27 Documents to be filed ALL APPLICANTS TSX Personal information form and consent for disclosure of criminal record information form (collectively, a PIF / form 4) Must be completed by every individual who will, at the time of listing: • be an officer or director of the applicant; or • beneficially own or control, directly or indirectly, securities carrying greater than 10% of the voting rights attached to all outstanding voting securities of the applicant. Any officer or director who has submitted a PIF to TSX (or TSXV) within the last 36 months, in connection with any company, can instead file a Statutory Declaration Form and a Consent for Disclosure of Criminal Record Information Form if the information provided on the PIF has not changed. In the context of the listing of a special purpose issuer, where an individual has submitted a PIF to either Exchange within the last 12 months and the information on the PIF has not changed, that individual will not have to provide either a PIF or a Statutory Declaration Form and a Consent for Disclosure of Criminal Record Information Form. There may be additional costs to conduct searches on individuals living outside of Canada, the United States, the United Kingdom and Australia. These will be charged to, and must be paid by, the applicant. Financial statements Unless they are already included in the Principal Listing Document or available on SEDAR, all applicants must provide: 1. Audited financial statements for the most recently completed fiscal year, signed by two directors of the applicant on behalf of its board of directors (board). 2. Unaudited financial statements for the most recently completed financial quarter, signed by two directors of the applicant on behalf of its board. Additionally, if the applicant has recently (within the current or immediately preceding year) completed, or proposes to soon complete, a transaction (such as a business acquisition or a significant disposition) which would materially affect their financial position or operating results, pro forma financial statements that give effect to the transaction must be submitted. Specifically, the applicant must submit: • A pro forma balance sheet as of the date of the most recent balance sheet included in the Principal Listing Document. This must reflect the impact of the significant transaction as if it had occurred at that date. • A pro forma income statement which reflects the impact of the significant transaction as if it had taken place at the beginning of the most recently completed financial year for which audited financial statements are included in the Principal Listing Document. • A pro forma income statement for the most recently completed interim period for which financial statements are included in the Principal Listing Document. This must reflect the impact of the significant transaction as if it had taken place.
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