14th Aug 2012 15:38
Notification of Transactions of Directors/Persons Discharging Managerial Responsibility and Connected Persons
Annex DTR31. Name of the issuer 2. State whether the notification relates to (i) a transaction notified in accordance with DTR 3.1.2 R, (ii) a disclosure made in CANACCORD FINANCIAL INC. accordance with LR 9.8.6R(1) or (iii) a disclosure made in accordance with section 793 of the Companies Act (2006). DTR 3.1.2 R
3. Name of person discharging 4. State whether notification relates
managerial responsibilities/ to a person connected with a director person discharging managerial responsibilities/director named in 3 and identify the connected person PAUL REYNOLDS BRAD KOTUSH N/A MATTHEW GAASENBEEK JOHN ROTHWELL 5. Indicate whether the 6. Description of shares (including
notification is in respect of a class), debentures or derivatives holding of the person referred or financial instruments relating to in 3 or 4 above or in to shares respect of a non-beneficial interest COMMON SHARES NOTIFICATION RELATES TO THE PERSONS NAMED IN 3 7. Name of registered shareholders 8 State the nature of the (s) and, if more than one, the transaction number of shares held by each of them VESTING OF RESTRICTED SHARE UNITS INTO COMMON SHARES; SALE OF COMMON PAUL REYNOLDS: 1,008,654 SHARES TO COVER TAX LIABILITIES; PURCHASES IN OPEN MARKET BRAD KOTUSH: 246,297 MATTHEW GAASENBEEK: 345,251 JOHN ROTHWELL: 277,002
9. Number of shares, debentures or 10. Percentage of issued class
financial instruments relating acquired (treasury shares of that to shares acquired class should not be taken into account when calculating percentage) PAUL REYNOLDS: 10,894 ON VESTING; 5,000 IN OPEN MARKET PAUL REYNOLDS: 0.02% BRAD KOTUSH: 13,005 ON VESTING BRAD KOTUSH: 0.01% MATTHEW GAASENBEEK: 11,785 ON VESTING MATTHEW GAASENBEEK: 0.01% JOHN ROTHWELL: 16,608 ON JOHN ROTHWELL: 0.03% VESTING; 12,000 IN OPEN MARKET
11. Number of shares, debentures or 12. Percentage of issued class
financial instruments relating disposed (treasury shares of that to shares disposed class should not be taken into account when calculating percentage) PAUL REYNOLDS: (4,774) PAUL REYNOLDS:
13. Price per share or value of 14. Date and place of transaction
transaction VESTING OF RESTRICTED SHARE UNITS PRICE PER SHARE ON VESTING, NOT INTO COMMON SHARES, AUGUST 10, APPLICABLE 2012 PRICE PER SHARE FOR SALES, SALEOF COMMON SHARES TO COVER TAX CAD$4.40 LIABILITIES, AUGUST 10, 2012 PAUL REYNOLDS, AVERAGE PRICE PAUL REYNOLDS, PURCHASE IN OPEN FOR PURCHASES IN OPEN MARKET, MARKET, AUGUST 13, 2012 CAD$4.69 JOHN ROTHWELL, PURCHASE IN OPEN JOHN ROTHWELL, AVERAGE PRICE MARKET, AUGUST 13, 2012 FOR PURCHASES IN OPEN MARKET, CAD$4.22 15. Total holding following 16. Date issuer informed of notification and total transaction percentage holding following notification (any treasury shares should not be taken into account when calculating AUGUST 13, 2012 percentage) PAUL REYNOLDS: 1,019,774/1.00% BRAD KOTUSH: 253,046/0.25% MATTHEW GAASENBEEK: 351,367/ 0.34% JOHN ROTHWELL: 305,610/0.30% THE FIGURE ABOVE INCLUDES SHAREHOLDINGS OWNED BY MR. REYNOLDS' SPOUSE
If a person discharging managerial responsibilities has been granted options by the issuer complete the following boxes
17 Date of grant 18. Period during which or date on which exercisable
19. Total amount paid (if any) for 20. Description of shares or debentures
grant of the option involved (class and number)
21. Exercise price (if fixed at time 22. Total number of shares or
of grant) or indication that debentures over which options held price is to be fixed at the time following notification of exercise
23. Any additional information 24. Name of contact and telephone
number for queries NONE MARTIN MacLACHLAN 1-416-867-6078
Name of authorised official of issuer responsible for making notification
MARTIN MacLACHLAN, GENERAL COUNSEL AND CORPORATE SECRETARY Date of Notification AUGUST 14, 2012
Notes: This form is intended for use by an issuer to make a RIS notification required by DTR 3.1.4.
(1) An issuer making a notification in respect of a transaction
relating to the shares or debentures of the issuer should complete boxes 1 to 16, 23 and 24.
(2) An issuer making a notification in respect of a derivative
relating the shares of the issuer should complete boxes 1 to 4, 6, 8, 13, 14, 16, 23 and 24.
(3) An issuer making a notification in respect of options granted to
a director/person discharging managerial responsibilities should complete boxes 1 to 3 and 17 to 24.
(4) An issuer making a notification in respect of a financial
instrument relating to the shares of the issuer (other than a debenture) should complete boxes 1 to 4, 6, 8, 9, 11, 13, 14, 16, 23 and 24.
Related Shares:
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