Solium Capital FAQs

Tax documents can be located in the Documents tab in your Shareworks account.

If you do not see a Tax Documents tab in your documents section, then you do not have any tax documents at that time.

As an employee, it is your responsibility to understand all tax implications that impact your equity and/or share purchase holdings.

In Canada, exercises are included on the T4 slip that is provided by your company. The proceeds of the sale is considered income on the T4.

In the U.S, participants receive a 1099 that can be found under the Tax Documents tab.

As an employee, it is your responsibility to understand all tax implications that impact your equity and/or share purchase holdings.

Participants

Show contact details for Participants

Are you an employee that needs help with your Shareworks account?

If you have questions about your account or would like information to complete a transaction, search through the Support Center for an answer. If you still require assistance, please contact the Participant Experience Group from Monday to Friday on market trading days by phone.

North America

Call toll-free: 8:00 a.m. to 8:00 p.m. (ET)

Email: [email protected]

Australia

Call toll-free: 9:30 a.m. to 4:30 p.m. (AEST)

Email: [email protected]

United Kingdom

Telephone: 8:00 a.m. to 6:00 p.m. (GMT)

Email: [email protected]

Other locations

Telephone:

Email: [email protected]

NOTE: Please do not send any confidential information (including passwords, account numbers, and social security numbers) via email.

Participant Experience Group Holiday Hours

Date

Canada

United States

Tuesday, January 1, 2019

Closed

Closed

Monday, January 21, 2019

Open

Closed

Monday, February 18, 2019

Closed

Closed

Friday, April 19, 2019

Closed

Closed

Monday, May 20, 2019

Closed

Open

Monday, May 27, 2019

Open

Closed

Monday, July 1, 2019

Closed

Open

Thursday, July 4, 2019

Open

Closed

Monday, August 5, 2019

Closed

Open

Monday, September 2, 2019

Closed

Closed

Monday, October 14, 2019

Closed

Open

Thursday, November 28, 2019

Open

Closed

Tuesday, December 24, 2019

08:00 18:00 EST

08:00 18:00 EST

Wednesday, December 25, 2019

Closed

Closed

Thursday, December 26, 2019

Closed

Open

Tuesday, December 31, 2019

08:00 18:00 EST

08:00 18:00 EST

Wednesday, January 1, 2020

Closed

Closed

Administrators

Show contact details for Administrators

Are you a plan administrator that has a question about administrating your company’s account?

Shareworks

Please get in touch with your Client Account Manager or contact:

North America and Australia: [email protected]

United Kingdom, Europe, and Africa: [email protected]

Shareworks Scenarios

If you’re looking for assistance with Scenarios, please email [email protected].

Shareworks StockVantage

If you’re an administrator and looking for help with StockVantage, please email [email protected]

Solium Transcentive

If you’re an administrator who is looking for help with Transcentive, including Transcentive downloads or guides, please email [email protected] for assistance.

Solium OptionEase

If you are looking for help with OptionEase, please call or (3273).

Solium CapMx

If you’re an administrator and looking for help with CapMx, please call or email [email protected].

If you’re a participant looking for help with CapMx, please contact your company’s participant view administrator.

Solium Corporate Focus

If you are looking for help with Corporate Focus, please call or email [email protected].

Office directory

Show the office directory details

Are you looking to call a Solium employee through their local office directory?

Canada

Calgary, Alberta

Phone: +1.403.515.3910

Toronto, Ontario

Phone: +1.416.365.7771

Montreal, Quebec

Phone: +1.514.499.8200

United States

Tempe, Arizona

Phone: +1.480.308.8181

Mission Viejo, California

Phone: +1.949.542.3800

Shelton, Connecticut

Phone: +1.203.944.7330

Australia

Sydney, Australia

Phone: +61.2.8310.6049

A market order is an order placed to immediately buy or sell securities at the best possible price.

A limit order is an order to buy or sell a security at a specified price. This type of order can only be executed at the specified price or better. Shareworks permits a limit order to be in effect for up to 30 calendar days, and not end on a weekend or holiday.

Participants can choose the type of order they wish to fill for both option exercises and share withdrawals. Available options are dependent upon the defined parameters for each specific plan.

Yes. Shareworks facilitates inter-plan transfers. Participants are allowed to move shares from a non-registered plan to a Canadian RRSP plan.

The Online Payments feature allows participants to link one or more bank accounts to Shareworks. This can be used to fund payment for the following: taxes, fees, RSUs or options when completing an exercise or transaction in Shareworks.

If your company has added you to the savings plan setup for online payments, you will see a link to Add Funds when viewing your saving plan.

Alternately, you can add your account by clicking the following: Profile > Manage Deposit Account

There are two options when linking an account:

Instant Link

This flow will allow you to enter your online banking credentials and then use your account to immediately add funds to your Shareworks account.

Some financial institutions are not supported, if you are unable to find your bank or receive an error attaching your account, you will need to utilize the Manual Link method.

Manual Link (3-4 business days)

Once you manually input your banking information, it will trigger Shareworks to transmit 2 small deposit requests to your bank.

Once the requests are received, you will need to log back into Shareworks in order to confirm the amounts and complete the process of attaching the account.

The manual process typically takes 3-4 business days.

It is recommended that this be done well in advance of any exercise deadlines to ensure the process is completed before the funds are required.

Instant Link step-by-step tutorial

Step 1: Select continue at the pop up shown below.

Step 2: Search for or select the appropriate bank.

Step 3: Select the account you wish to link.

Step 4: Once the account is linked you can elect to send funds immediately or choose Skip and add funds later.

Step 5: If funds have been added, check for the green banner message for your confirmation.

Manual Link step-by-step tutorial

Step 1: Enter banking details.

Step 2: Review the summary of the next steps in the pop up provided.

Step 3: If funds have been added, check for the green banner message for your confirmation that the testing is pending.

You will receive notification within 3-4 days to return to the account to complete linking your account.

Step 4: Once you have received the notification to complete the process, you will need to complete the verification. You will: a ) click the "Verify Deposits" button and then b) input the deposits that they received in their bank account.

Step 5: Check for the banner at the top of the screen to confirm the deposits have been received in the bank account.

Step 6: At this point, the account is linked and you can now add funds.

Visit https://shareworks.com/activate and choose one of the following three methods:

Company Email Address

Enter your company email address. Complete the captcha section.

Once completed, we will send you a link to activate your account. The email message will contain some specific information you will need to have handy in order to complete the activation process.

The email should be received into your inbox within 30 minutes.

Click the link to access a verification page. Enter the required identifying information.

Once your identity has been verified, create a login ID and password, as well as a username.

If you choose not to create a username, you will be provided with an account number as your username. Immediate access to your account is provided.

Account Activation Code

Enter the activation code provided to you by your company.

You may also contact the Participant Services Group by phone to have an activation code provided to you.

Complete the captcha section.

On the verification page, enter the required identifying information.

Once your identity has been verified, create your login ID and transaction password, as well as a username. If you choose not to create a username, you will be provided with an account number as your username. Immediate access to your account is provided.

If you misplace or lose your activation code, please try the company email activation method described above, or call our Participant Experience Group for assistance.

Company ID and Password

Enter the Company ID and password provided to you in the letter received from Shareworks or by our Participant Services Group over the telephone. If you have misplaced the letter, please contact our theParticipant Services Group to obtain the required information.

Complete the short activation form requesting basic contact information and optional banking information.

Review and complete the Participant Account Agreement.

Once your activation is completed, a confirmation screen will appear. Note the confirmation number for your reference. Once the activation form is reconciled with the information provided by your company, Shareworks will send your account number and temporary passwords (one to log in and one to transact) to you in separate letters by regular post. If you don’t want to wait for these letters to arrive to access your account, contact the Participant Experience Group.

Please refer to the IRS Instructions for Form W-8BEN for use in conjunction with this guide. If there are discrepancies between the following instructions and the IRS website, the IRS website takes precedence.

What is FormW-8 BEN?

Form W-8 BEN, Certificate of Foreign Status of Beneficial Owner for U.S. Tax Withholding, is used by a foreign person to establish both foreign status and beneficial ownership and to claim income tax treaty benefits with respect to income other than compensation for personal services.

Detailed Instructions

Line 1: Name - MANDATORY

Enter your legal name.

Line 2: Citizenship - MANDATORY

Enter the name of the country of which you are a citizen

If you are a U.S. citizen, do not complete this form complete a Form W-9.

If you are a permanent resident of the U.S. and have a green card and an SSN or ITIN, do not complete this form complete a Form W-9.

If you are a citizen of more than one country including the country in which you are a resident, enter the country in which you currently

Line 3: Permanent Residence Address - MANDATORY

Your permanent residence address is the address in the country where you claim to be a resident for income tax purposes.

Do not use a P.O. Box or care of address.

If you do not have a street address, enter a descriptive address (e.g. lot #, site #, concession #).

Line 4: Mailing Address

Enter your mailing address if it is different than your permanent residence address from Line 3.

Line 5 and Line 6 and entry must be made in one of these lines, but not both:

Line 5: U.S. Taxpayer Identification Number

If you have a U.S. Taxpayer Identification Number, either a social security number (SSN) or an individual taxpayer identification number (ITIN), enter it here.

Line 6: Foreign Tax Identifying Number Complete this field unless you have entered a U.S. Taxpayer ID number on Line 5. Enter your FTIN issued by your country of citizenship. If you do not have one, you need to explain why in this field (e.g. “country does not issue FTIN”). Do not leave blank and do not fill in “NA” or “not applicable”. If you are unsure of how to obtain your FTIN, please contact your HR department.

Line 7: Reference Number

Individuals may leave this line blank. If you are a sole proprietor or a partnership, please refer to these instructions on completing this line.

Line 8: Date of Birth MANDATORY as of January 1, 2018.

Line 9: Treaty Claim

If you are a resident of a country that has an income tax treaty with the U.S. and would like to make a claim for reduced tax withholding rates, enter the country of residence. Do not abbreviate the name of the country. A list of countries that have U.S. tax treaties is available via this link. If you are unsure of your country’s status, please contact your HR department.

Line 10: Special Rates and Conditions If you are requesting special withholding rates under specific treaty conditions, please refer to these IRS instructions. If you are unsure how to proceed, please contact your HR department.

Certification - MANDATORY

The form must be signed and dated by the beneficial owner of the income of the account.

Sign and date the form.

Clearly print the name of the individual who has signed the form.

As an employee, it is your responsibility to understand all tax implications that impact your equity and/or share purchase holdings.

Commissions and transaction fees may apply to your withdrawal based on the terms and conditions of your plan. All applicable fees will be displayed during the online withdrawal process. After a transaction is completed, the applicable fees will be charged.

If you have security questions setup on your Shareworks account, you can reset your password online by having the information sent to your work email address. Simply click the Forgot Your Password link on the login page and complete the required steps.

If you do not have security questions set up, you will need to contact theParticipant Experience Group for assistance.

Click on the Portfolio tab. On the Share Purchase and Holdings tab, locate the required stock option purchase plan. If your plan permits in-service withdrawals, on the right you will see the word Withdraw or Transact beside the plan details. Click the link to begin the online withdrawal process.

Follow Solium's 5-Step Withdrawal Process described below.

Step 1 Select the type of transaction.

In the Transaction Type box, select Real Time Withdrawal to sell shares or Shares Withdrawal to transfer shares to a brokerage account. (If your plan permits and applicable, select Bulk Withdrawal.)

Step 2 - Select how many shares you wish to withdraw.

Specify the number of shares you wish to withdraw. The number of shares you are allowed to withdraw will depend on your plan.

Step 3 - Specify the market or limit order for the sale.

Shares can be sold immediately at current market rates, or at a limit price that can be set for up to 30 days.

Step 4 - Choose the delivery method to receive your proceeds or shares.

Choices include (the available choices will depend on the plan):

Proceeds from Sale EFT to a bank account, wire transfer to bank account, or cheque by mail.

Share Transfer electronic transfer to broker, or mail a share certificate to participant or broker.

Step 5 - Verify withdrawal details and complete the withdrawal.

Your withdrawal is summarized and displayed on the screen. Enter your transaction password and click the online disclaimer box to Submit your online withdrawal. You will receive a confirmation of your withdrawal and a reference number for your records. The withdrawal will be displayed in the Transaction History section of your account.

One of the benefits of Shareworks is that you can view comprehensive information for your holdings anytime, online. When you log into Shareworks click on the Activity tab. Click on Statement. Enter the dates you require and select the option to view the statement, or save/print via pdf.

In the case of stock option plans

Three or four business days after the trade is executed, the remaining balance (net of commissions, funds owed to the award issuing company, and any fees or withholdings) will be forwarded to the plan participant as per the instructions provided during the online transaction process.

If you choose to have the proceeds transferred directly to your bank account, the funds will be transferred into the bank account listed in your Solium account. If you choose to have the funds mailed, this will occur three or four days after the trade is completed. When determining when your funds will be received, please consider the processing time of your bank and/or postal service.

In the case of share purchase plans

Three or four business days after the trade is executed, the remaining balance (net of commissions and any fees or withholdings) will be forwarded to the plan participant as per the instructions provided during the online transaction process.

If you choose to have the proceeds transferred directly to your bank account, the funds will be transferred into the bank account listed in your Solium account. If you choose to have the funds mailed, this will occur three or four days after the trade is completed. When determining when your funds will be received, please consider the processing time of your bank and/or postal service.

If you’re an administrator who is looking for help with Transcentive, including Transcentive downloads, guides or other resources previously found on Solutions Central, please email

[email protected] for assistance.

Mint is a third-party money management app that allows individuals to aggregate data from their financial institutions and accounts into one central application.

Shareworks does not support or authorize the Mint application and users who attach their account details with this application are doing so at their own risk.

If you require support or have questions about the Mint application, access their Contact Mint form on the Mint website for assistance.

You may choose one of three methods to receive proceeds from the online transaction process. The choice depends on your country of residence and the rules in your company. Please be aware that service fees may apply for some of these choices, and your personal bank may impose a charge for you to receive funds electronically or by wire.

You may receive proceeds using one of the following three methods:

Cheque by mail a cheque can be issued and mailed to the address on file in your Shareworks account.

EFT (Electronic Funds Transfer) for participants with Canadian bank accounts, you may complete an electronic funds transfer to deliver the proceeds to your bank account.

ACH (Automated Clearing House) for participants with US bank accounts, you may complete an Automated Clearing House payment to deliver the proceeds to your bank account.

NOTE: It is extremely important to enter your financial information accurately because EFT/ACH transactions do not have tracking numbers, and if a transaction is rejected by a bank, there may be a delay of 5 to 10 business days before the funds can be re-issued.

Wire to account/International Wire Transfer funds can be electronically wired to your bank account as specified during the transaction process.

NOTE: Wired funds can be easily tracked if there are any issues with your financial information. Proceeds are typically credited to your bank account shortly after the settlement date of your transaction.

To log into the Shareworks application, launch the app on your device and use your Account Number or Username and Password to sign in for the first time.

Once you have signed in, you can set up fingerprint authentication using the Settings tab on the device.

NOTE: The Shareworks application does not currently support single-sign-on (SSO). If your company uses SSO to access Shareworks, you will need to get your Shareworks Account Number and Password to log in. For more information and instructions regarding working around SSO, please visit this article.

You will find the section and link related to enrollment on your dashboard in Shareworks. To enroll complete the relevant application form located in this section. Shares and/or money cannot be allocated to a registered account until this application form has been processed.

Option-based plans

In the case of option-based plans, there are multiple types of transactions to choose from within Shareworks. The most common ones are outlined below.

Exercise available options and sell all shares on the exchange an optionee can take the options, convert them to stock, and sell all the stock immediately. Shareworks facilitates a cashless exercise where optionees convert their options to stock without having to provide personal funds. Payment to the company is made from the proceeds received from the settlement of the sale.

Exercise available options, sell just enough shares to pay for the options, and hold the remaining shares in the account an optionee can convert their options to stock, sell a portion of the stock, and hold the remainder of the shares in the account to sell at a later date. Shareworks facilitates a cashless exercise, where optionees sell the necessary number of shares without having to provide personal funds. The optionee will then be provided with the remaining shares. This exercise type may also allow optionees to sell additional shares above the necessary amount, so that both cash and share proceeds are received (if permitted by the plan).

Exercise available options and hold the stock an optionee can convert the options to stock and then hold the stock in their account. This is known as a cash exercise, where optionees must provide payment for the stock. Shareworks (or the Company) must receive a payment from the optionee within the number of business days stated in the exercise direction letter to cover the cost of the exercise. When the funds are received, Shareworks (or the company) will remove the hold, proceed with the exercise, and deliver the shares to the optionee.

Exercise of cash-settled SARs (stock appreciation rights) for cash participants can exercise some or all of their vested rights, but unlike a stock option plan, participants do not have to pay the company to acquire the underlying securities. Upon exercise, participants will receive a cash payment through the company's payroll system for the appreciation in the value of the underlying securities (i.e., the plan’s prescribed market value for the stock less the grant price).

Exercise of stock-settled SARs (stock appreciation rights) and hold the remaining shares participants can exercise some or all of their vested rights, but unlike a stock option plan, participants do not have to pay the company to acquire the underlying securities. Upon exercise, sufficient shares will be withheld to cover the cost of the options and the necessary number of shares will be sold to cover the transaction fees and any applicable taxes. Once finalized, the optionee will receive the net shares.

Employee share purchase plan

When you participate in an employee share purchase plan or other form of share purchase plan, you can complete the following types of transactions.

Sell shares participants can sell the shares that they are entitled to in accordance with the rules outlined in their company's plan. Sales can be completed using Shareworks' 5-step transaction process.

Withdraw or transfer shares a participant can withdraw or transfer the shares that they are entitled to in accordance with the rules outlined in their company's plan. Withdrawals and transfers can be completed using Shareworks' 5-step transaction process.

NOTE: Specific plan rules and Shareworks functionality varies. The terminology used to describe the different transaction methods may vary slightly within each plan. Please review your plan terms and conditions to determine if these types of requests are allowed.

If you have forgotten your account number, you can retrieve it online and have the information emailed to your work email address. Simply click the Forgot Your Account Number link on the login page and complete the required steps.

Upon logging in, select your Documents tab.

From the Documents section you can access any documents relevant to your account. Documents will appear within categories set up by your company. A category only appears if your company has created a category and uploaded a file to your account. Any tax documents issued due to your account activity will also appear on the Documents tab. For more information on tax documents, please see Tax.

To view a document, select the document name.

Franais

Suite un changement rglementairedu budgetprovincialdu Qubecprononcen mars 2018, Solium est dans l’obligation de fournir des dtails par rapport aux montants inscrits dans les feuillets: RL25 et RL3. Les changements appliqus pour les deux feuillets sont :

Le montant total des dividendes ligibles dans la case A1 est maintenant divis dans les cases des renseignements complmentairesA11 et A12.

Case A11- Montant effectif des dividendes dtermins aprs le 31 dcembre 2017, mais avant le 28 mars 2018.

Case A12- Montant effectif des dividendes dtermins aprs le 27 mars 2018, mais avant le 1er janvier 2019.

Pour le Relev 25, en plus des changements mentionns ci-dessus:

Case D-1- Le montant dans cette case est le mme report dans la case D afin d’ajouter plus de prcision quant lacotisationau Rgime desRentesdu Qubec (RRQ).

Notezqu’aucuneautremodificationn’atapporteauxfeuillets, les montants fournis dans l’ancien feuillet demeurent les mmes. Ainsi, une nouvelle dclaration de taxes ne devrait pas tre requise puisque les montants dans les feuillets demeurent les mmes. Par contre, si vous dterminez que votre cas spcifique requiert une vrification ou une rvision, svp, contactez votre conseiller fiscal.

Nousavonsmisjour et joint votrecompteShareworksunfeuilletdevotreRelev3 et /ou25.

English

Due to the regulatory law change in Quebec in 2018, Solium is required to provide additional information in regards to the amounts reported on the RL25 and RL3 tax slips. The changes applied to both slips are:

The Total amount of Eligible Dividends in Box A1 is now broken into two floating boxes (A11 and A12).

Box A11 - The eligible dividends allocated after December 31, 2017, but before March 28, 2018.

Box A12 - The eligible dividends allocated after March 27, 2018, but before January 1, 2019.

For RL25, in addition to the above;

Box D-1- The amount in this box is the same amount reported in Box D to add further precision to the Quebec Pension Plan contributions.

No other changes have been made to the slips and the original tax slip numbers stay the same. Therefore refiling should not be required as the numbers on the tax slips remain the same. However, if you determine that your specific tax situation warrants a closer review please contact your tax advisor.

We have attached an updated RL3 and / or RL 25 to your Shareworks account.

Please accept our apologies for any inconvenience this may have caused you.

You can update your brokerage information by clicking on your name in the top right corner of the page, then click on the drop down with your account number. Under Financial Institution Information click on Manage Brokerage Account Information.

Select Add Brokerage Account to add information for a new broker, or select Edit Brokerage Account to change the displayed information for the current broker. Broker information can also be provided at the time of an exercise, withdrawal, or release election.

Go to https://shareworks.solium.com.

Enter your account number and login password.

A cashless exercise is the purchase of shares from the company by using the proceeds of a pending sale.

Example: The exercise and sale of 1000 shares of XYZ Corp.

Quantity

Exercise Price (PaidtoCompany)

Sale Price

Difference Less TaxesandFees (PaidtoOption Holder)

1000

$2.00 per share ($2,000.00)

$5.00 per share ($5,000.00)

$3.00 per share

($3,000.00 less taxes andtransaction costs)

The exercise price at the time of the grant was $2.00 per share. The shares are sold in the market for $5.00 per share. Solium forwards $2,000.00 to the company to pay for the exercised options, which in turn allows the company to issue the shares. Once the broker is in receipt of the shares, the balance of the transaction (less brokerage commissions, exercise fees, tax withholdings, and any other fees payable with respect to the transaction) will be available to the optionee.

Upon logging in, you will see your Dashboard.

Your Dashboard displays your Total Portfolio Value, Tasks, Past Events, and Future Events.

The Total Portfolio Value area shows you a breakdown of your total, available, unavailable, and potential portfolio value in Shareworks:

Total Portfolio Value is the sum of the available and unavailable value of your equity in Shareworks.

Available value is the total of your vested and transactable equity

Unavailable value is the total of your unvested and non-transactable equity

The Tasks area allows you to act on anyitems available to you in your account. Items can include accepting grant agreements, electing release methods, enrolling in savings plans, etc.

The Available value area allows you to view details of your equity available for transaction. You'll see a summary of total value amount of all your vested equity and a breakdown of the available value and shares by award types and savings plans.

The Unavailable value area allows you to see details on your unvested equity that is not available to transact on. You'll see a summary of total value amount of all your unvested equity and a breakdown of the unavailable value and shares by award types and savings plans.

If you select the savings plan or award type in the breakdown, you will be directed to your Portfolio tab.

The Upcoming Events and Past Events areas contain details on both past and future events related to your equity, such as past transactions and future vesting dates. These events are shown based on award type or savings plan. Additional activity details can be viewed on the Activity tab.

Above the events area you may see your company's stock ticker. The stock ticker will display up to date information on your company's stock price.

If you work for a private company, see How do I navigate my account in Shareworks (Private Companies)

Dashboard

Upon logging in, you will see your Dashboard.

Profile

From your Dashboard, you can:

Understand the breakdown of the total, available, unavailable, and potential value of the equity you hold in Shareworks.

Perform any outstanding tasks that require action by you to manage your equity in Shareworks.

View details on both past and future events related to your equity.

The Dashboard also allows you to access your Portfolio, Activity, Documents, messages, and profile tabs.

Portfolio

From the Portfolio tab you now have a consolidated view of your Share Purchase and Holdings and Stock Options and Awards where you can:

Manage your enrolment and contributions to any share purchase plans available to you.

View detailed information about your equity within Shareworks.

Perform withdrawals, transfers, and exercises as well as elect release methods.

Activity

From the Activity tab, you can:

View a full detailed history of any transaction activity that has occurred within your account.

Generate a PDF account statement for any timeframe.

Run customized reports your company has created (This is company dependent and may not appear for you).

Documents

From the Documents tab, you can:

Review informational messages about new grants,blackout periods,tax slips being uploaded etc

Retrieve any tax slips issued due to your account activity

Messages

From the Messages tab, you can:

Review informational messages about new grants,blackout periods,tax slips being uploaded etc..

Delete any message you no longer want to see.

Profile

To access your Profile in Shareworks, navigate to your name in the top right-hand corner and select Profile.

From the tab, you can:

View and change any of your personal profile’s information such as your address.

Manage your bank and brokerage account details.

Update your account login information.

Manage your banking details (if applicable).

Upon logging into Shareworks, select the Activity tab.

The Activity section in your account includes details on you actions within Shareworks. From this section you can view details on individual events on the Past Events tab, run a statement of your account on the Statement tab, and run customized reports your company has created on the Reports tab. The Reports tab may or may not appear based on your company's settings.

The Past Events tab provides a full history of any transaction activity that has occurred within your account. You can view the details of an individual past event by selecting one of them.

The Statement tab allows you to generate a statement of your account in Shareworks. For more information, please see How do I produce a statement / summary of my account?

After a release is processed,the transfer agent sends the shares to Shareworks (the company). Shareworks (the company) first needs to ensure we have received the correct number of shares before wemakethem available to be sold.

Application forms are located in the Documents tab in your Shareworks account.

To exercise a stock option, click on the Portfolio tab, next click on Stock Options and Awards tab. Click the Exercise link on the far right in blue writing. You will be prompted through the simple, step-by-step online exercise process.

NOTE: Prior to beginning an exercise, ensure you have your transaction password (your login password). You will need it to complete all online exercises settled in cash. If you do not have your transaction password, contact the Participant Experience Group during customer support business hours to obtain a temporary password. Customer support hours are Monday through Friday from 6 a.m. to 6 p.m. Mountain Time. Please note that for security purposes, this password cannot be provided to you via email.

Exercise Parameters

Select the type of exercise and the number of shares you wish to exercise.

You may be able to enter an exercise for multiple grants in one transaction (if your plan permits it). To exercise from multiple grants (where applicable), click on the Multiple Grants link in the Exercise Parameters section and specify the number of shares to be exercised from each grant.

Order Details (if applicable)

For exercise methods where you do not receive shares, you will be asked to confirm if you would like to place a market or a limit order (if the plan rules allow it). A market order will fill at the current market price during the present market day. A limit order enables you to set a sale price and choose how long to leave that price in effect (up to 30 calendar days).

For sell-to-cover exercises, you may elect to increase the number of shares sold so that your exercise results in the receipt of additional cash proceeds and fewer shares (plan rules permitting). The minimum number of shares to be sold is populated when processing this type of exercise to ensure that sufficient proceeds are generated to cover the cost of the exercise, as well as all taxes and fees where applicable.

Delivery Instructions

Select the delivery method and location for your proceeds and/or shares.

If you edit the delivery instructions during the exercise process, a new checkbox will appear. You may choose whether to have the new delivery location attached to your account for future transactions, or be effective for one time use only.

You may also be able to select the currency in which to receive the proceeds.

Exercise Direction Form (if applicable)

This letter summarizes your exercise request and is used to communicate your choices to your company and the Shareworks brokerage partner.

You may elect to Print your Exercise Direction Form for future reference or access past forms by navigating to your Activity tab and clicking the Pending or Past Event tab.

Verify

Your exercise is summarized including the details of delivery and proceeds.

You will be asked to enter a transaction password (log in password), if your exercise includes a market transaction (market order or limit order). If you do not have your password, you will need to contact the Participant Experience Group during customer support business hours in order to obtain a temporary password. Customer support hours are Monday through Friday from 6 a.m. to 6 p.m. Mountain Time.

Once you click Submit Exercise, you have concluded the required steps. You will receive confirmation of the transaction and an exercise reference number on the screen. The exercise will appear in the Activity tab and under the Pending or Past Event tabs

Proceeds are often sent from the country where your employer has its head office. This could mean that you will need to provide international payment wire details for the funds to be deposited in your local bank account.

If your company has added you to the savings plan setup for online payments, you will be able to link one or more bank accounts to Shareworks. This will enable you to use your account transfer funds into your Shareworks saving account in order to fund payment for the following: taxes, fees, RSUs or options when completing an exercise or transaction.

Upon logging into Shareworks, select the Portfolio tab.

The Portfolio section in your account displays information on both yourShare Purchase and Holdings andStock Options and Awards held in Shareworks. You can navigate between the two areas by selecting either Share Purchase and Holdings orStock Options and Awards.

Exercises and Transactions

TheShare Purchase and Holdings tab provides detailed information about your holdings and is where you can initiate transactions and transfers (as applicable). For more information on withdrawals, transfers, and transactions, please see Exercises and Transactions.

The Stock Options and Awards tab provides detailed information about your stock options or awards including grant details, current value, and a view of options or awards that can be exercised. You can select on a grant to see additional information about an award such as its vesting schedule. This tab also provides you with the ability to manage release elections and exercise grants (as applicable). For more information on exercises and releases, please see .

A restricted share arrangement provides plan participants with the right to acquire shares of stock at little or no cost, subject to the restrictions or risk of forfeiture. The participant's right to the shares of stock covered by the restricted stock award is contingent upon continued service to the company for a specified period of time (the vesting period).

Alternatively, the recipient's right to the restricted shares may be contingent upon the achievement of one or more performance goals. During the vesting period, the restricted shares are not transferable, although the participant may have some of the rights of a shareholder including the right to vote and receive dividends.

A deferred profit sharing plan (DPSP) is a registered plan. To determine if you can transfer between your DPSP and registered retirement savings plan (RRSP), please refer to your company’s plan rules.

As an employee, it is your responsibility to understand all tax implications that impact your equity and/or share purchase holdings.

A stock option is the term used when a company grants an employee the option to purchase stock of the employer, or the parent or subsidiary corporation, at a specified price at some time in the future. Stock options are an accepted industry standard for compensating employees because it reflects the ability of employees to influence the future growth and value of the company.

The amount of options granted is generally based upon a percentage of pay, a merit formula, or equal distribution. Most stock option plans have a vesting period where the options become available for exercise and an expiration date. In most cases, the optionee will only exercise their stock options when the current market value is higher than the exercise price.

In the case of Stock Option Plans

Any taxes to be withheld are determined by the individual stock option plan. Your company will specify if payroll taxes at source apply to the exercise of your options or to the release of restricted stock awards. Withholding rules may vary by award or type of transaction. Please review your plan document, contact your company plan administrator, or contact us for more details on the application of taxes to your transactions.

In the case of Share Purchase Plans

For non-registered accounts, there will not be withholding taxes applied to your gross proceeds. For withdrawals from registered accounts (DPSP/RRSP), withholding taxes may be applicable depending on the type of withdrawal requested. Please review your plan document, contact your company plan administrator, or contact us for more details on withholding taxes applicable to your account.

As an employee, it is your responsibility to understand all tax implications that impact your equity and/or share purchase holdings.

Thehome address may be updated by your company's account administrator. Typically a participant will advise their HR team of the update and the administrator will add the update to Shareworks. This is a company managed field within Shareworks, as it impacts taxation.

A participant's mailing address is controlled and can only be changed by the participant. It can be updated online or by a member of the Shareworks Participant Experience Group over the telephone.

Registered accounts are a type of investment account that is registered with and governed by the Government of Canada (e.g., RRSP accounts).

If you did not provide banking information in Shareworks when you opened your account, you may enter it by clicking on your name in the top right corner of the page, then click on the drop down with your account number. Under Financial Institution Information click on Manage Banking Information. You can provide it when an exercise, withdrawal, or release election is completed.

If you want to change the banking information for EFT or wire services, repeat the steps above.

NOTE: You will need to have an email, cell phone number or landline number on file that is provided by your company to make any changes to your banking information. If your account does not have this, please contact your company administrator to get this information added.

For most users, the first time you log into Shareworks you will need to review your account information and agreements. You will be presented with all your exchange agreement(s) and related real-time stock quotes. You also need to provide your professional subscriber status, W-8BEN or W9 status (where applicable), and indicate how you wish to receive your tax information (online versus paper copy, where applicable).

In the case of stock option or other award-based plans

Your current portfolio will be presented for you to review and approve. If you agree, select I agree under the chart. If you do not agree, click I Do Not Agree and enter any relevant comments. Your Plan Administrator will follow up to resolve your concerns. If a change is made in your account, you will be prompted to review the online update.

Once your portfolio information is displayed correctly, click I agree. You will now have full access to the content and functionality within your Shareworks account. For every subsequent login, the Account Summary will display a chart for each incentive you hold.

Beside each exercisable option will be the word Exercise. Click this link to begin the online exercise process. If the Exercise link does not appear, your holdings cannot be exercised. This could happen for a number of reasons, including your options are not yet vested, you are currently in a blackout phase, you have not verified your account holdings, or you have not agreed to the online agreements.

In the case of share purchase plans

If your plan permits in-service withdrawals, the word Withdraw or Transact will appear beside the plan details. Click the link to begin the online withdrawal process.

You can withdraw any shares that are listed as Available to Withdraw in the table on the Savings Plan Details screen. Please refer to your plan documents for information on restricted shares and the implications of withdrawing shares.

The fair market value (FMV) for share options is the price a reasonable purchaser would pay for the company’s shares on the day they are sold. This value is used to determine the value of the shares for income tax purposes. A FMV pricing method/configuration is used to determine the value of the shares for inclusion in the participant’s income.

Please refer to the IRS Instructions for Form W-9 for use in conjunction with this guide. If there are discrepancies between the following instructions and the IRS website, the IRS website takes precedence.

What is form W-9?

Individuals and entities use the form to provide their taxpayer identification number to entities that will pay them income during thetaxyear. Companies use your W-9 for accounting purposes but does not send the form to the IRS.

Shareworks uses a substitute W9 that contains all of the relevant information required by the IRS. The instructions in this document refer to the Shareworks version of the W9.

Detailed Instructions

Personal Information Verification

Verify that the information in this section is correct.

It has been completed based on information in your Shareworks account, which is generally the name and address listed should be the same as shown on your US tax return.

If you need to update any information in this section, contact your HR department.

Exemption from FATCA Reporting Code (if any): generally, individuals are NOT exempt from FATCA or backup withholding.

Leave this blank unless you meet one of the IRS’s exemptions.

A list of exemptions and the corresponding codes can be found at this link ; please see information under Line 4, Exemptions.

Part I: Taxpayer Identification Number - MANDATORY

Individuals - Enter your U.S. Taxpayer Identification Number (TIN).

Either a social security number (SSN) or an individual taxpayer identification number (ITIN).

If you do not have a US TIN, but are a US citizen or have a valid green card, contact your HR department.

Businesses Enter your Employer Identification Number (EIN).

If you are a non-resident alien (i.e. you are not a citizen of the US and you are not living in the US), do not complete the W-9. You need to complete a W-8BEN. Contact your HR department.

Part II: Certification MANDATORY

You are certifying that the information on this form is correct to the best of your knowledge for items 1, 2, 3 and 4.

Box Item 2 applies.

This has been pre-checked as the default to indicate that you are not subject to backup withhold because at least one of these statements is true. That you:

are exempt from backup withholding or

have not been notified by the IRS that you are subject to backup withholding or

have been notified by the IRS that you are NO LONGER subject to backup withholding.

If any one of these three statements is true, leave the check in the box.

If none of these three statements are true, uncheck the box and contact your HR department.

NOTE: You must uncheck “Item 2 applies: If you have been notified by the IRS that you are currently subject to backup withholding because you have failed to report all interest and dividends on your tax return.

Certification Instructions Agree to Certification Box.

Check the box if you agree with all the information on the form.

Select the Save button at the bottom to save and submit a copy of the W9.

As an employee, it is your responsibility to understand all tax implications that impact your equity and/or share purchase holdings.

A share purchase plan is a savings plan offered by companies to their employees where participants can regularly purchase shares of the company. These types of plans encourage employees to participate in the success of the company through ongoing equity purchases.

These types of purchases are generally coordinated with payroll departments, with the funds deducted from the employees' pay cheque.

Your account is locked after six unsuccessful login attempts (unless your company has chosen to increase or decrease this number). You must contact theParticipant Experience Group to unlock your account.

No, you do not need to send another application form to change your contribution level to a registered plan.

You can log into your Shareworks account and do the changes from your dashboard. Locate the task section and you will see theChange Contributionsoption under the section titled You are contributing. Alternately, you can contact the Participant Experience Group and one of the representatives can do it for you over the phone.

You can designate a beneficiary on any registered account (DPSP, RRSP or TFSA). You will find the beneficiary form located in the Documents tab in your Shareworks account.

Youcannot designate abeneficiaryfornon-registeredor cash accounts.

To change your password, click on your name to the top right corner, click on Profile, go to the My Profile section in Shareworks. Click on the Change Login Password link.

If you have forgotten your login password, you can reset your password online and have the information emailed to your work email address. Simply click on the Forgot Your Password link at the login page and complete the required steps.