AUB GROUP LIMITED — Major Shareholding Notification 2017

Aug 29, 2017

30 August 2017

==> picture [96 x 67] intentionally omitted <==

Company Announcements Platform Australian Securities Exchange Limited 20 Bridge Street SYDNEY NSW 2000

Dear Sir/Madam,

Notice of change of interests of substantial holder

In accordance with section 671B of the Corporations Act 2001 (Cth), we attach a Notice of Change of Interests of Substantial Holder (Form 604) in respect of AUB Group Limited (AUB).

Yours faithfully,

==> picture [119 x 40] intentionally omitted <==

Joanne Hawkins Company Secretary

{00013864.doc} BT Investment Management Limited ABN 28 126 385 822

www.btim.com.au

GPO Box 7072 Sydney NSW 2001 Australia

The Chifley Tower Level 15, 2 Chifley Square Sydney NSW 2000 Australia Tel 612 9220 2000

BT[® ] is a registered trade mark of BT Financial Group Pty Ltd and is used under licence

Form 604

Corporations Act 2001 Section 671B Notice of change of interests of substantial holder

To Company Name/Scheme

AUB GROUP LIMITED (AUB)

ACN/ARSN

ACN 000 000 715

1. Details of substantial holder(1)

Name

BT INVESTMENT MANAGEMENT LIMITED (BTT)

ACN/ARSN (if applicable) ACN 126 365 822

There was a change in the interests of the substantial holder on

substantial holder on 28/08/2017 The previous notice was given to the company on 06/05/2016 The previous notice was dated 02/05/2016

2. Previous and present 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 when last required, and when now required, to give a substantial holding notice in the company or scheme, are as follows:

Class of securities (4)	Previous Notice	Previous Notice	Present Notice	Present Notice
	Person’s votes	VotingPower(5)	Person’s votes	VotingPower(5)
ORDINARY SHARES	3,129,928	5.00%	3,842,271	6.02%

3. Changes in relevant interests

Particulars of each change in, or change in the nature of, a relevant interest of the substantial holder or an associate 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:

company or scheme	are as follows:
Date of change	Person whose relevant interest changed	Nature of change (6)	Consideration given in relation to change(7)	Class and number of securities affected	Person’s votes affected
28/08/2017	BTT & its Associates, BT Investment Management (Fund Services) Limited, BT Investment Management (Institutional)Limited	See Annexure 'A'	See Annexure 'A'	See Annexure 'A'	See Annexure 'A'

Page 1

{00013863.docx}

4. Present relevant interests

Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows:

Holder of relevant interest	Registered holder of securities	Person entitled to be registered as holder(8)	Nature of relevant interest (6)	Class and Number of securities	Person’s votes
BT Investment Management (Fund Services) Limited *	HSBC Custody Nominees (Australia) Limited	HSBC Custody Nominees (Australia) Limited.	BT Investment Management (Fund Services) Limited is the trustee or responsible entity of various managed investment schemes and, in that capacity, can exercise the power to vote or dispose of the shares.	2,178,552 Ordinary	2,178,552
BT Investment Management (Institutional) Limited	Australia and New Zealand Banking Group HSBC Custody Nominees (Australia) Limited. State Street Australia Limited	Australia and New Zealand Banking Group HSBC Custody Nominees (Australia) Limited. State Street Australia Limited	BT Investment Management (Institutional) Limited is the investment manager appointed by various superannuation funds, institutional investors and unit trusts and, in that capacity, can exercise the power to vote or dispose of the shares..	1,663,719 Ordinary	1,663,719

• BT Investment Management (Fund Services) Limited has appointed BT Investment Management (Institutional) Limited to act as the investment manager of the trusts of which it is responsible entity, giving BT Investment Management (Institutional) Limited the capacity to exercise the power to vote or dispose of the shares. BT Investment (Institutional) Limited therefore also has a relevant interest in shares in which BT Investment Management (Fund Services) Limited has a relevant interest.

5. Changes in association

The persons who have become associates (2) of, or ceased to be associates of, or have changed the nature of their association (9) with, the substantial holder in relation to voting interests in the company or scheme are as follows:

Name and ACN/ARSN (if applicable) Nature of association

6. Addresses

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

The addresses of persons named in this form are as follows:
Name	Address
BT Investment Management Limited (BTT)	Level 14, Chifley Tower, 2 Chifley Square, SydneyNSW 2000
BT Investment Management (Fund Services) Limited	Level 14, Chifley Tower, 2 Chifley Square, SydneyNSW 2000
BT Investment Management (Institutional) Limited	Level 14, Chifley Tower, 2 Chifley Square SydneyNSW 2000

Page 2

{00013863.docx}

AUB GROUP LIMITED (AUB) The Company Secretary, AUB GROUP LIMITED (AUB) Level 1, 111 Pacific Highway NORTH SYDNEY NSW 2060 Tel: +61 2 9935 2222 Signature Print name Joanne Hawkins Capacity Company Secretary Sign here Date 30/08/2017

Page 3

{00013863.docx}

• DIRECTIONS

• (1) If there are a number of substantial holders with similar or related relevant interests (e.g. 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 6 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 person’s votes divided by the total votes in the body corporate scheme multiplied by 100. (6) 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 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.

• (7) 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.

• (8) If the substantial holder is unable to determine the identity of the person (e.g. if the relevant interest arises because of an option) write “unknown”.

• (9) Give details, if appropriate, of the present association and any changes in that association since the last substantial holding notice.

Page 4

{00013863.docx}

ANNEXURE A

This is annexure ‘A’ referred to in Form 604, Notice of change of interests of substantial holder, lodged for BT Investment Management Limited ACN 126 365 822

Joanne Hawkins – Company Secretary, BT Investment Management Limited 30/08/2017

TRANSACTION HISTORY

Sales & Purchases for the period : 3/05/2016 to 28/08/2017 SECURITY: AUB

BT Investment Management (Fund Services) Limited

Date	Registered Company	Nature of Change	Quantity	Consideration	Class of Securities	Person’s votes affected
9/06/2016	HSBC Custody Nominees (Australia) Limited.	Buy	83,489	809,843.30	Ordinary	83,489
10/06/2016	HSBC Custody Nominees (Australia) Limited.	Buy	10,420	103,158.00	Ordinary	10,420
13/12/2016	HSBC Custody Nominees (Australia) Limited.	Sell	-13,934	-142,266.14	Ordinary	13,934
19/01/2017	HSBC Custody Nominees (Australia) Limited.	Buy	11	118.47	Ordinary	11
20/01/2017	HSBC Custody Nominees (Australia) Limited.	Buy	2,328	24,956.16	Ordinary	2,328
24/01/2017	HSBC Custody Nominees (Australia) Limited.	Buy	15,609	168,108.93	Ordinary	15,609
25/01/2017	HSBC Custody Nominees (Australia) Limited.	Buy	70,746	772,546.32	Ordinary	70,746
25/05/2017	HSBC Custody Nominees (Australia) Limited.	Sell	-73,145	-956,736.60	Ordinary	73,145
26/05/2017	HSBC Custody Nominees (Australia) Limited.	Sell	-28,583	-380,439.73	Ordinary	28,583
6/06/2017	HSBC Custody Nominees (Australia) Limited.	Sell	-58,405	-763,937.40	Ordinary	58,405
16/06/2017	HSBC Custody Nominees (Australia) Limited.	Buy	73,615	958,467.30	Ordinary	73,615
19/06/2017	HSBC Custody Nominees (Australia) Limited.	Buy	2,160	28,101.60	Ordinary	2,160
19/06/2017	HSBC Custody Nominees (Australia) Limited.	Buy	13,815	179,733.15	Ordinary	13,815
20/06/2017	HSBC Custody Nominees (Australia) Limited.	Buy	85,958	1,114,875.26	Ordinary	85,958
21/06/2017	HSBC Custody Nominees (Australia) Limited.	Buy	253	3,281.41	Ordinary	253
22/06/2017	HSBC Custody Nominees (Australia) Limited.	Buy	1,416	18,365.52	Ordinary	1,416
23/06/2017	HSBC Custody Nominees (Australia) Limited.	Buy	433	5,616.01	Ordinary	433
26/06/2017	HSBC Custody Nominees (Australia) Limited.	Buy	12,369	160,425.93	Ordinary	12,369
27/06/2017	HSBC Custody Nominees (Australia) Limited.	Buy	1,322	17,146.34	Ordinary	1,322
28/06/2017	HSBC Custody Nominees (Australia) Limited.	Buy	24,261	314,665.17	Ordinary	24,261
25/07/2017	HSBC Custody Nominees (Australia) Limited.	Buy	7,338	92,605.56	Ordinary	7,338
26/07/2017	HSBC Custody Nominees (Australia) Limited.	Buy	1,148	14,522.20	Ordinary	1,148
27/07/2017	HSBC Custody Nominees (Australia) Limited.	Buy	10,840	139,077.20	Ordinary	10,840
31/07/2017	HSBC Custody Nominees (Australia) Limited.	Buy	16,857	217,792.44	Ordinary	16,857
28/08/2017	HSBC Custody Nominees (Australia) Limited.	Buy	88,024	1,119,665.28	Ordinary	88,024
	Total		348,345	4,019,691.68

Page 5

{00013863.docx}

BT Investment Management (Fund Services) Limited Total :

348,345 4,019,691.68

BT Investment Management (Institutional) Limited

Date	Registered Company	Nature of Change	Quantity	Consideration	Class of Securities	Person’s votes affected
5/05/2016	Australia and New Zealand Banking Group Limited	Buy	157	1,427.13	Ordinary	157
6/05/2016	Australia and New Zealand Banking Group Limited	Buy	1,160	10,822.80	Ordinary	1,160
12/05/2016	Australia and New Zealand Banking Group Limited	Buy	1,483	13,435.98	Ordinary	1,483
19/05/2016	Australia and New Zealand Banking Group Limited	Buy	1,071	10,067.40	Ordinary	1,071
30/06/2016	Australia and New Zealand Banking Group Limited	Buy	2,950	29,854.00	Ordinary	2,950
19/01/2017	Australia and New Zealand Banking Group Limited	Buy	1	10.77	Ordinary	1
20/01/2017	Australia and New Zealand Banking Group Limited	Buy	165	1,768.80	Ordinary	165
24/01/2017	Australia and New Zealand Banking Group Limited	Buy	1,107	11,922.39	Ordinary	1,107
25/01/2017	Australia and New Zealand Banking Group Limited	Buy	5,017	54,785.64	Ordinary	5,017
25/05/2017	Australia and New Zealand Banking Group Limited	Sell	-896	-11,719.68	Ordinary	896
25/05/2017	Australia and New Zealand Banking Group Limited	Sell	-354	-4,630.32	Ordinary	354
26/05/2017	Australia and New Zealand Banking Group Limited	Sell	-1,055	-14,042.05	Ordinary	1,055
15/06/2017	Australia and New Zealand Banking Group Limited	Buy	4,332	56,792.52	Ordinary	4,332
16/06/2017	Australia and New Zealand Banking Group Limited	Buy	3,528	45,934.56	Ordinary	3,528
19/06/2017	Australia and New Zealand Banking Group Limited	Buy	478	6,218.78	Ordinary	478
19/06/2017	Australia and New Zealand Banking Group Limited	Buy	75	975.75	Ordinary	75
20/06/2017	Australia and New Zealand Banking Group Limited	Buy	2,977	38,611.69	Ordinary	2,977
21/06/2017	Australia and New Zealand Banking Group Limited	Buy	9	116.73	Ordinary	9
22/06/2017	Australia and New Zealand Banking Group Limited	Buy	49	635.53	Ordinary	49
23/06/2017	Australia and New Zealand Banking Group Limited	Buy	15	194.55	Ordinary	15
26/06/2017	Australia and New Zealand Banking Group Limited	Buy	428	5,551.16	Ordinary	428
27/06/2017	Australia and New Zealand Banking Group Limited	Buy	46	596.62	Ordinary	46
28/06/2017	Australia and New Zealand Banking Group Limited	Buy	951	12,334.47	Ordinary	951
25/07/2017	Australia and New Zealand Banking Group Limited	Buy	1,819	22,955.78	Ordinary	1,819
26/07/2017	Australia and New Zealand Banking Group Limited	Buy	41	518.65	Ordinary	41
27/07/2017	Australia and New Zealand Banking Group Limited	Buy	384	4,926.72	Ordinary	384
31/07/2017	Australia and New Zealand Banking Group Limited	Buy	1,263	16,317.96	Ordinary	1,263
	Total		27,201	316,384.33
Date	Registered Company	Nature of Change	Quantity	Consideration	Class of Securities	Person’s votes affected
13/12/2016	HSBC Custody Nominees (Australia) Limited.	Sell	-19,995	-204,148.95	Ordinary	19,995
19/01/2017	HSBC Custody Nominees (Australia) Limited.	Buy	2	21.54	Ordinary	2
20/01/2017	HSBC Custody Nominees (Australia) Limited.	Buy	394	4,223.68	Ordinary	394

Page 6

{00013863.docx}

24/01/2017	HSBC Custody Nominees (Australia) Limited.	Buy	2,643	28,465.11	Ordinary	2,643
25/01/2017	HSBC Custody Nominees (Australia) Limited.	Buy	11,980	130,821.60	Ordinary	11,980
25/05/2017	HSBC Custody Nominees (Australia) Limited.	Sell	-12,420	-162,453.60	Ordinary	12,420
25/05/2017	HSBC Custody Nominees (Australia) Limited.	Sell	-1,171	-15,316.68	Ordinary	1,171
25/05/2017	HSBC Custody Nominees (Australia) Limited.	Sell	-1,482	-19,384.56	Ordinary	1,482
26/05/2017	HSBC Custody Nominees (Australia) Limited.	Sell	-4,861	-64,699.91	Ordinary	4,861
6/06/2017	HSBC Custody Nominees (Australia) Limited.	Sell	-989	-12,936.12	Ordinary	989
6/06/2017	HSBC Custody Nominees (Australia) Limited.	Sell	-6,910	-90,382.80	Ordinary	6,910
6/06/2017	HSBC Custody Nominees (Australia) Limited.	Sell	-3,049	-39,880.92	Ordinary	3,049
16/06/2017	HSBC Custody Nominees (Australia) Limited.	Buy	11,703	152,373.06	Ordinary	11,703
19/06/2017	HSBC Custody Nominees (Australia) Limited.	Buy	2,339	30,430.39	Ordinary	2,339
19/06/2017	HSBC Custody Nominees (Australia) Limited.	Buy	366	4,761.66	Ordinary	366
20/06/2017	HSBC Custody Nominees (Australia) Limited.	Buy	14,555	188,778.35	Ordinary	14,555
21/06/2017	HSBC Custody Nominees (Australia) Limited.	Buy	43	557.71	Ordinary	43
22/06/2017	HSBC Custody Nominees (Australia) Limited.	Buy	240	3,112.80	Ordinary	240
23/06/2017	HSBC Custody Nominees (Australia) Limited.	Buy	73	946.81	Ordinary	73
26/06/2017	HSBC Custody Nominees (Australia) Limited.	Buy	2,094	27,159.18	Ordinary	2,094
27/06/2017	HSBC Custody Nominees (Australia) Limited.	Buy	224	2,905.28	Ordinary	224
28/06/2017	HSBC Custody Nominees (Australia) Limited.	Buy	4,021	52,152.37	Ordinary	4,021
26/07/2017	HSBC Custody Nominees (Australia) Limited.	Buy	114	1,442.10	Ordinary	114
27/07/2017	HSBC Custody Nominees (Australia) Limited.	Buy	1,077	13,817.91	Ordinary	1,077
31/07/2017	HSBC Custody Nominees (Australia) Limited.	Buy	1,363	17,609.96	Ordinary	1,363
28/08/2017	HSBC Custody Nominees (Australia) Limited.	Buy	14,716	187,187.52	Ordinary	14,716
	Total		17,070	237,563.49

Date	Registered Company	Nature of Change	Quantity	Consideration	Class of Securities	Person’s votes affected
13/12/2016	State Street Australia Limited	Buy	20,195	206,190.95	Ordinary	20,195
13/12/2016	State Street Australia Limited	Buy	13,734	140,224.14	Ordinary	13,734
19/01/2017	State Street Australia Limited	Buy	5	53.85	Ordinary	5
19/01/2017	State Street Australia Limited	Buy	3	32.31	Ordinary	3
20/01/2017	State Street Australia Limited	Buy	1,052	11,277.44	Ordinary	1,052
20/01/2017	State Street Australia Limited	Buy	523	5,606.56	Ordinary	523
24/01/2017	State Street Australia Limited	Buy	7,051	75,939.27	Ordinary	7,051
24/01/2017	State Street Australia Limited	Buy	3,507	37,770.39	Ordinary	3,507
25/01/2017	State Street Australia Limited	Buy	31,961	349,014.12	Ordinary	31,961
25/01/2017	State Street Australia Limited	Buy	15,895	173,573.40	Ordinary	15,895
25/05/2017	State Street Australia Limited	Sell	-7,028	-91,926.24	Ordinary	7,028
25/05/2017	State Street Australia Limited	Sell	-3,504	-45,832.32	Ordinary	3,504
26/05/2017	State Street Australia Limited	Sell	-10,351	-137,771.81	Ordinary	10,351
26/05/2017	State Street Australia Limited	Sell	-5,150	-68,546.50	Ordinary	5,150
6/06/2017	State Street Australia Limited	Sell	-20,465	-267,682.20	Ordinary	20,465
6/06/2017	State Street Australia Limited	Sell	-10,182	-133,180.56	Ordinary	10,182

Page 7

{00013863.docx}

16/06/2017	State Street Australia Limited	Buy	27,083	352,620.66	Ordinary	27,083
16/06/2017	State Street Australia Limited	Buy	13,476	175,457.52	Ordinary	13,476
19/06/2017	State Street Australia Limited	Buy	781	10,160.81	Ordinary	781
19/06/2017	State Street Australia Limited	Buy	4,991	64,932.91	Ordinary	4,991
19/06/2017	State Street Australia Limited	Buy	388	5,047.88	Ordinary	388
19/06/2017	State Street Australia Limited	Buy	2,483	32,303.83	Ordinary	2,483
20/06/2017	State Street Australia Limited	Buy	31,059	402,835.23	Ordinary	31,059
20/06/2017	State Street Australia Limited	Buy	15,451	200,399.47	Ordinary	15,451
21/06/2017	State Street Australia Limited	Buy	91	1,180.27	Ordinary	91
21/06/2017	State Street Australia Limited	Buy	45	583.65	Ordinary	45
22/06/2017	State Street Australia Limited	Buy	511	6,627.67	Ordinary	511
22/06/2017	State Street Australia Limited	Buy	254	3,294.38	Ordinary	254
23/06/2017	State Street Australia Limited	Buy	157	2,036.29	Ordinary	157
23/06/2017	State Street Australia Limited	Buy	78	1,011.66	Ordinary	78
26/06/2017	State Street Australia Limited	Buy	4,469	57,962.93	Ordinary	4,469
26/06/2017	State Street Australia Limited	Buy	2,223	28,832.31	Ordinary	2,223
27/06/2017	State Street Australia Limited	Buy	478	6,199.66	Ordinary	478
27/06/2017	State Street Australia Limited	Buy	238	3,086.86	Ordinary	238
28/06/2017	State Street Australia Limited	Buy	8,821	114,408.37	Ordinary	8,821
28/06/2017	State Street Australia Limited	Buy	4,388	56,912.36	Ordinary	4,388
25/07/2017	State Street Australia Limited	Buy	20,263	255,719.06	Ordinary	20,263
25/07/2017	State Street Australia Limited	Buy	10,149	128,080.38	Ordinary	10,149
26/07/2017	State Street Australia Limited	Buy	424	5,363.60	Ordinary	424
26/07/2017	State Street Australia Limited	Buy	211	2,669.15	Ordinary	211
27/07/2017	State Street Australia Limited	Buy	4,010	51,448.30	Ordinary	4,010
27/07/2017	State Street Australia Limited	Buy	1,995	25,595.85	Ordinary	1,995
28/07/2017	State Street Australia Limited	Buy	29	371.78	Ordinary	29
28/07/2017	State Street Australia Limited	Buy	82	1,051.24	Ordinary	82
31/07/2017	State Street Australia Limited	Buy	13,732	177,417.44	Ordinary	13,732
31/07/2017	State Street Australia Limited	Buy	6,861	88,644.12	Ordinary	6,861
28/08/2017	State Street Australia Limited	Buy	31,676	402,918.72	Ordinary	31,676
28/08/2017	State Street Australia Limited	Buy	15,584	198,228.48	Ordinary	15,584
	Total		259,727	3,118,145.64

BT Investment Management (Institutional) Limited Total :

303,998 3,672,093.46

Page 8

{00013863.docx}