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Berkeley Energia Limited — Major Shareholding Notification 2012
Feb 15, 2012
14839_rns_2012-02-15_d1f51bc0-1443-4284-81a7-fefb49f54388.pdf
Major Shareholding Notification
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Form 604
Corporations Law Section 671B
Notice of change of interests of substantial holder
| To Company Name/Scheme | _____Berkeley Resource Limited | _____Berkeley Resource Limited | _____ |
|---|---|---|---|
| ACN/ARSN | __________ | ||
| 1. Details of substantial holder (1) | |||
| Name | JPMorgan Chase & Co. and its affiliates | ||
| ACN (if applicable) | N/A_ | ||
| There was a change in the interests of the | |||
| substantial holder on | 09 / Feb/2012 | ||
| The previous notice was given to the company on | 14/ Mar /2011 |
||
| The previous notice was dated | 14/ Mar / 2011 |
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 to the company or scheme, are as follows:
| Class of securities (4) Ordinary |
Previous notice | Present notice | ||
|---|---|---|---|---|
| Person’s votes | Voting power(5) | Person’s votes | Voting power(5) | |
| 10,595,292 | 6.08% | 8,706,767 | 5.00% | |
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:
| 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 |
|---|---|---|---|---|---|
| See Appendix | J.P. Morgan Investment Management Inc. |
In its capacity as investment manager or in various other related capacities |
See Appendix | 26,432 Ordinary Share |
26,432 |
| See Appendix | JPMorgan Asset Management (UK) Limited |
In its capacity as investment manager or in various other related capacities |
See Appendix | 1,1881,918 Ordinary Shares |
1,881,918 |
| See Appendix | JPMorgan Chase Bank, National Association |
In its capacity as investment manager or in various other related capacities |
See Appendix | 19,825 Ordinary Shares |
19,825 |
Berkerley Resources Limited-Form 604 (Change in Interest) 20120209.doc Page 1 of 3
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 |
|---|---|---|---|---|---|
| 09 Feb 2012 | J.P. Morgan Investment Management Inc. |
In its capacity as investment manager or in various other related capacities |
163,568 Ordinary Shares |
163,568 | |
| 09 Feb 2012 | JPMorgan Asset Management (UK) Limited |
In its capacity as investment manager or in various other related capacities |
8,523,374 Ordinary Shares |
8,523,374 | |
| 09 Feb 2012 | JPMorgan Chase Bank, National Association |
In its capacity as investment manager or in various other related capacities |
19,825 Ordinary Shares |
19,825 |
5. Changes in association
The persons who have become associates (2) of, 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(if applicable) | Nature of association |
|---|---|
| N/A | |
6. Addresses
The addresses of persons named in this form are as follows:
| Name | Address |
|---|---|
| JPMorgan Chase & Co. | 111 Polaris Parkway,Columbus,Ohio 43240 |
Signature
print name Caroline Phong capacity Executive Director JPMorgan Chase Bank, N.A. sign here date 16 / Feb / 2012 __________________
Berkerley Resources Limited-Form 604 (Change in Interest) 20120209.doc Page 2 of 3
DIRECTIONS
(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 6 of the form.
-
(2) See the definition of “associate” in section 9 of the Corporations Law.
-
(3) See the definition of “relevant interest” in sections 608 and 671B(7) of the Corporations Law.
(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 or 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 Law.
(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 (eg. if the relevant interest arises because of an option) write “unknown”.
- (9) Given details, if appropriate, of the present association and any change in that association since the last substantial holding notice.
Berkerley Resources Limited-Form 604 (Change in Interest) 20120209.doc Page 3 of 3
| Berkeley Resources Limited (ISIN AU000000BKY0) | Berkeley Resources Limited (ISIN AU000000BKY0) | Berkeley Resources Limited (ISIN AU000000BKY0) | ||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Transaction date Entity Type of transaction Ccy Price Quantity |
Total Positions Issued share capital % Owned JPMAM(UK) JPMIMI JPMCB Total Investment Management |
|||||||||||
| Balance as at 10 Mar 2011 | 10,595,292 174,298,148 6.08% 10,405,292 190,000 - 10,595,292 |
|||||||||||
| 28-Apr-11 | JPMCB | Purchase | AUD | 0.91 | 20,000 | 10,615,292 | 174,298,173 | 6.09% | - | - | 20,000 | - |
| 21-Jul-11 | JPMCB | Purchase | AUD | 0.39 | 2,700 | 10,617,992 | 174,298,173 | 6.09% | - | - | 2,700 | - |
| 11-Aug-11 | JPMAM(UK) | Sell | AUD | 0.38 | (29,600) | 10,588,392 | 174,298,173 | 6.07% | (29,600) | - | - | (29,600) |
| 11-Aug-11 | JPMAM(UK) | Sell | GBP | 0.23 | (11,040) | 10,577,352 | 174,298,173 | 6.07% | (11,040) | - | - | (11,040) |
| 11-Aug-11 | JPMAM(UK) | Sell | GBP | 0.23 | (25,760) | 10,551,592 | 174,298,173 | 6.05% | (25,760) | - | - | (25,760) |
| 07-Sep-11 | JPMAM(UK) | Sell | GBP | 0.23 | (17,300) | 10,534,292 | 174,298,173 | 6.04% | (17,300) | - | - | (17,300) |
| 08-Sep-11 | JPMAM(UK) | Sell | AUD | 0.36 | (13,900) | 10,520,392 | 174,298,173 | 6.04% | (13,900) | - | - | (13,900) |
| 15-Sep-11 | JPMAM(UK) | Sell | GBP | 0.20 | (13,900) | 10,506,492 | 174,298,173 | 6.03% | (13,900) | - | - | (13,900) |
| 16-Sep-11 | JPMAM(UK) | Sell | AUD | 0.33 | (11,100) | 10,495,392 | 174,298,173 | 6.02% | (11,100) | - | - | (11,100) |
| 26-Sep-11 | JPMAM(UK) | Sell | GBP | 0.19 | (50,000) | 10,445,392 | 174,298,173 | 5.99% | (50,000) | - | - | (50,000) |
| 27-Sep-11 | JPMAM(UK) | Sell | AUD | 0.32 | (156,000) | 10,289,392 | 174,298,173 | 5.90% | (156,000) | - | - | (156,000) |
| 27-Sep-11 | JPMAM(UK) | Sell | GBP | 0.20 | (195,000) | 10,094,392 | 174,298,173 | 5.79% | (195,000) | - | - | (195,000) |
| 05-Oct-11 | JPMAM(UK) | Sell | AUD | 0.34 | (4,581) | 10,089,811 | 174,298,173 | 5.79% | (4,581) | - | - | (4,581) |
| 05-Oct-11 | JPMAM(UK) | Sell | GBP | 0.21 | (15,200) | 10,074,611 | 174,298,173 | 5.78% | (15,200) | - | - | (15,200) |
| 06-Oct-11 | JPMAM(UK) | Sell | AUD | 0.34 | (18,600) | 10,056,011 | 174,298,173 | 5.77% | (18,600) | - | - | (18,600) |
| 06-Oct-11 | JPMAM(UK) | Sell | AUD | 0.34 | (7,919) | 10,048,092 | 174,298,173 | 5.76% | (7,919) | - | - | (7,919) |
| 06-Oct-11 | JPMAM(UK) | Sell | GBP | 0.21 | (22,500) | 10,025,592 | 174,298,173 | 5.75% | (22,500) | - | - | (22,500) |
| 23-Nov-11 | JPMAM(UK) | Sell | AUD | 0.36 | (11,900) | 10,013,692 | 174,298,173 | 5.75% | (11,900) | - | - | (11,900) |
| 23-Nov-11 | JPMAM(UK) | Sell | GBP | 0.23 | (14,400) | 9,999,292 | 174,298,173 | 5.74% | (14,400) | - | - | (14,400) |
| 25-Nov-11 | JPMAM(UK) | Sell | AUD | 0.36 | (12,100) | 9,987,192 | 174,298,173 | 5.73% | (12,100) | - | - | (12,100) |
| 25-Nov-11 | JPMAM(UK) | Sell | GBP | 0.24 | (30,100) | 9,957,092 | 174,298,173 | 5.71% | (30,100) | - | - | (30,100) |
| 25-Nov-11 | JPMAM(UK) | Sell | GBP | 0.24 | (14,700) | 9,942,392 | 174,298,173 | 5.70% | (14,700) | - | - | (14,700) |
| 28-Nov-11 | JPMAM(UK) | Sell | AUD | 0.37 | (24,800) | 9,917,592 | 174,298,173 | 5.69% | (24,800) | - | - | (24,800) |
| 06-Dec-11 | JPMAM(UK) | Sell | GBP | 0.25 | (17,800) | 9,899,792 | 174,298,173 | 5.68% | (17,800) | - | - | (17,800) |
| 07-Dec-11 | JPMAM(UK) | Sell | AUD | 0.40 | (14,700) | 9,885,092 | 174,298,173 | 5.67% | (14,700) | - | - | (14,700) |
| 02-Feb-12 | JPMAM(UK) | Sell | AUD | 0.35 | (134,911) | 9,750,181 | 174,298,173 | 5.59% | (134,911) | - | - | (134,911) |
| 02-Feb-12 | JPMAM(UK) | Sell | AUD | 0.35 | (120,710) | 9,629,471 | 174,298,173 | 5.52% | (120,710) | - | - | (120,710) |
| 02-Feb-12 | JPMIMI | Sell | AUD | 0.35 | (6,746) | 9,622,725 | 174,298,173 | 5.52% | - | (6,746) | - | (6,746) |
| 02-Feb-12 | JPMCB | Sell | AUD | 0.35 | (710) | 9,622,015 | 174,298,173 | 5.52% | - | - | (710) | - |
| 02-Feb-12 | JPMAM(UK) | Sell | AUD | 0.35 | (710) | 9,621,305 | 174,298,173 | 5.52% | (710) | - | - | (710) |
| 02-Feb-12 | JPMAM(UK) | Sell | AUD | 0.35 | (710) | 9,620,595 | 174,298,173 | 5.52% | (710) | - | - | (710) |
| 02-Feb-12 | JPMAM(UK) | Sell | AUD | 0.35 | (35,503) | 9,585,092 | 174,298,173 | 5.50% | (35,503) | - | - | (35,503) |
| 03-Feb-12 | JPMAM(UK) | Sell | AUD | 0.35 | (46,422) | 9,538,670 | 174,298,173 | 5.47% | (46,422) | - | - | (46,422) |
| 03-Feb-12 | JPMAM(UK) | Sell | AUD | 0.35 | (41,536) | 9,497,134 | 174,298,173 | 5.45% | (41,536) | - | - | (41,536) |
| 03-Feb-12 | JPMIMI | Sell | AUD | 0.35 | (2,321) | 9,494,813 | 174,298,173 | 5.45% | - | (2,321) | - | (2,321) |
| 03-Feb-12 | JPMCB | Sell | AUD | 0.35 | (245) | 9,494,568 | 174,298,173 | 5.45% | - | - | (245) | - |
| 03-Feb-12 | JPMAM(UK) | Sell | AUD | 0.35 | (244) | 9,494,324 | 174,298,173 | 5.45% | (244) | - | - | (244) |
| 03-Feb-12 | JPMAM(UK) | Sell | AUD | 0.35 | (244) | 9,494,080 | 174,298,173 | 5.45% | (244) | - | - | (244) |
| 03-Feb-12 | JPMAM(UK) | Sell | AUD | 0.35 | (12,216) | 9,481,864 | 174,298,173 | 5.44% | (12,216) | - | - | (12,216) |
| 06-Feb-12 | JPMAM(UK) | Sell | AUD | 0.34 | (134,912) | 9,346,952 | 174,298,173 | 5.36% | (134,912) | - | - | (134,912) |
| 06-Feb-12 | JPMAM(UK) | Sell | AUD | 0.34 | (120,710) | 9,226,242 | 174,298,173 | 5.29% | (120,710) | - | - | (120,710) |
| 06-Feb-12 | JPMIMI | Sell | AUD | 0.34 | (6,745) | 9,219,497 | 174,298,173 | 5.29% | - | (6,745) | - | (6,745) |
| 06-Feb-12 | JPMCB | Sell | AUD | 0.34 | (710) | 9,218,787 | 174,298,173 | 5.29% | - | - | (710) | - |
| 06-Feb-12 | JPMAM(UK) | Sell | AUD | 0.34 | (710) | 9,218,077 | 174,298,173 | 5.29% | (710) | - | - | (710) |
| 06-Feb-12 | JPMAM(UK) | Sell | AUD | 0.34 | (710) | 9,217,367 | 174,298,173 | 5.29% | (710) | - | - | (710) |
| 06-Feb-12 | JPMAM(UK) | Sell | AUD | 0.34 | (35,503) | 9,181,864 | 174,298,173 | 5.27% | (35,503) | - | - | (35,503) |
| 07-Feb-12 | JPMAM(UK) | Sell | AUD | 0.35 | (63,755) | 9,118,109 | 174,298,173 | 5.23% | (63,755) | - | - | (63,755) |
| 07-Feb-12 | JPMAM(UK) | Sell | AUD | 0.35 | (57,044) | 9,061,065 | 174,298,173 | 5.20% | (57,044) | - | - | (57,044) |
| 07-Feb-12 | JPMIMI | Sell | AUD | 0.35 | (3,188) | 9,057,877 | 174,298,173 | 5.20% | - | (3,188) | - | (3,188) |
| 07-Feb-12 | JPMCB | Sell | AUD | 0.35 | (335) | 9,057,542 | 174,298,173 | 5.20% | - | - | (335) | - |
| 07-Feb-12 | JPMAM(UK) | Sell | AUD | 0.35 | (336) | 9,057,206 | 174,298,173 | 5.20% | (336) | - | - | (336) |
| 07-Feb-12 | JPMAM(UK) | Sell | AUD | 0.35 | (336) | 9,056,870 | 174,298,173 | 5.20% | (336) | - | - | (336) |
| 07-Feb-12 | JPMAM(UK) | Sell | AUD | 0.35 | (16,778) | 9,040,092 | 174,298,173 | 5.19% | (16,778) | - | - | (16,778) |
| 08-Feb-12 | JPMAM(UK) | Sell | AUD | 0.35 | (59,458) | 8,980,634 | 174,298,173 | 5.15% | (59,458) | - | - | (59,458) |
| 08-Feb-12 | JPMAM(UK) | Sell | AUD | 0.35 | (52,463) | 8,928,171 | 174,298,173 | 5.12% | (52,463) | - | - | (52,463) |
| 08-Feb-12 | JPMIMI | Sell | AUD | 0.35 | (2,973) | 8,925,198 | 174,298,173 | 5.12% | - | (2,973) | - | (2,973) |
| 08-Feb-12 | JPMCB | Sell | AUD | 0.35 | (350) | 8,924,848 | 174,298,173 | 5.12% | - | - | (350) | - |
| 08-Feb-12 | JPMAM(UK) | Sell | AUD | 0.35 | (332) | 8,924,516 | 174,298,173 | 5.12% | (332) | - | - | (332) |
| 08-Feb-12 | JPMAM(UK) | Sell | AUD | 0.35 | (262) | 8,924,254 | 174,298,173 | 5.12% | (262) | - | - | (262) |
| 08-Feb-12 | JPMAM(UK) | Sell | AUD | 0.35 | (17,487) | 8,906,767 | 174,298,173 | 5.11% | (17,487) | - | - | (17,487) |
| 09-Feb-12 | JPMAM(UK) | Sell | AUD | 0.35 | (89,192) | 8,817,575 | 174,298,173 | 5.06% | (89,192) | - | - | (89,192) |
| 09-Feb-12 | JPMAM(UK) | Sell | AUD | 0.35 | (78,699) | 8,738,876 | 174,298,173 | 5.01% | (78,699) | - | - | (78,699) |
| 09-Feb-12 | JPMIMI | Sell | AUD | 0.35 | (4,459) | 8,734,417 | 174,298,173 | 5.01% | - | (4,459) | - | (4,459) |
| 09-Feb-12 | JPMCB | Sell | AUD | 0.35 | (525) | 8,733,892 | 174,298,173 | 5.01% | - | - | (525) | - |
| 09-Feb-12 | JPMAM(UK) | Sell | AUD | 0.35 | (498) | 8,733,394 | 174,298,173 | 5.01% | (498) | - | - | (498) |
| 09-Feb-12 | JPMAM(UK) | Sell | AUD | 0.35 | (394) | 8,733,000 | 174,298,173 | 5.01% | (394) | - | - | (394) |
| 09-Feb-12 | JPMAM(UK) | Sell | AUD | 0.35 | (26,233) | 8,706,767 | 174,298,173 | 5.00% | (26,233) | - | - | (26,233) |
| Balance as at 9 Feb 2012 | 8,706,767 174,298,173 5.00% 8,523,374 163,568 19,825 8,706,767 |
|||||||||||
| "JPMAM(UK)" = JPMorgan Asset Management(UK)Limited | ||||||||||||
| "JPMIMI" = J.P. Morgan Investment Management Inc | ||||||||||||
| "JPMCB"=JPMorgan Chase Bank, NA |
Berkeley Resources Limited 20110209 - Appendix.xls