STRATEGY: Finding Contracts, Agreements, Attachments, or Documents Filed in Non-Specific Categories

Finding Attached or Misfiled Documents (Scroll down for video)

While some core documents—like Management Information Circulars (MICs), Financial Statements, Annual Reports, MD&As, and Annual Information Forms—are always filed as standalone documents, they often contain or have attachments that are not filed independently. These can include:

• Arrangement Agreements

• Fairness Opinions

• Articles of Incorporation

• Other valuable supporting materials

In other cases, important documents may be filed as standalone submissions but under broad or non-specific categories, such as “Material Documents” or “Other”—making them difficult to locate through conventional filtering.

 

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Why Standard Filters Fall Short

These documents often do not appear under specific document categories or descriptions. For example:

• A Fairness Opinion may be included as an attachment to a MIC, but won't show up as a standalone filing or under a searchable document type.

• Similarly, a key document may be filed under “Other” with a vague title, making it hard to retrieve directly.

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Recommended Search Strategy

1. Arrangement agreement* w/20 appendi* or schedule* or exhibit* or annex* or execution copy or execution version or xfirstword
2. Fairness Opinion* w/20 appendi* or schedule* or exhibit* or annex* or execution copy or execution version or xfirstword
3. Articles of incorporation* w/20 appendi* or schedule* or exhibit* or annex* or execution copy or execution version or xfirstword

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The documents incorporated as appendices to the above Management Information Circular are not indexed anywhere except the table of contents of this document.  The only way to find these appendices is to do a full text search of the document with the aim of finding these table of contents mentions.

 

And note this Arrangement Agreement is filed simply as "other" and cannot be identified except by a full text search:

 

 

 

So, in either of the above two cases, we use a search that involves 3 strategies for retrieving actual agreements based on full text searches.

 

STRATEGY #1:   Arrangement agreement* w/20 appendi* or schedule* or exhibit* or annex* gets any document that says, in its table of contents, that it has an arrangement agreement attached as one of its exhibits, annexes, appendices, or schedules (see screenshot above)

 

 

 

 

STRATEGY #2:   Arrangement agreement* w/20 execution copy or execution version  finds arrangement agreements that say either "execution copy" or "execution version" on the title or cover page (whether this is at the top of the document or is an appendix near the end, or anywhere in between): 

 

 

 

STRATEGY #3:  Arrangement agreement* w/20 xfirstword finds documents where "arrangement agreement" appears within the first 20 words of the document so that it picks up cover pages and title pages:

 

 

 

 

 

1. Arrangement agreement* w/20 appendi* or schedule* or exhibit* or annex* or execution copy or execution version or xfirstword
2. Fairness Opinion* w/20 appendi* or schedule* or exhibit* or annex* or execution copy or execution version or xfirstword
3. Articles of incorporation* w/20 appendi* or schedule* or exhibit* or annex* or execution copy or execution version or xfirstword

 

which will pick up any of the above 3 scenarios and find you attached documents as well as standalone documents that are filed in an unspecific or general category (like "material documents" or "other").

 

 

Flexibility is key, but this search structure will serve well for this searches of this kind.