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HUB24 LIMITED — Major Shareholding Notification 2020
Mar 31, 2020
65077_rns_2020-03-31_94c2cf95-9526-4ceb-bc21-e61b08ba057b.pdf
Major Shareholding Notification
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Form 604
Corporations Act 2001
Section 671B
Notice of change of interests of substantial holder
To Company Name/Scheme HUB24 LIMITED ACN/ARSN ACN 124 891 685
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 There was a change in the interests of the substantial holder on 27-Mar-2020 The previous notice was given to the company on 23-Mar-2020 The previous notice was dated 23-Mar-2020
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) | |
| Common Stock | 5,296,430 | 8.43% | 4,650,342 | 7.40% |
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 Annexure "A" |
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 |
| See Annexure "B" |
1
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 |
|---|---|
| N/A |
6. Addresses
The addresses of persons named in this form are as follows:
| Name | Address |
| See Annexure "C" |
Signature
print name Winston Loke capacity Authorised Signatory sign here date 1-Apr-2020
==> picture [76 x 33] intentionally omitted <==
2
Annexure "A"
3. Changes in relevant interests
| 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 |
|---|---|---|---|---|---|
| 25-Mar-20 | Credit Suisse Funds AG |
Acquired on market | 74,596.0 AUD | 10,970 Common Stock |
10,970 |
| 27-Mar-20 | Credit Suisse International |
Acquired on market | 44,363.81 AUD | 6,553 Common Stock |
6,553 |
| 19-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 37,375.36 AUD | 5,575 Common Stock |
5,575 |
| 19-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 3,025.05 AUD | 469 Common Stock | 469 |
| 19-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 412,217.16 AUD | 62,887 Common Stock |
62,887 |
| 19-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 6.45 AUD | 1 Common Stock | 1 |
| 19-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 47,968.92 AUD | 7,013 Common Stock |
7,013 |
| 19-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 85,907.80 AUD | 12,904 Common Stock |
12,904 |
| 19-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 901.19 AUD | 137 Common Stock | 137 |
| 19-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 6.50 AUD | 1 Common Stock | 1 |
| 19-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 15,880.0 AUD | 2,400 Common Stock |
2,400 |
| 19-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 29,646.77 AUD | 4,604 Common Stock |
4,604 |
| 19-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 162.35 AUD | 25 Common Stock | 25 |
| 19-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 12,168.97 AUD | 1,861 Common Stock |
1,861 |
| 19-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 74,225.94 AUD | -10,447 Common Stock |
-10,447 |
| 19-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 3,732.30 AUD | -522 Common Stock |
-522 |
| 19-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 156,131.50 AUD | -22,395 Common Stock |
-22,395 |
| 19-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 54,011.10 AUD | -7,554 Common Stock |
-7,554 |
| 19-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 14,466.15 AUD | -2,051 Common Stock |
-2,051 |
| 19-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 68,807.18 AUD | -10,324 Common Stock |
-10,324 |
3
| 19-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 3,668.26 AUD | -520 Common Stock |
-520 |
|---|---|---|---|---|---|
| 19-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 62,405.08 AUD | -9,263 Common Stock |
-9,263 |
| 19-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 106,582.17 AUD | -15,506 Common Stock |
-15,506 |
| 19-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 30,571.44 AUD | -4,532 Common Stock |
-4,532 |
| 19-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 54,934.01 AUD | -8,126 Common Stock |
-8,126 |
| 19-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 164,564.40 AUD | -23,016 Common Stock |
-23,016 |
| 19-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 84,804.69 AUD | -12,350 Common Stock |
-12,350 |
| 20-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 182,160.32 AUD | 24,299 Common Stock |
24,299 |
| 20-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 6,240.61 AUD | 869 Common Stock | 869 |
| 20-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 17,567.48 AUD | 2,350 Common Stock |
2,350 |
| 20-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 239.88 AUD | 33 Common Stock | 33 |
| 20-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 129,345.52 AUD | 18,210 Common Stock |
18,210 |
| 20-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 58.23 AUD | 8 Common Stock | 8 |
| 20-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 7,420.80 AUD | 945 Common Stock | 945 |
| 20-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 33,020.12 AUD | 4,554 Common Stock |
4,554 |
| 20-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 77,018.93 AUD | -12,130 Common Stock |
-12,130 |
| 20-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 20,247.62 AUD | -3,000 Common Stock |
-3,000 |
| 20-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 100,909.51 AUD | -15,658 Common Stock |
-15,658 |
| 20-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 97,509.37 AUD | -15,071 Common Stock |
-15,071 |
| 20-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 149,107.04 AUD | -23,191 Common Stock |
-23,191 |
| 20-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 52,903.82 AUD | -8,231 Common Stock |
-8,231 |
| 20-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 9,156.65 AUD | -1,425 Common Stock |
-1,425 |
| 20-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 4,050.22 AUD | -626 Common Stock |
-626 |
| 20-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 59,970.94 AUD | -9,165 Common Stock |
-9,165 |
4
| 23-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 11,605.91 AUD | 1,801 Common Stock |
1,801 |
|---|---|---|---|---|---|
| 23-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 4,996.53 AUD | 779 Common Stock | 779 |
| 23-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 32,654.45 AUD | 5,316 Common Stock |
5,316 |
| 23-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 1,485.18 AUD | 223 Common Stock | 223 |
| 23-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 296,942.05 AUD | 46,580 Common Stock |
46,580 |
| 23-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 61,548.73 AUD | 8,023 Common Stock |
8,023 |
| 23-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 5,898.20 AUD | -863 Common Stock |
-863 |
| 23-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 29,594.35 AUD | -4,527 Common Stock |
-4,527 |
| 23-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 162,317.38 AUD | -24,717 Common Stock |
-24,717 |
| 23-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 13,465.0 AUD | -2,000 Common Stock |
-2,000 |
| 23-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 11,746.71 AUD | -1,715 Common Stock |
-1,715 |
| 23-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 23,226.88 AUD | -3,396 Common Stock |
-3,396 |
| 23-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 504,229.57 AUD | -77,677 Common Stock |
-77,677 |
| 24-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 284,757.17 AUD | 42,145 Common Stock |
42,145 |
| 24-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 46,876.40 AUD | 6,993 Common Stock |
6,993 |
| 24-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 66,130.23 AUD | 9,978 Common Stock |
9,978 |
| 24-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 1,561.36 AUD | 232 Common Stock | 232 |
| 24-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 29,186.14 AUD | 4,265 Common Stock |
4,265 |
| 24-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 4,199.52 AUD | 624 Common Stock | 624 |
| 24-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 905.65 AUD | 136 Common Stock | 136 |
| 24-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 20,112.33 AUD | -2,750 Common Stock |
-2,750 |
| 24-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 34,237.83 AUD | -4,495 Common Stock |
-4,495 |
| 24-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 14,515.31 AUD | -1,864 Common Stock |
-1,864 |
| 24-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 96,233.69 AUD | -13,051 Common Stock |
-13,051 |
5
| 24-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 60,094.48 AUD | -7,668 Common Stock |
-7,668 |
|---|---|---|---|---|---|
| 24-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 87,833.05 AUD | -11,226 Common Stock |
-11,226 |
| 24-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 9,965.51 AUD | -1,346 Common Stock |
-1,346 |
| 24-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 57,196.45 AUD | -7,346 Common Stock |
-7,346 |
| 24-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 73,255.78 AUD | -9,847 Common Stock |
-9,847 |
| 24-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 1,454.69 AUD | -189 Common Stock |
-189 |
| 24-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 651,428.94 AUD | -82,879 Common Stock |
-82,879 |
| 24-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 657,161.86 AUD | -87,289 Common Stock |
-87,289 |
| 25-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 31,664.11 AUD | 4,772 Common Stock |
4,772 |
| 25-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 235,416.30 AUD | 34,351 Common Stock |
34,351 |
| 25-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 5,651.88 AUD | 817 Common Stock | 817 |
| 25-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 20,071.09 AUD | 3,001 Common Stock |
3,001 |
| 25-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 32,551.56 AUD | 4,839 Common Stock |
4,839 |
| 25-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 8,241.49 AUD | 1,229 Common Stock |
1,229 |
| 25-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 8,234.80 AUD | 1,211 Common Stock |
1,211 |
| 25-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 14.44 AUD | 2 Common Stock | 2 |
| 25-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 115,261.65 AUD | -17,780 Common Stock |
-17,780 |
| 25-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 11,843.72 AUD | -1,801 Common Stock |
-1,801 |
| 25-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 54,611.28 AUD | -6,948 Common Stock |
-6,948 |
| 25-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 5,128.76 AUD | -759 Common Stock |
-759 |
| 25-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 66.90 AUD | -10 Common Stock | -10 |
| 25-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 75,870.52 AUD | -11,521 Common Stock |
-11,521 |
| 25-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 20,223.04 AUD | -2,988 Common Stock |
-2,988 |
| 25-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 21,437.33 AUD | -3,349 Common Stock |
-3,349 |
6
| 25-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 70,483.50 AUD | -10,336 Common Stock |
-10,336 |
|---|---|---|---|---|---|
| 25-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 12,346.83 AUD | -1,908 Common Stock |
-1,908 |
| 25-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 526,235.52 AUD | -81,734 Common Stock |
-81,734 |
| 25-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 20,252.94 AUD | -2,974 Common Stock |
-2,974 |
| 26-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 36,310.41 AUD | 5,167 Common Stock |
5,167 |
| 26-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 115,790.90 AUD | 16,611 Common Stock |
16,611 |
| 26-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 60,384.0 AUD | 8,880 Common Stock |
8,880 |
| 26-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 19,834.68 AUD | 2,787 Common Stock |
2,787 |
| 26-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 11,337.50 AUD | 1,611 Common Stock |
1,611 |
| 26-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 689,409.60 AUD | 98,539 Common Stock |
98,539 |
| 26-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 39,024.48 AUD | 5,496 Common Stock |
5,496 |
| 26-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 10,067.56 AUD | 1,412 Common Stock |
1,412 |
| 26-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 33,626.35 AUD | 4,716 Common Stock |
4,716 |
| 26-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 10,573.08 AUD | -1,591 Common Stock |
-1,591 |
| 26-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 15,255.71 AUD | -2,263 Common Stock |
-2,263 |
| 26-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 38,346.63 AUD | -5,703 Common Stock |
-5,703 |
| 26-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 22,916.59 AUD | -3,295 Common Stock |
-3,295 |
| 26-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 54,203.42 AUD | -8,054 Common Stock |
-8,054 |
| 26-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 4,274.46 AUD | -594 Common Stock |
-594 |
| 26-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 17,889.43 AUD | -2,676 Common Stock |
-2,676 |
| 26-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 638.55 AUD | -93 Common Stock | -93 |
| 26-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 41,713.36 AUD | -6,264 Common Stock |
-6,264 |
| 26-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 834.47 AUD | -122 Common Stock |
-122 |
| 27-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 4,086.18 AUD | 589 Common Stock | 589 |
7
| 27-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 22,418.54 AUD | 3,293 Common Stock |
3,293 |
|---|---|---|---|---|---|
| 27-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 14,048.0 AUD | 2,000 Common Stock |
2,000 |
| 27-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 35,797.79 AUD | 5,167 Common Stock |
5,167 |
| 27-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 20,015.40 AUD | 2,942 Common Stock |
2,942 |
| 27-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 865.34 AUD | 125 Common Stock | 125 |
| 27-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 372,014.29 AUD | 52,574 Common Stock |
52,574 |
| 27-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 69,497.32 AUD | 9,891 Common Stock |
9,891 |
| 27-Mar-20 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 17,859.26 AUD | 2,638 Common Stock |
2,638 |
| 27-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 13,084.64 AUD | -1,930 Common Stock |
-1,930 |
| 27-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 42,306.90 AUD | -6,252 Common Stock |
-6,252 |
| 27-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 6,971.31 AUD | -1,034 Common Stock |
-1,034 |
| 27-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 11,088.69 AUD | -1,647 Common Stock |
-1,647 |
| 27-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 1,838.20 AUD | -280 Common Stock |
-280 |
| 27-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 14,917.41 AUD | -2,228 Common Stock |
-2,228 |
| 27-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 26,262.67 AUD | -3,911 Common Stock |
-3,911 |
| 27-Mar-20 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 4,398.96 AUD | -654 Common Stock |
-654 |
| 24-Mar-20 | Credit Suisse AG, Dublin branch |
Stock returned under Master prime brokerage agreement |
Refer to Annexure D of Notice |
-30,000 Common Stock |
-30,000 |
| 24-Mar-20 | Credit Suisse AG, Dublin branch |
Stock returned under Master prime brokerage agreement |
Refer to Annexure D of Notice |
-16,310 Common Stock |
-16,310 |
| 25-Mar-20 | Credit Suisse AG, Dublin branch |
Stock returned under Master prime brokerage agreement |
Refer to Annexure D of Notice |
-46,310 Common Stock |
-46,310 |
| 26-Mar-20 | Credit Suisse AG, Dublin branch |
Stock returned under Master prime brokerage agreement |
Refer to Annexure D of Notice |
-25,035 Common Stock |
-25,035 |
| 27-Mar-20 | Credit Suisse AG, Dublin branch |
Stock returned under Master prime brokerage agreement |
Refer to Annexure D of Notice |
-48,216 Common Stock |
-48,216 |
| 27-Mar-20 | Credit Suisse AG, Dublin branch |
Stock returned under Master prime brokerage agreement |
Refer to Annexure D of Notice |
-21,345 Common Stock |
-21,345 |
8
| 19-Mar-20 | Credit Suisse Securities (USA) LLC |
Stock returned under OSLA |
Refer to Annexure D of Notice |
-184,800 Common Stock |
-184,800 |
|---|---|---|---|---|---|
| 19-Mar-20 | Credit Suisse Securities (USA) LLC |
Stock returned under OSLA |
Refer to Annexure D of Notice |
-49,600 Common Stock |
-49,600 |
| 19-Mar-20 | Credit Suisse Securities (Europe) Limited |
Stock returned under OSLA |
Refer to Annexure D of Notice |
-7,060 Common Stock |
-7,060 |
| 19-Mar-20 | Credit Suisse Securities (Europe) Limited |
Stock returned under OSLA |
Refer to Annexure D of Notice |
-10,000 Common Stock |
-10,000 |
| 26-Mar-20 | Credit Suisse Securities (Europe) Limited |
Stock returned under OSLA |
Refer to Annexure D of Notice |
-25,188 Common Stock |
-25,188 |
This is Annexure "A" referred to in the Form 604 "Notice of change of interests of substantial holder"
Signature Credit Suisse Holdings (Australia) Limited (ACN 008 496 713)
| print name sign here |
Winston Loke capacity Authorised Signatory |
|---|---|
| date 1-Apr-2020 |
==> picture [76 x 33] intentionally omitted <==
9
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 |
|---|---|---|---|---|---|
| Credit Suisse Equities (Australia) Limited (ACN 068 232 708) |
CS Fourth Nominees Pty Limited (ACN 069 126 432) |
Credit Suisse Equities (Australia) Limited |
Voting rights and right to dispose |
941,300 Common Stock |
941,300 |
| Credit Suisse Equities (Australia) Limited (ACN 068 232 708) |
CS Fourth Nominees Pty Limited (ACN 069 126 432) |
Credit Suisse Equities (Australia) Limited |
Holder of securities subject to an obligation to return under a securities lendingagreement |
2,122,907 Common Stock |
2,122,907 |
| Credit Suisse Securities (Europe) Limited (ARBN 099554131) |
CS Third Nominees Pty Limited (ACN 007 053 849) |
Credit Suisse Securities (Europe) Limited |
Voting rights and right to dispose |
3787 Common Stock |
3787 |
| Credit Suisse Securities (Europe) Limited (ARBN 099554131) |
CS Third Nominees Pty Limited (ACN 007 053 849) |
Credit Suisse Securities (Europe) Limited |
Holder of securities subject to an obligation to return under a securities lendingagreement |
499,981 Common Stock |
499,981 |
| Credit Suisse AG, Dublin Branch |
CS Third Nominees Pty Limited (ACN 007 053 849) |
Credit Suisse AG, Dublin Branch |
Holder of securities subject to an obligation to return under a securities lendingagreement |
1,010,508 Common Stock |
1,010,508 |
| Credit Suisse Funds AG |
HSBC Custody Nominees (Australia) Limited (ACN 003 094 568 |
Credit Suisse Funds AG |
Voting rights and right to dispose |
65,306 Common Stock |
65,306 |
| Credit Suisse International (ARBN 062787106) |
HSBC Custody Nominees (Australia) Limited |
Credit Suisse International |
Voting rights and right to dispose |
6,553 Common Stock |
6,553 |
This is Annexure "B" referred to in the Form 604 "Notice of change of interests of substantial holder"
Signature Credit Suisse Holdings (Australia) Limited (ACN 008 496 713)
| print name sign here |
Winston Loke capacity Authorised Signatory date 1-Apr-2020 |
|---|---|
==> picture [76 x 32] intentionally omitted <==
10
Annexure "C"
6. 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 |
| Credit Suisse Funds AG | Uetibergstrasse 231,Zurich,8045 Switzerland |
| Credit Suisse Securities (Europe) Limited (ARBN 099554131) |
One Cabot Square,London,E14 4QJ |
| Credit Suisse Securities(USA)LLC | 11 Madison Avenue,,New York,New York 10010,New York 10010 |
| Credit Suisse AG,Dublin Branch | Kilmore House,Park lane,Spencer Dock,Dublin 1,Ireland |
| Credit Suisse International (ARBN 062787106) | One Cabot Square, London E14 4QJ, UK |
This is Annexure "C" referred to in the Form 604 "Notice of change of interests of substantial holder"
Signature
Credit Suisse Holdings (Australia) Limited (ACN 008 496 713)
| print name sign here |
Winston Loke capacity Authorised Signatory |
|---|---|
| date 1-Apr-2020 |
==> picture [76 x 33] intentionally omitted <==
11
Annexure "D"
This is Annexure "D" referred to in the Form 604 "Notice of change of interests of substantial holder"
| Signature print name sign here |
Credit Suisse Holdings (Australia) Limited (ACN 008 496 713) Winston Loke capacity Authorised Signatory |
|---|---|
| date 1-Apr-2020 |
==> picture [76 x 32] intentionally omitted <==
12
Prescribed information
| Schedule | ||
|---|---|---|
| Type of agreement | Master Prime Brokerage Securities Lending | |
| Agreement | ||
| Parties to agreement | Credit Suisse AG, Dublin Branch and Atlantic | |
| Absolute Return Fund | ||
| Transfer date | 27-Mar-2020 | |
| Holder of voting rights | Borrower | |
| Are there any restrictions on voting rights? | No | |
| If yes, detail | N/A | |
| 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 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. | ||
13
| Prescribed information | |
|---|---|
| Schedule | |
| Type of agreement | Overseas Securities Lending Agreement |
| Parties to agreement | Credit Suisse Securities (Europe) Limited and |
| Bank of New York Mellon | |
| Transfer date | 19-Mar-2020 |
| Holder of voting rights | Borrower |
| Are there any restrictions on voting rights? | No |
| If yes, detail | N/A |
| 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 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. | |
14
| Prescribed information | |
|---|---|
| Schedule | |
| Type of agreement | Overseas Securities Lending Agreement |
| Parties to agreement | Credit Suisse Securities (Europe) Limited and |
| HSBC Bank PLC | |
| Transfer date | 26-Mar-2020 |
| Holder of voting rights | Borrower |
| Are there any restrictions on voting rights? | No |
| If yes, detail | N/A |
| 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 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. | |
15
| Prescribed information | ||
|---|---|---|
| Schedule | ||
| Type of agreement | Overseas Securities Lending Agreement | |
| Parties to agreement | Credit Suisse Securities (Europe) Limited and | |
| ESEC | ||
| Transfer date | 19-Mar-2020 | |
| Holder of voting rights | Borrower | |
| Are there any restrictions on voting rights? | No | |
| If yes, detail | N/A | |
| 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 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. | ||
16
| Prescribed information | |
|---|---|
| Schedule | |
| Type of agreement | Overseas Securities Loan Agreement |
| Parties to agreement | Credit Suisse Securities (USA) LLC and The |
| Goldman Sachs Agency Lending | |
| Transfer date | 19-Mar-2020 |
| Holder of voting rights | Borrower |
| Are there any restrictions on voting rights? | No |
| If yes, detail | N/A |
| 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 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. | |
17