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DOTZ NANO LIMITED — Major Shareholding Notification 2012
Apr 10, 2012
64794_rns_2012-04-10_07648401-7e9a-463e-a675-4f216f624cf6.pdf
Major Shareholding Notification
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Form 603
Corporations Law Section 671B
Notice of initial substantial holder
| To: Company Name/Scheme | NORTHERN IRON LIMITED | |
|---|---|---|
| ACN/ARSN | 125 264 575 | |
| 1. Details of substantial holder (1) | ||
| Name: | UBS AG and its related bodies corporate | |
| ACN/ARSN (if applicable) | ||
| The holder became a substantial holder on: | 4 April 2012 |
Details of voting power $2.$
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) |
|---|---|---|---|
| Ordinarv | 18.863.714 | 18.863.714 | 5.10% |
Details of relevant interests $3.$
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 |
||
|---|---|---|---|
| UBS Global Asset Management (Australia) Ltd |
Fund Manager with power to exercise control over voting shares |
14,601,912 | Ordinary |
| UBS Securities Australia Ltd | Beneficial Owner | 761.802 | Ordinary |
| UBS AG, Australia Branch | Prime Broker with power to control the exercise of the power to dispose of shares pursuant to a Prime Broking Agreement (see Appendix A) |
3.500.000 | Ordinary |
4. Details of present registered holders
| Holder of relevant | Registered holder of | Person entitled to be | Class and number of | |
|---|---|---|---|---|
| interest | securities | registered as holder (8) | securities | |
| UBS Global Asset | Various Custodians | UBS Global Asset | 14.601.912 | |
| Management (Australia) Ltd | Management (Australia) Ltd | Ordinary | ||
| UBS Securities Australia Ltd | Brispot Nominees Pty Ltd | UBS Securities Australia Ltd | 761.802 Ordinary |
|
| UBS AG, Australia Branch | UBS Nominees Pty Ltd | UBS AG, Australia Branch | 3,500,000 Ordinary |
The persons registered as holders of the securities referred to in paragraph 3 above are as follows:
5. Consideration
The consideration paid for each relevant interest referred to in paragraph 3 above, and acquired in the four 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 | ||||
| Please see Appendix B. |
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 | |
|---|---|---|
| UBS Global Asset Management (Australia) Ltd | Related body corporate | |
| UBS Securities Australia Ltd | Related body corporate | |
| Brispot Nominees Pty Ltd | Related body corporate | |
| UBS Nominees Pty Ltd | Related body corporate |
7. Addresses
The addresses of persons named in this form are as follows:
| Name | Addresses |
|---|---|
| Details of all UBS offices can be found through the following link: http://apps.ubs.com/locationfinder |
SIGNATURE
| Print Name: | Tiffany Leung | Capacity: | Authorised signatory |
|---|---|---|---|
| Sign Here: | мИ | Date: | 10 April 2012 |
| Print Name: | Trish Lee | Capacity: | Authorised signatory |
| Sign Here: | Date: | 10 April 2012 | |
×.
Contact details for this notice:
.
$\hat{\mathcal{A}}$
Tiffany Leung
Legal & Compliance
(T) +852 2971 8042
(F) +852 2971 7895 ____________
$\overline{\phantom{a}}$
| Holder of relevant Interest | UBS AG, Australia Branch |
|---|---|
| Type of agreement | Prime Brokerage Agreement |
| Parties to agreement | (i) UBS AG, Australia Branch ("UBS AG") (ii) Client (Please refer to Appendix $A-1.$ |
| Transfer date | Please refer to Appendix A-1. |
| Holder of voting rights | UBS AG |
| Are there any restrictions on voting rights? |
Please refer to the details below. |
| If yes, detail | Since all right and title in the securities passes to the transferee (i.e. UBS AG), the transferee has the right to vote. However, in certain circumstances, the transferee may seek to arrange for instructions to be exercised in accordance with the instructions of the transferor (i.e. Client). |
| Scheduled return date (if any) | None, subject to the terms of the relevant Ioan. |
| Does the borrower have the right to return early? |
Yes. |
| If yes, detail | The borrower (i.e. UBS AG) has the right to return at its discretion. |
| Does the lender have the right to recall early? |
Yes. |
| If yes, detail | The lender (i.e. Client) can recall at its request subject to compliance with margin requirements and the terms of the relevant loan. |
| Will the securities be returned on settlement? |
Yes. |
| If yes, detail any exceptions | None. |
Prime Brokerage Agreement - UBS AG, Australia Branch
| and the control of the con- instruction AS ST 3350FP Parties to agreement s Pijai p . . |
mar. $\sim$ $\cdots$ $\cdots$ |
93. NGC 10,000 . $\sim$ $\sim$ $\sim$ |
STARK STOP Transfer date (4) 望 しゃくし $\alpha$ , $\alpha$ , $\alpha$ |
|---|---|---|---|
| TIGA Trading Pty Limited | (i) 5 December 2011 |
||
| (ii) 11 January 2012 |
|||
| (iii) 4 April 2012 |
| NFE - Appendix B | |||||
|---|---|---|---|---|---|
| Date of change |
Person whose relevant interest changed -44 |
Nature of Change | Consideration given in relation to change |
Number of securities |
Class |
| $05 - Dec - 11$ | UBS AG, Australia Branch | Stock received | N/A | 2,200,000 | Ordinary |
| 05-Dec-11 | UBS AG, London Branch | Buy | 997 | 1,389 | Ordinary |
| 06-Dec-11 $12 - Dec - 11$ |
UBS AG, London Branch UBS AG, London Branch |
Buy Buy |
673 49 |
957 | Ordinary |
| 15-Dec-11 | UBS Securities Australia Ltd | Buy | 18,777 | 70 28,450 |
Ordinary Ordinary |
| 15-Dec-11 | UBS AG, London Branch | Sell | 439 | (663) | Ordinary |
| $16 - Dec - 11$ | UBS AG, London Branch | $\overline{\mathsf{Sel}}$ | $\overline{83}$ | (126) | Ordinary |
| 19-Dec-11 20-Dec-11 |
UBS AG, London Branch | Ŝe∥ | 869 | (1, 347) | Ordinary |
| $21 - Dec-11$ | UBS AG, London Branch UBS AG, London Branch |
Sell Sell |
172 3 |
(274) | Ordinary |
| 05-Jan-12 | UBS Securities Australia Ltd | Sell | 14,100 | (5) (20,000) |
Ordinary Ordinary |
| 06-Jan-12 | UBS Securities Australia Ltd | Sell | 14,078 | (20, 100) | Ordinary |
| $11$ -Jan-12 $11 - Jan - 12$ |
UBS Securities Australia Ltd | Sell | 13,274 | (17, 381) | Ordinary |
| $12$ -Jan-12 | UBS AG, Australia Branch UBS Securities Australia Ltd |
Stock received Sell |
N/A | 100,000 | Ordinary |
| $20$ -Jan-12 | UBS AG, London Branch | Buy | 18,012 359 |
(23, 419) 470 |
Ordinary Ordinary |
| $23$ -Jan-12 | UBS AG, London Branch | Buy | 100 | 132 | Ordinary |
| 02-Feb-12 | UBS Global Asset Management Ltd | Buy | 404,424 | 531,542 | Ordinary |
| 06-Feb-12 15-Feb-12 |
UBS Global Asset Management Ltd UBS Securities Australia Ltd |
Sell | 36,159 | (43,061) | Ordinary |
| $16$ -Feb-12 | UBS Securities Australia Ltd | Sell Sell |
34,989 11,211 |
(42, 421) (13, 879) |
Ordinary |
| 22-Feb-12 | UBS Securities Australia Ltd | Buy | 8,200 | 10,000 | Ordinary Ordinary |
| 22-Feb-12 | UBS Securities Australia Ltd | Buy | 1,796 | 2,202 | Ordinary |
| $22$ -Feb-12 | UBS Securities Australia Ltd | Buy | 308,605 | 395,242 | Ordinary |
| 23-Feb-12 23-Feb-12 |
UBS Securities Australia Ltd UBS Securities Australia Ltd |
Sell Buy |
8,150 | (10,000) | Ordinary |
| 28-Feb-12 | UBS Securities Australia Ltd | Sell | 2,089 90,410 |
2,561 (100,000) |
Ordinary Ordinary |
| $07-Mar-12$ | UBS AG, London Branch | Sell | 567 | (603) | Ordinary |
| 08-Mar-12 | UBS AG, London Branch | Sell | 6,561 | (7, 166) | Ordinary |
| $12$ -Mar-12 $13-Mar-12$ |
UBS AG, London Branch | Sell | 1,134 | (1, 185) | Ordinary |
| $13 - \overline{Mar-12}$ | UBS Securities Australia Ltd UBS AG, London Branch |
Sell Sell |
15,206 | (15,800) | Ordinary |
| $14-Mar-12$ | UBS Securities Australia Ltd | Sell | 2,119 10,250 |
(2, 201) (10,000) |
Ordinary Ordinary |
| 15-Mar-12 | UBS Securities Australia Ltd | Buy | 34,479 | 35,000 | Ordinary |
| $15-Mar-12$ | UBS Securities Australia Ltd | Sell | 25,625 | (25,000) | Ordinary |
| 15-Mar-12 $16 - \overline{Mar-12}$ |
UBS AG, London Branch UBS Global Asset Management Ltd |
Buy | 653 | 651 | Ordinary |
| $16$ -Mar-12 | UBS Global Asset Management Ltd | Buy Buy |
195,508 195,508 |
214,844 214,844 |
Ordinary |
| $21$ -Mar-12 | UBS Global Asset Management Ltd | Buy | 155,920 | 172,231 | Ordinary Ordinary |
| $21 - \sqrt{7} - 12$ | UBS AG, London Branch | Stock received | N/A | 850,318 | Ordinary |
| 22-Mar-12 | JUBS Securities Australia Ltd | lBuy | 18,100 | 20,000 | Ordinary |
| 22-Mar-12 $22 - \text{Mar} - 12$ |
UBS Securities Australia Ltd UBS AG, London Branch |
Sell | 125,870 | (139,995) | Ordinary |
| $23-Mar-12$ | UBS AG, London Branch | Stock returned Stock returned |
N/A N/A |
(18, 732) (55, 618) |
Ordinary Ordinary |
| $26 - \frac{1}{2}$ | UBS Securities Australia Ltd | Buy | 522,603 | 604,165 | Ordinary |
| $26$ -Mar-12 | UBS Securities Australia Ltd | Buy | 22,504 | 26.034 | Ordinary |
| 26-Mar-12 | UBS AG, London Branch | Stock returned | N/A | (30,000) | Ordinary |
| 27-Mar-12 27-Mar-12 |
UBS Securities Australia Ltd UBS Securities Australia Ltd |
Buy Sell |
41,029 10,293 |
45,466 | Ordinary |
| $27 - \frac{1}{2}$ | UBS Securities Australia Ltd | Buy | 125,870 | (11,500) 139,995 |
Ordinary Ordinary |
| 27-Mar-12 | UBS Securities Australia Ltd | Sell | 125,744 | (139,995) | Ordinary |
| 27-Mar-12 | UBS Securities Australia Ltd | Buy | 125,870 | 139,995 | Ordinary |
| $27 - \text{Mar}-12$ 28-Mar-12 |
UBS AG, London Branch | Stock returned | N/A | (4, 711) | Ordinary |
| 28-Mar-12 | UBS Securities Australia Ltd UBS Securities Australia Ltd |
Sell Buy |
125,744 125,744 |
(139,995) 139,995 |
Ordinary Ordinary |
| 28-Mar-12 | UBS Securities Australia Ltd | Sell | 125,870 | (139,995) | Ordinary |
| $28 - \text{Mar-12}$ | UBS Securities Australia Ltd | Buy | 4,162 | 4.574 | Ordinary |
| 28-Mar-12 | UBS Securities Australia Ltd | Buv | 20,105 | 21,963 | Ordinary |
| $28 - \text{Mar}-12$ $29$ -Mar-12 |
UBS AG, London Branch UBS Securities Australia Ltd |
Stock returned | N/A 12,511 |
(61, 699) | Ordinary |
| 29-Mar-12 | UBS Securities Australia Ltd | Buy Buy |
42,830 | 13,279 45,608 |
Ordinary Ordinary |
| 29-Mar-12 | UBS AG, London Branch | Stock returned | N/A | (45, 812) | Ordinary |
| $30$ -Mar-12 | UBS Securities Australia Ltd | Buy | 18,312 | 19,000 | Ordinary |
| $30$ -Mar-12 | UBS AG, London Branch | Stock returned | N/A | (11, 843) | Ordinary |
| 02-Apr-12 02-Apr-12 |
UBS Securities Australia Ltd UBS Global Asset Management Ltd |
Buy Buy |
13,510 2,895,891 |
14,000 3,016,553 |
Ordinary Ordinary |
| 02-Apr-12 | UBS AG, London Branch | Stock returned | N/A | (621, 903) | Ordinary |
| 03-Apr-12 | UBS Securities Australia Ltd | Sell | 10,296 | (10, 243) | Ordinary |
| 03-Apr-12 | UBS Securities Australia Ltd | Buy | 26,000 | 26,000 | Ordinary |
| 03-Apr-12 03-Apr-12 |
UBS Securities Australia Ltd UBS Securities Australia Ltd |
Sell | 1,121 | (1, 104) | Ordinary |
| $04 - Apr - 12$ | UBS Securities Australia Ltd | Buy Buy |
29,958 19,700 |
29,800 20,000 |
Ordinary Ordinary |
| 04-Apr-12 | UBS Securities Australia Ltd | Buy | 50,303 | 51,800 | Ordinary |
| 04-Apr-12 | UBS AG, Australia Branch | Stock received | N/A | 1,200,000 | Ordinary |