Portfolio Strategies Corporation Current Approved Exempt Securities Offerings PSC is required to review and approve each exempt security offering, including any time that there is an update to the OM for an existing offering. Accordingly, each offering may only be sold under the OM with the date noted in the table: any earlier OM has been replaced and should no longer be considered valid, and any later OM has not been approved for sales. Although every effort will be made to keep this list up-to-date, offerings may be closed or changed before the list can be updated. Please confirm on Winfund (Resources  Product List and enter the supplier and product codes) which should be updated automatically for FundServ offerings, or directly with the supplier to confirm whether an offering is still open and available for sale. Gravitas Select Flow-Through LP II FundServ Code n/a KV Mortgage Fund Inc. Class A Preferred Shares Class B Preferred Shares KVC 100A KVC 100B Marquest Mining B.C. 2014-II Super Flow-Through LP MAV 1407 Marquest Mining 2014-II Super FlowThrough LP MAV 1405 Product / Offering 1 2 KYC Risk: High Time: 3 Obj: Growth Reg Plan Eligible No OM Date Aug 1, 2014 Cheques Are Payable To Gravitas Select FlowThrough Limited Partnership II Risk: High Time: 5 Obj: Income Yes June 30, 2014 PSC In Trust Risk: High Time: 3 Obj: Growth Risk: High Time: 3 Obj: Growth No Jul 7, 2014 PSC In Trust No Jul 7, 2014 PSC In Trust Contact Terry O’Sullivan T. (416) 238-6822 [email protected] 333 Bay Street, Suite 650 Toronto, ON M5H 2R2 www.gravitasfunds.ca Jon Herman T. (780) 433-1222 [email protected] KV Capital Inc. Suite 108, 2627 Ellwood Drive SW Edmonton, AB T6X 0P7 www.kvcapital.ca/investors/kv-mortgagefund Randy Beaudoin / Jessica Youwe T. (403) 470-1643 (Randy) [email protected] T. (604) 364-1864 (Jessica) [email protected] Marquest Asset Management Inc. 161 Bay Street, Suite 4420 PO Box 204, Toronto ON, M5J 2S1 www.marquest.ca 1 LP = Limited Partnership, IC = Investment Corporation Plan KYC parameters required for the offering to be suitable. The amount purchased must fit within the indicated (e.g. High) risk allocation of the plan. The plan must have a time horizon at least as long as the indicated time (in years): for example, a product with a 3 year time horizon does not fit within a plan that has a time horizon of “1 to <3 years”. A product that is suitable for an income objective will also be suitable for a plan with a balanced objective and, provided that the income or distributions are reinvested rather than being taken out as cash payments, will also be suitable for a plan with a growth objective. 2 Page 1 of 3 last update: October 27, 2014 Product / Offering 1 OmniArch Capital Corporation Fixed Income Bond FundServ Code n/a KYC 2 Risk: High Time: 5 Obj: Income Reg Plan Eligible Yes OM Date May 9, 2014 Cheques Are Payable To Open – OmniArch Capital Corporation Registered – Canadian Western Trust Pacific Landing @ Havenwood Trust n/a Risk: High Time: 5 Obj: Growth Yes May 8, 2014 Open – Pacific Landing @ Havenwood Trust Registered – Canadian Western Trust Pavilion Flow-Through L.P. (2014) 1 n/a No Mar 14, 2014 Pavilion Flow-Through L.P. (2014) 1 Pavilion Flow-Through L.P. (2014) 2 n/a Risk: High Time: 5 Obj: Growth Risk: High Time: 5 Obj: Growth No Sep 15, 2014 Pavilion Flow-Through L.P. (2014) 2 Royal Oak Income Trust II n/a Risk: High Time: 5 Obj: Growth Yes May 28, 2014 Open – Royal Oak Income Trust II Registered – Canadian Western Trust SecureCare Capital Inc. 1, 3, and 5 Year Bonds SBC 001 to 009 Risk: High Time: 5 Obj: Income Yes 3 July 25, 2014 PSC In Trust Contact David Todd / Crystal Kelly T. (403) 984-6224 (David) [email protected] T. (587) 337-9029 (Chrystal) [email protected] OmniArch Capital Corp / 982 Media Suite 1680 700 – 4th Avenue SW Calgary, Alberta T2P 3J4 www.omniarch.com Randy Royer T. (403) 681-3215 [email protected] Pacific Landing @ Havenwood Trust 208, 6025 – 12th Street SE Calgary, AB T2H 2K1 www.pacificlanding.ca Graham Koehler T. (250) 869-7989 [email protected] Accilent Capital Management Inc. 25 Adelaide Street East, Suite 1616 Toronto, ON M5C 3A1 www.accilentcapital.com Seann Poli T. (403) 630-0006 [email protected] Prime Funds Group #1206, 734 - 7 Ave SW Calgary AB, T2P 3P8 www.primefunds.ca Peter Johannes T. (877) 227-0162 ext 102 [email protected] SecureCare Capital Inc. 1857 Parkside Drive Pickering, ON L1V 3N9 www.securecare.ca 3 SecureCare SCB 003, SCB 006, and SCB 009 are eligible for registered plans. The other codes are only eligible to be held in open (non-registered) plans. Please refer to the approval e-mail or check with SecureCare to confirm the code for a particular bond’s currency, term, and registered / non-registered eligibility. Page 2 of 3 last update: October 27, 2014 Product / Offering 1 Walton AB Southridge LP Walton AB Southridge IC FundServ Code WAL 5C4 WAL 3B3 Walton Income 11 IC WAL 3B2 Walton Income 10 IC 5 Walton U.S. Land Acquisition LP 6 Walton U.S. Land Acquisition IC6 WAL 3B1 WAL 6G2 WAL 3A9 KYC 2 Risk: High Time: 7 4 Obj: Growth Risk: High Time: 5 Obj: Income High Risk: High Time: 5 Obj: Growth Reg Plan Eligible No Yes OM Date Sep 10, 2014 Sep 10, 2014 Cheques Are Payable To PSC In Trust PSC In Trust Yes Mar 14, 2014 PSC In Trust Yes No Yes Mar 14, 2014 Apr 8, 2014 Apr 8, 2014 PSC In Trust PSC In Trust PSC In Trust Contact Kate Fryers T: (403) 265-4255 [email protected] Walton International Group Inc. 23rd Floor, 605 – 5th Ave SW Calgary AB T2P 3H5 www.walton.com 4 A plan with a 7 time horizon will print as “5 - < 10” years on a pre-populated KYC form so if you are using a pre-populated KYC your notes should show that you informed the client that the expected period to hold the offering is at least seven years. 5 Sales of Walton Income 10 are currently on hold pending an update to the OM. 6 Sales of Walton U.S. Land Acquisition are currently on hold pending an update to the OM. Page 3 of 3 last update: October 27, 2014