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).

Our website is updated every Friday afternoon to reflect any Exempt Financing transactions filed with us.  During the update, full searching abilities may not be available.   

You are viewing Exempt Financing transactions in a new format.  Click here to view transactions which are reported in the previous format.  Whether you find a transaction in the new format or in the old format depends on when the filing was received by the ASC and when it was entered into our system.  A particular Exempt Financing transaction may be found in either the new format or in the old format, but not both.  For a complete listing of all Exempt Financing transactions, please review transactions in both formats.

Certain information regarding exempt financing applications is available to the public upon request. To do so, click here.

View Exempt Purchasers.

1505351 ALBERTA INC.1/16/2012NI 45-106 2.312/21/2011$5,287.25
AUSPICE CAPITAL ADVISORS LTD.1/16/2012NI 45-106 2.301/01/2011 - 12/01/2011$9,359,651.00
AXCESS MORTGAGE FUND LTD.1/16/2012NI 45-106 2.901/03/2012 - 01/05/2012$114,000.00
CALYX BIO-VENTURES INC.1/16/2012NI 45-106 2.312/30/2011$22,500.00
CASTLE MOUNTAIN RESORT INC1/16/2012NI 45-106 2.301/13/2012$5,000.00
DAWSON GOLD CORP.1/16/2012NI 45-106 2.312/30/2011$10,000.00
GOLCONDA RESOURCES LTD.1/16/2012NI 45-106 2.3,2.501/11/2012$1,600,154.00
JAYFUND INC.1/16/2012NI 45-106 2.3,2.501/05/2012 - 01/12/2012$2,080,000.00
PARKVIEW LIMITED PARTNERSHIP1/16/2012NI 45-106 2.912/20/2011$18,000.00
RIDGELINE ENERGY SERVICES INC.1/16/2012NI 45-106 2.301/09/2012$33,000.00
TRIMOR EQUIP-SECURE MONTHLY INCOME LP1/16/2012NI 45-106 2.312/16/2011$300,000.00
BLACK WIDOW RESOURCES INC.1/13/2012NI 45-106 2.312/30/2011$29,510.00
BLUEPRINT GLOBAL STRATEGIES POOL1/13/2012NI 45-106 2.301/01/2011 - 12/31/2011$2,700,122.66
EXPANDER ENERGY INC.1/13/2012NI 45-106 2.301/03/2012$29,347.50
GTE SOLAR INC.1/13/2012NI 45-106 2.312/31/2011$1,990,000.00
INNOVATIVE CAPITAL CORP.1/13/2012NI 45-106 2.312/09/2011$25,100.00
KV MORTGAGE FUND INC.1/13/2012NI 45-106 2.901/03/2012 - 01/04/2012$152,250.00
PAN TERRA INDUSTRIES INC.1/13/2012NI 45-106 2.301/03/2012$61,250.00
PRESTIGE HOSPITALITY HA INC.1/13/2012NI 45-106 2.901/10/2012$52,500.00
PRESTIGE HOSPITALITY HW LIMITED PARTNERSHIP1/13/2012NI 45-106 2.901/13/2012$421,000.00
PRESTIGE HOSPITALITY HW LIMITED PARTNERSHIP1/13/2012NI 45-106 2.901/13/2012$426,000.00
PRESTIGE HOSPITALITY HW REGISTERED INVESTMENTS INC.1/13/2012NI 45-106 2.901/10/2012$186,800.00
QUIA RESOURCES INC.1/13/2012NI 45-106 2.301/06/2012$51,750.00
SILVER SPUR RESOURCES INC1/13/2012NI 45-106 2.912/31/2011$650,000.00
SOLAR INCOME FUND LP #31/13/2012NI 45-106 2.901/04/2012$739,000.00
TSO ENERGY CORPORATION1/13/2012NI 45-106 2.312/28/2011$325,000.80
WALTON AZ CASA GRANDE LP1/13/2012NI 45-106 2.3,2.901/06/2012$666,949.20
WALTON GA CROSSROADS INVESTMENT CORPORATION1/13/2012NI 45-106 2.3,2.901/06/2012$120,860.00
WALTON GA CROSSROADS LP1/13/2012NI 45-106 2.9,2.2401/06/2012$756,569.22
WALTON MD GARDNER RIDGE INVESTMENT CORPORATION1/13/2012NI 45-106 2.3,2.901/06/2012$27,790.00
WALTON MD GARDNER RIDGE LP1/13/2012NI 45-106 2.901/06/2012$452,077.34
WINDRIVER POWER CORPORATION1/13/2012NI 45-106 2.3,2.511/30/2011 - 12/16/2011$5,717,001.50
GLOBAL WEALTH BUILDERS LTD.1/12/2012NI 45-106 2.312/31/2011$195,131.72
GLOBAL WEALTH BUILDERS LTD.1/12/2012NI 45-106 2.312/31/2011$118,336.55
IGW REAL ESTATE INVESTMENT TRUST1/12/2012NI 45-106 2.901/04/2012$51,453.70
PETRUS RESOURCES LTD.1/12/2012NI 45-106 2.312/31/2011$30,000.00
RED ORE GOLD INC.1/12/2012NI 45-106 2.312/29/2011$30,000.00
AUGUSTINE VENTURES INC.1/11/2012NI 45-106 2.312/30/2011$20,000.00
BELTERRA RED DEER PARTNERSHIP1/11/2012NI 45-106 2.901/09/2012$26,000.00
BLC RED DEER HOLDINGS LTD.1/11/2012NI 45-106 2.901/09/2012$13,000.00
BLUE HORIZON INDUSTRIES INC.1/11/2012NI 45-106 2.512/30/2011$5,000.00
BONNEFIELD CANADIAN FARMLAND LP 11/11/2012NI 45-106 2.312/30/2011$493,750.00
CANCOM DEVELOPMENT LTD.1/11/2012NI 45-106 2.301/07/2012$200,000.00
CENTURION MINERALS LTD.1/11/2012NI 45-106 2.512/22/2011$240,000.00
CLEAR SKY CAPITAL REAL ESTATE SOLUTIONS TRUST1/11/2012NI 45-106 2.912/28/2011 - 01/06/2012$164,300.00
DOLLY VARDEN SILVER LTD.1/11/2012NI 45-106 2.312/30/2011 - 01/03/2012$37,500.00
FORENT ENERGY LTD.1/11/2012NI 45-106 2.312/29/2011$147,000.00
IMAGINE HEALTH CENTRES LTD.1/11/2012NI 45-106 2.3,2.1012/31/2011$1,085,000.00
IRON WILL INNOVATIONS CANADA INC.1/11/2012NI 45-106 2.301/02/2012$0.00
IRON WILL INNOVATIONS CANADA INC.1/11/2012NI 45-106 2.2401/11/2011$7,000.00
IRON WILL INNOVATIONS CANADA INC.1/11/2012NI 45-106 2.3,2.2410/08/2010 - 10/29/2010$15,000.00
PETRO VIKING ENERGY INC.1/11/2012NI 45-106 2.1312/28/2011$50,000.00
QUARTZ MOUNTAIN RESOURCES LTD.1/11/2012NI 45-106 2.312/29/2011$17,400.00
RIDGELINE ENERGY SERVICES INC.1/11/2012NI 45-106 2.312/30/2011$1,270,800.00
SOLAR INCOME FUND LP #21/11/2012NI 45-106 2.901/03/2012$25,000.00
TWOCO PETROLEUMS LTD.1/11/2012NI 45-106 2.1412/31/2011$68,558.96
ACM COMMERCIAL MORTGAGE FUND1/10/2012NI 45-106 2.312/31/2011$942,864.36
AGCAPITA FARMLAND III L.P.1/10/2012NI 45-106 2.912/30/2011$50,000.00
BANK OF MONTREAL1/10/2012NI 45-106 2.301/03/2012$2,000,000.00
BANK OF MONTREAL1/10/2012NI 45-106 2.312/28/2011$2,000,000.00
CHINA CANADIAN OPPORTUNITY IX LIMITED PARTNERSHIP PARTNERSHIP1/10/2012NI 45-106 2.312/20/2011$270,453.75
EAGLE GRAPHITE CORPORATION1/10/2012NI 45-106 2.312/20/2011$50,000.00
GENER8 DIGITAL MEDIA CORP.1/10/2012NI 45-106 2.312/22/2011$25,000.20
GREEN SWAN CAPITAL CORP.1/10/2012NI 45-106 2.312/30/2011$201,210.00
HEMISPHERE CANADIAN VALUE FUND1/10/2012NI 45-106 2.301/19/2011 - 12/21/2011$538,700.00
HEMISPHERE SELECT SHARES US FUND1/10/2012NI 45-106 2.301/19/2011 - 12/21/2011$240,500.00
LAURION MINERAL EXPLORATION INC.1/10/2012NI 45-106 2.312/28/2011$115,590.30
MINERALFIELDS 2011-III SUPER FLOW-THROUGH LIMITED PARTNERSHIP1/10/2012NI 45-106 2.3,2.9,2.1012/30/2011$1,065,000.00
OMINECA MINING AND METALS LTD.1/10/2012NI 45-106 2.3,2.512/23/2011$74,187.00
PACIFIC RIDGE EXPLORATION LTD.1/10/2012NI 45-106 2.312/28/2011$49,000.00
PATHWAY OIL & GAS 2011 GORR LIMITED PARTNERSHIP1/10/2012NI 45-106 2.912/30/2011$470,000.00
QUADRUM CAPITAL CORP.1/10/2012NI 45-106 2.312/22/2011 - 12/23/2011$444,332.02
QUADRUM CAPITAL CORP.1/10/2012NI 45-106 2.312/01/2011 - 12/06/2011$1,049,500.00
QUADRUM CAPITAL CORP.1/10/2012NI 45-106 2.312/12/2011 - 12/21/2011$1,548,999.56
VMIC INC.1/10/2012NI 45-106 2.501/03/2012$140,000.00
ALSTON ENERGY INC.1/9/2012NI 45-106 2.312/30/2011$50,050.00
BARKERVILLE GOLD MINES LTD.1/9/2012NI 45-106 2.312/28/2011$1,837,675.35
BEDFORD BIOFUELS TANA DELTA PHASE I INVESTMENT CORPORATION1/9/2012NI 45-106 2.911/28/2011$44,000.00
BISON PROPERTIES LTD.1/9/2012NI 45-106 2.312/05/2011$81,412.60
COPPER CREEK GOLD CORP.1/9/2012NI 45-106 2.312/30/2011$8,000.00
EDGEHILL MULTI STRATEGY FUND LTD.1/9/2012NI 45-106 2.301/01/2011 - 12/31/2011$3,450,000.00
EQUIGENESIS 2011 PREFERRED INVESTMENT LP1/9/2012NI 45-106 2.312/29/2011$356,400.00
EQUITY MICRO TECH1/9/2012NI 45-106 2.312/26/2011$37,888.00
EQUITY SOLAR,INC.1/9/2012NI 45-106 2.312/26/2011$163,328.00
GILEAD POWER CORPORATION1/9/2012NI 45-106 2.312/29/2011$12,500.00
IRONSTONE RESOURCES LTD.1/9/2012NI 45-106 2.3,2.5,2.2412/29/2011$126,550.00
MAMMOTH RESOURCES CORP.1/9/2012NI 45-106 2.312/22/2011$45,000.00
MARQUEE ENERGY LTD.1/9/2012NI 45-106 2.312/29/2011$479,299.70
MEDITERRA ENERGY CORPORATION1/9/2012NI 45-106 2.312/20/2011$2,510,000.00
MONGOLIA MINERALS CORPORATION1/9/2012NI 45-106 2.312/29/2011 - 01/06/2012$0.00
PROVIDENT MORTGAGE CORP.1/9/2012NI 45-106 2.912/28/2011$105,000.00
RAINBOW RESOURCES INC.1/9/2012NI 45-106 2.312/29/2011 - 12/30/2011$80,000.00
RIVERSIDE CAPITAL LIMITED PARTNERSHIP1/9/2012NI 45-106 2.501/01/2012$10,000.00
STANDARD EXPLORATION LTD.1/9/2012NI 45-106 2.312/29/2011$584,099.65
TEMBO GOLD CORP.1/9/2012NI 45-106 2.3,2.512/29/2011$205,000.00
TERRA 2011 FOUNDATION FLOW-THROUGH LIMITED PARTNERSHIP1/9/2012NI 45-106 2.312/31/2011$415,000.00
ALTA PACIFIC MORTGAGE INVESTMENT CORP.1/6/2012NI 45-106 2.912/30/2011$145,000.00
CANADIAN ZINC CORPORATION1/6/2012NI 45-106 2.312/30/2011$18,750.00
COLWOOD CITY CENTRE LIMITED PARTNERSHIP1/6/2012NI 45-106 2.3,2.1012/27/2011 - 12/30/2011$383,000.00
ESO URANIUM CORP.1/6/2012NI 45-106 2.312/29/2011$100,000.00
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