NOTIFICATION OF TRANSACTIONS OF DIRECTORS/PERSONS DISCHARGING MANAGERIAL RESPONSIBILITY AND CONNECTED PERSONS Annex DTR3 1. Name of the issuer 2. State whether the notification relates to (i) a transaction notified in accordance with DTR 3.1.2 R, (ii) a disclosure made in accordance with LR 9.8.6R(1) or (iii) a disclosure made in accordance with section 793 of the Companies Act (2006). CANACCORD FINANCIAL INC. DTR 3.1.2 R 3. Name of person discharging 4. State whether notification relates to a person connected with a person managerial responsibilities/ discharging managerial responsibilities/director named in 3 and director identify the connected person SPOUSE - MARITTA ROTHWELL JOHN ROTHWELL 5. Indicate whether the notification 6. Description of shares (including class), debentures or derivatives or is in respect of a holding of the financial instruments relating to shares person referred to in 3 or 4 above or in respect of a non-beneficial interest COMMON SHARES NOTIFICATION RELATES TO THE PERSONS NAMED IN 3 AND 4. 7. Name of registered shareholders(s) 8. State the nature of the transaction and, if more than one, the number of shares held by each of them SALE IN THE OPEN MARKET JOHN ROTHWELL: 321,043 THE FIGURE ABOVE INCLUDES SHAREHOLDINGS OWNED BY MR. ROTHWELL'S SPOUSE 9. Number of shares, debentures or 10. Percentage of issued class acquired (treasury shares of that class financial instruments relating to should not be taken into account when calculating percentage) shares acquired N/A N/A 11. Number of shares, debentures or 12. Percentage of issued class disposed (treasury shares of that class financial instruments relating to should not be taken into account when calculating percentage) shares disposed 0.0098% 10,000 COMMON SHARES 13. Price per share or value of 14. Date and place of transaction transaction WATERLOO, ONTARIO $6.77 CANADIAN JANUARY 3, 2013 15. Total holding following 16. Date issuer informed of transaction notification and total percentage holding following notification (any treasury shares should not be taken into account when calculating JANUARY 9, 2013 percentage) 311,043/0.3% THE FIGURE ABOVE INCLUDES SHAREHOLDINGS OWNED BY MR. ROTHWELL'S SPOUSE If a person discharging managerial responsibilities has been granted options by the issuer complete the following boxes 17. Date of grant 18. Period during which or date on which exercisable 19. Total amount paid (if any) for 20. Description of shares or grant of the option debentures involved (class and number) 21. Exercise price (if fixed at 22. Total number of shares or time of grant) or indication debentures over which options held that price is to be fixed at following notification the time of exercise 23. Any additional information 24. Name of contact and telephone number for queries NONE JULIA GRAY 1-416-687-5315 Name of authorised official of issuer responsible for making notification JULIA GRAY, ASSOCIATE GENERAL COUNSEL AND ASSISTANT CORPORATE SECRETARY Date of Notification: JANUARY 10, 2013 Notes: This form is intended for use by an issuer to make a RIS notification required by DTR 3.1.4. (1) An issuer making a notification in respect of a transaction relating to the shares or debentures of the issuer should complete boxes 1 to 16, 23 and 24. (2) An issuer making a notification in respect of a derivative relating the shares of the issuer should complete boxes 1 to 4, 6, 8, 13, 14, 16, 23 and 24. (3) An issuer making a notification in respect of options granted to a director/person discharging managerial responsibilities should complete boxes 1 to 3 and 17 to 24. (4) An issuer making a notification in respect of a financial instrument relating to the shares of the issuer (other than a debenture) should complete boxes 1 to 4, 6, 8, 9, 11, 13, 14, 16, 23 and 24. END -0- Jan/10/2013 07:00 GMT
Canaccord Financial Inc: Director/PDMR Shareholding
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