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AUB GROUP LIMITED — Major Shareholding Notification 2013
Oct 7, 2013
64456_rns_2013-10-07_e37757df-8880-498a-921f-66388a4bfef4.pdf
Major Shareholding Notification
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Form 605
Corporations Law Section 671B Notice of ceasing to be a substantial holder
To Company Name/Scheme AUSTBROKERS HOLDINGS LIMITED ACN/ARSN ABN 60 000 000 715 1. Details of substantial holder(1) Name WESTPAC BANKING CORPORATION (WBC) and its associated companies listed in Annexure ‘A’ ACN/ARSN (if applicable) ABN 33 007 457 141 The holder ceased to be a substantial holder on 3/10/2013 The previous notice was given to the company on 6/9/2013 The previous notice was dated 4/09/2013
2. Changes in relevant interests
Particulars of each change in the nature of, a relevant interest (2) of the substantial holder or an associate (3) in voting securities of the company or scheme, since the substantial holder was last required to give a substantial holding notice to the company or scheme are as follows:
| Date of change | Person whose relevant interest changed |
Nature of change (4) |
Consideration given in relation to change (5) |
Class (6) and number of securities affected |
Person’s votes affected |
|---|---|---|---|---|---|
| 3/10/2013 | WBC & its Associates Westpac Financial Services Group Limited (WFSG), Asgard Capital Management Limited, BT Funds Management Limited, Advance Asset Management Limited, BT Funds Management No.2 Limited, BT Investment Management (Fund Services) Limited, BT Investment Management (Institutional)Limited |
See Schedule |
See Schedule |
See Schedule |
See Schedule |
3. Changes in association
The persons who have become associates (3) of, ceased to be associates of, or have changed the nature of their association (7) with, the substantial holder in relation to the voting interests of the company or scheme are as follows:
Name and ACN/ARSN (if applicable)
Nature of association
Page 1 of 7
4. Addresses
The addresses of persons named in this form are as follows:
| Name | Name | Address |
|---|---|---|
| Westpac Banking Corporation (WBC) | Level 20, Westpac Place, 275 Kent St, Sydney NSW 2000 |
|
| Asgard Capital Management Limited | Level 20, Westpac Place, 275 Kent Street, Sydney NSW 2000 |
|
| BT Funds Management Limited | Level 20, Westpac Place, 275 Kent Street, Sydney NSW 2000 |
|
| Advance Asset Management Limited | Level 20, Westpac Place, 275 Kent Street, Sydney NSW 2000 |
|
| BT Funds Management No.2 Limited | Level 20, Westpac Place, 275 Kent Street, Sydney NSW 2000 |
|
| BT Investment Management (Fund Services) Limited |
Level 14, Chifley Tower, 2 Chifley Sydney, Sydney NSW 2000 |
|
| BT Investment Management (Institutional) Limited |
Level 14, Chifley Tower, 2 Chifley Square SYDNEY NSW 2000 |
|
| AUSTBROKERS HOLDINGS LIMITED | The Company Secretary Austbrokers Holdings Limited (AUB) Level 21, 111 Pacific Highway NORTH SYDNEY NSW 2060 Tel: +61 2 9935 2222 Fax: +61 2 9954 1724 |
|
| Signature print name sign here |
Tim Hartin capacity CompanySecretary date 8/10/2013 |
DIRECTIONS
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(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 4 of the form.
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(2) See the definition of “relevant interest” in sections 608 and 671B(7) of the Corporations Law.
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(3) See the definition of “associate” in section 9 of the Corporations Law.
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(4) Include details of: (a) Any relevant agreement or other circumstances because of which the change in relevant interest occurred. 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 details of any contract, scheme or arrangement, must accompany this form, together with a written statement certifying this contract, scheme or arrangement; and
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(b) Any qualification of the power of a person to exercise, control the exercise of, the voting powers or disposal of the securities 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 Law.
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(5) 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.
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(6) The voting shares of a company constitute one class unless divided into separate classes.
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(7) Give details, if appropriate, of the present association and any change in that association since the last substantial holding notice.
Page 2 of 7
SCHEDULE 2
Sales & Purchases for the period : 5/09/2013 to 3/10/2013 SECURITY: AUB
| **Advance Asset ** | Management Limited | ||
|---|---|---|---|
| Date | Registered Company | Quantity | Value |
| 13/09/2013 | HSBC Custody Nominees (Australia) Limited. | -1,162 | -12,770.38 |
| 16/09/2013 | HSBC Custody Nominees (Australia) Limited. | -11,681 | -128,724.62 |
| Total | -12,843 | -141,495.00 | |
| Advance Asset Management Limited Total : | -12,843 | -141,495.00 | |
| BT Funds Management Limited | |||
| Date | Registered Company | Quantity | Value |
| 5/09/2013 | BT Portfolio Services Limited | 917 | 9,793.19 |
| 18/09/2013 | BT Portfolio Services Limited | 310 | 3,499.03 |
| Total | 1,227 | 13,292.23 | |
| BT Funds Management Limited Total : | 1,227 | 13,292.23 | |
| BT Funds Management No.2 Limited | |||
| Date | Registered Company | Quantity | Value |
| 3/10/2013 | HSBC Custody Nominees (Australia) Limited. | -10,570 | -116,164.30 |
| 3/10/2013 | HSBC Custody Nominees (Australia) Limited. | -3,551 | -39,167.53 |
| Total | -14,121 | -155,331.83 | |
| BT Funds Management No.2 Limited Total : | -14,121 | -155,331.83 | |
| **BT Investment ** | Management (Fund Services) Limited | ||
| Date | Registered Company | Quantity | Value |
| Australia and New Zealand Banking Group | |||
| 3/10/2013 | Limited | -264 | -2,901.36 |
| Australia and New Zealand Banking Group | |||
| 3/10/2013 | Limited | -176 | -1,934.24 |
| Australia and New Zealand Banking Group | |||
| 3/10/2013 | Limited | -269 | -2,967.07 |
| Australia and New Zealand Banking Group | |||
| 3/10/2013 | Limited | -360 | -3,956.40 |
| Total | -1,069 | -11,759.07 | |
| Date | Registered Company | Quantity | Value |
| 3/10/2013 | National Australian Custodian Services | -745 | -8,187.55 |
| 3/10/2013 | National Australian Custodian Services | -1,986 | -21,826.14 |
| 3/10/2013 | National Australian Custodian Services | -1,680 | -18,463.20 |
| 3/10/2013 | National Australian Custodian Services | -1,530 | -16,814.70 |
| 3/10/2013 | National Australian Custodian Services | -1,995 | -22,004.85 |
| 3/10/2013 | National Australian Custodian Services | -670 | -7,363.30 |
| 3/10/2013 | National Australian Custodian Services | -1,299 | -14,276.01 |
| 3/10/2013 | National Australian Custodian Services | -923 | -10,180.69 |
| 3/10/2013 | National Australian Custodian Services | -174 | -1,919.22 |
| 3/10/2013 | National Australian Custodian Services | -490 | -5,385.10 |
| 3/10/2013 | National Australian Custodian Services | -808 | -8,879.92 |
| 3/10/2013 | National Australian Custodian Services | -27 | -297.81 |
Page 3 of 7
| 3/10/2013 | National Australian Custodian Services | -1,473 | -16,188.27 |
|---|---|---|---|
| 3/10/2013 | National Australian Custodian Services | -597 | -6,584.91 |
| 3/10/2013 | National Australian Custodian Services | -63 | -692.37 |
| 3/10/2013 | National Australian Custodian Services | -320 | -3,516.80 |
| Total | -14,780 | -162,580.84 | |
| Date | Registered Company | Quantity | Value |
| 3/10/2013 | National Nominees Limited | -2,038 | -22,397.62 |
| 3/10/2013 | National Nominees Limited | -685 | -7,555.55 |
| Total | -2,723 | -29,953.17 | |
| BT Investment Management (Fund Services) | |||
| Limited Total : | -18,572 | -204,293.08 | |
| **BT Investment ** | Management (Institutional) Limited | ||
| Date | Registered Company | Quantity | Value |
| 3/10/2013 | HSBC Custody Nominees (Australia) Limited. | -42,511 | -467,195.89 |
| 3/10/2013 | HSBC Custody Nominees (Australia) Limited. | -14,279 | -157,497.37 |
| Total | -56,790 | -624,693.26 | |
| BT Investment Management (Institutional) | |||
| Limited Total : | -56,790 | -624,693.26 |
Page 4 of 7
ANNEXURE A – ASSOCIATED COMPANIES
This is annexure ‘A’ (being 3 pages) referred to in Form 605, Notice of ceasing to be a substantial holder, lodged for Westpac and its associated entities
Tim Hartin – Company Secretary WBC – 3/10/2013
| Westpac Banking Corporation | Australia | Pashley Investments Pty Limited | Australia |
|---|---|---|---|
| 1925 (Commercial) Pty Limited | Australia | RAMS Financial Group Pty Limited | Australia |
| 1925 (Industrial) Pty Limited | Australia | RMS Warehouse Trust 2007-1 | Australia |
| 1925 Advances Pty Limited | Australia | Sallmoor Pty Limited | Australia |
| A.G.C. (Pacific) Limited | Papua New | ||
| Guinea | Securitor Financial Group Limited | Australia | |
| Advance Asset Management Limited | Australia | Seed Pool Trust No. 2 | Australia |
| Altitude Administration Pty Limited | Australia | Series 2007-1G WST Trust | Australia |
| Altitude Rewards Pty Limited | Australia | Series 2008-1M WST Trust | Australia |
| Aotearoa Financial Services Limited | New Zealand | Series 2009-1 WST Trust | Australia |
| Ascalon Capital Managers (Asia) Limited | Hong Kong | Series 2011-1 WST Trust | Australia |
| Ascalon Capital Managers Limited | Australia | Series 2011-2 WST Trust | Australia |
| Ascalon Funds Seed Pool Trust | Australia | Series 2011-3 WST Trust | Australia |
| Asgard Capital Management Limited | Australia | Series 2012-1 WST Trust | Australia |
| Asgard Wealth Solutions Limited | Australia | Series 2013-1 WST Trust | Australia |
| Australian Loan Processing Security Company Pty | |||
| Limited | Australia | Sixty Martin Place (Holdings) Pty Limited | Australia |
| Australian Loan Processing Security Trust | Australia | St.George Business Finance Pty Limited | Australia |
| Belliston Pty Limited | Australia | St.George Custodial Pty Limited | Australia |
| Bill Acceptance Corporation Pty Limited | Australia | St.George Equity Finance Limited | Australia |
| BLE Capital Investments Pty Limited | Australia | St.George Finance Holdings Limited | Australia |
| BLE Capital Limited | Australia | St.George Finance Limited | Australia |
| BLE Development Pty Limited | Australia | St.George Life Limited | Australia |
| BLE Holdings Pty Limited | Australia | St.George Motor Finance Limited | Australia |
| BT (Queensland) Pty Limited | Australia | St.George Procurement Management Pty Limited | Australia |
| BT Australia Pty Limited | Australia | St.George Security Holdings Pty Limited | Australia |
| BT Financial Group (NZ) Limited | New Zealand | Sydney Capital Corp Inc. | USA |
| BT Financial Group Pty Limited | Australia | Tavarua Funding Trust III | USA |
| BT Funds Management (NZ) Limited | New Zealand | Tavarua Funding Trust IV | USA |
| BT Funds Management Limited | Australia | Teuton Pty Limited | Australia |
| BT Funds Management No.2 Limited | Australia | The Home Mortgage Company Limited | New Zealand |
| BT Investment Management (Institutional) Limited | Australia | The Mortgage Company Pty Limited | Australia |
| BT Investment Management (Fund Services) Limited | Australia | The Warehouse Financial Services Limited | New Zealand |
| BT Investment Management Limited | Australia | Value Nominees Pty Limited | Australia |
| BT Life Limited | Australia | W1 Investments Pty Limited | Australia |
| BT Long Term Income Fund | Australia | Waratah Receivables Corp Pty Limited | Australia |
| BT Portfolio Services Limited | Australia | Waratah Securities Australia Limited | Australia |
| BT Private Nominees Pty Limited (formerly known as | Australia | ||
| BT Investment Management No.2 Limited) | Westpac Global Capital Markets Pty Limited | Australia | |
| BT Securities Limited | Australia | Westpac (NZ) Investments Limited | New Zealand |
| BT Short Term Income Fund | Australia | Westpac Administration Pty Limited | Australia |
| BTIM UK Limited | UK | Westpac Altitude Rewards Trust | Australia |
Page 5 of 7
Canning Park Capital Pte. Ltd Australia Westpac Americas Inc. USA Castlereagh Trust Australia Westpac Asian Lending Pty Limited Australia CBA Limited Australia Westpac Bank of Tonga Tonga Challenge Limited Australia Westpac Bank Samoa Limited Samoa Papua New Codrington S.a.r.l. Luxembourg Westpac Bank-PNG-Limited Guinea Crusade ABS Series 2012 - 1 Trust Australia Westpac Capital Holdings Inc. USA Crusade CP Management Pty Limited Australia Westpac Capital Markets Holding Corp. USA Crusade CP No.1 Pty Limited Australia Westpac Capital Markets LLC USA Crusade CP Trust No. 41 Australia Westpac Capital Trust III USA Crusade CP Trust No. 44 Australia Westpac Capital Trust IV USA Crusade CP Trust No. 48 Australia Westpac Capital-NZ-Limited New Zealand Crusade CP Trust No. 49 Australia Westpac Cash PIE Fund Australia Crusade CP Trust No. 50 Australia Westpac Cook Cove Trust I Australia Crusade CP Trust No. 52 Australia Westpac Cook Cove Trust II Australia Crusade CP Trust No. 53 Australia Westpac Covered Bond Trust New Australia Crusade CP Trust No. 54 Australia Westpac Custodian Nominees Limited Australia Crusade CP Trust No. 55 Australia Westpac Debt Securities Pty Limited Australia Crusade CP Trust No. 56 Australia Westpac Delta LLC USA Crusade CP Trust No. 57 Australia Westpac Direct Equity Investments Pty Limited Australia Crusade CP Trust No. 58 Australia Westpac Equipment Finance (No.1) Pty Limited Australia Crusade CP Trust No. 60 Australia Westpac Equipment Finance Limited Australia Crusade Euro Trust 1E of 2006 Australia Westpac Equity Holdings Pty Limited Australia Crusade Euro Trust 1E of 2007 Australia Westpac Equity Investments NZ Limited New Zealand Crusade Global Trust 1 of 2005 Australia Westpac Europe Limited UK Crusade Global Trust 1 of 2006 Australia Westpac Finance (HK) Limited Hong Kong Crusade Global Trust 1 of 2007 Australia Westpac Financial Consultants Limited Australia Crusade Global Trust 2 of 2004 Australia Westpac Financial Holdings Pty Limited Australia Crusade Global Trust 2 of 2005 Australia Westpac Financial Services Group Limited Australia Crusade Global Trust 2 of 2006 Australia Westpac Financial Services Group-NZ-Limited New Zealand Crusade Management Limited Australia Westpac Financial Services Limited Australia Crusade Trust 1A of 2005 Australia Westpac Funding Holdings Pty Limited Australia Crusade 2P Trust of 2008 Australia Westpac Funds Financing Holdco Pty Limited Australia Danaby Pty Limited Australia Westpac Funds Financing Pty Limited Australia eQR Securities Pty. Limited Australia Westpac General Insurance Limited Australia Europe Infrastructure Debt LP UK Westpac General Insurance Services Limited Australia G.C.L. Investments Pty Limited Australia Westpac Group Investment-NZ-Limited New Zealand General Credit Holdings Pty Limited Australia Westpac Group Investments Australia Pty Limited Australia General Credits Pty Limited Australia Westpac Holdings-NZ-Limited New Zealand Halcyon Securities Limited Australia Westpac Investment Capital Corporation USA Hastings Advisers LLC USA Westpac Investment Vehicle No.2 Pty Limited Australia Hastings Forestry Investments Limited New Zealand Westpac Investment Vehicle No.3 Pty Limited Australia Hastings Forests Australia Pty Limited Australia Westpac Investment Vehicle Pty Limited Australia Hastings Funds Management Asia Pty. Limited Singapore Westpac Investments U.K. Limited UK Hastings Funds Management (UK) Limited UK Westpac Leasing Nominees-Vic.-Pty Limited Australia Hastings Funds Management (USA) Inc. USA Westpac Lenders Mortgage Insurance Limited Australia Hastings Funds Management Limited Australia Westpac Life Insurance Services Limited Australia Hastings Group Pty Limited Australia Westpac Life-NZ-Limited New Zealand Hastings Infrastructure 1 Limited UK Westpac New Zealand Group Limited New Zealand
Page 6 of 7
| Hastings Infrastructure 2 Limited | UK | Westpac New Zealand Limited | New Zealand |
|---|---|---|---|
| Hastings Investment Capital LP | USA | Westpac Nominees-NZ-Limited | New Zealand |
| Hastings Investments GP LLC | USA | Westpac NZ Covered Bond Holdings Limited | New Zealand |
| Hastings Investment Management Pty Ltd (formerly Hastings Private Equity Fund IIB Pty Limited) |
Australia | ||
| Westpac NZ Covered Bond Limited | New Zealand | ||
| Hastings Management Pty Limited | Australia | Westpac NZ Leasing Limited | New Zealand |
| Hastings Private Equity Fund IIA Pty Limited | Australia | Westpac NZ Operations Limited | New Zealand |
| Hickory Trust | Australia | Westpac NZ Securitisation Holdings Limited | New Zealand |
| Hitton Pty Limited | Australia | Westpac NZ Securitisation Limited | New Zealand |
| HLT Custodian Trust | New Zealand | Westpac NZ Securitisation No. 2 Limited | New Zealand |
| Infrastructure GP LLP | UK | Westpac Overseas Holdings No. 2 Pty Limited | Australia |
| J O Hambro Capital Management Holdings Limited | UK | Westpac Overseas Holdings Pty Limited | Australia |
| J O Hambro Capital Management Limited | UK | Westpac Pacific Limited Partnership | Australia |
| JOHCM (Singapore) Pte Limited | Singapore | Westpac Private Equity Pty Limited | Australia |
| JOHCM (USA) General Partner Inc | USA | Westpac Properties Limited | Australia |
| JOHCM (USA) Inc | USA | Westpac RE Limited | Australia |
| JOHCMG Share Trustee Limited | UK | Westpac Securities Administration Limited | Australia |
| Magnitude Group Pty Limited | Australia | Westpac Securities Limited | Australia |
| MIF Custodian Trust | New Zealand | Westpac Securities NZ Limited | New Zealand |
| Mortgage Management Pty Limited | Australia | Westpac Securitisation Holdings Pty Limited | Australia |
| Nationwide Management Pty Limited | Australia | Westpac Securitisation Management Pty Limited | Australia |
| Net Nominees Limited | Australia | Westpac Singapore Limited | Singapore |
| Number 120 Limited1 | New Zealand | Westpac Structured Products Limited | Australia |
| Oniston Pty Limited | Australia | Westpac Superannuation Nominees-NZ-Limited | New Zealand |
| Packaging Properties 1 Pty Limited | Australia | Westpac Syndications Management Pty Limited | Australia |
| Packaging Properties 2 Pty Limited | Australia | Westpac Term PIE Fund | New Zealand |
| Packaging Properties 3 Pty Limited | Australia | Westpac TPS Trust | Australia |
| Partnership Pacific Pty Limited | Australia | Westpac Unit Trust | Australia |
| Partnership Pacific Securities Pty Limited | Australia | Westpac USA Inc. | USA |
Note: Westpac retains 63% ownership of BT Investment Management Limited who lodges separate notices under ASX code ‘BTT’
BT Investment Management Limited (63%)
BT Investment Management Limited (63%) Australia BT Investment Management (Institutional) Limited (Subsidiary of BT Investment Management Limited) Australia
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