STRATEGY: Searching Combined Jurisdictions (CA/SEDAR + US/SEC) Simultaneously

Combined SEDAR + SEC Searching

Avantis allows you to search Canadian (SEDAR) and U.S. (SEC) filings simultaneously. Here are key principles to keep in mind:

• If both jurisdictions are selected in the Sources criteria (first criteria displayed among active/visible criteria), results will include filings from both.

• All active criteria apply to both jurisdictions unless marked with a “CA” or “US” superscript. These superscript-marked criteria only affect results from their respective jurisdiction.

Search Examples

Example 1: Mixing Jurisdiction-Independent and Jurisdiction-Specific Criteria

Search Setup:

• Industry [NAICS] = Coal Mining (applies to both jurisdictions)

• Document Type (“CA”) = Annual Reports (applies to SEDAR only)

  • Document Type is used here for illustrative purposes only - you are better off using Document Category to find annual reports

Results:

• SEC results: All document types from coal mining issuers (since no SEC-specific document filter was applied).

• SEDAR results: Only Annual Reports from coal mining issuers.

Example 2: Contradictory or Self-Canceling Criteria

Search Setup:

• Document Category = Annual Reports (applies to both jurisdictions)

• Profile Type (“US”)  = Insider (applies to SEC only)

Result: Zero results

• Only Canadian companies file Annual Reports.

• Only U.S. filers can have a Profile Type of Insider.

• The search incorrectly tries to find Canadian Annual Reports filed by U.S. Insiders, which is impossible.

Example 3: Properly Combining CA & US Criteria

Search Setup:

• Document Type (“CA”) = Annual Reports

  • Document Type is used here for illustrative purposes only - you are better off using Document Category to find annual reports
• Form Type (“US”) = 10-K – Annual Report

Results:

• SEDAR results: Only Annual Reports from Canadian issuers.

• SEC results: Only 10-K filings from U.S. issuers.

• Since each jurisdiction-specific filter only applies to its respective jurisdiction, the search functions correctly.

Example 4: Contradictory Criteria Within the Same Jurisdiction

Search Setup:

• Document Type (“CA”) = Annual Reports

  • Document Type is used here for illustrative purposes only - you are better off using Document Category to find annual reports

• Document Category = Financial Statements (applies to both jurisdictions)

Result: Zero results

• A filing cannot be both an Annual Report and a Financial Statement at the same time.

• The conflicting criteria eliminate all results.

Key Takeaways

• Criteria apply to both jurisdictions unless marked with a “CA” or “US” superscript.

• Avoid selecting contradictory criteria that eliminate all possible results.

• Jurisdiction-specific criteria only affect results filed in that jurisdiction and have no effect on results filed in the other jurisdiction.

• When switching between combined SEDAR + SEC and a single jurisdiction, criteria from the inactive jurisdiction are temporarily removed but restored when switching back.