Fillable ISSUER MEETING PLANNER (AST)

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ISSUER MEETING PLANNER (AST)

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  • 127 check-boxes
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Country of origin: US
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1
ISSUER MEETING PLANNER
• To be completed and filed with your AST Relationship Manager minimum 3 business days prior to first Key Date-
referenced in Section D and no later than one month prior to Record Date.
• “*” indicates required fields to execute a meeting planner.
• Please complete all applicable fields. Click on “?” for additional information and guidance.
• The regulatory provisions referenced in this Planner are to the best of AST’s knowledge. However, they are intended as
a guide only and should not be relied upon exclusively or construed as legal advice.
A) General
This Planner is:
New
Amended
Current Date:
If “Amended”, original was dated:
Issuer Name (exact legal name)*:
Voting class and ISIN*:
If any, 2nd class and ISIN:
?
Does 2nd class also vote?
Yes
No
If “Yes”, different Proxy?
Yes
No
Meeting type*:
Annual
Special
Extraordinary
Meeting location (city, prov/state)*:
Name of AST Relationship Manager:
B) Materials
Registered holders
Non-registered holders (NOBOs and OBOs)
Mail
Fulfill
?
Mail
Fulfill
?
Annual Report
Complete section C, if box is ticked
Annual Report
Complete section C, if box is ticked
Annual Financial Statements (AFS)
Complete section C, if box is ticked
Annual Financial Statements (AFS)
Complete section C, if box is ticked
Management Discussion & Analysis (MD&A)
Management Discussion & Analysis (MD&A)
Notice of Meeting & Proxy Circular
Notice of Meeting & Proxy Circular
N/A
Proxy
N/A
Proxy
N/A
Prepaid Proxy Return Envelope
N/A
Voting Instruction Form
N/A
Non-prepaid Proxy Return Envelope
N/A
Prepaid Proxy Return Envelope
N/A
Notice (Notice-and-Access)
Complete section E, if box is ticked
N/A
Non-prepaid Proxy Return Envelope
N/A
Request for Financial Statements Form
Complete section C, if box is ticked
N/A
Notice (Notice-and-Access)
Complete section E, if box is ticked
N/A
Letter of Transmittal
Request for Financial Statements Form
Complete section C, if box is ticked
N/A
Security Return Envelope
(Other)
(Other)
(Other)
(Other)
Material language(s):*
English only
French only
English & French
Bilingual
NOBO = Non-Objecting Beneficial Owner / OBO = Objecting Beneficial Owner
✔
2
C) Material Specifications
Annual Report / AFS / MD&A (if mailing per Section B)
Registered holders
?
Has AST developed a supplemental mail list for this year’s financials?* Select one:
Yes, and they should only be sent to holders on the list.
Yes, and they should only be sent to holders on the list, except all US holders are to receive them.
Yes, but we will disregard the list and they should be sent to all holders.
No, and they should be sent to all holders (except not to any holders that have previously declined them, if any).
Non-registered holders
?
Has AST and/or Broadridge developed a supplemental mail list for this year’s financials?* Select one:
Yes, and they should only be sent to holders on the list(s).
Yes, and they should only be sent to holders on the list(s), except all US holders are to receive them.
Yes, but we will disregard the list(s) and they should be sent to all holders.
No, and they should be sent to all holders.
If “Yes”, specify who has developed the list(s):
AST and/or
Broadridge
Important: If the security class is registered under Section 12 of US Securities Exchange Act of 1934, we understand that you are
required to send financials to all US holders, unless you qualify for an exemption.
Request for Financial Statements Form (if mailing per Section B)
Registered holders
?
Which financials will you solicit requests for on the Form sent to non-US holders?
Annual and/or
Interim
Which financials will you solicit requests for on the Form sent to US holders?
Annual and/or
Interim
Non-registered holders
?
Which financials will you solicit requests for on the Form sent to non-US holders?
Annual and/or
Interim
Which financials will you solicit requests for on the Form sent to US holders?
Annual and/or
Interim
Are holders receiving materials via Broadridge to receive Forms?
?
Canada
U.S.
Yes
No
Yes
No
Number of Form types*
How many types of Forms are you using, given the elections above? Answer A, B or C:
A) If both registered holders and non-registered holders are receiving Forms:
1: All holders, whether registered or non-registered, will get the same Form
2: 1 for registered, 1 for non-registered
3: 1 for all registered, 1 for non-US non-registered, 1 for US non-registered
4: 1 for non-US registered, 1 for US registered, 1 for non-US non-registered, 1 for US non-registered
B) If only non-registered holders are receiving Forms:
1: All non-registered holders will get the same Form
2: 1 for non-US non-registered, 1 for US non-registered
C) If only registered holders are receiving Forms:
1: All registered holders will get the same Form
2: 1 for non-US registered, 1 for US registered
3
D) Action Items & Key Dates
Action item or key date
Requirement
Date
yyyy-mm-dd
?
Responsibility
1
File Notice of MD & RD
with commissions & exchanges*
Min. 25 days prior to
RD (per NI 54-101)
?
AST
Issuer or Other
2
File Notice of MD & RD with
depository (CDS)*
?
AST
3
Send Intermediary Search
Request (Search Card)*
Min. 20 days prior to
RD (per NI 54-101)
?
4
Record Date (RD)*
30/40 to 60 days prior
to MD (per NI 54-101)
?
N/A
5
Delivery of bulk materials to:
5a
• AST
3 business days
prior to #6
?
Issuer
5b
• BR-US (if searching US)
Min. 21/30 days prior
to MD + 5 business
days
?
5c
• BR-CA
Min. 21/30 days prior
to MD + 3 business
days (per NI 54-101)
5d
• Non-BR intermediaries*
AST
6
• Mailing Date to holders*
(1) Min. 21/30 days
prior to MD (per NI
54-101)
(2) If mailing Annual
Report/AFS/MD&A,
also consider
applicable regulatory
mailing deadline
?
AST
Issuer or Other
7
Deadline for filing proxies with
AST*
N/A
?
N/A
Time:
Zone:
8
Meeting Date (MD)*
No later than 15
months since last
meeting and 6
months after year end
?
N/A
Time:
Zone:
BR-US = Broadridge-US / BR-CA = Broadridge-Canada
Date:
Date:
4
E) Notice-and-Access Specifications
Mark this box and complete below if you will use Notice-and-Access
If Yes, please ensure that Section B confirms the same.
?
1
Will you stratify mailings such that some holders will receive a full
set of mailing materials? If “Yes”, provide details in Special
Instructions.
?
Yes
No
2
Would you like AST to provide website document hosting
services?
?
Yes
No
3
Would you like AST to provide fulfillment services for:
?
A. Holders initially mailed to by AST?
Yes
No
N/A
B. Non-registered holders initially mailed to by non-BR
intermediaries?
Yes
No
N/A
C. Non-registered holders initially mailed to by BR-CA?
Yes
No
N/A
D. Non-registered holders initially mailed to by BR-US?
Yes
No
N/A
If “No” to any of the above, specify who will be responsible in
Special Instructions.
4
Special Instructions For Notice-and-Access & Stratification Information:
F) Other Specifications
1a
Would you like AST to perform the NOBO mailing and
tabulation? (If “Yes”, file the F9 Undertaking with AST together
with this Planner)*
F9
Undertaking
?
Yes
No
1b
If “No” to 1a, would you still like to receive a copy of the NOBO
list? (If “Yes”, file the F9 Undertaking with AST together with
this Planner)*
?
Yes
No
2
Would you like AST to perform electronic distribution of materials to registered
holders, where consent has been obtained?
?
Yes
No
3
Would you like Intermediaries to perform electronic distribution of materials to
NOBOs and/or OBOs, where consent has been obtained?*
?
Yes
No
4
Would you like AST to provide electronic voting facilities to registered holders
and, if AST is performing the NOBO mailing, to NOBOs?
?
Yes
No
5
Would you like AST to provide telephone voting?
?
Yes
No
6
Would you like AST to search US intermediaries? (“Yes” if Section 12) *
?
Yes
No
7
Will you pay for the mailing to OBOs? *
?
Yes
No
8
Confidential Voting
Yes
No
9
Would you like materials to be mailed to declining NOBOs and OBOs?*
?
Yes
No
10a
Other than mailing and tabulating for registered holders and, if specified above,
for NOBOs, would you like AST to mail and tabulate for any other holders? If yes,
specify in Special Instructions.
?
Yes
No
5
F) Other Specifications (continued)
10b
If “Yes” to 10a, does AST or one of its affiliates separately act as agent for such
holders?
?
Yes
No
11
Address for Intermediary Billing (Contact name,
address, phone #, fax # and email address for
invoicing.*
12
E-mail estimated mailing material quantities to:
13
E-mail confirmation of mailing to:
14
Courier affidavit of mailing (for tabling at meeting)
to (name and address):
15
Following mailing, courier excess material to
(name and address), except for “fulfillment” items
(if using N&A), unless box below is checked:
Recycle excess material, except for “fulfillment” items (if using N&A).
16
Following meeting, courier final reports,
attendance lists and proxies to (name and
address):
17
Special Instructions:
18
FOR INTERNAL USE ONLY:
G) Issuer Approval
On behalf of the Issuer, I approve this completed Planner and direct CST to proceed accordingly.
Name
Tel
Email
6
National Instrument 54-101 54-101F9 Undertaking
Note: Terms used in this Form have the meanings given to them in National Instrument 54-101. The use of this Form
is referenced in sections 2.5, 6.1 and 6.2 of National Instrument 54-101.
I ________________________________________________________________________________
(Full Residence Address) _____________________________________________________________
(If this undertaking is made on behalf of a body corporate, set out the full legal name of the body corporate, position of person signing and
address for service of the body corporate).
SOLEMNLY DECLARE AND UNDERTAKE THAT:
1 I require a list in the required format of the non-objecting beneficial owners of securities of [insert name of the
reporting issuer] on whose behalf intermediaries hold securities (a NOBO list), as shown on the records of the
intermediaries.
Initial box if reporting issuer
2 I undertake that the information set out on the NOBO list will be used only in connection with matters relating to the
affairs of the reporting issuer.
Initial box if person or company other than the reporting issuer
2 I undertake that the information set out on the NOBO list will be used only for one or more of the following purposes:
(a
) sending security holder materials direct
ly to NOBOs in accordance with National Instrument 54-101;
(b) an effort to influence the voting of security holders of the
reporting issuer; or
(c) an offer to acquire securities of the reporting issuer.
3 I undertake that,
except as permitted under National Instrument 54-101, the NOBO list will not be used to send security
holder materials to those NOBOs that are identified on the NOBO list as having chosen not to receive the materials,
and that the materials sent shall include the following statement:
These security holder materials are being sent to both registered and non-registered owners of the securities. If you are
a non-registered owner, and the issuer or its agent has sent these materials directly to you, your name and address and
information about your holdings of securities, have been obtained in accordance with applicable securities regulatory
requirements from the intermediary holding on your behalf.
4 I acknowledge that it is a contravention of the law to use a list for purposes other than in connection with one or more
of the following:
(a
) Sending security holder materi
als to NOBOs in accordance with National Instrument 54-101;
(b) An effort to influence the voting of security holders of t
he reporting issuer; or
(c) An offer to acquire securities of the reporting issuer.
5 I declare that I
(or the person or company I am using to make this request) have the technological capacity to receive
the NOBO list.
___________________________________________________
Signature
__________________________________________________
Name of person signing (please print)
__________________________________________________
Date
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ISSUER MEETING PLANNER (AST)

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Completed 21 June 2021

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