|
加拿大安大略省
(省或其他辖区 成立公司或组织) |
| |
1040
(主要标准行业 分类代码号) |
| |
不适用
(税务局雇主 标识号) |
|
|
拷贝至:
|
| ||||||
|
劳拉·米斯纳
斯普罗特资产管理公司LP 南塔皇家银行广场 湾街200号,2600套房 安大略省多伦多 加拿大M5J 2J1 (416) 943-8099 |
| |
David Palumbo,Esq.
贝克·麦肯齐律师事务所 Brookfield Place 海湾/惠灵顿大厦 湾街181号,2100套房 安大略省多伦多 加拿大M5J 2T3 (416) 865-6879 |
| |
Anthony Tu-sekine,Esq.
Seward&Kissel律师事务所 西北部K街901号 华盛顿特区20001 (202) 737-8833 |
|
A.
|
|
根据规则第467(A)条向委员会提交申请时(如果与同时在美国和加拿大进行的发行有关)。 |
B.
|
☐
|
在未来某个日期(选中下面相应的框) |
1.
|
☐
|
根据规则第467(B)条,于(日期)于(时间)(指定一个不早于提交后7个历日的时间)。 |
2.
|
☐
|
根据规则第467(B)条,于(日期)于(时间)(指定在备案后7个历日或更早的时间),因为复审管辖区的证券监督管理机构已于(日期)出具结算收据或通知。 |
3.
|
☐
|
根据规则467(B),在注册人或审查司法管辖区的加拿大证券监管机构通知委员会已就此发出收据或批准通知后,应在切实可行范围内尽快完成。 |
4.
|
☐
|
在提交本表格的下一次修订后(如果正在提交初步材料)。 |
| | ||||||||||||||||||||||
拟登记的各类证券名称
|
| | |
金额为
已注册 |
| | |
建议的最大值
发行价 每台 |
| | |
建议的最大值
聚合 发行价(1)(2) |
| | |
金额
注册费(3) |
| ||||||
个单位
|
| | | | | | | | | | | | $ | 3,000,000,000 | | | | | | $ | 327,300 | | |
| | |
第
页
|
| |||
财务信息和会计原则
|
| | | | 2 | | |
汇率
|
| | | | 2 | | |
通过引用并入的文档
|
| | | | 2 | | |
其他信息
|
| | | | 4 | | |
民事责任的可执行性
|
| | | | 4 | | |
有关前瞻性陈述的注意事项
|
| | | | 5 | | |
Sprott实体银信
|
| | | | 5 | | |
费用和开支
|
| | | | 11 | | |
风险因素
|
| | | | 13 | | |
收益使用情况
|
| | | | 14 | | |
大写
|
| | | | 14 | | |
信任单位说明
|
| | | | 14 | | |
以前的销售额
|
| | | | 15 | | |
信托单位市场价
|
| | | | 18 | | |
配送计划
|
| | | | 19 | | |
物料税考虑因素
|
| | | | 20 | | |
美国ERISA注意事项
|
| | | | 32 | | |
加拿大免税计划投资税法规定的资格
|
| | | | 33 | | |
审核员
|
| | | | 33 | | |
法律事务
|
| | | | 33 | | |
作为注册声明的一部分提交的文件
|
| | | | 33 | | |
豁免和审批
|
| | | | 34 | | |
| | |
年终
12月31日 |
| |||||||||
| | |
2020
|
| |
2019
|
| ||||||
低
|
| | | $ | 0.6898 | | | | | $ | 0.7353 | | |
高
|
| | | $ | 0.7863 | | | | | $ | 0.7699 | | |
平均
|
| | | $ | 0.7461 | | | | | $ | 0.7537 | | |
结束
|
| | | $ | 0.7854 | | | | | $ | 0.7699 | | |
费用类型
|
| |
金额和说明
|
|
管理费:
|
| |
信托每月向基金经理支付相当于信托净资产价值(根据信托协议确定)的0.45%的1/12的管理费,外加任何适用的加拿大税(如统一销售税)。管理费按日计算,按月计提,每月最后一天拖欠。
|
|
运营费用:
|
| |
除非另有说明,否则信托公司负责与持续运营相关的所有成本和费用,
|
|
费用类型
|
| |
金额和说明
|
|
| | |
信托的管理,包括但不限于:受托人、经理、任何投资经理、铸币局、加拿大皇家银行投资者服务公司作为托管人、信托的任何子托管人、登记员、转让代理和估值代理应付和发生的费用;实物银条的交易和手续费,包括为伦敦交付而购买的任何实物银条的运输费;实物银条的存储费;托管结算费;交易对手费用;法律、审计、会计向单位持有人报告和召开单位持有人会议的费用和开支;印刷和邮寄费用;应付给适用的证券监管机构和证券交易所的备案和上市费用;与信托不断披露公开申报要求和投资者关系有关的其他行政费用和费用;信托应付的或信托可能缴纳的任何适用的加拿大税费;利息费用和借款费用(如果有);经纪费用和佣金;与发行信托单位有关的费用和费用,包括出售信托公司时应支付给CF&Co、Virtu和Virtu Canada的费用。与信托独立审查委员会的实施和持续运作相关的任何费用;因遵守所有适用法律而产生的成本和开支;以及信托终止时发生的任何支出。
|
|
其他费用:
|
| |
本信托负责任何诉讼、诉讼或其他法律程序的费用及开支,而在该等诉讼、诉讼或其他法律程序中,受托人、基金经理、铸币局、加拿大皇家银行投资者服务公司作为托管人、任何分托管人、估值代理人、登记及转让代理或其发行的承销商及/或其各自的任何高级人员、董事、雇员、顾问或代理人有权获得信托的弥偿。
|
|
费用类型
|
| |
金额和说明
|
|
赎回和送货成本:
|
| |
除上述规定外,兑换现金时不需支付赎回费。然而,如果单位持有人选择在赎回信托基金单位时收到实物银条,单位持有人将负责与赎回相关的费用和适用的交付费用,包括处理赎回通知、为正在赎回的信托基金单位交付实物银条以及适用的白银存储赎回费用。
|
|
其他费用:
|
| |
不收取其他费用。如果适用,单位持有人可能需要支付经纪佣金或与信托单位交易相关的其他费用。
|
|
| | | | | | | | | | | | | |
日期
|
| |
每件价格
信任单位 |
| |
信任数量
已发行数量 |
| ||||||
02-06-20 | | | | | 6.5646 | | | | | | 121,706 | | |
02-18-20 | | | | | 6.6231 | | | | | | 1,205,564 | | |
02-24-20 | | | | | 6.8894 | | | | | | 750,000 | | |
03-02-20 | | | | | 6.2526 | | | | | | 579,862 | | |
03-17-20 | | | | | 4.8326 | | | | | | 232,042 | | |
03-19-20 | | | | | 4.5930 | | | | | | 849,000 | | |
03-20-20 | | | | | 4.7645 | | | | | | 950,000 | | |
03-23-20 | | | | | 4.9234 | | | | | | 2,528,600 | | |
03-24-20 | | | | | 5.2133 | | | | | | 2,285,140 | | |
03-25-20 | | | | | 5.3490 | | | | | | 1,263,000 | | |
03-26-20 | | | | | 5.3964 | | | | | | 482,541 | | |
03-27-20 | | | | | 5.3545 | | | | | | 862,644 | | |
03-30-20 | | | | | 5.3835 | | | | | | 74,440 | | |
03-31-20 | | | | | 5.2764 | | | | | | 778,712 | | |
04-01-20 | | | | | 5.2300 | | | | | | 266,600 | | |
04-02-20 | | | | | 5.3583 | | | | | | 1,388,274 | | |
04-03-20 | | | | | 5.4202 | | | | | | 287,538 | | |
04-06-20 | | | | | 5.4898 | | | | | | 1,702,893 | | |
04-07-20 | | | | | 5.6646 | | | | | | 408,021 | | |
04-08-20 | | | | | 5.6231 | | | | | | 647,276 | | |
04-09-20 | | | | | 5.7057 | | | | | | 1,400,986 | | |
04-13-20 | | | | | 5.7453 | | | | | | 1,079,734 | | |
04-14-20 | | | | | 5.8281 | | | | | | 1,240,000 | | |
04-16-20 | | | | | 5.7427 | | | | | | 526,006 | | |
04-20-20 | | | | | 5.6747 | | | | | | 1,002,498 | | |
04-22-20 | | | | | 5.5503 | | | | | | 1,000,000 | | |
04-22-20 | | | | | 5.5680 | | | | | | 1,283,966 | | |
04-23-20 | | | | | 5.6076 | | | | | | 1,342,707 | | |
04-24-20 | | | | | 5.6538 | | | | | | 371,585 | | |
04-27-20 | | | | | 5.6709 | | | | | | 586,081 | | |
04-28-20 | | | | | 5.6556 | | | | | | 666,019 | | |
04-29-20 | | | | | 5.6613 | | | | | | 1,435,099 | | |
05-01-20 | | | | | 5.5703 | | | | | | 919,461 | | |
| | | | | | | | | | | | | |
日期
|
| |
每件价格
信任单位 |
| |
信任数量
单位问题 |
| ||||||
05-04-20 | | | | | 5.5631 | | | | | | 161,044 | | |
05-05-20 | | | | | 5.5353 | | | | | | 1,808,166 | | |
05-07-20 | | | | | 5.5988 | | | | | | 1,888,221 | | |
05-08-20 | | | | | 5.7213 | | | | | | 302,105 | | |
05-11-20 | | | | | 5.7377 | | | | | | 256,099 | | |
05-12-20 | | | | | 5.7583 | | | | | | 392,327 | | |
05-13-20 | | | | | 5.7247 | | | | | | 782,982 | | |
05-14-20 | | | | | 5.7664 | | | | | | 460,500 | | |
05-15-20 | | | | | 6.0558 | | | | | | 1,290,000 | | |
05-15-20 | | | | | 6.0854 | | | | | | 1,000,322 | | |
05-18-20 | | | | | 6.2639 | | | | | | 1,747,872 | | |
05-19-20 | | | | | 6.3838 | | | | | | 1,207,669 | | |
05-20-20 | | | | | 6.4255 | | | | | | 794,232 | | |
05-22-20 | | | | | 6.3126 | | | | | | 142,298 | | |
05-28-20 | | | | | 6.3742 | | | | | | 17,829 | | |
05-29-20 | | | | | 6.4826 | | | | | | 1,251,462 | | |
06-01-20 | | | | | 6.6188 | | | | | | 1,296,705 | | |
06-08-20 | | | | | 6.4200 | | | | | | 57,963 | | |
06-10-20 | | | | | 6.4958 | | | | | | 578,378 | | |
06-16-20 | | | | | 6.4013 | | | | | | 13,015 | | |
06-17-20 | | | | | 6.4300 | | | | | | 19,640 | | |
06-19-20 | | | | | 6.4174 | | | | | | 680,000 | | |
06-22-20 | | | | | 6.5347 | | | | | | 298,002 | | |
06-23-20 | | | | | 6.5375 | | | | | | 280,462 | | |
06-25-20 | | | | | 6.4528 | | | | | | 564,736 | | |
06-30-20 | | | | | 6.6130 | | | | | | 925,064 | | |
06-30-20 | | | | | 6.6047 | | | | | | 778,015 | | |
07-02-20 | | | | | 6.6310 | | | | | | 467,206 | | |
07-06-20 | | | | | 6.7000 | | | | | | 750,000 | | |
07-06-20 | | | | | 6.6905 | | | | | | 1,107,894 | | |
07-07-20 | | | | | 6.7232 | | | | | | 262,310 | | |
07-08-20 | | | | | 6.8341 | | | | | | 1,768,674 | | |
07-09-20 | | | | | 6.9326 | | | | | | 301,337 | | |
07-10-20 | | | | | 6.8668 | | | | | | 414,017 | | |
07-13-20 | | | | | 7.0200 | | | | | | 350,000 | | |
07-13-20 | | | | | 7.0251 | | | | | | 1,930,078 | | |
07-14-20 | | | | | 7.0164 | | | | | | 335,000 | | |
07-15-20 | | | | | 7.0813 | | | | | | 925,000 | | |
07-17-20 | | | | | 7.0671 | | | | | | 835,000 | | |
07-21-20 | | | | | 7.7498 | | | | | | 2,105,13 | | |
07-22-20 | | | | | 8.0733 | | | | | | 3,457,522 | | |
| | | | | | | | | | | | | |
日期
|
| |
每件价格
信任单位 |
| |
信任数量
已发行数量 |
| ||||||
07-24-20 | | | | | 8.3091 | | | | | | 764,015 | | |
07-27-20 | | | | | 8.7509 | | | | | | 5,126,569 | | |
07-29-20 | | | | | 8.9681 | | | | | | 128,850 | | |
07-31-20 | | | | | 8.6266 | | | | | | 1,807,822 | | |
08-04-20 | | | | | 9.1000 | | | | | | 250,000 | | |
08-04-20 | | | | | 9.0432 | | | | | | 2,205,765 | | |
08-05-20 | | | | | 9.6099 | | | | | | 797,500 | | |
08-06-20 | | | | | 10.0400 | | | | | | 250,000 | | |
08-06-20 | | | | | 10.0890 | | | | | | 1,557,987 | | |
08-10-20 | | | | | 10.3880 | | | | | | 1,300,000 | | |
08-12-20 | | | | | 9.1333 | | | | | | 1,900,000 | | |
08-13-20 | | | | | 9.5200 | | | | | | 1,420,000 | | |
08-17-20 | | | | | 9.6683 | | | | | | 662,666 | | |
08-28-20 | | | | | 9.8548 | | | | | | 92,513 | | |
08-31-20 | | | | | 10.0432 | | | | | | 975,344 | | |
09-28-20 | | | | | 8.3580 | | | | | | 402,000 | | |
09-29-20 | | | | | 8.6326 | | | | | | 143,747 | | |
10-01-20 | | | | | 8.4841 | | | | | | 617,804 | | |
10-07-20 | | | | | 8.4054 | | | | | | 171,662 | | |
10-09-20 | | | | | 8.7076 | | | | | | 820,000 | | |
11-05-20 | | | | | 8.7465 | | | | | | 1,600,000 | | |
11-05-20 | | | | | 8.8401 | | | | | | 195,800 | | |
12-01-20 | | | | | 8.2685 | | | | | | 51,200 | | |
12-28-20 | | | | | 9.3933 | | | | | | 75,000 | | |
01-04-21 | | | | | 9.6330 | | | | | | 826,124 | | |
01-04-21 | | | | | 9.5899 | | | | | | 391,000 | | |
01-12-21 | | | | | 9.0644 | | | | | | 251,840 | | |
01-28-21 | | | | | 9.2307 | | | | | | 2,761,000 | | |
01-28-21 | | | | | 9.2617 | | | | | | 1,161,100 | | |
01-29-21 | | | | | 9.8020 | | | | | | 4,700 | | |
01-29-21 | | | | | 9.6747 | | | | | | 1,205,289 | | |
02-01-21 | | | | | 10.5714 | | | | | | 16,585,973 | | |
02-01-21 | | | | | 10.6430 | | | | | | 1,482,500 | | |
02-03-21 | | | | | 9.7525 | | | | | | 3,196,767 | | |
02-03-21 | | | | | 9.7510 | | | | | | 222,900 | | |
02-05-21 | | | | | 9.6852 | | | | | | 3,234,466 | | |
02-05-21 | | | | | 9.6823 | | | | | | 199,800 | | |
02-08-21 | | | | | 9.8511 | | | | | | 3,086,357 | | |
02-08-21 | | | | | 9.8581 | | | | | | 231,500 | | |
02-09-21 | | | | | 9.8909 | | | | | | 482,869 | | |
02-10-21 | | | | | 9.8870 | | | | | | 432,913 | | |
| | | | | | | | | | | | | |
日期
|
| |
每件价格
信任单位 |
| |
信任数量
已发行数量 |
| ||||||
02-11-21 | | | | | 9.8194 | | | | | | 2,932,383 | | |
02-11-21 | | | | | 9.8281 | | | | | | 266,000 | | |
02-12-21 | | | | | 9.7937 | | | | | | 3,000,000 | | |
02-12-21 | | | | | 9.8020 | | | | | | 231,100 | | |
02-16-21 | | | | | 9.9899 | | | | | | 1,140,200 | | |
02-16-21 | | | | | 9.9594 | | | | | | 8,718,790 | | |
02-17-21 | | | | | 9.8472 | | | | | | 3,719,200 | | |
02-17-21 | | | | | 9.8320 | | | | | | 1,712,500 | | |
02-17-21 | | | | | 9.8586 | | | | | | 4,460,000 | | |
02-18-21 | | | | | 9.8960 | | | | | | 226,200 | | |
02-18-21 | | | | | 9.9018 | | | | | | 1,091,050 | | |
02-19-21 | | | | | 9.8683 | | | | | | 1,920,300 | | |
02-19-21 | | | | | 9.8606 | | | | | | 500,510 | | |
02-19-21 | | | | | 9.8919 | | | | | | 3,700,000 | | |
02-22-21 | | | | | 9.9872 | | | | | | 6,235,200 | | |
02-22-21 | | | | | 9.8901 | | | | | | 1,519,555 | | |
02-22-21 | | | | | 9.9380 | | | | | | 7,471,700 | | |
02-23-21 | | | | | 10.1525 | | | | | | 734,498 | | |
02-24-21 | | | | | 10.0432 | | | | | | 817,300 | | |
02-24-21 | | | | | 10.0137 | | | | | | 3,250,000 | | |
02-25-21 | | | | | 10.0637 | | | | | | 74,400 | | |
02-25-21 | | | | | 10.0923 | | | | | | 1,100,000 | | |
02-26-21 | | | | | 9.8291 | | | | | | 445,500 | | |
03-01-21 | | | | | 9.7201 | | | | | | 738,100 | | |
03-01-21 | | | | | 9.7219 | | | | | | 5,279,311 | | |
03-02-21 | | | | | 9.6185 | | | | | | 2,879,839 | | |
03-02-21 | | | | | 9.6328 | | | | | | 92,500 | | |
03-08-21 | | | | | 9.1105 | | | | | | 116,700 | | |
03-08-21 | | | | | 9.1225 | | | | | | 121,114 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | |
纽约证交所ARCA
|
| |
多伦多证券交易所
|
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日历期间
|
| |
高($)
|
| |
低($)
|
| |
平均
卷(1) |
| |
高
(Cdn$) |
| |
低
(Cdn$) |
| |
平均
卷 |
| ||||||||||||||||||
2020年2月 | | | | | 6.91 | | | | | | 5.91 | | | | | | 1,008,018.05 | | | | | | 9.17 | | | | | | 7.97 | | | | | | 38,569.11 | | |
2020年3月 | | | | | 6.35 | | | | | | 4.34 | | | | | | 2,997,403.36 | | | | | | 8.80 | | | | | | 6.26 | | | | | | 159,004.95 | | |
2020年4月 | | | | | 5.90 | | | | | | 5.15 | | | | | | 2,609,555.67 | | | | | | 8.29 | | | | | | 7.29 | | | | | | 87,457.38 | | |
2020年5月 | | | | | 6.51 | | | | | | 5.51 | | | | | | 2,698,820.55 | | | | | | 9.00 | | | | | | 7.74 | | | | | | 155,708.25 | | |
2020年6月 | | | | | 6.66 | | | | | | 6.16 | | | | | | 1,517,288.82 | | | | | | 9.13 | | | | | | 8.36 | | | | | | 126,016.18 | | |
2020年7月 | | | | | 9.03 | | | | | | 6.53 | | | | | | 4,081,488.68 | | | | | | 12.04 | | | | | | 8.94 | | | | | | 336,655.45 | | |
2020年8月 | | | | | 10.46 | | | | | | 8.56 | | | | | | 5,530,766.38 | | | | | | 13.97 | | | | | | 11.71 | | | | | | 502,547.20 | | |
2020年9月 | | | | | 10.25 | | | | | | 7.75 | | | | | | 2,810,946.62 | | | | | | 13.49 | | | | | | 10.39 | | | | | | 224,615.67 | | |
2020年10月 | | | | | 8.90 | | | | | | 8.07 | | | | | | 1,777,013.55 | | | | | | 11.65 | | | | | | 10.79 | | | | | | 103,620.48 | | |
2020年11月 | | | | | 9.00 | | | | | | 7.73 | | | | | | 1,893,007.10 | | | | | | 11.75 | | | | | | 10.01 | | | | | | 182,733.86 | | |
2020年12月 | | | | | 9.42 | | | | | | 8.14 | | | | | | 1,485,212.05 | | | | | | 11.98 | | | | | | 10.54 | | | | | | 131,670.10 | | |
2021年1月 | | | | | 9.81 | | | | | | 8.6198 | | | | | | 3,148,481.68 | | | | | | 12.51 | | | | | | 11.04 | | | | | | 327,588.95 | | |
2021年2月 | | | | | 11.08 | | | | | | 9.41 | | | | | | 13,781,711.53 | | | | | | 14.10 | | | | | | 12.07 | | | | | | 1,699,718.74 | | |
2021年3月1日 - 8 | | | | | 9.86 | | | | | | 8.84 | | | | | | 9,325,306.50 | | | | | | 12.50 | | | | | | 11.21 | | | | | | 594,745.33 | | |
展品
号码 |
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说明
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4.1
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截至2019年12月31日的财政年度信托年度信息表,日期为2020年3月30日(引用信托于2020年3月31日提交给委员会的截至2019年12月31日的年度报告FORM 40-F)。
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4.2
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截至2019年12月31日的财政年度经审计的信托比较财务报表及其附注,以及审计师的报告(通过参考2020年3月31日提交给委员会的信托公司截至2019年12月31日的年度报告Form 40-F合并而成)。
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4.3
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管理层对截至2019年12月31日的财政年度信托的财务状况和经营结果的讨论和分析(通过参考2020年3月31日提交给委员会的信托公司截至2019年12月31日的财政年度Form 40-F年度报告而并入)。
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4.4
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信托截至2020年9月30日的未经审计的中期财务状况表,以及截至2020年9月30日和2019年9月30日的9个月期间的未经审计的中期综合收益(亏损)、权益和现金流量变动表(通过引用2020年11月13日提交给委员会的信托6-K表格附件99.1并入)。
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5.1
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毕马威会计师事务所同意。
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5.2
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Baker&McKenzie and LLP同意。
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5.3
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Seward&Kissel and LLP同意。
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5.4
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授权书(包括在此签名页上)。
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签名
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标题
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斯普罗特资产管理公司,
信托基金经理 |
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/s/John Ciampaglia
John Ciampaglia
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| | 首席执行官兼董事*(首席执行官) | |
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/s/Varinder Bhathal
Varinder Bhathal
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| | 首席财务官(首席财务官和首席会计官) | |
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/s/Kevin Hibbert
凯文·希伯特
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| | 导演* | |
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/s/惠特尼·乔治
惠特尼·乔治
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| | 导演* | |