0001199073-12-001025.txt : 20121120 0001199073-12-001025.hdr.sgml : 20121120 20121120133310 ACCESSION NUMBER: 0001199073-12-001025 CONFORMED SUBMISSION TYPE: 6-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20121120 FILED AS OF DATE: 20121120 DATE AS OF CHANGE: 20121120 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: 121217394 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 bam6k.htm BROOKFIELD ASSET MANAGEMENT FORM 6-K bam6k.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 November, 2012
 
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 [     ]    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): ____
 
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): ____
 
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 [     ]    No [  X  ]
 
(If “Yes” is marked, indicate below the file number assigned to the registrant
in connection with Rule 12g3-2(b): 82-           .
 
 
 
 

 

 
INCORPORATION BY REFERENCE
 
The Form 6-K of Brookfield Asset Management Inc. dated November 20, 2012 and the exhibit thereto are hereby incorporated by reference as exhibits to Brookfield Asset Management Inc.’s registration statement on Form F-9 (File No. 333-112049).
 
 
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:  November 20, 2012
By:           /s/ B.D. Lawson
 
Name:           B.D. Lawson
 
Title:           Managing Partner & CFO
 

 
 

 
 
EXHIBIT INDEX
 
Exhibit
Description
   
Brookfield to Issue CDN$150 Million of Preferred Shares
   
 
 
 

 


 
EX-99.1 2 exh99_1.htm NEWS RELEASE DATED NOV. 20, 2012 exh99_1.htm  

Exhibit 99.1
 
 
 
 
 
Brookfield Asset Management Inc.
 Graphic
 

News Release

BROOKFIELD TO ISSUE CDN$150 MILLION OF PREFERRED SHARES
 
 
NOT FOR DISTRIBUTION TO U.S. NEWSWIRE SERVICES OR FOR DISSEMINATION TO THE UNITED STATES
 
Toronto, Ontario, November 20, 2012 Brookfield Asset Management Inc. (NYSE: BAM) (TSX: BAM.A)  (Euronext: BAMA) today announced that it has agreed to issue 6,000,000 4.85% perpetual Class A Preferred Shares, Series 36 (“Preferred Shares”) on a bought deal basis to a syndicate of underwriters led by Scotiabank, CIBC, RBC Capital Markets and TD Securities Inc. for distribution to the public. The Preferred Shares will be issued at a price of CDN$25.00 per share, for aggregate gross proceeds of CDN$150,000,000.
 
Brookfield has granted the underwriters an option, exercisable until 48 hours prior to closing, to purchase up to an additional 2,000,000 Preferred Shares which, if exercised, would increase the gross offering size to CDN$200,000,000. The Preferred Shares will be offered in all provinces of Canada by way of a supplement to Brookfield Asset Management’s existing short form base shelf prospectus dated June 7, 2011 as amended on June 13, 2012. The Preferred Shares may not be offered or sold in the United States or to U.S. persons absent registration or an applicable exemption from the registration requirements under the U.S. Securities Act.
 
The net proceeds of the issue will be used for general corporate purposes. The offering of Preferred Shares is expected to close on or about November 27, 2012.
 
Brookfield Asset Management Inc. is a global alternative asset manager with over $150 billion in assets under management. The company has over a 100-year history of owning and operating assets with a focus on property, renewable power, infrastructure and private equity. It has a range of public and private investment products and services, which leverage its expertise and experience and provide Brookfield with a competitive advantage in the markets where it operates. Brookfield is co-listed on the New York and Toronto stock exchanges under the symbol BAM and BAM.A, respectively, and on NYSE Euronext under the symbol BAMA. For more information, please visit our website at www.brookfield.com.
 
For more information, please visit our web site at www.brookfield.com or contact:
 
Andrew Willis
SVP, Communications and Media
Tel: (416) 369 - 8236
Fax: (416) 363 - 2856
Email: andrew.willis@brookfield.com
 
Katherine Vyse
SVP, Investor Relations
Tel: (416) 369-8246
Fax: (416) 363-2856
Email: kvyse@brookfield.com
 
 
1 |  Brookfield Asset Management Inc.
 

 
 
Forward-Looking Statements
 
Note: This news release contains forward-looking information within the meaning of Canadian provincial securities laws and “forward-looking statements” within the meaning of Section 27A of the U.S. Securities Act of 1933, as amended, Section 21E of the U.S. Securities Exchange Act of 1934, as amended, “safe harbor” provisions of the United States Private Securities Litigation Reform Act of 1995 and in any applicable Canadian securities regulations. The words “will” and “expected” and derivations thereof and other expressions that are predictions of or indicate future events, trends or prospects and which do not relate to historical matters identify forward-looking statements. Forward-looking statements in this news release include statements in regards to the issuance of the preferred shares and the use of proceeds of such issuance. Although Brookfield Asset Management believes that such forward-looking statements and information are based upon reasonable assumptions and expectations, the reader should not place undue reliance on forward-looking statements and information as such statements and information 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: economic and financial conditions in the countries in which we do business; the behaviour of financial markets, including fluctuations in interest and exchange rates; availability of equity and debt financing; and other risks and factors detailed from time to time in the company’s form 40-F filed with the Securities and Exchange Commission as well as other documents filed by the company with the securities regulators in Canada and the United States including the company’s most recent Management’s Discussion and Analysis of Financial Results under the heading “Business Environment and Risks.”
 
We caution that the foregoing list of factors that may affect future results is not exhaustive. When relying on our forward-looking statements to make decisions with respect to Brookfield Asset Management, investors and others should carefully consider the foregoing factors and other uncertainties and potential events. Except as required by law, the company undertakes no obligation to publicly update or revise any forward-looking statements or information, whether written or oral, as a result of new information, future events or otherwise.
 
 
 
 
 
2 |  Brookfield Asset Management Inc.
 
 

GRAPHIC 3 logo.jpg GRAPHIC begin 644 logo.jpg M_]C_X``02D9)1@`!`@$`2`!(``#_P``1"``M`,@#`2(``A$!`Q$!_]L`A``% M`P,$`P,%!`0$!04%!@<-"`<'!P<0"PP)#1,0%!,2$!(2%1<>&146'!82$AHC M&AP?("$B(109)2(2$@`04%!0<&!P\("`\@%1(5%2`@("`@("`@("`@ M("`@("`@("`@("`@("`@("`@("`@("`@("`@("`@("`@("`@("#_Q`&B```! M!0$!`0$!`0```````````0(#!`4&!P@)"@L0``(!`P,"!`,%!00$```!?0$" M`P`$$042(3%!!A-180'EZ@X2% MAH>(B8J2DY25EI>8F9JBHZ2EIJ>HJ:JRL[2UMK>XN;K"P\3%QL?(R;GZ.GJ\?+S]/7V]_CY^@$``P$!`0$!`0$!`0````````$" M`P0%!@<("0H+$0`"`0($!`,$!P4$!``!`G<``0(#$00%(3$&$D%1!V%Q$R(R M@0@40I&AL<$)(S-2\!5B7J"@X2%AH>(B8J2DY25EI>8F9JB MHZ2EIJ>HJ:JRL[2UMK>XN;K"P\3%QL?(RKR M\_3U]O?X^?K_V@`,`P$``A$#$0`_`/HGQK^T%X`^'NO-H6OZL;:_1!(T8C)P M#TK&'[6_PG)`_P"$@;_OR:^;?VRB$^-=TV`<64?\A7HG@G]BWPWXI\(Z3K4^ MM:A'+?6J3.JD@*6&<"O7C@\-"A&K5;U/->)K2K.G!+0]Q\(?''P#XZO5LM$\ M1VDURP^6)CL8_0'K7:XQ7YQ_&#X?R_!?X@W&C6NH^=-91QW5O=1\,FX9`/N* M^Y-(^(UOH?P?T_QCXG:2...PCDN7"Y8Y4?-CWK'%X*%.$:E)W3-,-BI3E*%1 M6:.XHKRS1?VJ?AEK>CWNJQZR\%O9D!Q-'M9LC(VKU-=CX.^(F@^-_"$?BO3K MGR]*=6<33_)A1U)STKCG0J05Y1:.N-2$M$SHJ*\0\2_MH_#C0=0DL[>2ZU$Q ML4>2)=J9'H3UKJ?AG^T5X%^*=T+#2-0,&H;I->,^+OVQOAQX6U&2PAN)]3DB;;(UN!L M!]F/!K.G1G5=H*Y*=+\%:!=:[K4_D6%HF^:0#.T?2N$^' M'[3?@#XE7Z:98W[6>H2?<@N1MW\=CT)]JF_:='_%C?$P(_Y=?ZBK]A*-10J* MUV3[6+@Y0=[&S\//C'X/^*;W4?A?43=M:@&8%"NT'I785\G?L$`?;?$@`_@C M_K7L/B_]J+X:^"-=N-$U/5I6O+8[95@B,@5N/ER._-;XK".%9TZ2;T,J&(4Z M2G/0],NKF"RMI+FYE2&&)2[NYP%`')->2S?M>_"R+5TTY-8DEW2",3)$2FX] M,&L;]HSXS>&7^%=WI"ZC)9ZMJUDLUI:2(5D>-NA([9`-?-OP*TOX9W.I3/\` M$C5)K!+=HSI\<;E!(^>Y`[5OA,#&=.4ZJ>G8QQ&+<9QA"VI]H>/?CMX&^&=S M:V_B353:R74/GP@1EMR>M=5X?U_3_%.C6VKZ7-YUG-O'&A_#O09-<\077V:QB(5G"YP3TXK/^'OQ8\*?%*&YF\+Z@;M+5MLN4 M*[37#_MC#_BR.H`C_EJE<+^P8`-(\0X'_+8?S-;TL-"6&E5>Z9C.O*->-);- M'T[6+XT\;:+\/=!DUSQ!=?9K"-U1I-N<$G`XKG?BA\=_!OPD*0:[?%KV50T= MK"-SX]3Z#ZUXO\;_`-H+P3\7O@QJ-CHEZR7Z7,3&UF&&(!R2/6LZ&%J5'%V? M*WN75KPA%V>J1[W\._BIX6^*EG=7?A>_-W%:.L4XQEBI*4K:'RYX;DT( M>/\`S_C$=8&'#3A@PD8]MW^S7U]\?+O3K[]G;59](>-]/:R3[,8_N[.-H_*O MEG]I_P")WA[XG^.UU708V^Q6]LL3SR1[#,0#Q@]AVKV.TTK4=(_8FG@U-'25 MK6 MOGG:LB9)#`]_I7C?[5OQ-TWXH^/+:U\/.;FTLT^SQR!<>;*W&%]1SUITI8CZ MZU*_+KZ6Z$U(T%ADX;_C<]4_:%^,&I7G[._AVZMIC!<^(U"SR)P0%!WCZ'%< MY^RW^S9X=\>>$G\4^)XY9X))FAM+:.0H%"\%F])M.O/#DTT=C>*9(`SEGMY%/8_C7M7B/Q MI<>/_P!CB\UN[(-R^G>5,<=64@9_2O*?VPOBYHGC_7].TOP_/]JMM-5O-G4? M*\A/`4]^E>EWGA2Z\&_L5W>FWL9CN'L//D4_P[F!`_+%%3F>&INK\7,O4<%% M5JBI[6^6Q\\_#7XNW_PQ\*Z_I^CQ;=1UB(1)=2=36%SZ3_:Q^&WAK4_`>J>,;JPWZS9VZQP3AB-@STQ^->+_`+(7PO\` M"_Q.O=;'B;3_`+8;)8I+?YRNPD\U]#?M*WEOJ/P$UF[M)5E@F@5XW7HRDC!K MR#]@,8U#Q/\`]<8OYUYN%G.."J:[,]"O"#Q4--T8O[=<"6OBW0[>)=L<6G%$ M'H!G`KTO7?'%SX"_9*M+^QD,5W<6D=K!(O5&<8R*\W_;S_Y'72/^O%OZUV?Q M$\.77B']C[3C:1F1[&*&Z8#^XO7^=4E%X6DI;:I\3;URZL/LUKL9EE)R6=L=>3TJO\<+KX;KXFL=7^&%^Z1_ZV:/!402!@04 MST&!TKH_V8;'X8^))K[1O'MO#]LE99+&XFDV)MV\KGH#FNT^*]W\`OA;>6=E M9^&HM?EF?%TMM=?+#'TSN'!//2NVI4Y,39*3=MNAS4X.5'HM?F;WQ9\72^._ MV/K'7KB19+B>*,3$?WQD'^54?V'+L6'AGQ3=D9$!,A'TR?Z5K_&Z#08/V4(F M\,6,]CI,X26WMYU*N@)/!!K%_8CLVO\`PGXLM$X:<-&/J01_6N'3ZK5LK>]_ MD=/_`#$T_P#">.>'=)N_CW\=FM[^Y<_VC=.\CYY6%>=H].*];_:?_9R\*>!_ M`XKRCX2Z]'\(OCS%-K`,,=E=2VEP2/N!L# M=]*]Z_:_^+'AJY^&R^'=*U2VO[[4)XY%$#AU6,$DDD'BNBO*K&M2C2^'3^ON M,J4:;I3<_B*O[`Y!\+>)R.][%_Z+-?2M?-7[`Z[?"OB=?2]B'_D,U]*UY>9_ M[U+Y?DCOP'^[QMY_F>,?%C]E31OBOXRD\2WFMWEI*\*Q&*-`1QWKDC^P1X8/ M/_"1WV?^N2U]*45E#&UX148RT1I+"TIOF:U/#O!?[&/@'POJ45_?-=:M)"=T M:3-B//NHZUZ?\0?`UI\0/!5[X6GF:SMKJ,1[XE'R`=`!7145G4Q%6HU*3O8N M%&G!6BCRWX(?L\:7\$;B_FL-6N;XW@4,)5`VX&.,5Z+KFAZ?XDTBYTG5+6.Y MLKJ,QRQ.,@@U=HJ:E6=27-)ZE0IQ@N6.Q\T^)OV#=`U"_DGT/Q!<6%NS$K!- M$)0@]`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`!6/ M\$_@7IWP3M;^#3]3N+X7CAF,J@;?RKT:BL56G&#IIZ,U=*#DIM:H\B^,W[+W MAGXN:A_;`GDTK5RH5[B%05E`Z;E]?>N0T#]A7PMI^DW<.IZS=7E_,,17"($$ M(]E[U]&45I#&5X0Y(RT(EAJ4Y