0001193125-19-039230.txt : 20190214 0001193125-19-039230.hdr.sgml : 20190214 20190214072503 ACCESSION NUMBER: 0001193125-19-039230 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20190214 DATE AS OF CHANGE: 20190214 GROUP MEMBERS: BMO ASSET MANAGEMENT INC. GROUP MEMBERS: BMO CAPITAL MARKETS CORP. GROUP MEMBERS: BMO GLOBAL ASSET MANAGEMENT (ASIA) LTD GROUP MEMBERS: BMO NESBITT BURNS INC. GROUP MEMBERS: BMO PRIVATE INVESTMENT COUNSEL INC. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TRANSALTA CORP CENTRAL INDEX KEY: 0001144800 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 000000000 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-79749 FILM NUMBER: 19600699 BUSINESS ADDRESS: STREET 1: 110 12TH AVE SW BOX 1900 STATION M STREET 2: CALGARY ALBERTA T2P 2MI CITY: CALGARY STATE: A0 ZIP: T2P2M1 BUSINESS PHONE: 403-267-4724 MAIL ADDRESS: STREET 1: 110-12TH AVENUE SW CITY: CALGARY ALBERTA CANADA STATE: A0 ZIP: T2P2M1 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BANK OF MONTREAL /CAN/ CENTRAL INDEX KEY: 0000927971 STANDARD INDUSTRIAL CLASSIFICATION: COMMERCIAL BANKS, NEC [6029] IRS NUMBER: 000000000 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1 FIRST CANADIAN PLACE CITY: TORONTO STATE: A6 ZIP: M5X 1A1 BUSINESS PHONE: 4168677191 MAIL ADDRESS: STREET 1: 1 FIRST CANADIAN PLACE CITY: TORONTO STATE: A6 ZIP: M5X 1A1 SC 13G/A 1 d702491dsc13ga.htm SC 13G/A SC 13G/A

 

 

UNITED STATES

Securities and Exchange Commission

Washington, D.C. 20549

 

 

SCHEDULE 13G/A

Under the Securities Exchange Act of 1934

(Amendment No. 5)

 

 

TRANSALTA CORP

(Name of Issuer)

COM

(Title of Class of Securities)

89346D107

(CUSIP Number)

Dec 31, 2018

(Date of Event Which Requires Filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

  ☒

Rule 13d-1(b)

 

  ☐

Rule 13d-1(c)

 

  ☐

Rule 13d-1(d)

 

*

The remainder of this cover page shall be filled out for a reporting person’s initial filing in this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934, as amended (the “Act”), or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act.

 

 

 

SCHEDULE 13G

 

CUSIP No. 89346D107  

 

  1)   

Name of Reporting Person

 

Bank Of Montreal

  2)  

Check the Appropriate Box if a Member of a Group

(a)  ☐        (b)  ☐

 

  3)  

SEC Use Only

 

  4)  

Citizenship or Place of Organization

 

Canada

Number of Shares Beneficially Owned by Each Reporting Person With:    5)    

Sole Voting Power:

 

17,452,799(1)

   6)   

Shared Voting Power:

 

   7)   

Sole Dispositive Power:

 

17,452,799(1)

   8)   

Shared Dispositive Power:

 

  9)  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

17,453,799(1)

10)  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

☐

11)  

Percent of Class Represented by Amount in Row (9)

 

6.1028%

12)  

Type of Reporting Person

 

HC

 

(1)

Shares are held indirectly by the Reporting Person’s subsidiaries, BMO Capital Markets, Corp., BMO Nesbitt Burns, Inc., BMO Private Investment Counsel Inc., BMO Asset Management Inc., and BMO Global Asset Management (Asia) Inc.

SCHEDULE 13G

 

CUSIP No. 89346D107  

 

  1)   

Name of Reporting Person

 

BMO Capital Markets Corp.

  2)  

Check the Appropriate Box if a Member of a Group

(a)  ☐        (b)  ☐

 

  3)  

SEC Use Only

 

  4)  

Citizenship or Place of Organization

 

United States

Number of Shares Beneficially Owned by Each Reporting Person With:    5)    

Sole Voting Power:

 

14,073

   6)   

Shared Voting Power:

 

   7)   

Sole Dispositive Power:

 

14,073

   8)   

Shared Dispositive Power:

 

  9)  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

14,073

10)  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

☐

11)  

Percent of Class Represented by Amount in Row (9)

 

0.0049%

12)  

Type of Reporting Person

 

FI

SCHEDULE 13G

 

CUSIP No. 89346D107  

 

  1)   

Name of Reporting Person

 

BMO NESBITT BURNS INC.

  2)  

Check the Appropriate Box if a Member of a Group

(a)  ☐        (b)  ☐

 

  3)  

SEC Use Only

 

  4)  

Citizenship or Place of Organization

 

Canada

Number of Shares Beneficially Owned by Each Reporting Person With:    5)    

Sole Voting Power:

 

10,779,459

   6)   

Shared Voting Power:

 

   7)   

Sole Dispositive Power:

 

10,779,459

   8)   

Shared Dispositive Power:

 

  9)  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

10,779,459

10)  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

☐

11)  

Percent of Class Represented by Amount in Row (9)

 

3.769%

12)  

Type of Reporting Person

 

FI

SCHEDULE 13G

 

CUSIP No. 89346D107  

 

  1)   

Name of Reporting Person

 

BMO PRIVATE INVESTMENT COUNSEL INC.

  2)  

Check the Appropriate Box if a Member of a Group

(a)  ☐        (b)  ☐

 

  3)  

SEC Use Only

 

  4)  

Citizenship or Place of Organization

 

Canada

Number of Shares Beneficially Owned by Each Reporting Person With:    5)    

Sole Voting Power:

 

845

   6)   

Shared Voting Power:

 

   7)   

Sole Dispositive Power:

 

845

   8)   

Shared Dispositive Power:

 

  9)  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

845

10)  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

☐

11)  

Percent of Class Represented by Amount in Row (9)

 

0.0002%

12)  

Type of Reporting Person

 

IA

SCHEDULE 13G

 

CUSIP No. 89346D107  

 

  1)   

Name of Reporting Person

 

BMO ASSET MANAGEMENT INC.

  2)  

Check the Appropriate Box if a Member of a Group

(a)  ☐        (b)  ☐

 

  3)  

SEC Use Only

 

  4)  

Citizenship or Place of Organization

 

Canada

Number of Shares Beneficially Owned by Each Reporting Person With:    5)    

Sole Voting Power:

 

6,658,422

   6)   

Shared Voting Power:

 

   7)   

Sole Dispositive Power:

 

6,658,422

   8)   

Shared Dispositive Power:

 

  9)  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

6,658,422

10)  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

☐

11)  

Percent of Class Represented by Amount in Row (9)

 

2.3281%

12)  

Type of Reporting Person

 

IA

SCHEDULE 13G

 

CUSIP No. 89346D107  

 

  1)   

Name of Reporting Person

 

BMO Global Asset Management (Asia) Limited

  2)  

Check the Appropriate Box if a Member of a Group

(a)  ☐        (b)  ☐

 

  3)  

SEC Use Only

 

  4)  

Citizenship or Place of Organization

 

Hong Kong

Number of Shares Beneficially Owned by Each Reporting Person With:    5)    

Sole Voting Power:

 

   6)   

Shared Voting Power:

 

   7)   

Sole Dispositive Power:

 

   8)   

Shared Dispositive Power:

 

  9)  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

1,000

10)  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

☐

11)  

Percent of Class Represented by Amount in Row (9)

 

0.0003%

12)  

Type of Reporting Person

 

IA

SCHEDULE 13G

 

CUSIP No. 89346D107  

 

ITEM 1(a).

Name of Issuer.

TRANSALTA CORP

 

ITEM 1(b).

Address of Issuer’s Principal Executive Offices.

Transalta Corporation

110 12th Avenue SW Box 1900 Station M

Calgary, Alberta, A0 T2P 2M1

 

ITEM 2(a).

Names of Persons Filing.

Bank Of Montreal

BMO CAPITAL MARKETS, CORP.

BMO NESBITT BURNS INC.

BMO PRIVATE INVESTMENT COUNSEL INC.

BMO ASSET MANAGEMENT INC.

BMO GLOBAL ASSET MANAGEMENT (ASIA) LIMITED

 

ITEM 2(b).

Address of Principal Business Office or, if none, Residence.

Bank of Montreal

1 First Canadian Place

Toronto, Ontario, Canada M5X 1A1

BMO Capital Markets Corp.

3 Times Square

New York, NY 10036

BMO Nesbitt Burns, Inc.

IBG Finance Dept.

FCP – 7th Floor

Toronto, ON, Canada M5X 1H3

BMO Private Investment Counsel Inc.

1 First Canadian Place

P.O. Box 150

9th Floor

Toronto, ON, Canada M5X 1H3

BMO Asset Management, Inc.

Royal Trust Tower

77 King Street West

Suite 4200

Toronto, ON, Canada M5K 1J5

BMO Global Asset Management (Asia) Limited

3808 One Exchange Square Central

Hong Kong, Hong Kong

 

ITEM 2(c).

Citizenship or Place of Organization.

Bank Of Montreal is organized under the laws of Canada

BMO Capital Markets Corp. is organized under the laws of United States

BMO Nesbitt Burns Inc. is organized under the laws of Canada

BMO Private Investment Counsel Inc. is organized under the laws of Canada

BMO Asset Management Inc. is organized under the laws of Canada

BMO Global Asset Management (Asia) Limited is organized under the laws of Hong Kong

ITEM 2(d).

Title of Class of Securities.

COM

 

ITEM 2(e).

CUSIP Number.

89346D107

 

ITEM 3.

If this statement is filed pursuant to Sections 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

(a)    ☒    Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o);
(b)    ☒    Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c);
(c)    ☐    Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c);
(d)    ☐    Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
(e)    ☒    An investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E);
(f)    ☐    An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F);
(g)    ☒    A parent holding company or control person in accordance with Section 240.13d-1(b)(1)(ii)(G);
(h)    ☐    A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
(i)    ☐    A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
(j)    ☐    A non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J);
(k)    ☐    Group, in accordance with Section 240.13d-1(b)(1)(ii)(K).

ITEM 4.

Ownership.

The information contained in Items 5 – 11 on the cover pages is incorporated herein by reference.

 

ITEM 5.

Ownership of Five Percent or Less of a Class.

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following  ☐.

 

ITEM 6.

Ownership of More than Five Percent on Behalf of Another Person.

Bank of Montreal is reporting on this Schedule 13G securities held through its subsidiaries, BMO Capital Markets Corp., BMO Nesbitt Burns Inc., BMO Private Investment Counsel Inc., BMO Asset Management Inc. and BMO Global Asset Management (Asia) Limited as fiduciaries for certain employee benefit plans, trust and/or customer accounts. As a result, participants in the plans, trust beneficiaries and customers are entitled to receive, or have the power to direct the receipt of, dividends and proceeds from the sale of such securities. No such person is known to have such an interest relating to more than five percent of the class of subject securities.

ITEM 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person

Bank of Montreal is the ultimate parent company of BMO Capital Markets Corp., a broker-dealer registered under Section 15 of the Securities Exchange Act of 1934 and an investment adviser registered under Section 203 of the Investment Advisers Act of 1940 and a U.S. institution, BMO Nesbitt Burns Inc., a non-U.S. institution, BMO Private Investment Counsel Inc., an investment adviser registered under Section 203 of the Investment Advisers Act of 1940 and a non-U.S. institution, BMO Asset Management Inc., an investment adviser registered under Section 203 of the Investment Advisers Act of 1940 and a non-U.S. institution, and BMO Global Asset Management (Asia) Limited, an investment adviser registered under Section 203 of the Investment Advisers Act of 1940 and a non-U.S. institution.

 

ITEM 8.

Identification and Classification of Members of the Group.

Not Applicable

 

ITEM 9.

Notice of Dissolution of Group.

Not Applicable

 

ITEM 10.

Certifications.

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Dated as of the 14th day of February, 2019.

 

BANK OF MONTREAL

/s/ Barbara Muir

Barbara Muir

SVP, Deputy General Counsel Corporate Affairs & Corporate Secretary