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Nature of Transaction Codes

Nature of Transaction Codes

The following nature of transaction codes should be used within SEDI for insider reporting. These codes are used to identify the types of transactions being reported.

Note: Nature of Transaction Code numbers and descriptions have been changed from the ones used on the paper form before the development of SEDI

General

Code

Description

00

Opening Balance Initial SEDI Report

10

Acquisition or disposition in the public market

11

Acquisition or disposition carried out privately

15

Acquisition or disposition under a prospectus

16

Acquisition or disposition under a prospectus exemption

22

Acquisition or disposition pursuant to a take-over bid, merger or acquisition

30

Acquisition or disposition under a purchase/ownership plan

35

Stock dividend

36

Conversion or exchange

37

Stock split or consolidation

38

Redemption/retraction/cancellation/repurchase

40

Short sale

45

Compensation for property

46

Compensation for services

47

Acquisition or disposition by gift

48

Acquisition by inheritance or disposition by bequest

Issuer Derivatives

Code

Description

50

Grant of options

51

Exercise of options

52

Expiration of options

53

Grant of warrants

54

Exercise of warrants

55

Expiration of warrants

56

Grant of rights

57

Exercise of rights

58

Expiration of rights

59

Exercise for cash

Third Party Derivatives

Code

Description

70

Acquisition or disposition (writing) of third party derivative

71

Exercise of third party derivative

72

Other settlement of third party derivative

73

Expiration of third party derivative

Miscellaneous

Code

Description

90

Change in the nature of ownership

97

Other

99

Correction of information