Exchange Bulletin
Brompton Wellington Square AAA CLO ETF (BAAA, BAAA.U) To Trade On Toronto Stock Exchange
April 22, 2025
Issuer: Brompton Wellington Square AAA CLO ETF (the "ETF")
| Security | Symbol | Issued and Outstanding Securities | Reserved Securities | Issue Price |
|---|---|---|---|---|
| CAD Units | BAAA | 950,000 | None | CDN $20 |
| USD Units | BAAA.U | 37,500 | None | USD $20 |
| Listing category: | Non-Corporate |
| Trading currency of CAD Units: | CDN$ |
| Trading currency of USD Units: | USD$ |
| Transaction: | Initial public offering of CAD Units and USD Units (together, the "Units") (the "Offering"). |
| Anticipated closing date: | April 22, 2025 |
| Listing date: | April 22, 2025 (as at 5:01 pm) in anticipation of closing of the Offering. |
| Posted for trading date: | April 23, 2025 (at the opening) subject to confirmation of closing of the Offering. |
| Other market(s): | None |
| Designated market maker: | RBC Capital Markets |
| Investor relations: | Christopher Cullen Senior Vice President (416) 642-9064 cullen@bromptongroup.com |
| Incorporation: | The ETF is an exchange traded mutual fund established under the laws of the Province of Ontario pursuant to an amended and restated declaration of trust dated as of April 10, 2025. |
| Manager and Trustee: | Brompton Funds Limited |
| Fiscal year end: | December 31 |
| Nature of business: | The investment objectives of the ETF are to provide Unitholders with high monthly income and capital preservation through investment in a portfolio of primarily AAA rated CLOs (as defined in the Prospectus). The ETF seeks to hedge substantially all of its direct foreign currency exposure back to the Canadian dollar. However, any exposure that the ETF's assets allocable to the USD Units have to foreign currencies will not be hedged back to the Canadian dollar. |
| Transfer agent and registrar: | TSX Trust Company at its principal office in Toronto. |
| Distributions: | Cash distributions, if any, on Units of the ETF will be made in the currency in which the Units are denominated and will be payable monthly. |
| Sponsorship: | Not applicable. |
| Offering Document: | Prospectus dated April 10, 2025 (the "Prospectus"), which is available at www.sedarplus.ca. Capitalized terms not otherwise defined herein are as defined in the Prospectus. |
| Additional information: | The USD Units will be quoted and traded on Toronto Stock Exchange in US funds and trading information regarding the USD Units will appear under the heading "Trading in US Funds" in the TSX Monthly Review. |
| Initial public offering: | 950,000 CAD Units will be issued at a subscription price of CDN$20 per CAD Unit and 37,500 USD Units will be issued at a subscription price of USD$20 per USD Unit. Units are being issued and sold on a continuous basis and there is no maximum number of Units that may be issued. |
| TSX contact: | Selma Thaver, Managing Director, TSX Listings |