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SEDI Insider filing browser
| Date | Issuer | Insider | Transaction | Amount | New Balance ⓘ
The balance of securities held by registered holder at the time of the transaction. Insiders may direct multiple registered holders and hold multiple security types.
|
|
|---|---|---|---|---|---|---|
| Filed 2020-04-22 11:36 Tx date 2020-04-15 |
$
Brompton Oil Split Corp. |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Class A Shares
38 - Redemption, retraction, cancellation, repurchase
|
-6,543 vol |
2,754 | |
| Filed 2020-04-17 13:32 Tx date 2020-04-15 |
$
Brompton Oil Split Corp. |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Class A Shares
38 - Redemption, retraction, cancellation, repurchase
|
-6,542 vol |
||
| Filed 2020-04-17 13:32 Tx date 2020-04-15 |
$
Brompton Oil Split Corp. |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Class A Shares
38 - Redemption, retraction, cancellation, repurchase
|
-6,542 vol |
2,755 | |
| Filed 2020-01-10 14:28 Tx date 2019-12-31 |
$LBS
Life & Banc Split Corp. |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Class A Shares
30 - Acquisition or disposition under a purchase/ownership plan
|
$1,636
+212 vol $7.72 each |
2,212 | |
| Filed 2020-01-10 14:26 Tx date 2019-12-31 |
$SSF
Symphony Floating Rate Senior Loan Fund |
Kikuchi, Craig
4 - Director of Issuer, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Direct Ownership
|
Units Class A
30 - Acquisition or disposition under a purchase/ownership plan
|
$6,501
+790 vol $8.23 each |
11,336 | |
| Filed 2020-01-10 14:25 Tx date 2019-12-31 |
$SSF
Symphony Floating Rate Senior Loan Fund |
Kikuchi, Craig
4 - Director of Issuer, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Holder: RRSP (Control or Direction)
|
Units Class A
30 - Acquisition or disposition under a purchase/ownership plan
|
$4,913
+597 vol $8.23 each |
8,588 | |
| Filed 2020-01-10 14:23 Tx date 2019-12-31 |
$FFIUN
Flaherty & Crumrine Investment Grade Preferred Income Fund |
Kikuchi, Craig
8 - Deemed Insider - 6 Months before becoming Insider, 4 - Director of Issuer, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Holder: Scotia RRSP (Control or Direction)
|
Trust Units
30 - Acquisition or disposition under a purchase/ownership plan
|
$2,936
+231 vol $12.71 each |
5,317 | |
| Filed 2019-10-29 11:17 Tx date 2019-10-28 |
$
Brompton Oil Split Corp. |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Holder: TFSA (Control or Direction)
|
Class A Shares
10 - Acquisition or disposition in the public market
|
$-7,830
-5,800 vol $1.35 each |
0 | |
| Filed 2019-10-23 14:28 Tx date 2019-10-22 |
$
Brompton Oil Split Corp. |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Holder: TFSA (Control or Direction)
|
Class A Shares
10 - Acquisition or disposition in the public market
|
$-4,455
-3,300 vol $1.35 each |
5,800 | |
| Filed 2019-04-29 14:07 Tx date 2019-04-29 |
$LBS
Life & Banc Split Corp. |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Preferred Shares
10 - Acquisition or disposition in the public market
|
$25,200
+2,500 vol $10.08 each |
12,100 | |
| Filed 2019-04-24 13:15 Tx date 2019-04-23 |
$
European Dividend Growth Fund |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Units
36 - Conversion or exchange
|
-6,902 vol |
0 | |
| Filed 2019-04-24 13:15 Tx date 2019-04-23 |
$
European Dividend Growth Fund |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Units
30 - Acquisition or disposition under a purchase/ownership plan
|
$1,128
+128 vol $8.82 each |
6,902 | |
| Filed 2019-04-04 09:25 Tx date 2019-04-04 |
$LBS
Life & Banc Split Corp. |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Holder: RESP (Control or Direction)
|
Preferred Shares
15 - Acquisition or disposition under a prospectus
|
$20,000
+2,000 vol $10.00 each |
2,900 | |
| Filed 2019-04-04 09:23 Tx date 2019-04-04 |
$LBS
Life & Banc Split Corp. |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Class A Shares
15 - Acquisition or disposition under a prospectus
|
$16,200
+2,000 vol $8.10 each |
2,000 | |
| Filed 2019-03-29 Tx date 2019-03-28 |
$
Brompton Oil Split Corp. |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Holder: RESP (Control or Direction)
|
Preferred Shares
10 - Acquisition or disposition in the public market
|
$-17,993
-1,900 vol $9.47 each |
0 | |
| Filed 2019-02-21 Tx date 2019-02-19 |
$
Brompton 2017 Flow-Through Limited Partnership |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Limited Partnership Units
38 - Redemption, retraction, cancellation, repurchase
|
-800 vol |
0 | |
| Filed 2019-01-30 Tx date 2019-01-15 |
$TOF
Taylor North American Equity Opportunities Fund |
Kikuchi, Craig
4 - Director of Issuer, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Holder: RESP (Control or Direction)
|
Units
30 - Acquisition or disposition under a purchase/ownership plan
|
$36.84
+4 vol $9.21 each |
749 | |
| Filed 2019-01-30 Tx date 2019-01-15 |
$TOF
Taylor North American Equity Opportunities Fund |
Kikuchi, Craig
4 - Director of Issuer, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Direct Ownership
|
Units
30 - Acquisition or disposition under a purchase/ownership plan
|
$212.29
+23 vol $9.23 each |
4,200 | |
| Filed 2019-01-30 Tx date 2019-01-29 |
$TOF
Taylor North American Equity Opportunities Fund |
Kikuchi, Craig
4 - Director of Issuer, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Holder: RESP (Control or Direction)
|
Units
22 - Acquisition or disposition pursuant to a take-over bid, merger or acquisition
|
-749 vol |
0 | |
| Filed 2019-01-30 Tx date 2019-01-29 |
$TOF
Taylor North American Equity Opportunities Fund |
Kikuchi, Craig
4 - Director of Issuer, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Direct Ownership
|
Units
22 - Acquisition or disposition pursuant to a take-over bid, merger or acquisition
|
-4,200 vol |
0 | |
| Filed 2019-01-16 Tx date 2018-12-31 |
$
Brompton Oil Split Corp. |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Class A Shares
30 - Acquisition or disposition under a purchase/ownership plan
|
$3,569
+532 vol $6.71 each |
9,297 | |
| Filed 2019-01-16 Tx date 2018-12-31 |
$
European Dividend Growth Fund |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Units
30 - Acquisition or disposition under a purchase/ownership plan
|
$2,471
+274 vol $9.02 each |
6,774 | |
| Filed 2019-01-16 Tx date 2018-12-31 |
$ERM
Eclipse Residential Mortgage Investment Corporation |
Kikuchi, Craig
5 - Senior Officer of Issuer
Holder: RRSP (Control or Direction)
|
Common Shares
30 - Acquisition or disposition under a purchase/ownership plan
|
$2,311
+241 vol $9.59 each |
3,278 | |
| Filed 2019-01-16 Tx date 2018-12-31 |
$FFIUN
Flaherty & Crumrine Investment Grade Preferred Income Fund |
Kikuchi, Craig
8 - Deemed Insider - 6 Months before becoming Insider, 4 - Director of Issuer, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Holder: Scotia RRSP (Control or Direction)
|
Trust Units
30 - Acquisition or disposition under a purchase/ownership plan
|
$3,249
+264 vol $12.31 each |
5,086 | |
| Filed 2019-01-16 Tx date 2018-12-31 |
$TOF
Taylor North American Equity Opportunities Fund |
Kikuchi, Craig
4 - Director of Issuer, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Holder: RESP (Control or Direction)
|
Units
30 - Acquisition or disposition under a purchase/ownership plan
|
$397.38
+37 vol $10.74 each |
745 | |
| Filed 2019-01-16 Tx date 2018-12-31 |
$TOF
Taylor North American Equity Opportunities Fund |
Kikuchi, Craig
4 - Director of Issuer, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Direct Ownership
|
Units
30 - Acquisition or disposition under a purchase/ownership plan
|
$2,457
+228 vol $10.78 each |
4,177 | |
| Filed 2019-01-16 Tx date 2018-12-31 |
$SSF
Symphony Floating Rate Senior Loan Fund |
Kikuchi, Craig
4 - Director of Issuer, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Holder: RRSP (Control or Direction)
|
Units Class A
30 - Acquisition or disposition under a purchase/ownership plan
|
$4,556
+519 vol $8.78 each |
7,991 | |
| Filed 2019-01-16 Tx date 2018-12-31 |
$SSF
Symphony Floating Rate Senior Loan Fund |
Kikuchi, Craig
4 - Director of Issuer, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Direct Ownership
|
Units Class A
30 - Acquisition or disposition under a purchase/ownership plan
|
$5,586
+637 vol $8.77 each |
10,546 | |
| Filed 2018-12-03 Tx date 2006-10-17 |
$LBS
Life & Banc Split Corp. |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Holder: RESP (Control or Direction)
|
Preferred Shares
00 - Opening Balance-Initial SEDI Report
|
|||
| Filed 2018-12-03 Tx date 2018-12-03 |
$LBS
Life & Banc Split Corp. |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Preferred Shares
15 - Acquisition or disposition under a prospectus
|
$21,000
+2,100 vol $10.00 each |
9,600 | |
| Filed 2018-12-03 Tx date 2018-12-03 |
$LBS
Life & Banc Split Corp. |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Holder: RESP (Control or Direction)
|
Preferred Shares
15 - Acquisition or disposition under a prospectus
|
$9,000
+900 vol $10.00 each |
900 | |
| Filed 2018-11-26 Tx date 2018-11-23 |
$
Brompton Oil Split Corp. |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Holder: TFSA (Control or Direction)
|
Class A Shares
10 - Acquisition or disposition in the public market
|
$20,657
+9,100 vol $2.27 each |
9,100 | |
| Filed 2018-11-26 Tx date 2015-01-30 |
$
Brompton Oil Split Corp. |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Holder: TFSA (Control or Direction)
|
Class A Shares
00 - Opening Balance-Initial SEDI Report
|
|||
| Filed 2018-09-28 Tx date 2018-09-28 |
$LBS
Life & Banc Split Corp. |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Preferred Shares
10 - Acquisition or disposition in the public market
|
$25,125
+2,500 vol $10.05 each |
7,500 | |
| Filed 2018-07-26 Tx date 2018-07-25 |
$LBS
Life & Banc Split Corp. |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Preferred Shares
10 - Acquisition or disposition in the public market
|
$11,088
+1,100 vol $10.08 each |
5,000 | |
| Filed 2018-07-26 Tx date 2018-07-25 |
$LBS
Life & Banc Split Corp. |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Preferred Shares
10 - Acquisition or disposition in the public market
|
$39,234
+3,900 vol $10.06 each |
3,900 | |
| Filed 2018-04-12 Tx date 2018-04-12 |
$
European Dividend Growth Fund |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Units
10 - Acquisition or disposition in the public market
|
$27,599
+3,000 vol $9.20 each |
6,500 | |
| Filed 2018-02-15 Tx date 2018-02-08 |
$SSF
Symphony Floating Rate Senior Loan Fund |
Kikuchi, Craig
4 - Director of Issuer, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Direct Ownership
|
Units Class A
22 - Acquisition or disposition pursuant to a take-over bid, merger or acquisition
|
+4,574 vol |
9,909 | |
| Filed 2018-02-15 Tx date 2018-02-08 |
$SSF
Symphony Floating Rate Senior Loan Fund |
Kikuchi, Craig
4 - Director of Issuer, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Direct Ownership
|
Units Class A
22 - Acquisition or disposition pursuant to a take-over bid, merger or acquisition
|
+4,551 vol |
||
| Filed 2018-02-09 Tx date 2018-02-08 |
$SSF
Symphony Floating Rate Senior Loan Fund |
Kikuchi, Craig
4 - Director of Issuer, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Direct Ownership
|
Units Class A
22 - Acquisition or disposition pursuant to a take-over bid, merger or acquisition
|
+4,551 vol |
9,886 | |
| Filed 2018-02-09 Tx date 2018-02-08 |
$
Goldman Sachs U.S. Income Builder Trust |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Units Class A
22 - Acquisition or disposition pursuant to a take-over bid, merger or acquisition
|
-4,911 vol |
0 | |
| Filed 2018-02-08 Tx date 2017-12-31 |
$SSF
Symphony Floating Rate Senior Loan Fund |
Kikuchi, Craig
4 - Director of Issuer, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Direct Ownership
|
Units Class A
30 - Acquisition or disposition under a purchase/ownership plan
|
$3,028
+335 vol $9.04 each |
5,335 | |
| Filed 2018-02-08 Tx date 2017-12-31 |
$TOF
Taylor North American Equity Opportunities Fund |
Kikuchi, Craig
4 - Director of Issuer, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Holder: RESP (Control or Direction)
|
Units
30 - Acquisition or disposition under a purchase/ownership plan
|
$311.00
+25 vol $12.44 each |
708 | |
| Filed 2018-02-08 Tx date 2017-12-31 |
$TOF
Taylor North American Equity Opportunities Fund |
Kikuchi, Craig
4 - Director of Issuer, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Direct Ownership
|
Units
30 - Acquisition or disposition under a purchase/ownership plan
|
$2,328
+187 vol $12.45 each |
3,949 | |
| Filed 2018-02-08 Tx date 2017-12-31 |
$
Brompton Oil Split Corp. |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Class A Shares
30 - Acquisition or disposition under a purchase/ownership plan
|
$5,824
+671 vol $8.68 each |
8,765 | |
| Filed 2018-02-08 Tx date 2017-12-31 |
$ERM
Eclipse Residential Mortgage Investment Corporation |
Kikuchi, Craig
5 - Senior Officer of Issuer
Holder: RRSP (Control or Direction)
|
Common Shares
30 - Acquisition or disposition under a purchase/ownership plan
|
$366.30
+37 vol $9.90 each |
3,037 | |
| Filed 2018-02-08 Tx date 2017-12-31 |
$FFIUN
Flaherty & Crumrine Investment Grade Fixed Income Fund |
Kikuchi, Craig
8 - Deemed Insider - 6 Months before becoming Insider, 4 - Director of Issuer, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Holder: Scotia RRSP (Control or Direction)
|
Trust Units
30 - Acquisition or disposition under a purchase/ownership plan
|
$4,600
+360 vol $12.78 each |
4,822 | |
| Filed 2018-02-08 Tx date 2017-12-31 |
$SSF
Symphony Floating Rate Senior Loan Fund |
Kikuchi, Craig
4 - Director of Issuer, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Holder: RRSP (Control or Direction)
|
Units Class A
30 - Acquisition or disposition under a purchase/ownership plan
|
$4,271
+472 vol $9.05 each |
7,472 | |
| Filed 2018-02-02 Tx date 2017-12-31 |
$
Goldman Sachs U.S. Income Builder Trust |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Units Class A
30 - Acquisition or disposition under a purchase/ownership plan
|
$2,320
+293 vol $7.92 each |
4,911 | |
| Filed 2018-01-12 Tx date 2018-01-12 |
$
European Dividend Growth Fund |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Units
10 - Acquisition or disposition in the public market
|
$34,125
+3,500 vol $9.75 each |
3,500 | |
| Filed 2018-01-12 Tx date 2017-06-26 |
$
European Dividend Growth Fund |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Units
00 - Opening Balance-Initial SEDI Report
|
|||
| Filed 2017-09-22 Tx date 2013-05-30 |
$ERM
Eclipse Residential Mortgage Investment Corporation |
Kikuchi, Craig
5 - Senior Officer of Issuer
Holder: RRSP (Control or Direction)
|
Common Shares
00 - Opening Balance-Initial SEDI Report
|
|||
| Filed 2017-09-22 Tx date 2017-09-21 |
$ERM
Eclipse Residential Mortgage Investment Corporation |
Kikuchi, Craig
5 - Senior Officer of Issuer
Holder: RRSP (Control or Direction)
|
Common Shares
15 - Acquisition or disposition under a prospectus
|
$30,599
+3,000 vol $10.20 each |
3,000 | |
| Filed 2017-03-06 Tx date 2017-03-06 |
$
Brompton 2017 Flow-Through Limited Partnership |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Limited Partnership Units
15 - Acquisition or disposition under a prospectus
|
$20,000
+800 vol $25.00 each |
||
| Filed 2017-03-06 Tx date 2017-03-06 |
$
Brompton 2017 Flow-Through Limited Partnership |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Limited Partnership Units
15 - Acquisition or disposition under a prospectus
|
$20,000
+800 vol $25.00 each |
800 | |
| Filed 2017-03-01 Tx date 2017-02-27 |
$
Brompton 2017 Flow-Through Limited Partnership |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Limited Partnership Units
00 - Opening Balance-Initial SEDI Report
|
|||
| Filed 2017-02-14 Tx date 2017-02-13 |
$
Brompton 2015 Flow-Through Limited Partnership |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Limited Partnership Units
38 - Redemption, retraction, cancellation, repurchase
|
-600 vol |
0 | |
| Filed 2017-02-09 Tx date 2016-12-31 |
$FFIUN
Flaherty & Crumrine Investment Grade Fixed Income Fund |
Kikuchi, Craig
8 - Deemed Insider - 6 Months before becoming Insider, 4 - Director of Issuer, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Holder: Scotia RRSP (Control or Direction)
|
Trust Units
30 - Acquisition or disposition under a purchase/ownership plan
|
$4,678
+387 vol $12.09 each |
4,462 | |
| Filed 2017-02-09 Tx date 2016-12-31 |
$TOF
Taylor North American Equity Opportunities Fund |
Kikuchi, Craig
4 - Director of Issuer, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Holder: RESP (Control or Direction)
|
Units
30 - Acquisition or disposition under a purchase/ownership plan
|
$376.25
+35 vol $10.75 each |
683 | |
| Filed 2017-02-09 Tx date 2016-12-31 |
$TOF
Taylor North American Equity Opportunities Fund |
Kikuchi, Craig
4 - Director of Issuer, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Direct Ownership
|
Units
30 - Acquisition or disposition under a purchase/ownership plan
|
$2,199
+205 vol $10.73 each |
3,762 | |
| Filed 2017-02-09 Tx date 2016-12-31 |
$
Goldman Sachs U.S. Income Builder Trust |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Units Class A
30 - Acquisition or disposition under a purchase/ownership plan
|
$2,181
+280 vol $7.79 each |
4,618 | |
| Filed 2016-11-11 Tx date 2016-11-10 |
$SSF
Symphony Floating Rate Senior Loan Fund |
Kikuchi, Craig
4 - Director of Issuer, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Holder: RRSP (Control or Direction)
|
Units Class A
10 - Acquisition or disposition in the public market
|
$21,700
+2,500 vol $8.68 each |
7,000 | |
| Filed 2016-11-11 Tx date 2016-11-10 |
$SSF
Symphony Floating Rate Senior Loan Fund |
Kikuchi, Craig
4 - Director of Issuer, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Holder: RRSP (Indirect Ownership)
|
Units Class A
10 - Acquisition or disposition in the public market
|
$21,700
+2,500 vol $8.68 each |
||
| Filed 2016-09-28 Tx date 2016-09-28 |
$
Brompton Oil Split Corp. |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Class A Shares
10 - Acquisition or disposition in the public market
|
$25,050
+3,000 vol $8.35 each |
8,094 | |
| Filed 2016-09-20 Tx date 2016-09-16 |
$
Brompton Corp. (formerly Duntroon Energy Ltd.) |
Kikuchi, Craig
6 - Director or Senior Officer of 10% Security Holder, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Direct Ownership
|
Class A Common Shares
11 - Acquisition or disposition carried out privately
|
$35,749
+3,001 vol $11.91 each |
28,934 | |
| Filed 2016-09-20 Tx date 2016-09-19 |
$
Brompton Corp. (formerly Duntroon Energy Ltd.) |
Kikuchi, Craig
6 - Director or Senior Officer of 10% Security Holder, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Direct Ownership
|
Class A Common Shares
11 - Acquisition or disposition carried out privately
|
$35,749
+3,001 vol $11.91 each |
||
| Filed 2016-09-19 Tx date 2016-09-19 |
$
Brompton Corp. (formerly Duntroon Energy Ltd.) |
Kikuchi, Craig
6 - Director or Senior Officer of 10% Security Holder, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Direct Ownership
|
Class A Common Shares
11 - Acquisition or disposition carried out privately
|
$35,749
+3,001 vol $11.91 each |
28,934 | |
| Filed 2016-06-27 Tx date 2016-06-27 |
$
Brompton Oil Split Corp. |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Preferred Shares
10 - Acquisition or disposition in the public market
|
$19,300
+2,000 vol $9.65 each |
5,094 | |
| Filed 2016-05-06 Tx date 2016-05-06 |
$
Brompton Oil Split Corp. |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Holder: RESP (Control or Direction)
|
Preferred Shares
10 - Acquisition or disposition in the public market
|
$18,240
+1,900 vol $9.60 each |
1,900 | |
| Filed 2016-05-06 Tx date 2015-01-30 |
$
Brompton Oil Split Corp. |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Holder: RESP (Control or Direction)
|
Preferred Shares
00 - Opening Balance-Initial SEDI Report
|
|||
| Filed 2016-03-16 Tx date 2016-03-14 |
$
Brompton 2014 Flow-Through Limited Partnership |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Limited Partnership Units
38 - Redemption, retraction, cancellation, repurchase
|
-600 vol |
0 | |
| Filed 2016-02-18 Tx date 2015-12-31 |
$TOF
Taylor North American Equity Opportunities Fund |
Kikuchi, Craig
4 - Director of Issuer, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Holder: RESP (Indirect Ownership)
|
Units
30 - Acquisition or disposition under a purchase/ownership plan
|
$299.26
+26 vol $11.51 each |
648 | |
| Filed 2016-02-18 Tx date 2015-12-31 |
$TOF
Taylor North American Equity Opportunities Fund |
Kikuchi, Craig
4 - Director of Issuer, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Direct Ownership
|
Units
30 - Acquisition or disposition under a purchase/ownership plan
|
$2,065
+179 vol $11.54 each |
3,557 | |
| Filed 2016-02-18 Tx date 2015-12-31 |
$
Goldman Sachs U.S. Income Builder Trust |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Units Class A
30 - Acquisition or disposition under a purchase/ownership plan
|
$2,048
+241 vol $8.50 each |
4,338 | |
| Filed 2016-02-18 Tx date 2015-12-31 |
$FFIUN
Flaherty & Crumrine Investment Grade Fixed Income Fund |
Kikuchi, Craig
8 - Deemed Insider - 6 Months before becoming Insider, 4 - Director of Issuer, 7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6), 5 - Senior Officer of Issuer
Holder: Scotia RRSP (Indirect Ownership)
|
Trust Units
30 - Acquisition or disposition under a purchase/ownership plan
|
$4,072
+315 vol $12.93 each |
4,075 | |
| Filed 2015-05-29 Tx date 2015-05-28 |
$
Brompton Oil Split Corp. |
Kikuchi, Craig
4 - Director of Issuer, 5 - Senior Officer of Issuer
Direct Ownership
|
Class A Shares
10 - Acquisition or disposition in the public market
|
$26,480
+2,000 vol $13.24 each |
5,094 |