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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