0001102624-16-003046.txt : 20160630 0001102624-16-003046.hdr.sgml : 20160630 20160630163014 ACCESSION NUMBER: 0001102624-16-003046 CONFORMED SUBMISSION TYPE: 6-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20160630 FILED AS OF DATE: 20160630 DATE AS OF CHANGE: 20160630 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BROOKFIELD ASSET MANAGEMENT INC. CENTRAL INDEX KEY: 0001001085 STANDARD INDUSTRIAL CLASSIFICATION: OPERATORS OF NONRESIDENTIAL BUILDINGS [6512] IRS NUMBER: 000000000 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 6-K SEC ACT: 1934 Act SEC FILE NUMBER: 033-97038 FILM NUMBER: 161743465 BUSINESS ADDRESS: STREET 1: BROOKFIELD PLACE, 181 BAY ST, STE 300 STREET 2: PO BOX 762 CITY: TORONTO STATE: A6 ZIP: A6 M5J2T3 BUSINESS PHONE: 416-363-9491 MAIL ADDRESS: STREET 1: BROOKFIELD PLACE, 181 BAY ST, STE 300 STREET 2: PO BOX 762 CITY: TORONTO STATE: A6 ZIP: A6 M5J2T3 FORMER COMPANY: FORMER CONFORMED NAME: BRASCAN CORP/ DATE OF NAME CHANGE: 20010321 FORMER COMPANY: FORMER CONFORMED NAME: EDPERBRASCAN CORP DATE OF NAME CHANGE: 19970904 FORMER COMPANY: FORMER CONFORMED NAME: BRASCAN LTD DATE OF NAME CHANGE: 19950919 6-K 1 brookfieldasset6k.htm BROOKFIELD ASSET MANAGEMENT INC. 6-K brookfieldasset6k.htm
 


 
 
FORM 6-K
 
 
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
 
Report of Foreign Private Issuer
Pursuant to Rule 13a-16 or 15d-16
of the Securities Exchange Act of 1934
 
 
For the month of June, 2016
 
Commission File Number: 033-97038
 
 
BROOKFIELD ASSET MANAGEMENT INC.
(Translation of Registrant’s Name into English)
 
 
Suite 300, Brookfield Place, 181 Bay Street, P.O. Box 762, Toronto, Canada M5J 2T3
(Address of Principal Executive Offices)
 
 
Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F.
 
Form 20-F o
 
Form 40-F x
 
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(1): o
 
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(7): o
 
Indicate by check mark whether the registrant by furnishing the information contained in this form is also thereby furnishing the information to the Commission pursuant to Rule 12g3-2(b) under the Securities Exchange Act of 1934.
 
Yes o
 
No x
 
(If “Yes” is marked, indicate below the file number assigned to the registrant in connection with Rule 12g3-2(b): 82- .
 

 
 
DOCUMENTS FILED AS PART OF THIS FORM 6-K
 
See the Exhibit Index to this Form 6-K.
 
SIGNATURES
 
 
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
 
         
   
BROOKFIELD ASSET MANAGEMENT INC.
     
Date: June 30, 2016
 
By:
 
/s/ Brian D. Lawson                                   
   
Name:
 
Brian D. Lawson
   
Title:
 
Chief Financial Officer

 

 
EXHIBIT INDEX
 
     
Exhibit
 
Description
   
 
BROOKFIELD ASSET MANAGEMENT ANNOUNCES AUTOMATIC PURCHASE PLAN FOR PREFERRED SHARES NORMAL COURSE ISSUER BID
 

 
 


EX-99.1 2 exh99_1.htm EXHIBIT 99.1

Exhibit 99.1
 

 
 
 
 PRESS RELEASE
 
BROOKFIELD ASSET MANAGEMENT ANNOUNCES AUTOMATIC PURCHASE PLAN
FOR PREFERRED SHARES NORMAL COURSE ISSUER BID

Brookfield, June 30, 2016 – Brookfield Asset Management Inc. (TSX: BAM.A, NYSE: BAM, Euronext: BAMA) today announced that, in connection with its previously announced normal course issuer bid to purchase up to 10% of the public float of each series of the company's outstanding Class A Preference Shares, excluding the Series 14 Class A Preference Shares, that are listed on the TSX (the "Preferred Shares"), it will enter into an automatic purchase plan with its designated broker. The plan will allow for purchases of Preferred Shares when the company ordinarily would not be active in the market due to its own internal trading black-out period, insider trading rules or otherwise.
Under its normal course issuer bid for Preferred Shares which expires on August 11, 2016, the company is authorized to purchase each respective series of the Preferred Shares as follows:
Series
Ticker
Issued and
Outstanding
Shares
Public Float
Average Daily
Trading
Volume
Maximum Number of
Shares Subject to
Purchase
         
 
 
Total
 
 
 
 
 
Daily
 
 
 
Series 2
 
 
BAM.PR.B
 
 
10,465,100
 
 
10,227,590
 
 
7,753
 
 
1,022,759
 
 
 
1,938
 
 
Series 4
 
 
BAM.PR.C
 
 
4,000,000
 
 
3,988,000
 
 
4,523
 
 
398,800
 
 
 
1,130
 
 
Series 8
 
 
BAM.PR.E
 
 
1,652,394
 
 
1,651,394
 
 
1,124
 
 
165,139
 
 
 
1,000
 
 
Series 9
 
 
BAM.PR.G
 
 
6,347,606
 
 
2,854,506
 
 
1,106
 
 
285, 450
 
 
 
1,000
 
 
Series 13
 
 
BAM.PR.K
 
 
9,999,000
 
 
8,800,200
 
 
4,744
 
 
880,020
 
 
 
1,186
 
 
Series 17
 
 
BAM.PR.M
 
 
8,000,000
 
 
8,000,000
 
 
5,514
 
 
800,000
 
 
 
1,378
 
 
Series 18
 
 
BAM.PR.N
 
 
8,000,000
 
 
7,814,339
 
 
5,740
 
 
781,433
 
 
 
1,435
 
 
Series 24
 
 
BAM.PR.R
 
 
11,000,000
 
 
11,000,000
 
 
12,308
 
 
1,100,000
 
 
 
3,077
 
 
Series 26
 
 
BAM.PR.T
 
 
10,000,000
 
 
10,000,000
 
 
10,712
 
 
1,000,000
 
 
 
2,678
 
 
Series 28
 
 
BAM.PR.X
 
 
9,400,000
 
 
9,400,000
 
 
11,311
 
 
940,000
 
 
 
2,827
 
 
Series 30
 
 
BAM.PR.Z
 
 
10,000,000
 
 
10,000,000
 
 
10,578
 
 
1,000,000
 
 
 
2,644
 
 
Series 32
 
 
BAM.PF.A
 
 
12,000,000
 
 
12,000,000
 
 
8,718
 
 
1,200,000
 
 
 
2,179
 
 
Series 34
 
 
BAM.PF.B
 
 
10,000,000
 
 
10,000,000
 
 
8,007
 
 
1,000,000
 
 
 
2,001
 
 
Series 36
 
 
BAM.PF.C
 
 
8,000,000
 
 
8,000,000
 
 
9,759
 
 
800,000
 
 
 
2,439
 
 
Series 37
 
 
BAM.PF.D
 
 
8,000,000
 
 
8,000,000
 
 
9,748
 
 
800,000
 
 
 
2,437
 
 
Series 38
 
 
BAM.PF.E
 
 
8,000,000
 
 
8,000,000
 
 
4,856
 
 
800,000
 
 
 
1,214
 
 
Series 40
 
 
BAM.PF.F
 
 
12,000,000
 
 
12,000,000
 
 
9,356
 
 
1,200,000
 
 
 
2,339
 
 
Series 42
 
 
BAM.PF.G
 
 
12,000,000
 
 
12,000,000
 
 
11,343
 
 
1,200,000
 
 
 
2,835
 

1. Calculated as at July 31, 2015.
2. Calculated for the six months prior to July 31, 2015. 
3. In accordance with TSX rules, any daily repurchases with respect to: (i) the Series 8 and Series 9 Preferred Shares would be limited to 1,000 shares of the respective series and (ii) each of the other series of Preferred Shares (excluding the Series 8 and Series 9 Preferred Shares) would be limited to 25% of the average daily trading volume on the TSX of the respective series.
 
 
 
 
***
 
 

Brookfield Asset Management
Brookfield Asset Management Inc. is a global alternative asset manager with $240 billion in assets under management. The company has more than a 100-year history of owning and operating assets with a focus on property, renewable power, infrastructure and private equity. Brookfield offers a range of public and private investment products and services, and is co-listed on the New York, Toronto and Euronext stock exchanges under the symbol BAM, BAM.A and BAMA, respectively.

For more information, please visit our website at www.brookfield.com or contact: 

 
Suzanne Fleming
Communications & Media
Tel: (212) 417-2421
Email: Suzanne.fleming@brookfield.com
 
 
 
Linda Northwood
Investor Relations
Tel: (416) 359-8647
Email: Linda.northwood@brookfield.com

Forward-Looking Statements
 
Note: This press release contains forward-looking information within the meaning of Canadian provincial securities laws and other "forward looking statements" within the meaning of Section 27A of the U.S. Securities Act of 1933, as amended, and Section 21E of the U.S. Securities Exchange Act of 1934, as amended. Words such as "propose" and "believe," conditional verbs such as "will" and "may," and other expressions which are predictions of or indicate future events, trends or prospects and which do not relate to historical matters identify forward-looking statements. Forward-looking information in this news release includes statements with regards to potential future purchases by Brookfield Asset Management of its Class A Preference Shares under its normal course issuer bid and automatic purchase plan. Although Brookfield Asset Management believes that the anticipated future results or achievements expressed or implied by the forward-looking statements and information is based upon reasonable assumptions and expectations, the reader should not place undue reliance on forward-looking statements and information because they involve known and unknown risks, uncertainties and other factors which may cause the actual results, performance or achievements of the company to differ materially from anticipated future results, performance or achievement expressed or implied by such forward-looking statements and information. Factors that could cause actual results to differ materially from those contemplated or implied by forward-looking statements include: general economic conditions; interest rate changes; availability of equity and debt financing; the performance of the Class A Preference Shares or the stock exchanges generally; and other risks and factors described from time to time in the documents filed by the company with the securities regulators in Canada and the United States including in Management's Discussion and Analysis under the heading "Operating Capabilities, Environment and Risks". The company undertakes no obligation to publicly update or revise any forward-looking statements or information, whether as a result of new information, future events or otherwise.
 

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