Exchange Bulletin
Caldwell U.S. Dividend Advantage Fund (UDA) To Trade On Toronto Stock Exchange
March 12, 2020
Issuer: Caldwell U.S. Dividend Advantage Fund (the "Fund")
| Security | Symbol | Issued and Outstanding Securities | Reserved Securities | Issue Price |
|---|---|---|---|---|
| ETF units (the "Units") | UDA | 100,000 | None | $12.00 |
| Listing category: | Non-Corporate |
| Trading currency: | CDN$ |
| Transaction: | Initial public offering of Units (the "Offering") |
| Anticipated closing date: | March 13, 2020 |
| Anticipated listing date: | March 13, 2020 (as at 5:01 p.m.) in anticipation of closing of the Offering. |
| Posted for trading date: | March 16, 2020 (at the opening) subject to confirmation of closing of the Offering. |
| Other market(s): | None |
| Designated market maker: | National Bank Financial Inc. |
| Security ownership registration: | CDS book-entry only system and non-certificated issue. |
| Investor relations: | Richard Faiella Tel: (416) 593-1798 Email: rfaiella@caldwellinvestment.com |
| Incorporation: | The Fund is a mutual fund established as a trust under the laws of the Province of Ontario pursuant to an amended and restated master declaration of trust dated December 17, 2019. |
| Manager and Trustee: | Caldwell Investment Management Ltd. |
| Fiscal year end: | December 31 |
| Nature of business: | The Fund seeks to provide unitholders with: (i) monthly distributions; and (ii) the potential for capital appreciation and enhanced long-term risk adjusted returns. The Fund invests primarily in dividend paying equity securities of U.S. domiciled issuers or issuers that derive a significant portion of their revenue or earnings from the U.S. |
| Transfer agent and registrar: | AST Trust Company (Canada) at its principal office in Toronto. |
| No Switching of Units: | Units of the Fund may not be switched for units of another Fund. |
| Distributions | Income distributions, if any on Units of the Fund will be paid in cash and are expected to be paid monthly. |
| Sponsorship: | Not applicable |
| Offering document: | Amended and restated simplified prospectus and amended and restated annual information form both dated February 13, 2020 (the "Offering Documents"), which are available at www.SEDAR.com. Capitalized terms not otherwise defined herein are as defined in the Offering Documents. |
| Initial public offering: | 100,000 Units will be issued at a subscription price of $12.00 per Unit. The Units are being issued and sold on a continuous basis and there is no maximum number of Units that may be issued. |
| TSX contact: | Chris Birkett, Director, Toronto Stock Exchange |
