Appendix 3A - Ownership information
Sample form only: do not complete
This form is for reference purposes only. It is not to be completed in this format.
To complete this and submit it to the CRTC, download the form.
Instructions
- The information provided for each of the columns in the tables below must be complete.
- Document must be saved as: Appendix 3A – Ownership Information
- Complete the tables for the licensee and its shareholder corporations, if applicable.
- If the entity is a not-for-profit corporation, complete Table A only.
1. The licensee
Name of the licensee (or proposed licensee) for which the following tables pertain: _____________________.
- Provide a list of the directors(1) or, where the corporation has no directors, of persons performing functions that are similar to the functions performed by directors, such as members of the management committee of a partnership.
- Provide information on the CEO. If such a position does not exist, identify the person who performs functions that are similar to those of a CEO and identify the title of that position. If the CEO is also a director, repeat the information in both sections.
| Name | City & Province of Ordinary Residence | Canadian(2) (y/n) |
|---|---|---|
| Directors | ||
| Chief Executive Officer (CEO) | ||
Authorized Securities
In the table below, describe all categories of shares authorized to be issued.
Security Type: All the types of securities must be reflected exactly as they are described in the articles or schedules of the corporation (whether voting or non-voting, even the types of shares that have not been issued).
| Security Type | Number of Votes Per Share | Convertible (y/n) | Participating (y/n) | Number of Shares Authorized | Number of Shares Issued and Outstanding |
|---|---|---|---|---|---|
Shareholders
In the table below, provide the following details:
- A list specifying all shareholders that hold 10% or more of the voting shares(3), of the voting rights (when different from the voting shares), and of any other common shares(4) by type of shares.
- A breakdown between “Canadian” and “non-Canadian” of the remaining shares not yet accounted for (those owned by shareholders holding less than 10%), by type of shares. It is not required to specify the name of the shareholder(s).
- If non-voting participating shares are issued and outstanding, please indicate who the shareholders are.
- Jurisdiction for Legal Entity: Identify the jurisdiction where the shareholder’s legal entity is incorporated.
| Security Type | Shareholder Name | City & Province of Ordinary Residence or Entity’s Jurisdiction | Canadian(2) (y/n) | Number of Shares Held | % Votes |
|---|---|---|---|---|---|
2. Parent corporations and other shareholders
*Copy and complete the same tables for each corporation holding, directly and/or indirectly, 10% or more of the voting interest (shares and/or votes) of the applicant, or of any corporation forming part of its ownership chain.
Name of the shareholder corporation for which the following tables pertain: _____________________.
| Name | City & Province of Ordinary Residence | Canadian(2) (y/n) |
|---|---|---|
| Directors | ||
| Chief Executive Officer (CEO) | ||
| Security Type | Number of Votes Per Share | Convertible (y/n) | Participating (y/n) | Number of Shares Authorized | Number of Shares Issued and Outstanding |
|---|---|---|---|---|---|
| Security Type | Shareholder Name | City & Province of Ordinary Residence or Entity’s Jurisdiction | Canadian(2) (y/n) | Number of Shares Held | % Votes |
|---|---|---|---|---|---|
Complete the above tables (A, B and C) for each shareholder identified in the above table C holding 10% or more of the voting interest (shares and/or votes) of the licensee, or of any corporation forming part of its ownership chain.
Copy tables A, B and C on a new page if required, to add additional shareholders.
3. Control statement and agreements
Attach as Appendix 3B:
A statement regarding who controls/will control the licensee and by what means. If the control is to be held by a shareholder corporation, also advise who controls/will control it and by what means.
4. Corporate documents
As Appendix 3C, append a copy of all constituting documents (for example, certificate and articles of incorporation, amendment or amalgamation, by-laws, partnership agreement, etc.) for the applicant and for each corporation or other legal entity listed in Tables C) of Appendix 3A, that are not already on file with the Commission.
5. Business arrangements and related documents
If the applicant has entered into a business arrangement with another party (for example, Programming, Supply Agreement, Trademark Licence Agreement, Joint Venture or Shareholder Agreement, etc.), copies of such agreements applicable to the service must be filed with the Commission. Provide a copy, draft or otherwise as Appendix 3D.
The applicant is reminded that, if its application is approved, such approval will be in accordance with the ownership and control set out in the application. If approved, the applicant is expected to file, when available, any additional agreements, such as those identified above, entered into before or after the launch of the service for which it is applying.
Definitions:
- Director: Means a person who is a member of the board of directors of a corporation or, where the corporation has no directors, a person performing functions that are similar to the functions performed by directors.
- Canadian: If an individual, CANADIAN means a Canadian citizen who is ordinarily resident in Canada, and a permanent resident who is ordinarily resident in Canada and has been ordinarily resident in Canada for not more than one year after the date on which that person first became eligible to apply for Canadian citizenship, as defined in the Direction to the CRTC (Ineligibility of Non-Canadians).
If another type of person, please refer to the Direction to the CRTC (Ineligibility of Non-Canadians) for a definition. - Voting shares: The shares to which are attached one or more votes, and includes securities that are convertible into such shares at all times at the option of the holder.
- Common shares: The shares that represent the residual equity in the earnings of the corporation, and includes securities that are convertible into such shares at all times at the option of the holder and the preferred shares to which are attached rights to participate in the earnings of the corporation with no upper limit.
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