As filed with the Securities and Exchange Commission on January 7, 2004.
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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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SCHEDULE TO/A
Tender Offer Statement under Section 14(d)(1) or 13(e)(1) of the Securities
Exchange Act of 1934
(Amendment No. 3)
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PPL CORPORATION
(Name of Subject Company (issuer))
PPL CORPORATION
(Name of Filing Person (offeror))
7-3/4% PREMIUM EQUITY PARTICIPATING SECURITY UNITS
(Title of Class of Securities)
69352F204
(CUSIP Number of Class of Securities)
JAMES E. ABEL, VICE PRESIDENT -- FINANCE AND TREASURER
PPL CORPORATION
TWO NORTH NINTH STREET
ALLENTOWN, PENNSYLVANIA 18101-1179
(610) 774-5151
(Name, Address and Telephone Number of Person Authorized to Receive Notices
and Communications on Behalf of the Person(s) Filing Statement)
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Copy to:
VINCENT PAGANO, JR., ESQ.
SIMPSON THACHER & BARTLETT LLP
425 LEXINGTON AVENUE
NEW YORK, NEW YORK 10017
(212) 455-2000
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CALCULATION OF FILING FEE
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TRANSACTION VALUATION AMOUNT OF FILING FEE
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$572,500,000(a) $46,316
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(a) Estimated solely for the purpose of determining the registration fee, and
calculated as the aggregate stated amount of 22,900,000 7-3/4% Premium
Equity Participating Security Units. The amount of the filing fee was
calculated in accordance with Rule 0-11 of the Securities Exchange Act of
1934, as amended, and equals $80.90 for each $1,000,000 of the value of
the transaction.
[X] Check box if any part of the fee is offset as provided by Rule 0-11(a)(2)
and identify the filing with which the offsetting fee was previously paid.
Identify the previous filing by registration statement number, or the form
or schedule and the date of its filing.
Amount Previously Paid: $46,316 Filing Party: PPL Corporation
Form or Registration No.: Form S-4 (333-108450) Date Filed: September 3, 2003
[ ] Check box if the filing relates solely to preliminary communications made
before the commencement of a tender offer.
Check the appropriate boxes to designate any transactions to which this
statement relates:
[ ] third party tender offer subject [ ] going-private transaction subject to
to Rule 14d-1 Rule 13e-3
[X] issuer tender offer subject to [ ] amendment to Schedule 13D under
Rule 13e-4 Rule 13d-2
Check the following box if the filing is a final amendment reporting the results
of the tender offer. [ ]
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This Amendment No. 3 amends and supplements the Issuer Tender Offer
Statement on Schedule TO originally filed with the Securities and Exchange
Commission on November 18, 2003 (as amended and supplemented, the "Schedule TO")
relating to an offer by PPL Corporation, a Pennsylvania corporation (the
"Company"), to exchange up to 22,900,000 outstanding 7-3/4% Premium Equity
Participating Security Units (PEPS(SM)) (the "Outstanding PEPS Units") of the
Company for 7-3/4% Premium Equity Participating Security Units (PEPS(SM)),
Series B, plus a cash payment of $0.375 for each validly tendered and accepted
Outstanding PEPS Unit, upon the terms and subject to the conditions contained in
the preliminary prospectus, as amended (the "Preliminary Prospectus"), and the
related Letter of Transmittal, which are parts of the Company's Registration
Statement on Form S-4, as amended (File No. 333-108450) (the "Registration
Statement") and are incorporated herein by reference.
ITEMS 1-11.
The information in the Preliminary Prospectus and the related Letter of
Transmittal is incorporated herein by reference in answer to Items 1 through 11
of this Issuer Tender Offer Statement on Schedule TO.
ITEM 12. EXHIBITS.
Items 12 is hereby amended and supplemented to add the following exhibits:
EXHIBIT NO. DESCRIPTION
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(a)(1)(i) Preliminary Prospectus, dated January 6, 2004 (incorporated by
reference to the Registration Statement).
(g) Form of Instructions for Soliciting Dealers
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SIGNATURE
After due 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.
PPL CORPORATION
By: /s/ James E. Abel
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Name: James E. Abel
Title: Vice President -- Finance
and Treasurer
Dated: January 7, 2004
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