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TSX Venture Exchange Stock Maintenance Bulletins

VANCOUVER , Nov. 12, 2019 /CNW/ -

TSX VENTURE COMPANIES

ATHABASCA MINERALS INC. ("AMI")
ATHABASCA MINERALS INC. [formerly ("ABM")]
BULLETIN TYPE:  Symbol Change
BULLETIN DATE:  November 12, 2019
TSX Venture Tier 2 Company

Effective at the opening November 15, 2019 , the trading symbol for Athabasca Minerals Inc. will change from ('ABM') to ('AMI').  There is no change in the company's name, no change in its CUSIP number and no consolidation of capital. The Company is classified as a 'Mining' company.

For further information, please see the Company's press release dated November 12, 2019 .

________________________________________

CANADA ENERGY PARTNERS INC ("CE.H")
[formerly CANADA ENERGY PARTNERS INC ("CE")]
BULLETIN TYPE: Transfer and New Addition to NEX, Symbol Change
BULLETIN DATE: November 12, 2019
TSX Venture Tier 2 Company

In accordance with TSX Venture Policy 2.5, the Company has not maintained the requirements for a TSX Venture Tier 2 company. Therefore, effective at the opening on Thursday, November 14, 2019 , the Company's listing will transfer to NEX, the Company's Tier classification will change from Tier 2 to NEX, and the Filing and Service Office will change from Vancouver to NEX.

As of November 14, 2019 , the Company is subject to restrictions on share issuances and certain types of payments as set out in the NEX policies.

The trading symbol for the Company will change from CE to CE.H. There is no change in the Company's name, no change in its CUSIP number and no consolidation of capital. The symbol extension differentiates NEX symbols from Tier 1 or Tier 2 symbols within the TSX Venture market.

___________________________________________

H2O INNOVATION INC. ("HEO") ("HEO.WT")
BULLETIN TYPE:  Prospectus-Unit Offering, New Listing-Warrants
BULLETIN DATE:  November 12, 2019
TSX Venture Tier 2 Company
Prospectus-Unit Offering

The short form prospectus (the "Prospectus") dated November 6, 2019 of H2O Innovation Inc. (the "Company"), was filed with and accepted by TSX Venture Exchange (the "Exchange") and filed and receipted by the securities regulatory authorities in each of the provinces and in Canada , pursuant to the provisions of the applicable securities acts. 

Underwriters:

Desjardins Securities Inc. and Canaccord Genuity Corp. (the "Co-Lead Underwriters"), together with Acumen Capital Finance Partners Limited, Beacon Securities Limited, Industrial Alliance Securities and Haywood Securities Inc. (collectively the "Underwriters")



Offering:

The offering (the "Prospectus Offering") consists in 13,335,000 subscription receipts (the "Subscription Receipts") at the price of $1.05 per Subscription Receipt




Each Subscription Receipt will entitle the holder thereof to automatically receive one unit (the "Unit") without payment of additional consideration or further action, upon: (i) the satisfaction or waiver of the conditions to be met prior to the completion of the acquisition of Genesys Holdings Limited, Genesys International Limited, Genesys Manufacturing Limited and Genesys North America, LLC. (the "Acquisition") and; (ii) delivery of the Escrow Release Notice to AST Trust Company (Canada) (the "Subscription Receipt Agent") (collectively, the "Escrow Release Conditions")




Each Unit will consist of one common share and one-half of one common share purchase warrant (the "Warrant"). Each whole Warrant will entitle the holder to purchase one additional common share at the exercise price of $1.40 per common share during a period of 24 months following the closing date




If: (i) The Escrow Release Conditions are not satisfied at or prior to December 31, 2019; (ii) the Company advises the Co-Lead Underwriters in writing that it does not intend to proceed with the Acquisition; or (iii) the Company formally announces to the public by press release that it does not intend to proceed with the Acquisition (each, a "Termination Event" and, the first date on which any such Termination Event occurs, the "Termination Date"), the Subscription Receipt Agent will deliver to each holder of Subscription Receipts, and in any event within two business days following the Termination Date, an amount equal to the aggregate subscription price for such holder's Subscription Receipts together with such holder's pro rata share of earned interest, less any applicable withholding taxes, if any.




The Company has confirmed that it is expected that the Escrow Release Conditions of the Subscription Receipts will be satisfied concurrently with the closing of the Prospectus Offering. Therefore, the Company will deliver Units instead of Subscription Receipts upon closing of the Prospectus Offering. The Units will then automatically separate into common shares and Warrants upon issuance, at no further cost to their holder



Offering Price:

$1.05 per Subscription Receipt



Warrant Exercise Price:

$1.40 per common share at any time prior to 5:00 p.m. (Montréal time) on the date that is 24 months following the closing date of the Prospectus Offering



Underwriters Fee:

Up to 5% of the gross proceeds of the Prospectus Offering in cash and non-transferable broker warrants to purchase a number of common shares up to 5% of the number of Subscription Receipts sold under the Prospectus Offering. Each broker warrant will be exercisable at a price per common share equal to $1.05 for a period of 18 months from the closing date of the Prospectus Offering



Over-Allotment Option:

The Company granted to the Underwriters an option exercisable for a period of up to 30 days following the closing of the Prospectus Offering, to purchase 952,380 additional Subscription Receipts at a price of $1.05 per Subscription Receipt

 

The closing of the Prospectus Offering and the satisfaction of the Escrow Release Conditions are scheduled to occur before the market opening on Thursday, November 14, 2019 . It is expected that the gross proceeds of the closing will be $14,001,750 (13,335,000 Subscription Receipts) before the exercise of the over-allotment option. A further notice will be issued upon receipt of a confirmation of closing and that the Escrow Release Conditions have been satisfied.

New Listing-Warrants

The Warrants of the Company will be listed and admitted to trading on the Exchange, on the effective dates stated below. The Issuer is classified as a "Water supply and irrigation systems" issuer (NAICS Number: 221310).

Listing Date:

At the close of business (5:01 p.m. EST) on November 13, 2019.



Commence Date:

The Warrants will commence trading on TSX Venture Exchange at the opening on Thursday, November 14, 2019, upon confirmation:




1)  Of the closing of the Company's Prospectus Offering; and




2)  That the Escrow Release Conditions of the Subscription Receipts are satisfied and that the Company delivered Units to the subscribers

 

The closing of the Prospectus Offering and the satisfaction of the Escrow Release Conditions are scheduled to occur before the market opening on Thursday, November 14, 2019 . A further notice will be issued upon receipt of a confirmation of closing and that the Escrow Release Conditions have been satisfied.

Corporate Jurisdiction:

Canada



Capitalization:

10,967,500 Warrants will be issued and outstanding, of which 3,823,810 Warrants pursuant to a concurrent private placement (the "Concurrent Private Placement") of Subscription Receipts that will be subject to a hold period of four months and a day following the closing date of the Concurrent Private Placement as announced by press releases on October 28 and 29, 2019



Warrants Exercise Price:

$1.40 per common share at any time prior to 5:00 p.m. (Montréal time) on November 15, 2021



Transfer Agent:

AST Trust Company (Canada) – Montréal and Toronto



Trading Symbol:

HEO.WT



CUSIP Number:

443300132

 

The Warrants will be governed by the terms of an indenture to be executed on November 14, 2019 , between the Issuer and AST Trust Company ( Canada ), as warrant agent.

The Warrants will be issued pursuant to the Prospectus Offering and Concurrent Private Placement.

H2O INNOVATION INC. (« HEO ») (« HEO.WT »)
TYPE DE BULLETIN :   Émission d'unités par prospectus, Nouvelle inscription - Bons de souscription
DATE DU BULLETIN :   Le 12 novembre 2019
Société du groupe 2 de TSX Croissance
Émission d'unités par prospectus

Le prospectus simplifié (le « prospectus ») daté du 6 novembre 2019 de H2O Innovation inc. (la « société ») a été déposé et accepté par la Bourse de croissance TSX (la « Bourse ») et a été déposé et visé par les autorités en valeurs mobilières de chacune des provinces et du Canada , et ce, en vertu des dispositions des lois sur les valeurs mobilières applicables. 

Preneurs fermes :

Valeurs mobilières Desjardins inc. et Corporation Canaccord Genuity (les « co-chefs de file ») et Acumen Capital Finance Associés limitée, Valeurs mobilières Beacon limitée, Industrielle Alliance Valeurs mobilières inc. et Valeurs Mobilières Haywood inc. (collectivement avec les co-chefs de file, les « preneurs fermes »)



Offre :

Le placement (le « placement par prospectus ») consiste en 13 335 000 reçus de souscription au prix de 1,05 $ le reçu de souscription




Chaque reçu de souscription conférera à son porteur le droit de recevoir automatiquement une unité sans paiement d'une contrepartie additionnelle ni autre formalité, dès: (i) que les conditions qui n'ont pas fait l'objet d'une renonciation sont remplies avant la réalisation de l'acquisition de Genesys Holdings Limited, Genesys International Limited, Genesys Manufacturing Limited et Genesys North America, LLC. (« l'acquisition »); et (ii) la remise de l'avis de libération du produit entiercé à Société de fiducie AST (Canada) (« l'agent chargé des reçus de souscription ») (collectivement, les « conditions de libération du produit entiercé »)




Chaque unité se compose d'une action ordinaire et d'un demi-bon de souscription d'action ordinaire. Chaque bon de souscription entier confère à son porteur le droit de souscrire une action ordinaire au prix de 1,40 $ l'action pendant une période de 24 mois après la date de clôture du placement par prospectus




Si : (i) les conditions de libération du produit entiercé ne sont pas remplies au plus tard le 31 décembre 2019 ; (ii) la société avise les co-chefs de file par écrit qu'elle n'a plus l'intention de procéder à l'acquisition, ou (iii) la société annonce au public par communiqué de presse qu'elle n'a plus l'intention de procéder à l'acquisition (dans chaque cas un « cas d'annulation » et le premier de ces événements à survenir étant le « moment d'annulation »), l'agent chargé des reçus de souscription remettra à chaque porteur de reçus de souscription et dans les deux jours ouvrables suivant le moment d'annulation, un montant égal au prix de souscription total de chaque porteur de reçus de souscription majoré de la quote-part de l'intérêt gagné à laquelle le porteur a droit, déduction faite des retenues fiscales applicables




La société a confirmé qu'il est prévu que les conditions de libération du produit entiercé des reçus de souscription seront rencontrées de façon concomitante à la clôture du placement par prospectus. Par conséquent la société émettra des unités plutôt que des reçus de souscription lors de la clôture du placement. Les unités seront converties automatiquement en actions ordinaires et en bons de souscription lors de leur émission, sans coût additionnel pour le détenteur



Prix de l'offre :

1,05 $ par reçu de souscription



Prix d'exercice des bons :

1,40 $ par action à tout moment avant 17 h (heure de Montréal) à la date qui tombe 24 mois après la date de clôture



Commission des preneurs fermes :

Un maximum de 5 % du produit brut en espèces et des bons de courtier non-transférables permettant de souscrire un nombre d'actions ordinaires égal à un maximum de 5% du nombre de reçus de souscription vendus dans le cadre du placement par prospectus. Chaque bon de courtier sera exerçable à un prix par action égal à 1,05 $ pendant une période 18 mois suivant la date de clôture du placement par prospectus



Option de surallocation :

La société a octroyée aux preneurs fermes une option de souscrire, pendant une période de 30 jours suivant la clôture du placement par prospectus, jusqu'à 952 380 reçus de souscription additionnels au prix de 1,05 $ par reçu de souscription

 

La clôture du placement par prospectus et l'atteinte des conditions de libération du produit entiercé sont prévues avant l'ouverture des marchés le jeudi 14 novembre 2019. Il est prévu que le produit brut de la clôture sera de 14 001 750 $ (13 335 000 reçus de souscription) avant l'exercice de l'option de surallocation. Un avis additionnel sera émis après réception de la confirmation de la clôture et que les conditions de libération du produit entiercé ont été atteintes. 

Nouvelle inscription - Bons de souscription

Les bons de souscription de la société seront inscrits et admis à la négociation à la Bourse aux dates énumérées ci-après. L'émetteur est catégorisé comme un émetteur de « réseaux d'aqueduc et systèmes d'irrigation » (numéro de SCIAN : 221310).

Date d'inscription à la cote :

À la fermeture des affaires (17 h 01 HNE) le 13 novembre 2019.



Date d'entrée en vigueur :

  Les bons de souscription de la société seront admis à la négociation à la Bourse de croissance TSX le jeudi 14 novembre 2019, sous réserve de la confirmation :




1)  de la clôture du placement par prospectus; et




2)  que les conditions de libération du produit entiercé des reçus de souscription sont remplies et que la société a remis les unités aux souscripteurs

 

La clôture du placement par prospectus et l'atteinte des conditions de libération du produit entiercé sont prévues avant l'ouverture des marchés le jeudi 14 novembre 2019. Un avis additionnel sera émis après réception de la confirmation de la clôture et que les conditions de libération du produit entiercé ont été atteintes. 

Juridiction de la société :

Canada



Capitalisation des bons de souscription :

10 967 500 bons de souscription émis et en circulation, dont 3 823 810 bons en vertu d'un placement privé concomitant de reçus de souscription qui seront assujettis à une période de détention de quatre mois et un jour suivant la date de clôture du placement privé annoncé par communiqués de presse des 28 et 29 octobre 2019



Prix d'exercice des bons :

1,40 $ par action ordinaire jusqu'à 17 h (heure de Montréal) le 15 novembre 2021



Agent des transferts :

Société de fiducie AST (Canada) – Montréal et Toronto



Symbole au téléscripteur des bons de


souscription :

HEO.WT



Numéro de CUSIP :

443300132

 

Les bons de souscription seront régis au terme d'une convention à être conclue le 14 novembre 2019 entre l'émetteur et Société de fiducie AST ( Canada ), à titre d'agent chargé des bons de souscription au terme de cette convention.

Les bons de souscription seront émis en vertu du placement par prospectus et du placement privé concomitant.

_______________________________________

RIZAL RESOURCES CORPORATION ("RZL.H")
[formerly RIZAL RESOURCES CORPORATION ("RZL")]
BULLETIN TYPE: Transfer and New Addition to NEX, Symbol Change, Remain Suspended
BULLETIN DATE: November 12, 2019
TSX Venture Tier 2 Company

In accordance with TSX Venture Policy 2.5, the Company has not maintained the requirements for a TSX Venture Tier 2 company.  Therefore, effective at the opening on Thursday, November 14, 2019 , the Company's listing will transfer to NEX, the Company's Tier classification will change from Tier 2 to NEX, and the Filing and Service Office will change from Vancouver to NEX.

As of November 14, 2019 , the Company is subject to restrictions on share issuances and certain types of payments as set out in the NEX policies.

The trading symbol for the Company will change from RZL to RZL.H.  There is no change in the Company's name, no change in its CUSIP number and no consolidation of capital.  The symbol extension differentiates NEX symbols from Tier 1 or Tier 2 symbols within the TSX Venture market.

Further to the Exchange bulletin issued July 22, 2019 , trading in the shares of the Company will remain suspended.

Members are prohibited from trading in the securities of the Company during the period of the suspension or until further notice.

_____________________________________________

19/11/12  - TSX Venture Exchange Bulletins

TSX VENTURE COMPANIES
ARIANNE PHOSPHATE INC. ("DAN")
BULLETIN TYPE:  Shares for Bonuses
BULLETIN DATE:  November 12, 2019
TSX Venture Tier 2 Company

TSX Venture Exchange has accepted for filing the Company's documentation in connection with the issuance of 7,453,800 non-transferable warrants to purchase 7,453,800 common shares exercisable at a price of $0.55 per share expiring on September 28, 2021 , pursuant to amendments to an existing non-convertible secured credit facility in the amount of $4,100,000 .

For further information, please refer to the Company's press release dated October 1, 2019 .

ARIANNE PHOSPHATE INC. (« DAN »)
TYPE DE BULLETIN : Émission d'actions en paiement de primes
DATE DU BULLETIN : Le 12 novembre 2019
Société du groupe 2 de TSX croissance

Bourse de croissance TSX a accepté le dépôt de documents par la société, relativement à l'émission de 7 453 800 bons de souscription non-transférables permettant de souscrire à 7 453 800 actions ordinaires au prix d'exercice de 0,55 $ par action expirant le 28 septembre 2021, dans le cadre de modifications apportées à une convention de crédit garantie non-convertible au montant de 4 100 000 $.

Pour de plus amples renseignements, veuillez-vous référer au communiqué de presse daté du 1 octobre 2019.

__________________________________________

GITENNES EXPLORATION INC. ("GIT")
BULLETIN TYPE:  Private Placement-Non-Brokered
BULLETIN DATE:  November 12, 2019
TSX Venture Tier 2 Company

TSX Venture Exchange has accepted for filing documentation with respect to a Non-Brokered Private Placement announced July 8, 2019 and July 30, 2019 :

Number of Shares:

10,600,000 flow-through shares and 5,290,000 non flow-through shares



Purchase Price:

$0.035 per flow-through share and $0.035 per non flow-through share



Flow-through Warrants:

10,600,000 share purchase warrants to purchase 10,600,000 shares



Flow –Through


Warrant Exercise Price:

$0.05 for a one year period and $0.06 in the second year



Warrants:

5,290,000 share purchase warrants to purchase 5,290,000 shares



Warrant Exercise Price:

$0.05 for a three-year period



Number of Placees:

29  Placees



Finder's Fee:

Echelon Wealth Partners Inc. - $22,181.60 cash and 633,680 finder's warrants


EMD Financial Inc. - $20,857 cash and 445,920 finder's warrants


Canaccord Genuity Corp. - $1,400 cash and 40,000 finder's warrants

 

Each non-transferable finder's warrant is exercisable into one common share at a price of $0.05 for a period of three years.

Pursuant to Corporate Finance Policy 4.1, Section 1.9(e), the Company issue a news release dated September 23, 2019 announcing the closing of the private placement and setting out the expiry dates of the hold periods. Note that in certain circumstances the Exchange may later extend the expiry date of the warrants, if they are less than the maximum permitted term.

________________________________________

LIFT & CO. CORP.  ("LIFT")
BULLETIN TYPE:  Private Placement-Non-Brokered, Convertible Debenture/s
BULLETIN DATE:  November 12, 2019
TSX Venture Tier 2 Company

This is to confirm that TSX Venture Exchange has accepted for filing documentation with respect to a Non-Brokered Private Placement announced September 11, 2019 :

Convertible Debenture:

$2,000,000 principal amount



Conversion Price:

Convertible into 9,302,325 common shares at $0.215 purchase price until maturity



Maturity date:

12 months from issuance



Interest rate:

10.6% per annum



Number of Placees:

2 Placees

 

Insider / Pro Group Participation:

Name

Insider=Y / ProGroup=P

Principal Amount

Gotham Green Fund 1, L.P.
(Jason Adler)

Y

$399,950.00

Gotham Green Fund 1 (Q), L.P.
(Jason Adler)

Y

$1,600,050.00

 

Pursuant to Corporate Finance Policy 4.1, Section 1.11(d), the Company has issued a news release announcing the closing of the private placement and setting out the expiry dates of the hold period(s).

________________________________________

LIFT & CO. CORP.  ("LIFT")
BULLETIN TYPE:  Private Placement-Non-Brokered, Convertible Debenture/s
BULLETIN DATE:  November 12, 2019
TSX Venture Tier 2 Company

This is to confirm that TSX Venture Exchange has accepted for filing documentation with respect to a Non-Brokered Private Placement announced September 11, 2019 :

Convertible Debenture:

$1,500,000 principal amount



Conversion Price:

Convertible into 6,976,744 common shares at $0.215 purchase price until maturity



Warrants:

2,713,178 warrants exercisable into 2,713,178 common shares at $0.3225 for a period of twelve months



Maturity date:

12 months from issuance



Interest rate:

10.6% per annum



Number of Placees:

2 Placees

 

Insider / Pro Group Participation:

Name

Insider=Y / ProGroup=P

Principal Amount

Gotham Green Fund 1, L.P.
(Jason Adler)

Y

$299,962.50

Gotham Green Fund 1 (Q), L.P.
(Jason Adler)

Y

$1,200,037.50

 

Pursuant to Corporate Finance Policy 4.1, Section 1.11(d), the Company has issued a news release announcing the closing of the private placement and setting out the expiry dates of the hold period(s).

________________________________________

NORTHERN GRAPHITE CORPORATION ("NGC")
BULLETIN TYPE: Warrant Term Extension
BULLETIN DATE: November 12, 2019
TSX Venture Tier 1 Company

TSX Venture Exchange has consented the term extension of the following Warrants:

Number of Warrants:

2,291,321

Original Expiry Date of Warrants:

November 22, 2019

New Expiry Date of Warrants:

November 22, 2021

Exercise Price of Warrants:

$0.60

 

The totality of these warrants was issued under a private placement including a total of 4,582,644 common shares and 2,291,321 warrants, which was accepted for filing by TSX Venture Exchange, effective on December 14, 2017 .

__________________________________________

ORSU METALS CORPORATION ("OSU")
BULLETIN TYPE:  Private Placement-Non-Brokered
BULLETIN DATE:  November 12, 2019
TSX Venture Tier 2 Company

TSX Venture Exchange has accepted for filing documentation with respect to a Non-Brokered Private Placement announced Oct 21, 2019 :

Number of Shares:

1,400,000 shares

Purchase Price:

$0.2385 per share

Warrants:

1,400,000 share purchase warrants to purchase 1,400,000 shares

Warrant Initial Exercise Price:

$0.36

Warrant Term to Expiry:

3 Years

Number of Placees:

2 Placees

Finder's Fee:


BCO Consulting Limited, Inc

$20,034.00 cash

                   

Note that in certain circumstances the Exchange may later extend the expiry date of the warrants, if they are less than the maximum permitted term.

The above information is a summary only.  Neither TMX Group Limited nor any of its affiliated companies guarantee the accuracy or completeness of the information contained in this document.  Readers should consult the issuer's continuous disclosure record for complete details of the transaction.

________________________________________

PROBE METALS INC. ("PRB")
BULLETIN TYPE:  Halt
BULLETIN DATE:  November 12, 2019
TSX Venture Tier 1 Company

Effective at 12.57 p.m. PST, November 11, 2019 , trading in the shares of the Company was halted at the request of the Company, pending news; this regulatory halt is imposed by Investment Industry Regulatory Organization of Canada , the Market Regulator of the Exchange pursuant to the provisions of Section 10.9(1) of the Universal Market Integrity Rules.

________________________________________

PROBE METALS INC. ("PRB")
BULLETIN TYPE:  Resume Trading
BULLETIN DATE:  November 12, 2019
TSX Venture Tier 1 Company

Effective at 6.30 a.m. PST, November 12, 2019 , shares of the Company resumed trading, an announcement having been made.

________________________________________

RED MOON RESOURCES INC. ("RMK")
BULLETIN TYPE:  Resume Trading
BULLETIN DATE:  November 12, 2019
TSX Venture Tier 2 Company

Effective at 5.00 a.m. PST, November 12, 2019 , shares of the Company resumed trading, an announcement having been made.

________________________________________

VULCAN MINERALS INC. ("VUL")
BULLETIN TYPE:  Resume Trading
BULLETIN DATE:  November 12, 2019
TSX Venture Tier 2 Company

Effective at 5.00 a.m. PST, November 12, 2019 , shares of the Company resumed trading, an announcement having been made.

________________________________________

SOURCE TSX Venture Exchange


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