# EDGAR Filing Document

**Accession Number:** 0000927971
**File Stem:** 0001193125-23-014343
**Filing Date:** 2023-1
**Character Count:** 8512
**Document Hash:** 375d9ecd3ba68f8c5718cd02c5a8c3b9
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001193125-23-014343.hdr.sgml**: 20230125

**ACCESSION NUMBER**: 0001193125-23-014343

**CONFORMED SUBMISSION TYPE**: 6-K

**PUBLIC DOCUMENT COUNT**: 3

**CONFORMED PERIOD OF REPORT**: 20230124

**FILED AS OF DATE**: 20230125

**DATE AS OF CHANGE**: 20230124

**FILER**: 

**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:** 6-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-13354
- **FILM NUMBER:** 23549172

**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

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**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** 

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| | |
|:---|:---|
| **For the month of: January, 2023** | **Commission File Number: 001-13354** |

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## BANK OF MONTREAL
**(Name of Registrant)** 

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| | |
|:---|:---|
| 100 King Street West |  |
| 1 First Canadian Place | 129 rue Saint-Jacques |
| Toronto, Ontario | Montreal, Quebec |
| Canada, M5X 1A1 | Canada, H2Y 1L6 |
| *(Executive Offices)* | *(Head Office)* |

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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 ☒

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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): ☐

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**<u>INCORPORATION BY REFERENCE</u>**

The information contained in this Form 6-K and any exhibits hereto shall be deemed filed with the Securities and Exchange Commission ("SEC") solely for purposes of incorporation by reference into and as part of the following registration statements of the registrant on file with and declared effective by the SEC:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1. Registration Statement – Form F-3 – File No. 333-214934

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;2. Registration Statement – Form F-3 – File No. 333-264388

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;3. Registration Statement – Form S-8 – File No. 333-191591

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;4. Registration Statement – Form S-8 – File No. 333-180968

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;5. Registration Statement – Form S-8 – File No. 333-177579

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;6. Registration Statement – Form S-8 – File No. 333-177568

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;7. Registration Statement – Form S-8 – File No. 333-176479

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;8. Registration Statement – Form S-8 – File No. 333-175413

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;9. Registration Statement – Form S-8 – File No. 333-175412

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;10. Registration Statement – Form S-8 – File No. 333-113096

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;11. Registration Statement – Form S-8 – File No. 333-14260

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;12. Registration Statement – Form S-8 – File No. 33-92112

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;13. Registration Statement – Form S-8 – File No. 333-207739

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;14. Registration Statement – Form S-8 – File No. 333-237522

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**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.

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| | | |
|:---|:---|:---|
|  | BANK OF MONTREAL | BANK OF MONTREAL |
|  | By: | /s/ Tayfun Tuzun |
|  | Name: | Tayfun Tuzun |
|  | Title: | Chief Financial Officer |
| **Date**: January 24, 2023 | By: | /s/ Paul V. Noble |
|  | Name: | Paul V. Noble |
|  | Title: | Corporate Secretary |

---

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**EXHIBIT INDEX** 

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| | |
|:---|:---|
| Exhibit | Description of Exhibit |
| **99.1** | **Press Release –** Bank of Montreal Announces Institutional NVCC Preferred Share Issue |

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## Exhibit 99.1

**Exhibit 99.1**![LOGO](g330787g0124230752281.jpg)

## News

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**FOR IMMEDIATE RELEASE** 

**Bank of Montreal Announces Institutional NVCC Preferred Share Issue** 

NOT FOR DISTRIBUTION TO U.S. NEWSWIRE SERVICES OR FOR

DISSEMINATION IN THE UNITED STATES

**TORONTO, January 24, 2023 –** Bank of Montreal (TSX:BMO, NYSE:BMO or the "Bank") today announced a domestic public offering of $650 million of Non-Cumulative 5-Year Fixed Rate Reset Class B Preferred Shares, Series 52 (Non-Viability Contingent Capital (NVCC)) (the "Preferred Shares Series 52").

The Preferred Shares Series 52 will be issued to certain institutional investors at a price of $1,000 per share. Holders will be entitled to receive non-cumulative preferential fixed semi-annual dividends, as and when declared by the Board of Directors of the Bank, payable in the amount of $70.57 per share per annum, to yield 7.057 per cent annually, for the initial period to, but excluding, May 26, 2028. Thereafter, the dividend rate will reset every five years at a rate equal to the then 5-Year Government of Canada bond yield plus 4.250 per cent.

Subject to regulatory approval, during the period from April 26, 2028 to and including May 26, 2028 and during the period from April 26 to and including May 26 every fifth year thereafter, on not less than 15 days nor more than 60 days' notice, the Bank may redeem the Preferred Shares Series 52 in whole or in part at par, plus any declared and unpaid dividends.

Upon the occurrence of certain regulatory events and subject to regulatory approval, the Bank may, at its option and without the consent of the holder, at any time following such occurrence, on not less than 30 days nor more than 60 days' notice, redeem the Preferred Shares Series 52 in whole but not in part at par, plus any declared and unpaid dividends.

BMO Capital Markets is acting as lead agent on the issue. The anticipated closing date is January 31, 2023. The net proceeds to the Bank from the sale of Preferred Shares Series 52 will be added to the general funds of the Bank and will be utilized for general banking purposes.

The Preferred Shares Series 52 will be offered by way of a prospectus supplement to the Bank's short form base shelf prospectus dated December 22, 2022, to be filed on or about January 26, 2023 with the securities commissions and other similar regulatory authorities in each of the provinces and territories of Canada.

The Preferred Shares Series 52 have not been, and will not be, registered under the U.S. Securities Act of 1933, as amended (the "U.S. Securities Act"), and may not be offered, sold or delivered directly, or indirectly, in the United States absent registration or an applicable exemption from the registration requirements of the U.S. Securities Act. This news release shall not constitute an offer to sell or a solicitation of an offer to buy such Preferred Share Series 52 in the United States or in any other jurisdiction where such offer is unlawful.

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**About BMO Financial Group** 

Serving customers for 200 years and counting, BMO is a highly diversified financial services provider - the 8th largest bank, by assets, in North America. With total assets of $1.14 trillion as of October 31, 2022, and a team of diverse and highly engaged employees, BMO provides a broad range of personal and commercial banking, wealth management and investment banking products and services to 12 million customers and conducts business through three operating groups: Personal and Commercial Banking, BMO Wealth Management and BMO Capital Markets.

**For News Media Enquiries:** 

Jeff Roman, Toronto, <u>Jeff.Roman@bmo.com</u>, (416) 867-3996

**For Investor Relations Enquiries:** 

Christine Viau, Toronto, <u>christine.viau@bmo.com</u>, (416) 867-6956

Bill Anderson, Toronto, <u>bill2.anderson@bmo.com</u>, (416) 867-7834

**Internet:** <u>www.bmo.com</u> **Twitter:** @BMOMedia