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ALS LIMITED Major Shareholding Notification 2014

Feb 12, 2014

64365_rns_2014-02-12_b8441abc-d1dd-4cf5-8781-ba96641ee09c.pdf

Major Shareholding Notification

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603 page 1/2 15 July 2001

Form 603 Corporations Act 2001 Section 671B Notice of initial substantial holder

To Company Name/Scheme

ACN/ARSN 

ALSLtd.

92009657489(ABN)

1. Details of substantial holder (1)

BlackRock Group (BlackRock Inc. and subsidiaries named in Annexures Name to this form) ACN/ARSN (if applicable)

The holder became a substantial holder on

11 / / 02 14

  1. Details of voting power The total number of votes attached to all the voting shares in the company or voting interests in the scheme that the substantial holder or an associate (2) had a relevant interest (3) in on the date the substantial holder became a substantial holder are as follows:

Class of securities (4) Number of securities Person's votes (5) Voting power (6) ord 19,752,446 19,752,446 5.01

3. Details of relevant interests

The nature of the relevant interest the substantial holder or an associate had in the following voting securities on the date the substantial holder became a substantial holder are as follows: Holder of relevant interest Nature of relevant interest (7) Class and number of securities Annexure A and D 4. Details of present registered holders The persons registered as holders of the securities referred to in paragraph 3 above are as follows: Holder of relevant Registered holder of Person entitled to be Class and number interest securities registered as holder (8) of securities see Annexure A

  1. Consideration The consideration paid for each relevant interest referred to in paragraph 3 above, and acquired in the four months prior to the day that the substantial holder became a substantial holder is as follows:

==> picture [389 x 64] intentionally omitted <==

----- Start of picture text -----

Holder of relevant Date of acquisition Consideration (9) Class and number
interest of securities
Cash Non-cash
see Annexure B
----- End of picture text -----

603 page 2/2 15 July 2001

6. Associates

The reasons the persons named in paragraph 3 above are associates of the substantial holder are as follows:

==> picture [453 x 177] intentionally omitted <==

----- Start of picture text -----

Name and ACN/ARSN (if applicable) Nature of association
see Annexure A
7. Addresses
The addresses of persons named in this form are as follows:
Name Address
see Annexure C
Signature
----- End of picture text -----

William Stockl Authorised Signatory* print name capacity sign here date 13 / 02 / 2014

  • At a meeting of the Board on 22 November 2013, the Directors resolved to approve the delegation of the preparation and lodgement of substantial shareholder notices on behalf of BlackRock Investment Management (Australia) Limited.

DIRECTIONS

  • (1) If there are a number of substantial holders with similar or related relevant interests (eg. a corporation and its related corporations, or the manager and trustee of an equity trust), the names could be included in an annexure to the form. If the relevant interests of a group of persons are essentially similar, they may be referred to throughout the form as a specifically named group if the membership of each group, with the names and addresses of members is clearly set out in paragraph 7 of the form.

  • (2) See the definition of "associate" in section 9 of the Corporations Act 2001.

  • (3) See the definition of "relevant interest" in sections 608 and 671B(7) of the Corporations Act 2001.

  • (4) The voting shares of a company constitute one class unless divided into separate classes.

  • (5) The total number of votes attached to all the voting shares in the company or voting interests in the scheme (if any) that the person or an associate has a relevant interest in.

  • (6) The person's votes divided by the total votes in the body corporate or scheme multiplied by 100. (7) Include details of: (a) any relevant agreement or other circumstances by which the relevant interest was acquired. If subsection 671B(4) applies, a copy of any document setting out the terms of any relevant agreement, and a statement by the person giving full and accurate details of any contract, scheme or arrangement, must accompany this form, together with a written statement certifying this contract, scheme or arrangement; and

  • (b) any qualification of the power of a person to exercise, control the exercise of, or influence the exercise of, the voting powers or disposal of the securities to which the relevant interest relates (indicating clearly the particular securities to which the qualification applies).

  • See the definition of "relevant agreement" in section 9 of the Corporations Act 2001.

  • (8) If the substantial holder is unable to determine the identity of the person ( eg. if the relevant interest arises because of an option) write "unknown". (9) Details of the consideration must include any and all benefits, money and other, that any person from whom a relevant interest was acquired has, or may, become entitled to receive in relation to that acquisition. Details must be included even if the benefit is conditional on the happening or not of a contingency. Details must be included of any benefit paid on behalf of the substantial holder or its associate in relation to the acquisitions, even if they are not paid directly to the person from whom the relevant interest was acquired.

13-Feb-14
William Stockl,
Authorised Signatory
Date
3. Details of Relevant Interests
4. Details of present registered holders
6. Associates		 Holder of Relevant
Interests
Name and ACN / ARSN
Nature of Relevant Interest
Registered Holder of
Securities
Person entitled to be
registered as holder
Nature of
Association
(Section 3, 4 and 6)
(Section 3)
(Section 4)
(Section 4)
(Section 6)
Class and number
of Securities
(Sections 3 and 4)		 BlackRock (Netherlands)
B.V.
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
JPM-JP MORGAN
CHASE
ord
5,045
subsidiary of
BlackRock Inc.
BlackRock (Netherlands)
B.V.
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
SSB-SSB NEW YORK
INSTITUTIONAL
ord
29,844
subsidiary of
BlackRock Inc.
BlackRock Advisors (UK)
Limited
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
BNYM-BONY EUROPE
ord
1,166,129
subsidiary of
BlackRock Inc.
BlackRock Advisors (UK)
Limited
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
CB-CACEIS BANK
LUXEMBOURG
ord
2,286
subsidiary of
BlackRock Inc.
BlackRock Advisors (UK)
Limited
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
CITI-CITIBANK, LONDON
ord
553,644
subsidiary of
BlackRock Inc.
BlackRock Advisors (UK)
Limited
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
JPM - J.P. Morgan Zurich
ord
24,520
subsidiary of
BlackRock Inc.
BlackRock Advisors (UK)
Limited
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
JPM-JPM CHASE -
LONDON
ord
258,220
subsidiary of
BlackRock Inc.
ALQ
page 1 of 5
Holder of Relevant
Interests
Name and ACN / ARSN
Nature of Relevant Interest
Registered Holder of
Securities
Person entitled to be
registered as holder
Nature of
Association
(Section 3, 4 and 6)
(Section 3)
(Section 4)
(Section 4)
(Section 6)
Class and number
of Securities
(Sections 3 and 4)		 BlackRock Advisors (UK)
Limited
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
KAS-KAS BANK
ord
6,807
subsidiary of
BlackRock Inc.
BlackRock Advisors (UK)
Limited
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
NT-NORTHERN TRUST
CO.
ord
110,391
subsidiary of
BlackRock Inc.
BlackRock Advisors (UK)
Limited
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
RBC-DEXIA BIL
ord
131,020
subsidiary of
BlackRock Inc.
BlackRock Advisors (UK)
Limited
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
SSB-STATE STREET
DUBLIN
ord
278,501
subsidiary of
BlackRock Inc.
BlackRock Advisors, LLC
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
JPM-JP MORGAN
CHASE
ord
26,610
subsidiary of
BlackRock Inc.
BlackRock Asset
Management Canada
Limited
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
NT-NORTHERN TRUST
CO.
ord
16,544
subsidiary of
BlackRock Inc.
BlackRock Asset
Management Canada
Limited
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
SSB-STATE STREET
SACRAMENTO
ord
171,967
subsidiary of
BlackRock Inc.
BlackRock Asset
Management North Asia
Limited
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
ord
183,596
subsidiary of
BlackRock Inc.
BlackRock Financial
Management, Inc.
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
RBC-ROYAL TRUST
ord
220,802
subsidiary of
BlackRock Inc.
BlackRock Fund Advisors Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
SSB-SSB NEW YORK
INSTITUTIONAL
ord
20,274
subsidiary of
BlackRock Inc.
BlackRock Fund Advisors Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
SSB-STATE STREET
BANK, BOSTON
ord
4,428,176
subsidiary of
BlackRock Inc.
BlackRock Fund Advisors Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
SSB-STATE STREET
SACRAMENTO
ord
2,315,498
subsidiary of
BlackRock Inc.
ALQ
page 2 of 5
Holder of Relevant
Interests
Name and ACN / ARSN
Nature of Relevant Interest
Registered Holder of
Securities
Person entitled to be
registered as holder
Nature of
Association
(Section 3, 4 and 6)
(Section 3)
(Section 4)
(Section 4)
(Section 6)
Class and number
of Securities
(Sections 3 and 4)		 BlackRock Institutional
Trust Company, N.A.
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
BNYM-MELLON TRUST
ord
446,913
subsidiary of
BlackRock Inc.
BlackRock Institutional
Trust Company, N.A.
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
JPM-JP MORGAN
CHASE
ord
452,959
subsidiary of
BlackRock Inc.
BlackRock Institutional
Trust Company, N.A.
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
NT-NORTHERN TRUST
CO.
ord
110,948
subsidiary of
BlackRock Inc.
BlackRock Institutional
Trust Company, N.A.
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
SSB-SSB BOSTON
INSTITUTIONAL
ord
17,673
subsidiary of
BlackRock Inc.
BlackRock Institutional
Trust Company, N.A.
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
SSB-SSB NEW YORK
INSTITUTIONAL
ord
241,182
subsidiary of
BlackRock Inc.
BlackRock Institutional
Trust Company, N.A.
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
SSB-STATE STATE
HONG KONG
ord
209,181
subsidiary of
BlackRock Inc.
BlackRock Institutional
Trust Company, N.A.
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
SSB-STATE STREET
SACRAMENTO
ord
3,798,881
subsidiary of
BlackRock Inc.
BlackRock International
Limited
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
JPM-JP MORGAN
CHASE
ord
66,932
subsidiary of
BlackRock Inc.
BlackRock International
Limited
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
NT-NORTHERN TRUST
CO.
ord
138,857
subsidiary of
BlackRock Inc.
BlackRock Investment
Management (UK) Ltd
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
BNP-BNP Paribas Milan
ord
8,815
subsidiary of
BlackRock Inc.
BlackRock Investment
Management (UK) Ltd
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
BNYM-BONY EUROPE
ord
140,040
subsidiary of
BlackRock Inc.
BlackRock Investment
Management (UK) Ltd
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
DANS-DANSKE BANK
ord
6,637
subsidiary of
BlackRock Inc.
ALQ
page 3 of 5
Holder of Relevant
Interests
Name and ACN / ARSN
Nature of Relevant Interest
Registered Holder of
Securities
Person entitled to be
registered as holder
Nature of
Association
(Section 3, 4 and 6)
(Section 3)
(Section 4)
(Section 4)
(Section 6)
Class and number
of Securities
(Sections 3 and 4)		 BlackRock Investment
Management (UK) Ltd
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
HSBC-HSBC
ord
5,449
subsidiary of
BlackRock Inc.
BlackRock Investment
Management (UK) Ltd
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
NT-NORTHERN TRUST
CO.
ord
25,874
subsidiary of
BlackRock Inc.
BlackRock Investment
Management (UK) Ltd
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
SSB-STATE STREET
BANK LUXEMBO
ord
51,671
subsidiary of
BlackRock Inc.
BlackRock Investment
Management (UK) Ltd
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
SSB-STATE STREET
BANK, GERMANY
ord
25,263
subsidiary of
BlackRock Inc.
BlackRock Investment
Management (UK) Ltd
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
SSB-STATE STREET
LONDON
ord
250,542
subsidiary of
BlackRock Inc.
BlackRock Investment
Management, LLC
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
BNYM-MELLON TRUST
ord
128,130
subsidiary of
BlackRock Inc.
BlackRock Investment
Management, LLC
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
BNYM-THE BANK OF
NEW YORK
ord
33,560
subsidiary of
BlackRock Inc.
BlackRock Investment
Management, LLC
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
JPM-JP MORGAN
CHASE
ord
217,514
subsidiary of
BlackRock Inc.
BlackRock Investment
Management, LLC
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
SSB-SSB NEW YORK
INSTITUTIONAL
ord
15,554
subsidiary of
BlackRock Inc.
BlackRock Japan Co Ltd
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
JPM-JP MORGAN
CHASE
ord
428,084
subsidiary of
BlackRock Inc.
BlackRock Japan Co Ltd
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
as investment manager or trustee.
SSB-STATE STREET
BANK, BOSTON
ord
7,480
subsidiary of
BlackRock Inc.
BlackRock Investment
Management (Australia)
Limited
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
held in its capacity as investment manager.
JPM-JPM CHASE -
SYDNEY
ord
507,516
subsidiary of
BlackRock Inc.		 ALQ
page 4 of 5
Holder of Relevant
Interests
Name and ACN / ARSN
Nature of Relevant Interest
Registered Holder of
Securities
Person entitled to be
registered as holder
Nature of
Association
(Section 3, 4 and 6)
(Section 3)
(Section 4)
(Section 4)
(Section 6)
Class and number
of Securities
(Sections 3 and 4)		 BlackRock Investment
Management (Australia)
Limited
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
held in its capacity as investment manager.
NAB-NATIONAL
AUSTRALIA BANK
LIMITED
ord
633,975
subsidiary of
BlackRock Inc.		 BlackRock Investment
Management (Australia)
Limited
Power to control the exercise of a right to vote attached
to securities and/or the power to dispose of securities
held in its capacity as responsible entity.
JPM-JPM CHASE -
SYDNEY
ord
1,832,942
subsidiary of
BlackRock Inc.

Annexure B

This is Annexure B of 5 pages referred to in form 603 Notice of initial substantial shareholder

13-Feb-14

William Stockl, Authorised Signatory

Date

5. Consideration

ALS LTD. (ALQ) ALS LTD. (ALQ)
Cash
Non-cash
Holder of Relevant Interest
Date of Acquisition / Trans
on a prescribed fin'l mkt
Consideration
Class and number of
securities affected
BlackRock Advisors (UK) Limited
14-Oct-13
yes		 9.88
ord
709


BlackRock Advisors (UK) Limited
15-Oct-13
yes		 10.04
ord
336


BlackRock Advisors (UK) Limited
15-Oct-13
yes		 10.04
ord
52


BlackRock Advisors (UK) Limited
15-Oct-13
yes		 10.04
ord
72


BlackRock Advisors (UK) Limited
15-Oct-13
yes		 10.04
ord
144


BlackRock Institutional Trust Company, N.A.
15-Oct-13
yes		 10.05
ord
15,773


BlackRock Fund Advisors
16-Oct-13
no		 n/a
in specie
ord
1,034
BlackRock Fund Advisors
16-Oct-13
no
n/a
in specie
ord
752
BlackRock Investment Management (UK) Ltd
16-Oct-13
yes
10.31
ord
625
BlackRock Japan Co Ltd
16-Oct-13
yes		 9.95
ord
9,568


BlackRock Fund Advisors
17-Oct-13
yes		 10.34
ord
981
BlackRock Fund Advisors
18-Oct-13
no		 n/a
in specie
ord
13,708
BlackRock Investment Management (UK) Ltd
18-Oct-13
yes
10.27
ord
6,486
BlackRock Advisors (UK) Limited
21-Oct-13
yes		 10.32
ord
252


BlackRock Advisors (UK) Limited
21-Oct-13
yes		 10.32
ord
1,656


BlackRock Investment Management (Australia)
Limited
21-Oct-13
no		 n/a
in specie
ord
4,225
BlackRock Advisors (UK) Limited
22-Oct-13
yes		 10.30
ord
2,127


BlackRock Asset Management North Asia
Limited
22-Oct-13
no		 n/a
collateral
transfer
ord
8,075
BlackRock Fund Advisors
22-Oct-13
no		 n/a
in specie
ord
940
BlackRock Investment Management (Australia)
Limited
22-Oct-13
yes
10.30
ord
5,626
BlackRock Advisors (UK) Limited
23-Oct-13
yes		 10.15
ord
1,047


BlackRock Advisors (UK) Limited
24-Oct-13
yes		 10.11
ord
336


BlackRock Fund Advisors
24-Oct-13
no		 n/a
in specie
ord
282
BlackRock Fund Advisors
24-Oct-13
yes
10.11
ord
954
BlackRock Investment Management (Australia)
Limited
24-Oct-13
yes		 10.11
ord
2,876
BlackRock Investment Management (Australia)
Limited
24-Oct-13
yes		 10.11
ord
752
BlackRock Advisors (UK) Limited
25-Oct-13
yes		 10.09
ord
84


BlackRock Asset Management North Asia
Limited
25-Oct-13
no		 n/a
collateral
transfer
ord
97,294
BlackRock Fund Advisors
25-Oct-13
no		 n/a
in specie
ord
19,227
BlackRock Fund Advisors
25-Oct-13
no
n/a
in specie
ord
1,482
BlackRock Fund Advisors
29-Oct-13
no
n/a
in specie
ord
6,786
BlackRock Fund Advisors
29-Oct-13
no
n/a
in specie
ord
7,560
BlackRock Fund Advisors
29-Oct-13
no
n/a
in specie
ord
3,780
BlackRock Advisors (UK) Limited
30-Oct-13
yes
10.08
ord
104


BlackRock Advisors (UK) Limited
30-Oct-13
yes		 10.08
ord
709


BlackRock Fund Advisors
30-Oct-13
yes		 10.14
ord
27,848
BlackRock Institutional Trust Company, N.A.
30-Oct-13
no		 n/a
in specie
ord
53,721

BlackRock Advisors (UK) Limited
31-Oct-13
yes
10.13
ord
840


BlackRock Advisors (UK) Limited
31-Oct-13
yes		 10.03
ord
7,799


BlackRock Fund Advisors
31-Oct-13
no		 n/a
in specie
ord
658
BlackRock Asset Management Australia
Limited
31-Oct-13
yes
10.03
ord
2,721
BlackRock Investment Management (Australia)
Limited
31-Oct-13
yes		 10.03
ord
3,367
BlackRock Advisors (UK) Limited
01-Nov-13
yes		 9.89
ord
504


BlackRock Advisors (UK) Limited
04-Nov-13
yes		 9.71
ord
1,092


BlackRock Advisors (UK) Limited
04-Nov-13
yes		 9.71
ord
420

page 1 of 5

ALQ

Cash
Non-cash
Holder of Relevant Interest
Date of Acquisition / Trans
on a prescribed fin'l mkt
Consideration
Class and number of
securities affected		 Cash
Non-cash
Holder of Relevant Interest
Date of Acquisition / Trans
on a prescribed fin'l mkt
Consideration
Class and number of
securities affected
BlackRock Advisors (UK) Limited
04-Nov-13
yes		 9.71
ord
71


BlackRock Investment Management (Australia)
Limited
04-Nov-13
no		 n/a
in specie
ord
12,675
BlackRock Fund Advisors
05-Nov-13
no		 n/a
in specie
ord
7,917
BlackRock Fund Advisors
05-Nov-13
no
n/a
in specie
ord
19,227
BlackRock Fund Advisors
05-Nov-13
no
n/a
in specie
ord
3,338
BlackRock Fund Advisors
05-Nov-13
no
n/a
in specie
ord
7,090
BlackRock Advisors (UK) Limited
06-Nov-13
yes
9.69
ord
672


BlackRock Fund Advisors
06-Nov-13
no		 n/a
in specie
ord
6,786
BlackRock Fund Advisors
06-Nov-13
no
n/a
in specie
ord
17,725
BlackRock Advisors (UK) Limited
07-Nov-13
yes
9.75
ord
2,094


BlackRock Fund Advisors
07-Nov-13
yes		 9.78
ord
1,344
BlackRock Fund Advisors
08-Nov-13
no		 n/a
in specie
ord
444
BlackRock Investment Management (Australia)
Limited
11-Nov-13
no
n/a
in specie
ord
2,520
BlackRock Fund Advisors
12-Nov-13
no		 n/a
in specie
ord
4,524
BlackRock Fund Advisors
12-Nov-13
no
n/a
in specie
ord
7,560
BlackRock Institutional Trust Company, N.A.
12-Nov-13
yes
9.76
ord
54,935


BlackRock Investment Management (Australia)
Limited
12-Nov-13
no		 n/a
in specie
ord
4,225
BlackRock Advisors (UK) Limited
13-Nov-13
yes		 9.60
ord
840


BlackRock Advisors (UK) Limited
13-Nov-13
yes		 9.60
ord
420


BlackRock Advisors (UK) Limited
13-Nov-13
yes		 9.60
ord
52


BlackRock Advisors (UK) Limited
13-Nov-13
yes		 9.60
ord
708


BlackRock Fund Advisors
13-Nov-13
no		 n/a
in specie
ord
1,128
BlackRock Institutional Trust Company, N.A.
15-Nov-13
no
n/a
in specie
ord
335,506

BlackRock Institutional Trust Company, N.A.
15-Nov-13
no
n/a
in specie
ord
605,878

BlackRock Advisors (UK) Limited
18-Nov-13
yes
9.59
ord
52


BlackRock Advisors (UK) Limited
18-Nov-13
yes		 9.59
ord
71


BlackRock Fund Advisors
18-Nov-13
yes		 9.59
ord
2,467
BlackRock Investment Management, LLC
18-Nov-13
yes		 9.75
ord
1,125


BlackRock Advisors (UK) Limited
19-Nov-13
yes		 9.38
ord
1,043


BlackRock Advisors (UK) Limited
19-Nov-13
yes		 9.38
ord
52


BlackRock Fund Advisors
19-Nov-13
no		 n/a
in specie
ord
14,703
BlackRock Japan Co Ltd
19-Nov-13
yes
9.48
ord
2,088


BlackRock Advisors (UK) Limited
21-Nov-13
yes		 9.17
ord
284


BlackRock Fund Advisors
21-Nov-13
no		 n/a
in specie
ord
470
BlackRock Fund Advisors
21-Nov-13
no
n/a
in specie
ord
658
BlackRock Fund Advisors
21-Nov-13
no
n/a
in specie
ord
9,048
BlackRock Advisors (UK) Limited
22-Nov-13
yes
9.12
ord
106


BlackRock Advisors (UK) Limited
22-Nov-13
yes		 9.12
ord
142


BlackRock Advisors (UK) Limited
22-Nov-13
yes		 9.17
ord
15,641


BlackRock Advisors (UK) Limited
22-Nov-13
yes		 9.17
ord
9,952


BlackRock Advisors (UK) Limited
22-Nov-13
yes		 9.17
ord
2,475


BlackRock Fund Advisors
22-Nov-13
yes		 9.12
ord
949
BlackRock Asset Management North Asia
Limited
25-Nov-13
no		 n/a
collateral
transfer
ord
34,864
BlackRock (Netherlands) B.V.
26-Nov-13
yes		 8.60
ord
884


BlackRock Advisors (UK) Limited
26-Nov-13
yes		 8.60
ord
101


BlackRock Advisors (UK) Limited
26-Nov-13
yes		 8.60
ord
11,605


BlackRock Advisors (UK) Limited
26-Nov-13
yes		 8.60
ord
1,578


BlackRock Fund Advisors
26-Nov-13
no		 n/a
in specie
ord
282
BlackRock Fund Advisors
26-Nov-13
yes
8.60
ord
5,497
BlackRock Fund Advisors
26-Nov-13
yes		 8.60
ord
15,086
BlackRock Institutional Trust Company, N.A.
26-Nov-13
yes		 8.60
ord
6,915


BlackRock Institutional Trust Company, N.A.
26-Nov-13
yes		 8.60
ord
17,685


BlackRock Institutional Trust Company, N.A.
26-Nov-13
yes		 8.60
ord
2,941


BlackRock International Limited
26-Nov-13
yes		 8.60
ord
3,537
BlackRock Investment Management (UK) Ltd
26-Nov-13
yes		 8.60
ord
1,681
BlackRock Investment Management (UK) Ltd
26-Nov-13
yes		 8.60
ord
1,040
BlackRock Japan Co Ltd
26-Nov-13
yes		 8.60
ord
1,394


BlackRock Japan Co Ltd
26-Nov-13
yes		 8.60
ord
9,009


BlackRock Investment Management (Australia)
Limited
26-Nov-13
yes		 8.60
ord
2,264
BlackRock Fund Advisors
27-Nov-13
no		 n/a
in specie
ord
16,965
BlackRock Fund Advisors
27-Nov-13
yes
8.74
ord
1,802

page 2 of 5

ALQ

Cash
Non-cash
Holder of Relevant Interest
Date of Acquisition / Trans
on a prescribed fin'l mkt
Consideration
Class and number of
securities affected		 Cash
Non-cash
Holder of Relevant Interest
Date of Acquisition / Trans
on a prescribed fin'l mkt
Consideration
Class and number of
securities affected
BlackRock Institutional Trust Company, N.A.
27-Nov-13
yes		 8.74
ord
11,666


BlackRock Asset Management North Asia
Limited
28-Nov-13
no		 n/a
collateral
transfer
ord
278,403
BlackRock Advisors (UK) Limited
29-Nov-13
yes		 8.39
ord
2,565


BlackRock Advisors (UK) Limited
29-Nov-13
yes		 8.39
ord
820


BlackRock Institutional Trust Company, N.A.
02-Dec-13
no		 n/a
in specie
ord
5,837

BlackRock Institutional Trust Company, N.A.
02-Dec-13
no
n/a
in specie
ord
1,469

BlackRock Investment Management (Australia)
Limited
02-Dec-13
yes
8.30
ord
11,309
BlackRock Institutional Trust Company, N.A.
03-Dec-13
yes		 8.51
ord
2,220


BlackRock Institutional Trust Company, N.A.
03-Dec-13
yes		 8.51
ord
926


BlackRock Advisors (UK) Limited
04-Dec-13
yes		 8.36
ord
588


BlackRock Fund Advisors
04-Dec-13
no		 n/a
in specie
ord
470
BlackRock Fund Advisors
05-Dec-13
no
n/a
in specie
ord
470
BlackRock Fund Advisors
05-Dec-13
no
n/a
in specie
ord
109
BlackRock Fund Advisors
06-Dec-13
no
n/a
in specie
ord
6,786
BlackRock Fund Advisors
06-Dec-13
yes
8.12
ord
1,588
BlackRock Investment Management (Australia)
Limited
06-Dec-13
yes		 8.12
ord
1,040
BlackRock Advisors (UK) Limited
09-Dec-13
yes		 8.28
ord
71


BlackRock International Limited
09-Dec-13
yes		 8.28
ord
14,432
BlackRock Advisors (UK) Limited
10-Dec-13
yes		 8.28
ord
3,962


BlackRock Fund Advisors
10-Dec-13
no		 n/a
in specie
ord
940
BlackRock Fund Advisors
10-Dec-13
no
n/a
in specie
ord
624
BlackRock Institutional Trust Company, N.A.
10-Dec-13
no
n/a
in specie
ord
10,065

BlackRock Investment Management (UK) Ltd
10-Dec-13
yes
8.38
ord
1,083
BlackRock Investment Management (Australia)
Limited
10-Dec-13
no		 n/a
in specie
ord
4,225
BlackRock Investment Management (Australia)
Limited
10-Dec-13
yes		 8.16
ord
5,639
BlackRock Advisors (UK) Limited
11-Dec-13
no		 n/a
in specie
ord
3,962

BlackRock Fund Advisors
11-Dec-13
no
n/a
in specie
ord
470
BlackRock Fund Advisors
11-Dec-13
no
n/a
in specie
ord
3,393
BlackRock Advisors (UK) Limited
12-Dec-13
yes
8.17
ord
23,461


BlackRock Institutional Trust Company, N.A.
12-Dec-13
yes		 8.17
ord
5,655


BlackRock Investment Management (Australia)
Limited
13-Dec-13
yes		 7.77
ord
600
BlackRock Asset Management Canada Limited
16-Dec-13
yes		 8.46
ord
1,433
BlackRock Advisors (UK) Limited
17-Dec-13
yes		 8.39
ord
104


BlackRock Institutional Trust Company, N.A.
17-Dec-13
yes		 8.39
ord
13,238


BlackRock Investment Management (UK) Ltd
18-Dec-13
yes		 8.25
ord
10,036
BlackRock Fund Advisors
19-Dec-13
yes		 8.47
ord
171,457
BlackRock Institutional Trust Company, N.A.
19-Dec-13
yes		 8.55
ord
6,526


BlackRock Investment Management (UK) Ltd
19-Dec-13
yes		 8.55
ord
1,207
BlackRock Advisors (UK) Limited
20-Dec-13
yes		 8.60
ord
520


BlackRock Advisors (UK) Limited
20-Dec-13
yes		 8.60
ord
142


BlackRock Asset Management Canada Limited
20-Dec-13
yes		 8.60
ord
59,053
BlackRock Asset Management North Asia
Limited
20-Dec-13
no		 n/a
collateral
transfer
ord
297,080
BlackRock Fund Advisors
20-Dec-13
no		 n/a
in specie
ord
6,786
BlackRock Fund Advisors
20-Dec-13
yes
8.60
ord
2,984,729
BlackRock Fund Advisors
20-Dec-13
yes		 8.63
ord
10,810
BlackRock Fund Advisors
20-Dec-13
no		 n/a
in specie
ord
1,888
BlackRock Institutional Trust Company, N.A.
20-Dec-13
yes
8.63
ord
10,916


BlackRock Institutional Trust Company, N.A.
20-Dec-13
yes		 8.63
ord
2,047


BlackRock Investment Management (Australia)
Limited
20-Dec-13
no		 n/a
in specie
ord
8,450
BlackRock Advisors (UK) Limited
23-Dec-13
yes		 8.58
ord
70


BlackRock Fund Advisors
23-Dec-13
no		 n/a
in specie
ord
376
BlackRock Fund Advisors
23-Dec-13
no
n/a
in specie
ord
13,572
BlackRock Fund Advisors
23-Dec-13
yes
8.60
ord
179,720
BlackRock Fund Advisors
23-Dec-13
yes		 8.58
ord
2,751
BlackRock Fund Advisors
23-Dec-13
no		 n/a
in specie
ord
218

page 3 of 5

ALQ

Cash
Non-cash
Holder of Relevant Interest
Date of Acquisition / Trans
on a prescribed fin'l mkt
Consideration
Class and number of
securities affected		 Cash
Non-cash
Holder of Relevant Interest
Date of Acquisition / Trans
on a prescribed fin'l mkt
Consideration
Class and number of
securities affected
BlackRock Advisors (UK) Limited
24-Dec-13
yes		 8.81
ord
718


BlackRock Fund Advisors
24-Dec-13
yes		 8.79
ord
59,082
BlackRock Fund Advisors
26-Dec-13
no		 n/a
in specie
ord
86,436
BlackRock Asset Management North Asia
Limited
27-Dec-13
no
n/a
collateral
transfer
ord
221,481
BlackRock Fund Advisors
27-Dec-13
no		 n/a
in specie
ord
109
BlackRock Advisors (UK) Limited
30-Dec-13
yes
8.87
ord
756


BlackRock Advisors (UK) Limited
30-Dec-13
yes		 8.87
ord
84


BlackRock Fund Advisors
30-Dec-13
yes		 8.91
ord
47,693
BlackRock Japan Co Ltd
30-Dec-13
yes		 8.85
ord
7,172


BlackRock Investment Management (Australia)
Limited
30-Dec-13
yes		 8.87
ord
2,125
BlackRock Advisors (UK) Limited
31-Dec-13
yes		 8.81
ord
1,090


BlackRock Asset Management North Asia
Limited
31-Dec-13
no		 n/a
collateral
transfer
ord
3,806
BlackRock Fund Advisors
31-Dec-13
no		 n/a
in specie
ord
658
BlackRock Institutional Trust Company, N.A.
31-Dec-13
yes
8.81
ord
65,811


BlackRock Asset Management North Asia
Limited
02-Jan-14
no		 n/a
collateral
transfer
ord
41,814
BlackRock Advisors (UK) Limited
03-Jan-14
yes		 8.75
ord
115


BlackRock Institutional Trust Company, N.A.
03-Jan-14
yes		 8.75
ord
31,950


BlackRock Fund Advisors
06-Jan-14
no		 n/a
in specie
ord
137
BlackRock Advisors (UK) Limited
07-Jan-14
yes
8.65
ord
2,867


BlackRock Asset Management North Asia
Limited
07-Jan-14
no		 n/a
collateral
transfer
ord
272,838
BlackRock Fund Advisors
07-Jan-14
no		 n/a
in specie
ord
3,338
BlackRock Fund Advisors
07-Jan-14
yes
8.65
ord
1,883
BlackRock Investment Management (UK) Ltd
07-Jan-14
yes		 8.65
ord
7,322
BlackRock Advisors (UK) Limited
08-Jan-14
yes		 8.78
ord
72


BlackRock Advisors (UK) Limited
08-Jan-14
yes		 8.78
ord
355


BlackRock Institutional Trust Company, N.A.
08-Jan-14
yes		 8.78
ord
2,995


BlackRock Institutional Trust Company, N.A.
08-Jan-14
yes		 8.78
ord
2,853


BlackRock Advisors (UK) Limited
09-Jan-14
yes		 8.81
ord
2,294


BlackRock Fund Advisors
09-Jan-14
no		 n/a
in specie
ord
1,894
BlackRock Investment Management (UK) Ltd
09-Jan-14
yes
8.80
ord
1,946
BlackRock Advisors (UK) Limited
10-Jan-14
yes		 8.60
ord
72


BlackRock Fund Advisors
10-Jan-14
no		 n/a
in specie
ord
31,305
BlackRock Investment Management (UK) Ltd
10-Jan-14
yes
8.60
ord
1,918
BlackRock Asset Management Canada Limited
13-Jan-14
no		 n/a
in specie
ord
35,180
BlackRock Asset Management North Asia
Limited
13-Jan-14
no		 n/a
collateral
transfer
ord
23,591
BlackRock Advisors (UK) Limited
14-Jan-14
yes		 8.64
ord
415


BlackRock Advisors (UK) Limited
14-Jan-14
yes		 8.64
ord
144


BlackRock Advisors (UK) Limited
14-Jan-14
yes		 8.64
ord
736


BlackRock Fund Advisors
14-Jan-14
no		 n/a
in specie
ord
20,870
BlackRock Investment Management (Australia)
Limited
14-Jan-14
no
n/a
in specie
ord
12,669
BlackRock Advisors (UK) Limited
15-Jan-14
yes		 8.76
ord
249


BlackRock Advisors (UK) Limited
15-Jan-14
yes		 8.76
ord
104


BlackRock Fund Advisors
15-Jan-14
no		 n/a
in specie
ord
109
BlackRock Investment Management (Australia)
Limited
15-Jan-14
yes
8.76
ord
67,581
BlackRock Advisors (UK) Limited
16-Jan-14
yes		 8.83
ord
1,177


BlackRock Advisors (UK) Limited
16-Jan-14
yes		 8.83
ord
144


BlackRock Investment Management (UK) Ltd
16-Jan-14
yes		 8.83
ord
1,930
BlackRock Japan Co Ltd
16-Jan-14
yes		 8.81
ord
2,222


BlackRock Investment Management (Australia)
Limited
16-Jan-14
yes		 8.81
ord
70,928
BlackRock Investment Management (Australia)
Limited
17-Jan-14
yes		 8.77
ord
248,893
BlackRock Advisors (UK) Limited
21-Jan-14
yes		 8.63
ord
104


BlackRock Fund Advisors
21-Jan-14
no		 n/a
in specie
ord
25,044

page 4 of 5

ALQ

Cash
Non-cash
Holder of Relevant Interest
Date of Acquisition / Trans
on a prescribed fin'l mkt
Consideration
Class and number of
securities affected		 Cash
Non-cash
Holder of Relevant Interest
Date of Acquisition / Trans
on a prescribed fin'l mkt
Consideration
Class and number of
securities affected
BlackRock Investment Management (UK) Ltd
21-Jan-14
yes		 8.63
ord
4,378
BlackRock Fund Advisors
22-Jan-14
no		 n/a
in specie
ord
19,227
BlackRock Fund Advisors
22-Jan-14
yes
8.55
ord
1,513
BlackRock Investment Management (Australia)
Limited
22-Jan-14
yes		 8.55
ord
3,993
BlackRock Advisors (UK) Limited
23-Jan-14
yes		 8.37
ord
83


BlackRock Advisors (UK) Limited
23-Jan-14
yes		 8.37
ord
1,472


BlackRock Investment Management (Australia)
Limited
23-Jan-14
no		 n/a
in specie
ord
2,096
BlackRock Fund Advisors
27-Jan-14
no		 n/a
in specie
ord
7,917
BlackRock Asset Management North Asia
Limited
28-Jan-14
no
n/a
collateral
transfer
ord
50,105
BlackRock Fund Advisors
28-Jan-14
no		 n/a
in specie
ord
940
BlackRock Institutional Trust Company, N.A.
28-Jan-14
yes
8.33
ord
8,200


BlackRock Institutional Trust Company, N.A.
28-Jan-14
yes		 8.33
ord
3,729


BlackRock Institutional Trust Company, N.A.
28-Jan-14
yes		 8.28
ord
1,773


BlackRock Advisors (UK) Limited
29-Jan-14
yes		 8.47
ord
52


BlackRock Institutional Trust Company, N.A.
29-Jan-14
no		 n/a
in specie
ord
1,773

BlackRock Advisors (UK) Limited
30-Jan-14
yes
8.20
ord
45,391


BlackRock Asset Management North Asia
Limited
30-Jan-14
no		 n/a
collateral
transfer
ord
19,260
BlackRock Fund Advisors
30-Jan-14
no		 n/a
in specie
ord
8,348
BlackRock Fund Advisors
30-Jan-14
no
n/a
in specie
ord
6,261
BlackRock Advisors (UK) Limited
31-Jan-14
yes
7.95
ord
18,700


BlackRock Advisors (UK) Limited
31-Jan-14
yes		 7.95
ord
1,518


BlackRock Advisors (UK) Limited
31-Jan-14
yes		 7.95
ord
1,464


BlackRock Asset Management North Asia
Limited
31-Jan-14
no		 n/a
collateral
transfer
ord
65,702
BlackRock Institutional Trust Company, N.A.
31-Jan-14
yes		 7.95
ord
2,490


BlackRock Asset Management North Asia
Limited
03-Feb-14
no		 n/a
collateral
transfer
ord
58,662
BlackRock Investment Management (Australia)
Limited
03-Feb-14
no		 n/a
in specie
ord
4,192
BlackRock Investment Management (Australia)
Limited
03-Feb-14
no		 n/a
in specie
ord
7,643
BlackRock Asset Management North Asia
Limited
04-Feb-14
no		 n/a
collateral
transfer
ord
13,363
BlackRock Investment Management (UK) Ltd
04-Feb-14
yes		 7.89
ord
1,875
BlackRock Asset Management Canada Limited
05-Feb-14
yes		 7.69
ord
740
BlackRock Asset Management North Asia
Limited
05-Feb-14
no		 n/a
collateral
transfer
ord
51,417
BlackRock Institutional Trust Company, N.A.
05-Feb-14
no		 n/a
in specie
ord
1,889

BlackRock Institutional Trust Company, N.A.
05-Feb-14
no
n/a
in specie
ord
2,835

BlackRock Institutional Trust Company, N.A.
05-Feb-14
yes
7.69
ord
21,389


BlackRock Advisors (UK) Limited
06-Feb-14
yes		 7.69
ord
104


BlackRock Fund Advisors
06-Feb-14
no		 n/a
in specie
ord
16,696
BlackRock Institutional Trust Company, N.A.
07-Feb-14
yes
7.80
ord
3,219


BlackRock Institutional Trust Company, N.A.
07-Feb-14
yes		 7.79
ord
17,673


BlackRock Investment Management (UK) Ltd
07-Feb-14
yes		 7.80
ord
6,383
BlackRock Advisors (UK) Limited
10-Feb-14
yes		 7.80
ord
2,136


BlackRock Asset Management North Asia
Limited
10-Feb-14
no		 n/a
collateral
transfer
ord
19,109
BlackRock Asset Management North Asia
Limited
11-Feb-14
no		 n/a
collateral
transfer
ord
48,921
BlackRock Fund Advisors
11-Feb-14
no		 n/a
in specie
ord
18,783
BlackRock Investment Management (UK) Ltd
11-Feb-14
yes
7.80
ord
2,010

page 5 of 5

ALQ

Annexure C

This is Annexure C of 1 page referred to in form 603 Notice of initial substantial shareholder

13-Feb-14 William Stockl, Date Authorised Signatory

7. Addresses

The addresses of persons named in this form are as follows:

Name Address
BlackRock Group
BlackRock Inc. 55 East 52nd Street
New York NY 10055 USA
BlackRock (Netherlands) B.V. Rembrandt Tower, 17th floor
Amstelplein
Amsterdam Netherlands
BlackRock Advisors (UK) Ltd. Murray House
1Royal Mint Court
London, EC3N 4HH, UK
BlackRock Advisors, LLC 100 Bellevue Parkway
Wilmington, DE 19809
BlackRock Asset Management Australia Limited (ACN Level 43, Grosvenor Place
001 804 566) 225 George Street
Sydney NSW 2000 Australia
BlackRock Asset Management Canada Limited 161 Bay Street, Suite 2500
Toronto, Ontario M5J 2S1
BlackRock Asset Management North Asia Limited 16/F, 2 Queen’s Road
Cheung Kong Center
Hong Kong
BlackRock Financial Management, Inc. 40 E. 52nd Street
New York, NY 10022
BlackRock Fund Advisors 400 Howard Street
San Francisco, CA, 94105
BlackRock Institutional Trust Company, N.A. 400 Howard Street
San Francisco, CA, 94105
BlackRock International Ltd. 40 Torphichen Street
Edinburgh EH3 8JB
BlackRock Investment Management (Aust) Ltd (ACN Level 26, 101 Collins St
006 165 975) Melbourne Australia
BlackRock Investment Management (UK) Ltd 12 Throgmorton Avenue
London EC2N 2DL UK
BlackRock Investment Management, LLC 1 University Square Drive, Princeton, NJ 08540
BlackRock Japan Co. Ltd. Sapia Tower
1-7-12 Marunouchi, Chiyoda-ku,
Tokyo, 100-0005 Japan

page 1 of 1

ALQ

Annexure D

This is Annexure D of 1 page referred to in form 603 Notice of initial substantial shareholder.

13-Feb-14
William Stockl, Authorised Signatory
Date		 13-Feb-14
William Stockl, Authorised Signatory
Date
Type of agreement: Global Master Securities Lending Agreement
Parties to agreement: Party A - Citigroup Global Markets Limited
Party B - HSBC Institutional Trust Services (Asia) Limited
Transfer date: Refer to Annexure B (transactions identified as collateral
transfers)
Holder of voting rights: BlackRock Asset Management North Asia Limited (as
investment manager for the funds)
Are there any restrictions on voting rights?
If yes, detail		 Yes. Unless otherwise agreed between the parties, the
Registered Owner will not exercise any voting rights.
Scheduled return date (if any): Not applicable.
Does the borrower have the right to return early?
If yes, detail		 Yes.
Upon an Event of Default under the GMSLA, the GMSLA
provides, broadly, that both parties payment and delivery
obligations will be accelerated and replaced with an obligation of
one party to pay a single cash sum to the other determined in
accordance with the provisions of the GMSLA (as modified by
the Annex). The GMSLA provides that the parties’ right to
terminate the Agreement upon notice will not affect the parties’
existing obligations in respect of any outstanding loans of
securities. The Annex amended and restricted the Borrower's
termination rights–i.e. Borrower may not have the right to
terminate and return the borrowed securities - as the Borrower
was to borrow the securities issued by it (or its sister company)
to provide protection against the insolvency of the issuer and so
usual rights of termination in a GMSLA were restricted.
Subject to the terms of the relevant Loan, the Borrower, may
early terminate a Loan and return Equivalent Securities at any
time provided that it “shall cease to have such entitlement if an
Act of Insolvency with respect to any Security Issuer or any of
the Borrower’s or any Security Issuer’s affiliates has occurred, or
any such person takes any steps preparatory to any of the
matters which would constitute an Act of Insolvency
Does the lender have the right to recall early?
If yes, detail		 Yes, at notice.
Will the securities be returned on settlement?
If yes, detail any exceptions		 Yes.

A copy of this agreement will be provided to ALS Ltd. or the Australian Securities and Investments Commission upon request.

N:\DATA\Disclosures\Disclosure Forms\Australia\WORKINGS\Workings\ALQ\ALQ 11.10.13_11.02.14\ALQ _ 2014 02 11 _ 603 D.docx

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