capital they need to grow. TERR ERRY MACK CINDY PE PETLOCK ERIK - - PowerPoint PPT Presentation
NEO Exchange 155 University Avenue Suite 400 Toronto, ON, M5H 3B7 Canada +1.416.933.5900 www.aequitasneo.com Create a market where investors can build wealth through their investments, while helping companies raise the
Chief Financial Officer Chief Legal Officer President & CEO Chief Revenue Officer Chief Operating Officer
»Create a market where investors can build wealth through their investments, while helping companies raise the capital they need to grow.«
NEO Exchange • 155 University Avenue • Suite 400 • Toronto, ON, M5H 3B7 • Canada • +1.416.933.5900 • www.aequitasneo.com
TERR ERRY MACK CINDY PE PETLOCK JOS S SCHMITT ER ERIK SLOANE JOACIM WI WIKLANDER
NEO Exchange Survey presented by Capital Lounge
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NEO Ex Exchange SH SHAREHOLDERS 3 EX EXCHANGE HI HISTORY 5 LI LISTING STANDARS & RE REQUIREMENTS 11 INI INITIA IAL & ON ONGOIN ING LI LISTIN ING FEE FEES 13 GOI GOING PU PUBLIC ICS TIMELIN INE 17 NEO Ex Exchange COMPOSITION 28 NEO Ex Exchange INV INVESTORS 32 ACTIVE GOI GOING PU PUBLIC ICS IPO IPO/PP 34
NEO Exchange Survey presented by Capital Lounge
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NEO Exchange Survey presented by Capital Lounge
NEO EXCHANGE
AEQUITAS INNOVATIONS
ITG CANADA VERNON & PARK CAPITAL MACKENZIE INVESTMENTS BARCLAYS CORP. LTD. ROYAL BANK OF CANADA OMERS CAPITAL MARKETS BCE INC. BRITISH COLUMBIA INVESTMENT MANAGEMENT CORP CI INVESTMENTS INC. DAVIS REA LTD. IGM FINANCIAL INC. INVESCO CANADA LTD. VIRTU FINANCIAL LEEDE JONES GABLE INC. MAISON PLACEMENTS CANADA INC. PSP PUBLIC MARKETS INC.
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NEO Exchange Survey presented by Capital Lounge
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NEO Exchange Survey presented by Capital Lounge
2015 2015-03 03 Launch of operations of Aequitas NEO Stock Exchange 2015 2015-03 03 Designated Market Maker Network with Barclays, BBS Securities, BMO Capital Markets, Independent Trading Group, Jitneytrade, National Bank Financial, RBC Capital Markets, TD Securities, W.D. Latimer 2016 2016-01 01 Launch of Trusted Service Provider Program to curate a group of Advisors and Service Providers 2016 2016-01 01 NEO Exchange receives first listing application for PowerShares DWA Global Momentum Index ETF organized by Invesco Canada 2016 2016-03 03 NEO Exchange starts trading its first listed security PowerShares DWA Global Momentum Index ETF 2016 2016-05 05 NEO Exchange launches Investor Helpline for investment advisors, investors and businesses looking to raise capital
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NEO Exchange Survey presented by Capital Lounge
2016 2016-07 07 Partnership with BMO InvestorLine to enable real-time quotes and direct online trading access to NEO-listed securities by the first bank owned online broker 2016 2016-09 09 NEO-listed securities available on Globe and Mail with live quotes 2016 2016-11 11 NEO Exchange wins Business Excellence Award for Innovative Technology by the Toronto Region Board of Trade 2016 2016-12 12 Scotia iTrade enables real-time quotes and direct online trading access to NEO-listed securities 2017 2017-01 01 NEO Exchange receives Designated Offshore Securities market status by the United States Securities and Exchange Commission („SEC“) 2017 2017-01 01 TD Direct Investing makes real-time quotes and online trading available for NEO-listed securities through WebBroker, Advanced Dashboard and the TD App
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NEO Exchange Survey presented by Capital Lounge
2017 2017-05 05 NEO receives Qualified Foreign Exchange Designation by OTC Markets Group 2017 2017-06 06 NEO Exchange fund distribution platform („NEO Connect“) exceeds the $200 million mark of funds under management transacted on it 2017 2017-10 10 NEO Exchange joins the Responsible Investment Association („RIA“) 2017 2017-12 12 Cannabis Strategies Acquistion Corp. is the first Special Purpose Acquisition Corp („SPAC“) to start trading on NEO Exchange 2018 2018-02 02 National Bank Financial Inc. rolls out Fund Distribution Platform access to NEO Connect 2018 2018-04 04 Univeris integrates NEO Connect into its wealth management software utilized by 15,800 MFDA advisors, whom collectively represent over $178 BN in assets under administration
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NEO Exchange Survey presented by Capital Lounge
2018 2018-06 06 NEO Connect welcomes Raymond James Ltd., holding over US$ 725 BN in clients assets as a New Dealer 2019 2019-05 05 NEO Exchange brings retail investor experience to a new level making real-time market data for all NEO-listed securities available across the Yahoo! Finance platform in addition to the Apple Stocks app 2019 2019-07 07 NEO Connect and Univeris announce that PEAK Investment Services, part of PEAK Financial Group („PEAK“) has become the first mutual fund dealer to offer its advisors direct access to Platform Traded Funds („PTFs“) 2019 2019-08 08 NEO Exchange becomes the 3rd most active Marketplace in Canada in volume traded, surpassing the Canadian Securities Exchange with 1.8 billion shares having been traded in July 2019 2019 2019-09 09 Stone Asset Management Limited („SAM“) will utilize the NEO Connect platform to distribute Series PTFTM of the Stone Dividend Growth Class Fund 2019 2019-10 10 NEO Exchange introduces DealSquare, Canada‘s first centralized platform to simplify privvate placements in Canadam by digitally connecting capital raisers to dealers and their investment advisor networks
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NEO Exchange Survey presented by Capital Lounge
2019 2019-10 10 NEO Connect welcomes AMUR Financial Group („AMUR“) to utilize the NEO Connect platform to distribute its Manchester Investments Mortgage Investment Corporation as a platform traded fundTM („PTFTM“) 2019 2019-11 11 NEO Connect announces that Antrim Investments („Antrim“) will utilize the NEO Connect platform to distribute the Antrim Mortgage Investments Fund (the „Fund“) as a platform traded fundTM („PTFTM“) 2020 2020-02 02 Initial Public Offerings on NEO Exchange raised $1.5 billion in 2019. Neo Exchange ranking par with the Toronto Stock Exchange and well ahead of the two Canadian venture exchanges 2020 2020-02 02 Lendified Holdings Inc. („Lendified“), operating a lending platform for small businesses makes its Private Placement
2020 2020-03 03 Real-time data for NEO-listed securities and ETFs available on TradingView 2020 2020-04 04 DealSquare achieves full digitization of private placement process in Canada with Version 2.0
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NEO Exchange Survey presented by Capital Lounge
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NEO Exchange Survey presented by Capital Lounge
RE REQU QUIRE REMENT EQU QUITY STANDARD RD NET ET INCOME STANDARD RD MAR ARKET VALUE STANDARD ASSE ASSETS & RE REVE VENUE Shareholders‘ Equity 5,000,000 CAD 2,500,000 CAD 2,500,000 CAD
10,000,000 CAD 5,000,000 CAD 10,000,000 CAD 5,000,000 CAD Net Income from Continuing Ops
2 years
Minimum Price per Share 2.00 CAD 2.00 CAD 2.00 CAD 2.00 CAD Publicly Held Shares 1,000,000 1,000,000 1,000,000 1,000,000 Public Shareholders 300 300 300 300 Analyst / Investor Relations Req Yes Yes Yes Yes 12
NEO Exchange Survey presented by Capital Lounge
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NEO Exchange Survey presented by Capital Lounge
Initia ial Lis isting Fees for a Corporate issuer, including a Special Purpose Acquisition Corporation (“SPAC”), are based on the Lis isting Capitaliz izatio ion, except for a new class or series of securities of an Other Listed Issuer (a supplemental listing), for which a flat rate applies. In the case of a migration or cross-listing of securities listed on another exchange, the initial listing fees may be discounted as set out below. The Initia ial Lis istin ing Fee is calculated as 0.1% of
isting Capitaliz izatio ion, subject to a minimum and maximum fee of
50,000 000 CAD and 150 150,000 000 CAD, respectively. If the listing application involves multiple classes or series
10,000 000 CAD for each additional class or series of securities to be listed will apply. The submission of the Listing Application must be accompanied by a non-refundable le fee of
000 CAD plus applicable taxes, which will be applied against the initial listing fee. The NEO Exchange will calculate the total initial listing fee amount and will invoice the applicant for the balance, which is due prior to commencement of trading.
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NEO Exchange Survey presented by Capital Lounge
A Listed Issuer must pay an Annual Fee based on the aggregate Market Capitalization of its Listed Securities to maintain its listing(s). The NEO Exchange will issue an invoice each January for the applicable fee, calculated as 0.01 01% of
ggregate Market Capitaliz izatio ion of its Listed Securities, subject to a min inimum and maxim imum fee ee of
15,00 000 CA CAD an and 75 75,000 000 CA CAD, respectively. The NEO Exchange will apply a 25 25% Dis iscount to the Annual Fees of any issuer that lists its securities on the NEO Exchange while remaining listed on a regulated exchange or other organized market outside of Canada (Du Dual Li Listing). A Lis isted Issuer must pay its Annual Fees even if if its securiti ties are suspended or
fees may result in the delisting of the Listed Issuer’s securities.
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NEO Exchange Survey presented by Capital Lounge
La Late Not
ice Fee ees In addition to any other recourse available to the NEO Exchange, a fee of 25 250 CA CAD per calendar day may be charged for the late filing of any notice required to be filed with the NEO Exchange to a maximum of
10,000 000 CA CAD.
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NEO Exchange Survey presented by Capital Lounge
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NEO Exchange Survey presented by Capital Lounge
2016 2016-01 01 Aequit itas NEO Exchange Receives Appli licatio ion For Fir irst Lis istin ing - PowerShares Canada1 has filed a preliminary prospectus with Canadian securities regulators for PowerShares DWA Global Momentum Index ETF, and applied to have the ETF listed on NEO. 2016 2016-03 03 The The NEO Exchange Starts Tradin ing it its Fi First Lis isted Security - Invesco Canada’s PowerShares DWA Global Momentum Index ETF trading under the symbol DWG. 2016 2016-09 09 Bl BlackRock Can Canada Intends to
witch the the Li Listin ting Ven enue of
Shares Fun Funds con
istin ing g of
ETFs fr from
the TSX X to
NEO 2017 2017-01 01 Redwood To To Launch Series Of Of Active Exchange Traded Funds On On NEO - wholly owned subsidiary of Purpose Investments Inc. plans to launch four exchange traded funds, consisting of six ETF listings, on NEO. 2017 2017-01 01 Invesco
Laun unch Ne New ET ETFs on
NEO - Invesco has applied to list two new PowerShares ETFs and received approval to list two new series of its NEO-listed PowerShares DWA Global Momentum Index ETF (DWG). 2017 2017-02 02 BM BMO As Asset Ma Management To
Launch Ne New ETF ETFs On On NE NEO
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NEO Exchange Survey presented by Capital Lounge
2017 2017-04 04 Mackenzie ie Investments To To Launch Activ ive ETF On On NEO. This is the fifth fund in Mackenzie Investment’s series of active fixed income ETFs to be launched on the public markets and the first to be launched on NEO. 2017 2017-05 05 Red edwoo
Launches Ne New ETF ETF Serie Series of
Conn nnected Weal ealth Fun Funds on
NEO 2017 2017-08 08 Ne New Red edwoo
Emergi ging Mar Markets ETF ETF La Launches on
NEO - the new ETF is represented by the ticker REM. 2017 2017-09 09 RBC Global Asset Management Inc. Launches 7 New ETFs On On NEO - with the launch of these new index-tracking ETFs, RBC GAM
2017 2017-09 09 Ne New Invesco
ETF F La Launches on
NEO - Invesco received final approval from NEO and Canadian securities regulators to launch the PowerShares 1-10 Year Laddered Investment Grade Corporate Bond Index ETF. 2017 2017-11 11 Invesco
Migrate Powershares ETF ETF Fr From
X To
NEO - Invesco Canada Ltd. intents to change the listing venue for the PowerShares Ultra Liquid Long Term Government Bond Index ETF (PGL) from the Toronto Stock Exchange to NEO
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NEO Exchange Survey presented by Capital Lounge
2017 2017-12 12 Ma Mackenzie ie Glob Global Le Leadership ip Imp mpact ETF ETF La Launches On On NE NEO 2017 2017-12 12 Purpose Investments and Redwoo
itional Approval to to Swit itch the Lis istin ing Venue of
Cer Certain in Cl Close
Funds and and Uni nit-Traded Fun Funds fr from
the TSX TSX to to NE NEO 2017 2017-12 12 Cannabis is Strategie ies Acquis isit itio ion Corp. To To Begin in Tradin ing On On NEO - Cannabis Strategies, a newly organized special purpose acquisition corporation, completed an initial public offer of 125,000,000 USD. 2018 2018-01 01 Pur urpose and and Red edwoo
migr grate and and lau aunch sele elected fund funds on
NEO 2018 2018-02 02 Horizons Launches New Marijuana ETF TF On On NEO - with the launch of the new ETF, represented by the ticker HMJR, Horizons ETFs becomes the ninth ETF provider to list products on NEO. 2018 2018-02 02 AGF Launches Two New ETFs On On NEO - AGF Investments Inc., through AGFiQ Asset Management launched two new ETFs on NEO: the AGFiQ Enhanced Global ESG Factors ETF and the AGFiQ Enhanced Global Infrastructure ETF.
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NEO Exchange Survey presented by Capital Lounge
2018 2018-03 03 Nobil ilis is Healt lth Receiv ives Fin inal Approval To To Lis ist On On NEO - Nobilis Health will be the first corporation to list its shares on both a US- based stock exchange and NEO. 2018 2018-03 03 Invesco Can Canada Ltd. lists tw two ne new ETF ETFs on
NEO 2018 2018-03 03 RBC RBC Glob Global As Asset Man Management Inc
Launches Women’s Le Leadership ip ETF ETF on
NEO 2018 2018-04 04 Evolv lve Ac Activ ive Co Core Fi Fixed ed Inc ncome ETF ETF La Launches on
NEO - Evolve ETFs became the tenth ETF provider to list products on NEO. 2018 2018-04 04 Maple Leaf Green World Inc. to to Graduate from TSXV to to NEO - Maple Leaf is a public Canadian company that focuses on the cannabis industry in North America, operating cannabis projects in British Columbia and Nevada. 2018 2018-04 04 Ether Capit ital Launches on
central business and investment hub for the Ethereum ecosystem.
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NEO Exchange Survey presented by Capital Lounge
2018 2018-09 09 Canada’s Fir irst Bit itcoin in Fund Fund Now Avail ilable le On On NEO Connect - the FBC Bitcoin Trust is the first investment product of its kind in Canada and the only open-ended Bitcoin fund approved by the Canadian regulators. 2018 2018-09 09 Canaccord Genuit ity Growth Corp. Launches on
40 million CAD in its initial public offering. 2018 2018-09 09 Invesco S&P S&P Eur Europ
350 Equ qual Wei eigh ght Ind ndex ETF ETF lau aunches on
NEO 2018 2018-10 10 Starli light Capit ital Launches Its Fir irst ETFs on
Fund and the Starlight Global Real Estate Fund on NEO. 2018 2018-10 10 Halo Labs Launches on
and concentrate products. 2018 2018-10 10 FBC FBC ‘Distributed Ledger Technolo logy Adopters’ ETF Launches on
eleventh ETF provider to list products on NEO.
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NEO Exchange Survey presented by Capital Lounge
2018 2018-10 10 Ni Ninepoi
Alternativ ive Hea Healt lth Fund Fund Avail ilable le On On NE NEO Co Conn nnect 2018 2018-10 10 AGF GF La Launches AGF GFiQ Enh Enhanced Co Core Glob Global Mu Mult lti-Sector Bo Bond ETF ETF on
NEO 2018 2018-10 10 Mount Logan Capit ital Launches on
innovative financial structure with strategic investments in sponsor-backed loans & debt securities across a variety of sectors. 2018 2018-12 12 Ni Ninepoi
Energy PTF TF Avail ilable le on
NEO Co Conn nnect 2018 2018-12 12 Starlight Hybrid Global Real Assets Trust Launches On On NEO - the Starlight Hybrid Global Real Assets Trust has closed its initial public offering (“IPO”) of 28,500,000 CAD comprised of Series A, F, and C Units. 2018 2018-12 12 Fai aircou
Asset Man Management to to Migr Migrate 2 Cl Clos
Funds fr from
the TSX TSX to to NE NEO
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NEO Exchange Survey presented by Capital Lounge
2019 2019-01 01 CM CMI Mo Mortgage Investment Co Corp rpor
ion Fun Fund Availa lable le on
NEO Co Conn nnect 2019 2019-01 01 Sm SmartBe La Launches De Debut ETF ETF (t (the Sm SmartBe Globa Global Valu alue Mo Momentum Tren end Ind ndex ETF ETF) on
NEO 2019 2019-02 02 NEO Connect Welcomes Nin ine PTFs from Provis isus - Provisus is the sixth company to distribute products on NEO Connect, which has allowed fund providers to raise close to $700 million in assets to date. 2019 2019-04 04 Co Colu lumbia ia Care Makes Publi lic Market Debut On On NEO - Opening its first day of trading with a market capitalization over 2 billion CAD, Columbia Care is the first company with an enterprise value of over one billion dollars to list on NEO. 2019 2019-05 05 Mercer Park Brand Acquisition Corp. Lists on
402,500,000 USD in its IPO to target businesses that operate in the cannabis industries. 2019 2019-05 05 Go Gold Min Miners Sp Split it Co Corp
Lists ts On On NE NEO – it is the first closed-end fund from Evolve Funds Group Inc., to list on NEO.
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NEO Exchange Survey presented by Capital Lounge
2019 2019-05 05 Ayr yr Str Strategie ies: U.S. Ver ertic ically ly Integrated Mu Mult lti-state Ope Operator
Cannabis is Ven enture Ma Makes Pub ubli lic Ma Market De Debut 2019 2019-06 06 Fi Fideli lity Launches Fir irst ESG ETF On On NEO - Fidelity Sustainable World ETF leverages a quantitative multi-factor model and seeks to identify and invest in global companies that are believed to have favourable environmental, social and governance. 2019 2019-06 06
Jushi Holdings Makes Public ic Market Debut On On NEO - with a market capitalization of over 370 million USD this integrated multi-state cannabis and hemp operator is the tenth corporate issuer listed on NEO.
2019 2019-07 07 NEO Welcomes Largest Canadia ian SPAC: Subversive Capit ital Acquis isit itio ion Corp. - The newly organized special purpose acquisition corporation (SPAC) raised over 500,000,000 USD making it the largest SPAC IPO in Canadian history. 2019 2019-07 07 Emerge Canada Launches five actively managed thematic funds, which focus on innovative sectors including genomics and biotech, autonomous tech and robotics, AI and big data, and fintech on NEO. 2019 2019-09 09 NE NEO Co Conn nnect Wel elcomes St Ston
Asset Man Management wi with th its ts “The St Ston
Divid idend Gr Growt wth Cl Class PTF”
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NEO Exchange Survey presented by Capital Lounge
2019 2019-09 09 CI CI Fi First As Asset La Launches De Debut ETF ETF on
NEO 2019 2019-10 10 NEO Connect Welcomes AMUR Fin inancia ial Group to distribute its Manchester Investments Mortgage Investment Corporation (“Manchester MIC”) as a platform traded fundTM (PTFTM). 2019 2019-11 11 Merid ida Dual Lis ists on
today on the NEO Exchange. In doing so, Merida has become the first SPAC to dual list and the first NEO and NASDAQ. 2019 2019-11 11 NE NEO Co Conn nnect Wel elcomes An Antrim im Investments And And Canada’s La Largest Res esid identia ial MIC MIC 2019 2019-11 11 Man anzil La Launches Fir First Sh Shariah Co Compliant PTF TF On On NE NEO Co Conn nnect And And Deal DealSquare 2020 2020-01 01 Subversive Real Estate Acquis isit itio ion REIT Lis ists On On NEO – this is newly established Ontario limited partnership and SPAC for the purposes of the rules of the NEO Exchange closed a 200,000,000 USD IPO before.
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NEO Exchange Survey presented by Capital Lounge
2020 2020-03 03 Min MindMed Li Lists on
NEO to to Be Become World’s Fi First Psychedeli lic Pha harmaceutic ical Co Comp mpany to to Go Go Pub ubli lic 2020 2020-03 03 Ceres Acquis isit itio ion Cor
ists on
is newly formed SPAC made its Canadian public markets debut on the NEO Exchange after having closed a 120,000,000 USD initial public offering.
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NEO Exchange Survey presented by Capital Lounge
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NEO Exchange Survey presented by Capital Lounge
On the NEO Exchange, there are currently 3,933 securities tradable, divided into 6 different security classes as shown in the graph below:
Closed-End Funds (2,7%) Common Stocks (70,2%) Exchange Traded Products (25,0%) Ltd Parts (0,2%)
The 3,933 securities represent all Canadian-listed securities. NEO trades stocks listed on the TSX, TSXV, CSE and of course, its own listed securities.
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NEO Exchange Survey presented by Capital Lounge
Beside the securities from TSX, TSXV and CSE, NEO has 13 corporates and over ETFs listed. Below you will find a list of the 15 entities responsible for those ETFS:
0,0% 5,0% 10,0% 15,0% 20,0% 25,0%
CI First Asset Exchange Traded Funds Fidelity Investments SmartBe Wealth Horizons ETFs Faircourt Asset Management Inc. Starlight Capital RBC Global Asset Management AGF Investments 3 BMO Asset Management Evolve Funds Group Inc. Emerge Canada Mackenzie Investments BlackRock Canada Invesco Canada Purpose Investments
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NEO Exchange Survey presented by Capital Lounge
The 13 listed corporations – so far – have their origin in Canada with a few exceptions of companies with roots in the USA. ISS ISSUER INDU INDUSTRY AUD UDITOR ACC CCOUNTING TRANSFER A. LE LEGAL PLA PLACEMENT TYP YPE
Canaccord Genuity Growth II Cannabis Deloitte IFRS Odyssey Trust Company Goodmans LLP 87.000.000 USD (IPO) SPAC Ceres Acquisition Cannabis MNP IFRS Odyssey Trust Company Stikeman Elliott LLP 120.000.000 USD (IPO) SPAC Columbia Care Cannabis Deloitte IFRS Odyssey Trust Company nA 85.100.000 USD (PP) SPAC Ether Capital Crypto Investor KPMG IFRS TSX Trust Company nA 50.000000 CAD (PP) Reverse IPO Halo Labs Cannabis Davidson & Company CPA Odyssey Trust Company Dentons Canada LLP 46.256.699 USD (IPO) Reverse IPO Maple Leaf Green World Cannabis Geib & Company CAGAAS Odyssey Trust Company nA nil Graduation / Migration Mercer Park Brand Acq. Brand Holding MNP CAGAAS Odyssey Trust Company Goodmans LLP 350.000.000 USD (IPO) SPAC Merida Merger Corp. I Cannabis Marcum PCAOB TSX Trust Company Marcum LLP 100.000.000 USD (IPO) Blank Check Company Mind Medicine BioTech RSM Canada IFRS nA nA 32.044.668 CAD (PP) Reverse IPO Mount Logan Capital Inc. Debt Investor KPMG IFRS nA nA 16.000.000 USD (PP) Reverse IPO Starlight Capital Real Estate Deloitte IFRS TSX Trust Company Blake, Cassels & Graydon LLP 100.000.000 USD (IPO) Trust Subversive Capital AcquisitionCannabis Deloitte IFRS Odyssey Trust Company Blake, Cassels & Graydon LLP 500.000.000 USD (IPO) SPAC Subversive Real Estate Acq. Real Estate Deloitte IFRS Alberta Goodmans LLP 200.000.000 USD (IPO) SPAC
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NEO Exchange Survey presented by Capital Lounge
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NEO Exchange Survey presented by Capital Lounge
The 13 listed corporations – so far – have their origin in Canada with a few exceptions of companies with roots in the USA.
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NEO Exchange Survey presented by Capital Lounge
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NEO Exchange Survey presented by Capital Lounge
Inc ncorpor
ion Li Listin ing Web ebsit ite ISIN SIN Quo uote Sh Shares Mar Market Ca Cap Fr Free-flo float Li Listin ing g Abr Abroad
01/11/2018 04/19/2018 www.ethcap.co CA29764T1012 0.28 CAD 22,985,164 6,435,845 CAD 84.314% yes
35 Ownership Type: Geographic:
Individual 89.88% Unknown 100.00% Other 10.12%
NEO Exchange Survey presented by Capital Lounge
Inc ncorpor
ion Li Listin ing Web ebsit ite ISIN SIN Quo uote Sh Shares Mar Market Ca Cap Fr Free-flo float Li Listin ing g Abr Abroad
10/04/2012 04/20/2018 www.mlgreenworld.com CA5652971089 0.06 CAD 158,785,302 9,527,118 CAD 96.515% yes
Maple Leaf Green World Inc.
36 Ownership Type: Geographic:
Individual 100.00% Unknown 100.00%
NEO Exchange Survey presented by Capital Lounge
Inc ncorpor
ion Li Listin ing Web ebsit ite ISIN SIN Quo uote Sh Shares Mar Market Ca Cap Fr Free-flo float Li Listin ing g Abr Abroad
09/28/2018 10/03/2018 www.halocanna.com CA4063721027 0.14 CAD 427,140,145 59,799,620 CAD 95.078% yes
37 Ownership Type: Geographic:
Individual 74.68% Unknown 88.06% Other 13.38% USA 8.83%
8.83% Canada 2.27% Unclassified 2.27% Israel 0.85% Brokerage 0.85%
NEO Exchange Survey presented by Capital Lounge
Inc ncorpor
ion Li Listin ing Web ebsit ite ISIN SIN Quo uote Sh Shares Mar Market Ca Cap Fr Free-flo float Li Listin ing g Abr Abroad
10/19/2018 10/25/2018 www.mountlogancapital.ca CA6218862093 2.81 CAD 29,800,710 59,799,620 CAD 92.220% yes
38 Ownership Type: Geographic:
58.60% USA 46.01% Hedge Funds 16.92% Canada 29.51% Others 13.45% Unknown 24.48% Individual 11.03%
NEO Exchange Survey presented by Capital Lounge
Inc ncorpor
ion Li Listin ing Web ebsit ite ISIN SIN Quo uote Sh Shares Mar Market Ca Cap Fr Free-flo float Li Listin ing g Abr Abroad
10/11/2018 12/13/2018 www.starlightcapital.com CA85555G1046 7.56 CAD nA nA nA no
39 Ownership Type: Geographic:
Unknown 100.00% Unknown 100.00%
NEO Exchange Survey presented by Capital Lounge
Inc ncorpor
ion Li Listin ing Web ebsit ite ISIN SIN Quo uote Sh Shares Mar Market Ca Cap Fr Free-flo float Li Listin ing g Abr Abroad
03/13/2019 04/05/2019 www.canaccordgenuity.com CA85555G1046 2.92 CAD 33,350,000 97,382,000 CAD 99.849% no
40 Ownership Type: Geographic:
56.09% Canada 56.09% Individual 38.06% Unkown 43.91% Other 5.86%
NEO Exchange Survey presented by Capital Lounge
Inc ncorpor
ion Li Listin ing Web ebsit ite ISIN SIN Quo uote Sh Shares Mar Market Ca Cap Fr Free-flo float Li Listin ing g Abr Abroad
08/13/2018 04/29/2019 www.col-care.com CA1973091079 2.34 CAD 216,096,354 505,665,468 CAD 93.234% yes
41 Ownership Type: Geographic:
Other 76.43% Unkown 94.97% Individual 18.55% Canada 4.36% Unclassified 2.47% Israel 0.57%
1.98% USA 0.10% Brokerage 0.57%
NEO Exchange Survey presented by Capital Lounge
Inc ncorpor
ion Li Listin ing Web ebsit ite ISIN SIN Quo uote Sh Shares Mar Market Ca Cap Fr Free-flo float Li Listin ing g Abr Abroad
04/16/2019 05/13/2019 www.mercerparklp.com CA58810P1027 9.70 CAD 40,250,000 390,425,000 CAD 100.000% no
42 Ownership Type: Geographic:
Hedge Funds 81.78% Canada 100.00%
18.22%
NEO Exchange Survey presented by Capital Lounge
Inc ncorpor
ion Li Listin ing Web ebsit ite ISIN SIN Quo uote Sh Shares Mar Market Ca Cap Fr Free-flo float Li Listin ing g Abr Abroad
06/17/2019 08/26/2019 www.subversivecapital.com CA8642961087 9.89 CAD 57,500,000 568,675,000 CAD 100.000% no
43 Ownership Type: Geographic:
Hedge Funds 67.46% Canada 72.64%
16.29% USA 27.36% Private Equity 16.25%
NEO Exchange Survey presented by Capital Lounge
Inc ncorpor
ion Li Listin ing Web ebsit ite ISIN SIN Quo uote Sh Shares Mar Market Ca Cap Fr Free-flo float Li Listin ing g Abr Abroad
06/20/2019 11/07/2019 www.meridacap.com US58953M1062 9.65 CAD 16,571,552 159,915,477 CAD 80.386% no
44 Ownership Type: Geographic:
Hedge Funds 59.90% USA 62.89% Other 22.13% Unknown 22.13%
11.44% Canada 11.44% Brokerage 0.48% UK 3.27% Switzerland 0.27%
NEO Exchange Survey presented by Capital Lounge
Inc ncorpor
ion Li Listin ing Web ebsit ite ISIN SIN Quo uote Sh Shares Mar Market Ca Cap Fr Free-flo float Li Listin ing g Abr Abroad
11/12/2019 01/08/2020 www.subversivecapital.com CA8642982034 9.74 CAD 22,500,000 219,150,000 CAD 100.000% no
45 Ownership Type: Geographic:
Unknown 100.00% Unknown 100.00%
NEO Exchange Survey presented by Capital Lounge
Inc ncorpor
ion Li Listin ing Web ebsit ite ISIN SIN Quo uote Sh Shares Mar Market Ca Cap Fr Free-flo float Li Listin ing g Abr Abroad
02/25/2020 03/03/2020 www.mindmed.co CA60255C1095 0.63 CAD 287,617,544 181,199,053 CAD 99.710% yes
46
Ownership Type: Geographic:
Other 89.17% Unknown 100.00% Individual 10.83%
NEO Exchange Survey presented by Capital Lounge
Inc ncorpor
ion Li Listin ing Web ebsit ite ISIN SIN Quo uote Sh Shares Mar Market Ca Cap Fr Free-flo float Li Listin ing g Abr Abroad
01/29/2020 03/03/2020 www.ceresacquisition.com CA1567342045 9.74 CAD 12,000,000 116,880,000 CAD 100.000% yes
47 Ownership Type: Geographic:
Unknown 100.00% Unknown 100.00%
NEO Exchange Survey
presented by Capital Lounge GmbH Managing Director Alexander Coenen eMail coenen@capitallounge.de URL https://www.capitallounge.de Phone: 0049 151 5 88 88 8 26