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| FORM 13-502F1 |
| | CLASS 1 AND CLASS 3B REPORTING ISSUERS PARTICIPATION FEE |
| |
| | | MANAGEMENT CERTIFICATION |
| |
| I, J. Scott Burrows , an officer of the reporting issuer noted below have examined this Form 13-502F1 (the Form) being submitted hereunder to the Ontario Securities Commission and certify that to my knowledge, having exercised reasonable diligence, the information provided in the Form is complete and accurate. |
| |
| (signed) "J. Scott Burrows" | | | | | | February 25, 2021 | | | | | |
| Name: J. Scott Burrows | Date |
| Title: Senior Vice President and Chief Financial Officer |
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| Reporting Issuer Name: | | | Pembina Pipeline Corporation |
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| End date of previous financial year: | | | December 31, 2020 | | |
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| Type of Reporting Issuer: | | | ✓ Class 1 reporting issuer | | Class 3B reporting issuer |
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| Highest Trading Marketplace: | | | TSX | | |
| |
| |
| Market value of listed or quoted equity securities: |
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| Equity Symbol | | | | | | | | | | | | PPL | | | |
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| 01/01/20 |
| |
| 1 | st Specified Trading Period (dd/mm/yy) |
| | | | | | to 31/03/20 | | | | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | | | $ 26.40 | | | | (i) |
| |
| | | | | 549,784,010 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | | | | | | | (ii) |
| |
| Market value of class or series | (i) x (ii) | | | | $ 14,514,297,864 | | | | (A) |
| |
| |
| 2 | nd Specified Trading Period (dd/mm/yy) |
| |
| 01/04/20 | | | | to 30/06/20 | | | | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | | | $ 33.94 | | | | (iii) |
| |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period | | | | | 549,796,585 |
| | | | | | | | | (iv) |
| |
| Market value of class or series | (iii) x (iv) | $ 18,660,096,095 | (B) | |
| |
| 01/07/20 |
| 3 | rd Specified Trading Period (dd/mm/yy) |
| |
| | | | to 30/09/20 | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | $ 28.26 | (v) |
| |
| | 549,941,905 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | (vi) |
| |
| Market value of class or series | (v) x (vi) | $ 15,541,358,235 | (C) |
| |
| |
| |
| | 01/10/20 |
| 4th Specified Trading Period (dd/mm/yy) |
| | | | to 31/12/20 | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace | | $ 30.10 |
| | | (vii) |
| |
| | 549,941,905 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | (viii) |
| |
| Market value of class or series | (vii) x (viii) | $ 16,553,251,341 | (D) |
| |
| | $ 16,317,250,884 |
| Average Market Value of Class or Series (Calculate the simple average of the market value of the class or series of security for each applicable specified trading period (i.e. A through E above)) |
| | | (1) |
| |
| Equity Symbol |
| | | | | | | | | PPL.PR.A | | | | | | | | | |
| |
| 01/01/20 |
| 1 | st Specified Trading Period (dd/mm/yy) |
| | | | | to 31/03/20 | |
| |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | $ 11.75 | (i) | |
| |
| | | | | | |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period | 10,000,000 |
| | (ii) |
| |
| Market value of class or series | | | (i) x (ii) | $ 117,500,000 | (A) |
| 2 |
| nd Specified Trading Period (dd/mm/yy) |
| |
| | | 01/04/20 | to 30/06/20 | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| $ 12.88 | (iii) |
| |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| |
| 10,000,000 |
| | (iv) |
| |
| Market value of class or series | | | (iii) x (iv) | $ 128,800,000 | (B) |
| |
| |
| rd Specified Trading Period (dd/mm/yy) | | | 01/07/20 |
| 3 |
| |
| | | | to 30/09/20 | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| $ 13.49 | (v) |
| |
| 10,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | (vi) |
| |
| Market value of class or series | | | (v) x (vi) | $ 134,900,000 | (C) |
| | | |
| |
| | | 01/10/20 |
| 4th Specified Trading Period (dd/mm/yy) |
| | | | to 31/12/20 | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace | $ 15.06 |
| | (vii) |
| |
| 10,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | (viii) |
| |
| Market value of class or series | (vii) x (viii) | $ 150,600,000 | (D) |
| |
| | $ 132,950,000 |
| Average Market Value of Class or Series (Calculate the simple average of the market value of the class or series of security for each applicable specified trading period (i.e. A through E above)) |
| | | (1) |
| |
| Equity Symbol |
| | | | | | | | PPL.PR.C | | | | | | | | |
| |
| 01/01/20 |
| 1 | st Specified Trading Period (dd/mm/yy) |
| | | | | | | | | | | to 31/03/20 | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | $ 11.08 | (i) |
| |
| | 6,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | (ii) |
| |
| Market value of class or series | (i) x (ii) | $ 66,480,000 | (A) |
| 2 |
| nd Specified Trading Period (dd/mm/yy) |
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| 01/04/20 | | | | | | | | | to 30/06/20 | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | $ 12.48 | (iii) |
| |
| | 6,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | (iv) |
| |
| Market value of class or series | (iii) x (iv) | $ 74,880,000 | (B) |
| |
| |
| rd Specified Trading Period (dd/mm/yy) | 01/07/20 |
| 3 |
| |
| | | | | | | | | | to 30/09/20 | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | $ 13.29 | (v) | |
| | | |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period | 6,000,000 |
| | (vi) |
| |
| Market value of class or series | | | (v) x (vi) | $ 79,740,000 | (C) |
| | | |
| |
| | | |
| | | 01/10/20 |
| 4th Specified Trading Period (dd/mm/yy) |
| to 31/12/20 | |
| |
| $ 14.80 |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | (vii) |
| |
| 6,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | (viii) |
| |
| Market value of class or series | | | (vii) x (viii) | $ 88,800,000 | (D) |
| |
| |
| Average Market Value of Class or Series (Calculate the simple average of the market value of the class or series of security for each applicable specified trading period (i.e. A through E above)) |
| $ 77,475,000 |
| | (1) |
| |
| Equity Symbol |
| | | | | | | | PPL.PR.E | | | | | | | | | |
| |
| | | 01/01/20 |
| 1 | st Specified Trading Period (dd/mm/yy) |
| to 31/03/20 | |
| |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| $ 11.25 | (i) |
| |
| 10,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | (ii) |
| |
| Market value of class or series | | | (i) x (ii) | $ 112,500,000 | (A) |
| 2 |
| nd Specified Trading Period (dd/mm/yy) |
| |
| | | 01/04/20 | to 30/06/20 | |
| |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| $ 13.08 | (iii) |
| |
| |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| 10,000,000 |
| | (iv) |
| |
| Market value of class or series | | | (iii) x (iv) | $ 130,800,000 | (B) |
| | | |
| |
| | | |
| |
| | | 01/07/20 |
| 3 | rd Specified Trading Period (dd/mm/yy) |
| |
| | | | to 30/09/20 | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| $ 14.70 | (v) | |
| 10,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | (vi) |
| |
| Market value of class or series | | | (v) x (vi) | $ 147,000,000 | (C) |
| | | |
| |
| | | |
| | | |
| 4th Specified Trading Period (dd/mm/yy) | | | 01/10/20 |
| | | | to 31/12/20 | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| |
| $ 16.14 |
| | (vii) |
| | 10,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | (viii) |
| |
| Market value of class or series | | | (vii) x (viii) | $ 161,400,000 | (D) |
| |
| Average Market Value of Class or Series (Calculate the simple average of the market value of the class or series of security for each applicable specified trading period (i.e. A through E above)) |
| |
| $ 137,925,000 |
| | (1) |
| |
| |
| |
| Equity Symbol | | | | | PPL.PR.G | | | |
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| | | | | | |
| | | | | 01/01/20 |
| 1 | st Specified Trading Period (dd/mm/yy) |
| |
| | | | | | to 31/03/20 | | | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | | | | $ 10.84 | | | (i) |
| |
| | | | | | 10,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | | | | | | | (ii) |
| |
| Market value of class or series | | | | | (i) x (ii) | $ 108,400,000 | | | (A) |
| 2 |
| nd Specified Trading Period (dd/mm/yy) |
| |
| | | | | 01/04/20 | to 30/06/20 | | | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | | | | $ 13.00 | | | (iii) |
| |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period | | | | | | 10,000,000 |
| | | | | | | | | (iv) |
| |
| Market value of class or series | | | | | (iii) x (iv) | $ 130,000,000 | | | (B) | |
| | | | | | 01/07/20 |
| 3 | rd Specified Trading Period (dd/mm/yy) |
| |
| | | | | | to 30/09/20 | | | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | | | | $ 13.87 | | | (v) | |
| | | | | | 10,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | | | | | | | (vi) |
| |
| Market value of class or series | | | | | (v) x (vi) | $ 138,700,000 | | | (C) |
| | | | | | |
| | | | | |
| |
| | | | | | |
| | | | | |
| |
| | | | | |
| 4th Specified Trading Period (dd/mm/yy) | |
| |
| 01/10/20 |
| | to 31/12/20 | |
| |
| | | | $ 15.85 |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | (vii) |
| |
| | | | 10,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | (viii) |
| |
| Market value of class or series | (vii) x (viii) | | | $ 158,500,000 | (D) |
| |
| | | | $ 133,900,000 |
| Average Market Value of Class or Series (Calculate the simple average of the market value of the class or series of security for each applicable specified trading period (i.e. A through E above)) |
| | | (1) |
| |
| Equity Symbol | | | | | | | | | PPL.PR.I | | | | | | | | | |
| |
| | |
| 01/01/20 |
| 1 | st Specified Trading Period (dd/mm/yy) |
| | | to 31/03/20 | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | | $ 12.31 | (i) |
| |
| | | | 9,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | (ii) |
| |
| Market value of class or series | (i) x (ii) | | | $ 110,790,000 | (A) |
| 2 |
| nd Specified Trading Period (dd/mm/yy) |
| |
| 01/04/20 | to 30/06/20 | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | | $ 15.32 | (iii) |
| |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period | | | | 9,000,000 |
| | | (iv) |
| |
| Market value of class or series | (iii) x (iv) | | | $ 137,880,000 | (B) | |
| | 01/07/20 |
| 3 | rd Specified Trading Period (dd/mm/yy) |
| |
| | to 30/09/20 | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | | $ 16.80 | (v) |
| |
| | 9,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | (vi) |
| |
| Market value of class or series | (v) x (vi) | | | $ 151,200,000 | (C) |
| |
| |
| |
| |
| 01/10/20 |
| 4th Specified Trading Period (dd/mm/yy) |
| | to 31/12/20 | |
| |
| | | | $ 18.98 |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | (vii) |
| |
| | | | 9,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | (viii) |
| |
| Market value of class or series | (vii) x (viii) | | | $ 170,820,000 | (D) |
| |
| | | | |
| Average Market Value of Class or Series (Calculate the simple average of the market value of the class or series of security for each applicable specified trading period (i.e. A through E above)) |
| | | | $ 142,672,500 |
| | | (1) |
| |
| Equity Symbol | | | | | | | | | PPL.PR.K | | | | | | | | | |
| |
| | |
| 01/01/20 |
| 1 | st Specified Trading Period (dd/mm/yy) |
| | | to 31/03/20 | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | | $ 19.25 | (i) |
| |
| | | | 6,800,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | (ii) |
| |
| Market value of class or series | (i) x (ii) | $ 130,900,000 | (A) |
| 2 |
| nd Specified Trading Period (dd/mm/yy) |
| |
| 01/04/20 | | | to 30/06/20 | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | $ 23.34 | (iii) |
| |
| | 6,800,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | (iv) |
| |
| Market value of class or series | (iii) x (iv) | $ 158,712,000 | (B) | |
| | 01/07/20 |
| 3 | rd Specified Trading Period (dd/mm/yy) |
| |
| | | | to 30/09/20 | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | $ 24.37 | (v) |
| |
| | 6,800,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | (vi) |
| |
| Market value of class or series | (v) x (vi) | $ 165,716,000 | (C) |
| |
| |
| |
| |
| 01/10/20 |
| 4th Specified Trading Period (dd/mm/yy) |
| | | | to 31/12/20 | |
| |
| | $ 25.15 |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | (vii) |
| |
| | 6,800,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | (viii) |
| |
| Market value of class or series | (vii) x (viii) | $ 171,020,000 | (D) |
| |
| | $ 156,587,000 |
| Average Market Value of Class or Series (Calculate the simple average of the market value of the class or series of security for each applicable specified trading period (i.e. A through E above)) |
| | | (1) |
| |
| Equity Symbol | | | | | PPL.PR.M | | | |
| |
| | | | | | 01/01/20 |
| 1 | st Specified Trading Period (dd/mm/yy) |
| | | | | | | to 31/03/20 | | | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | | | | $ 19.50 | | | (i) |
| |
| | | | | | 10,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | | | | | | | (ii) |
| |
| Market value of class or series | | | | | (i) x (ii) | $ 195,000,000 | | | (A) |
| 2 |
| nd Specified Trading Period (dd/mm/yy) |
| |
| | | | | 01/04/20 | to 30/06/20 | | | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | | | | $ 23.69 | | | (iii) |
| |
| | | | | | 10,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | | | | | | | (iv) |
| |
| Market value of class or series | | | | | (iii) x (iv) | $ 236,900,000 | | | (B) | |
| | | | | | 01/07/20 |
| 3 | rd Specified Trading Period (dd/mm/yy) |
| |
| | | | | | to 30/09/20 | | | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | | | | $ 24.40 | | | (v) |
| |
| | | | | | 10,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | | | | | | | (vi) |
| |
| Market value of class or series | | | | | (v) x (vi) | $ 244,000,000 | | | (C) |
| | | | | | |
| |
| | | | | | |
| | | | | | |
| 01/10/20 |
| 4th Specified Trading Period (dd/mm/yy) |
| | to 31/12/20 | |
| |
| | | | |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | | $ 25.24 |
| | | (vii) |
| |
| | | | 10,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | (viii) |
| |
| Market value of class or series | (vii) x (viii) | | | $ 252,400,000 | (D) |
| |
| | | | |
| Average Market Value of Class or Series (Calculate the simple average of the market value of the class or series of security for each applicable specified trading period (i.e. A through E above)) |
| | | | $ 232,075,000 |
| | | (1) |
| |
| Equity Symbol | | | | | | | | | PPL.PR.O | | | | | | | | | |
| |
| | |
| 01/01/20 |
| 1 | st Specified Trading Period (dd/mm/yy) |
| | | to 31/03/20 | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | | $ 10.11 | (i) |
| |
| | | | 8,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | (ii) |
| |
| Market value of class or series | (i) x (ii) | | | $ 80,880,000 | (A) |
| 2 |
| nd Specified Trading Period (dd/mm/yy) |
| |
| 01/04/20 | to 30/06/20 | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | | $ 12.14 | (iii) |
| |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period | | | | 8,000,000 |
| | | (iv) |
| |
| Market value of class or series | (iii) x (iv) | $ 97,120,000 | (B) | |
| | 01/07/20 |
| 3 | rd Specified Trading Period (dd/mm/yy) |
| |
| | | | to 30/09/20 | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | $ 13.48 | (v) |
| |
| | 8,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | (vi) |
| |
| Market value of class or series | (v) x (vi) | $ 107,840,000 | (C) |
| |
| |
| |
| |
| 01/10/20 |
| 4th Specified Trading Period (dd/mm/yy) |
| | | | to 31/12/20 | |
| |
| | |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | $ 15.71 |
| | | (vii) |
| |
| | 8,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | (viii) |
| |
| Market value of class or series | (vii) x (viii) | $ 125,680,000 | (D) |
| |
| | $ 102,880,000 |
| Average Market Value of Class or Series (Calculate the simple average of the market value of the class or series of security for each applicable specified trading period (i.e. A through E above)) |
| | | (1) |
| |
| Equity Symbol | | | | | | | | | PPL.PR.Q | | | | | | | | | |
| |
| | |
| 01/01/20 |
| 1 | st Specified Trading Period (dd/mm/yy) |
| | | | | to 31/03/20 | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | $ 12.00 | (i) |
| |
| | 6,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | (ii) |
| |
| Market value of class or series | (i) x (ii) | $ 72,000,000 | (A) |
| 2 |
| nd Specified Trading Period (dd/mm/yy) |
| |
| 01/04/20 | | | to 30/06/20 | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | $ 13.29 | (iii) |
| |
| | 6,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | (iv) |
| |
| Market value of class or series | (iii) x (iv) | $ 79,740,000 | (B) | |
| | 01/07/20 |
| 3 | rd Specified Trading Period (dd/mm/yy) |
| |
| | | | to 30/09/20 | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | $ 14.40 | (v) |
| |
| | 6,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | (vi) |
| |
| Market value of class or series | (v) x (vi) | $ 86,400,000 | (C) |
| |
| |
| |
| |
| 01/10/20 |
| 4th Specified Trading Period (dd/mm/yy) |
| | | | to 31/12/20 | |
| |
| | |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | $ 16.07 |
| | | (vii) |
| |
| | 6,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | (viii) |
| |
| Market value of class or series | (vii) x (viii) | $ 96,420,000 | (D) |
| |
| | $ 83,640,000 |
| Average Market Value of Class or Series (Calculate the simple average of the market value of the class or series of security for each applicable specified trading period (i.e. A through E above)) |
| | | (1) |
| |
| Equity Symbol | | | | | PPL.PR.S | | | |
| |
| | | | | | 01/01/20 |
| 1 | st Specified Trading Period (dd/mm/yy) |
| | | | | | | to 31/03/20 | | | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | | | | $ 13.55 | | | (i) |
| |
| | | | | | 8,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | | | | | | | (ii) |
| |
| Market value of class or series | | | | | (i) x (ii) | $ 108,400,000 | | | (A) |
| 2 |
| nd Specified Trading Period (dd/mm/yy) |
| |
| | | | | 01/04/20 | to 30/06/20 | | | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | | | | $ 16.84 | | | (iii) |
| |
| | | | | | 8,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | | | | | | | (iv) |
| |
| Market value of class or series | | | | | (iii) x (iv) | $ 134,720,000 | | | (B) | |
| | | | | | 01/07/20 |
| 3 | rd Specified Trading Period (dd/mm/yy) |
| |
| | | | | | to 30/09/20 | | | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | | | | $ 19.28 | | | (v) |
| |
| | | | | | 8,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | | | | | | | (vi) |
| |
| Market value of class or series | | | | | (v) x (vi) | $ 154,240,000 | | | (C) |
| | | | | | |
| | | | | | |
| | | | | | |
| |
| | | | | |
| 4th Specified Trading Period (dd/mm/yy) | 01/10/20 |
| | to 31/12/20 | |
| |
| | | | |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | | $ 20.27 |
| | | (vii) |
| |
| | | | 8,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | (viii) |
| |
| Market value of class or series | (vii) x (viii) | | | $ 162,160,000 | (D) |
| |
| | | | $ 139,880,000 |
| Average Market Value of Class or Series (Calculate the simple average of the market value of the class or series of security for each applicable specified trading period (i.e. A through E above)) |
| | | (1) |
| |
| Equity Symbol | | | | | | | | | PPL.PF.A | | | | | | | | | |
| |
| | |
| 01/01/20 |
| 1 | st Specified Trading Period (dd/mm/yy) |
| | | to 31/03/20 | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | | $ 16.01 | (i) |
| |
| | | | 16,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | (ii) |
| |
| Market value of class or series | (i) x (ii) | | | $ 256,160,000 | (A) |
| 2 |
| nd Specified Trading Period (dd/mm/yy) |
| |
| 01/04/20 | to 30/06/20 | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | | $ 19.50 | (iii) |
| |
| | | | 16,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | (iv) |
| |
| Market value of class or series | (iii) x (iv) | | | $ 312,000,000 | (B) | |
| | |
| 01/07/20 |
| 3 | rd Specified Trading Period (dd/mm/yy) |
| | | to 30/09/20 | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | | $ 19.90 | (v) |
| |
| | 16,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | (vi) |
| |
| Market value of class or series | (v) x (vi) | | | $ 318,400,000 | (C) |
| |
| |
| |
| |
| 01/10/20 |
| 4th Specified Trading Period (dd/mm/yy) |
| | to 31/12/20 | |
| |
| | | | |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | | $ 22.79 |
| | | (vii) |
| |
| | | | 16,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | (viii) |
| |
| Market value of class or series | (vii) x (viii) | | | $ 364,640,000 | (D) |
| |
| | | | $ 312,800,000 |
| Average Market Value of Class or Series (Calculate the simple average of the market value of the class or series of security for each applicable specified trading period (i.e. A through E above)) |
| | | (1) |
| |
| Equity Symbol | | | | | | | | | PPL.PF.C | | | | | | | | | |
| |
| 01/01/20 |
| 1 | st Specified Trading Period (dd/mm/yy) |
| |
| | to 31/03/20 | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | | $ 16.81 | (i) |
| |
| | | | 12,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | (ii) |
| |
| Market value of class or series | (i) x (ii) | | | $ 201,720,000 | (A) |
| |
| |
| 2 | nd Specified Trading Period (dd/mm/yy) |
| | 01/04/20 | to 30/06/20 | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | | $ 20.62 | (iii) |
| |
| | | | |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | | 12,000,000 |
| | | (iv) |
| |
| Market value of class or series | (iii) x (iv) | | | $ 247,440,000 | (B) | |
| | 01/07/20 |
| 3 | rd Specified Trading Period (dd/mm/yy) |
| |
| | to 30/09/20 | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | | $ 22.49 | (v) |
| |
| | 12,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | (vi) |
| |
| Market value of class or series | (v) x (vi) | | | $ 269,880,000 | (C) |
| |
| |
| |
| 4th Specified Trading Period (dd/mm/yy) |
| |
| 01/10/20 |
| | to 31/12/20 | |
| | | | |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | | |
| | | | $ 24.30 |
| | | (vii) |
| | | | 12,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | (viii) |
| | |
| Market value of class or series |
| (vii) x (viii) | | | $ 291,600,000 | (D) | |
| | | | | |
| | | | $ 252,660,000 |
| Average Market Value of Class or Series (Calculate the simple average of the market value of the class or series of security for each applicable specified trading period (i.e. A through E above)) |
| | | (1) |
| |
| |
| Equity Symbol | | | | | PPL.PF.E | | | |
| |
| | | | | 01/01/20 |
| 1 | st Specified Trading Period (dd/mm/yy) |
| |
| | | | | | to 31/03/20 | | | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | | | | $ 16.27 | | | (i) |
| |
| | | | | | 10,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | | | | | | | (ii) |
| |
| Market value of class or series | | | | | (i) x (ii) | $ 162,700,000 | | | (A) |
| |
| |
| 2 | nd Specified Trading Period (dd/mm/yy) |
| | | | | | 01/04/20 | to 30/06/20 | | | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | | | | $ 20.34 | | | (iii) |
| |
| | | | | | |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | | | | 10,000,000 |
| | | | | | | | | (iv) |
| |
| Market value of class or series | | | | | (iii) x (iv) | $ 203,400,000 | | | (B) | |
| | | | | | 01/07/20 |
| 3 | rd Specified Trading Period (dd/mm/yy) |
| |
| | | | | | to 30/09/20 | | | |
| |
| Closing price of the security in the class or series on the last trading day of the specified trading period in which such security was listed or quoted on the highest trading marketplace |
| | | | | | $ 21.46 | | | (v) |
| |
| | | | | | 10,000,000 |
| Number of securities in the class or series of such security outstanding at the end of the last trading day of the specified trading period |
| | | | | | | | | (vi) |
| |
| Market value of class or series | | | | | (v) x (vi) | $ 214,600,000 | | | (C) |
| | | | | |
| |
| | | | | |
| 4th Specified Trading Period (dd/mm/yy) | | | | | |
| | | | | 01/10/20 |
| | | | | | to 31/12/20 | | | |
| | | | | | | |
| Total of Average Market Value for all Class or Series of Shares | $18,428,070,384 (1) |
| Fair value of outstanding debt securities: (See paragraph 2.8(1)(b), and if applicable, paragraph 2.8(1)(c) |
| of OSC Rule 13-502 Fees) | | |
| | $11,902,597,745 (2) |
| |
| Capitalization for the previous financial year | | | (1) + (2) | $30,330,668,129 |
| |
| Participation Fee | $100,500 |
| (For Class 1 reporting issuers, from Appendix A of OSC Rule 13-502 Fees, select the participation fee) |
| |
| (For Class 3B reporting issuers, from Appendix A.1 of |
| OSC Rule 13-502 Fees, select the participation fee) | | | | |
| |
| Late Fee, if applicable (As determined under section 2.7 of OSC Rule 13-502 Fees) |
| N/A |
| |
| Total Fee Payable | $100,500 |
| (Participation Fee plus Late Fee) The estimated fair value of the fixed rate debt has been determined based on available market information and appropriate valuation methods, including the use of the discounted future cash flows using current rates for similar financial instruments subject to similar risks and maturities. Senior unsecured medium-term notes |
| | | $10,368,472,745 |
| Floating Rate Debt | | | $1,534,125,000 |
| Fair value of outstanding debt securities: | | | $11,902,597,745 |
| |
| |
