U.S. Securities and Exchange Commission
Washington, D.C. 20549
Form 40-F
o Registration statement pursuant to section 12 of the
Securities Exchange Act of 1934
or
ý Annual report pursuant to section 13(a) or 15(d) of the
Securities Exchange Act of 1934
| | | |
|---|---|---|
| For the fiscal year ended | Commission File Number | |
| October 31, 2003 | 1-14446 |
The Toronto-Dominion Bank
(Exact name of Registrant as specified in its charter)
Canada
(Province or other jurisdiction of incorporation or organization)
6029
(Primary Standard Industrial Classification Code Number (if applicable))
13-5640479
(I.R.S. Employer Identification Number (if applicable))
c/o General Counsel's Office
P.O. Box 1
Toronto Dominion Centre
Toronto, Ontario M5K 1A2
(416) 308-6963
(Address and telephone number of Registrant's principal executive offices)
Victor Huebner, The Toronto-Dominion Bank
31 West 52nd Street
New York, NY
10019-6101
(212) 468-0610
(Name, address (including zip code) and telephone number (including area code)
of agent for service in the United States)
Securities registered or to be registered pursuant to Section 12(b) of the Act.
| | | |
|---|---|---|
| Title of each class | Name of each exchange on which registered | |
| Common Shares | New York Stock Exchange |
Securities registered or to be registered pursuant to Section 12(g) of the Act.
Not Applicable
(Title of Class)
Securities for which there is a reporting obligation pursuant to Section 15(d) of the Act.
Not Applicable
(Title of Class)
For annual reports, indicate by check mark the information filed with this Form:
| ý Annual information form | ý Audited annual financial statements |
Indicate the number of outstanding shares of each of the issuer's classes of capital or common stock as of the close of the period covered by the annual report.
| Common Shares | 656,260,564 | ||
| Class A First Preferred Shares, Series H | 9,000,000 | ||
| Class A First Preferred Shares, Series I | 16,065 | ||
| Class A First Preferred Shares, Series J | 16,383,935 | ||
| Class A First Preferred Shares, Series M | 14,000,000 | ||
| Class A First Preferred Shares, Series N | 8,000,000 |
Indicate by check mark whether the Registrant by filing the information contained in this Form is also thereby furnishing the information to the Commission pursuant to Rule 12g3-2(b) under the Securities Exchange Act of 1934 (the "Exchange Act"). If "Yes" is marked, indicate the filing number assigned to the Registrant in connection with such Rule.
| Yeso | 82- | Noý |
Indicate by check mark whether the Registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Exchange Act during the preceding 12 months (or for such shorter period that the Registrant was required to file such reports) and (2) has been subject to such filing requirements for the past 90 days.
| Yesý | Noo |
Disclosure Controls and Procedures and
Changes in Internal Control Over Financial Reporting.
The disclosure provided on page 17 of Exhibit 2: Management's Discussion and Analysis is incorporated by reference herein.
Audit Committee Financial Expert.
The disclosure provided under the headingCorporate Governance — The Audit Committee and the Shareholders' Auditors in Exhibit 4: Corporate Governance Disclosure is incorporated by reference herein.
Code of Ethics.
The Registrant has adopted theTD Bank Financial Group Guidelines of Conduct as its code of ethics applicable to the Registrant's President and Chief Executive Officer, Executive Vice President and Chief Financial Officer and Vice President and Chief Accountant. The Registrant undertakes to provide a copy of its code of ethics to any person without charge upon request. Such request may be made by mail, fax or email to:
The Toronto-Dominion Bank
Shareholder Relations
P.O. Box 1, TD Centre
12th Floor, TD Tower
Toronto, Ontario, Canada
M5K 1A2
fax: 416-982-6166
email:tdshinfo@td.com
Principal Accountant Fees and Services.
The disclosure provided in Table 10 on page 49 of Exhibit 2: Management's Discussion and Analysis is incorporated by reference herein.
Off-balance Sheet Arrangements.
The disclosure provided on page 15 of Exhibit 2: Management's Discussion and Analysis is incorporated by reference herein.
Undertaking
The Registrant undertakes to make available, in person or by telephone, representatives to respond to inquiries made by the Commission staff, and to furnish promptly, when requested to do so by the Commission staff, information relating to the securities in relation to which the obligation to file an annual report on Form 40-F arises or transactions in said securities.
Signatures
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant certifies that it meets all of the requirements for filing on Form 40-F and has duly caused this annual report to be signed on its behalf by the undersigned, thereto duly authorized.
| THE TORONTO-DOMINION BANK | |||
DATE: DECEMBER 15, 2003 | By: | /s/ CHRISTOPHER A. MONTAGUE Name: Christopher A. Montague Title: Executive Vice President, General Counsel and Secretary | |
U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 40-F
ANNUAL REPORT PURSUANT TO
SECTION 13(a) or 15(d) OF
THE SECURITIES EXCHANGE ACT OF 1934
THE TORONTO-DOMINION BANK
EXHIBITS
INDEX TO EXHIBITS
| No. | Exhibits | |
|---|---|---|
| 1 | Annual Information Form | |
| 2 | President and CEO's Message | |
| 3 | Management's Discussion and Analysis | |
| 4 | 2003 Annual Statement | |
| 5 | Quarterly results | |
| 6 | Corporate Governance Disclosure | |
| 7 | Senior officers | |
| 8 | Independent auditors' report to the directors of Ernst & Young LLP and PricewaterhouseCoopers dated November 26, 2003 and Comments by auditors for U.S. readers on Canada-U.S. reporting difference | |
| 9 | Consent of the Independent Auditors dated December 15, 2003 | |
| 10 | Certification Pursuant to Section 302 of the U.S. Sarbanes-Oxley Act of 2002 | |
| 11 | Certification Pursuant to 18 U.S.C. Section 1350 as Adopted Pursuant to Section 906 of the U.S. Sarbanes-Oxley Act of 2002 |