The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM D Notice of Exempt Offering of Securities |
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1. Issuer's Identity
CIK (Filer ID Number) | Previous Names |
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0001505817 |
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Name of Issuer | |||||||||||||||||
Fiera Capital Corp | |||||||||||||||||
Jurisdiction of Incorporation/Organization | |||||||||||||||||
ONTARIO, CANADA | |||||||||||||||||
Year of Incorporation/Organization | |||||||||||||||||
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2. Principal Place of Business and Contact Information
Name of Issuer | |||
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Fiera Capital Corp | |||
Street Address 1 | Street Address 2 | ||
1501 MCGILL COLLEGE AVENUE | SUITE 800 | ||
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
MONTREAL | QUEBEC, CANADA | H3A 3M8 | 514-954-3300 |
3. Related Persons
Last Name | First Name | Middle Name |
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Desjardins | Jean-Guy | |
Street Address 1 | Street Address 2 | |
619 Sydenham Avenue | ||
City | State/Province/Country | ZIP/PostalCode |
Westmount | QUEBEC, CANADA | H3Y 2Z3 |
Relationship: | X | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Chairman of the Board and Chief Executive OfficerLast Name | First Name | Middle Name |
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Berthiaume | Denis | |
Street Address 1 | Street Address 2 | |
2768 Belcourt | ||
City | State/Province/Country | ZIP/PostalCode |
Longueuil | QUEBEC, CANADA | J4M 1Y7 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
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Brosseau | Sylvain | |
Street Address 1 | Street Address 2 | |
600 rue des Champs-Elysees | ||
City | State/Province/Country | ZIP/PostalCode |
Repentigny | QUEBEC, CANADA | J5Y 0B9 |
Relationship: | X | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
President and Chief Operating OfficerLast Name | First Name | Middle Name |
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Laurin | Raymond | |
Street Address 1 | Street Address 2 | |
133 Des Eperviers | ||
City | State/Province/Country | ZIP/PostalCode |
Levis | QUEBEC, CANADA | G6V 7K4 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
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Monty | Jean | C. |
Street Address 1 | Street Address 2 | |
1485 Sherbrooke Street West, Suite 8B | ||
City | State/Province/Country | ZIP/PostalCode |
Montreal | QUEBEC, CANADA | H3G 0A3 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
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Pennycook | David | |
Street Address 1 | Street Address 2 | |
19 McGlashan Court | ||
City | State/Province/Country | ZIP/PostalCode |
North York | ONTARIO, CANADA | M5M 4M6 |
Relationship: | X | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Vice Chairman and Executive Vice-President, Institutional MarketsLast Name | First Name | Middle Name |
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Pistono | Lise | |
Street Address 1 | Street Address 2 | |
19 D'Avaugour | ||
City | State/Province/Country | ZIP/PostalCode |
Laval | QUEBEC, CANADA | H7G 1S4 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
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Scace | Arthur | R.A. |
Street Address 1 | Street Address 2 | |
Granite Palace, 63 St. Clair Avenue West | Suite 1904 | |
City | State/Province/Country | ZIP/PostalCode |
Toronto | ONTARIO, CANADA | M4V 2Y9 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
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Shaw | David | R. |
Street Address 1 | Street Address 2 | |
1888 Bayview Avenue | Suite 101 | |
City | State/Province/Country | ZIP/PostalCode |
Toronto | ONTARIO, CANADA | M4G 0A7 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
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Vachon | Louis | |
Street Address 1 | Street Address 2 | |
120 Beaconsfield Blvd. | ||
City | State/Province/Country | ZIP/PostalCode |
Beaconsfield | QUEBEC, CANADA | H9W 3Z7 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
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Blanchette | Pierre | |
Street Address 1 | Street Address 2 | |
812 rue de Fribourg | ||
City | State/Province/Country | ZIP/PostalCode |
Laval | QUEBEC, CANADA | H7K 3X4 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Senior Vice President, FinanceLast Name | First Name | Middle Name |
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Des Roches | Violaine | |
Street Address 1 | Street Address 2 | |
11 Beloeil Avenue | ||
City | State/Province/Country | ZIP/PostalCode |
Outremont | QUEBEC, CANADA | H2V 2Z1 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Senior Vice President, Legal Affairs and Compliance, Chief Compliance Officer and Corporate SecretaryLast Name | First Name | Middle Name |
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Roy | Sylvain | |
Street Address 1 | Street Address 2 | |
850 des Fauvettes | ||
City | State/Province/Country | ZIP/PostalCode |
Longueuil | QUEBEC, CANADA | J4G 2L7 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Chief Investment Officer and Executive Vice President, Alternative StrategiesLast Name | First Name | Middle Name |
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St. Hilaire | Alain | |
Street Address 1 | Street Address 2 | |
933 Terrasse d'Isere | ||
City | State/Province/Country | ZIP/PostalCode |
Saint Lambert | QUEBEC, CANADA | J4S 1Z2 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Senior Vice President, Human Resources and Corporate CommunicationsLast Name | First Name | Middle Name |
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Trepanier | Robert | |
Street Address 1 | Street Address 2 | |
1622 Des Serres Street | ||
City | State/Province/Country | ZIP/PostalCode |
Saint-Bruno | QUEBEC, CANADA | J3V 6N7 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Senior Vice President, Operations and Information TechnologyLast Name | First Name | Middle Name |
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Viau | Alexandre | |
Street Address 1 | Street Address 2 | |
130 D'Alsace Avenue | ||
City | State/Province/Country | ZIP/PostalCode |
Saint-Lambert | QUEBEC, CANADA | J4S 1M9 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Executive Vice President, Strategic Investment PartnershipsLast Name | First Name | Middle Name |
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Davis | Brian | A. |
Street Address 1 | Street Address 2 | |
64 Strathallan Blvd | ||
City | State/Province/Country | ZIP/PostalCode |
Toronto | ONTARIO, CANADA | M5N 1S7 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
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Morgan | Todd | M. |
Street Address 1 | Street Address 2 | |
10800 Wilshire Blvd #1501 | ||
City | State/Province/Country | ZIP/PostalCode |
Los Angeles | CALIFORNIA | 90024 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
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Lala | Raj | |
Street Address 1 | Street Address 2 | |
48 Stanley Terrace | ||
City | State/Province/Country | ZIP/PostalCode |
Toronto | ONTARIO, CANADA | M6J 2R4 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Executive Vice President, Retail MarketsLast Name | First Name | Middle Name |
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Larochelle | Marcel | |
Street Address 1 | Street Address 2 | |
1520, Avenue Docteur Penfield, app. 64 | ||
City | State/Province/Country | ZIP/PostalCode |
Montreal | QUEBEC, CANADA | H3G 1B9 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Executive Vice President and Chief Financial OfficerLast Name | First Name | Middle Name |
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Vaillancourt | Paul | |
Street Address 1 | Street Address 2 | |
22 Bow Meadows Drive | ||
City | State/Province/Country | ZIP/PostalCode |
Cochrane | ALBERTA, CANADA | T4C 1M8 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Executive Vice President, Fiera Private Wealth4. Industry Group
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5. Issuer Size
Revenue Range | OR | Aggregate Net Asset Value Range | ||
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No Revenues | No Aggregate Net Asset Value | |||
$1 - $1,000,000 | $1 - $5,000,000 | |||
$1,000,001 - $5,000,000 | $5,000,001 - $25,000,000 | |||
$5,000,001 - $25,000,000 | $25,000,001 - $50,000,000 | |||
$25,000,001 - $100,000,000 | $50,000,001 - $100,000,000 | |||
Over $100,000,000 | X | Over $100,000,000 | ||
Decline to Disclose | Decline to Disclose | |||
Not Applicable | Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
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Rule 504 (b)(1)(i) | |||
Rule 504 (b)(1)(ii) | |||
Rule 504 (b)(1)(iii) | |||
Rule 505 | |||
X | Rule 506(b) | ||
Rule 506(c) | |||
Securities Act Section 4(a)(5) |
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7. Type of Filing
New Notice | Date of First Sale | 2014-12-31 | First Sale Yet to Occur | ||||||
X | Amendment |
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? |
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9. Type(s) of Securities Offered (select all that apply)
X | Equity | Pooled Investment Fund Interests | |
Debt | Tenant-in-Common Securities | ||
Option, Warrant or Other Right to Acquire Another Security | Mineral Property Securities | ||
Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security | Other (describe) | ||
10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
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Clarification of Response (if Necessary):
A portion of this offering may be made in the ordinary course of business (i.e., not in connection with a business combination transaction.)11. Minimum Investment
Minimum investment accepted from any outside investor | $0 | USD |
12. Sales Compensation
Recipient |
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Street Address 1 | Street Address 2 | ||||||
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City | State/Province/Country | ZIP/Postal Code | |||||
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13. Offering and Sales Amounts
Total Offering Amount | USD |
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Total Amount Sold | $3,483,770 | USD | ||||
Total Remaining to be Sold | USD |
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Clarification of Response (if Necessary):
14. Investors
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering. | |||
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: |
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15. Sales Commissions & Finder's Fees Expenses
Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
Sales Commissions | $0 | USD |
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Finders' Fees | $0 | USD |
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Clarification of Response (if Necessary):
16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
$0 | USD |
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Clarification of Response (if Necessary):
Signature and Submission
Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.
Terms of Submission
In submitting this notice, each issuer named above is: |
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Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.
For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.
Issuer | Signature | Name of Signer | Title | Date |
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Fiera Capital Corp | /s/ Violaine Des Roches | Violaine Des Roches | SVP, Legal Affairs & Compliance, CCO & Corporate Secretary | 2015-01-14 |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
* This undertaking does not affect any limits Section 102(a) of the National Securities Markets Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot routinely require offering materials under this undertaking or otherwise and can require offering materials only to the extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.