Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
NONE
NONE
GMP SECURITIES, L.P.
41025
GRIFFITHS MCBURNEY CORP.
40620
GMP SECURITIES, LLC
41025
GMP SECURITIES, LLC
41025
GMP SECURITIES L.P.
NONE
GMP SECURITIES LLC
41025
GMP SECURITIES L.P.
NONE
GMP SECURITIES LLC
41025
GMP SECURITIES L.P.
NONE
GMP SECURITIES LLC
41025
GMP SECURITIES L.P.
NONE
GMP SECURITIES LLC
41025
GMP SECURITIES L.P.
NONE
GRIFFITHS MCBURNEY CORP.
40620
GMP SECURITIES L.P.
41025
NONE
NONE
GMP SECURITIES, LLC
41025
NONE
NONE
GMP SECURITIES, LLC
41025
GMP SECURITIES L.P.
NONE
GMP SECURITIES, LLC
41025
NONE
NONE
GMP SECURITIES LP
41025
CIBC WORLD MARKETS CORP.
630
GMP SECURITIES, LLC
41025
CANACCORD GENUITY LLC
1020
GMP SECURITIES, LLC
41025
ALTACORP CAPITAL (USA) INC.
155053
GMP SECURITIES, LLC
41025
NONE
NONE
GMP SECURITIES LP
41025
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D
$1,491,584.00
Yes
$0.00
No
FINDER-S FEES WERE ALSO PAID IN THE FORM OF BROKER WARRANTS.
D
$1,262,974.00
Yes
$0.00
No
FINDER-S FEES WERE ALSO PAID IN THE FORM OF BROKER WARRANTS.
D
$11,787.00
No
$0.00
No
DOES NOT INCLUDE 66,327 COMPENSATION OPTIONS (EACH OPTION CONSISTING OF ONE UNIT EXERCISABLE @ CDN $0.25 - EACH UNIT COMPRISED OF ONE COMMON SHARE AND ONE HALF OF ONE COMMON SHARE PURCHASE WARRANT EXERCISABLE @ CDN $0.30)
D
$198,923.00
No
$0.00
No
IN ADDITION TO THE 6% COMMISSION FEE, THE COMPANY ISSUES THAT NUMBER OF BROKER WARRANTS EQUAL TO 3% OF THE NUMBER OF SUB AGRMT SOLD PURSUANT TO THE OFFERING.
D
$645,273.00
No
$0.00
No
IN ADDITION TO THE CASH COMMISSION OF $645,273, THE AGENTS WILL RECEIVE 3,825,000 WARRANTS IN CONNECTION WITH THE U.S. SALES UPON CLOSING OF A MINE ACQUISITION. EACH WARRANT MAY BE EXERCISED FOR CDN$0.22 FOR 2 YEARS FOLLOWING CLOSING OF THE ACQUISITION.
D
$21,672.00
No
$0.00
No
ALSO ISSUED 4,590 BROKER WARRANTS. EACH BROKER WARRANT IS EXERCISABLE FOR ONE SHARE AT A PRICE OF C$3.90 FOR A PERIOD OF 24 MONTHS.
D
$1,800,000.00
No
$0.00
No
IN ADDITION TO THE ADVISORY FEES DISCLOSED ABOVE, ADVISORY WARRANTS TO PURCHASE 180,000 COMMON SHARES AT AN EXERCISE PRICE OF US$10.00 PER COMMON SHARE THROUGH AUGUST 11, 2017.
D
$11,842.00
No
$0.00
No
ALSO ISSUED 2,400 BROKER WARRANTS. EACH BROKER WARRANT IS EXERCISABLE FOR ONE SHARE AT A PRICE OF C$3.65 FOR A PERIOD OF 24 MONTHS.
D
$262,564.00
No
$0.00
No
RECIEVED 6% OF GROSS PROCEEDS IN THE FOLLOWING PERCENTAGES; DUNDEE -60.1%, CORMARK - 13.3%, GMP - 13.3%, RAYMOND JAMES - 13.3% FOR A TOTAL OF 100% OF THE 6% COMMISSION EXCLUDING LUXOR ENTITIES. 1% COMMISSION PAID ON SUBSCRIPTIONS FOR LUXOR ENTITIES.
