Statement of Ownership (sc 13g)
February 14 2018 - 6:27AM
Edgar (US Regulatory)
UNITED STATES
Securities and Exchange Commission
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. )*
ALGONQUIN PWR
UTILS CORP
(Name of Issuer)
COM
(Title of
Class of Securities)
15857105
(CUSIP Number)
Dec 31,
2017
(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)
*
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The remainder of this cover page shall be filled out for a reporting persons 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.
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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. 15857105
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1)
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Name of
Reporting Person
Bank Of Montreal
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2)
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Check the Appropriate Box if a Member
of a Group
(a) ☐ (b) ☐
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3)
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SEC Use Only
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4)
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Citizenship or Place of
Organization
Canada
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With:
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5)
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Sole Voting Power:
22,104,111
(1)
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6)
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Shared Voting Power:
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7)
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Sole Dispositive Power:
22,104,111
(1)
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8)
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Shared Dispositive Power:
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9)
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Aggregate Amount Beneficially Owned by Each Reporting Person
22,104,111
(1)
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10)
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Check if the Aggregate Amount in Row
(9) Excludes Certain Shares
☐
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11)
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Percent of Class Represented by
Amount in Row (9)
5.1211%
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12)
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Type of Reporting Person
HC
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(1)
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Shares are held indirectly by the Reporting Persons subsidiaries, BMO Nesbitt Burns, Inc. and BMO Asset Management Inc.
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SCHEDULE 13G
CUSIP No. 15857105
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1)
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Name of
Reporting Person
BANK OF MONTREAL
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2)
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Check the Appropriate Box if a Member
of a Group
(a) ☐ (b) ☐
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3)
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SEC Use Only
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4)
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Citizenship or Place of
Organization
Canada
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With:
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5)
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Sole Voting Power:
102,733
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6)
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Shared Voting Power:
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7)
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Sole Dispositive Power:
102,733
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8)
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Shared Dispositive Power:
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9)
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Aggregate Amount Beneficially Owned by Each Reporting Person
102,733
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10)
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Check if the Aggregate Amount in Row
(9) Excludes Certain Shares
☐
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11)
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Percent of Class Represented by Amount
in Row (9)
0.0238%
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12)
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Type of Reporting Person
HC
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SCHEDULE 13G
CUSIP No. 15857105
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1)
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Name of
Reporting Person
BMO NESBITT BURNS INC.
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2)
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Check the Appropriate Box if a Member
of a Group
(a) ☐ (b) ☐
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3)
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SEC Use Only
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4)
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Citizenship or Place of
Organization
Canada
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With:
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5)
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Sole Voting Power:
9,087,516
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6)
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Shared Voting Power:
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7)
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Sole Dispositive Power:
9,087,516
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8)
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Shared Dispositive Power:
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9)
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Aggregate Amount Beneficially Owned by Each Reporting Person
9,087,516
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10)
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Check if the Aggregate Amount in Row
(9) Excludes Certain Shares
☐
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11)
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Percent of Class Represented by Amount
in Row (9)
2.1054%
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12)
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Type of Reporting Person
FI
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SCHEDULE 13G
CUSIP No. 15857105
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1)
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Name of
Reporting Person
BMO ASSET MANAGEMENT INC.
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2)
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Check the Appropriate Box if a Member
of a Group
(a) ☐ (b) ☐
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3)
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SEC Use Only
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4)
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Citizenship or Place of
Organization
Canada
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With:
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5)
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Sole Voting Power:
12,913,862
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6)
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Shared Voting Power:
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7)
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Sole Dispositive Power:
12,913,862
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8)
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Shared Dispositive Power:
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9)
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Aggregate Amount Beneficially Owned by Each Reporting Person
12,913,862
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10)
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Check if the Aggregate Amount in Row
(9) Excludes Certain Shares
☐
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11)
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Percent of Class Represented by Amount
in Row (9)
2.9919%
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12)
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Type of Reporting Person
IA
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SCHEDULE 13G
CUSIP No. 15857105
ITEM 1(a). Name of Issuer.
ALGONQUIN PWR UTILS CORP
ITEM 1(b). Address of Issuers Principal Executive Offices.
354 Davis Road
Oakville, Ontario, Canada A6 L6J2X1
ITEM 2(a). Names of Persons Filing.
Bank Of Montreal
BMO NESBITT BURNS INC.
BMO ASSET MANAGEMENT INC.
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 Nesbitt Burns, Inc.
IBG Finance Dept.
FCP 7
th
Floor
Toronto, ON, Canada M5X 1H3
BMO Asset Management, Inc.
Royal Trust Tower
77 King Street West
Suite 4200
Toronto, ON, Canada M5K 1J5
ITEM 2(c). Citizenship or Place of Organization.
Bank Of Montreal is organized under the laws of Canada
BMO Nesbitt Burns Inc. is organized under the laws of Canada
BMO Asset Management Inc. is organized under the laws of Canada
ITEM 2(d). Title of Class of Securities.
COM
ITEM 2(e). CUSIP Number.
15857105
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:
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(a)
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☐
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Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o);
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(b)
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☒
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Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c);
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(c)
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☐
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Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c);
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(d)
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☐
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Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C.
80a-8);
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(e)
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☐
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An investment adviser in accordance with
Section 240.13d-1(b)(1)(ii)(E);
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(f)
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☐
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An employee benefit plan or endowment fund in accordance with
Section 240.13d-1(b)(1)(ii)(F);
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(g)
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☒
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A parent holding company or control person in accordance with
Section 240.13d-1(b)(1)(ii)(G);
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(h)
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☐
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A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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(i)
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☐
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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);
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(j)
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☒
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A
non-U.S.
institution in accordance with
Section 240.13d-1(b)(1)(ii)(J);
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(k)
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☐
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Group, in accordance with
Section 240.13d-1(b)(1)(ii)(K).
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The information contained in Items 5 11 on the cover
pages is incorporated herein by reference.
ITEM 5.
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Ownership of Five Percent or Less of a Class.
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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.
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Ownership of More than Five Percent on Behalf of Another Person.
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Bank of Montreal is reporting on this
Schedule 13G securities held through its subsidiaries, BMO Nesbitt Burns Inc. and BMO Asset Management Inc. 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.
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Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person
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Bank of Montreal is the ultimate parent company of BMO Nesbitt Burns Inc., a
non-U.S.
institution and BMO Asset
Management Inc., a
non-US
institution.
ITEM 8.
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Identification and Classification of Members of the Group.
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Not
Applicable
ITEM 9.
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Notice of Dissolution of Group.
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Not Applicable
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 14
th
day of February, 2018.
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BANK OF MONTREAL
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/s/ Barbara Muir
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Barbara Muir
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SVP, Deputy General Counsel Corporate Affairs & Corporate Secretary
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BMO NESBITT BURNS INC.
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*
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BMO ASSET MANAGEMENT, INC.
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*
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*
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Pursuant to Power of Attorney filed as Exhibit 2 to Schedule 13G filed on February 14, 2014 by Reporting Persons named herein
(File No. 005-59405), which
is
incorporated by reference.
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