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HUB24 LIMITED Major Shareholding Notification 2018

Sep 11, 2018

65077_rns_2018-09-11_379f5a8b-3ea8-4790-bd88-c6ebb728f4c5.pdf

Major Shareholding Notification

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604 Page 1 of 3 15 July 2001

Form 604

Corporations Act 2001

Section 671B

Notice of change of interests of substantial holder

To Company Name/Scheme HUB24 LTD

ACN/ARSN 124 891 685

1. Details of substantial holder (1)

PINNACLE INVESETMENT MANAGEMENT GROUP LIMITED (AND ITS SUBSIDIARIES Name LISTED IN ANNEXURE A)

ACN/ARSN (if applicable) 

100 325 184

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

substantial holder on 07/09/2018 The previous notice was given to the company on 08/08/2018 The previous notice was dated 03/08/2018

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) Previous notice Present notice
Person’s votes Voting power(5) Person’s votes Voting power(5)
ORDINARY FULLY PAID 3,693,858 6.00% 4,394,942 7.09%
REFER TO
ANNEXURE A
PART 1 AND
PART 2

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
REFER TO
ANNEXURE
B

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
REFER TO
ANNEXURE
C

604 Page 2 of 3 15 July 2001

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/ARSN (if applicable) Nature of association 

NO CHANGES - REFER TO
ANNEXURE D FOR PRESENT
ASSOCIATIONS

6. Addresses

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

Name Address
REFER TO ANNEXURE E

Signature

print name CALVIN KWOK capacity COMPANY SECRETARY sign here date 12/09/2018

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 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 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 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.

HUB24 LTD

HUB24 LTD HUB24 LTD HUB24 LTD HUB24 LTD HUB24 LTD
Annexure A - Part 1
Holder of relevant interest Nature of relevant interest Number of
securities		 Class of securities
Pinnacle Investment Management Group Limited
Pinnacle Investment Management Limited
Ariano Pty Limited (ACN 605 250 799)
Next Financial Limited (ACN 081 722 894)
Next Financial Nominees Pty Ltd (ACN 093 252 576)
Next Financial Nominees No. 2 Pty Ltd (ACN 132 819 115)
Investment Solutions Client Services Pty Ltd (ACN 117 898 334)
Priority Funds Management Pty Ltd (ACN 120 826 575)
Priority Investment Management Pty Ltd (ACN 116 943 456
PNI Option Plan Managers Pty Ltd (ACN 125 030 766)
Pinnacle RE Services Limited (ACN 130 508 379)
Pinnacle Services Administration Pty Ltd (ACN 126 175 148)
Pinnacle Investment Management (UK) Limited (Company Number 11026111)
POSH Nominees Pty Limited (ACN 620 094 251)		 Relevant interest by virtue of section 608(3)
of the Corporations Act as it or its associates holds directly or
indirectly above 20% voting power in one or more affiliated
investment managers (see Annexure A – Part 2) and Pinnacle
Fund Services Limited, who each in turn hold relevant interests
in the securities the subject of this notice.		 4,394,942 ORDINARY FULLY
PAID
Pinnacle Fund Services Limited (ACN 082 494 362) Relevant interest held through the power to control voting
and/or disposal of securities in its capacity as responsible
entity or trustee of registered or unregistered schemes and/or
relevant interest by virtue of section 608(3)
of the Corporations Act as it or its associates holds directly or
indirectly above 20% voting power in one or more affiliated
investment managers (see Annexure A – Part 2) who each in
turn hold relevant interests in the securities the subject of this
notice.		 4,394,942 ORDINARY FULLY
PAID

This is Annexure "A - Part 1" s as mentioned in form 604 Notice of change of interests of substantial holder

==> picture [106 x 32] intentionally omitted <==

Calvin Kwok Company Secretary Date: 12/09/2018

HUB24 LTD Annexure A - Part 2 Affiliated Investment Managers Antipodes Partners Limited (ACN 602 042 035) Hyperion Asset Management Limited (ACN 080 135 897) Firetrail Investments Pty Ltd (ACN 622 377 913) Palisade Investment Partners Limited (ACN 124 326 361) Plato Investment Management Limited (ACN 120 730 136) Resolution Capital Limited (ACN 108 584 167) Solaris Investment Management Limited (ACN 128 512 621) Spheria Asset Management Pty Ltd (ACN 611 081 326) Two Trees Investment Management Pty Limited (ACN 616 424 170)

This is Annexure "A - Part 2" as mentioned in form 604 Notice of change of interests of substantial holder

==> picture [137 x 40] intentionally omitted <==

Calvin Kwok Company Secretary Date: 12/09/2018

HUB24 LTD

HUB24 LTD HUB24 LTD
Annexure B
Date of
change		 Person whose relevant
interest changed		 Nature of
change		 Consideration Class of Securities Number of
securities		 Person's votes
affected
Cash Non-cash
7/08/2018 Pinnacle Investment
Management Group
Limited (and its
subsidiaries listed in
Annexure A)		 Purchase 87,775.67
$		 ORDINARY FULLY
PAID		 8,597 8,597
7/08/2018 As above Purchase 592.19
$		 ORDINARY FULLY
PAID		 58 58
7/08/2018 As above Purchase 488,264.31
$		 ORDINARY FULLY
PAID		 47,822 47,822
7/08/2018 As above Purchase 634,492.43
$		 ORDINARY FULLY
PAID		 62,144 62,144
7/08/2018 As above Purchase 52,285.59
$		 ORDINARY FULLY
PAID		 5,121 5,121
7/08/2018 As above Purchase 125,624.28
$		 ORDINARY FULLY
PAID		 12,304 12,304
7/08/2018 As above Purchase 180,778.88
$		 ORDINARY FULLY
PAID		 17,706 17,706
16/08/2018 As above Purchase 3,455.65
$		 ORDINARY FULLY
PAID		 289 289
16/08/2018 As above Purchase 59.79
$		 ORDINARY FULLY
PAID		 5 5
16/08/2018 As above Purchase 47,673.67
$		 ORDINARY FULLY
PAID		 3,987 3,987
16/08/2018 As above Purchase 41,623.30
$		 ORDINARY FULLY
PAID		 3,481 3,481
16/08/2018 As above Purchase 1,721.85
$		 ORDINARY FULLY
PAID		 144 144
16/08/2018 As above Purchase 10,378.93
$		 ORDINARY FULLY
PAID		 868 868
16/08/2018 As above Purchase 10,438.71
$		 ORDINARY FULLY
PAID		 873 873
17/08/2018 As above Purchase 5,945.64
$		 ORDINARY FULLY
PAID		 493 493
17/08/2018 As above Purchase 96.48
$		 ORDINARY FULLY
PAID		 8 8
17/08/2018 As above Purchase 81,936.37
$		 ORDINARY FULLY
PAID		 6,794 6,794
17/08/2018 As above Purchase 71,528.49
$		 ORDINARY FULLY
PAID		 5,931 5,931
17/08/2018 As above Purchase 2,966.78
$		 ORDINARY FULLY
PAID		 246 246
17/08/2018 As above Purchase 17,848.96
$		 ORDINARY FULLY
PAID		 1,480 1,480
17/08/2018 As above Purchase 17,957.50
$		 ORDINARY FULLY
PAID		 1,489 1,489
20/08/2018 As above Purchase 29,642.83
$		 ORDINARY FULLY
PAID		 2,313 2,313
20/08/2018 As above Purchase 422.92
$		 ORDINARY FULLY
PAID		 33 33
20/08/2018 As above Sale 736,072.54
-$		 ORDINARY FULLY
PAID		 57,435
-		 57,435
-
20/08/2018 As above Purchase 242,589.31
$		 ORDINARY FULLY
PAID		 18,929 18,929
20/08/2018 As above Purchase 314,844.51
$		 ORDINARY FULLY
PAID		 24,567 24,567
20/08/2018 As above Purchase 17,262.81
$		 ORDINARY FULLY
PAID		 1,347 1,347
20/08/2018 As above Purchase 78,163.25
$		 ORDINARY FULLY
PAID		 6,099 6,099
20/08/2018 As above Purchase 53,146.91
$		 ORDINARY FULLY
PAID		 4,147 4,147
21/08/2018 As above Purchase 26,974.57
$		 ORDINARY FULLY
PAID		 2,014 2,014
21/08/2018 As above Purchase 375.02
$		 ORDINARY FULLY
PAID		 28 28
21/08/2018 As above Purchase 220,712.00
$		 ORDINARY FULLY
PAID		 16,479 16,479
21/08/2018 As above Purchase 286,447.45
$		 ORDINARY FULLY
PAID		 21,387 21,387
21/08/2018 As above Purchase 15,710.61
$		 ORDINARY FULLY
PAID		 1,173 1,173
21/08/2018 As above Purchase 71,106.26
$		 ORDINARY FULLY
PAID		 5,309 5,309
21/08/2018 As above Purchase 48,350.65
$		 ORDINARY FULLY
PAID		 3,610 3,610
24/08/2018 As above Purchase 143,413.92
$		 ORDINARY FULLY
PAID		 10,611 10,611
24/08/2018 As above Purchase 149,306.71
$		 ORDINARY FULLY
PAID		 11,047 11,047
27/08/2018 As above Purchase 69,040.05
$		 ORDINARY FULLY
PAID		 5,106 5,106
27/08/2018 As above Purchase 71,866.01
$		 ORDINARY FULLY
PAID		 5,315 5,315
28/08/2018 As above Purchase 267,524.21
$		 ORDINARY FULLY
PAID		 19,655 19,655
29/08/2018 As above Purchase 247,511.37
$		 ORDINARY FULLY
PAID		 18,078 18,078
30/08/2018 As above Purchase 2,596.10
$		 ORDINARY FULLY
PAID		 192 192
30/08/2018 As above Purchase 64,037.27
$		 ORDINARY FULLY
PAID		 4,736 4,736
30/08/2018 As above Purchase 621.98
$		 ORDINARY FULLY
PAID		 46 46
30/08/2018 As above Purchase 524,318.65
$		 ORDINARY FULLY
PAID		 38,777 38,777
30/08/2018 As above Purchase 580,040.26
$		 ORDINARY FULLY
PAID		 42,898 42,898
30/08/2018 As above Purchase 38,792.85
$		 ORDINARY FULLY
PAID		 2,869 2,869
30/08/2018 As above Purchase 130,981.63
$		 ORDINARY FULLY
PAID		 9,687 9,687
30/08/2018 As above Purchase 145,814.59
$		 ORDINARY FULLY
PAID		 10,784 10,784
30/08/2018 As above Purchase 216.35
$		 ORDINARY FULLY
PAID		 16 16
4/09/2018 As above Purchase 479.01
$		 ORDINARY FULLY
PAID		 36 36
4/09/2018 As above Purchase 11,722.62
$		 ORDINARY FULLY
PAID		 881 881
4/09/2018 As above Purchase 119.75
$		 ORDINARY FULLY
PAID		 9 9
4/09/2018 As above Purchase 95,923.26
$		 ORDINARY FULLY
PAID		 7,209 7,209
4/09/2018 As above Purchase 106,115.69
$		 ORDINARY FULLY
PAID		 7,975 7,975
4/09/2018 As above Purchase 7,092.12
$		 ORDINARY FULLY
PAID		 533 533
4/09/2018 As above Purchase 23,964.19
$		 ORDINARY FULLY
PAID		 1,801 1,801
4/09/2018 As above Purchase 26,678.61
$		 ORDINARY FULLY
PAID		 2,005 2,005
4/09/2018 As above Purchase 39.92
$		 ORDINARY FULLY
PAID		 3 3
5/09/2018 As above Purchase 493.67
$		 ORDINARY FULLY
PAID		 37 37
5/09/2018 As above Purchase 3,471.52
$		 ORDINARY FULLY
PAID		 259 259
5/09/2018 As above Purchase 12,048.22
$		 ORDINARY FULLY
PAID		 903 903
5/09/2018 As above Purchase 85,889.94
$		 ORDINARY FULLY
PAID		 6,408 6,408
5/09/2018 As above Purchase 120.08
$		 ORDINARY FULLY
PAID		 9 9
5/09/2018 As above Purchase 831.02
$		 ORDINARY FULLY
PAID		 62 62
5/09/2018 As above Purchase 98,654.05
$		 ORDINARY FULLY
PAID		 7,394 7,394
5/09/2018 As above Purchase 676,383.28
$		 ORDINARY FULLY
PAID		 50,463 50,463
5/09/2018 As above Purchase 109,127.87
$		 ORDINARY FULLY
PAID		 8,179 8,179
5/09/2018 As above Purchase 737,717.92
$		 ORDINARY FULLY
PAID		 55,039 55,039
5/09/2018 As above Purchase 7,298.33
$		 ORDINARY FULLY
PAID		 547 547
5/09/2018 As above Purchase 105,646.77
$		 ORDINARY FULLY
PAID		 7,882 7,882
5/09/2018 As above Purchase 24,643.50
$		 ORDINARY FULLY
PAID		 1,847 1,847
5/09/2018 As above Purchase 175,666.91
$		 ORDINARY FULLY
PAID		 13,106 13,106
5/09/2018 As above Purchase 27,432.06
$		 ORDINARY FULLY
PAID		 2,056 2,056
5/09/2018 As above Purchase 208,974.73
$		 ORDINARY FULLY
PAID		 15,591 15,591
5/09/2018 As above Purchase 40.03
$		 ORDINARY FULLY
PAID		 3 3
5/09/2018 As above Purchase 294.88
$		 ORDINARY FULLY
PAID		 22 22
6/09/2018 As above Purchase 475,827.10
$		 ORDINARY FULLY
PAID		 38,168 38,168
7/09/2018 As above Purchase 1,356.04
$		 ORDINARY FULLY
PAID		 110 110
7/09/2018 As above Purchase 33,445.09
$		 ORDINARY FULLY
PAID		 2,713 2,713
7/09/2018 As above Purchase 320.52
$		 ORDINARY FULLY
PAID		 26 26
7/09/2018 As above Purchase 273,761.58
$		 ORDINARY FULLY
PAID		 22,207 22,207
7/09/2018 As above Purchase 302,867.31
$		 ORDINARY FULLY
PAID		 24,568 24,568
7/09/2018 As above Purchase 20,254.44
$		 ORDINARY FULLY
PAID		 1,643 1,643
7/09/2018 As above Purchase 68,394.16
$		 ORDINARY FULLY
PAID		 5,548 5,548
7/09/2018 As above Purchase 76,135.97
$		 ORDINARY FULLY
PAID		 6,176 6,176
7/09/2018 As above Purchase 110.95
$		 ORDINARY FULLY
PAID		 9 9

This is Annexure "B" as mentioned in form 604 Notice of change of interests of substantial holder

==> picture [148 x 44] intentionally omitted <==

Calvin Kwok Company Secretary Date: 12/09/2018

HUB24 LTD

HUB24 LTD HUB24 LTD HUB24 LTD HUB24 LTD HUB24 LTD HUB24 LTD
Annexure C
Holder of relevant interest Registered holder of securities Person entitled to be
registered as holder		 Number of
securities		 Class of
securities		 Person's votes
Pinnacle Investment Management
Group Limited (and its subsidiaries
listed in Annexure A)		 NAB Custodial Services
NAB Custodial Services		 163,859 Ordinary fully paid 163,859
Pinnacle Investment Management
Group Limited (and its subsidiaries
listed in Annexure A)		 JP Morgan Chase Bank JP Morgan Chase Bank 438,701 Ordinary fully paid 438,701
Pinnacle Investment Management
Group Limited (and its subsidiaries
listed in Annexure A)		 Citibank Citibank 261,598 Ordinary fully paid 261,598
Pinnacle Investment Management
Group Limited (and its subsidiaries
listed in Annexure A)		 RBC Investor Services Trust RBC Investor Services Trust 2,341,646 Ordinary fully paid 2,341,646
Pinnacle Investment Management
Group Limited (and its subsidiaries
listed in Annexure A)		 State Street State Street 1,189,138 Ordinary fully paid 1,189,138

This is Annexure "C" of 1 page as mentioned in form 604 Notice of change of interests of substantial holder

`

==> picture [125 x 37] intentionally omitted <==

Calvin Kwok Company Secretary Date: 12/09/2018

HUB24 LTD

HUB24 LTD HUB24 LTD HUB24 LTD
Annexure D
Name ACN Nature of Association
Pinnacle Investment Management
GroupLimited		 100 325 184 Related body corporate of each other entity listed in
AnnexureD.
Pinnacle Investment Management
Limited		 109 659 109 Related body corporate of each other entity listed in
AnnexureD.
Pinnacle Fund Services Limited 082 494 362 Related body corporate of each other entity listed in
AnnexureD.
Ariano Pty Limited 605 250 799 Related body corporate of each other entity listed in
AnnexureD.
Next Financial Limited 081 722 894 Related body corporate of each other entity listed in
AnnexureD.
Next Financial Nominees Pty Ltd 093 252 576 Related body corporate of each other entity listed in
AnnexureD.
Next Financial Nominees No. 2 Pty
Ltd		 132 819 115 Related body corporate of each other entity listed in
AnnexureD.
Investment Solutions Client
ServicesPtyLtd		 117 898 334 Related body corporate of each other entity listed in
AnnexureD.
Priority Funds Management Pty Ltd 120 826 575 Related body corporate of each other entity listed in
AnnexureD.
Priority Investment Management
PtyLtd		 116 943 456 Related body corporate of each other entity listed in
AnnexureD.
PNI Option Plan Managers Pty Ltd 116 943 456 Related body corporate of each other entity listed in
AnnexureD.
Pinnacle RE Services Limited 130 508 379 Related body corporate of each other entity listed in
AnnexureD.
Pinnacle Services Administration
PtyLtd		 126 175 148 Related body corporate of each other entity listed in
AnnexureD.
Pinnacle Investment Management
(UK) Limited		 Company
Number
11026111		 Related body corporate of each other entity listed in
Annexure D.
POSH Nominees Pty Limited 620 094 251 Related body corporate of each other entity listed in
AnnexureD.

This is Annexure "D" as mentioned in form 604 Notice of change of interests of substantial holder

==> picture [137 x 40] intentionally omitted <==

Calvin Kwok Company Secretary Date: 12/09/2018

HUB24 LTD
Annexure E		 HUB24 LTD
Annexure E
Name Address
Pinnacle Investment Management GroupLimited Level 19, 307 Queen St, Brisbane QLD 4000, Australia
Pinnacle Fund Services Limited Level 19, 307 Queen St, Brisbane QLD 4000, Australia
Pinnacle Investment Management Limited Level 19, 307 Queen St, Brisbane QLD 4000, Australia
Pinnacle Investment Management GroupLimited Level 19, 307 Queen St, Brisbane QLD 4000, Australia
Pinnacle Investment Management Limited Level 19, 307 Queen St, Brisbane QLD 4000, Australia
Pinnacle Fund Services Limited Level 19, 307 Queen St, Brisbane QLD 4000, Australia
Ariano PtyLimited Level 19, 307 Queen St, Brisbane QLD 4000, Australia
Next Financial Limited Level 19, 307 Queen St, Brisbane QLD 4000, Australia
Next Financial Nominees PtyLtd Level 19, 307 Queen St, Brisbane QLD 4000, Australia
Next Financial Nominees No. 2 PtyLtd Level 19, 307 Queen St, Brisbane QLD 4000, Australia
Investment Solutions Client Services PtyLtd Level 19, 307 Queen St, Brisbane QLD 4000, Australia
PriorityFunds Management PtyLtd Level 19, 307 Queen St, Brisbane QLD 4000, Australia
PriorityInvestment Management PtyLtd Level 19, 307 Queen St, Brisbane QLD 4000, Australia
PNI Option Plan Managers PtyLtd Level 19, 307 Queen St, Brisbane QLD 4000, Australia
Pinnacle Investment Management(UK)Limited Level 19, 307 Queen St, Brisbane QLD 4000, Australia
Pinnacle RE Services Limited Level 19, 307 Queen St, Brisbane QLD 4000, Australia
Pinnacle Services Administration PtyLtd Level 19, 307 Queen St, Brisbane QLD 4000, Australia
POSH Nominees PtyLimited Level 19, 307 Queen St, Brisbane QLD 4000, Australia

This is Annexure "E" as mentioned in form 604 Notice of change of interests of substantial holder

==> picture [137 x 40] intentionally omitted <==

Calvin Kwok Company Secretary Date: 12/09/2018

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