Form D · Other Investment Fund
WESTAIM CORP
Toronto, A6 · CIK 0001108828
Offering snapshot reported Sep 21, 2015 · SEC filing
- Reported sold
- $28M Offering amount: $28M
- Investors reported
- 11 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- May 28, 2015 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Sep 21, 2015 | Initial | $28,000,494 | No comparison | 11 | SEC filing |
| Aug 13, 2014 | Initial | $13,185,332 | No comparison | 9 | SEC filing |
| May 13, 2014 | Initial | $471,399 | No comparison | 3 | SEC filing |
| Feb 23, 2010 | Initial | $5,706,268 | No comparison | 2 | SEC filing |
Offering details
- Securities
- Equity, Option to acquire
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $467K
- Finders' fees
- $0
- Form D file number
- 021-247924
CAD 32,591,971.75 converted to USD 26,121,641.22 at Bank of Canada exchange rate as of May 28, 2015. CAD 2,500,000.00 converted to USD 1,878,853.00 at rate agreed by parties based on Bank of Canada exchange rate prior to closing on August 31, 2015.
CAD 582,943.97 converted to USD 467,214.85 at Bank of Canada exchange rate as of May 28, 2015.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| GMP SECURITIES L.P. | None | |
| TD SECURITIES INC. | None | |
| CORMARK SECURITIES INC. | None | |
| SCOTIA CAPITAL INC. | None |
Source: Form D, filed Sep 21, 2015. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Stephen Reginald Cole | Director |
| Ian William Delaney | Director |
| John William Gildner | Director |
| Robert Terrance Kittel | Executive |
| John Cameron Macdonald | Director, Executive |
| J. Cameron Mac Donald | Director, Executive |
| Glenn Garry Macneil | Executive |
| Daniel P. Owen | Director |
| Peter Harry Puccetti | Director |
| Jeff Sarfin | Executive |
| Bruce Vincent Walter | Director |
Issuer details
Industry: Investing (See others in industry)
Address:
70 York Street Suite 1700
Toronto, A6, M5J 1S9
Toronto, A6, M5J 1S9