PERSONAL INFORMATION FORM This Form constitutes Form 4 for Toronto Stock Exchange, operated by TSX Inc. (“TSX”) and Form 2A for TSX Venture Exchange, operated by TSX Venture Exchange Inc. (“TSX Venture”). This Form is to be completed by individuals who are required to submit a Personal Information Form (“PIF”) to either TSX or TSX Venture (individually, an “Exchange” and together, the “Exchanges”). Where an individual has submitted a PIF to an Exchange within the last 60 months and the information has not changed, a Declaration Form (Form 2C1 for TSX Venture and Form 4B for TSX) may be completed in lieu of this PIF. Otherwise, unless specifically exempted by an Exchange, this PIF is to be completed by every individual who: (a) is or becomes an officer, director, or insider of an Exchange Issuer or an officer or director of an investment fund manager of an Exchange Issuer; (b) owns or controls, beneficially or as nominee, directly or indirectly, securities representing more than 10 percent of the voting rights attached to all outstanding voting securities of an Exchange Issuer (and, where such a securityholder is not an individual, any director, officer or insider of that securityholder); (c) is an individual requested or required by an Exchange to complete a PIF; (d) is an individual requested by a securities regulatory authority (referred to as an “SRA”), as defined below, to complete a PIF; or (e) is or will be a promoter or providing investor relations, promotional or market maintenance services for an issuer listed on TSX Venture. General Instructions on How to Complete This PIF: The Form Each PIF must be electronically signed. The PIF will only be accepted if it has been signed within the past 12 months. A person submitting a PIF is deemed to have read and understood all questions in the PIF and to have read, understood and accepted the terms set forth in each of Exhibits 1 and 2 of the PIF. This PIF includes Exhibits 1 and 2, which form part of the PIF. Foreign Residents Persons submitting a PIF who have resided outside of Canada may be required to complete and submit additional forms and information if requested by an Exchange. Persons submitting a PIF who reside or have resided in Australia are required to complete the Australian Federal Police Form. Your Exchange contact can provide a copy of this form and it should be submitted with the PIF. Disclosure Failure to respond to all questions accurately and completely may delay the processing of the related application of the Exchange Issuer and may result in the denial of the Exchange Issuer’s application. Failure to fully disclose any information required by this PIF or false or misleading disclosures may result in the disqualification of an individual from involvement with the Exchange Issuer and/or other Exchange Issuers. All Questions All questions must have a response. The response of “N/A” or “Not Applicable” will not be accepted by an Exchange or SRA for any questions, except Questions 1B, 2(iii), (v) and (vi) and 5. If you have any questions regarding this form please contact the Exchange to which you intend to submit this form. TSX Form 4/TSX Venture Form2A PERSONAL INFORMATION FORM Page 1 (as at October 10, 2019)
Questions 6 to 10 Please place a checkmark (√) in the appropriate space provided. If your answer to any of questions 6 to 10 is “YES”, you must provide complete details, including the circumstances, relevant dates, names of the parties involved and final disposition, if known. Responses must consider all time periods. A new PIF must be filed promptly where a Material Change occurs in respect of questions 6 to 10. DEFINITIONS Capitalized terms not defined herein are, in the case of matters related to TSX, as defined in the TSX Company Manual and, in the case of matters related to TSX Venture, as defined in the TSX Venture Corporate Finance Manual. “director”, “officer”, “insider”, “control person”, “promoter” and “investment fund manager” all have the meanings ascribed to them by applicable securities legislation; “Exchange Issuer” means an issuer and its subsidiaries that has any of its securities listed for trading on an Exchange and, as the context requires, any applicant issuer seeking a listing of its securities on an Exchange; “issuer” means a corporation, company, incorporated association or organization, body corporate, partnership, general partnership, limited partnership, trust, income trust, investment trust, investment fund manager or other entity that has issued securities in any jurisdiction; “Offence” includes: • a summary conviction or indictable offence under the Criminal Code (Canada); • a quasi-criminal offence (for example under the Income Tax Act (Canada), the Immigration Act (Canada) or the tax, immigration, drugs, firearms, money laundering or securities legislation of any jurisdiction); or • a misdemeanour or felony under the criminal legislation of the United States of America, or any state or territory therein or an offence under the criminal legislation of any other jurisdiction. NOTE: If you have received a pardon under the Criminal Records Act (Canada) for an Offence that relates to fraud (including any type of fraudulent activity), misappropriation of money or other property, theft, forgery, falsification of books or documents or similar Offences you must disclose the pardoned Offence in this PIF. In such circumstances: (a) the appropriate written response would be “Yes, pardon granted on (date),” and (b) you must provide complete details in an attachment to this PIF. “Proceeding” means: (a) a civil or criminal proceeding or inquiry which is currently before a court, (b) a proceeding before an arbitrator or umpire or a person or group of persons authorized by law to make an inquiry and take evidence under oath in the matter, (c) a proceeding before a tribunal in the exercise of a statutory power of decision making where the tribunal is required by law to hold or afford the parties to the proceeding an opportunity for a hearing before making a decision, or (d) a proceeding before a self regulatory entity authorized by law to regulate the operations and the standards of practice and business conduct of its members (including, where applicable, issuers listed on a stock exchange) and individuals associated with those members and issuers, in which the self regulatory entity is required under its by-laws, rules or policies to hold or afford the parties the opportunity to be heard before making a decision, but does not apply to a proceeding in which one or more persons are required to make an investigation and to make a report, with or without recommendations, if the report is for the information or advice of the person to whom it is made and does not in any way bind or limit that person in any decision the person may have the power to make; TSX Form 4/TSX Venture Form2A PERSONAL INFORMATION FORM Page 2 (as at October 10, 2019)
“Reporting Issuer” means an issuer that has any securities that have been at any time listed or quoted for trading in any jurisdiction regardless of when the listing and trading began; “securities regulatory authority” or “SRA” means a body created by statute in any jurisdiction to administer securities law, regulation and policy (e.g. securities commission), but does not include an exchange or other self regulatory entity; “self regulatory entity” or “SRE” means (a) a stock, derivatives, commodities, futures or options exchange; (b) an association of investment, securities, mutual fund, commodities, or future dealers; (c) an association of investment counsel or portfolio managers; (d) an association of other professionals (e.g. legal, accounting, engineering); and (e) any other group, institution or self regulatory organization, recognized by a securities regulatory authority, that is responsible for the enforcement of rules, policies, disciplines or codes under any applicable legislation, or considered an SRE in another country. If you have submitted a PIF to an Exchange within the last 60 months and the information in that PIF has NOT CHANGED and remains true and correct as of the current date, a Declaration Form (Form 4B for TSX and Form 2C1 for TSX Venture) may be completed in lieu of this PIF. YES NO Have you submitted a PIF to an Exchange in the last 60 months? If “No”, proceed to Question 1A below. If “Yes” and the information in such PIF has not changed and remains true and correct as of the current date, DO NOT COMPLETE THIS FORM. Please file a Declaration Form in lieu of this PIF. 1. A. IDENTIFICATION OF INDIVIDUAL COMPLETING FORM FULL MIDDLE NAME(S) LAST NAME(S) FIRST NAME(S) (No initials, if none, please state) NAME(S) MOST COMMONLY KNOWN BY NAME OF ISSUER (State the name of the Issuer that is listed or that has applied to list on one of the Exchanges) PRESENT or PROPOSED IF DIRECTOR / OFFICER POSITION(S) WITH THE ISSUER – DISCLOSE THE DATE check (√) all positions below that ELECTED / APPOINTED IF OFFICER – PROVIDE TITLE are applicable (√) Month Day Year IF OTHER – PROVIDE DETAILS Director Officer Insider Other B. Other than the name given in Question 1A above, provide any legal names, assumed names or nicknames under which you have carried on business or FROM TO have otherwise been known, including information regarding any name change(s) resulting from marriage, divorce, court order or any other process. Use an attachment if necessary. MM YY MM YY TSX Form 4/TSX Venture Form2A PERSONAL INFORMATION FORM Page 3 (as at October 10, 2019)
C. DATE OF BIRTH PLACE OF BIRTH GENDER Month (e.g. May) Day Year City Province/State Country Male Female D. MARITAL STATUS FULL NAME OF SPOUSE - include common-law OCCUPATION OF SPOUSE E. TELEPHONE AND FACSIMILE NUMBERS AND E-MAIL ADDRESS RESIDENTIAL ( ) FACSIMILE ( ) BUSINESS ( ) E-MAIL* *Please provide an email address that the Exchanges may use to contact you regarding this PIF. This email address may be used to exchange personal information relating to you. Due to the nature of Internet communications and evolving technologies, the Exchanges cannot provide assurance that the information that is submitted by or sent to you by e-mail or other electronic communication will remain free from loss, interception, misuse or alteration by third parties and neither the Exchanges nor their service providers shall have any liability for any loss, interception, misuse or alteration. F. RESIDENTIAL HISTORY - Provide ALL residential addresses for the past 10 YEARS starting with your current principal residential address. If you are unable to correctly identify the complete residential address for a period, which is beyond five years from the date of completion of this PIF, the municipality and province or state and country must be identified. The Exchanges reserve the right to require the full address. Use an attachment if necessary. FROM TO STREET ADDRESS, CITY, PROVINCE/STATE, COUNTRY & POSTAL/ZIP CODE MM YY MM YY TSX Form 4/TSX Venture Form2A PERSONAL INFORMATION FORM Page 4 (as at October 10, 2019)
2. CITIZENSHIP (i) Are you a Canadian citizen? (ii) Are you a person lawfully in Canada as an immigrant but are not yet a Canadian citizen? (iii) If “Yes” to (ii), provide the number of years of continuous residence in Canada. (iv) Do you hold citizenship in any country other than Canada? (v) If “Yes” to (iv), provide the name of the country or countries. (vi) Please provide U.S. Social Security number, where you have such a number. 3. EMPLOYMENT HISTORY Provide your complete employment history for the 10 YEARS immediately prior to the date of this PIF starting with your current employment. Use an attachment if necessary. If you were unemployed during this period of time, please state this and identify the period of unemployment. EMPLOYER NAME EMPLOYER ADDRESS 4. INVOLVEMENT WITH ISSUERS A. Are you or have you during the last 10 years ever been, in any jurisdiction, a director, officer, promoter, insider or control person for any Reporting Issuer? B. If “YES” to 4A above, provide the names of each Reporting Issuer. State the position(s) held and the period(s) during which you held the position(s). Use an attachment if necessary. NAME OF REPORTING ISSUER POSITION(S) HELD TSX Form 4/TSX Venture Form2A PERSONAL INFORMATION FORM (as at October 10, 2019) YES NO FROM TO POSITION HELD MM YY MM YY YES NO FROM TO MARKET TRADED ON MM YY MM YY Page 5
YES NO C. While you were a director, officer or insider of an issuer, did any exchange or other self regulatory entity ever refuse approval for listing or quotation of that issuer, including (i) a listing resulting from a business combination, reverse take over or similar transaction that is regulated by an SRE or SRA, (ii) backdoor listing or qualifying acquisition (as those terms are defined in the TSX Company Manual) or (iii) a Qualifying Transaction, Reverse Take Over or Change of Business (as those terms are defined in the TSX Venture Corporate Finance Manual)? If yes, attach full particulars. 5. EDUCATIONAL HISTORY A. PROFESSIONAL DESIGNATION(S) – Identify any professional designation(s) held and the names in full of all professional associations to which you belong, for example, Barrister & Solicitor, C.A., C.M.A., C.G.A., P.Eng., P.Geol., CFA, etc. Identify the organizations which granted the designations, the entities which regulate each profession, and the date each designation was granted. GRANTOR OF DATE(S) GRANTED DESIGNATION(S) PROFESSIONAL DESIGNATION(S) And JURISDICTION(S) REGULATOR OF And MEMBERSHIP NUMBER(S) (NO ACRONYMS) PROFESSION(S) MM YY Describe the current status of all designation(s) and/or association(s) (e.g., active, retired, non-practicing, suspended). B. Provide your post-secondary educational history starting with the most recent. DATE OBTAINED SCHOOL LOCATION DEGREE OR DIPLOMA MM DD YY 6. OFFENCES - If you answer “YES” to any item in Question 6, you must provide complete details in an attachment. If you have received a pardon under the Criminal Records Act (Canada) for an Offence that relates to fraud (including any type of fraudulent activity), misappropriation of money or other property, theft, forgery, falsification of books or documents or similar Offences, you must disclose the pardoned Offence in this PIF. YES NO A. Have you ever, in any jurisdiction, pled guilty to or been found guilty of an Offence? TSX Form 4/TSX Venture Form2A PERSONAL INFORMATION FORM Page 6 (as at October 10, 2019)
YES NO B. Are you the subject of any current charge, indictment or proceeding for an Offence, in any jurisdiction? YES NO C. To the best of your knowledge, are you currently or have you ever been a director, officer, promoter, insider or control person of an issuer, in any jurisdiction, at the time of events, where the issuer: (i) pled guilty to or was found guilty of an Offence? (ii) is now the subject of any charge, indictment or proceeding for an Offence? 7. BANKRUPTCY - If you answer “YES” to any item in Question 7, you must provide complete details in an attachment and attach a copy of any discharge, release or other applicable document. You must answer “YES” or “NO” for EACH of (A), (B) and (C), below. YES NO A. Have you, in any jurisdiction, within the past 10 years had a petition in bankruptcy issued against you, made a voluntary assignment in bankruptcy, made a proposal under any bankruptcy or insolvency legislation, been subject to any proceeding, arrangement or compromise with creditors, or had a receiver, receiver-manager or trustee appointed to manage your assets? YES NO B. Are you now an undischarged bankrupt? YES NO C. To the best of your knowledge, are you currently or have you ever been a director, officer, promoter, insider or control person of an issuer, in any jurisdiction, at the time of events, or for a period of 12 months preceding the time of events, where the issuer: (i) has made a petition in bankruptcy, a voluntary assignment in bankruptcy, a proposal under any bankruptcy or insolvency legislation, been subject to any proceeding, arrangement or compromise with creditors or had a receiver, receiver-manager or trustee appointed to manage the issuer’s assets? (ii) is now an undischarged bankrupt? 8. PROCEEDINGS - If you answer “YES” to any item in Question 8, you must provide complete details in an attachment. YES NO A. CURRENT PROCEEDINGS BY SECURITIES REGULATORY AUTHORITY OR SELF REGULATORY ENTITY. Are you now, in any jurisdiction, the subject of: (i) a notice of hearing or similar notice issued by an SRA or SRE? (ii) a proceeding, or to your knowledge, investigation, by an SRA or SRE? (iii) settlement discussions or negotiations for settlement of any nature or kind whatsoever with an SRA or SRE? TSX Form 4/TSX Venture Form2A PERSONAL INFORMATION FORM Page 7 (as at October 10, 2019)
YES NO B. PRIOR PROCEEDINGS BY SECURITIES REGULATORY AUTHORITY OR SELF REGULATORY ENTITY. Have you ever: (i) been reprimanded, suspended, fined, been the subject of an administrative penalty, or been the subject of any proceedings of any kind whatsoever, in any jurisdiction, by an SRA or SRE? (ii) had a registration or licence for the trading of securities, exchange or commodity futures contracts, real estate, insurance or mutual fund products cancelled, refused, restricted or suspended, by an SRA or SRE? (iii) been prohibited or disqualified by an SRA or SRE under securities, corporate or any other legislation from acting as a director or officer of a Reporting Issuer or been prohibited or restricted by an SRA or SRE from acting as a director, officer, or employee of, or an agent or consultant to, a Reporting Issuer? (iv) had a cease trading or similar order issued against you or an order issued against you by an SRA or SRE that denied you the right to use any statutory prospectus or registration exemption? (v) had any other proceeding, review, or investigation of any nature or kind taken against you by an SRA or SRE? YES NO C. SETTLEMENT AGREEMENT(S) Have you ever entered into a settlement agreement with an SRA, SRE, attorney general or comparable official or body, in any jurisdiction, in a matter that involved actual or alleged fraud, theft, deceit, misrepresentation, conspiracy, breach of trust, breach of fiduciary duty, insider trading, unregistered trading in securities or exchange or commodity futures contracts, illegal distributions, failure to disclose material facts or changes or similar conduct, or any other settlement agreement with respect to any other violation of securities legislation or the rules, by-laws or policies of any SRE? YES NO D. To the best of your knowledge, are you now or have you ever been a director, officer, promoter, insider or control person of an issuer at the time of such event, in any jurisdiction, for which a securities regulatory authority or self regulatory entity has: (i) refused, restricted, suspended or cancelled the registration or licensing of an issuer to trade securities, exchange or commodity futures contracts, or to sell or trade real estate, insurance or mutual fund products? (ii) issued a cease trade or similar order or imposed an administrative penalty of any nature or kind whatsoever against the issuer, other than an order for failure to file financial statements that was revoked within 30 days of its issuance? (iii) refused a receipt for a prospectus or other offering document, denied any application for listing or quotation or any other similar application, or issued an order that denied the issuer the right to use any statutory prospectus or registration exemptions? (iv) issued a notice of hearing, notice as to a proceeding or similar notice against the issuer? (v) commenced any other proceeding of any nature or kind against the issuer, including a trading halt, suspension or delisting of the issuer, in connection with an alleged or actual contravention of an SRA’s or SRE’s rules, regulations, policies, or other requirements, but excluding halts imposed (i) in the normal course for proper dissemination of information, or (ii) pursuant to a business combination, reverse take over or similar transaction that is regulated by an SRE or SRA, including a Qualifying Transaction, Reverse Takeover or Change of Business (as those terms are defined in the TSX Venture Corporate Finance Manual)? TSX Form 4/TSX Venture Form2A PERSONAL INFORMATION FORM Page 8 (as at October 10, 2019)
(vi) entered into a settlement agreement with the issuer in a matter that involved actual or alleged fraud, theft, deceit, misrepresentation, conspiracy, breach of trust, breach of fiduciary duty, insider trading, unregistered trading in securities or exchange or commodity futures contracts, illegal distributions, failure to disclose material facts or changes or similar conduct by the issuer, or involved in any other violation of securities legislation or the rules, by-laws or policies of an SRE? TSX Form 4/TSX Venture Form2A PERSONAL INFORMATION FORM Page 9 (as at October 10, 2019)
9. CIVIL PROCEEDINGS - If you answer “YES” to any item in Question 9, you must provide complete details in an attachment. YES NO A. JUDGMENT, GARNISHMENT AND INJUNCTIONS Has a court in any jurisdiction: (i) rendered a judgment, ordered garnishment or issued an injunction or similar ban (whether by consent or otherwise) against you in a claim based in whole or in part on fraud, theft, deceit, misrepresentation, conspiracy, breach of trust, breach of fiduciary duty, insider trading, unregistered trading, illegal distributions, failure to disclose material facts or changes, or allegations of similar conduct? (ii) rendered a judgment, ordered garnishment or issued an injunction or similar ban (whether by consent or otherwise) against an issuer of which you are currently or have ever been a director, officer, promoter, insider or control person in a claim based in whole or in part on fraud, theft, deceit, misrepresentation, conspiracy, breach of trust, breach of fiduciary duty, insider trading, unregistered trading, illegal distributions, failure to disclose material facts or changes, or allegations of similar conduct? YES NO B. CURRENT CLAIMS (i) Are you now subject, in any jurisdiction, to a claim that is based in whole or in part on actual or alleged fraud, theft, deceit, misrepresentation, conspiracy, breach of trust, breach of fiduciary duty, insider trading, unregistered trading, illegal distributions, failure to disclose material facts or changes, or allegations of similar conduct? (ii) To the best of your knowledge, are you currently or have you ever been a director, officer, promoter, insider or control person of an issuer now subject, in any jurisdiction, to a claim that is based in whole or in part on actual or alleged fraud, theft, deceit, misrepresentation, conspiracy, breach of trust, breach of fiduciary duty, insider trading, unregistered trading, illegal distributions, failure to disclose material facts or changes, or allegations of similar conduct? YES NO C. SETTLEMENT AGREEMENT (i) Have you ever entered into a settlement agreement, in any jurisdiction, in a civil action that involved actual or alleged fraud, theft, deceit, misrepresentation, conspiracy, breach of trust, breach of fiduciary duty, insider trading, unregistered trading, illegal distributions, failure to disclose material facts or changes, or allegations of similar conduct? (ii) To the best of your knowledge, are you currently or have you ever been a director, officer, promoter, insider or control person of an issuer that has entered into a settlement agreement, in any jurisdiction, in a civil action that involved actual or alleged fraud, theft, deceit, misrepresentation, conspiracy, breach of trust, breach of fiduciary duty, insider trading, unregistered trading, illegal distributions, failure to disclose material facts or changes, or allegations of similar conduct? 10. INVOLVEMENT WITH OTHER ENTITIES YES NO A. Has your employment in a sales, investment or advisory capacity with any employer engaged in the sale of real estate, insurance or mutual funds ever been suspended or terminated for cause? If yes, attach full particulars. TSX Form 4/TSX Venture Form2A PERSONAL INFORMATION FORM Page 10 (as at October 10, 2019)
YES NO B. Has your employment with a firm or company registered under the securities laws of any jurisdiction as a securities dealer, broker, investment advisor or underwriter ever been suspended or terminated for cause? If yes, attach full particulars. YES NO C. Has your employment as an officer of an issuer ever been suspended or terminated for cause? If yes, attach full particulars. 11. IDENTIFICATION A. Attach legible reproductions of TWO different pieces of identification (“I.D.”) issued by a government Check this box if authority (such as a driver's license or passport) that are acceptable to the Exchanges: attached • At least one of the pieces of I.D. must contain a recognizable photograph taken within the last 5 years. • If the piece of I.D. containing a recognizable photo is not a passport, it must contain your full given name, surname, date of birth, gender and current mailing address. • Examples of acceptable non-photo I.D. include birth certificate, immigration papers and baptismal certificate. • Please note that the Exchanges are prohibited from using Provincial Health Cards or Social Insurance Number Cards - do not forward copies of either of these pieces of I.D. to the Exchanges. The Exchanges reserve the right to reject any I.D. which they determine is not acceptable. TSX Form 4/TSX Venture Form2A PERSONAL INFORMATION FORM Page 11 (as at October 10, 2019)
DECLARATION I, hereby solemnly declare that: (Please Print - Name of Individual) (a) I have read and understand this PIF, and the answers I have given to the questions in this PIF and in any attachments to it are true and correct, except where stated to be to the best of my knowledge, in which case I believe the answers to be true; (b) I have read, understand, and agree to the terms of, the Personal Information Collection Policy of the Exchanges attached hereto as Exhibit 1 as well as the Notice of Collection, Use and Disclosure of Personal Information by securities regulatory authorities attached hereto as Exhibit 2 (Exhibit 2 relates to the use of this PIF and collection of information for the sole purposes of SRAs) (collectively, the “PIF Collection Policy”); (c) I attached to this PIF reproductions of two pieces of photo identification, both of which comply with the Exchanges’ requirements set forth in Question 11; (d) I consent to the collection, use and disclosure of the information in this PIF and any further personal information collected, used and disclosed, as set out in the PIF Collection Policy; (e) I hereby agree to (i) submit to the jurisdiction of each of the Exchanges and to the Investment Industry Regulatory Organization of Canada and any successor or assignee of any of them, and wherever applicable, the directors and committees thereof, and (ii) be bound by and comply with all applicable rules, policies, regulations, directions, decisions, orders and rulings of each of the Exchanges (collectively, the “Exchange requirements”); (f) I agree that should any of my responses to any of the questions set forth in 6, 7, 8, 9 or 10 of this PIF cease to be true and correct, I will immediately file a new PIF with the applicable Exchange; (g) I agree that any acceptance, approval or other right granted by the Exchanges may be revoked, terminated or suspended at any time in accordance with the then applicable Exchange requirements. In the event of any such revocation, termination or suspension, I agree to immediately terminate my association or involvement with any Exchange Issuer to the extent required by the Exchanges. I agree not to resume my association or involvement with any Exchange Issuer, except with the prior written approval of the Exchanges; (h) This declaration and the rights and powers of the Exchanges pursuant to the Exchange requirements shall be governed, in the case of matters relating to TSX, by the laws of the Province of Ontario and in the case of matters relating to TSX Venture, by the laws of the Province of Alberta, and the federal laws of Canada applicable therein, without regard to conflict of law principles; (i) I acknowledge and agree that this declaration may be assigned or transferred by the Exchanges to any person without providing me with notice or obtaining my consent and that this declaration shall thereafter continue to be binding on me and may be enforced against me by any such assignee or transferee. I understand that I am prohibited from transferring or assigning this declaration or any acceptance, approval or other right granted by the Exchanges; (j) I understand that where I am providing this form to a SRA, I am under the jurisdiction of the SRA to which I submit this form, and it is a breach of securities legislation to provide false or misleading information to the SRA; (k) I make this solemn declaration conscientiously believing it to be true. Dated: Signature of Person Completing this Form TSX Form 4/TSX Venture Form2A PERSONAL INFORMATION FORM Page 12 (as at October 10, 2019)
EXHIBIT 1 PIF PERSONAL INFORMATION COLLECTION POLICY Collection, Use and Disclosure TSX Inc. and its affiliates, subsidiaries and divisions, including Toronto Stock Exchange and TSX Venture Exchange, (collectively referred to as “TSX”), collect the information (which may include personal, confidential, non-public, criminal or other information) in the Personal Information Form and in other forms that are submitted by you and/or by an Exchange Issuer or an entity applying to be an Exchange Issuer and use and disclose it for the following purposes: • to conduct background checks, • to verify the information that has been provided about you, • to consider your suitability to act as an officer, director, insider, promoter, investor relations provider, employee or consultant, of an Exchange Issuer or an issuer applying to be an Exchange Issuer, • to consider the eligibility of an applicant to be an Exchange Issuer, • to detect and prevent fraud, • to conduct enforcement proceedings, and • to perform other investigations as required by and to ensure compliance with Exchange requirements, securities legislation and other legal and regulatory requirements regarding the conduct and protection of the public markets in Canada. As part of this process, TSX also collects additional information about you from other sources, including but not limited to, securities regulatory authorities in Canada or elsewhere, investigative, law enforcement or self regulatory entities, and regulation services providers, for the purposes described above. The information TSX collects about you may also be disclosed to these agencies and organizations (or as otherwise permitted or required by law), and they may use it in their own investigations for the purposes described above. Your personal information may be transferred (or otherwise made available) to our affiliates and other third parties who provide services on our behalf. For example, we use service providers to help us process, store and secure data. This may include sending email or other communications using their online services. Our service providers are given the information they need to perform their designated functions, and are not authorized to use or disclose personal information for their own purposes. Your personal information may be maintained and processed by us, our affiliates and other third party service providers in other jurisdictions. In the event personal information is transferred to another jurisdiction, it will be subject to the laws of that jurisdiction and may be disclosed to or accessed by the courts, law enforcement and governmental authorities in accordance with those laws. Failure to Consent If you do not consent to this PIF Collection Policy, we may (i) refuse to allow you to act as an officer, director, insider, promoter, investor relations provider, employee or consultant, of an Exchange Issuer, (ii) refuse to allow an applicant to be listed as an Exchange Issuer, and/or (iii) refuse to accept a transaction proposed by an Exchange Issuer. Security The personal information that is retained by TSX is kept in a secure environment. Only those employees of TSX or its service providers who require access to your personal information in order to accomplish the purposes and/or services identified above will be authorized to access your personal information. Employees of TSX or its service providers who have access to your personal information are obligated to keep it confidential. Accuracy Information about you maintained by TSX that is identified by you as inaccurate or obsolete will be replaced or removed, as applicable. Questions If you have any questions about the privacy principles outlined above or our policies and practices, please send a written request to: Chief Privacy Officer, TMX Group, 300 – 100 Adelaide Street West, Toronto, Ontario, Canada, M5H 1S3 or by e-mail to privacyofficer@tmx.com. TSX Form 4/TSX Venture Form2A PERSONAL INFORMATION FORM Page 13 (as at October 10, 2019)
EXHIBIT 2 Notice of Collection, Use and Disclosure of Personal Information by Securities Regulatory Authorities The securities regulatory authorities of each of the provinces and territories of Canada (the “SRAs”) collect the personal information in the Personal Information Form and use it in the administration and enforcement of the securities legislation in their province or territory governing the conduct and protection of the public markets in Canada (the “provincial securities legislation”). The SRAs do not make any of the information provided in the PIF public under provincial securities legislation. By submitting this information you consent to the collection by the SRAs of the personal information provided in the PIF, and any other records and information about you from any other source, including, but not limited to, police records, information from other government or non-governmental regulatory authorities, self regulatory organizations, exchanges, quotation and trade reporting systems, law enforcement agencies, private bodies, agencies, individuals, corporations, and other organizations in any jurisdictions, credit records and employment records as may be necessary for the SRAs to carry out their duties and exercise their powers under provincial securities legislation. You understand that in carrying out those duties and exercising those powers, the SRAs will use the information in the PIF, and any other information about you from any other source, including those listed above, to conduct background checks, verify the information you have provided, perform investigations and conduct enforcement proceedings as required by and to ensure compliance with provincial securities legislation. You also understand that the information the SRAs collect about you may also be disclosed to the sources listed above, as permitted by law, and those entities may use it in their own investigations for the purposes described above. The SRAs may also use a third party to process information, but when this happens, the third party will be carefully selected and obligated to comply with the limited use restrictions described above and with provincial and federal privacy legislation. Warning: It is an offence to submit information that, in a material respect and at the time and in the light of the circumstances in which it is submitted, is misleading or untrue. Questions If you have any questions about the collection, use, and disclosure of the information you provide to the SRAs, you may contact the SRAs in the jurisdiction in which the required information is filed, at the address of the SRAs provided in Schedule 3 of Appendix A to National Instrument 41-101. TSX Form 4/TSX Venture Form2A PERSONAL INFORMATION FORM Page 14 (as at October 10, 2019)
You are being directed to the most recent version of the statute which may not be the version considered at the time of the judgment.