Amended Statement of Ownership (sc 13g/a)
February 14 2018 - 7:11AM
Edgar (US Regulatory)
UNITED STATES
Securities and Exchange Commission
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 4)*
TRANSALTA
CORP
(Name of Issuer)
COM
(Title of
Class of Securities)
89346D107
(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:
*
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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
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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:
18,299,097
(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:
18,299,097
(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
18,299,097
(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)
6.3559%
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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
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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:
662,342
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6)
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Shared Voting Power:
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7)
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Sole Dispositive Power:
662,342
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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
662,342
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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)
0.23%
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12)
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Type of Reporting Person
FI
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SCHEDULE 13G
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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:
9,821,152
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6)
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Shared Voting Power:
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7)
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Sole Dispositive Power:
9,821,152
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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
9,821,152
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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)
3.4112%
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12)
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Type of Reporting Person
FI
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SCHEDULE 13G
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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:
7,815,603
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6)
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Shared Voting Power:
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7)
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Sole Dispositive Power:
7,815,603
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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
7,815,603
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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)
2.7146%
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12)
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Type of Reporting Person
IA
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SCHEDULE 13G
CUSIP No. 89346D107
ITEM 1(a).
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Name of Issuer.
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TRANSALTA CORP
ITEM 1(b).
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Address of Issuers Principal Executive Offices.
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Transalta Corporation
110 12
th
Avenue SW
Calgary, Alberta, Canada A0 T2P2M1
ITEM 2(a).
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Names of Persons Filing.
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BANK OF MONTREAL
BMO NESBITT BURNS INC.
BMO
ASSET MANAGEMENT INC.
ITEM 2(b).
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Address of Principal Business Office or, if none, Residence.
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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).
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Citizenship or Place of Organization.
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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).
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Title of Class of Securities.
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COM
89346D107
ITEM 3.
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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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Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o);
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(b)
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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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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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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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An investment adviser in accordance with
Section 240.13d-1(b)(1)(ii)(E);
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(f)
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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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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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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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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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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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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-U.S.
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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