Exempt Financing
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 Exempt Financing 

In certain situations, it may not be necessary for a company to prepare a prospectus to raise capital. Where appropriate, a company can rely on an exemption from the prospectus requirements, financing through what is called a private placement. The majority of financings carried out in the Alberta market are through private placements. Read more about commonly used exemptions.

A report of exempt distribution must be filed within 10 days of the trade. A set of conditions called "resale rules" apply to private placements, which can include a hold period on the securities.

Note: In September 2005, Form 45-103F4 was replaced by Form 45-106F1 - Report of Exempt Distribution. (Previously, Form 45-103F4 replaced the Form 20 in June 2003).

As of December 14, 2009 Exempt Financing transactions are being displayed in a new manner. 

ARGUS METALS CORP.5/1/201012-18-2009NI 45-106 2.3,2.5$15,000.00
ARGUS METALS CORP.5/1/201012/18/2009NI 45-106 2.3,2.5$15,000.00
TERRA FERME CAPITAL CORP.2/11/201012/31/2009NI 45-106 2.3$12,000.00
SUNDRE DEVELOPMENT LTD.2/5/201001/18/2010 - 01/28/2010NI 45-106 2.3$90,000.00
KINETEX RESOURCES CORPORATION2/2/201001/22/2010NI 45-106 2.3$478,100.25
PALOS EQUITY INCOME FUND2/2/201012/31/2009NI 45-106 2.3$280,000.00
PALOS INCOME FUND L.P.2/2/201012/31/2009NI 45-106 2.3$349,985.00
PALOS RENDEZ-VOUS FUND2/2/201012/31/2009NI 45-106 2.3$145,504.72
SCIVEST COMMODITY INDEX PLUS FUND2/2/201001/01/2009 - 12/31/2009NI 45-106 2.3$2,739,215.55
ADDENDA INTERNATIONAL EQUITY POOLED FUND2/2/201011/20/2009NI 45-106 2.3$2,211,003.00
ADDENDA MULTI-STRATEGY POOLED FUND2/2/201012/18/2009NI 45-106 2.3$3,083.00
CROSSROADS-DMD MORTGAGE INVESTMENT CORPORATION2/2/201006/01/2009 - 11/23/2009NI 45-106 2.3$17,670.00
CROSSROADS-DMD MORTGAGE INVESTMENT CORPORATION2/2/201005/04/2009 - 05/20/2009NI 45-106 2.3$217,900.00
CROSSROADS-DMD MORTGAGE INVESTMENT CORPORATION2/2/201004/09/2009 - 04/30/2009NI 45-106 2.3$366,900.00
INTEGRA ACADIAN GLOBAL EQUITY FUND2/2/201001/27/2009 - 11/27/2009NI 45-106 2.3$15,840,601.08
KFA BALANCED POOLED FUND2/2/201001/27/2010NI 45-106 2.3$168,158.71
LATITUDE AEROMEDICAL WORKS INC.2/2/201001/27/2010NI 45-106 2.3$230,000.00
MMCAP FUND INC.2/2/201002/28/2009 - 11/30/2009NI 45-106 2.3$50,000.00
RIFCO INC.2/2/201002/01/2010NI 45-106 2.3$210,000.00
SALIDA CAPITAL INCOME FUND2/2/201012/31/2009NI 45-106 2.3$18,200.00
SPIDER RESOURCES INC.2/2/201001/22/2010NI 45-106 2.3$1,754,900.20
STORMHOLD ENERGY LTD.2/2/201001/21/2010NI 45-106 2.3$25,000.00
STRATHMORE MINERALS CORP.2/2/201001/19/2010 - 01/20/2010NI 45-106 2.3$316,250.00
THE TORONTO-DOMINION BANK2/2/201001/21/2009NI 45-106 2.3$50,000.00
THREE BUOYS DEVELOPMENT CORPORATION2/2/201001/21/2010NI 45-106 2.3$223,000.00
UNITY ENERGY CORP.2/2/201012/30/2009 - 12/31/2009NI 45-106 2.3$37,000.00
ATIKWA RESOURCES INC.2/1/201001/20/2010NI 45-106 2.3$1,370,159.88
BIOTEQ ENVIRONMENTAL TECHNOLOGIES INC.2/1/201001/22/2010NI 45-106 2.3$4,000,000.40
BLACKROCK ACTIVE CANADIAN EQUITY EX-INCOME TRUSTS FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$7,000,000.00
BLACKROCK BALANCED MODERATE INDEX DC FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$2,380,509.49
BLACKROCK CANADA CREDIT-SCREENED BOND INDEX FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$30,456,186.67
BLACKROCK CANADA EX-BBB UNIVERSE BOND INDEX FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$31,486,015.29
BLACKROCK CANADA GOVERNMENT BOND INDEX FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$25,996,367.48
BLACKROCK CANADIAN EQUITY INDEX FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$127,551,109.29
BLACKROCK CDN MSCI EAFE INDEX EQUITY FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$154,343,014.00
BLACKROCK CDN MSCI EAFE INDEX HEDGED FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$12,513,561.00
BLACKROCK CDN US EQUITY INDEX FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$118,289,311.89
BRS VENTURES LTD.2/1/201001/05/2010NI 45-106 2.3$23,000.00
CMC MARKETS UK PLC2/1/201001/18/2010 - 01/27/2010NI 45-106 2.3$100,986.00
DESJARDINS INVESTMENT MANAGEMENT INC.2/1/201012/31/2009NI 45-106 2.3$2,169.00
DESJARDINS INVESTMENT MANAGEMENT INC.2/1/201012/31/2009NI 45-106 2.3$2,830.00
DESJARDINS INVESTMENT MANAGEMENT INC.2/1/201012/31/2009NI 45-106 2.3$3,708.00
DESJARDINS INVESTMENT MANAGEMENT INC.2/1/201012/31/2009NI 45-106 2.3$10,804.00
DESJARDINS INVESTMENT MANAGEMENT INC.2/1/201012/31/2009NI 45-106 2.3$1,091.00
EPIC INCOME FUND2/1/201001/01/2009 - 11/01/2009NI 45-106 2.3$2,598,927.80
HARCOURT COCHRANE LIMITED PARTNERSHIP2/1/201001/28/2010NI 45-106 2.3$25,000.00
HUGHESLITTLE BALANCED FUND2/1/201001/15/2009 - 12/31/2009NI 45-106 2.3$41,635.00
MARRET HIGH YIELD HEDGE LIMITED PARTNERSHIP2/1/201003/01/2009 - 12/01/2009NI 45-106 2.3$9,300,000.00
MCCONACHIE DEVELOPMENT INVESTMENT CORPORATION2/1/201001/22/2010NI 45-106 2.9$877,140.00
MCCONACHIE DEVELOPMENT LIMITED PARTNERSHIP2/1/201001/22/2010NI 45-106 2.9$1,619,410.00
MESIROW FINANCIAL CAPITAL PARTNERS X,L.P.2/1/201001/13/2010NI 45-106 2.3$36,771,000.00
MFS GLOBAL EQUITY FUND2/1/201011/20/2009NI 45-106 2.3$50,000,000.00
PRAIRIE PACIFIC MINING CORP.2/1/201012/31/2009NI 45-106 2.3$2,205,000.00
PRIVATE ADVISORS STABLE VALUE FUND,LTD.2/1/201007/01/2009 - 10/01/2009NI 45-106 2.3$10,774,000.00
PRIVITI ENERGY LIMITED PARTNERSHIP 20092/1/201001/28/2010NI 45-106 2.3$550,000.00
RUSSELL 3000 INDEX FUND B2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$27,077,612.84
SALIDA MULTI STRATEGY HEDGE FUND2/1/201001/09/2010 - 12/03/2009NI 45-106 2.3$8,343,360.70
SLINGSHOT BOND CORPORATION2/1/201001/20/2010NI 45-106 2.9$25,000.00
SPRUCEGROVE GLOBAL POOLED FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$1,940,000.00
SPRUCEGROVE SPECIAL INTERNATIONAL POOLED FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$5,000,000.00
STORMHOLD ENERGY LTD.2/1/201001/18/2010NI 45-106 2.3$25,000.00
VERTEX ONE ASSET MANAGEMENT INC.2/1/201012/31/2009NI 45-106 2.3$293,430.00
WALTON AZ VERONA INVESTMENT CORPORATION2/1/201001/22/2010NI 45-106 2.9$108,170.00
WALTON AZ VERONA LIMITED PARTNERSHIP2/1/201001/22/2010NI 45-106 2.3$58,705.49
WALTON TX AUSTIN LAND INVESTMENT CORPORATION2/1/201001/22/2010NI 45-106 2.9$368,110.00
WALTON TX AUSTIN LAND LIMITED PARTNERSHIP2/1/201001/22/2010NI 45-106 2.9$852,382.44
1166 EQUITIES INC.2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$147,757.00
1453 CORNWALL ROAD EQUITIES INC.2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$90,000.00
15 MARMAC DRIVE INC.2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$1,000,000.00
251 - 255 ATWELL DRIVE INC.2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$500,000.00
ACWI EX-U.S. SUPERFUND B2/1/201001/01/2010 - 12/31/2009NI 45-106 2.3$24,495.17
ALPHA TILTS FUND B2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$153,973,206.50
BLACKROCK ACTIVE CANADIAN EQUITY FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$60,414,420.56
BLACKROCK CDN US ALPHA TILTS HEDGED NON-TAXABLE FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$1,492,044.00
BLACKROCK CDN US ALPHA TILTS NON-TAXABLE FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$7,950,000.00
BLACKROCK CDN US EQUITY INDEX HEDGED NON-TAXABLE FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$12,512,717.00
BMO GUARDIAN CANADIAN BOND FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$958,853.12
BROADWAY EQUITIES INC.2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$2,116,127.00
CARREFOUR LACHENAIE2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$157,178.00
EXPLORER DRIVE EQUITIES INC.2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$6,038,231.51
GATEWAY REAL ESTATE EQUITIES INC.2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$1,006,608.00
GPM MANAGED INVESTMENTS INC.2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$6,373,080.00
GREYSTONE BALANCED FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$6,920,290.80
GREYSTONE CANADIAN EQUITY FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$13,677,957.59
GREYSTONE CANADIAN EQUITY INCOME & GROWTH FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$7,667,600.00
GREYSTONE CANADIAN FIXED INCOME FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$7,162,388.73
GREYSTONE EAFE PLUS FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$951,118.12
GREYSTONE LONG BOND FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$1,923,127.65
GREYSTONE MONEY MARKET FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$27,325,036.93
GREYSTONE MORTGAGE FUND2/1/201001/01/2010 - 12/31/2009NI 45-106 2.3$20,620,700.00
GREYSTONE REAL ESTATE FUND INC.2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$21,271,000.00
GREYSTONE U.S. EQUITY FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$1,073,532.81
GREYSTONE U.S. INCOME & GROWTH FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$32,500.00
GUARDIAN CANADIAN MAPLE EQUITY FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$609,235.15
GUARDIAN CANADIAN PLUS EQUITY FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$1,846,685.38
GUARDIAN GLOBAL EQUITY FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$1,031.69
GUARDIAN HIGH YIELD BOND FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$1,623,040.07
GUARDIAN INTERNATIONAL 130/30 EQUITY FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$175,000.00
GUARDIAN INTERNATIONAL EQUITY FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$1,041,325.56
GUARDIAN U.S. EQUITY FUND2/1/201001/01/2009 - 12/31/2009NI 45-106 2.3$207,774.04
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