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ANAX METALS LIMITED Major Shareholding Notification 2021

Feb 9, 2021

64389_rns_2021-02-09_c9b550d9-2a29-456e-9028-beeec274219e.pdf

Major Shareholding Notification

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Form 603

Corporations Act 2001

Section 671B

Notice of initial substantial holder

To Company Name/Scheme ACN/ARSN

ANAX METALS LIMITED

ACN 106 304 787

1. Details of substantial holder (1)

Name Credit Suisse Holdings (Australia) Limited (on behalf of Credit Suisse Group AG and its affiliates) ACN/ARSN (if applicable) 008 496 713 The holder became a substantial holder on 08-Feb-2021

2. 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 Persons' votes(5) Voting power(6)
Common Stock 14,243,587 14,243,587 5.08%

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
Credit Suisse Equities (Australia)
Limited(ACN 068 232 708)		 Voting rights and right to dispose 14,243,587 Common Stock

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 interest Registered holder of
securities		 Person entitled to be
registered as holder(8)		 Class and number of
securities
Credit Suisse Equities
(Australia) Limited (ACN 068
232 708)		 CS Fourth Nominees Pty
Limited (ACN 069 126 432)		 Credit Suisse Equities
(Australia) Limited		 14,243,587 Common Stock

5. Consideration

The consideration paid for each relevant interest referred to in paragraph 3 above, and acquired in the 4 months prior to the day that the substantial holder became a substantial holder is as follows:

Holder of relevant
interest		 Date of acquisition Consideration (9) Class and number of
securities
Cash Non-cash
Credit Suisse Equities
(Australia) Limited		 21-Oct-20 Placement shares 1,445,906 Common Stock
Credit Suisse Equities
(Australia) Limited		 6-Nov-20 13,139.0 AUD 357,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 6-Nov-20 15,049.0 AUD 355,000 Common Stock

1

Credit Suisse Equities
(Australia) Limited		 9-Nov-20 6,240.0 AUD 160,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 10-Nov-20 1,140.0 AUD 30,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 10-Nov-20 43,129.37 AUD -1,217,182 Common Stock
Credit Suisse Equities
(Australia) Limited		 10-Nov-20 4,940.0 AUD 130,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 10-Nov-20 28,616.79 AUD -765,724 Common Stock
Credit Suisse Equities
(Australia) Limited		 11-Nov-20 13,525.0 AUD -335,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 12-Nov-20 1,250.0 AUD 30,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 12-Nov-20 615.0 AUD 15,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 13-Nov-20 3,900.0 AUD -100,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 13-Nov-20 1,170.0 AUD -30,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 13-Nov-20 17,548.0 AUD 351,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 13-Nov-20 4,680.0 AUD 90,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 17-Nov-20 1,390.0 AUD -30,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 17-Nov-20 4,115.37 AUD 79,321 Common Stock
Credit Suisse Equities
(Australia) Limited		 17-Nov-20 4,655.61 AUD 89,531 Common Stock
Credit Suisse Equities
(Australia) Limited		 17-Nov-20 19,141.0 AUD -396,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 18-Nov-20 1,010.0 AUD 20,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 18-Nov-20 3,290.0 AUD -65,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 18-Nov-20 500.0 AUD 10,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 19-Nov-20 5,335.37 AUD -104,321 Common Stock
Credit Suisse Equities
(Australia) Limited		 19-Nov-20 1,215.0 AUD 27,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 19-Nov-20 2,340.95 AUD -45,301 Common Stock
Credit Suisse Equities
(Australia) Limited		 20-Nov-20 2,505.73 AUD -49,230 Common Stock
Credit Suisse Equities
(Australia) Limited		 23-Nov-20 450.0 AUD -10,000 Common Stock

2

Credit Suisse Equities
(Australia) Limited		 23-Nov-20 562.0 AUD -12,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 24-Nov-20 230.0 AUD -5,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 24-Nov-20 1,150.0 AUD -25,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 25-Nov-20 496,533.76 AUD 6,824,564 Common Stock
Credit Suisse Equities
(Australia) Limited		 25-Nov-20 258,181.06 AUD 3,578,429 Common Stock
Credit Suisse Equities
(Australia) Limited		 26-Nov-20 15,655.0 AUD 243,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 26-Nov-20 8,530.0 AUD 130,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 27-Nov-20 23,376.47 AUD 339,850 Common Stock
Credit Suisse Equities
(Australia) Limited		 27-Nov-20 256,526.13 AUD -3,545,210 Common Stock
Credit Suisse Equities
(Australia) Limited		 27-Nov-20 480,412.44 AUD -6,684,564 Common Stock
Credit Suisse Equities
(Australia) Limited		 30-Nov-20 16,314.0 AUD -242,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 30-Nov-20 17,000.0 AUD 250,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 30-Nov-20 8,719.80 AUD 129,400 Common Stock
Credit Suisse Equities
(Australia) Limited		 30-Nov-20 10,622.45 AUD -163,219 Common Stock
Credit Suisse Equities
(Australia) Limited		 1-Dec-20 2,760.0 AUD 40,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 1-Dec-20 2,100.0 AUD 30,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 1-Dec-20 23,641.31 AUD -349,333 Common Stock
Credit Suisse Equities
(Australia) Limited		 2-Dec-20 9,097.19 AUD -131,517 Common Stock
Credit Suisse Equities
(Australia) Limited		 2-Dec-20 4,940.0 AUD 70,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 3-Dec-20 8,799.20 AUD -129,400 Common Stock
Credit Suisse Equities
(Australia) Limited		 3-Dec-20 3,960.0 AUD 60,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 4-Dec-20 5,760.0 AUD -80,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 7-Dec-20 12,540.0 AUD 190,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 7-Dec-20 5,525.0 AUD 85,000 Common Stock

3

Credit Suisse Equities
(Australia) Limited		 7-Dec-20 1,400.0 AUD -20,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 8-Dec-20 585.0 AUD 9,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 8-Dec-20 4,080.0 AUD -60,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 8-Dec-20 17,780.0 AUD -270,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 9-Dec-20 1,320.0 AUD -20,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 10-Dec-20 5,525.0 AUD -85,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 11-Dec-20 10,240.0 AUD -160,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 14-Dec-20 558.0 AUD -9,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 14-Dec-20 2,728.65 AUD 52,474 Common Stock
Credit Suisse Equities
(Australia) Limited		 14-Dec-20 780.0 AUD 15,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 14-Dec-20 5,827.74 AUD 105,188 Common Stock
Credit Suisse Equities
(Australia) Limited		 16-Dec-20 9,981.11 AUD 208,948 Common Stock
Credit Suisse Equities
(Australia) Limited		 17-Dec-20 5,641.64 AUD -105,188 Common Stock
Credit Suisse Equities
(Australia) Limited		 17-Dec-20 2,833.60 AUD -52,474 Common Stock
Credit Suisse Equities
(Australia) Limited		 17-Dec-20 814.0 AUD -15,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 17-Dec-20 1,096.70 AUD 23,334 Common Stock
Credit Suisse Equities
(Australia) Limited		 18-Dec-20 1,470.0 AUD -30,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 18-Dec-20 1,935.82 AUD 42,083 Common Stock
Credit Suisse Equities
(Australia) Limited		 22-Dec-20 2,937.70 AUD 66,016 Common Stock
Credit Suisse Equities
(Australia) Limited		 22-Dec-20 935.09 AUD 21,252 Common Stock
Credit Suisse Equities
(Australia) Limited		 22-Dec-20 1,584.0 AUD 36,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 23-Dec-20 1,430.42 AUD 31,096 Common Stock
Credit Suisse Equities
(Australia) Limited		 24-Dec-20 1,656.0 AUD -36,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 29-Dec-20 2,863.18 AUD 62,330 Common Stock

4

Credit Suisse Equities
(Australia) Limited		 30-Dec-20 1,056.44 AUD 24,010 Common Stock
Credit Suisse Equities
(Australia) Limited		 31-Dec-20 1,677.11 AUD -36,459 Common Stock
Credit Suisse Equities
(Australia) Limited		 4-Jan-21 740.69 AUD 16,102 Common Stock
Credit Suisse Equities
(Australia) Limited		 5-Jan-21 1,051.38 AUD 22,856 Common Stock
Credit Suisse Equities
(Australia) Limited		 6-Jan-21 2,600.01 AUD -53,567 Common Stock
Credit Suisse Equities
(Australia) Limited		 6-Jan-21 2,111.24 AUD 44,920 Common Stock
Credit Suisse Equities
(Australia) Limited		 6-Jan-21 1,410.0 AUD 30,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 15-Jan-21 1,350.0 AUD -30,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 18-Jan-21 106.95 AUD 2,139 Common Stock
Credit Suisse Equities
(Australia) Limited		 19-Jan-21 839.19 AUD 17,855 Common Stock
Credit Suisse Equities
(Australia) Limited		 19-Jan-21 1,175.0 AUD 25,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 21-Jan-21 1,160.70 AUD 23,214 Common Stock
Credit Suisse Equities
(Australia) Limited		 22-Jan-21 1,128.61 AUD 24,013 Common Stock
Credit Suisse Equities
(Australia) Limited		 25-Jan-21 1,225.0 AUD -25,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 25-Jan-21 1,351.60 AUD 27,032 Common Stock
Credit Suisse Equities
(Australia) Limited		 27-Jan-21 11,200.0 AUD 200,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 5-Feb-21 11,202.86 AUD 133,331 Common Stock
Credit Suisse Equities
(Australia) Limited		 5-Feb-21 290,403.20 AUD 3,121,915 Common Stock
Credit Suisse Equities
(Australia) Limited		 5-Feb-21 948,261.05 AUD 9,821,662 Common Stock
Credit Suisse Equities
(Australia) Limited		 8-Feb-21 1,329.90 AUD 18,947 Common Stock
Credit Suisse Equities
(Australia) Limited		 8-Feb-21 525.0 AUD 7,000 Common Stock
Credit Suisse Equities
(Australia) Limited		 8-Feb-21 27,032.76 AUD 373,558 Common Stock

6. Associates

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

5

Name and ACN/ARSN (if applicable) Nature of association Credit Suisse Equities (Australia) Limited Related Body Corporate (ACN 068 232 708)

7. Addresses

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

Name Address
Credit Suisse Holdings (Australia) Limited
(ACN 008 496 713)		 Level 31, Gateway, 1 Macquarie Place, Sydney NSW 2000, Australia
Credit Suisse Equities (Australia) Limited
(ACN 068 232 708)		 Level 31, Gateway, 1 Macquarie Place, Sydney NSW 2000, Australia
Credit Suisse Fourth Nominees Pty Limited
(ACN 069 126 432)		 Level 31, Gateway, 1 Macquarie Place, Sydney NSW 2000, Australia

Signature

print name
sign here		 Winston Loke
capacity
Authorised Signatory
date
10-Feb-2021

==> picture [46 x 21] intentionally omitted <==

6

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