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AUKING MINING LIMITED — Major Shareholding Notification 2021
Oct 5, 2021
64355_rns_2021-10-05_e23d9c2b-5cc0-4c98-a5e0-8c5b21757a99.pdf
Major Shareholding Notification
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Form 603
Corporations Act 2001
Section 671B
Notice of initial substantial holder
To Company Name/Scheme AUKING MINING LIMITED ACN/ARSN ACN 070 859 522
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 04-Oct-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 ofsecurities (4) | Numberofsecurities | Persons' votes (5) | Voting power(6) |
|---|---|---|---|
| Common Stock | 3,076,426 | 3,076,426 | 5.10% |
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:
| Holderof relevantinterest | Nature of relevantinterest (7) | Class andnumberofsecurities |
|---|---|---|
| Credit Suisse Equities (Australia) Limited (ACN068232 708) |
Voting rights and right to dispose | 3,076,426 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 asholder(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 |
3,076,426 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 |
15-Jun-21 | 5,333.98 AUD | 31,494 Common Stock |
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| Credit Suisse Equities (Australia) Limited |
15-Jun-21 | 12,680.0 AUD | 78,000 Common Stock | |
|---|---|---|---|---|
| Credit Suisse Equities (Australia) Limited |
17-Jun-21 | 10,272.50 AUD | -62,000 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
17-Jun-21 | 4,719.04 AUD | -29,494 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
18-Jun-21 | 1,320.0 AUD | -8,000 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
18-Jun-21 | 1,700.0 AUD | -10,000 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
18-Jun-21 | 6,000.0 AUD | 40,000 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
23-Jun-21 | 6,200.0 AUD | -40,000 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
1-Jul-21 | 9,270.0 AUD | 56,000 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
5-Jul-21 | 8,250.0 AUD | -50,000 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
6-Jul-21 | 3,400.0 AUD | 20,000 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
6-Jul-21 | 1,050.0 AUD | -6,000 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
9-Jul-21 | 3,400.0 AUD | -20,000 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
13-Jul-21 | 2,325.0 AUD | 15,000 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
16-Jul-21 | 2,395.0 AUD | -15,000 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
23-Jul-21 | 3,300.0 AUD | 20,000 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
4-Aug-21 | 511.50 AUD | 3,100 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
9-Aug-21 | 2,400.0 AUD | 15,000 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
30-Aug-21 | 4,375.0 AUD | 25,000 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
1-Sep-21 | 1,700.0 AUD | 10,000 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
7-Sep-21 | 937.50 AUD | 5,000 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
8-Sep-21 | 1,785.76 AUD | 9,504 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
9-Sep-21 | 360.0 AUD | 2,000 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
13-Sep-21 | 185.0 AUD | 1,000 Common Stock |
2
| Credit Suisse Equities (Australia) Limited |
14-Sep-21 | 7,543.44 AUD | 38,633 Common Stock | |
|---|---|---|---|---|
| Credit Suisse Equities (Australia) Limited |
14-Sep-21 | 4,852.20 AUD | 24,761 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
15-Sep-21 | 390.0 AUD | 2,000 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
16-Sep-21 | 1,010.0 AUD | 5,000 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
17-Sep-21 | 6,304.94 AUD | -32,333 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
17-Sep-21 | 1,520.0 AUD | 8,000 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
20-Sep-21 | 195.0 AUD | 1,000 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
21-Sep-21 | 585.0 AUD | -3,000 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
22-Sep-21 | 4,856.37 AUD | -26,300 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
22-Sep-21 | 3,700.0 AUD | -20,000 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
23-Sep-21 | 1,330.0 AUD | 7,000 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
30-Sep-21 | 1,330.0 AUD | -7,000 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
30-Sep-21 | 2.62 AUD | 13 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
1-Oct-21 | 311.43 AUD | 1,483 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
4-Oct-21 | 263,503.25 AUD | 807,659 Common Stock | |
| Credit Suisse Equities (Australia) Limited |
4-Oct-21 | 715,648.27 AUD | 2,178,906 Common Stock |
6. Associates
The reasons the persons named in paragraph 3 above are associates of the substantial holder are as follows:
| Name andACN/ARSN(ifapplicable) | Nature ofassociation |
| Credit Suisse Equities (Australia) Limited (ACN 068 232 708) |
Related Body Corporate |
7. Addresses
The addresses of persons named in this form are as follows:
| Name | Address |
|---|---|
| Credit Suisse Holdings (Australia) Limited (ACN008496713) |
Level 31, Gateway, 1 Macquarie Place, Sydney NSW 2000, Australia |
| Credit Suisse Equities (Australia) Limited (ACN068232 708) |
Level 31, Gateway, 1 Macquarie Place, Sydney NSW 2000, Australia |
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Credit Suisse Fourth Nominees Pty Limited Level 31, Gateway, 1 Macquarie Place, Sydney NSW 2000, Australia (ACN 069 126 432)
Signature
print name Winston Loke capacity Authorised Signatory sign here date 6-Oct-2021
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