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AUSTRALIAN UNITY OFFICE FUND — Major Shareholding Notification 2020
Feb 4, 2020
64393_rns_2020-02-04_0ca9fd92-54ad-4970-86c8-65b6bfd92057.pdf
Major Shareholding Notification
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Corporations Act 2001
Form 603
Section 671B
Notice of initial substantial holder
To Company Name/Scheme Australian Unity Office Fund ACN/ARSN ACN 606 414 368
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 31-Jan-2020
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) |
| Trust Units | 8,317,485 | 8,317,485 | 5.11% |
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 | 8,117,485 Trust Units |
| Credit Suisse Equities (Australia) Limited (ACN 068 232 708) |
Holder of securities subject to an obligation to return under a securities lendingagreement |
200,000 Trust Units |
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 |
8,317,485 Trust Units |
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 | |||
| See Annexure "A" |
1
6. Associates
The reasons the persons named in paragraph 3 above are associates of the substantial holder are as follows:
| Name and ACN/ARSN(if applicable) | Nature of association |
| 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 (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 |
| CS Third Nominees Pty Limited (ACN 007 053 849) |
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 5-Feb-2020 |
==> picture [72 x 25] intentionally omitted <==
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Annexure "A"
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 |
1-Oct-19 | 38,009.72 AUD | 12,586 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
3-Oct-19 | 28,019.56 AUD | 9,278 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
4-Oct-19 | 64,970.09 AUD | 21,495 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
7-Oct-19 | 67,617.48 AUD | 22,316 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
8-Oct-19 | 63,666.36 AUD | 21,012 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
16-Oct-19 | 8,489.22 AUD | -2,811 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
17-Oct-19 | 21,668.50 AUD | -7,175 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
18-Oct-19 | 85,879.74 AUD | -28,437 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
21-Oct-19 | 105,398.0 AUD | -34,900 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
22-Oct-19 | 152,105.32 AUD | -50,366 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
23-Oct-19 | 145,926.40 AUD | -48,320 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
24-Oct-19 | 194,798.77 AUD | -64,501 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
25-Oct-19 | 535,238.52 AUD | -177,021 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
11-Nov-19 | 3,454.99 AUD | 1,165 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
12-Nov-19 | 4,067,140.0 AUD | 1,400,000 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
14-Nov-19 | 581,000.0 AUD | -200,000 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
15-Nov-19 | 1,482.58 AUD | -506 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
20-Nov-19 | 1,845.20 AUD | -659 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
20-Nov-19 | 2,125,270.45 AUD | -753,785 Trust Units |
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| Credit Suisse Equities (Australia) Limited |
21-Nov-19 | 710,634.53 AUD | -246,215 Trust Units | |
|---|---|---|---|---|
| Credit Suisse Equities (Australia) Limited |
21-Nov-19 | 7,908.98 AUD | 2,723 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
22-Nov-19 | 42,884.06 AUD | 14,700 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
27-Nov-19 | 20,745.55 AUD | 7,172 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
27-Nov-19 | 2,919.20 AUD | -1,000 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
28-Nov-19 | 35,707.09 AUD | -12,400 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
2-Dec-19 | 3,721.71 AUD | -1,300 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
3-Dec-19 | 40.47 AUD | 14 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
4-Dec-19 | 43.20 AUD | 15 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
5-Dec-19 | 40.16 AUD | -14 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
5-Dec-19 | 328.11 AUD | 114 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
6-Dec-19 | 42.95 AUD | -15 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
9-Dec-19 | 328.29 AUD | -114 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
11-Dec-19 | 86.40 AUD | 30 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
12-Dec-19 | 17,191.30 AUD | -5,990 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
12-Dec-19 | 968.57 AUD | 337 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
13-Dec-19 | 86.10 AUD | -30 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
13-Dec-19 | 30,120.65 AUD | -10,495 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
13-Dec-19 | 3,714.27 AUD | 1,291 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
16-Dec-19 | 6,661.27 AUD | -2,321 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
16-Dec-19 | 13,003.10 AUD | 4,515 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
17-Dec-19 | 53,034.73 AUD | -18,479 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
17-Dec-19 | 27,607.68 AUD | 9,586 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
18-Dec-19 | 1,700.04 AUD | -592 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
19-Dec-19 | 2,973.02 AUD | -1,036 Trust Units |
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| Credit Suisse Equities (Australia) Limited |
20-Dec-19 | 7,267.13 AUD | -2,532 Trust Units | |
|---|---|---|---|---|
| Credit Suisse Equities (Australia) Limited |
20-Dec-19 | 6,672.75 AUD | 2,325 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
23-Dec-19 | 15,983.14 AUD | -5,569 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
23-Dec-19 | 12,669.80 AUD | 4,430 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
24-Dec-19 | 5,138.58 AUD | -1,794 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
24-Dec-19 | 21,997,605.77 AUD | 7,664,671 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
27-Dec-19 | 6,469.56 AUD | 2,242 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
27-Dec-19 | 37,448.57 AUD | 12,951 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
27-Dec-19 | 1,317.06 AUD | 456 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
30-Dec-19 | 3,897.03 AUD | 1,353 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
31-Dec-19 | 21,997,605.77 AUD | -7,664,671 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
31-Dec-19 | 21,997,605.77 AUD | 7,664,671 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
31-Dec-19 | 37,473.30 AUD | 13,044 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
2-Jan-20 | 5,441.35 AUD | -1,894 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
2-Jan-20 | 24,513.54 AUD | 8,578 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
3-Jan-20 | 998.07 AUD | -348 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
3-Jan-20 | 2.86 AUD | 1 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
3-Jan-20 | 7,855.19 AUD | 2,737 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
6-Jan-20 | 4,029.90 AUD | -1,414 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
6-Jan-20 | 7,125.54 AUD | 2,493 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
6-Jan-20 | 2,111.85 AUD | 741 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
7-Jan-20 | 2,795.38 AUD | -974 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
7-Jan-20 | 634.92 AUD | -222 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
7-Jan-20 | 25,514.45 AUD | 8,908 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
7-Jan-20 | 8,168.10 AUD | 2,866 Trust Units |
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| Credit Suisse Equities (Australia) Limited |
8-Jan-20 | 3,308.74 AUD | -1,163 Trust Units | |
|---|---|---|---|---|
| Credit Suisse Equities (Australia) Limited |
9-Jan-20 | 526.14 AUD | -185 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
10-Jan-20 | 14,806.16 AUD | -5,187 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
10-Jan-20 | 4,114.84 AUD | -1,442 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
10-Jan-20 | 13,665.60 AUD | 4,745 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
13-Jan-20 | 1,486.88 AUD | -520 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
13-Jan-20 | 406.12 AUD | -142 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
13-Jan-20 | 10,747.91 AUD | 3,719 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
14-Jan-20 | 4,660.71 AUD | -1,624 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
14-Jan-20 | 2,323.56 AUD | 804 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
14-Jan-20 | 46,143.33 AUD | 15,943 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
15-Jan-20 | 24,499.29 AUD | -8,488 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
15-Jan-20 | 110.21 AUD | 38 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
15-Jan-20 | 29,570.48 AUD | 10,177 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
16-Jan-20 | 14,100.66 AUD | -4,888 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
16-Jan-20 | 31,185.21 AUD | 10,785 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
17-Jan-20 | 20,100.01 AUD | -6,930 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
17-Jan-20 | 24,557.76 AUD | -8,462 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
17-Jan-20 | 46,217.35 AUD | 15,941 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
17-Jan-20 | 36,979.48 AUD | 12,752 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
20-Jan-20 | 2,301.93 AUD | -797 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
20-Jan-20 | 2,784,289.55 AUD | -962,490 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
20-Jan-20 | 136.03 AUD | 47 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
20-Jan-20 | 35,831.52 AUD | 12,388 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
21-Jan-20 | 15,117.93 AUD | -5,221 Trust Units |
6
| Credit Suisse Equities (Australia) Limited |
21-Jan-20 | 43,407.23 AUD | 15,050 Trust Units | |
|---|---|---|---|---|
| Credit Suisse Equities (Australia) Limited |
22-Jan-20 | 44,902.85 AUD | -15,547 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
22-Jan-20 | 2,754.84 AUD | -952 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
22-Jan-20 | 50,087.36 AUD | 17,271 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
23-Jan-20 | 15,438.61 AUD | -5,361 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
23-Jan-20 | 9,609.11 AUD | -3,337 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
23-Jan-20 | 40,504.79 AUD | 13,979 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
24-Jan-20 | 106.93 AUD | -37 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
24-Jan-20 | 1,508.43 AUD | -522 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
28-Jan-20 | 12,148.31 AUD | -4,190 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
29-Jan-20 | 21,637.10 AUD | -7,397 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
30-Jan-20 | 8,146.43 AUD | -2,794 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
30-Jan-20 | 6,551.09 AUD | 2,191 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
31-Jan-20 | 1,361.86 AUD | 457 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
31-Jan-20 | 4,536.88 AUD | 1,525 Trust Units | |
| Credit Suisse Equities (Australia) Limited |
31-Jan-20 | Refer to Annexure B of Notice |
Stock borrowed under ASLA |
100,000 Trust Units |
| Credit Suisse Equities (Australia) Limited |
31-Jan-20 | Refer to Annexure B of Notice |
Stock borrowed under ASLA |
100,000 Trust Units |
This is Annexure "A" referred to in the Form 603 "Notice of initial substantial holder"
Signature Credit Suisse Holdings (Australia) Limited (ACN 008 496 713) print name Winston Loke capacity Authorised Signatory sign here date 5-Feb-2020
==> picture [72 x 26] intentionally omitted <==
7
Annexure "B"
This is Annexure "B" referred to in the Form 603 "Notice of initial substantial holder"
| Signature print name sign here |
Credit Suisse Holdings (Australia) Limited (ACN 008 496 713) Winston Loke capacity Authorised Signatory |
|---|---|
| date 5-Feb-2020 |
==> picture [72 x 26] intentionally omitted <==
8
| Prescribed information | |
|---|---|
| Schedule | |
| Type of agreement | Australian Securities Lending Agreement |
| Parties to agreement | Credit Suisse Equities (Australia) Limited and |
| Deutsche Securities Australia Limited | |
| Transfer date | 31-Jan-2020 |
| Holder of voting rights | Borrower |
| Are there any restrictions on voting rights? | Yes |
| If yes, detail | Voting rights to be exercised in accordance |
| with lender’s instructions provided such | |
| instructions are received 7 days prior | |
| Scheduled return date (if any) | N/A |
| Does the borrower have the right to return early? | Yes |
| If yes, detail | Early return is subject to the lender’s |
| acceptance | |
| Does the lender have the right to recall early? | Yes |
| If yes, detail | With 4 business days prior notice or earlier |
| upon agreement | |
| Will the securities be returned on settlement? | Yes |
| If yes, detail any exceptions | If an event of default occurs in respect of either |
| the lender or the borrower, the obligation of the | |
| borrower to deliver the securities to the lender | |
| will be netted off against the obligation of the | |
| lender to return securities or cash held by the | |
| lender as collateral. | |
9
Prescribed information
| Schedule | |
|---|---|
| Type of agreement | Australian Securities Lending Agreement |
| Parties to agreement | Credit Suisse Equities (Australia) Limited and |
| Merrill Lynch Equities (Australia) limited | |
| Transfer date | 31-Jan-2020 |
| Holder of voting rights | Borrower |
| Are there any restrictions on voting rights? | Yes |
| If yes, detail | Voting rights to be exercised in accordance |
| with lender’s instructions provided such | |
| instructions are received 7 days prior. | |
| Scheduled return date (if any) | N/A |
| Does the borrower have the right to return early? | Yes |
| If yes, detail | At will |
| Does the lender have the right to recall early? | Yes |
| If yes, detail | With 4 business days prior notice. |
| Will the securities be returned on settlement? | Yes |
| If yes, detail any exceptions | If an event of default occurs in respect of either |
| the lender or the borrower, the obligation of the | |
| borrower to deliver the securities to the lender | |
| will be netted off against the obligation of the | |
| lender to return securities or cash held by the | |
| lender as collateral. | |
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