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Nomination Package

Entry deadline: March 7, 2016Last-minute entry deadline: March 14, 2016

2016 PCMAPrivate Capital Markets Awards

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First Canadian Place, 100 King Street West, Suite 5700, Toronto, ON M5X 1C7 1.877.363.3632 [email protected] www.pcmacanada.com


About the PCMA Private Capital Markets Awards

Private Capital Markets Awards – are the only national industry awards for private capital markets professionals, which recognize business leaders who help build a vibrant and successful private capital markets in Canada. In 2012, the PCMA launched these national awards as the first and only national industry awards for exempt market issuers, dealers and professionals that promote best practices and high standards of conduct in the private capital markets.

Nominees are evaluated based on their leadership in the industry, their contribution to the deal, innovative market, product or investment opportunities created, the benefits of the deal for the issuer and for investors, and the overall impact of the deal on the quality and integrity of the private capital markets. The award selection committee is comprised of independent members of the PCMA and its national Board of Directors.

Capital raised in the private capital/exempt market helps finance economic activity across Canada and is an important contributor to supporting entrepreneurial business, and creating wealth for Canadian investors. The PCMA believes in celebrating and promoting the success stories of the private capital markets. We recognize the professionals behind those successful capital raising transactions and the successful outcomes they generate for issuers, dealers and investors.

Stay Current – Stay Connected1.877.363.3632

[email protected] | www.pcmacanada.com

Community

Private Capital Markets Association of Canada

Since 2002, the Private Capital Markets Association of Canada (PCMA) has brought together exempt market dealers, exempt market product issuers, and professional advisers to the private capital market. The PCMA is the leading national industry voice for the private capital markets to securities regulators, government agencies, media, and other sectors of the capital markets. Our strength is our membership. We are community of small and large firms including individuals from across our industry who come together to support the PCMA, drive its agenda and ensure the PCMA serves the unique interests of Canada’s private capital markets. Belonging to the PCMA makes a statement that you are committed to your profession and the highest standards of business conduct.

Join Canada’s largest private capital markets community at www.pcmacanada.com

The purpose of the PCMA is to:

• Be the effective national voice of Canada’s private capital markets and represent the interests of exempt market dealers, exempt market issuers and industry professionals to securities regulators, government, industry associations, media, the capital markets and the public.

• Assist members with understanding their regulatory responsibilities through industry publications, educational opportunities and connections to compliance, regulatory, finance and legal resources.

• Provide regulatory updates to assist our members in staying ahead of regulatory change, and the tools to adapt and succeed in our regulatory environment.

• Ensure the highest standards of business conduct amongst our members across Canada.

• Increase public and industry awareness of the important role of Canada’s private capital markets.

• Provide valuable membership services and cost saving opportunities to our members.

• Networking and business opportunities for our members across Canada.

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Submission Details To submit your application please complete this PDF form, save and email it [email protected]. Submissions close on March 14, 2016.

Eligibility & Benefits Your nomination must be for transaction/financing closed within this time frame: January 2015 - January 2016. To be eligible to receive an award, the nominee must be a member of the Private Capital Markets Association of Canada (PCMA). Note: If you nominate someone and that company/individual wins an award then the nominator will receive a complimentary PCMA membership for one year.

Selection Criteria The nominee will be evaluated based on its contribution to the deal, its vision, leadership, market innovation, impact, and the benefits of the deal to the issuer and investors.

Selection Process The awards’ committee is comprised of independent members of the PCMA Board of Directors. The awards will be presented at the 2016 PCMA Private Capital Markets Conference.

Tell us your success story

Please describe why this transaction/financing deserves to be recognized. What were the benefits of the transaction/financing to the Dealer, Issuer or investors. Please provide further text in your submission email if you require more space).

Please provide a 2-4 sentence draft which summarizes the deal and could serve as the announcement for this deal award (we reserve the right to modify any text should the deal be selected as a winner).

Please expand on any significant obstacles overcome and innovative features or why the transaction/financing was unique and worthy of recognition.

Closing date (month/year) Capital Source(s)

Financial results (please specify if it should be kept confidential)

Award Categories Please identify one or more appropriate descriptions for the Award:Family Business AdvisoryPublic Company AdvisoryPrivate Company AdvisoryDebt Advisory ValuationsOther:

Technology Real EstateMortgage Investment MiningOil and GasBiotechManufacturingStart-Up Company

Private EquityPrivate DebtMerger/AcquisitionInvestment FundCross-BorderVenture/Growth CapitalDistressedFinance

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Nominator(if other than Dealer or

Issuer)

Company Name

Contact Name Title

Phone Email Website

Address

City Province Postal Code

Dealer Contact Information

Dealer Name

Contact Name Title

Phone Email Website

Address


Dealer Overview Provide a brief description of the Dealer(s) engaged in the deal:

# of dealing representatives

Industry focus (if any) Year founded

Name of founder(s) Typical deal size ($ millions)

CEO/Ultimate Designated Person Current PCMA member Yes NoEngagement criteria (please specify if this should be kept confidential)

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Issuer Overview Provide a brief description of the Issuer(s) engaged in the deal:

# of Issuers employees (optional)

Industry focus (if any) Year founded

Name of founder(s) Typical deal size ($ millions)

CEO/Ultimate Designated Person Current PCMA member Yes NoEngagement criteria (please indicate if this should be kept confidential)

Issuer Contact Information

Issuer Name

Contact Name Title

Phone Email Website

Address


Supporting Documents Check List

Please attach to your nomination form any supporting documents that the nominations committee should consider including:

Media Coverage (if any)Offering Memorandum or other equivalent offering documents as provided to purchasers/clientsFinancial Statements or other supporting documents for the deal and or/issuer (please specify if these should be kept confidential)Please include investor presentation that was used to market this transaction/financing A reference/spokesperson who can speak about the deal:

Name ___________________ Phone ________________________ Email _______________________________

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Nominee’s signature: Date:

Disclaimer: I understand that the information and materials provided in this application will be used confidentially by the PCMA and awards’ committee for the purpose of evaluating the nomination. I consent to the use of such information for this purpose and hereby confirm that I have obtained all authorizations, consents or waivers required for such use. If this deal is selected as an award winner, I grant the PCMA the right to use and release my name and biographical data, the details of the deal, photographs, video or audio recordings of me in any form of media, and any written statements that are provided in connection with the nomination, including but not limited to, the development and publication of marketing materials for an internal or external use. I have obtained the consent of the issuer and/or dealer identified in the transaction, if consent is required, to provide the PCMA with the information submitted in this form, which the PCMA can use to post on its website involving to describe completed transactions. I have read this nomination form and understand its contents, and to the best of my knowledge, the information provided herein is true and complete.

Stay Current – Stay Connected1.877.363.3632

[email protected] | www.pcmacanada.com

Community

Private Capital Markets Association of Canada