December 31, 2009 in
respect of the annexed land are transferred to and become payable to the
Village of Chipman together with any lawful penalties and costs levied in
respect of those taxes, and the Village of Chipman upon collecting those
taxes, penalties and costs must pay them to Lamont County,
(
c) the assessor for the Lamont County must assess the annexed land and the
assessable improvements to it for the purposes of taxation in 2010,
(
d) taxes payable in 2010 in respect of the annexed land and any assessable
improvements to it are to be paid to Lamont County and Lamont County
must remit those taxes to the Village of Chipman, and
(
e) the assessor for the Village of Chipman must assess the annexed land and
the assessable improvements to it, for the purposes of taxation in 2011 and
subsequent years,
and makes the Order in Appendix C.
Ed Stelmach, Chair.
APPENDIX A
DETAILED DESCRIPTION OF THE LANDS SEPARATIED
FROM LAMONT COUNTY AND ANNEXED TO
THE VILLAGE OF CHIPMAN
THE SOUTHEAST QUARTER OF
SECTION THIRTY-ONE (31),
TOWNSHIP FIFTY-FOUR (54), RANGE EIGHTEEN
(18) WEST OF THE
FOURTH MERIDIAN AND INCLUDING ALL THAT LAND ADJACENT TO
THE EAST SIDE OF SAID QUARTER
SECTION LYING WEST OF THE
EAST BOUNDARY OF PLAN 962 1333.
SECTION TWENTY-NINE (29), TOWNSHIP FIFTY-FOUR (54), RANGE
EIGHTEEN
(18) WEST OF THE FOURTH MERIDIANAND INCLUDING
THE NORTH-SOUTH ROAD ALLOWANCE ADJACENT TO THE EAST
SIDE OF SAID SECTION.
THE SOUTH HALF OF
SECTION THIRTY (30), TOWNSHIP FIFTY-FOUR
(54), RANGE EIGHTEEN
(18) WEST OF THE FOURTH MERIDIAN AND
INCLUDING ALL THAT LAND ADJACENT TO THE EAST SIDE OF SAID
HALF
SECTION LYING EAST OF THE WEST BOUNDARY OF PLAN 812
1295 AND INCLUDING ALL THAT PORTION OF THE EAST-WEST ROAD
ALLOWANCE LYING EAST OF THE PROJECTION SOUTH OF THE WEST
BOUNDARY OF PLAN 812 1295.
THE NORTHEAST QUARTER OF
SECTION TWENTY-FOUR (24),
TOWNSHIP FIFTY-FOUR (54), RANGE EIGHTEEN
(18) WEST OF THE
FOURTH MERIDIAN AND INCLUDING THE EAST-WEST ROAD
ALLOWANCE ADJACENT TO THE NORTH OF SAID QUARTER
SECTION.
SECTION NINETEEN (19), TOWNSHIP FIFTY-FOUR (54), RANGE
EIGHTEEN
(18) WEST OF THE FOURTH MERIDIAN AND INCLUDING
ALL THAT LAND ADJACENT TO THE WEST SIDE OF SAID QUARTER
SECTION LYING EAST OF THE WEST BOUNDARY OF PLAN 812 1295.
THE WEST HALF OF
SECTION TWENTY (20), TOWNSHIP FIFTY-FOUR
(54), RANGE EIGHTEEN
(18) WEST OF THE FOURTH MERIDIAN.
APPENDIX B
A SKETCH SHOWING THE GENERAL LOCATION OF THE AREAS
ANNEXED TO THE VILLAGE OF CHIPMAN
Legend
????????????????? Existing Village Boundary
Annexation Area
APPENDIX C
ORDER
1 In this Order, "annexed land" means the land described in Appendix A and
shown on the sketch in Appendix B.
2 For the purposes of taxation in 2010 and in each subsequent year up to and
including 2019, the annexed land and the assessable improvements to it
(
a) must be assessed by the Village of Chipman on the same basis as if they had
remained in Lamont County, and
(
b) must be taxed by the Village of Chipman in respect of each assessment class
that applies to the annexed land and the assessable improvements to it using
the municipal tax rate established by Lamont County.
3 Where in any taxation year a portion of the annexed land
(
a) becomes a new parcel of land created
(
i) as a result of subdivision,
(ii) as a result of separation of title by registered plan of subdivision, or
(iii) by instrument or any other method that occurs at the request of or on
behalf of the landowner,
(
b) becomes a residual portion of 16 hectares or less as the result of the creation
of a parcel referred to in clause (a), or
(
c) is redesignated, at the request of or on behalf of the landowner under the
Village of Chipman Land Use Bylaw, to a designation other than
agricultural or urban reserve,
section 2 ceases to apply to the end of that taxation year in respect of that portion
of the annexed land and the assessable improvements to it.
4 After
section 2 ceases to apply to the annexed land or any portion of it, the
annexed land or portion and the assessable improvements to it must be assessed
and taxed for the purposes of property taxes in the same manner as other property
of the same assessment class in the Village of Chipman is assessed and taxed.
GOVERNMENT NOTICES
Culture and Community Spirit
Ministerial Order
(Historical Resources Act)
MO 14/10
I, Lindsay Blackett, Minister of Culture and Community Spirit, pursuant to
Section
19(8) of the Historical Resources Act, RSA 2000,
Chapter H-9, hereby make the
order rescinding in its entirety the Ministerial Order dated November 12, 1986 and
signed by Dennis Anderson, then Minister of Alberta Culture, designating the Twin
Gables Residence a Registered Historic Resource and registered in the Alberta Land
Titles office as instrument 861 193 734.
Dated at Edmonton, Alberta, this 6th day of April, 2010.
Lindsay Blackett,
Minister of Culture and Community Spirit.
Education
Hosting Expenses Exceeding $600.00
Paid during the period October 1, 2009 to December 31, 2009
Function: Inspiring Education Steering Committee Meeting
Date: August 20, 2009
Amounts: $835.44
Purpose: Steering Committee meeting for the Inspiring Education: A Dialogue with
Albertans initiative.
Location: Banff, Alberta
Function: Canada-Alberta International Conference on Competing for Skills
Date: August 31, 2009
Amounts: $2,562.54
Purpose: Education leaders from 16 countries met with their Canadian counterparts
to discuss innovation developments in vocational education and training and to
explore the trends and skill requirements for the next generation.
Location: Calgary, Alberta
Function: Early Learning Fall Orientation
Date: September 16, 2009
Amounts: $648.22
Purpose: Provided information about the role of Early Learning Branch and Early
Childhood Services funding.
Location: Calgary, Alberta
Function: Early Learning Fall Orientation
Date: September 21, 2009
Amounts: $616.08
Purpose: Provided information about the role of Early Learning Branch and Early
Childhood Services funding.
Location: Edmonton, Alberta
Function: Budget Consultation Meeting
Date: October 1, 2009
Amounts: $685.10
Purpose: Assistant Deputy Minister's budget consultation meeting with Zone 2/3
schools jurisdictions.
Location: Edmonton, Alberta
Function: Inspiring Education Provincial Forum
Date: October 18-20, 2009
Amounts: $5,484.33
Purpose: Fall Provincial Forum for the Inspiring Education: A Dialogue with
Albertans initiative.
Location: Edmonton, Alberta
Function: Inspiring Education Steering Committee Meeting
Date: October 19, 2009
Amounts: $819.60
Purpose: Steering Committee meeting for the Inspiring Education: A Dialogue with
Albertans initiative.
Location: Edmonton, Alberta
Function: Emerge/Technology and High School Success/Supporting Innovation
Classroom Event
Date: October 19-20, 2009
Amounts: $7,010.37
Purpose: To meet with external researchers involved in the evaluation of these pilot
projects, validate early research finding and discuss the results of their reports to the
department.
Location: Edmonton, Alberta
Function: Dialogue on Teaching Quality
Date: October 29-30, 2009
Amounts: $1,689.16
Purpose: The Deputy Minister's semi-annual meeting with the Deans of Alberta
teacher preparation program institutions and other education stakeholder
representatives.
Location: Edmonton, Alberta
Function: Inspiring Education Steering Committee Meeting
Date: November 2, 2009
Amounts: $613.20
Purpose: Steering Committee meeting for the Inspiring Education: A Dialogue with
Albertans initiative.
Location: Calgary, Alberta
Function: ICT Student Outcomes Assessment Project
Date: November 18, 2009
Amounts: $604.98
Purpose: Focus groups of students and teacher in a middle school, the largest of four
schools in the province that are participating in this study.
Location: Airdrie, Alberta
Function: Alberta Student Assessment Study Meeting
Date: November 20, 2009
Amounts: $612.73
Purpose: To share findings and discuss the implications of the Alberta Student
Assessment Study with key stakeholders.
Location: Edmonton, Alberta
Function: Jurisdiction Technology Contact Event
Date: November 23, 2009
Amounts: $4,692.58
Purpose: To meet with technology leaders from all schools jurisdictions to share
ministry directions and initiatives regarding technology in schools and to gather
trusted advice on the Kindergarten to Grade 12 education system's technology needs.
Location: Edmonton, Alberta
Function: High School Flexibility Enhancement Pilot Project
Date: November 23, 2009
Amounts: $1,158.65
Purpose: Planning of the project evaluation process, year-end reporting and
collaboration of individual school projects with 16 participating principals and
department staff.
Location: Leduc, Alberta
Energy
Declaration of Withdrawal from Unit Agreement
(Petroleum and Natural Gas Tenure Regulations)
The Minister of Energy on behalf of the Crown in Right of Alberta hereby declares
and states that the Crown in right of Alberta has withdrawn as a party to the
agreement entitled "Colony/McLaren/Sparky Agreement No. 1" effective March 31,
Claudia Cooper, for Minister of Energy.
Production Allocation Unit Agreement
(Mines and Minerals Act)
Notice is hereby given, pursuant to
section 102 of the Mines and Minerals Act, that
the Minister of Energy on behalf of the Crown has executed counterparts of the
agreement entitled "Production Allocation Unit Agreement - Countess Commingled
Unit" and that the Unit became effective on December 1, 2008.
Production Allocation Unit Agreement
(Mines and Minerals Act)
Notice is hereby given, pursuant to
section 102 of the Mines and Minerals Act, that
the Minister of Energy on behalf of the Crown has executed counterparts of the
agreement entitled "Production Allocation Unit Agreement - Suffield Upper
Mannville Agreement #37" and that the Unit became effective on August 1, 2009.
Infrastructure
Sale or Disposition of Land
(Government Organization Act)
Name of Purchaser: The Municipal District of Bonnyville No. 87
Consideration: $2,750.00
Land Description: Meridian 4, Range 5, Township 63,
Section 7, Quarter north
west, all that portion commencing at the north west corner of the said quarter section,
thence easterly along the north boundary thereof (225) feet; thence southerly and
parallel to the west boundary of the said quarter section (290) feet; thence westerly
and parallel to the said north boundary to a point on the said west boundary; thence
northerly along the said west boundary to the point of commencement, containing
0.607 hectares more or less. Excepting thereout all mines and minerals and the right
to work the same. Located La Corey, Municipal District of Bonnyville No. 87
Justice
Office of the Public Trustee
Interest Rate on Public Trustee Guaranteed Accounts
(Public Trustee Act)
The following information is provided in accordance with
section 2(3) of the Public
Trustee Investment Regulation for the fiscal year ending March 31, 2010:
(
a) The average effective annual interest rate paid by the Public Trustee on
guaranteed accounts during the year was 3.69%.
(
b) The average reference rate during the year was 3.56%.
(
c) The ratio of the average referred to in (
a) to the average referred to in (b),
expressed as a percentage rounded to the first decimal place is 103.7%.
Cynthia M. Bentz
Public Trustee.
Alberta Securities Commission
ALBERTA SECURITIES COMMISSION RULES (GENERAL)
AMENDING INSTRUMENT
(Securities Act)
Made as a rule by the Alberta Securities Commission on April 14, 2010 pursuant to
sections 223 and 224 of the Securities Act.
1. The Alberta Securities Commission Rules (General) are amended by this
Instrument.
Section 7 is amended by adding the following after subsection (2):
"
(3) Despite subsections (1) and (2), an insider that is a company required to
report under National Instrument 55-104 Insider Reporting Requirements and
Exemptions must report in accordance with that instrument."
Section 182 is repealed.
Section 183 is repealed.
Section 188 is repealed.
Section 189 is repealed.
Section 190 is repealed.
8. This Instrument comes into force on April 30, 2010.
NATIONAL INSTRUMENT 55-104
INSIDER REPORTING REQUIREMENTS AND EXEMPTIONS
(Securities Act)
Made as a rule by the Alberta Securities Commission on January 13, 2010 pursuant to
sections 223 and 224 of the Securities Act.
PART 1
DEFINITIONS AND
INTERPRETATION
1.1
Definitions and
interpretation
(1) In this Instrument
"acceptable
summary form" means, in relation to the alternative form of insider
report described in sections 5.4 and 6.4, an insider report that discloses as a
single transaction, with December 31 of the relevant year as the date of the
transaction, using an average unit price of the securities,
(
a) the total number of securities of the same type acquired under an
automatic securities purchase plan or compensation arrangement, or
under all such plans or arrangements, for the calendar year; and
(
b) the total number of securities of the same type disposed of under all
specified dispositions of securities under an automatic securities
purchase plan or compensation arrangement, or under all such plans or
arrangements, for the calendar year;
"automatic securities purchase plan" means a dividend or interest reinvestment
plan, a stock dividend plan, or any other plan established by an issuer or by a
subsidiary of an issuer to facilitate the acquisition of securities of the issuer if
the timing of acquisitions of securities, the number of securities which may be
acquired under the plan by a director or officer of the issuer or of the subsidiary
of the issuer, and the price payable for the securities are established in advance
by written formula or criteria set out in a plan document and not subject to a
subsequent exercise of discretion;
"cash payment option" means a provision in a dividend or interest reinvestment
plan under which a participant is permitted to make cash payments to purchase
from the issuer, or from an administrator of the plan, securities of the issuer's
own issue;
"CEO" means a chief executive officer and any other individual who acts as
chief executive officer for an issuer or acts in a similar capacity for the issuer;
"CFO" means a chief financial officer and any other individual who acts as
chief financial officer for an issuer or acts in a similar capacity for the issuer;
"compensation arrangement" includes, but is not limited to, an arrangement,
whether or not set out in any formal document and whether or not applicable to
only one individual, under which cash, securities or related financial
instruments, including, for greater certainty, options, stock appreciation rights,
phantom shares, restricted shares or restricted share units, deferred share units,
performance units or performance shares, stock, stock dividends, warrants,
convertible securities, or similar instruments, may be received or purchased as
compensation for services rendered, or otherwise in connection with holding an
office or employment with a reporting issuer or a subsidiary of a reporting
issuer;
"convertible security" means a security of an issuer that is convertible into, or
carries the right of the holder to purchase or otherwise acquire, or of the issuer
to cause the purchase or acquisition of, a security of the same issuer;
"COO" means a chief operating officer and any other individual who acts as
chief operating officer for an issuer or acts in a similar capacity for the issuer;
"credit derivative" means a derivative in respect of which the underlying
security, interest, benchmark or formula is, or is related to or derived from, in
whole or in part, a debt or other financial obligation of an issuer;
"derivative"
(
a) means, other than in New Brunswick, the Northwest Territories,
Nunavut, Ontario, Prince Edward Island, Qu‚bec and the Yukon
Territory, an instrument, agreement, security or exchange contract, the
market price, value or payment obligations of which is derived from,
referenced to, or based on an underlying security, interest, benchmark or
formula;
(
b) in New Brunswick, the Northwest Territories, Nunavut, Ontario, Prince
Edward Island and the Yukon Territory, has the same meaning as in
securities legislation; and
(
c) in Qu‚bec, has the same meaning as in The Derivatives Act;
"dividend or interest reinvestment plan" means an arrangement under which a
holder of securities of an issuer is permitted to direct that the dividends, interest
or distributions paid on the securities be applied to the purchase, from the
issuer or an administrator of the issuer, of securities of the issuer's own issue;
"economic exposure" in relation to an issuer
(
a) means, other than in Ontario, the extent to which the economic or
financial interests of a person or company are aligned with the trading
price of securities of the issuer or the economic or financial interests of
the issuer;
(
b) in Ontario, has the same meaning as in securities legislation;
"economic interest" in a security or an exchange contract
(
a) means, other than in British Columbia, New Brunswick, the Northwest
Territories, Nunavut, Ontario, Prince Edward Island, Qu‚bec,
Saskatchewan and the Yukon Territory,
(
i) a right to receive or the opportunity to participate in a reward,
benefit or return from a security or an exchange contract, or
(ii) exposure to a risk of a financial loss in respect of a security or an
exchange contract;
(
b) in British Columbia, New Brunswick, the Northwest Territories,
Nunavut, Ontario, Prince Edward Island, Qu‚bec, Saskatchewan and the
Yukon Territory, has the same meaning as in securities legislation;
"exchange contract"
(
a) means, other than in Alberta, British Columbia, New Brunswick and
Saskatchewan, a futures contract or an option that meets both of the
following requirements:
(
i) its performance is guaranteed by a clearing agency; and
(ii) it is traded on an exchange pursuant to standardized terms and
conditions set out in that exchange's by-laws, rules or regulatory
instruments, at a price agreed on when the futures contract or
option is entered into on the exchange;
(
b) in Alberta, British Columbia, New Brunswick and Saskatchewan, has
the same meaning as in securities legislation;
"exchangeable security" means a security of an issuer that is exchangeable for,
or carries the right of the holder to purchase or otherwise acquire, or of the
issuer to cause the purchase or acquisition of, a security of another issuer;
"income trust" means a trust or an entity, including corporate and non-
corporate entities, the securities of which entitle the holder to net cash flows
generated by an underlying business or income-producing properties owned
through the trust or by the entity;
"insider report" means a report to be filed by an insider under securities
legislation;
"insider reporting requirement" means
(
a) a requirement to file insider reports under Parts 3 and 4;
(
b) a requirement to file insider reports under any provisions of Canadian
securities legislation substantially similar to Parts 3 and 4; and
(
c) a requirement to file an insider profile under NI 55-102;
"investment issuer" means, in relation to an issuer, another issuer in respect of
which the issuer is an insider;
"issuer event" means a stock dividend, stock split, consolidation,
amalgamation, reorganization, merger or other similar event that affects all
holdings of a class of securities of an issuer in the same manner, on a per share
basis;
"lump-sum provision" means a provision of an automatic securities purchase
plan that allows a director or officer to acquire securities in consideration of an
additional lump-sum payment, and includes a cash payment option;
"major subsidiary" means a subsidiary of an issuer if
(
a) the assets of the subsidiary, as included in the issuer's most recent
annual audited or interim balance sheet, or, for a period relating to a
financial year beginning on or after January 1, 2011, a statement of
financial position, are 30 per cent or more of the consolidated assets of
the issuer reported on that balance sheet or statement of financial
position, as the case may be, or
(
b) the revenue of the subsidiary, as included in the issuer's most recent
annual audited or interim income statement, or, for a period relating to a
financial year beginning on or after January 1, 2011, a statement of
comprehensive income, is 30 per cent or more of the consolidated
revenue of the issuer reported on that statement;
"management company" means a person or company established or contracted
to provide significant management or administrative services to an issuer or a
subsidiary of the issuer;
"NI 55-102" means National Instrument 55-102 System for Electronic
Disclosure by Insiders (SEDI);
"normal course issuer bid" means
(
a) an issuer bid that is made in reliance on the exemption contained in
securities legislation from requirements relating to issuer bids that is
available if the number of securities acquired by the issuer within a
period of twelve months does not exceed 5 per cent of the securities of
that class issued and outstanding at the commencement of the period, or
(
b) a normal course issuer bid as defined in the rules or policies of the
Toronto Stock Exchange, the TSX Venture Exchange or an exchange
that is a recognized exchange, as defined in National Instrument 21-101
Marketplace Operation, and that is conducted in accordance with the
rules or policies of that exchange;
"operating entity" means a person or company with an underlying business or
with assets owned in whole or in part by an income trust for the purposes of
generating cash flow;
"principal operating entity" means an operating entity that is a major subsidiary
of an income trust;
"related financial instrument"
(
a) means, other than in British Columbia, New Brunswick, the Northwest
Territories, Nunavut, Ontario, Prince Edward Island, Qu‚bec,
Saskatchewan and the Yukon Territory,
(
i) an instrument, agreement, security or exchange contract the value,
market price or payment obligations of which are derived from,
referenced to or based on the value, market price or payment
obligations of a security, or,
(ii) any other instrument, agreement, or understanding that affects,
directly or indirectly, a person or company's economic interest in
a security or an exchange contract;
(
b) in British Columbia, New Brunswick, the Northwest Territories,
Nunavut, Ontario, Prince Edward Island, Qu‚bec, Saskatchewan and the
Yukon Territory, has the same meaning as in securities legislation;
"reporting insider" means an insider of a reporting issuer if the insider is
(
a) the CEO, CFO or COO of the reporting issuer, of a significant
shareholder of the reporting issuer or of a major subsidiary of the
reporting issuer;
(
b) a director of the reporting issuer, of a significant shareholder of the
reporting issuer or of a major subsidiary of the reporting issuer;
(
c) a person or company responsible for a principal business unit, division
or function of the reporting issuer;
(
d) a significant shareholder of the reporting issuer;
(
e) a significant shareholder based on post-conversion beneficial ownership
of the reporting issuer's securities and the CEO, CFO, COO and every
director of the significant shareholder based on post-conversion
beneficial ownership;
(
f) a management company that provides significant management or
administrative services to the reporting issuer or a major subsidiary of
the reporting issuer, every director of the management company, every
CEO, CFO and COO of the management company, and every significant
shareholder of the management company;
(
g) an individual performing functions similar to the functions performed by
any of the insiders described in paragraphs (
a) to (f);
(
h) the reporting issuer itself, if it has purchased, redeemed or otherwise
acquired a security of its own issue, for so long as it continues to hold
that security; or
(
i) any other insider that
(
i) in the ordinary course receives or has access to information as to
material facts or material changes concerning the reporting issuer
before the material facts or material changes are generally
disclosed; and
(ii) directly or indirectly, exercises, or has the ability to exercise,
significant power or influence over the business, operations,
capital or development of the reporting issuer;
"significant shareholder" means a person or company that has beneficial
ownership of, or control or direction over, whether direct or indirect, or a
combination of beneficial ownership of, and control or direction over, whether
direct or indirect, securities of an issuer carrying more than 10 per cent of the
voting rights attached to all the issuer's outstanding voting securities,
excluding, for the purpose of the calculation of the percentage held, any
securities held by the person or company as underwriter in the course of a
distribution;
"stock dividend plan" means an arrangement under which securities of an
issuer are issued by the issuer to holders of securities of the issuer as a stock
dividend or other distribution out of earnings, retained earnings or capital; and
"underlying security" means a security issued or transferred, or to be issued or
transferred, in accordance with the terms of a convertible security, an
exchangeable security or a multiple convertible security.
(2) Affiliate - In this Instrument, an issuer is an affiliate of another issuer if
(
a) one of them is the subsidiary of the other, or
(
b) each of them is controlled by the same person or company.
(3) Control - In this Instrument, a person or company (first person or company) is
considered to control another person or company (second person or company)
(
a) the first person or company, beneficially owns or has control or direction
over, whether direct or indirect, securities of the second person or
company carrying votes which, if exercised, would entitle the first
person or company to elect a majority of the directors of the second
person or company, unless that first person or company holds the voting
securities only to secure an obligation,
(
b) the second person or company is a partnership, other than a limited
partnership, and the first person or company holds more than 50 per cent
of the interests of the partnership, or
(
c) the second person or company is a limited partnership and the general
partner of the limited partnership is the first person or company.
(4) Post-conversion beneficial ownership - In this Instrument, a person or
company is considered to have, as of a given date, post-conversion beneficial
ownership of a security, including an unissued security, if the person or
company is the beneficial owner of a security convertible into the security
within 60 days following that date or has a right or obligation permitting or
requiring the person or company, whether or not on conditions, to acquire
beneficial ownership of the security within 60 days, by a single transaction or a
series of linked transactions.
(5) Significant shareholder based on post-conversion beneficial ownership - In
this Instrument, a person or company is a significant shareholder based on
post-conversion beneficial ownership if the person or company is not a
significant shareholder but the person or company has beneficial ownership of,
post-conversion beneficial ownership of, control or direction over, whether
direct or indirect, or any combination of beneficial ownership of, post-
conversion beneficial ownership of, or control or direction over, whether direct
or indirect, securities of an issuer carrying more than 10 per cent of the voting
rights attached to all the issuer's outstanding voting securities, calculated in
accordance with subsections (6) and (7).
(6) For the purposes of the calculation in subsection (5), an issuer's outstanding
voting securities include securities in respect of which a person or company has
post-conversion beneficial ownership.
(7) For the purposes of the calculation in subsections (4) and (5), a person or
company may exclude any securities held by the person or company as
underwriter in the course of a distribution.
1.2 Persons and companies designated or determined to be insiders for the
purposes of this Instrument
(1) The following persons and companies are designated or determined to be
insiders of an issuer:
(
a) a significant shareholder of the issuer based on post-conversion
beneficial ownership of the issuer's securities;
(
b) a management company that provides significant management or
administrative services to the issuer or a major subsidiary of the issuer,
and every director, officer and significant shareholder of the
management company; and
(
c) if the issuer is an income trust, every director, officer and significant
shareholder of a principal operating entity of the issuer.
(2) Issuer as insider of reporting issuer - If an issuer (the first issuer) becomes an
insider of a reporting issuer (the second issuer), the CEO, CFO, COO and
every director of the first issuer are designated or determined to be an insider of
the second issuer and must file insider reports in accordance with
section 3.5 in
respect of transactions relating to the second issuer that occurred in the
previous six months or for such shorter period that the individual was a CEO,
CFO, COO or director of the first issuer.
(3) Reporting issuer as insider of other issuer - If a reporting issuer (the first
issuer) becomes an insider of another issuer (the second issuer), the CEO,
CFO, COO and every director of the second issuer is designated or determined
to be an insider of the first issuer and must file insider reports in accordance
with
section 3.5 in respect of transactions relating to the first issuer that
occurred in the previous six months or for such shorter period that the
individual was a CEO, CFO, COO or director of the second issuer.
1.3 Reliance on Reported Outstanding Shares
(1) In determining the securityholding percentage of a person or company in a
class of securities for the purposes of the definition "significant shareholder"
and in determining if the person or company is a significant shareholder based
on post-conversion beneficial ownership, the person or company may rely
upon information most recently filed by the issuer of the securities in a material
change report or under
section 5.4 of National Instrument 51-102 Continuous
Disclosure Obligations, whichever contains the most recent relevant
information.
(2) Subsection (1) does not apply if the person or company has knowledge both
(
a) that the information filed is inaccurate or has changed; and
(
b) of the correct information.
PART 2 APPLICATION
2.1 Insider reporting requirements (insiders of Ontario reporting issuers) - In
Ontario, the insider reporting requirements in sections 3.2 and 3.3 do not apply
to an insider of a reporting issuer under the Securities Act (Ontario).
2.2 Reporting deadline - In Ontario, for the purposes of subsection 107(2) of the
Securities Act (Ontario), in the case of a transaction occurring after October 31,
2010, the prescribed period is within five days of any change in the beneficial
ownership of, or control or direction over, whether direct or indirect, securities
of the reporting issuer or any interest in, or right or obligation associated with,
a related financial instrument.
PART 3 PRIMARY INSIDER REPORTING REQUIREMENT
3.1 Reporting requirement - An insider must file insider reports under this Part
and
Part 4 in respect of a reporting issuer if the insider is a reporting insider of
the reporting issuer.
3.2 Initial report - A reporting insider must file an insider report in respect of a
reporting issuer within 10 days of becoming a reporting insider disclosing the
reporting insider's
(
a) beneficial ownership of, or control or direction over, whether direct or
indirect, securities of the reporting issuer, and
(
b) interest in, or right or obligation associated with, a related financial
instrument involving a security of the reporting issuer.
3.3 Subsequent report - A reporting insider must within five days of any of the
following changes file an insider report in respect of a reporting issuer
disclosing a change in the reporting insider's
(
a) beneficial ownership of, or control or direction over, whether direct or
indirect, securities of the reporting issuer, or
(
b) interest in, or right or obligation associated with, a related financial
instrument involving a security of the reporting issuer.
3.4 Reporting requirements in connection with convertible or exchangeable
securities - For greater certainty, a reporting insider who exercises an option,
warrant or other convertible or exchangeable security must file within five days
of the exercise, separate insider reports in accordance with
section 3.3
disclosing the resulting change in the reporting insider's beneficial ownership
of, or control or direction over, whether direct or indirect, each of
(
a) the option, warrant or other convertible or exchangeable security, and
(
b) the common shares or other underlying securities.
3.5 Report by certain designated insiders for certain historical transactions -
A CEO, CFO, COO or director of an issuer (the first issuer) who is designated
or determined to be an insider of another issuer (the second issuer) under
subsection 1.2(2) or 1.2(3) must file, within 10 days of being designated or
determined to be an insider of the second issuer, the insider reports that a
reporting insider of the second issuer would have been required to file under
Part 3 and
Part 4 for all transactions involving securities of the second issuer or
related financial instruments involving securities of the second issuer, that
occurred in the previous six months or for such shorter period that the
individual was a CEO, CFO, COO or director of the first issuer.
PART 4 SUPPLEMENTAL INSIDER REPORTING REQUIREMENT
4.1 Other agreements, arrangements or understandings
(1) If a reporting insider of a reporting issuer enters into, materially amends, or
terminates an agreement, arrangement or understanding described in subsection
(2), the reporting insider must, within five days of this event, file an insider
report in respect of the reporting issuer in accordance with
section 4.3.
(2) An agreement, arrangement or understanding must be reported under
subsection (1) in an insider report in respect of a reporting issuer if
(
a) the agreement, arrangement or understanding has the effect of altering,
directly or indirectly, the reporting insider's economic exposure to the
reporting issuer;
(
b) the agreement, arrangement or understanding involves, directly or
indirectly, a security of the reporting issuer or a related financial
instrument involving a security of the reporting issuer; and
(
c) the reporting insider is not otherwise required to file an insider report in
respect of this event under
Part 3 or any corresponding provision of
Canadian securities legislation.
4.2 Report of prior agreements, arrangements or understandings - A reporting
insider must, within 10 days of becoming a reporting insider of a reporting
issuer, file an insider report in accordance with
section 4.3 in respect of the
reporting issuer if
(
a) the reporting insider, prior to the date the reporting insider most recently
became a reporting insider, entered into an agreement, arrangement or
understanding in respect of which the reporting insider would have been
required to file an insider report under
section 4.1 if the agreement,
arrangement or understanding had been entered into on or after the date
the reporting insider most recently became a reporting insider, and
(
b) the agreement, arrangement or understanding remains in effect on or
after the date the reporting insider most recently became a reporting
insider.
4.3 Contents of report - An insider report required to be filed under
section 4.1 or
4.2 must disclose the existence and material terms of the agreement,
arrangement or understanding.
PART 5 EXEMPTION FOR AUTOMATIC SECURITIES PURCHASE
PLANS
5.1
Interpretation
(1) In this Part, a reference to a director or officer means a director or officer who
(
a) a director or officer of a reporting issuer and a reporting insider of the
reporting issuer, or
(
b) a director or officer of a subsidiary of a reporting issuer and a reporting
insider of the reporting issuer.
(2) In this Part, a reference to a security of a reporting issuer includes a related
financial instrument involving a security of the reporting issuer.
(3) In this Part, a disposition or transfer of securities acquired under an automatic
securities purchase plan is a specified disposition of securities if
(
a) the disposition or transfer is incidental to the operation of the automatic
securities purchase plan and does not involve a discrete investment
decision by the director or officer; or
(
b) the disposition or transfer is made to satisfy a tax withholding obligation
arising from the distribution of securities under the automatic securities
purchase plan and either
(
i) the director or officer has elected that the tax withholding
obligation will be satisfied through a disposition of securities, has
communicated this election to the reporting issuer or the plan
administrator at least 30 days before the disposition and this
election is irrevocable as of the 30th day before the disposition; or
(ii) the director or officer has not communicated an election to the
reporting issuer or the plan administrator and, in accordance with
the terms of the plan, the reporting issuer or the plan administrator
is required to sell securities automatically to satisfy the tax
withholding obligation.
5.2 Reporting exemption
(1) The insider reporting requirement does not apply to a director or officer for an
acquisition or disposition of securities described in subsection (2) if the
director or officer complies with the alternative reporting requirement in
section 5.4.
(2) The exemption in subsection (1) applies to
(
a) an acquisition of securities of the reporting issuer under an automatic
securities purchase plan, other than an acquisition of securities under a
lump-sum provision of the plan; or
(
b) a specified disposition of securities of the reporting issuer under an
automatic securities purchase plan.
5.3 Acquisition of options or similar securities - The exemption in
section 5.2
does not apply to an acquisition of options or similar securities granted to a
director or officer.
5.4 Alternative reporting requirement
(1) A director or officer is exempt under
section 5.2 from the insider reporting
requirement if the insider files an insider report within the time period
described in subsection (2) disclosing, on a transaction-by-transaction basis or
in acceptable
summary form, each acquisition and each specified disposition of
a security under an automatic securities purchase plan that has not previously
been disclosed by or on behalf of the director or officer.
(2) The deadline for filing the insider report under subsection (1) is
(
a) in the case of any securities acquired under the automatic securities
purchase plan that have been disposed of or transferred, other than
securities that have been disposed of or transferred as part of a specified
disposition of securities, within five days of the disposition or transfer;
and
(
b) in the case of any securities acquired under the automatic securities
purchase plan during a calendar year that have not been disposed of or
transferred, and any securities that have been disposed of or transferred
as part of a specified disposition of securities, on or before March 31 of
the next calendar year.
(3) Subsection (1) does not apply to a director or officer if, at the time the insider
report described in subsection (1) is due,
(
a) the director or officer is not a reporting insider; or
(
b) the director or officer is exempt from the insider reporting requirement.
PART 6 EXEMPTION FOR CERTAIN ISSUER GRANTS
6.1
Interpretation
(1) In this Part, a reference to a director or officer means a director or officer who
(
a) a director or officer of a reporting issuer and a reporting insider of the
reporting issuer, or
(
b) a director or officer of a subsidiary of a reporting issuer and a reporting
insider of the reporting issuer.
(2) In this Part, a reference to a security of a reporting issuer includes a related
financial instrument involving a security of the reporting issuer.
(3) In this Part, a disposition or transfer of a security acquired under a
compensation arrangement is a specified disposition of a security if
(
a) the disposition or transfer is incidental to the operation of the
compensation arrangement and does not involve a discrete investment
decision by the director or officer; or
(
b) the disposition or transfer is made to satisfy a tax withholding obligation
arising from the distribution of a security under the compensation
arrangement and either
(
i) the director or officer has elected that the tax withholding
obligation will be satisfied through a disposition of securities, has
communicated this election to the reporting issuer or the
administrator of the compensation arrangement at least 30 days
before the disposition and this election is irrevocable as of the
30th day before the disposition; or
(ii) the director or officer has not communicated an election to the
reporting issuer or the administrator of the compensation
arrangement and, in accordance with the terms of the
arrangement, the reporting issuer or the administrator is required
to sell securities automatically to satisfy the tax withholding
obligation.
6.2 Reporting exemption - The insider reporting requirement does not apply to a
director or officer for the acquisition of a security of the reporting issuer, or a
specified disposition of a security of the reporting issuer, under a compensation
arrangement established by the reporting issuer or by a subsidiary of the
reporting issuer, if
(
a) the reporting issuer has previously disclosed the existence and material
terms of the compensation arrangement in an information circular or
other public document filed on SEDAR;
(
b) in the case of an acquisition of securities, the reporting issuer has
previously filed in respect of the acquisition an issuer grant report on
SEDI in accordance with
section 6.3; and
(
c) the director or officer complies with the alternative reporting
requirement in
section 6.4.
6.3 Issuer grant report - An issuer grant report filed under this
Part in respect of
a compensation arrangement must include
(
a) the date the option or other security was issued or granted;
(
b) the number of options or other securities issued or granted to each
director or officer;
(
c) the price at which the option or other security was issued or granted and
the exercise price;
(
d) the number and type of securities issuable on the exercise of the option
or other security; and
(
e) any other material terms that have not been previously disclosed or filed
in a public filing on SEDAR.
6.4 Alternative reporting requirement
(1) A director or officer is exempt under
section 6.2 from the insider reporting
requirement if the insider files an insider report within the time period
described in subsection (2) disclosing, on a transaction-by-transaction basis or
in acceptable
summary form, each acquisition and each specified disposition of
a security under a compensation arrangement that has not previously been
disclosed by or on behalf of the director or officer.
(2) The deadline for filing the insider report under subsection (1) is
(
a) in the case of any security acquired under the compensation arrangement
that has been disposed of or transferred, other than a security that has
been disposed of or transferred as part of a specified disposition of a
security, within five days of the disposition or transfer; and
(
b) in the case of any security acquired under the compensation arrangement
during a calendar year that has not been disposed of or transferred, and
any security that has been disposed of or transferred as part of a
specified disposition of a security, on or before March 31 of the next
calendar year.
(3) Subsection (1) does not apply to a director or officer if, at the time the insider
report described in subsection (1) is due,
(
a) the director or officer is not a reporting insider; or
(
b) the director or officer is exempt from the insider reporting requirement.
PART 7 EXEMPTIONS FOR NORMAL COURSE ISSUER BIDS AND
PUBLICLY DISCLOSED TRANSACTIONS
7.1 Reporting exemption for normal course issuer bids - The insider reporting
requirement does not apply to an issuer for an acquisition of a security of its
own issue by the issuer under a normal course issuer bid if the issuer complies
with the alternative reporting requirement in
section 7.2.
7.2 Reporting requirement - An issuer who relies on the exemption in
section
7.1 must file an insider report disclosing each acquisition of securities by it
under a normal course issuer bid within 10 days of the end of the month in
which the acquisition occurred.
7.3 General exemption for other transactions that have been otherwise
disclosed - The insider reporting requirement does not apply to an issuer in
connection with a transaction, other than a normal course issuer bid, involving
a security of its own issue if the existence and material terms of the transaction
have been generally disclosed in a public filing on SEDAR.
PART 8 EXEMPTION FOR CERTAIN ISSUER EVENTS
8.1 Reporting exemption - The insider reporting requirement in respect of a
reporting issuer does not apply to a reporting insider whose beneficial
ownership of, or control or direction over, whether direct or indirect, a security
of the reporting issuer changes as a result of an issuer event of the reporting
issuer.
8.2 Reporting requirement - A reporting insider who relies on the exemption in
section 8.1 in respect of a reporting issuer must file an insider report, disclosing
all changes in beneficial ownership of, or control or direction over, whether
direct or indirect, a security of the reporting issuer as a result of an issuer event
that have not previously been reported by or on behalf of the insider, within the
time required by securities legislation for the insider to report any other
subsequent change in beneficial ownership of, or control or direction over,
whether direct or indirect, a security of the reporting issuer.
PART 9 GENERAL EXEMPTIONS
9.1 Reporting exemption (mutual funds) - The insider reporting requirement
does not apply to an insider of an issuer that is a mutual fund.
9.2 Reporting exemption (non-reporting insiders) - The insider reporting
requirement does not apply to an insider of an issuer if the insider is not a
reporting insider of that issuer.
9.3 Reporting exemption (certain insiders of investment issuers) - The insider
reporting requirement does not apply to a director or officer of a significant
shareholder, or a director or officer of a subsidiary of a significant shareholder,
in respect of securities of an investment issuer or a related financial instrument
involving a security of the investment issuer if the director or officer
(
a) does not in the ordinary course receive or have access to information as
to material facts or material changes concerning the investment issuer
before the material facts or material changes are generally disclosed; and
(
b) is not a reporting insider of the investment issuer in any capacity other
than as a director or officer of the significant shareholder or a subsidiary
of the significant shareholder.
9.4 Reporting exemption (nil report) - The insider reporting requirement does
not apply to a reporting insider if the reporting insider
(
a) does not have any beneficial ownership of, or control or direction over,
whether direct or indirect, a security of the issuer;
(
b) does not have any interest in, or right or obligation associated with, a
related financial instrument involving a security of the issuer;
(
c) has not entered into any agreement, arrangement or understanding as
described in
section 4.1; and
(
d) is not a significant shareholder based on post-conversion beneficial
ownership.
9.5 Reporting exemption (corporate group) - The insider reporting requirement
does not apply to a reporting insider if
(
a) the reporting insider is a subsidiary or other affiliate of another reporting
insider (the affiliated reporting insider); and
(
b) the affiliated reporting insider has filed an insider report in respect of the
reporting issuer that discloses substantially the same information as
would be contained in an insider report filed by the reporting insider,
including details of the reporting insider's
(
i) beneficial ownership of, or control or direction over, whether
direct or indirect, securities of the reporting issuer; and
(ii) interest in, or right or obligation associated with, any related
financial instrument involving a security of the reporting issuer.
9.6 Reporting exemption (executor and co-executor) - The insider reporting
requirement does not apply to a reporting insider for a security of an issuer
beneficially owned or controlled, directly or indirectly, by an estate if
(
a) the reporting insider is an executor, administrator or other person or
company who is a representative of the estate (referred to in this
section
as an executor of the estate), or a director or officer of an executor of the
estate;
(
b) the reporting insider is subject to the insider reporting requirement solely
because of the reporting insider being an executor or a director or officer
of an executor of the estate; and
(
c) another executor or director or officer of an executor of the estate has
filed an insider report that discloses substantially the same information
as would be contained in an insider report filed by the reporting insider
for securities of an issuer beneficially owned or controlled, directly or
indirectly, by the estate.
9.7 Exempt persons and transactions - The insider reporting requirement does
not apply to
(
a) an agreement, arrangement or understanding which does not involve,
directly or indirectly,
(
i) a security of the reporting issuer;
(ii) a related financial instrument involving a security of the reporting
issuer; or
(iii) any other derivative in respect of which the underlying security,
interest, benchmark or formula is or includes as a material
component a security of the reporting issuer or a related financial
instrument involving a security of the reporting issuer;
(
b) a transfer, pledge or encumbrance of a security by a reporting insider for
the purpose of giving collateral for a debt made in good faith so long as
there is no limitation on the recourse available against the insider for any
amount payable under such debt;
(
c) the receipt by a reporting insider of a transfer, pledge or encumbrance of
a security of an issuer if the security is transferred, pledged or
encumbered as collateral for a debt under a written agreement and in the
ordinary course of business of the insider;
(
d) a reporting insider, other than a reporting insider that is an individual,
that enters into, materially amends or terminates an agreement,
arrangement or understanding which is in the nature of a credit
derivative;
(
e) a reporting insider who did not know and, in the exercise of reasonable
diligence, could not have known of the alteration to economic exposure
described in
section 4.1;
(
f) the acquisition or disposition of a security, or an interest in a security, of
an investment fund, provided that securities of the reporting issuer do
not form a material component of the investment fund's market value; or
(
g) the acquisition or disposition of a security, or an interest in a security, of
an issuer that holds directly or indirectly securities of the reporting
issuer, if:
(
i) the reporting insider is not a control person of the issuer; and
(ii) the reporting insider does not have or share investment control
over the securities of the reporting issuer.
PART 10 DISCRETIONARY EXEMPTIONS
10.1 Exemptions from this Instrument
(1) The regulator or securities regulatory authority may grant an exemption from
this Instrument, in whole or in part, subject to such conditions or restrictions as
may be imposed in the exemption.
(2) Despite subsection (1), in Ontario only the regulator may grant such an
exemption.
(3) Except in Ontario, an exemption referred to in subsection (1) is granted under
the statute referred to in Appendix B of National Instrument 14-101
Definitions
opposite the name of the local jurisdiction.
PART 11 EFFECTIVE DATE AND TRANSITION
11.1 Effective Date - This Instrument comes into force on April 30, 2010.
11.2 Transition
(1) Despite sections 3.3 and 3.4, a reporting insider may file an insider report
required by either of those sections within 10 days of a change described in
those sections if the change relates to a transaction that occurred on or before
October 31, 2010.
(2) Despite
section 4.1, a reporting insider may file an insider report required
under that
section within 10 days of an event described in that
section if the
event relates to a transaction that occurred on or before October 31, 2010.
(3) Despite paragraph 5.4(2)(a), a reporting insider may file an insider report
required under that paragraph within 10 days of a disposition or transfer
described in that paragraph if the disposition or transfer occurred on or before
October 31, 2010.
(4) Despite paragraph 6.4(2)(a), a reporting insider may file an insider report
required under that paragraph within 10 days of a disposition or transfer
described in that paragraph if the disposition or transfer occurred on or before
October 31, 2010.
MULTILATERAL INSTRUMENT 11-102 PASSPORT SYSTEM
AMENDING INSTRUMENT
(Securities Act)
Made as a rule by the Alberta Securities Commission on January 13, 2010 pursuant to
sections 223 and 224 of the Securities Act.
1. Multilateral Instrument 11-102 Passport System is amended by this
Instrument.
2. Appendix D is amended by:
a. deleting all of the rows that refer to MI 55-103 Insider Reporting for Certain
Derivative Transactions (Equity Monetization);
b. inserting the following two rows (see non-shaded rows below) immediately
under the row containing the words "System for electronic disclosure by
insiders (SEDI)"; and
Provision
Que
PEI
NWT
Nun
Insider
reporting
requirements
NI 55-104
(except as noted below)
NI 55-
(except
noted
below)
Primary
insider
reporting
requirement
Part 3 of NI 55-104
s.107
c. deleting all of the rows under the subheading "Insider Reporting" and
substituting the following new row (see non-shaded rows below) immediately
under that subheading.
Provision
Que
PEI
NWT
Nun
Insider Reporting
Insider
reporting
requirements
89.3
s. 1
Local
Rule
55-
s. 1
Local
Rule
55-
s. 2
Local
Rule
55-
s.1 of
Local
Rule
55-
3. This Instrument comes into force on April 30, 2010.
NATIONAL INSTRUMENT 14-101
DEFINITIONS
AMENDING INSTRUMENT
(Securities Act)
Made as a rule by the Alberta Securities Commission on January 13, 2010 pursuant to
sections 223 and 224 of the Securities Act.
1. National Instrument 14-101
Definitions is amended by this Instrument.
2. Subsection 1.1(3) is amended by striking out the definition of "insider
reporting requirement" and substituting the following:
"insider reporting requirement" means
(
a) a requirement to file insider reports under Parts 3 and 4 of National
Instrument 55-104 Insider Reporting Requirements and Exemptions;
(
b) a requirement to file insider reports under any provisions of Canadian
securities legislation substantially similar to Parts 3 and 4 of National
Instrument 55-104 Insider Reporting Requirements and Exemptions; and
(
c) a requirement to file an insider profile under National Instrument 55-102
System for Electronic Disclosure by Insiders (SEDI).
3. This Instrument comes into force on April 30, 2010.
NATIONAL INSTRUMENT 62-103
THE EARLY WARNING SYSTEM AND RELATED TAKE-OVER BID
AND INSIDER REPORTING ISSUES
AMENDING INSTRUMENT
(Securities Act)
Made as a rule by the Alberta Securities Commission on January 13, 2010 pursuant to
sections 223 and 224 of the Securities Act.
1. National Instrument 62-103 The Early Warning System and Related Take-
Over Bid and Insider Reporting Issues is amended by this Instrument.
2. Subsection 1.1(1) is amended by
(
a) after the definition of "news release" adding the following definition:
"NI 55-104" means National Instrument 55-104 Insider Reporting
Requirements and Exemptions;
(
b) after the definition of "private mutual fund" adding the following
definition:
"related financial instrument" has the meaning ascribed to that term in
NI 55-104;
(
c) after the definition of "securityholding percentage" adding the
following definition:
"significant change in a related financial instrument position" means, in
relation to an entity and a related financial instrument that involves,
directly or indirectly, a security of a reporting issuer, any change in the
entity's interest in, or rights or obligations associated with, the related
financial instrument if the change has a similar economic effect to an
increase or decrease in the entity's securityholding percentage in a class
of voting or equity securities of the reporting issuer by 2.5 percent or
more;
Section 9.1 is amended by
(
a) in subsection (1),
(
i) striking out "Subject to subsections (3) and (4)," and substituting
"Subject to subsections (3), (3.1) and (4),"; and
(ii) after paragraph (
a) adding the following paragraph:
(a.1) the report referred to in paragraph (
a) discloses, in addition
to any other required disclosure,
(
i) the eligible institutional investor's interest in any
related financial instrument involving a security of
the reporting issuer that is not otherwise reflected in
the current securityholding percentage of the eligible
institutional investor; and
(ii) the material terms of the related financial instrument;
(
b) after subsection (3) adding the following subsection:
(3.1) Despite subsection (1), an eligible institutional investor that is
filing reports under the early warning requirements or
Part 4 for a
reporting issuer may rely upon the exemption contained in
subsection (1) only if the eligible institutional investor treats a
significant change in a related financial instrument position as a
change in a material fact for the purposes of securities legislation
pertaining to the early warning requirements or
section 4.6 of this
Instrument.
4. Appendix A is amended by
(
a) adding the following row immediately under the row that begins with
"NEWFOUNDLAND":
NORTHWEST TERRITORIES Paragraph (
c) of the definition
of "distribution" contained in
subsection 1(1) of the
Securities Act (Northwest
Territories),
(
b) striking out "Clause 1(b.1)(iii) of the Securities Act (Prince Edward
Island)" and substituting "Subclause (iii) of the definition of
"distribution" contained in clause 1(
k) of the Securities Act (Prince
Edward Island)", and
(
c) adding the following row immediately under the row that begins with
"SASKATCHEWAN":
YUKON TERRITORY Paragraph (
c) of the definition
of "distribution" contained in
subsection 1(1) of the
Securities Act (Yukon
Territory).
5. Appendix D is amended by
(
a) opposite "NORTHWEST TERRITORIES", striking out "Sections 1.8
and 1.9 of MI 62-104" and substituting "Section 11 of the Securities
Act (Northwest Territories) and sections 1.8 and 1.9 of MI 62-104",
(
b) opposite "PRINCE EDWARD ISLAND", striking out "Sections 1.8
and 1.9 of MI 62-104" and substituting "Section 11 of the Securities
Act (Prince Edward Island) and sections 1.8 and 1.9 of MI 62-104", and
(
c) opposite "YUKON TERRITORY", striking out "Sections 1.8 and 1.9
of MI 62-104" and substituting "Section 11 of the Securities Act
(Yukon Territory) and sections 1.8 and 1.9 of MI 62-104".
6. This Instrument comes into force on April 30, 2010.
NATIONAL INSTRUMENT 55-101
INSIDER REPORTING EXEMPTIONS
REPEAL
(Securities Act)
Made as a rule by the Alberta Securities Commission on January 13, 2010 pursuant to
sections 223 and 224 of the Securities Act.
1. National Instrument 55-101 Insider Reporting Exemptions is repealed.
2. This Instrument comes into force on April 30, 2010.
MULTILATERAL INSTRUMENT 55-103
INSIDER REPORTING FOR CERTAIN DERIVATIVE TRANSACTIONS
(EQUITY MONETIZATION)
REPEAL
(Securities Act)
Made as a rule by the Alberta Securities Commission on January 13, 2010 pursuant to
sections 223 and 224 of the Securities Act.
1. Multilateral Instrument 55-103 Insider Reporting for Certain Derivative
Transactions (Equity Monetization) is repealed.
2. This Instrument comes into force on April 30, 2010.
Service Alberta
Vital Statistics
Notice of Change of Personal Name
(Change of Name Act)
All Notice of Change of Personal Names for 2010 can be viewed in print versions of the
Alberta Gazette or on QP Source Professional.
All Notice of Change of Personal Names for 2010 can be viewed in print versions of the
Alberta Gazette or on QP Source Professional.
All Notice of Change of Personal Names for 2010 can be viewed in print versions of the
Alberta Gazette or on QP Source Professional.
All Notice of Change of Personal Names for 2010 can be viewed in print versions of the
Alberta Gazette or on QP Source Professional.
All Notice of Change of Personal Names for 2010 can be viewed in print versions of the
Alberta Gazette or on QP Source Professional.
All Notice of Change of Personal Names for 2010 can be viewed in print versions of the
Alberta Gazette or on QP Source Professional.
All Notice of Change of Personal Names for 2010 can be viewed in print versions of the
Alberta Gazette or on QP Source Professional.
ADVERTISEMENTS
Irrigation District Notice
Enforcement Return
(Irrigation Districts Act)
Bow River Irrigation District
Notice is hereby given that the Justice of the Court of Queen's Bench of the Judicial
District of Lethbridge has fixed Tuesday, May 18, 2010 as the day on which at 1:30
p.m., the Court will sit in the Court House, Lethbridge, Alberta for the purpose of
confirmation of the Rate Enforcement Return of the Bow River Irrigation District for
the year 2009 and prior years.
Dated at Vauxhall, Alberta, March 25, 2010.
7-8 Richard Phillips, P.Eng., General Manager.
_______________
Lethbridge Northern Irrigation District
Notice is hereby given that the Court of Queen's Bench of Alberta has fixed Tuesday,
May 18, 2010 as the day on which at 1:30 p.m., the Court will sit in the Courthouse,
320 - 4 Street South, Lethbridge, Alberta for the purpose of confirmation of the Rate
Enforcement Return for the Lethbridge Northern Irrigation District covering rates
assessed for the year 2008.
Dated at Lethbridge, Alberta, March 10, 2010.
7-8 Alan Harrold, General Manager.
_______________
Raymond Irrigation District
Notice is hereby given that the Office of the Trial Co-ordinator, Alberta Justice, has
fixed Tuesday, May 18, 2010 as the day on which at 1:30 p.m., a Judge will sit at the
Courthouse, 320 - 4 Street, South Lethbridge, Alberta T1J 1Z8 for the purpose of
confirmation of the 2010 Enforcement Return of the Raymond Irrigation District
covering charges assessed for the year 2008 and subsequent penalties and GST
charges.
Dated at Raymond, Alberta, March 24, 2010.
7-8 Gordon ZoBell, Manager.
Notice of Certificate of Intent to Dissolve
(Business Corporations Act)
Notice is hereby given that a Certificate of Intent to Dissolve was issued to 635038
Alberta Ltd. on March 19, 2010.
Dated at Didsbury, Alberta on April 6, 2010.
Brian M. Forestell, Solicitor for the Corporation.
_______________
Notice is hereby given that a Certificate of Intent to Dissolve was issued to Deer
Valley Trucking Ltd. on April 15, 2010.
Dated at Didsbury, Alberta on April 15, 2010.
Brian M. Forestell, Solicitor for the Corporation.
_______________
Notice is hereby given that a Certificate of Intent to Dissolve was issued to Tradeaid
Canada Corp. on December 8, 2006.
Dated at Spruce Grove, Alberta on December 8, 2006.
Garry Wetsch, Director.
Public Sale of Land
(Municipal Government Act)
Municipal District of Opportunity No. 17
Notice is hereby given that under the provisions of the Municipal Government Act,
the Municipal District of Opportunity No. 17 will offer for sale, by public auction, in
the Municipal Office, Wabasca, Alberta, on Tuesday, July 6, 2010, at 10:00 a.m., the
following lands:
Lot
Block
Plan
C of T
Each parcel will be offered for sale subject to a reserve bid and to the reservations and
conditions contained in the existing Certificate of Title.
The Municipal District of Opportunity No. 17 may, after the public auction, become
the owner of any parcel of land not sold at the public auction.
Terms: Cash or Certified Cheque. A deposit of $100 at time of the sale (non-
refundable), and balance including GST within 10 days of the public auction.
Redemption may be effected by payment of all arrears of taxes and costs at any time
prior to the sale.
Dated at Wabasca, Alberta, April 8, 2010.
Helen Alook, Interim Manager.
_______________
Town of High Level
Notice is hereby given that, under the provisions of the Municipal Government Act,
the Town of High Level will offer for sale, by public auction, in the Council
Chambers located at 10203 105 Avenue in High Level, Alberta, on Tuesday, June 15,
2010, at 7 pm., the following lands:
Lot
Block
Plan
Linc
Civic Address
402NY
10308 99 Street
402NY
10306 99 Street
15A
402NY
10111 100 Street
3510KS
9801 98 Avenue
5035TR
9911 106 Street
11106 103 Street
20 Dragonfly Crescent
Each parcel will be offered for sale, subject to a reserve bid and to the reservations
and conditions contained in the existing certificate of title. Additional conditions of
building demolition and levelling of lot and/or repair of unsightly conditions will
apply.
The land is being offered for sale on an "as is, where is" basis, and the Town of High
Level makes no representation and gives no warranty whatsoever as to the adequacy
of services, soil conditions, land use districting, building and development conditions,
absence or presence of environmental contamination, or the developability of the
subject land for any intended use by the Purchaser. No bid will be accepted where the
bidder attempts to attach conditions precedent to the sale of any parcel. No terms and
conditions of sale will be considered other than those specified by the Town of High
Level. No further information is available at the auction regarding the lands to be
sold. This list is subject to deletions.
The Town of High Level may, after the public auction, become the owner of any
parcel of land not sold at the public auction.
Terms: A 25% down payment must be made by cash or certified cheque within 24
hours of the auction with payment in full due within 30 days.
Dated at High Level, Alberta, April 15, 2010.
Nicole Eirikson, Tax Clerk.
_______________
Town of Strathmore
Notice is hereby given that, under the provisions of the Municipal Government Act,
the Town of Strathmore will offer for sale, by public auction, in the Town Office, 680
Westchester Road, Strathmore, Alberta, on Thursday, June 10, 2010, at 10:00 a.m.,
the following lands:
Roll #
Legal Description
Linc #
Address
08401.00
Plan 0613736; Block 1; Lot 1
Canal Crossing
08402.00
Plan 0613736; Block 1; Lot 2
Canal Crossing
08403.00
Plan 0613736; Block 1; Lot 3
Canal Crossing
08404.00
Plan 0613736; Block 1; Lot 4
Canal Crossing
08405.00
Plan 0613736; Block 1; Lot 5
Canal Crossing
18106.00
Plan 0414524; Block 20; Lot 6
123 Strathmore Lakes
Common
18613.00
Plan 0112155; Block 6; Lot 5
188 Park Lane Drive
19466.00
Plan 0312209; Block 6; Lot 27
264 Hillcrest Boulevard
Each parcel will be offered for sale, subject to a reserve bid and to the reservations
and conditions contained in the existing certificate of title.
The land is being offered for sale on an "as is, where is" basis, and the Town of
Strathmore makes no representation and gives no warranty whatsoever as to the
adequacy of services, soil conditions, land use districting, building and development
conditions, absence or presence of environmental contamination, or the developability
of the subject lands for any use intended by the Purchaser. No bid will be accepted
where the bidder attempts to attach conditions precedent to the sale of any parcel. No
Strathmore.
The Town of Strathmore may, after the public auction, become the owner of any
parcel of land not sold at public auction.
Terms: 10% deposit at the time of successful bid; and the balance payable within 30
days of the date of the Public Auction. Remittances must be in the form of a certified
cheque or bank draft. GST will apply to all applicable lands.
Redemption may be effected by payment of all arrears of taxes, penalties and costs at
any time prior to the sale.
Dated at Strathmore, Alberta, April 12, 2010.
Mel Tiede, Director of Corporate Services.
_______________
Village of Hythe
Notice is hereby given that, under the provisions of the Municipal Government Act,
the Village of Hythe will offer for sale, by public auction, at the Hythe Municipal
Office, 10011-100 St, Hythe, Alberta, on Monday, June 14, 2010, at 12:00 p.m., the
following land:
Lot
Block
Plan
C of T
682 EO
The parcel will be offered for sale, subject to a reserve bid and to the reservations and
conditions contained in the existing certificate of title.
The land is being offered for sale on an "as is, where is" basis, and the Village makes
no representation and gives no warranty whatsoever as to the adequacy of services,
soil conditions, land use districting, building and development conditions, absence or
presence of environmental contamination, or the developability of the subject land for
any intended use by the successful bidder. No bid will be accepted where the bidder
sale will be considered other than those specified by the Village. No further
information is available at the auction regarding the lands to be sold.
The Village of Hythe may, after the public auction, become the owner of any parcel
of land not sold at the public auction.
Terms: Cash or Certified Cheque.
Redemption may be effected by payment of all arrears of taxes and costs at any time
prior to the sale.
Dated at Hythe, Alberta, April 30, 2010.
Christine Livingstone, CAO.
_______________
Village of Standard
Notice is hereby given that, under the provisions of the Municipal Government Act,
the Village of Standard will offer for sale, by public auction, in the office of the
Village of Standard, 120 Elsinore Avenue, Standard, Alberta, on Monday, June 14,
2010, at 10:00 a.m., the following lands:
Pt. of Sec.
Sec
Twp
Rge
C of T
Pt. SW
Each parcel will be offered for sale, subject to a reserve bid and to the reservation and
conditions contained in the existing certificate of title.
The land is being offered for sale on an "as is, where is" basis, and the Village of
Standard makes no representation and gives no warranty whatsoever as to the
adequacy of services, soil conditions, land use districting, building and development
conditions, absence or presence of environmental contamination, or the developability
of the lands for any intended use by the successful bidder. No bid will be accepted
where the bidder attempts to attach conditions precedent to the sale of any parcel. No
Village of Standard.
The Village of Standard may, after the public auction, become the owner of any
parcel of land not sold at the public auction.
Terms: 10% cash down on the day of auction, balance due by cash or certified cheque
within 30 days.
Redemption may be effected by payment of all arrears of taxes and costs at any time
prior to the sale.
Dated at Standard, Alberta, April 12, 2010.
Leah Jensen, Chief Administrative Officer.
NOTICE TO ADVERTISERS
The Alberta Gazette is issued twice monthly, on the 15th and last day.
Notices and advertisements must be received ten full working days before the
date of the issue in which the notices are to appear. Submissions received after
that date will appear in the next regular issue.
Notices and advertisements should be typed or written legibly and on a sheet separate
from the covering letter. An electronic submission by email or disk is preferred.
Email submissions may be sent to the Editor of The Alberta Gazette at
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the names of all signing officers typed or printed. Please include name and complete
contact information of the individual submitting the notice or advertisement.
Proof of Publication: Statutory Declaration is available upon request.
A copy of the page containing the notice or advertisement will be mailed to each
advertiser without charge.
The dates for publication of Tax Sale Notices in The Alberta Gazette are as follows:
Issue of
Earliest date on which
sale may be held
May 15
June 25
May 31
July 11
June 15
July 26
June 30
August 10
July 15
August 25
July 31
September 10
August 14
September 24
August 31
October 11
September 15
October 26
September 30
November 10
October 15
November 25
October 30
December 10
The charges to be paid for the publication of notices, advertisements and documents
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Please add 5% GST to the above prices (registration number R124072513).
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Copies of Alberta legislation and select government publications are available from:
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THE ALBERTA GAZETTE,
PART I, APRIL 30, 2010
- 519 -
THE ALBERTA GAZETTE,
PART I, AUGUST 15, 2005
- 1 -