Issuer Information
The issuer’s details must include the name of the issuer, the SEC file number, the issuer’s address, and a contact number. Additionally, it is essential to provide the name of the individual or entity on whose behalf the securities are being sold. According to paragraph (a) of Rule 144, this definition of “person” encompasses all relevant parties. Thus, information should be disclosed not only for the primary seller but also for any individuals whose sales must be combined with those of the filing party, as outlined in paragraph (e) of Rule 144.
Securities Information
Details regarding the securities set for sale should be specified, including the class of securities, the broker’s name and address, the number of shares or units available for sale, the total market value, and the number of outstanding shares or units. Additionally, an approximate date for the sale should be provided alongside the name of the securities exchange involved. For instance, Canaccord Genuity Corp, located at 609 Granville Street, Suite 2200, Vancouver, has reported an aggregate of 1,292,040 shares to be sold on or around October 29, 2025.
Securities To Be Sold
Information should be disclosed regarding the acquisition of the securities intended for sale, particularly if the purchase price was not entirely paid in cash at the time of acquisition. In such cases, a detailed explanation must be included in the table or an accompanying note, outlining the nature of any consideration given. If any part of the payment involved a note or obligation, the terms should be described, including the timeline for settling the obligation or the final installment payment.
Securities Sold During The Past 3 Months
A record of all securities sold by the seller in the past three months must be provided. This includes the seller’s name and address, the title of the securities sold, the sale date, the quantity of securities sold, and the gross proceeds from these transactions. For example, DCG International Investments Ltd, located at 3 Mill Creek Road, Pembroke, has conducted multiple sales of common securities, with transactions occurring on various dates and yielding significant gross proceeds.
Remarks and Signature
In the remarks section, it is imperative for the individual selling the securities to certify that they are not aware of any significant negative information regarding the issuer that has not been publicly disclosed. Furthermore, if the seller has established a written trading plan or provided trading instructions in compliance with Rule 10b5-1 under the Exchange Act, signing this notice confirms that the seller acknowledges this representation as of the date the plan or instructions were created. It is important to note that any intentional misrepresentation or omission of facts could lead to federal criminal charges, as specified under 18 U.S.C. 1001.
