Securities Law

41-101F1 - Information Required in a Prospectus [F Advance Notice - Lapsed]

Published Date: 2007-12-21
Effective Date: 2008-03-17
Document(s):

Concurrently Published:

TABLE OF CONTENTS

 

GENERAL INSTRUCTIONS

 

ITEM 1    Cover Page Disclosure

1.1          Required statement

1.2          Preliminary prospectus disclosure

1.3          Basic disclosure about the distribution

1.4          Distribution

1.5          Offering price in currency other than Canadian dollar

1.6          Non-fixed price distributions

1.7          Pricing disclosure

1.8          Reduced price distributions

1.9          Market for securities

1.10        Risk factors

1.11        Underwriter(s)

1.12        International issuers

1.13        Restricted securities

1.14        Earnings coverage

 

ITEM 2    Table of Contents

                2.1          Table of contents

 

ITEM 3    Summary of Prospectus

3.1          General

3.2          Cautionary language

 

ITEM 4    Corporate Structure

4.1          Name, address and incorporation

4.2          Intercorporate relationships

 

ITEM 5    Describe the Business

5.1          Describe the business

5.2          Three-year history

5.3          Issuers with asset-backed securities outstanding

5.4          Issuers with mineral projects

5.5          Issuers with oil and gas operations

 

ITEM 6    Use of Proceeds

6.1          Proceeds

6.2          Junior issuers

6.3          Principal purposes - generally

6.4          Principal purposes - indebtedness

6.5          Principal purposes - asset acquisition

6.6          Principal purposes - insiders, etc.

6.7          Principal purposes - research and development

6.8          Business objectives and milestones

6.9          Unallocated funds in trust or escrow

6.10        Other sources of funding

6.11        Financing by special warrants, etc.

 

ITEM 7    Dividends or Distributions

7.1          Dividends or distributions

 

ITEM 8    Management’s Discussion and Analysis

8.1          Interpretation

8.2          MD&A

8.3          SEC issuers

8.4          Disclosure of outstanding security data

8.5          More recent financial information

8.6          Additional disclosure for venture issuers or IPO venture issuers without significant revenue

8.7          Additional disclosure for junior issuers

8.8          Additional disclosure for issuers with significant equity investees

 

ITEM 9    Earnings Coverage Ratios

9.1          Earnings coverage ratios

 

ITEM 10 Description of the Securities Distributed

10.1        Equity securities

10.2        Debt securities

10.3        Asset-backed securities

10.4        Derivatives

10.5        Special warrants, etc.

10.6        Restricted securities

10.7        Other securities

10.8        Modification of terms

10.9        Ratings

10.10      Other attributes

 

ITEM 11 Consolidated Capitalization

11.1        Consolidated capitalization

 

ITEM 12 Options to Purchase Securities

12.1        Options to purchase securities

 

ITEM 13 Prior Sales

13.1        Prior sales

13.2        Trading price and volume

 

ITEM 14 Escrowed Securities and Securities Subject to Contractual Restriction on Transfer

14.1        Escrowed securities and securities subject to contractual restriction on transfer

 

ITEM 15 Principal Securityholders and Selling Securityholders

15.1        Principal securityholders and selling securityholders

 

ITEM 16 Directors and Executive Officers

16.1        Name, occupation and security holding

16.2        Cease trade orders, bankruptcies, penalties or sanctions

16.3        Conflicts of interest

16.4        Management of junior issuers

 

ITEM 17 Executive Compensation

17.1        Disclosure

 

ITEM 18 Indebtedness of Directors and Executive Officers

18.1        Aggregate indebtedness

18.2        Indebtedness of directors and executive officers under securities purchase and other programs

 

ITEM 19 Audit Committees and Corporate Governance

19.1        Audit committees

19.2        Corporate governance

 

ITEM 20 Plan of Distribution

20.1        Name of underwriters

20.2        Disclosure of conditions to underwriters’ obligations

20.3        Best efforts offering

20.4        Minimum distribution

20.5        Determination of price

20.6        Stabilization

20.7        Approvals

20.8        Reduced price distributions

20.9        Listing application

20.10      Conditional listing approval

20.11      IPO venture issuers

20.12      Constraints

20.13      Special warrants acquired by underwriters or agents

 

ITEM 21 Risk Factors

21.1        Risk factors

 

ITEM 22 Promoters

22.1        Promoters

 

ITEM 23 Legal Proceedings and Regulatory Actions

23.1        Legal proceedings

23.2        Regulatory actions

 

ITEM 24 Interests of Management and Others in Material Transactions

                24.1        Interests of management and others in material transactions

24.2        Underwriting discounts

 

ITEM 25 Relationship Between Issuer or Selling Securityholder and Underwriter

25.1        Relationship between issuer or selling securityholder and underwriter

 

ITEM 26 Auditors, Transfer Agents and Registrars

26.1        Auditors

26.2        Transfer agents, registrars, trustees or other agents

 

ITEM 27 Material Contracts

27.1        Material contracts

 

ITEM 28 Experts

                28.1        Names of experts

                28.2        Interest of experts

 

ITEM 29 Other Material Facts

29.1        Other material facts

 

ITEM 30 Rights of Withdrawal and Rescission

30.1        General

30.2        Non-fixed price offerings

 

ITEM 31 List of Exemptions from Instrument

31.1        List of exemptions from Instrument

 

ITEM 32 Financial Statement Disclosure for Issuers

32.1        Interpretation of “issuer”

32.2        Annual financial statements

32.3        Interim financial statements

32.4        Exceptions to financial statement requirements

32.5        Exceptions to audit requirement

32.6        Additional financial statements or financial information filed or released

 

ITEM 33 Credit Supporter Disclosure, Including Financial Statements

                33.1        Credit supporter disclosure, including financial statements

 

ITEM 34 Exemptions for Certain Issues of Guaranteed Securities

34.1        Definitions and interpretation

34.2        Issuer is wholly-owned subsidiary of parent credit supporter

34.3        Issuer is wholly-owned subsidiary of, and one or more subsidiary credit supporters controlled by, parent credit supporter

34.4        One or more credit supporters controlled by issuer

 

ITEM 35 Significant Acquisitions

35.1        Application and definitions

35.2        Completed acquisitions for which issuer has filed business acquisition report

35.3        Completed acquisitions for which issuer has not filed business acquisition report because issuer was not reporting issuer on date of acquisition

35.4        Results consolidated in financial statements of issuer

35.5        Recently completed acquisitions

35.6        Probable acquisitions

35.7        Pro forma financial statements for multiple acquisitions

35.8        Additional financial statements or financial information of the business filed or released

 

ITEM 36 Probable Reverse Takeovers

                36.1        Probable reverse takeovers

 

ITEM 37 Certificates

37.1 Certificates

37.2 Issuer certificate form

37.3 Underwriter certificate form

37.4 Amendments

37.5 Non-offering prospectuses