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IGO LIMITED — Major Shareholding Notification 2017
Nov 5, 2017
65111_rns_2017-11-05_eb6c2bb9-d2a5-4ac4-9eab-7153f0454989.pdf
Major Shareholding Notification
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Form 603 Corporations Act 2001 Section 671B
Notice of initial substantial holder
To Company Name/Scheme INDEPENDENCE GROUP NL ACN/ARSN 092 786 304
1. Details of substantial shareholder
Name
Deutsche Bank AG and its related bodies corporate (together the “Deutsche Bank Group”)
ACN/ARSN (if applicable) 064 165 162 The holder became a substantial holder on 2 November 2017
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 of the substantial holder became a substantial holder are as follows:
| Class of securities(4) | Number of securities | Person’s votes(5) | Voting power(6) |
|---|---|---|---|
| Ordinaryshares | 32,958,152 | 5.62% | 5.62% |
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 (Ordinary shares) |
|---|---|---|
| Deutsche Bank AG, Frankfurt Branch |
Power to dispose of, or control the exercise of a power to dispose of, the securities held in capacity as principal |
90 |
| Deutsche Bank AG, London Branch |
Power to dispose of, or control the exercise of a power to dispose of, the securities held pursuant to securities lending agreements Referto Schedule2 |
3,399,300 |
| Deutsche Bank Securities Inc. | Power to dispose of, or control the exercise of a power to dispose of, the securities held pursuant to securities lending agreements Referto Schedule2 |
22,728,500 |
| Deutsche Securities Australia Limited |
Power to dispose of, or control the exercise of a power to dispose of, the securities held pursuant to securities lending agreements Refer to Schedule 2 |
6,537,945 |
| Deutsche Asset Management (UK) Limited |
Power to dispose of, or control the exercise of a power to dispose of, the securities held in capacity asinvestmentmanager |
50,432 |
| Deutsche Asset Management S.A. |
Power to exercise, or control the exercise of, the voting rights of the securities held in capacity as investmentmanager |
| Deutsche New Zealand Ltd | Deutsche New Zealand Ltd has a deemed relevant interest under s608(3)(a) of the Corporations Act 2001 through its 49.9% shareholding in Craigs Investment Partners Ltd. Craigs Investment Partners Ltd has the power to dispose of or control the exercise of a power to dispose of, the securities held in the capacity as investmentmanager. |
241,595 |
|---|---|---|
| DBX Advisors LLC | Power to dispose of or control the exercise of a power to dispose of, the securities held in the capacity asinvestmentmanager |
290 |
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 (Ordinary shares) |
|---|---|---|---|
| Deutsche Bank AG, Frankfurt Branch |
Unknown | Deutsche Bank AG, Frankfurt Branch |
90 |
| Deutsche Bank AG, London Branch |
Unknown | Deutsche Bank AG, London Branch |
3,399,300 |
| Deutsche Bank Securities Inc. |
Unknown | Deutsche Bank Securities Inc. |
22,728,500 |
| Deutsche Securities Australia Limited |
Unknown | Deutsche Securities Australia Limited |
6,537,945 |
| Deutsche Asset Management (UK) Limited |
Statestreet Bank Luxembourg |
Deutsche Asset Management (UK) Limited |
50,432 |
| Deutsche Asset Management S.A. |
Deutsche Asset Management S.A. |
||
| Deutsche New Zealand Ltd | Custodial Services Ltd | Craigs Investment Partners Ltd |
241,595 |
| DBX Advisors LLC | Unknown | DBX Advisors LLC | 290 |
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) (AUD) |
Class and number of securities |
|---|---|---|---|
| Refer to Schedule 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 |
|---|---|
| N/A |
7. Addresses
The addresses of persons named in this form are as follows:
| Name | Address |
|---|---|
| Deutsche Bank AG, Frankfurt Branch | Roßmarkt 18, Frankfurt, Hessen, Germany 60311 |
| Deutsche Bank AG, London Branch | Winchester House, 1 Great Winchester Street, London, Great Britain EC2N 2DB |
| Deutsche Bank Securities Inc. | Corporation Trust Center,1209 Orange Street, Wilmington, USA 19801 |
| Deutsche Securities Australia Limited | Level 16, Deutsche Bank Place, Corner Hunter and Philip Street, Sydney, NSW, Australia 2000 |
| Deutsche Asset Management (UK) Limited | Winchester House, 1 Great Winchester Street, London, Great Britain EC2N 2DB |
| Deutsche Asset Management S.A. | 2, Boulevard Konrad Adenauer, Luxembourg 1115 |
| DBX Advisors LLC | Corporation Trust Center,1209 Orange Street, Wilmington, USA 19801 |
| Deutsche New Zealand Ltd | Level 36, Vero Centre, 48 Shortland Street, Auckland, New Zealand 1010 |
==> picture [124 x 50] intentionally omitted <==
Signature
Name Harsha Narashimha Deutsche Bank AG, Hong Kong Branch 6 November 2017
Schedule 1
| Date of change | Holder of relevant interest | Nature of change | Consideration given in relation to change |
~~Class and number of~~ securities affected (Ordinary Shares) |
Person's votes affected |
|---|---|---|---|---|---|
| 7/3/2017 | Deutsche New Zealand Ltd | Buy | 3.16 | 2,635 | 2,635 |
| 7/3/2017 | Deutsche Securities Australia Limited | Return of stock borrow to National Australia Bank (Refer to Schedule 2) |
N/A | -1,749,300 | -1,749,300 |
| 7/3/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to National Australia Bank~~ (Refer to Schedule 2) |
N/A | -502,512 | -502,512 |
| 7/3/2017 | Deutsche Securities Australia Limited | Sell | 3.18 | -33 | -33 |
| 7/3/2017 | Deutsche Securities Australia Limited | Buy | 3.15 | 303 | 303 |
| 7/3/2017 | Deutsche Securities Australia Limited | Buy | 3.16 | 577 | 577 |
| 7/3/2017 | Deutsche Securities Australia Limited | Sell | 3.18 | -61 | -61 |
| 7/3/2017 | Deutsche Securities Australia Limited | Buy | 3.15 | 180 | 180 |
| 7/3/2017 | Deutsche Securities Australia Limited | Sell | 3.18 | -2 | -2 |
| 7/3/2017 | Deutsche Securities Australia Limited | Buy | 3.16 | 355 | 355 |
| 7/3/2017 | Deutsche Securities Australia Limited | Buy |
3.16 | 87 | 87 |
| 7/4/2017 | Deutsche Bank Securities Inc. | ~~Return of stock borrow to Citi Bank~~ (Refer to Schedule 2) |
N/A | -3,600 | -3,600 |
| 7/4/2017 | Deutsche New Zealand Ltd | Buy | 3.23 | 3,135 | 3,135 |
| 7/4/2017 | Deutsche New Zealand Ltd | Buy |
3.27 | 3,740 | 3,740 |
| 7/4/2017 | Deutsche Securities Australia Limited | ~~Stock borrow from BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | 110,000 | 110,000 |
| 7/4/2017 | Deutsche Securities Australia Limited | Sell | 3.17 | -36 | -36 |
| 7/4/2017 | Deutsche Securities Australia Limited | Buy | 3.29 | 205 | 205 |
| 7/4/2017 | Deutsche Securities Australia Limited | Buy | 3.18 | 145 | 145 |
| 7/4/2017 | Deutsche Securities Australia Limited | Sell | 3.24 | -414 | -414 |
| 7/4/2017 | Deutsche Securities Australia Limited | Buy | 3.24 | 439 | 439 |
| 7/4/2017 | Deutsche Securities Australia Limited | Sell | 3.20 | -27 | -27 |
| 7/4/2017 | Deutsche Securities Australia Limited | Buy | 3.21 | 16 | 16 |
| 7/4/2017 | Deutsche Securities Australia Limited | Sell | 3.24 | -16 | -16 |
| 7/4/2017 | Deutsche Securities Australia Limited | Buy | 3.29 | 12 | 12 |
| 7/4/2017 | Deutsche Securities Australia Limited | Buy | 3.20 | 239 | 239 |
| 7/4/2017 | Deutsche Securities Australia Limited | Buy | 3.23 | 7 | 7 |
| 7/5/2017 | Deutsche Securities Australia Limited | Stock borrow from BNP Paribas Securities Services (Refer to Schedule 2) |
N/A | 50,000 | 50,000 |
| 7/5/2017 | Deutsche Securities Australia Limited | Buy | 3.23 | 92 | 92 |
| 7/5/2017 | Deutsche Securities Australia Limited | Buy | 3.24 | 51 | 51 |
| 7/5/2017 | Deutsche Securities Australia Limited | Sell | 3.29 | -10 | -10 |
| 7/5/2017 | Deutsche Securities Australia Limited | Buy | 3.22 | 613 | 613 |
| 7/5/2017 | Deutsche Securities Australia Limited | Sell | 3.23 | -63 | -63 |
| 7/5/2017 | Deutsche Securities Australia Limited | Buy | 3.21 | 17 | 17 |
| 7/5/2017 | Deutsche Securities Australia Limited | Sell | 3.20 | -258 | -258 |
| 7/5/2017 | Deutsche Securities Australia Limited | Buy | 3.28 | 1,420 | 1,420 |
| 7/5/2017 | Deutsche Securities Australia Limited | Buy |
3.29 | 157 | 157 |
| 7/6/2017 | Deutsche Securities Australia Limited | ~~Stock borrow from BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | 100,000 | 100,000 |
| 7/6/2017 | Deutsche Securities Australia Limited | Sell | 3.29 | -44 | -44 |
| 7/6/2017 | Deutsche Securities Australia Limited | Buy | 3.33 | 7 | 7 |
| 7/6/2017 | Deutsche Securities Australia Limited | Buy | 3.31 | 822 | 822 |
| 7/6/2017 | Deutsche Securities Australia Limited | Sell | 3.32 | -72 | -72 |
| 7/6/2017 | Deutsche Securities Australia Limited | Buy | 3.30 | 327 | 327 |
| 7/6/2017 | Deutsche Securities Australia Limited | Sell | 3.30 | -1,256 | -1,256 |
| 7/6/2017 | Deutsche Securities Australia Limited | Buy | 3.30 | 47 | 47 |
| 7/6/2017 | Deutsche Securities Australia Limited | Sell | 3.31 | -33 | -33 |
| 7/6/2017 | Deutsche Securities Australia Limited | Buy | 3.30 | 74 | 74 |
| 7/6/2017 | Deutsche Securities Australia Limited | Buy |
3.31 | 12 | 12 |
| 7/7/2017 | Deutsche Bank Securities Inc. | ~~Return of stock borrow to Citi Bank~~ (Refer to Schedule 2) |
N/A | -9,600 | -9,600 |
| 7/7/2017 | Deutsche Securities Australia Limited | Buy | 3.19 | 23,052 | 23,052 |
| 7/7/2017 | Deutsche Securities Australia Limited | Sell | 3.19 | -4 | -4 |
| 7/7/2017 | Deutsche Securities Australia Limited | Buy | 3.17 | 50 | 50 |
| 7/7/2017 | Deutsche Securities Australia Limited | Buy | 3.19 | 485 | 485 |
| 7/7/2017 | Deutsche Securities Australia Limited | Buy | 3.18 | 6 | 6 |
| 7/7/2017 | Deutsche Securities Australia Limited | Sell | 3.17 | -3 | -3 |
| 7/7/2017 | Deutsche Securities Australia Limited | Sell | 3.18 | -17 | -17 |
| 7/7/2017 | Deutsche Securities Australia Limited | Buy | 3.17 | 593 | 593 |
| 7/7/2017 | Deutsche Securities Australia Limited | Sell | 3.17 | -12 | -12 |
| 7/7/2017 | Deutsche Securities Australia Limited | Buy | 3.20 | 46 | 46 |
| 7/10/2017 | Deutsche Securities Australia Limited | Sell | 3.17 | -23,052 | -23,052 |
| 7/10/2017 | Deutsche Securities Australia Limited | Buy | 3.18 | 5 | 5 |
| 7/10/2017 | Deutsche Securities Australia Limited | Buy | 3.17 | 284 | 284 |
| 7/10/2017 | Deutsche Securities Australia Limited | Buy | 3.18 | 80 | 80 |
| 7/10/2017 | Deutsche Securities Australia Limited | Buy | 3.17 | 68 | 68 |
| 7/10/2017 | Deutsche Securities Australia Limited | Sell | 3.18 | -11 | -11 |
| 7/10/2017 | Deutsche Securities Australia Limited | Buy | 3.19 | 89 | 89 |
| 7/10/2017 | Deutsche Securities Australia Limited | Buy |
3.19 | 185 | 185 |
| 7/11/2017 | Deutsche Bank Securities Inc. | ~~Return of stock borrow to Citi Bank~~ (Refer to Schedule 2) |
N/A | -209,800 | -209,800 |
| 7/11/2017 | Deutsche Securities Australia Limited | Buy | 3.20 | 641 | 641 |
| 7/11/2017 | Deutsche Securities Australia Limited | Buy | 3.19 | 5 | 5 |
| 7/11/2017 | Deutsche Securities Australia Limited | Sell | 3.19 | -8 | -8 |
| 7/11/2017 | Deutsche Securities Australia Limited | Buy | 3.19 | 54 | 54 |
| 7/11/2017 | Deutsche Securities Australia Limited | Buy | 3.19 | 270 | 270 |
| 7/11/2017 | Deutsche Securities Australia Limited | Buy |
3.18 | 1 | 1 |
| 7/12/2017 | Deutsche Bank Securities Inc. | ~~Return of stock borrow to Bank of New York~~ (Refer to Schedule 2) |
N/A | -301,600 | -301,600 |
| 7/12/2017 | Deutsche Securities Australia Limited | Sell | 3.18 | -66 | -66 |
| 7/12/2017 | Deutsche Securities Australia Limited | Sell | 3.20 | -25 | -25 |
| 7/12/2017 | Deutsche Securities Australia Limited | Sell | 3.16 | -13 | -13 |
| 7/12/2017 | Deutsche Securities Australia Limited | Buy | 3.16 | 3,594 | 3,594 |
| 7/12/2017 | Deutsche Securities Australia Limited | Sell | 3.16 | -10,356 | -10,356 |
| 7/12/2017 | Deutsche Securities Australia Limited | Buy | 3.22 | 6 | 6 |
| 7/12/2017 | Deutsche Securities Australia Limited | Sell | 3.17 | -275 | -275 |
| 7/12/2017 | Deutsche Securities Australia Limited | Sell | 3.22 | -3 | -3 |
| 7/12/2017 | Deutsche Securities Australia Limited | Buy | 3.18 | 24 | 24 |
Schedule 1
| Date of change | Holder of relevant interest | Nature of change | Consideration given in relation to change |
~~Class and number of~~ securities affected (Ordinary Shares) |
Person's votes affected |
|---|---|---|---|---|---|
| 7/12/2017 | Deutsche Securities Australia Limited | Buy | 3.18 | 110 | 110 |
| 7/12/2017 | Deutsche Securities Australia Limited | Sell | 3.17 | -141 | -141 |
| 7/12/2017 | Deutsche Securities Australia Limited | Buy | 3.17 | 22 | 22 |
| 7/13/2017 | Deutsche Securities Australia Limited | Buy | 3.24 | 104 | 104 |
| 7/13/2017 | Deutsche Securities Australia Limited | Sell | 3.22 | -64 | -64 |
| 7/13/2017 | Deutsche Securities Australia Limited | Buy | 3.23 | 6 | 6 |
| 7/13/2017 | Deutsche Securities Australia Limited | Sell | 3.22 | -3 | -3 |
| 7/13/2017 | Deutsche Securities Australia Limited | Buy | 3.23 | 37 | 37 |
| 7/13/2017 | Deutsche Securities Australia Limited | Sell | 3.22 | -11 | -11 |
| 7/13/2017 | Deutsche Securities Australia Limited | Buy | 3.23 | 26 | 26 |
| 7/13/2017 | Deutsche Securities Australia Limited | Sell | 3.24 | -58 | -58 |
| 7/13/2017 | Deutsche Securities Australia Limited | Buy | 3.24 | 4 | 4 |
| 7/13/2017 | Deutsche Securities Australia Limited | Buy | 3.24 | 590 | 590 |
| 7/13/2017 | Deutsche Securities Australia Limited | Buy |
3.27 | 12 | 12 |
| 7/14/2017 | Deutsche Bank Securities Inc. | ~~Return of stock borrow to Bank of New York~~ (Refer to Schedule 2) |
N/A | -217,600 | -217,600 |
| 7/14/2017 | Deutsche Securities Australia Limited | Sell | 3.23 | -27 | -27 |
| 7/14/2017 | Deutsche Securities Australia Limited | Sell | 3.23 | -10 | -10 |
| 7/14/2017 | Deutsche Securities Australia Limited | Buy | 3.23 | 18 | 18 |
| 7/14/2017 | Deutsche Securities Australia Limited | Buy | 3.24 | 8 | 8 |
| 7/14/2017 | Deutsche Securities Australia Limited | Buy | 3.23 | 57 | 57 |
| 7/14/2017 | Deutsche Securities Australia Limited | Sell | 3.23 | -1 | -1 |
| 7/14/2017 | Deutsche Securities Australia Limited | Buy | 3.22 | 30 | 30 |
| 7/14/2017 | Deutsche Securities Australia Limited | Sell | 3.24 | -20 | -20 |
| 7/14/2017 | Deutsche Securities Australia Limited | Buy |
3.23 | 182 | 182 |
| 7/17/2017 | Deutsche Bank Securities Inc. | ~~Return of stock borrow to Bank of New York~~ (Refer to Schedule 2) |
N/A | -811,900 | -811,900 |
| 7/17/2017 | Deutsche New Zealand Ltd | Buy | 3.33 | 2,100 | 2,100 |
| 7/17/2017 | Deutsche Securities Australia Limited | Buy | 3.40 | 3 | 3 |
| 7/17/2017 | Deutsche Securities Australia Limited | Sell | 3.29 | -163 | -163 |
| 7/17/2017 | Deutsche Securities Australia Limited | Sell | 3.32 | -39 | -39 |
| 7/17/2017 | Deutsche Securities Australia Limited | Buy | 3.32 | 212 | 212 |
| 7/17/2017 | Deutsche Securities Australia Limited | Buy | 3.31 | 13 | 13 |
| 7/17/2017 | Deutsche Securities Australia Limited | Sell | 3.29 | -1 | -1 |
| 7/17/2017 | Deutsche Securities Australia Limited | Sell | 3.32 | -22 | -22 |
| 7/17/2017 | Deutsche Securities Australia Limited | Sell | 3.37 | -52 | -52 |
| 7/17/2017 | Deutsche Securities Australia Limited | Buy | 3.30 | 1,644 | 1,644 |
| 7/17/2017 | Deutsche Securities Australia Limited | Buy | 3.31 | 87 | 87 |
| 7/17/2017 | Deutsche Securities Australia Limited | Buy |
3.33 | 4 | 4 |
| 7/18/2017 | Deutsche Bank Securities Inc. | ~~Return of stock borrow to Bank of New York~~ (Refer to Schedule 2) |
N/A | -255,100 | -255,100 |
| 7/18/2017 | Deutsche Securities Australia Limited | Sell | 3.31 | -118 | -118 |
| 7/18/2017 | Deutsche Securities Australia Limited | Buy | 3.23 | 34 | 34 |
| 7/18/2017 | Deutsche Securities Australia Limited | Buy | 3.33 | 11 | 11 |
| 7/18/2017 | Deutsche Securities Australia Limited | Buy | 3.27 | 198 | 198 |
| 7/18/2017 | Deutsche Securities Australia Limited | Sell | 3.32 | -152 | -152 |
| 7/18/2017 | Deutsche Securities Australia Limited | Buy | 3.23 | 10 | 10 |
| 7/18/2017 | Deutsche Securities Australia Limited | Sell | 3.23 | -2 | -2 |
| 7/18/2017 | Deutsche Securities Australia Limited | Buy | 3.33 | 50 | 50 |
| 7/18/2017 | Deutsche Securities Australia Limited | Sell | 3.23 | -177 | -177 |
| 7/18/2017 | Deutsche Securities Australia Limited | Buy | 3.25 | 66 | 66 |
| 7/18/2017 | Deutsche Securities Australia Limited | Sell | 3.24 | -5 | -5 |
| 7/18/2017 | Deutsche Securities Australia Limited | Buy |
3.27 | 39 | 39 |
| 7/19/2017 | Deutsche Bank Securities Inc. | ~~Return of stock borrow to Bank of New York~~ (Refer to Schedule 2) |
N/A | -202,000 | -202,000 |
| 7/19/2017 | Deutsche New Zealand Ltd | Buy | 3.17 | 3,155 | 3,155 |
| 7/19/2017 | Deutsche Securities Australia Limited | Buy | 3.14 | 76 | 76 |
| 7/19/2017 | Deutsche Securities Australia Limited | Buy | 3.15 | 47 | 47 |
| 7/19/2017 | Deutsche Securities Australia Limited | Sell | 3.23 | -17 | -17 |
| 7/19/2017 | Deutsche Securities Australia Limited | Buy | 3.17 | 492 | 492 |
| 7/19/2017 | Deutsche Securities Australia Limited | Buy | 3.16 | 7 | 7 |
| 7/19/2017 | Deutsche Securities Australia Limited | Buy | 3.15 | 17 | 17 |
| 7/19/2017 | Deutsche Securities Australia Limited | Sell | 3.16 | -191 | -191 |
| 7/19/2017 | Deutsche Securities Australia Limited | Buy | 3.17 | 95 | 95 |
| 7/19/2017 | Deutsche Securities Australia Limited | Buy |
3.15 | 3 | 3 |
| 7/20/2017 | Deutsche Bank Securities Inc. | ~~Return of stock borrow to Bank of New York~~ (Refer to Schedule 2) |
N/A | -251,800 | -251,800 |
| 7/20/2017 | Deutsche Securities Australia Limited | ~~Stock borrow from BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | 200,000 | 200,000 |
| 7/20/2017 | Deutsche Securities Australia Limited | Sell | 3.24 | -143 | -143 |
| 7/20/2017 | Deutsche Securities Australia Limited | Buy | 3.21 | 473 | 473 |
| 7/20/2017 | Deutsche Securities Australia Limited | Buy | 3.20 | 8 | 8 |
| 7/20/2017 | Deutsche Securities Australia Limited | Sell | 3.21 | -39 | -39 |
| 7/20/2017 | Deutsche Securities Australia Limited | Sell | 3.21 | -129 | -129 |
| 7/20/2017 | Deutsche Securities Australia Limited | Sell | 3.20 | -93 | -93 |
| 7/20/2017 | Deutsche Securities Australia Limited | Buy | 3.24 | 121 | 121 |
| 7/20/2017 | Deutsche Securities Australia Limited | Sell | 3.21 | -16 | -16 |
| 7/20/2017 | Deutsche Securities Australia Limited | Buy |
3.20 | 95 | 95 |
| 7/21/2017 | Deutsche Securities Australia Limited | ~~Stock borrow from BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | 100,000 | 100,000 |
| 7/21/2017 | Deutsche Securities Australia Limited | Buy | 3.19 | 106 | 106 |
| 7/21/2017 | Deutsche Securities Australia Limited | Buy | 3.18 | 144 | 144 |
| 7/21/2017 | Deutsche Securities Australia Limited | Sell | 3.17 | -36 | -36 |
| 7/21/2017 | Deutsche Securities Australia Limited | Buy | 3.20 | 25 | 25 |
| 7/21/2017 | Deutsche Securities Australia Limited | Sell | 3.21 | -164 | -164 |
| 7/21/2017 | Deutsche Securities Australia Limited | Buy | 3.19 | 536 | 536 |
| 7/21/2017 | Deutsche Securities Australia Limited | Sell | 3.17 | -107 | -107 |
| 7/21/2017 | Deutsche Securities Australia Limited | Buy | 3.21 | 30 | 30 |
| 7/21/2017 | Deutsche Securities Australia Limited | Sell | 3.20 | -5 | -5 |
| 7/21/2017 | Deutsche Securities Australia Limited | Buy | 3.21 | 85 | 85 |
| 7/24/2017 | Deutsche Securities Australia Limited | Buy | 3.21 | 11 | 11 |
| 7/24/2017 | Deutsche Securities Australia Limited | Buy | 3.23 | 1,835 | 1,835 |
| 7/24/2017 | Deutsche Securities Australia Limited | Buy | 3.22 | 37 | 37 |
| 7/24/2017 | Deutsche Securities Australia Limited | Sell | 3.23 | -128 | -128 |
| 7/24/2017 | Deutsche Securities Australia Limited | Buy | 3.23 | 263 | 263 |
| 7/24/2017 | Deutsche Securities Australia Limited | Sell | 3.20 | -3 | -3 |
| 7/24/2017 | Deutsche Securities Australia Limited | Buy |
3.25 | 4 | 4 |
| 7/25/2017 | Deutsche Bank Securities Inc. | ~~Return of stock borrow to Bank of New York~~ (Refer to Schedule 2) |
N/A | -81,800 | -81,800 |
| 7/25/2017 | Deutsche Securities Australia Limited | Buy | 3.28 | 3 | 3 |
| 7/25/2017 | Deutsche Securities Australia Limited | Sell | 3.28 | -289 | -289 |
| 7/25/2017 | Deutsche Securities Australia Limited | Buy | 3.27 | 32 | 32 |
| 7/25/2017 | Deutsche Securities Australia Limited | Buy | 3.25 | 7 | 7 |
Schedule 1
| Date of change | Holder of relevant interest | Nature of change | Consideration given in relation to change |
~~Class and number of~~ securities affected (Ordinary Shares) |
Person's votes affected |
|---|---|---|---|---|---|
| 7/25/2017 | Deutsche Securities Australia Limited | Sell | 3.27 | -117 | -117 |
| 7/25/2017 | Deutsche Securities Australia Limited | Buy | 3.26 | 184 | 184 |
| 7/25/2017 | Deutsche Securities Australia Limited | Buy | 3.28 | 34 | 34 |
| 7/25/2017 | Deutsche Securities Australia Limited | Buy | 3.26 | 842 | 842 |
| 7/25/2017 | Deutsche Securities Australia Limited | Buy |
3.27 | 14 | 14 |
| 7/26/2017 | Deutsche Securities Australia Limited | ~~Stock borrow from BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | 200,000 | 200,000 |
| 7/26/2017 | Deutsche Securities Australia Limited | Buy | 3.24 | 119 | 119 |
| 7/26/2017 | Deutsche Securities Australia Limited | Buy | 3.16 | 3,939 | 3,939 |
| 7/26/2017 | Deutsche Securities Australia Limited | Buy | 3.17 | 88 | 88 |
| 7/26/2017 | Deutsche Securities Australia Limited | Buy | 3.23 | 155 | 155 |
| 7/26/2017 | Deutsche Securities Australia Limited | Buy | 3.23 | 134 | 134 |
| 7/26/2017 | Deutsche Securities Australia Limited | Sell | 3.14 | -67 | -67 |
| 7/26/2017 | Deutsche Securities Australia Limited | Buy | 3.10 | 54 | 54 |
| 7/26/2017 | Deutsche Securities Australia Limited | Buy |
3.19 | 126 | 126 |
| 7/27/2017 | Deutsche Bank Securities Inc. | ~~Return of stock borrow to Bank of New York~~ (Refer to Schedule 2) |
N/A | -393,900 | -393,900 |
| 7/27/2017 | Deutsche New Zealand Ltd | Buy |
3.19 | 5,000 | 5,000 |
| 7/27/2017 | Deutsche Securities Australia Limited | ~~Stock borrow from BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | 100,000 | 100,000 |
| 7/27/2017 | Deutsche Securities Australia Limited | ~~Stock borrow from BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | 150,000 | 150,000 |
| 7/27/2017 | Deutsche Securities Australia Limited | Buy | 3.10 | 88 | 88 |
| 7/27/2017 | Deutsche Securities Australia Limited | Sell | 3.06 | -88 | -88 |
| 7/27/2017 | Deutsche Securities Australia Limited | Buy | 3.14 | 3 | 3 |
| 7/27/2017 | Deutsche Securities Australia Limited | Buy | 3.13 | 54 | 54 |
| 7/27/2017 | Deutsche Securities Australia Limited | Sell | 3.12 | -19 | -19 |
| 7/27/2017 | Deutsche Securities Australia Limited | Buy | 3.11 | 8 | 8 |
| 7/27/2017 | Deutsche Securities Australia Limited | Buy | 3.10 | 319 | 319 |
| 7/27/2017 | Deutsche Securities Australia Limited | Buy | 3.11 | 69 | 69 |
| 7/27/2017 | Deutsche Securities Australia Limited | Buy | 3.13 | 52 | 52 |
| 7/27/2017 | Deutsche Securities Australia Limited | Sell | 3.10 | -2 | -2 |
| 7/27/2017 | Deutsche Securities Australia Limited | Buy |
3.11 | 236 | 236 |
| 7/28/2017 | Deutsche Bank Securities Inc. | ~~Return of stock borrow to Bank of New York~~ (Refer to Schedule 2) |
N/A | -311,500 | -311,500 |
| 7/28/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -400,000 | -400,000 |
| 7/28/2017 | Deutsche Securities Australia Limited | ~~Stock borrow from BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | 1,575,000 | 1,575,000 |
| 7/28/2017 | Deutsche Securities Australia Limited | Sell | 3.00 | -22 | -22 |
| 7/28/2017 | Deutsche Securities Australia Limited | Buy | 3.01 | 464 | 464 |
| 7/28/2017 | Deutsche Securities Australia Limited | Buy | 3.01 | 15 | 15 |
| 7/28/2017 | Deutsche Securities Australia Limited | Sell | 3.01 | -27 | -27 |
| 7/28/2017 | Deutsche Securities Australia Limited | Buy | 2.99 | 26 | 26 |
| 7/28/2017 | Deutsche Securities Australia Limited | Sell | 3.00 | -7 | -7 |
| 7/28/2017 | Deutsche Securities Australia Limited | Buy | 2.99 | 236 | 236 |
| 7/28/2017 | Deutsche Securities Australia Limited | Buy |
3.00 | 3 | 3 |
| 7/31/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -100,000 | -100,000 |
| 7/31/2017 | Deutsche Securities Australia Limited | Buy | 3.02 | 92 | 92 |
| 7/31/2017 | Deutsche Securities Australia Limited | Sell | 3.05 | -24 | -24 |
| 7/31/2017 | Deutsche Securities Australia Limited | Buy | 3.03 | 70 | 70 |
| 7/31/2017 | Deutsche Securities Australia Limited | Sell | 3.05 | -13 | -13 |
| 7/31/2017 | Deutsche Securities Australia Limited | Buy | 3.04 | 26 | 26 |
| 7/31/2017 | Deutsche Securities Australia Limited | Buy | 3.05 | 47 | 47 |
| 7/31/2017 | Deutsche Securities Australia Limited | Sell | 3.03 | -734 | -734 |
| 7/31/2017 | Deutsche Securities Australia Limited | Buy | 3.04 | 74 | 74 |
| 7/31/2017 | Deutsche Securities Australia Limited | Buy | 3.04 | 128 | 128 |
| 8/1/2017 | Deutsche New Zealand Ltd | Buy |
3.05 | 13,280 | 13,280 |
| 8/1/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -52,000 | -52,000 |
| 8/1/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -50,000 | -50,000 |
| 8/1/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -50,000 | -50,000 |
| 8/1/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -48,453 | -48,453 |
| 8/1/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -10,000 | -10,000 |
| 8/1/2017 | Deutsche Securities Australia Limited | Buy | 3.03 | 51 | 51 |
| 8/1/2017 | Deutsche Securities Australia Limited | Buy | 3.05 | 24 | 24 |
| 8/1/2017 | Deutsche Securities Australia Limited | Buy | 3.03 | 17 | 17 |
| 8/1/2017 | Deutsche Securities Australia Limited | Buy | 3.04 | 254 | 254 |
| 8/1/2017 | Deutsche Securities Australia Limited | Buy | 3.04 | 13 | 13 |
| 8/1/2017 | Deutsche Securities Australia Limited | Sell | 3.02 | -41 | -41 |
| 8/1/2017 | Deutsche Securities Australia Limited | Buy | 3.03 | 44 | 44 |
| 8/1/2017 | Deutsche Securities Australia Limited | Buy | 3.05 | 78 | 78 |
| 8/1/2017 | Deutsche Securities Australia Limited | Buy | 3.05 | 145 | 145 |
| 8/1/2017 | Deutsche Securities Australia Limited | Sell | 3.02 | -5 | -5 |
| 8/1/2017 | Deutsche Securities Australia Limited | Buy |
3.05 | 41 | 41 |
| 8/2/2017 | Deutsche Bank AG,London Branch | ~~Stock borrow from BMO Capital Markets Corporation~~ (Refer to Schedule 2) |
N/A | 131,000 | 131,000 |
| 8/2/2017 | Deutsche Bank Securities Inc. | ~~Return of stock borrow to Bank of New York~~ (Refer to Schedule 2) |
N/A | -226,400 | -226,400 |
| 8/2/2017 | Deutsche Bank Securities Inc. | ~~Stock borrow from Bank of New York~~ (Refer to Schedule 2) |
N/A | 9,300,000 | 9,300,000 |
| 8/2/2017 | Deutsche Securities Australia Limited | ~~Stock borrow from BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | 350,000 | 350,000 |
| 8/2/2017 | Deutsche Securities Australia Limited | Sell | 3.05 | -18 | -18 |
| 8/2/2017 | Deutsche Securities Australia Limited | Buy | 3.01 | 184 | 184 |
| 8/2/2017 | Deutsche Securities Australia Limited | Sell | 3.03 | -63 | -63 |
| 8/2/2017 | Deutsche Securities Australia Limited | Buy | 3.01 | 62 | 62 |
| 8/2/2017 | Deutsche Securities Australia Limited | Buy | 3.01 | 176 | 176 |
| 8/2/2017 | Deutsche Securities Australia Limited | Sell | 3.02 | -483 | -483 |
| 8/2/2017 | Deutsche Securities Australia Limited | Buy | 3.01 | 9 | 9 |
| 8/2/2017 | Deutsche Securities Australia Limited | Buy | 3.00 | 9 | 9 |
| 8/2/2017 | Deutsche Securities Australia Limited | Sell | 2.99 | -38 | -38 |
| 8/2/2017 | Deutsche Securities Australia Limited | Buy | 3.02 | 210 | 210 |
| 8/3/2017 | Deutsche Securities Australia Limited | Sell | 3.03 | -6,149 | -6,149 |
| 8/3/2017 | Deutsche Securities Australia Limited | Buy | 3.03 | 6,149 | 6,149 |
| 8/3/2017 | Deutsche Securities Australia Limited | Buy | 2.99 | 12 | 12 |
| 8/3/2017 | Deutsche Securities Australia Limited | Buy | 3.02 | 87 | 87 |
| 8/3/2017 | Deutsche Securities Australia Limited | Sell | 3.03 | -87 | -87 |
| 8/3/2017 | Deutsche Securities Australia Limited | Buy | 3.00 | 14 | 14 |
| 8/3/2017 | Deutsche Securities Australia Limited | Sell | 3.01 | -134 | -134 |
| 8/3/2017 | Deutsche Securities Australia Limited | Buy | 3.00 | 37 | 37 |
| 8/3/2017 | Deutsche Securities Australia Limited | Buy | 3.00 | 1,649 | 1,649 |
| 8/3/2017 | Deutsche Securities Australia Limited | Buy |
3.00 | 29 | 29 |
| 8/4/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -1,575,000 | -1,575,000 |
| 8/4/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -932,000 | -932,000 |
| 8/4/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -540,000 | -540,000 |
| 8/4/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -500,000 | -500,000 |
| 8/4/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -400,000 | -400,000 |
Schedule 1
| Date of change | Holder of relevant interest | Nature of change |
Consideration given in relation to change |
~~Class and number of~~ securities affected (Ordinary Shares) |
Person's votes affected |
|---|---|---|---|---|---|
| 8/4/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -300,000 | -300,000 |
| 8/4/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -300,000 | -300,000 |
| 8/4/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -250,000 | -250,000 |
| 8/4/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -215,000 | -215,000 |
| 8/4/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -200,000 | -200,000 |
| 8/4/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -200,000 | -200,000 |
| 8/4/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -150,000 | -150,000 |
| 8/4/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -150,000 | -150,000 |
| 8/4/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -100,000 | -100,000 |
| 8/4/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -100,000 | -100,000 |
| 8/4/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -100,000 | -100,000 |
| 8/4/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -100,000 | -100,000 |
| 8/4/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -19,453 | -19,453 |
| 8/4/2017 | Deutsche Securities Australia Limited | Sell | 3.05 | -60 | -60 |
| 8/4/2017 | Deutsche Securities Australia Limited | Buy | 3.05 | 55 | 55 |
| 8/4/2017 | Deutsche Securities Australia Limited | Sell | 3.10 | -55 | -55 |
| 8/4/2017 | Deutsche Securities Australia Limited | Buy | 3.10 | 21 | 21 |
| 8/4/2017 | Deutsche Securities Australia Limited | Buy | 3.11 | 43 | 43 |
| 8/4/2017 | Deutsche Securities Australia Limited | Buy | 3.10 | 213 | 213 |
| 8/4/2017 | Deutsche Securities Australia Limited | Sell | 3.12 | -3 | -3 |
| 8/4/2017 | Deutsche Securities Australia Limited | Buy |
3.09 | 3 | 3 |
| 8/7/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -130,200 | -130,200 |
| 8/7/2017 | Deutsche Securities Australia Limited | Buy | 3.09 | 51 | 51 |
| 8/7/2017 | Deutsche Securities Australia Limited | Sell | 3.10 | -63 | -63 |
| 8/7/2017 | Deutsche Securities Australia Limited | Buy | 3.10 | 63 | 63 |
| 8/7/2017 | Deutsche Securities Australia Limited | Buy | 3.09 | 12 | 12 |
| 8/7/2017 | Deutsche Securities Australia Limited | Buy | 3.11 | 8 | 8 |
| 8/7/2017 | Deutsche Securities Australia Limited | Buy | 3.09 | 62 | 62 |
| 8/7/2017 | Deutsche Securities Australia Limited | Sell | 3.11 | -8 | -8 |
| 8/7/2017 | Deutsche Securities Australia Limited | Buy | 3.11 | 78 | 78 |
| 8/8/2017 | Deutsche New Zealand Ltd | Sell | 3.15 | -4,170 | -4,170 |
| 8/8/2017 | Deutsche Securities Australia Limited | Buy | 3.10 | 41 | 41 |
| 8/8/2017 | Deutsche Securities Australia Limited | Buy | 3.13 | 296 | 296 |
| 8/8/2017 | Deutsche Securities Australia Limited | Sell | 3.14 | -20 | -20 |
| 8/8/2017 | Deutsche Securities Australia Limited | Buy | 3.11 | 108 | 108 |
| 8/8/2017 | Deutsche Securities Australia Limited | Sell | 3.15 | -108 | -108 |
| 8/8/2017 | Deutsche Securities Australia Limited | Buy | 3.13 | 43 | 43 |
| 8/8/2017 | Deutsche Securities Australia Limited | Buy | 3.14 | 2 | 2 |
| 8/8/2017 | Deutsche Securities Australia Limited | Buy | 3.13 | 97 | 97 |
| 8/8/2017 | Deutsche Securities Australia Limited | Sell | 3.14 | -4 | -4 |
| 8/8/2017 | Deutsche Securities Australia Limited | Buy | 3.13 | 36 | 36 |
| 8/9/2017 | Deutsche Securities Australia Limited | Buy | 3.17 | 2,268 | 2,268 |
| 8/9/2017 | Deutsche Securities Australia Limited | Sell | 3.18 | -2,692 | -2,692 |
| 8/9/2017 | Deutsche Securities Australia Limited | Buy | 3.19 | 371 | 371 |
| 8/9/2017 | Deutsche Securities Australia Limited | Buy | 3.21 | 163 | 163 |
| 8/9/2017 | Deutsche Securities Australia Limited | Buy | 3.20 | 427 | 427 |
| 8/9/2017 | Deutsche Securities Australia Limited | Sell | 3.18 | -6 | -6 |
| 8/9/2017 | Deutsche Securities Australia Limited | Sell | 3.20 | -1 | -1 |
| 8/9/2017 | Deutsche Securities Australia Limited | Buy | 3.19 | 195 | 195 |
| 8/9/2017 | Deutsche Securities Australia Limited | Buy | 3.22 | 11 | 11 |
| 8/9/2017 | Deutsche Securities Australia Limited | Buy | 3.20 | 44 | 44 |
| 8/9/2017 | Deutsche Securities Australia Limited | Buy | 3.18 | 37 | 37 |
| 8/10/2017 | Deutsche New Zealand Ltd | Buy |
3.34 | 5,810 | 5,810 |
| 8/10/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -137,200 | -137,200 |
| 8/10/2017 | Deutsche Securities Australia Limited | Buy | 3.33 | 2,298 | 2,298 |
| 8/10/2017 | Deutsche Securities Australia Limited | Sell | 3.30 | -7 | -7 |
| 8/10/2017 | Deutsche Securities Australia Limited | Buy | 3.33 | 226 | 226 |
| 8/10/2017 | Deutsche Securities Australia Limited | Buy | 3.34 | 10 | 10 |
| 8/10/2017 | Deutsche Securities Australia Limited | Sell | 3.18 | -3 | -3 |
| 8/10/2017 | Deutsche Securities Australia Limited | Buy | 3.33 | 32 | 32 |
| 8/10/2017 | Deutsche Securities Australia Limited | Sell | 3.19 | -51 | -51 |
| 8/10/2017 | Deutsche Securities Australia Limited | Buy | 3.38 | 5 | 5 |
| 8/10/2017 | Deutsche Securities Australia Limited | Buy | 3.30 | 46 | 46 |
| 8/10/2017 | Deutsche Securities Australia Limited | Buy |
3.31 | 158 | 158 |
| 8/11/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -3,400 | -3,400 |
| 8/11/2017 | Deutsche Securities Australia Limited | Buy | 3.34 | 62 | 62 |
| 8/11/2017 | Deutsche Securities Australia Limited | Sell | 3.33 | -51 | -51 |
| 8/11/2017 | Deutsche Securities Australia Limited | Buy | 3.34 | 429 | 429 |
| 8/11/2017 | Deutsche Securities Australia Limited | Buy | 3.36 | 200 | 200 |
| 8/11/2017 | Deutsche Securities Australia Limited | Sell | 3.33 | -373 | -373 |
| 8/11/2017 | Deutsche Securities Australia Limited | Sell | 3.36 | -308 | -308 |
| 8/11/2017 | Deutsche Securities Australia Limited | Buy | 3.31 | 4 | 4 |
| 8/11/2017 | Deutsche Securities Australia Limited | Buy | 3.38 | 57 | 57 |
| 8/11/2017 | Deutsche Securities Australia Limited | Sell | 3.34 | -335 | -335 |
| 8/11/2017 | Deutsche Securities Australia Limited | Buy | 3.39 | 60 | 60 |
| 8/11/2017 | Deutsche Securities Australia Limited | Buy | 3.39 | 20 | 20 |
| 8/14/2017 | Deutsche Securities Australia Limited | Sell | 3.43 | -3,985 | -3,985 |
| 8/14/2017 | Deutsche Securities Australia Limited | Sell | 3.34 | -5 | -5 |
| 8/14/2017 | Deutsche Securities Australia Limited | Buy | 3.35 | 18 | 18 |
| 8/14/2017 | Deutsche Securities Australia Limited | Sell | 3.41 | -2 | -2 |
| 8/14/2017 | Deutsche Securities Australia Limited | Sell | 3.34 | -65 | -65 |
| 8/14/2017 | Deutsche Securities Australia Limited | Buy | 3.41 | 67 | 67 |
| 8/14/2017 | Deutsche Securities Australia Limited | Sell | 3.43 | -6 | -6 |
| 8/14/2017 | Deutsche Securities Australia Limited | Buy | 3.43 | 18 | 18 |
| 8/14/2017 | Deutsche Securities Australia Limited | Sell | 3.41 | -76 | -76 |
| 8/14/2017 | Deutsche Securities Australia Limited | Buy | 3.44 | 80 | 80 |
| 8/14/2017 | Deutsche Securities Australia Limited | Buy | 3.42 | 256 | 256 |
| 8/14/2017 | Deutsche Securities Australia Limited | Buy | 3.43 | 30 | 30 |
| 8/14/2017 | Deutsche Securities Australia Limited | Sell | 3.41 | -15 | -15 |
| 8/14/2017 | Deutsche Securities Australia Limited | Buy |
3.43 | 205 | 205 |
| 8/15/2017 | Deutsche Bank Securities Inc. | ~~Stock borrow from Citi Bank~~ (Refer to Schedule 2) |
N/A | 100,000 | 100,000 |
| 8/15/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -200,000 | -200,000 |
| 8/15/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -109,747 | -109,747 |
| 8/15/2017 | Deutsche Securities Australia Limited | Buy | 3.39 | 89 | 89 |
| 8/15/2017 | Deutsche Securities Australia Limited | Sell | 3.40 | -171 | -171 |
| 8/15/2017 | Deutsche Securities Australia Limited | Buy | 3.41 | 248 | 248 |
| 8/15/2017 | Deutsche Securities Australia Limited | Buy | 3.40 | 161 | 161 |
| 8/15/2017 | Deutsche Securities Australia Limited | Sell | 3.41 | -17 | -17 |
| 8/15/2017 | Deutsche Securities Australia Limited | Sell | 3.40 | -65 | -65 |
| 8/15/2017 | Deutsche Securities Australia Limited | Buy | 3.41 | 88 | 88 |
Schedule 1
| Date of change | Holder of relevant interest | Nature of change | Consideration given in relation to change |
~~Class and number of~~ securities affected (Ordinary Shares) |
Person's votes affected |
|---|---|---|---|---|---|
| 8/15/2017 | Deutsche Securities Australia Limited | Sell | 3.41 | -10,428 | -10,428 |
| 8/15/2017 | Deutsche Securities Australia Limited | Buy | 3.38 | 1 | 1 |
| 8/15/2017 | Deutsche Securities Australia Limited | Sell | 3.41 | -1 | -1 |
| 8/15/2017 | Deutsche Securities Australia Limited | Buy | 3.42 | 51 | 51 |
| 8/15/2017 | Deutsche Securities Australia Limited | Buy | 3.39 | 89 | 89 |
| 8/15/2017 | Deutsche Securities Australia Limited | Sell | 3.41 | -10 | -10 |
| 8/15/2017 | Deutsche Securities Australia Limited | Buy | 3.41 | 60 | 60 |
| 8/16/2017 | Deutsche Securities Australia Limited | Sell | 3.35 | -351 | -351 |
| 8/16/2017 | Deutsche Securities Australia Limited | Buy | 3.39 | 605 | 605 |
| 8/16/2017 | Deutsche Securities Australia Limited | Sell | 3.37 | -8,164 | -8,164 |
| 8/16/2017 | Deutsche Securities Australia Limited | Buy | 3.34 | 70 | 70 |
| 8/16/2017 | Deutsche Securities Australia Limited | Buy | 3.36 | 297 | 297 |
| 8/16/2017 | Deutsche Securities Australia Limited | Sell | 3.38 | -1 | -1 |
| 8/16/2017 | Deutsche Securities Australia Limited | Buy | 3.35 | 25 | 25 |
| 8/16/2017 | Deutsche Securities Australia Limited | Buy | 3.35 | 881 | 881 |
| 8/16/2017 | Deutsche Securities Australia Limited | Buy | 3.36 | 240 | 240 |
| 8/16/2017 | Deutsche Securities Australia Limited | Sell | 3.37 | -598 | -598 |
| 8/17/2017 | Deutsche Securities Australia Limited | Sell | 3.47 | -58 | -58 |
| 8/17/2017 | Deutsche Securities Australia Limited | Buy | 3.43 | 129 | 129 |
| 8/17/2017 | Deutsche Securities Australia Limited | Sell | 3.47 | -7 | -7 |
| 8/17/2017 | Deutsche Securities Australia Limited | Buy | 3.44 | 257 | 257 |
| 8/17/2017 | Deutsche Securities Australia Limited | Sell | 3.47 | -15 | -15 |
| 8/17/2017 | Deutsche Securities Australia Limited | Sell | 3.46 | -4 | -4 |
| 8/17/2017 | Deutsche Securities Australia Limited | Buy | 3.45 | 2 | 2 |
| 8/17/2017 | Deutsche Securities Australia Limited | Buy | 3.50 | 268 | 268 |
| 8/17/2017 | Deutsche Securities Australia Limited | Sell | 3.46 | -226 | -226 |
| 8/17/2017 | Deutsche Securities Australia Limited | Buy | 3.45 | 61 | 61 |
| 8/18/2017 | Deutsche Securities Australia Limited | Buy | 3.39 | 76 | 76 |
| 8/18/2017 | Deutsche Securities Australia Limited | Buy | 3.38 | 433 | 433 |
| 8/18/2017 | Deutsche Securities Australia Limited | Buy | 3.38 | 91 | 91 |
| 8/18/2017 | Deutsche Securities Australia Limited | Buy | 3.38 | 153 | 153 |
| 8/18/2017 | Deutsche Securities Australia Limited | Buy | 3.37 | 23 | 23 |
| 8/18/2017 | Deutsche Securities Australia Limited | Sell | 3.37 | -40 | -40 |
| 8/18/2017 | Deutsche Securities Australia Limited | Buy | 3.39 | 10 | 10 |
| 8/18/2017 | Deutsche Securities Australia Limited | Sell | 3.39 | -49 | -49 |
| 8/18/2017 | Deutsche Securities Australia Limited | Buy | 3.38 | 122 | 122 |
| 8/18/2017 | Deutsche Securities Australia Limited | Sell | 3.37 | -12 | -12 |
| 8/18/2017 | Deutsche Securities Australia Limited | Sell | 3.37 | -18 | -18 |
| 8/21/2017 | Deutsche Securities Australia Limited | Sell | 3.43 | -47 | -47 |
| 8/21/2017 | Deutsche Securities Australia Limited | Buy | 3.42 | 5 | 5 |
| 8/21/2017 | Deutsche Securities Australia Limited | Buy | 3.43 | 30 | 30 |
| 8/21/2017 | Deutsche Securities Australia Limited | Sell | 3.42 | -96 | -96 |
| 8/21/2017 | Deutsche Securities Australia Limited | Buy | 3.41 | 339 | 339 |
| 8/21/2017 | Deutsche Securities Australia Limited | Sell | 3.43 | -1,043 | -1,043 |
| 8/21/2017 | Deutsche Securities Australia Limited | Buy | 3.42 | 39 | 39 |
| 8/21/2017 | Deutsche Securities Australia Limited | Buy | 3.43 | 12 | 12 |
| 8/21/2017 | Deutsche Securities Australia Limited | Buy | 3.40 | 87 | 87 |
| 8/21/2017 | Deutsche Securities Australia Limited | Sell | 3.42 | -37 | -37 |
| 8/21/2017 | Deutsche Securities Australia Limited | Buy | 3.43 | 99 | 99 |
| 8/21/2017 | Deutsche Securities Australia Limited | Buy |
3.43 | 10 | 10 |
| 8/22/2017 | Deutsche Bank AG,London Branch | ~~Stock borrow from Citi Bank~~ (Refer to Schedule 2) |
N/A | 120,000 | 120,000 |
| 8/22/2017 | Deutsche Securities Australia Limited | Buy | 3.49 | 171 | 171 |
| 8/22/2017 | Deutsche Securities Australia Limited | Sell | 3.57 | -180 | -180 |
| 8/22/2017 | Deutsche Securities Australia Limited | Buy | 3.53 | 27 | 27 |
| 8/22/2017 | Deutsche Securities Australia Limited | Sell | 3.44 | -48 | -48 |
| 8/22/2017 | Deutsche Securities Australia Limited | Buy | 3.56 | 3,131 | 3,131 |
| 8/22/2017 | Deutsche Securities Australia Limited | Sell | 3.44 | -2 | -2 |
| 8/22/2017 | Deutsche Securities Australia Limited | Buy | 3.55 | 60 | 60 |
| 8/22/2017 | Deutsche Securities Australia Limited | Buy | 3.52 | 19 | 19 |
| 8/22/2017 | Deutsche Securities Australia Limited | Buy | 3.49 | 15 | 15 |
| 8/22/2017 | Deutsche Securities Australia Limited | Buy | 3.51 | 382 | 382 |
| 8/22/2017 | Deutsche Securities Australia Limited | Sell | 3.49 | -10 | -10 |
| 8/22/2017 | Deutsche Securities Australia Limited | Buy |
3.48 | 5 | 5 |
| 8/23/2017 | Deutsche Bank AG,London Branch | ~~Return of stock borrow to Citi Bank~~ (Refer to Schedule 2) |
N/A | -60,000 | -60,000 |
| 8/23/2017 | Deutsche Securities Australia Limited | Sell | 3.49 | -2,040 | -2,040 |
| 8/23/2017 | Deutsche Securities Australia Limited | Buy | 3.44 | 400 | 400 |
| 8/23/2017 | Deutsche Securities Australia Limited | Buy | 3.57 | 51 | 51 |
| 8/23/2017 | Deutsche Securities Australia Limited | Buy | 3.45 | 397 | 397 |
| 8/23/2017 | Deutsche Securities Australia Limited | Buy | 3.50 | 29 | 29 |
| 8/23/2017 | Deutsche Securities Australia Limited | Sell | 3.47 | -30 | -30 |
| 8/23/2017 | Deutsche Securities Australia Limited | Buy | 3.48 | 337 | 337 |
| 8/23/2017 | Deutsche Securities Australia Limited | Sell | 3.42 | -2 | -2 |
| 8/23/2017 | Deutsche Securities Australia Limited | Buy | 3.45 | 70 | 70 |
| 8/24/2017 | Deutsche Securities Australia Limited | Sell | 3.49 | -37 | -37 |
| 8/24/2017 | Deutsche Securities Australia Limited | Buy | 3.50 | 288 | 288 |
| 8/24/2017 | Deutsche Securities Australia Limited | Sell | 3.47 | -226 | -226 |
| 8/24/2017 | Deutsche Securities Australia Limited | Buy | 3.49 | 256 | 256 |
| 8/24/2017 | Deutsche Securities Australia Limited | Buy | 3.50 | 2 | 2 |
| 8/24/2017 | Deutsche Securities Australia Limited | Buy | 3.44 | 8 | 8 |
| 8/24/2017 | Deutsche Securities Australia Limited | Buy | 3.49 | 67 | 67 |
| 8/24/2017 | Deutsche Securities Australia Limited | Buy | 3.49 | 401 | 401 |
| 8/24/2017 | Deutsche Securities Australia Limited | Buy |
3.49 | 26 | 26 |
| 8/25/2017 | Deutsche Bank AG,London Branch | ~~Stock borrow from Citi Bank~~ (Refer to Schedule 2) |
N/A | 128,541 | 128,541 |
| 8/25/2017 | Deutsche Securities Australia Limited | Sell | 3.52 | -276 | -276 |
| 8/25/2017 | Deutsche Securities Australia Limited | Buy | 3.51 | 370 | 370 |
| 8/25/2017 | Deutsche Securities Australia Limited | Sell | 3.51 | -39 | -39 |
| 8/25/2017 | Deutsche Securities Australia Limited | Buy | 3.53 | 44 | 44 |
| 8/25/2017 | Deutsche Securities Australia Limited | Buy | 3.51 | 2 | 2 |
| 8/25/2017 | Deutsche Securities Australia Limited | Buy | 3.51 | 11 | 11 |
| 8/25/2017 | Deutsche Securities Australia Limited | Sell | 3.47 | -1 | -1 |
| 8/25/2017 | Deutsche Securities Australia Limited | Buy | 3.52 | 498 | 498 |
| 8/25/2017 | Deutsche Securities Australia Limited | Buy | 3.50 | 80 | 80 |
| 8/25/2017 | Deutsche Securities Australia Limited | Sell | 3.53 | -11 | -11 |
| 8/25/2017 | Deutsche Securities Australia Limited | Buy |
3.51 | 58 | 58 |
| 8/28/2017 | Deutsche Securities Australia Limited | ~~Stock borrow from BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | 265,000 | 265,000 |
| 8/28/2017 | Deutsche Securities Australia Limited | Sell | 3.44 | -34 | -34 |
| 8/28/2017 | Deutsche Securities Australia Limited | Buy | 3.45 | 63 | 63 |
| 8/28/2017 | Deutsche Securities Australia Limited | Buy | 3.48 | 49 | 49 |
| 8/28/2017 | Deutsche Securities Australia Limited | Sell | 3.45 | -38 | -38 |
| 8/28/2017 | Deutsche Securities Australia Limited | Sell | 3.45 | -117 | -117 |
| 8/28/2017 | Deutsche Securities Australia Limited | Buy | 3.47 | 176 | 176 |
| 8/28/2017 | Deutsche Securities Australia Limited | Buy | 3.45 | 3 | 3 |
| 8/28/2017 | Deutsche Securities Australia Limited | Buy | 3.48 | 64 | 64 |
| 8/28/2017 | Deutsche Securities Australia Limited | Sell | 3.44 | -49 | -49 |
| 8/28/2017 | Deutsche Securities Australia Limited | Buy | 3.45 | 163 | 163 |
| 8/28/2017 | Deutsche Securities Australia Limited | Buy |
3.49 | 38 | 38 |
| 8/29/2017 | Deutsche Bank AG,London Branch | ~~Stock borrow from Citi Bank~~ (Refer to Schedule 2) |
N/A | 150,000 | 150,000 |
| 8/29/2017 | Deutsche Bank Securities Inc. | ~~Return of stock borrow to Citi Bank~~ (Refer to Schedule 2) |
N/A | -100,000 | -100,000 |
| 8/29/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -135,200 | -135,200 |
| 8/29/2017 | Deutsche Securities Australia Limited | Buy | 3.49 | 114 | 114 |
| 8/29/2017 | Deutsche Securities Australia Limited | Buy | 3.48 | 987 | 987 |
| 8/29/2017 | Deutsche Securities Australia Limited | Buy | 3.47 | 78 | 78 |
Schedule 1
| Date of change | Holder of relevant interest | Nature of change | Consideration given in relation to change |
~~Class and number of~~ securities affected (Ordinary Shares) |
Person's votes affected |
|---|---|---|---|---|---|
| 8/29/2017 | Deutsche Securities Australia Limited | Sell | 3.46 | -18 | -18 |
| 8/29/2017 | Deutsche Securities Australia Limited | Buy | 3.46 | 123 | 123 |
| 8/29/2017 | Deutsche Securities Australia Limited | Buy | 3.47 | 42 | 42 |
| 8/29/2017 | Deutsche Securities Australia Limited | Buy | 3.53 | 17 | 17 |
| 8/29/2017 | Deutsche Securities Australia Limited | Buy | 3.48 | 300 | 300 |
| 8/29/2017 | Deutsche Securities Australia Limited | Buy |
3.53 | 81 | 81 |
| 8/30/2017 | Deutsche Bank AG,London Branch | ~~Stock borrow from JP Morgan Chase~~ (Refer to Schedule 2) |
N/A | 75,000 | 75,000 |
| 8/30/2017 | Deutsche Bank Securities Inc. | ~~Stock borrow from Citi Bank~~ (Refer to Schedule 2) |
N/A | 462,000 | 462,000 |
| 8/30/2017 | Deutsche Securities Australia Limited | Sell | 3.47 | -37 | -37 |
| 8/30/2017 | Deutsche Securities Australia Limited | Buy | 3.44 | 60 | 60 |
| 8/30/2017 | Deutsche Securities Australia Limited | Buy | 3.45 | 48 | 48 |
| 8/30/2017 | Deutsche Securities Australia Limited | Buy | 3.47 | 23 | 23 |
| 8/30/2017 | Deutsche Securities Australia Limited | Buy | 3.46 | 43 | 43 |
| 8/30/2017 | Deutsche Securities Australia Limited | Sell | 3.46 | -11 | -11 |
| 8/30/2017 | Deutsche Securities Australia Limited | Buy | 3.46 | 164 | 164 |
| 8/30/2017 | Deutsche Securities Australia Limited | Buy |
3.46 | 58 | 58 |
| 8/31/2017 | Deutsche Bank AG,London Branch | ~~Stock borrow from BMO Capital Markets Corporation~~ (Refer to Schedule 2) |
N/A | 400,000 | 400,000 |
| 8/31/2017 | Deutsche Bank Securities Inc. | ~~Stock borrow from JP Morgan Chase~~ (Refer to Schedule 2) |
N/A | 30,500 | 30,500 |
| 8/31/2017 | Deutsche Bank Securities Inc. | ~~Stock borrow from Bank of New York~~ (Refer to Schedule 2) |
N/A | 100,000 | 100,000 |
| 8/31/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -129,800 | -129,800 |
| 8/31/2017 | Deutsche Securities Australia Limited | Sell | 3.34 | -30 | -30 |
| 8/31/2017 | Deutsche Securities Australia Limited | Sell | 3.36 | -12 | -12 |
| 8/31/2017 | Deutsche Securities Australia Limited | Buy | 3.30 | 13 | 13 |
| 8/31/2017 | Deutsche Securities Australia Limited | Buy | 3.37 | 67 | 67 |
| 8/31/2017 | Deutsche Securities Australia Limited | Buy | 3.34 | 48 | 48 |
| 8/31/2017 | Deutsche Securities Australia Limited | Sell | 3.36 | -6 | -6 |
| 8/31/2017 | Deutsche Securities Australia Limited | Buy | 3.33 | 38 | 38 |
| 8/31/2017 | Deutsche Securities Australia Limited | Buy |
3.37 | 1,161 | 1,161 |
| 9/1/2017 | Deutsche Bank Securities Inc. | ~~Stock borrow from Bank of New York~~ (Refer to Schedule 2) |
N/A | 100,000 | 100,000 |
| 9/1/2017 | Deutsche Securities Australia Limited | Sell | 3.47 | -88 | -88 |
| 9/1/2017 | Deutsche Securities Australia Limited | Buy | 3.51 | 198 | 198 |
| 9/1/2017 | Deutsche Securities Australia Limited | Buy | 3.51 | 104 | 104 |
| 9/1/2017 | Deutsche Securities Australia Limited | Sell | 3.52 | -4 | -4 |
| 9/1/2017 | Deutsche Securities Australia Limited | Sell | 3.43 | -2 | -2 |
| 9/1/2017 | Deutsche Securities Australia Limited | Buy | 3.51 | 193 | 193 |
| 9/1/2017 | Deutsche Securities Australia Limited | Buy | 3.48 | 18 | 18 |
| 9/1/2017 | Deutsche Securities Australia Limited | Buy | 3.51 | 2 | 2 |
| 9/1/2017 | Deutsche Securities Australia Limited | Buy | 3.51 | 227 | 227 |
| 9/1/2017 | Deutsche Securities Australia Limited | Buy | 3.50 | 47 | 47 |
| 9/1/2017 | Deutsche Securities Australia Limited | Sell | 3.52 | -54 | -54 |
| 9/1/2017 | Deutsche Securities Australia Limited | Buy |
3.46 | 15 | 15 |
| 9/4/2017 | Deutsche Bank Securities Inc. | ~~Return of stock borrow to Bank of New York~~ (Refer to Schedule 2) |
N/A | -100,000 | -100,000 |
| 9/4/2017 | Deutsche Securities Australia Limited | Buy | 3.56 | 40 | 40 |
| 9/4/2017 | Deutsche Securities Australia Limited | Buy | 3.57 | 62 | 62 |
| 9/4/2017 | Deutsche Securities Australia Limited | Buy | 3.57 | 19 | 19 |
| 9/4/2017 | Deutsche Securities Australia Limited | Buy | 3.56 | 47 | 47 |
| 9/4/2017 | Deutsche Securities Australia Limited | Buy | 3.56 | 291 | 291 |
| 9/4/2017 | Deutsche Securities Australia Limited | Sell | 3.57 | -6 | -6 |
| 9/4/2017 | Deutsche Securities Australia Limited | Buy | 3.58 | 3 | 3 |
| 9/5/2017 | Deutsche Securities Australia Limited | Buy | 3.63 | 39 | 39 |
| 9/5/2017 | Deutsche Securities Australia Limited | Buy | 3.71 | 234 | 234 |
| 9/5/2017 | Deutsche Securities Australia Limited | Buy | 3.61 | 69 | 69 |
| 9/5/2017 | Deutsche Securities Australia Limited | Sell | 3.66 | -308 | -308 |
| 9/5/2017 | Deutsche Securities Australia Limited | Buy | 3.59 | 30 | 30 |
| 9/5/2017 | Deutsche Securities Australia Limited | Buy | 3.61 | 18 | 18 |
| 9/5/2017 | Deutsche Securities Australia Limited | Buy | 3.64 | 132 | 132 |
| 9/5/2017 | Deutsche Securities Australia Limited | Buy | 3.64 | 111 | 111 |
| 9/5/2017 | Deutsche Securities Australia Limited | Sell | 3.64 | -796 | -796 |
| 9/5/2017 | Deutsche Securities Australia Limited | Buy | 3.63 | 23 | 23 |
| 9/6/2017 | Deutsche Securities Australia Limited | Buy | 3.83 | 32 | 32 |
| 9/6/2017 | Deutsche Securities Australia Limited | Sell | 3.71 | -534 | -534 |
| 9/6/2017 | Deutsche Securities Australia Limited | Buy | 3.71 | 69 | 69 |
| 9/6/2017 | Deutsche Securities Australia Limited | Sell | 3.70 | -53 | -53 |
| 9/6/2017 | Deutsche Securities Australia Limited | Buy | 3.86 | 35 | 35 |
| 9/6/2017 | Deutsche Securities Australia Limited | Buy | 3.86 | 349 | 349 |
| 9/6/2017 | Deutsche Securities Australia Limited | Sell | 3.71 | -480 | -480 |
| 9/6/2017 | Deutsche Securities Australia Limited | Buy | 3.87 | 107 | 107 |
| 9/6/2017 | Deutsche Securities Australia Limited | Sell | 3.88 | -63 | -63 |
| 9/6/2017 | Deutsche Securities Australia Limited | Sell | 3.74 | -95 | -95 |
| 9/6/2017 | Deutsche Securities Australia Limited | Buy | 3.71 | 378 | 378 |
| 9/6/2017 | Deutsche Securities Australia Limited | Sell | 3.76 | -622 | -622 |
| 9/6/2017 | Deutsche Securities Australia Limited | Buy | 3.80 | 95 | 95 |
| 9/6/2017 | Deutsche Securities Australia Limited | Buy | 3.78 | 126 | 126 |
| 9/6/2017 | Deutsche Securities Australia Limited | Sell | 3.71 | -30 | -30 |
| 9/6/2017 | Deutsche Securities Australia Limited | Buy | 3.83 | 97 | 97 |
| 9/7/2017 | Deutsche New Zealand Ltd | Sell | 3.92 | -2,000 | -2,000 |
| 9/7/2017 | Deutsche New Zealand Ltd | Sell | 3.92 | -2,000 | -2,000 |
| 9/7/2017 | Deutsche New Zealand Ltd | Sell | 3.96 | -7,000 | -7,000 |
| 9/7/2017 | Deutsche New Zealand Ltd | Sell | 3.92 | -2,000 | -2,000 |
| 9/7/2017 | Deutsche New Zealand Ltd | Sell | 3.92 | -2,000 | -2,000 |
| 9/7/2017 | Deutsche New Zealand Ltd | Sell | 3.92 | -2,000 | -2,000 |
| 9/7/2017 | Deutsche New Zealand Ltd | Sell | 3.96 | -5,000 | -5,000 |
| 9/7/2017 | Deutsche New Zealand Ltd | Sell | 3.95 | -2,000 | -2,000 |
| 9/7/2017 | Deutsche New Zealand Ltd | Sell | 3.93 | -3,000 | -3,000 |
| 9/7/2017 | Deutsche New Zealand Ltd | Sell | 3.95 | -5,000 | -5,000 |
| 9/7/2017 | Deutsche Securities Australia Limited | Buy | 3.93 | 150,000 | 150,000 |
| 9/7/2017 | Deutsche Securities Australia Limited | Sell | 3.92 | -150,000 | -150,000 |
| 9/7/2017 | Deutsche Securities Australia Limited | Sell | 3.93 | -25 | -25 |
| 9/7/2017 | Deutsche Securities Australia Limited | Buy | 3.92 | 422 | 422 |
| 9/7/2017 | Deutsche Securities Australia Limited | Sell | 3.97 | -30 | -30 |
| 9/7/2017 | Deutsche Securities Australia Limited | Buy | 3.95 | 97 | 97 |
| 9/7/2017 | Deutsche Securities Australia Limited | Buy | 3.93 | 23 | 23 |
| 9/7/2017 | Deutsche Securities Australia Limited | Sell | 3.93 | -4 | -4 |
| 9/7/2017 | Deutsche Securities Australia Limited | Buy | 3.91 | 140 | 140 |
| 9/7/2017 | Deutsche Securities Australia Limited | Buy | 3.92 | 164 | 164 |
| 9/7/2017 | Deutsche Securities Australia Limited | Sell | 3.91 | -21 | -21 |
| 9/7/2017 | Deutsche Securities Australia Limited | Buy |
3.89 | 189 | 189 |
| 9/8/2017 | Deutsche Securities Australia Limited | ~~Stock borrow from Citi Bank N.A., Sydney Branch~~ (Refer to Schedule 2) |
N/A | 290,000 | 290,000 |
| 9/8/2017 | Deutsche Securities Australia Limited | Buy | 3.92 | 561 | 561 |
| 9/8/2017 | Deutsche Securities Australia Limited | Sell | 3.93 | -4,779 | -4,779 |
| 9/8/2017 | Deutsche Securities Australia Limited | Buy | 3.93 | 106 | 106 |
| 9/8/2017 | Deutsche Securities Australia Limited | Buy | 3.93 | 15 | 15 |
| 9/8/2017 | Deutsche Securities Australia Limited | Buy | 3.91 | 165 | 165 |
| 9/8/2017 | Deutsche Securities Australia Limited | Buy | 3.93 | 87 | 87 |
| 9/11/2017 | Deutsche New Zealand Ltd | Sell | 3.77 | -1,000 | -1,000 |
| 9/11/2017 | Deutsche New Zealand Ltd | Sell | 3.77 | -2,000 | -2,000 |
| 9/11/2017 | Deutsche New Zealand Ltd | Sell | 3.77 | -1,000 | -1,000 |
| 9/11/2017 | Deutsche New Zealand Ltd | Sell | 3.77 | -2,000 | -2,000 |
| 9/11/2017 | Deutsche New Zealand Ltd | Sell | 3.77 | -2,000 | -2,000 |
| 9/11/2017 | Deutsche New Zealand Ltd | Sell | 3.77 | -3,000 | -3,000 |
Schedule 1
| Date of change | Holder of relevant interest | Nature of change | Consideration given in relation to change |
~~Class and number of~~ securities affected (Ordinary Shares) |
Person's votes affected |
|---|---|---|---|---|---|
| 9/11/2017 | Deutsche New Zealand Ltd | Sell | 3.77 | -2,000 | -2,000 |
| 9/11/2017 | Deutsche New Zealand Ltd | Sell | 3.77 | -3,000 | -3,000 |
| 9/11/2017 | Deutsche New Zealand Ltd | Sell | 3.77 | -2,000 | -2,000 |
| 9/11/2017 | Deutsche Securities Australia Limited | Buy | 3.78 | 30 | 30 |
| 9/11/2017 | Deutsche Securities Australia Limited | Sell | 3.82 | -7 | -7 |
| 9/11/2017 | Deutsche Securities Australia Limited | Sell | 3.79 | -584 | -584 |
| 9/11/2017 | Deutsche Securities Australia Limited | Buy | 3.79 | 13 | 13 |
| 9/11/2017 | Deutsche Securities Australia Limited | Buy | 3.79 | 171 | 171 |
| 9/11/2017 | Deutsche Securities Australia Limited | Buy | 3.81 | 188 | 188 |
| 9/11/2017 | Deutsche Securities Australia Limited | Sell | 3.76 | -636 | -636 |
| 9/11/2017 | Deutsche Securities Australia Limited | Buy | 3.78 | 166 | 166 |
| 9/11/2017 | Deutsche Securities Australia Limited | Buy | 3.79 | 205 | 205 |
| 9/11/2017 | Deutsche Securities Australia Limited | Buy |
3.81 | 189 | 189 |
| 9/12/2017 | Deutsche Bank AG,London Branch | ~~Return of stock borrow to JP Morgan Chase~~ (Refer to Schedule 2) |
N/A | -75,000 | -75,000 |
| 9/12/2017 | Deutsche Bank Securities Inc. | ~~Return of stock borrow to Citi Bank~~ (Refer to Schedule 2) |
N/A | -462,000 | -462,000 |
| 9/12/2017 | Deutsche Bank Securities Inc. | ~~Return of stock borrow to Bank of New York~~ (Refer to Schedule 2) |
N/A | -148,500 | -148,500 |
| 9/12/2017 | Deutsche Bank Securities Inc. | ~~Return of stock borrow to Bank of New York~~ (Refer to Schedule 2) |
N/A | -100,000 | -100,000 |
| 9/12/2017 | Deutsche Bank Securities Inc. | ~~Return of stock borrow to JP Morgan Chase~~ (Refer to Schedule 2) |
N/A | -30,500 | -30,500 |
| 9/12/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to Citi Bank N.A., Sydney Branch~~ (Refer to Schedule 2) |
N/A | -290,000 | -290,000 |
| 9/12/2017 | Deutsche Securities Australia Limited | Buy | 3.82 | 222 | 222 |
| 9/12/2017 | Deutsche Securities Australia Limited | Sell | 3.84 | -29 | -29 |
| 9/12/2017 | Deutsche Securities Australia Limited | Buy | 3.85 | 57 | 57 |
| 9/12/2017 | Deutsche Securities Australia Limited | Buy | 3.81 | 26 | 26 |
| 9/12/2017 | Deutsche Securities Australia Limited | Buy | 3.83 | 14 | 14 |
| 9/12/2017 | Deutsche Securities Australia Limited | Sell | 3.83 | -1 | -1 |
| 9/12/2017 | Deutsche Securities Australia Limited | Buy | 3.84 | 244 | 244 |
| 9/12/2017 | Deutsche Securities Australia Limited | Buy |
3.81 | 38 | 38 |
| 9/13/2017 | Deutsche Bank AG,London Branch | ~~Return of stock borrow to BMO Capital Markets Corporation~~ (Refer to Schedule 2) |
N/A | -400,000 | -400,000 |
| 9/13/2017 | Deutsche Bank AG,London Branch | ~~Return of stock borrow to BMO Capital Markets Corporation~~ (Refer to Schedule 2) |
N/A | -131,000 | -131,000 |
| 9/13/2017 | Deutsche New Zealand Ltd | Sell | 3.88 | -2,000 | -2,000 |
| 9/13/2017 | Deutsche New Zealand Ltd | Sell | 3.88 | -2,000 | -2,000 |
| 9/13/2017 | Deutsche New Zealand Ltd | Sell | 3.88 | -2,000 | -2,000 |
| 9/13/2017 | Deutsche New Zealand Ltd | Sell | 3.88 | -3,000 | -3,000 |
| 9/13/2017 | Deutsche New Zealand Ltd | Sell | 3.87 | -3,000 | -3,000 |
| 9/13/2017 | Deutsche New Zealand Ltd | Sell | 3.88 | -3,000 | -3,000 |
| 9/13/2017 | Deutsche New Zealand Ltd | Sell | 3.88 | -2,000 | -2,000 |
| 9/13/2017 | Deutsche New Zealand Ltd | Sell | 3.88 | -3,000 | -3,000 |
| 9/13/2017 | Deutsche New Zealand Ltd | Sell | 3.87 | -3,000 | -3,000 |
| 9/13/2017 | Deutsche Securities Australia Limited | Buy | 3.90 | 21 | 21 |
| 9/13/2017 | Deutsche Securities Australia Limited | Sell | 3.89 | -7 | -7 |
| 9/13/2017 | Deutsche Securities Australia Limited | Buy | 3.89 | 39 | 39 |
| 9/13/2017 | Deutsche Securities Australia Limited | Sell | 3.89 | -2 | -2 |
| 9/13/2017 | Deutsche Securities Australia Limited | Buy | 3.91 | 24 | 24 |
| 9/13/2017 | Deutsche Securities Australia Limited | Buy | 3.89 | 53 | 53 |
| 9/13/2017 | Deutsche Securities Australia Limited | Buy | 3.91 | 349 | 349 |
| 9/13/2017 | Deutsche Securities Australia Limited | Sell | 3.88 | -173 | -173 |
| 9/13/2017 | Deutsche Securities Australia Limited | Buy | 3.89 | 16 | 16 |
| 9/13/2017 | Deutsche Securities Australia Limited | Sell | 3.91 | -11 | -11 |
| 9/14/2017 | Deutsche Securities Australia Limited | Buy | 3.73 | 56 | 56 |
| 9/14/2017 | Deutsche Securities Australia Limited | Sell | 3.71 | -51 | -51 |
| 9/14/2017 | Deutsche Securities Australia Limited | Buy | 3.69 | 102 | 102 |
| 9/14/2017 | Deutsche Securities Australia Limited | Buy | 3.72 | 283 | 283 |
| 9/14/2017 | Deutsche Securities Australia Limited | Sell | 3.70 | -20 | -20 |
| 9/14/2017 | Deutsche Securities Australia Limited | Buy | 3.69 | 8 | 8 |
| 9/14/2017 | Deutsche Securities Australia Limited | Sell | 3.69 | -86 | -86 |
| 9/14/2017 | Deutsche Securities Australia Limited | Buy | 3.70 | 26 | 26 |
| 9/14/2017 | Deutsche Securities Australia Limited | Buy | 3.72 | 22 | 22 |
| 9/14/2017 | Deutsche Securities Australia Limited | Buy |
3.71 | 8 | 8 |
| 9/15/2017 | Deutsche Securities Australia Limited | ~~Stock borrow from BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | 35,000 | 35,000 |
| 9/15/2017 | Deutsche Securities Australia Limited | Buy | 3.60 | 117 | 117 |
| 9/15/2017 | Deutsche Securities Australia Limited | Buy | 3.59 | 129 | 129 |
| 9/15/2017 | Deutsche Securities Australia Limited | Sell | 3.56 | -3 | -3 |
| 9/15/2017 | Deutsche Securities Australia Limited | Buy | 3.58 | 225 | 225 |
| 9/15/2017 | Deutsche Securities Australia Limited | Buy | 3.61 | 5 | 5 |
| 9/15/2017 | Deutsche Securities Australia Limited | Sell | 3.55 | -174 | -174 |
| 9/15/2017 | Deutsche Securities Australia Limited | Sell | 3.67 | -136 | -136 |
| 9/15/2017 | Deutsche Securities Australia Limited | Buy | 3.62 | 328 | 328 |
| 9/15/2017 | Deutsche Securities Australia Limited | Buy | 3.66 | 127 | 127 |
| 9/18/2017 | Deutsche Securities Australia Limited | Buy | 3.46 | 298 | 298 |
| 9/18/2017 | Deutsche Securities Australia Limited | Buy | 3.52 | 93 | 93 |
| 9/18/2017 | Deutsche Securities Australia Limited | Sell | 3.46 | -7 | -7 |
| 9/18/2017 | Deutsche Securities Australia Limited | Buy | 3.52 | 310 | 310 |
| 9/18/2017 | Deutsche Securities Australia Limited | Buy | 3.51 | 2 | 2 |
| 9/18/2017 | Deutsche Securities Australia Limited | Sell | 3.53 | -174 | -174 |
| 9/18/2017 | Deutsche Securities Australia Limited | Sell | 3.50 | -51 | -51 |
| 9/18/2017 | Deutsche Securities Australia Limited | Buy | 3.55 | 93 | 93 |
| 9/18/2017 | Deutsche Securities Australia Limited | Sell | 3.49 | -27 | -27 |
| 9/18/2017 | Deutsche Securities Australia Limited | Buy | 3.49 | 66 | 66 |
| 9/19/2017 | Deutsche Securities Australia Limited | Sell | 3.58 | -77 | -77 |
| 9/19/2017 | Deutsche Securities Australia Limited | Buy | 3.59 | 1,412 | 1,412 |
| 9/19/2017 | Deutsche Securities Australia Limited | Sell | 3.58 | -6 | -6 |
| 9/19/2017 | Deutsche Securities Australia Limited | Buy | 3.58 | 279 | 279 |
| 9/19/2017 | Deutsche Securities Australia Limited | Buy | 3.58 | 6 | 6 |
| 9/19/2017 | Deutsche Securities Australia Limited | Sell | 3.58 | -43 | -43 |
| 9/19/2017 | Deutsche Securities Australia Limited | Buy | 3.58 | 136 | 136 |
| 9/19/2017 | Deutsche Securities Australia Limited | Buy | 3.58 | 392 | 392 |
| 9/19/2017 | Deutsche Securities Australia Limited | Sell |
3.58 | -1,133 | -1,133 |
| 9/20/2017 | Deutsche Securities Australia Limited | ~~Stock borrow from BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | 505,000 | 505,000 |
| 9/20/2017 | Deutsche Securities Australia Limited | Buy | 3.58 | 1 | 1 |
| 9/20/2017 | Deutsche Securities Australia Limited | Buy | 3.58 | 558 | 558 |
| 9/20/2017 | Deutsche Securities Australia Limited | Buy | 3.59 | 6 | 6 |
| 9/20/2017 | Deutsche Securities Australia Limited | Buy | 3.57 | 52 | 52 |
| 9/20/2017 | Deutsche Securities Australia Limited | Sell | 3.57 | -1 | -1 |
| 9/21/2017 | Deutsche New Zealand Ltd | Buy |
3.51 | 1,275 | 1,275 |
| 9/21/2017 | Deutsche Securities Australia Limited | ~~Stock borrow from BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | 1,070,000 | 1,070,000 |
| 9/21/2017 | Deutsche Securities Australia Limited | Buy | 3.50 | 37 | 37 |
| 9/21/2017 | Deutsche Securities Australia Limited | Buy | 3.50 | 124 | 124 |
| 9/21/2017 | Deutsche Securities Australia Limited | Buy | 3.56 | 28 | 28 |
| 9/21/2017 | Deutsche Securities Australia Limited | Sell | 3.60 | -20 | -20 |
| 9/21/2017 | Deutsche Securities Australia Limited | Buy | 3.53 | 2,004 | 2,004 |
| 9/21/2017 | Deutsche Securities Australia Limited | Sell | 3.56 | -60 | -60 |
| 9/21/2017 | Deutsche Securities Australia Limited | Buy | 3.50 | 13 | 13 |
| 9/21/2017 | Deutsche Securities Australia Limited | Buy | 3.50 | 18 | 18 |
| 9/21/2017 | Deutsche Securities Australia Limited | Buy | 3.51 | 1,058 | 1,058 |
| 9/21/2017 | Deutsche Securities Australia Limited | Buy |
3.54 | 70 | 70 |
| 9/22/2017 | Deutsche Bank AG,London Branch | ~~Stock borrow from Citi Bank~~ (Refer to Schedule 2) |
N/A | 2,600,000 | 2,600,000 |
| 9/22/2017 | Deutsche Securities Australia Limited | Buy | 3.40 | 234 | 234 |
Schedule 1
| Date of change | Holder of relevant interest | Nature of change | Consideration given in relation to change |
~~Class and number of~~ securities affected (Ordinary Shares) |
Person's votes affected |
|---|---|---|---|---|---|
| 9/22/2017 | Deutsche Securities Australia Limited | Buy | 3.39 | 9 | 9 |
| 9/22/2017 | Deutsche Securities Australia Limited | Buy | 3.39 | 302 | 302 |
| 9/22/2017 | Deutsche Securities Australia Limited | Sell | 3.41 | -4 | -4 |
| 9/22/2017 | Deutsche Securities Australia Limited | Buy | 3.36 | 26 | 26 |
| 9/22/2017 | Deutsche Securities Australia Limited | Buy | 3.38 | 15 | 15 |
| 9/22/2017 | Deutsche Securities Australia Limited | Buy |
3.38 | 69 | 69 |
| 9/25/2017 | Deutsche Securities Australia Limited | ~~Stock borrow from BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | 551,000 | 551,000 |
| 9/25/2017 | Deutsche Securities Australia Limited | Sell | 3.27 | -92 | -92 |
| 9/25/2017 | Deutsche Securities Australia Limited | Buy | 3.28 | 3 | 3 |
| 9/25/2017 | Deutsche Securities Australia Limited | Buy | 3.37 | 27 | 27 |
| 9/25/2017 | Deutsche Securities Australia Limited | Buy | 3.40 | 80 | 80 |
| 9/25/2017 | Deutsche Securities Australia Limited | Sell | 3.32 | -302 | -302 |
| 9/25/2017 | Deutsche Securities Australia Limited | Buy | 3.35 | 365 | 365 |
| 9/25/2017 | Deutsche Securities Australia Limited | Sell | 3.31 | -3 | -3 |
| 9/25/2017 | Deutsche Securities Australia Limited | Buy | 3.34 | 22 | 22 |
| 9/25/2017 | Deutsche Securities Australia Limited | Buy | 3.38 | 7 | 7 |
| 9/25/2017 | Deutsche Securities Australia Limited | Buy | 3.35 | 137 | 137 |
| 9/25/2017 | Deutsche Securities Australia Limited | Buy | 3.36 | 97 | 97 |
| 9/25/2017 | Deutsche Securities Australia Limited | Sell | 3.37 | -31 | -31 |
| 9/25/2017 | Deutsche Securities Australia Limited | Sell | 3.34 | -6 | -6 |
| 9/26/2017 | Deutsche New Zealand Ltd | Sell | 3.48 | -1,700 | -1,700 |
| 9/26/2017 | Deutsche Securities Australia Limited | Buy | 3.44 | 128 | 128 |
| 9/26/2017 | Deutsche Securities Australia Limited | Buy | 3.45 | 40 | 40 |
| 9/26/2017 | Deutsche Securities Australia Limited | Buy | 3.46 | 49 | 49 |
| 9/26/2017 | Deutsche Securities Australia Limited | Buy | 3.46 | 211 | 211 |
| 9/26/2017 | Deutsche Securities Australia Limited | Buy | 3.45 | 19 | 19 |
| 9/26/2017 | Deutsche Securities Australia Limited | Buy | 3.48 | 6 | 6 |
| 9/26/2017 | Deutsche Securities Australia Limited | Buy | 3.48 | 74 | 74 |
| 9/27/2017 | Deutsche Securities Australia Limited | Buy | 3.45 | 291 | 291 |
| 9/27/2017 | Deutsche Securities Australia Limited | Buy | 3.44 | 13 | 13 |
| 9/27/2017 | Deutsche Securities Australia Limited | Buy | 3.42 | 116 | 116 |
| 9/27/2017 | Deutsche Securities Australia Limited | Buy | 3.39 | 6 | 6 |
| 9/27/2017 | Deutsche Securities Australia Limited | Buy | 3.37 | 33 | 33 |
| 9/27/2017 | Deutsche Securities Australia Limited | Buy | 3.43 | 530 | 530 |
| 9/27/2017 | Deutsche Securities Australia Limited | Buy |
3.43 | 26 | 26 |
| 9/28/2017 | Deutsche Bank AG,London Branch | ~~Stock borrow from Citi Bank~~ (Refer to Schedule 2) |
N/A | 133,611 | 133,611 |
| 9/28/2017 | Deutsche Securities Australia Limited | ~~Stock borrow from BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | 300,000 | 300,000 |
| 9/28/2017 | Deutsche Securities Australia Limited | Buy | 3.38 | 178 | 178 |
| 9/28/2017 | Deutsche Securities Australia Limited | Buy | 3.37 | 991 | 991 |
| 9/28/2017 | Deutsche Securities Australia Limited | Buy | 3.38 | 34 | 34 |
| 9/28/2017 | Deutsche Securities Australia Limited | Buy | 3.38 | 45 | 45 |
| 9/28/2017 | Deutsche Securities Australia Limited | Sell | 3.37 | -4 | -4 |
| 9/29/2017 | Deutsche New Zealand Ltd | Buy | 3.48 | 2,450 | 2,450 |
| 9/29/2017 | Deutsche Securities Australia Limited | Buy | 3.35 | 1 | 1 |
| 9/29/2017 | Deutsche Securities Australia Limited | Sell | 3.35 | -1 | -1 |
| 9/29/2017 | Deutsche Securities Australia Limited | Sell | 3.46 | -220 | -220 |
| 9/29/2017 | Deutsche Securities Australia Limited | Buy | 3.35 | 26 | 26 |
| 9/29/2017 | Deutsche Securities Australia Limited | Buy | 3.43 | 143 | 143 |
| 9/29/2017 | Deutsche Securities Australia Limited | Buy | 3.43 | 20 | 20 |
| 9/29/2017 | Deutsche Securities Australia Limited | Buy | 3.44 | 154 | 154 |
| 9/29/2017 | Deutsche Securities Australia Limited | Sell | 3.46 | -1,558 | -1,558 |
| 9/29/2017 | Deutsche Securities Australia Limited | Buy | 3.45 | 51 | 51 |
| 9/29/2017 | Deutsche Securities Australia Limited | Sell | 3.48 | -7 | -7 |
| 9/29/2017 | Deutsche Securities Australia Limited | Buy |
3.35 | 2 | 2 |
| 10/2/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -100,000 | -100,000 |
| 10/2/2017 | Deutsche Securities Australia Limited | Buy | 3.52 | 205 | 205 |
| 10/2/2017 | Deutsche Securities Australia Limited | Sell | 3.53 | -9 | -9 |
| 10/2/2017 | Deutsche Securities Australia Limited | Buy | 3.57 | 5 | 5 |
| 10/2/2017 | Deutsche Securities Australia Limited | Sell | 3.50 | -10 | -10 |
| 10/2/2017 | Deutsche Securities Australia Limited | Buy |
3.53 | 54 | 54 |
| 10/3/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -505,000 | -505,000 |
| 10/3/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -51,000 | -51,000 |
| 10/3/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -35,000 | -35,000 |
| 10/3/2017 | Deutsche Securities Australia Limited | ~~Stock borrow from BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | 400,000 | 400,000 |
| 10/3/2017 | Deutsche Securities Australia Limited | Buy | 3.66 | 170 | 170 |
| 10/3/2017 | Deutsche Securities Australia Limited | Buy | 3.60 | 51 | 51 |
| 10/3/2017 | Deutsche Securities Australia Limited | Sell | 3.68 | -1 | -1 |
| 10/3/2017 | Deutsche Securities Australia Limited | Buy | 3.66 | 14 | 14 |
| 10/3/2017 | Deutsche Securities Australia Limited | Buy | 3.64 | 33 | 33 |
| 10/3/2017 | Deutsche Securities Australia Limited | Sell | 3.63 | -180 | -180 |
| 10/3/2017 | Deutsche Securities Australia Limited | Buy | 3.65 | 908 | 908 |
| 10/4/2017 | Deutsche New Zealand Ltd | Sell | 3.80 | -2,000 | -2,000 |
| 10/4/2017 | Deutsche New Zealand Ltd | Sell | 3.80 | -7,765 | -7,765 |
| 10/4/2017 | Deutsche New Zealand Ltd | Sell | 3.80 | -4,000 | -4,000 |
| 10/4/2017 | Deutsche New Zealand Ltd | Sell | 3.76 | -1,425 | -1,425 |
| 10/4/2017 | Deutsche New Zealand Ltd | Sell | 3.76 | -1,425 | -1,425 |
| 10/4/2017 | Deutsche New Zealand Ltd | Sell | 3.76 | -2,800 | -2,800 |
| 10/4/2017 | Deutsche New Zealand Ltd | Sell | 3.76 | -1,425 | -1,425 |
| 10/4/2017 | Deutsche New Zealand Ltd | Sell | 3.76 | -1,425 | -1,425 |
| 10/4/2017 | Deutsche New Zealand Ltd | Sell | 3.76 | -2,800 | -2,800 |
| 10/4/2017 | Deutsche New Zealand Ltd | Sell | 3.77 | -1,425 | -1,425 |
| 10/4/2017 | Deutsche New Zealand Ltd | Sell |
3.80 | -4,000 | -4,000 |
| 10/4/2017 | Deutsche Securities Australia Limited | ~~Stock borrow from BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | 150,000 | 150,000 |
| 10/4/2017 | Deutsche Securities Australia Limited | Sell | 3.78 | -21 | -21 |
| 10/4/2017 | Deutsche Securities Australia Limited | Sell | 3.69 | -6 | -6 |
| 10/4/2017 | Deutsche Securities Australia Limited | Buy | 3.75 | 65 | 65 |
| 10/4/2017 | Deutsche Securities Australia Limited | Buy | 3.76 | 4 | 4 |
| 10/4/2017 | Deutsche Securities Australia Limited | Sell | 3.81 | -4 | -4 |
| 10/4/2017 | Deutsche Securities Australia Limited | Buy | 3.75 | 20 | 20 |
| 10/4/2017 | Deutsche Securities Australia Limited | Sell | 3.80 | -24 | -24 |
| 10/4/2017 | Deutsche Securities Australia Limited | Sell | 3.76 | -149 | -149 |
| 10/4/2017 | Deutsche Securities Australia Limited | Buy |
3.79 | 61 | 61 |
| 10/5/2017 | Deutsche Securities Australia Limited | ~~Stock borrow from BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | 2,100,000 | 2,100,000 |
| 10/5/2017 | Deutsche Securities Australia Limited | Sell | 3.72 | -73 | -73 |
| 10/5/2017 | Deutsche Securities Australia Limited | Buy | 3.70 | 6 | 6 |
| 10/5/2017 | Deutsche Securities Australia Limited | Sell | 3.74 | -6 | -6 |
| 10/5/2017 | Deutsche Securities Australia Limited | Buy | 3.75 | 192 | 192 |
| 10/5/2017 | Deutsche Securities Australia Limited | Sell | 3.75 | -55 | -55 |
| 10/5/2017 | Deutsche Securities Australia Limited | Sell | 3.74 | -6 | -6 |
| 10/5/2017 | Deutsche Securities Australia Limited | Buy | 3.70 | 77 | 77 |
| 10/5/2017 | Deutsche Securities Australia Limited | Sell | 3.75 | -13 | -13 |
| 10/5/2017 | Deutsche Securities Australia Limited | Buy | 3.70 | 23 | 23 |
| 10/5/2017 | Deutsche Securities Australia Limited | Sell | 3.73 | -9 | -9 |
| 10/5/2017 | Deutsche Securities Australia Limited | Buy | 3.75 | 93 | 93 |
| 10/5/2017 | Deutsche Securities Australia Limited | Buy |
3.75 | 34 | 34 |
| 10/6/2017 | Deutsche Securities Australia Limited | ~~Stock borrow from BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | 100,000 | 100,000 |
| 10/6/2017 | Deutsche Securities Australia Limited | Sell | 3.68 | -124 | -124 |
| 10/6/2017 | Deutsche Securities Australia Limited | Buy | 3.71 | 1,318 | 1,318 |
Schedule 1
| Date of change | Holder of relevant interest | Nature of change | Consideration given in relation to change |
~~Class and number of~~ securities affected (Ordinary Shares) |
Person's votes affected |
|---|---|---|---|---|---|
| 10/6/2017 | Deutsche Securities Australia Limited | Sell | 3.71 | -17 | -17 |
| 10/6/2017 | Deutsche Securities Australia Limited | Sell | 3.70 | -8 | -8 |
| 10/6/2017 | Deutsche Securities Australia Limited | Buy | 3.72 | 338 | 338 |
| 10/6/2017 | Deutsche Securities Australia Limited | Buy | 3.73 | 106 | 106 |
| 10/6/2017 | Deutsche Securities Australia Limited | Sell | 3.74 | -14 | -14 |
| 10/6/2017 | Deutsche Securities Australia Limited | Buy | 3.72 | 21 | 21 |
| 10/6/2017 | Deutsche Securities Australia Limited | Buy | 3.74 | 21 | 21 |
| 10/6/2017 | Deutsche Securities Australia Limited | Buy |
3.70 | 34 | 34 |
| 10/9/2017 | Deutsche Bank AG,London Branch | ~~Return of stock borrow to Citi Bank~~ (Refer to Schedule 2) |
N/A | -150,000 | -150,000 |
| 10/9/2017 | Deutsche Bank AG,London Branch | ~~Return of stock borrow to Citi Bank~~ (Refer to Schedule 2) |
N/A | -133,611 | -133,611 |
| 10/9/2017 | Deutsche Bank AG,London Branch | ~~Return of stock borrow to Citi Bank~~ (Refer to Schedule 2) |
N/A | -128,541 | -128,541 |
| 10/9/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -900,000 | -900,000 |
| 10/9/2017 | Deutsche Securities Australia Limited | Buy | 3.72 | 173 | 173 |
| 10/9/2017 | Deutsche Securities Australia Limited | Buy | 3.73 | 15 | 15 |
| 10/9/2017 | Deutsche Securities Australia Limited | Sell | 3.73 | -2 | -2 |
| 10/9/2017 | Deutsche Securities Australia Limited | Buy | 3.76 | 5 | 5 |
| 10/9/2017 | Deutsche Securities Australia Limited | Buy | 3.72 | 16 | 16 |
| 10/9/2017 | Deutsche Securities Australia Limited | Sell | 3.75 | -5 | -5 |
| 10/9/2017 | Deutsche Securities Australia Limited | Buy | 3.74 | 212 | 212 |
| 10/9/2017 | Deutsche Securities Australia Limited | Sell | 3.72 | -107 | -107 |
| 10/9/2017 | Deutsche Securities Australia Limited | Buy | 3.72 | 5 | 5 |
| 10/9/2017 | Deutsche Securities Australia Limited | Sell | 3.72 | -42 | -42 |
| 10/9/2017 | Deutsche Securities Australia Limited | Buy | 3.72 | 24 | 24 |
| 10/9/2017 | Deutsche Securities Australia Limited | Buy | 3.74 | 604 | 604 |
| 10/9/2017 | Deutsche Securities Australia Limited | Buy | 3.72 | 32 | 32 |
| 10/9/2017 | Deutsche Securities Australia Limited | Sell |
3.73 | -3 | -3 |
| 10/10/2017 | Deutsche Bank AG,London Branch | ~~Stock borrow from JP Morgan Chase~~ (Refer to Schedule 2) |
N/A | 189,300 | 189,300 |
| 10/10/2017 | Deutsche Securities Australia Limited | Sell | 3.77 | -173 | -173 |
| 10/10/2017 | Deutsche Securities Australia Limited | Buy | 3.80 | 303 | 303 |
| 10/10/2017 | Deutsche Securities Australia Limited | Buy | 3.79 | 43 | 43 |
| 10/10/2017 | Deutsche Securities Australia Limited | Buy | 3.77 | 3,435 | 3,435 |
| 10/10/2017 | Deutsche Securities Australia Limited | Sell | 3.76 | -10,448 | -10,448 |
| 10/10/2017 | Deutsche Securities Australia Limited | Sell | 3.76 | -16 | -16 |
| 10/10/2017 | Deutsche Securities Australia Limited | Buy | 3.80 | 12 | 12 |
| 10/10/2017 | Deutsche Securities Australia Limited | Buy | 3.79 | 5 | 5 |
| 10/10/2017 | Deutsche Securities Australia Limited | Sell | 3.78 | -91 | -91 |
| 10/10/2017 | Deutsche Securities Australia Limited | Sell | 3.78 | -1,146 | -1,146 |
| 10/10/2017 | Deutsche Securities Australia Limited | Buy |
3.81 | 49 | 49 |
| 10/11/2017 | Deutsche Bank AG,London Branch | ~~Stock borrow from JP Morgan Chase~~ (Refer to Schedule 2) |
N/A | 200,000 | 200,000 |
| 10/11/2017 | Deutsche Securities Australia Limited | Buy | 3.82 | 623 | 623 |
| 10/11/2017 | Deutsche Securities Australia Limited | Buy | 3.82 | 272 | 272 |
| 10/11/2017 | Deutsche Securities Australia Limited | Buy | 3.80 | 3 | 3 |
| 10/11/2017 | Deutsche Securities Australia Limited | Sell | 3.79 | -1 | -1 |
| 10/11/2017 | Deutsche Securities Australia Limited | Sell | 3.81 | -111 | -111 |
| 10/11/2017 | Deutsche Securities Australia Limited | Buy | 3.78 | 161 | 161 |
| 10/11/2017 | Deutsche Securities Australia Limited | Buy | 3.81 | 8 | 8 |
| 10/12/2017 | Deutsche Securities Australia Limited | Buy | 3.90 | 155 | 155 |
| 10/12/2017 | Deutsche Securities Australia Limited | Buy | 3.89 | 15 | 15 |
| 10/12/2017 | Deutsche Securities Australia Limited | Buy | 3.87 | 9 | 9 |
| 10/12/2017 | Deutsche Securities Australia Limited | Sell | 3.89 | -24 | -24 |
| 10/12/2017 | Deutsche Securities Australia Limited | Sell | 3.85 | -12 | -12 |
| 10/12/2017 | Deutsche Securities Australia Limited | Buy | 3.89 | 289 | 289 |
| 10/12/2017 | Deutsche Securities Australia Limited | Buy | 3.89 | 38 | 38 |
| 10/12/2017 | Deutsche Securities Australia Limited | Sell | 3.86 | -52 | -52 |
| 10/12/2017 | Deutsche Securities Australia Limited | Buy | 3.89 | 2 | 2 |
| 10/12/2017 | Deutsche Securities Australia Limited | Sell | 3.90 | -20 | -20 |
| 10/12/2017 | Deutsche Securities Australia Limited | Buy | 3.89 | 116 | 116 |
| 10/12/2017 | Deutsche Securities Australia Limited | Sell | 3.90 | -38 | -38 |
| 10/13/2017 | Deutsche Securities Australia Limited | Buy | 3.91 | 365 | 365 |
| 10/13/2017 | Deutsche Securities Australia Limited | Sell | 3.85 | -174 | -174 |
| 10/13/2017 | Deutsche Securities Australia Limited | Buy | 3.82 | 66 | 66 |
| 10/13/2017 | Deutsche Securities Australia Limited | Buy | 3.86 | 174 | 174 |
| 10/13/2017 | Deutsche Securities Australia Limited | Sell | 3.85 | -3 | -3 |
| 10/13/2017 | Deutsche Securities Australia Limited | Buy | 3.82 | 27 | 27 |
| 10/13/2017 | Deutsche Securities Australia Limited | Buy | 3.82 | 20 | 20 |
| 10/13/2017 | Deutsche Securities Australia Limited | Sell | 3.85 | -96 | -96 |
| 10/13/2017 | Deutsche Securities Australia Limited | Buy | 3.86 | 131 | 131 |
| 10/16/2017 | Deutsche Securities Australia Limited | Buy | 3.84 | 496 | 496 |
| 10/16/2017 | Deutsche Securities Australia Limited | Buy | 3.83 | 401 | 401 |
| 10/16/2017 | Deutsche Securities Australia Limited | Buy | 3.89 | 50 | 50 |
| 10/16/2017 | Deutsche Securities Australia Limited | Sell | 3.91 | -15 | -15 |
| 10/16/2017 | Deutsche Securities Australia Limited | Buy |
3.83 | 9 | 9 |
| 10/17/2017 | Deutsche Bank AG,London Branch | ~~Return of stock borrow to JP Morgan Chase~~ (Refer to Schedule 2) |
N/A | -200,000 | -200,000 |
| 10/17/2017 | Deutsche Securities Australia Limited | ~~Stock borrow from BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | 1,300,000 | 1,300,000 |
| 10/17/2017 | Deutsche Securities Australia Limited | Buy | 4.18 | 173 | 173 |
| 10/17/2017 | Deutsche Securities Australia Limited | Sell | 4.09 | -3 | -3 |
| 10/17/2017 | Deutsche Securities Australia Limited | Buy | 4.19 | 35 | 35 |
| 10/17/2017 | Deutsche Securities Australia Limited | Sell | 4.08 | -9 | -9 |
| 10/17/2017 | Deutsche Securities Australia Limited | Buy | 4.12 | 116 | 116 |
| 10/17/2017 | Deutsche Securities Australia Limited | Buy | 4.18 | 113 | 113 |
| 10/17/2017 | Deutsche Securities Australia Limited | Buy | 4.17 | 130 | 130 |
| 10/17/2017 | Deutsche Securities Australia Limited | Sell | 4.12 | -63 | -63 |
| 10/17/2017 | Deutsche Securities Australia Limited | Buy | 4.12 | 43 | 43 |
| 10/17/2017 | Deutsche Securities Australia Limited | Sell | 4.16 | -63 | -63 |
| 10/17/2017 | Deutsche Securities Australia Limited | Buy | 4.16 | 70 | 70 |
| 10/18/2017 | Deutsche Asset Management(UK)Limited | Sell | 4.35 | -2,262 | -2,262 |
| 10/18/2017 | Deutsche Securities Australia Limited | Buy | 4.15 | 97 | 97 |
| 10/18/2017 | Deutsche Securities Australia Limited | Buy | 4.27 | 152 | 152 |
| 10/18/2017 | Deutsche Securities Australia Limited | Sell | 4.13 | -51 | -51 |
| 10/18/2017 | Deutsche Securities Australia Limited | Buy | 4.32 | 54 | 54 |
| 10/18/2017 | Deutsche Securities Australia Limited | Buy | 4.30 | 756 | 756 |
| 10/18/2017 | Deutsche Securities Australia Limited | Buy | 4.31 | 33 | 33 |
| 10/18/2017 | Deutsche Securities Australia Limited | Sell | 4.11 | -43 | -43 |
| 10/18/2017 | Deutsche Securities Australia Limited | Sell | 4.22 | -192 | -192 |
| 10/18/2017 | Deutsche Securities Australia Limited | Buy |
4.32 | 36 | 36 |
| 10/19/2017 | Deutsche Bank AG,London Branch | ~~Stock borrow from JP Morgan Chase~~ (Refer to Schedule 2) |
N/A | 150,000 | 150,000 |
| 10/19/2017 | Deutsche Securities Australia Limited | ~~Stock borrow from BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | 2,100,000 | 2,100,000 |
| 10/19/2017 | Deutsche Securities Australia Limited | Buy | 4.31 | 137 | 137 |
| 10/19/2017 | Deutsche Securities Australia Limited | Buy | 4.29 | 54 | 54 |
| 10/19/2017 | Deutsche Securities Australia Limited | Buy | 4.31 | 22 | 22 |
| 10/19/2017 | Deutsche Securities Australia Limited | Buy | 4.31 | 235 | 235 |
| 10/19/2017 | Deutsche Securities Australia Limited | Sell | 4.33 | -8 | -8 |
| 10/19/2017 | Deutsche Securities Australia Limited | Buy | 4.33 | 1 | 1 |
| 10/19/2017 | Deutsche Securities Australia Limited | Buy | 4.34 | 21 | 21 |
| 10/19/2017 | Deutsche Securities Australia Limited | Buy |
4.27 | 6 | 6 |
| 10/20/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -400,000 | -400,000 |
| 10/20/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -300,000 | -300,000 |
Schedule 1
| Date of change | Holder of relevant interest | Nature of change |
Consideration given in relation to change |
~~Class and number of~~ securities affected (Ordinary Shares) |
Person's votes affected |
|---|---|---|---|---|---|
| 10/20/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -200,000 | -200,000 |
| 10/20/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -150,000 | -150,000 |
| 10/20/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -100,000 | -100,000 |
| 10/20/2017 | Deutsche Securities Australia Limited | ~~Return of stock borrow to BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | -19,400 | -19,400 |
| 10/20/2017 | Deutsche Securities Australia Limited | Buy | 4.34 | 169 | 169 |
| 10/20/2017 | Deutsche Securities Australia Limited | Buy | 4.32 | 2,687 | 2,687 |
| 10/20/2017 | Deutsche Securities Australia Limited | Buy | 4.35 | 205 | 205 |
| 10/20/2017 | Deutsche Securities Australia Limited | Buy | 4.32 | 4,476 | 4,476 |
| 10/20/2017 | Deutsche Securities Australia Limited | Sell | 4.37 | -126 | -126 |
| 10/20/2017 | Deutsche Securities Australia Limited | Buy | 4.32 | 2,245 | 2,245 |
| 10/20/2017 | Deutsche Securities Australia Limited | Buy | 4.35 | 175 | 175 |
| 10/20/2017 | Deutsche Securities Australia Limited | Buy | 4.32 | 4,625 | 4,625 |
| 10/20/2017 | Deutsche Securities Australia Limited | Buy | 4.34 | 12 | 12 |
| 10/20/2017 | Deutsche Securities Australia Limited | Buy | 4.32 | 417 | 417 |
| 10/20/2017 | Deutsche Securities Australia Limited | Buy | 4.34 | 63 | 63 |
| 10/20/2017 | Deutsche Securities Australia Limited | Buy | 4.32 | 4,041 | 4,041 |
| 10/20/2017 | Deutsche Securities Australia Limited | Buy | 4.31 | 7 | 7 |
| 10/20/2017 | Deutsche Securities Australia Limited | Buy | 4.32 | 3,896 | 3,896 |
| 10/20/2017 | Deutsche Securities Australia Limited | Buy | 4.33 | 421 | 421 |
| 10/20/2017 | Deutsche Securities Australia Limited | Sell | 4.32 | -1,731 | -1,731 |
| 10/20/2017 | Deutsche Securities Australia Limited | Buy | 4.32 | 1,485 | 1,485 |
| 10/20/2017 | Deutsche Securities Australia Limited | Buy | 4.32 | 811 | 811 |
| 10/20/2017 | Deutsche Securities Australia Limited | Sell | 4.32 | -2,687 | -2,687 |
| 10/20/2017 | Deutsche Securities Australia Limited | Sell | 4.32 | -4,476 | -4,476 |
| 10/20/2017 | Deutsche Securities Australia Limited | Sell | 4.32 | -2,245 | -2,245 |
| 10/20/2017 | Deutsche Securities Australia Limited | Sell | 4.32 | -4,625 | -4,625 |
| 10/20/2017 | Deutsche Securities Australia Limited | Sell | 4.32 | -417 | -417 |
| 10/20/2017 | Deutsche Securities Australia Limited | Sell | 4.32 | -4,041 | -4,041 |
| 10/20/2017 | Deutsche Securities Australia Limited | Sell | 4.32 | -3,896 | -3,896 |
| 10/20/2017 | Deutsche Securities Australia Limited | Sell | 4.32 | -1,485 | -1,485 |
| 10/20/2017 | Deutsche Securities Australia Limited | Sell |
4.32 | -811 | -811 |
| 10/23/2017 | Deutsche Securities Australia Limited | ~~Stock borrow from BNP Paribas Securities Services~~ (Refer to Schedule 2) |
N/A | 50,000 | 50,000 |
| 10/23/2017 | Deutsche Securities Australia Limited | Buy | 4.29 | 209 | 209 |
| 10/23/2017 | Deutsche Securities Australia Limited | Buy | 4.29 | 176 | 176 |
| 10/23/2017 | Deutsche Securities Australia Limited | Sell | 4.33 | -24 | -24 |
| 10/23/2017 | Deutsche Securities Australia Limited | Buy | 4.31 | 775 | 775 |
| 10/23/2017 | Deutsche Securities Australia Limited | Sell | 4.29 | -5 | -5 |
| 10/23/2017 | Deutsche Securities Australia Limited | Buy | 4.30 | 1 | 1 |
| 10/23/2017 | Deutsche Securities Australia Limited | Sell | 4.30 | -83 | -83 |
| 10/23/2017 | Deutsche Securities Australia Limited | Buy | 4.28 | 616 | 616 |
| 10/23/2017 | Deutsche Securities Australia Limited | Buy | 4.35 | 352 | 352 |
| 10/23/2017 | Deutsche Securities Australia Limited | Sell | 4.29 | -40 | -40 |
| 10/24/2017 | Deutsche Securities Australia Limited | Buy | 4.32 | 23 | 23 |
| 10/24/2017 | Deutsche Securities Australia Limited | Buy | 4.42 | 17 | 17 |
| 10/24/2017 | Deutsche Securities Australia Limited | Sell | 4.27 | -22 | -22 |
| 10/24/2017 | Deutsche Securities Australia Limited | Buy | 4.30 | 233 | 233 |
| 10/24/2017 | Deutsche Securities Australia Limited | Buy | 4.35 | 2 | 2 |
| 10/24/2017 | Deutsche Securities Australia Limited | Sell | 4.38 | -66 | -66 |
| 10/24/2017 | Deutsche Securities Australia Limited | Buy | 4.35 | 15 | 15 |
| 10/24/2017 | Deutsche Securities Australia Limited | Buy | 4.30 | 116 | 116 |
| 10/24/2017 | Deutsche Securities Australia Limited | Sell | 4.37 | -127 | -127 |
| 10/24/2017 | Deutsche Securities Australia Limited | Buy | 4.29 | 412 | 412 |
| 10/24/2017 | Deutsche Securities Australia Limited | Sell | 4.38 | -2,310 | -2,310 |
| 10/24/2017 | Deutsche Securities Australia Limited | Sell | 4.27 | -5 | -5 |
| 10/25/2017 | Deutsche Securities Australia Limited | Sell | 4.46 | -164 | -164 |
| 10/25/2017 | Deutsche Securities Australia Limited | Buy | 4.49 | 81 | 81 |
| 10/25/2017 | Deutsche Securities Australia Limited | Buy | 4.56 | 92 | 92 |
| 10/25/2017 | Deutsche Securities Australia Limited | Sell | 4.54 | -87 | -87 |
| 10/25/2017 | Deutsche Securities Australia Limited | Buy | 4.50 | 17 | 17 |
| 10/25/2017 | Deutsche Securities Australia Limited | Buy | 4.50 | 169 | 169 |
| 10/25/2017 | Deutsche Securities Australia Limited | Sell | 4.47 | -34 | -34 |
| 10/25/2017 | Deutsche Securities Australia Limited | Buy | 4.49 | 10 | 10 |
| 10/25/2017 | Deutsche Securities Australia Limited | Sell | 4.40 | -4 | -4 |
| 10/25/2017 | Deutsche Securities Australia Limited | Buy | 4.48 | 58 | 58 |
| 10/25/2017 | Deutsche Securities Australia Limited | Buy |
4.48 | 372 | 372 |
| 10/26/2017 | Deutsche Bank AG,London Branch | ~~Stock borrow from Bank of New York Mellon~~ (Refer to Schedule 2) |
N/A | 200,000 | 200,000 |
| 10/26/2017 | Deutsche Bank AG,London Branch | ~~Stock borrow from Northern Trust Company (UK)~~ (Refer to Schedule 2) |
N/A | 200,000 | 200,000 |
| 10/26/2017 | Deutsche Bank AG,London Branch | ~~Stock borrow from Citi Bank~~ (Refer to Schedule 2) |
N/A | 350,000 | 350,000 |
| 10/26/2017 | Deutsche Bank Securities Inc. | ~~Stock borrow from Barclays Global Investors~~ (Refer to Schedule 2) |
N/A | 400,000 | 400,000 |
| 10/26/2017 | Deutsche Bank Securities Inc. | ~~Stock borrow from Citi Bank~~ (Refer to Schedule 2) |
N/A | 1,400,000 | 1,400,000 |
| 10/26/2017 | Deutsche Securities Australia Limited | Buy | 4.28 | 144 | 144 |
| 10/26/2017 | Deutsche Securities Australia Limited | Sell | 4.32 | -21 | -21 |
| 10/26/2017 | Deutsche Securities Australia Limited | Buy | 4.17 | 1 | 1 |
| 10/26/2017 | Deutsche Securities Australia Limited | Buy | 4.21 | 310 | 310 |
| 10/26/2017 | Deutsche Securities Australia Limited | Buy | 4.20 | 22 | 22 |
| 10/26/2017 | Deutsche Securities Australia Limited | Buy | 4.31 | 11 | 11 |
| 10/26/2017 | Deutsche Securities Australia Limited | Sell | 4.25 | -90 | -90 |
| 10/26/2017 | Deutsche Securities Australia Limited | Buy |
4.23 | 15 | 15 |
| 10/27/2017 | Deutsche Bank Securities Inc. | ~~Stock borrow from Bank of New York~~ (Refer to Schedule 2) |
N/A | 2,000,000 | 2,000,000 |
| 10/27/2017 | Deutsche Securities Australia Limited | Buy | 4.13 | 166 | 166 |
| 10/27/2017 | Deutsche Securities Australia Limited | Buy | 4.11 | 96 | 96 |
| 10/27/2017 | Deutsche Securities Australia Limited | Buy | 4.10 | 35 | 35 |
| 10/27/2017 | Deutsche Securities Australia Limited | Sell | 4.13 | -65 | -65 |
| 10/27/2017 | Deutsche Securities Australia Limited | Buy | 4.05 | 962 | 962 |
| 10/27/2017 | Deutsche Securities Australia Limited | Buy | 4.12 | 43 | 43 |
| 10/27/2017 | Deutsche Securities Australia Limited | Buy | 4.05 | 15 | 15 |
| 10/27/2017 | Deutsche Securities Australia Limited | Sell | 4.14 | -12 | -12 |
| 10/27/2017 | Deutsche Securities Australia Limited | Buy | 4.12 | 63 | 63 |
| 10/27/2017 | Deutsche Securities Australia Limited | Sell |
4.16 | -1 | -1 |
| 10/30/2017 | Deutsche Bank AG,London Branch | ~~Stock borrow from Citi Bank~~ (Refer to Schedule 2) |
N/A | 100,000 | 100,000 |
| 10/30/2017 | Deutsche Securities Australia Limited | Buy | 4.06 | 11 | 11 |
| 10/30/2017 | Deutsche Securities Australia Limited | Buy | 4.01 | 36 | 36 |
| 10/30/2017 | Deutsche Securities Australia Limited | Buy | 4.04 | 270 | 270 |
| 10/30/2017 | Deutsche Securities Australia Limited | Sell | 4.04 | -8 | -8 |
| 10/30/2017 | Deutsche Securities Australia Limited | Buy | 4.04 | 90 | 90 |
| 10/30/2017 | Deutsche Securities Australia Limited | Buy | 4.07 | 25 | 25 |
| 10/30/2017 | Deutsche Securities Australia Limited | Buy | 4.03 | 38 | 38 |
| 10/30/2017 | Deutsche Securities Australia Limited | Sell | 4.08 | -44 | -44 |
| 10/30/2017 | Deutsche Securities Australia Limited | Buy |
4.07 | 97 | 97 |
| 10/31/2017 | Deutsche Bank AG,London Branch | ~~Return of stock borrow to Citi Bank~~ (Refer to Schedule 2) |
N/A | -100,000 | -100,000 |
| 10/31/2017 | Deutsche Bank Securities Inc. | ~~Stock borrow from Citi Bank~~ (Refer to Schedule 2) |
N/A | 40,000 | 40,000 |
| 10/31/2017 | Deutsche Bank Securities Inc. | ~~Stock borrow from Barclays Global Investors~~ (Refer to Schedule 2) |
N/A | 650,000 | 650,000 |
| 10/31/2017 | Deutsche Securities Australia Limited | ~~Stock borrow from Citi Bank N.A., Sydney Branch~~ (Refer to Schedule 2) |
N/A | 225,000 | 225,000 |
Schedule 1
| Date of change | Holder of relevant interest | Nature of change | Consideration given in relation to change |
~~Class and number of~~ securities affected (Ordinary Shares) |
Person's votes affected |
|---|---|---|---|---|---|
| 10/31/2017 | Deutsche Securities Australia Limited | Buy | 4.01 | 244 | 244 |
| 10/31/2017 | Deutsche Securities Australia Limited | Buy | 4.01 | 89 | 89 |
| 10/31/2017 | Deutsche Securities Australia Limited | Sell | 4.01 | -110 | -110 |
| 10/31/2017 | Deutsche Securities Australia Limited | Buy | 4.01 | 158 | 158 |
| 10/31/2017 | Deutsche Securities Australia Limited | Buy | 4.01 | 731 | 731 |
| 10/31/2017 | Deutsche Securities Australia Limited | Sell | 3.99 | -10 | -10 |
| 10/31/2017 | Deutsche Securities Australia Limited | Sell | 4.01 | -1,280 | -1,280 |
| 10/31/2017 | Deutsche Securities Australia Limited | Buy | 4.04 | 62 | 62 |
| 10/31/2017 | Deutsche Securities Australia Limited | Buy | 4.03 | 110 | 110 |
| 10/31/2017 | Deutsche Securities Australia Limited | Buy | 4.04 | 95 | 95 |
| 10/31/2017 | Deutsche Securities Australia Limited | Sell | 4.00 | -3 | -3 |
| 10/31/2017 | Deutsche Securities Australia Limited | Buy |
4.02 | 13 | 13 |
| 11/1/2017 | Deutsche Bank AG,London Branch | ~~Return of stock borrow to Citi Bank~~ (Refer to Schedule 2) |
N/A | -350,000 | -350,000 |
| 11/1/2017 | Deutsche Bank Securities Inc. | ~~Stock borrow from Citi Bank~~ (Refer to Schedule 2) |
N/A | 500,000 | 500,000 |
| 11/1/2017 | Deutsche Securities Australia Limited | Sell | 4.17 | -3,000 | -3,000 |
| 11/1/2017 | Deutsche Securities Australia Limited | Sell | 4.14 | -14 | -14 |
| 11/1/2017 | Deutsche Securities Australia Limited | Buy | 4.24 | 75 | 75 |
| 11/1/2017 | Deutsche Securities Australia Limited | Sell | 4.21 | -34 | -34 |
| 11/1/2017 | Deutsche Securities Australia Limited | Buy | 4.24 | 540 | 540 |
| 11/1/2017 | Deutsche Securities Australia Limited | Sell | 4.22 | -2 | -2 |
| 11/1/2017 | Deutsche Securities Australia Limited | Buy | 4.17 | 472 | 472 |
| 11/1/2017 | Deutsche Securities Australia Limited | Buy | 4.17 | 130 | 130 |
| 11/1/2017 | Deutsche Securities Australia Limited | Sell | 4.20 | -26 | -26 |
| 11/1/2017 | Deutsche Securities Australia Limited | Buy |
4.26 | 8 | 8 |
| 11/2/2017 | Deutsche Bank Securities Inc. | ~~Stock borrow from Barclays Global Investors~~ (Refer to Schedule 2) |
N/A | 100,000 | 100,000 |
| 11/2/2017 | Deutsche Bank Securities Inc. | ~~Stock borrow from Citi Bank~~ (Refer to Schedule 2) |
N/A | 650,000 | 650,000 |
| 11/2/2017 | Deutsche Bank Securities Inc. | ~~Stock borrow from Brown Brothers Harriman and Co~~ (Refer to Schedule 2) |
N/A | 2,400,000 | 2,400,000 |
| 11/2/2017 | Deutsche Bank Securities Inc. | ~~Stock borrow from Bank of New York~~ (Refer to Schedule 2) |
N/A | 4,000,000 | 4,000,000 |
| 11/2/2017 | Deutsche Securities Australia Limited | ~~Stock borrow from Citi Bank N.A., Sydney Branch~~ (Refer to Schedule 2) |
N/A | 435,000 | 435,000 |
| 11/2/2017 | Deutsche Securities Australia Limited | Buy | 4.34 | 212 | 212 |
| 11/2/2017 | Deutsche Securities Australia Limited | Sell | 4.26 | -92 | -92 |
| 11/2/2017 | Deutsche Securities Australia Limited | Buy | 4.36 | 36 | 36 |
| 11/2/2017 | Deutsche Securities Australia Limited | Sell | 4.38 | -42 | -42 |
| 11/2/2017 | Deutsche Securities Australia Limited | Buy | 4.33 | 45 | 45 |
| 11/2/2017 | Deutsche Securities Australia Limited | Buy | 4.34 | 207 | 207 |
| 11/2/2017 | Deutsche Securities Australia Limited | Buy | 4.36 | 12 | 12 |
| 11/2/2017 | Deutsche Securities Australia Limited | Sell | 4.35 | -3 | -3 |
| 11/2/2017 | Deutsche Securities Australia Limited | Buy | 4.32 | 157 | 157 |
| 11/2/2017 | Deutsche Securities Australia Limited | Sell | 4.28 | -10 | -10 |
| 11/2/2017 | Deutsche Securities Australia Limited | Buy | 4.27 | 102 | 102 |
| 11/2/2017 | Deutsche Securities Australia Limited | Buy | 4.30 | 177 | 177 |
| 11/2/2017 | Deutsche Securities Australia Limited | Sell | 4.27 | -5 | -5 |
Schedule 2
| Type of Agreement: | Securities LendingAgreement | Securities LendingAgreement |
|---|---|---|
| Parties to Agreement: | (1) Deutsche Bank AG, London Branch (2) BMO CAPITAL MARKETS CORP |
(1) Deutsche Bank AG, London Branch (2) CITI BANK |
| Transfer date: | From 3 July to 2 November 2017 | From 3 July to 2 November 2017 |
| Holder of voting rights: | Registered holder | Registered holder |
| Are there any restrictions on voting rights: |
No | No |
| Ifyes,detail: | N/A | N/A |
| Scheduled return date (if any): | None (subject to the terms of the relevant loan) |
None (subject to the terms of the relevant loan) |
| Does the borrower have the **right to return early: ** |
Yes | Yes |
| Ifyes,detail: | The borrower has the right to return at any time (subject to the terms of the relevant loan) |
The borrower has the right to return at any time (subject to the terms of the relevant loan) |
| Does the lender have the right **to recall early: ** |
Yes | Yes |
| If yes, detail: | The lender has the right to recall at any time (subject to the terms of the relevant loan) |
The lender has the right to recall at any time (subject to the terms of the relevant loan) |
| Will the securities be returned on settlement: |
Yes | Yes |
| Ifyes,detail anyexceptions: | N/A | N/A |
Schedule 2
| Type of Agreement: | Securities LendingAgreement | Securities LendingAgreement |
|---|---|---|
| Parties to Agreement: | (1) Deutsche Bank AG, London Branch (2) JP MORGAN CHASE |
(1) Deutsche Bank AG, London Branch (2) MELLON BANK |
| Transfer date: | From 3 July to 2 November 2017 | From 3 July to 2 November 2017 |
| Holder of voting rights: | Registered holder | Registered holder |
| Are there any restrictions on voting rights: |
No | No |
| Ifyes,detail: | N/A | N/A |
| Scheduled return date (if any): | None (subject to the terms of the relevant loan) |
None (subject to the terms of the relevant loan) |
| Does the borrower have the **right to return early: ** |
Yes | Yes |
| Ifyes,detail: | The borrower has the right to return at any time (subject to the terms of the relevant loan) |
The borrower has the right to return at any time (subject to the terms of the relevant loan) |
| Does the lender have the right **to recall early: ** |
Yes | Yes |
| If yes, detail: | The lender has the right to recall at any time (subject to the terms of the relevant loan) |
The lender has the right to recall at any time (subject to the terms of the relevant loan) |
| Will the securities be returned on settlement: |
Yes | Yes |
| Ifyes,detail anyexceptions: | N/A | N/A |
Schedule 2
| Type of Agreement: | Securities LendingAgreement | Securities LendingAgreement |
|---|---|---|
| Parties to Agreement: | (1) Deutsche Bank AG, London Branch (2) THE NORTHERN TRUST COMPANY |
(1) Deutsche Securities AUS Ltd (2) BNP PARIBAS SECURITIES SERVICES |
| Transfer date: | From 3 July to 2 November 2017 | From 3 July to 2 November 2017 |
| Holder of voting rights: | Registered holder | Registered holder |
| Are there any restrictions on voting rights: |
No | No |
| Ifyes,detail: | N/A | N/A |
| Scheduled return date (if any): | None (subject to the terms of the relevant loan) |
None (subject to the terms of the relevant loan) |
| Does the borrower have the **right to return early: ** |
Yes | Yes |
| Ifyes,detail: | The borrower has the right to return at any time (subject to the terms of the relevant loan) |
The borrower has the right to return at any time (subject to the terms of the relevant loan) |
| Does the lender have the right **to recall early: ** |
Yes | Yes |
| If yes, detail: | The lender has the right to recall at any time (subject to the terms of the relevant loan) |
The lender has the right to recall at any time (subject to the terms of the relevant loan) |
| Will the securities be returned on settlement: |
Yes | Yes |
| Ifyes,detail anyexceptions: | N/A | N/A |
Schedule 2
| Type of Agreement: | Securities LendingAgreement | Securities LendingAgreement |
|---|---|---|
| Parties to Agreement: | (1) Deutsche Securities AUS Ltd (2) CITI BANK |
(1) Deutsche Securities AUS Ltd (2) NATIONAL AUSTRALIA BANK |
| Transfer date: | From 3 July to 2 November 2017 | From 3 July to 2 November 2017 |
| Holder of voting rights: | Registered holder | Registered holder |
| Are there any restrictions on voting rights: |
No | No |
| Ifyes,detail: | N/A | N/A |
| Scheduled return date (if any): | None (subject to the terms of the relevant loan) |
None (subject to the terms of the relevant loan) |
| Does the borrower have the **right to return early: ** |
Yes | Yes |
| Ifyes,detail: | The borrower has the right to return at any time (subject to the terms of the relevant loan) |
The borrower has the right to return at any time (subject to the terms of the relevant loan) |
| Does the lender have the right **to recall early: ** |
Yes | Yes |
| If yes, detail: | The lender has the right to recall at any time (subject to the terms of the relevant loan) |
The lender has the right to recall at any time (subject to the terms of the relevant loan) |
| Will the securities be returned on settlement: |
Yes | Yes |
| Ifyes,detail anyexceptions: | N/A | N/A |
Schedule 2
| Type of Agreement: | Securities LendingAgreement | Securities LendingAgreement |
|---|---|---|
| Parties to Agreement: | (1) Deutsche Bank Securities Inc. (2) BANK OF NEW YORK |
(1) Deutsche Bank Securities Inc. (2) BARCLAYS GLOBAL INVESTORS |
| Transfer date: | From 3 July to 2 November 2017 | From 3 July to 2 November 2017 |
| Holder of voting rights: | Registered holder | Registered holder |
| Are there any restrictions on voting rights: |
No | No |
| Ifyes,detail: | N/A | N/A |
| Scheduled return date (if any): | None (subject to the terms of the relevant loan) |
None (subject to the terms of the relevant loan) |
| Does the borrower have the **right to return early: ** |
Yes | Yes |
| Ifyes,detail: | The borrower has the right to return at any time (subject to the terms of the relevant loan) |
The borrower has the right to return at any time (subject to the terms of the relevant loan) |
| Does the lender have the right **to recall early: ** |
Yes | Yes |
| If yes, detail: | The lender has the right to recall at any time (subject to the terms of the relevant loan) |
The lender has the right to recall at any time (subject to the terms of the relevant loan) |
| Will the securities be returned on settlement: |
Yes | Yes |
| Ifyes,detail anyexceptions: | N/A | N/A |
Schedule 2
| Type of Agreement: | Securities LendingAgreement | Securities LendingAgreement |
|---|---|---|
| Parties to Agreement: | (1) Deutsche Bank Securities Inc. (2) BROWN BROTHERS HARRIMAN AND CO |
(1) Deutsche Bank Securities Inc. (2) CITI BANK |
| Transfer date: | From 3 July to 2 November 2017 | From 3 July to 2 November 2017 |
| Holder of voting rights: | Registered holder | Registered holder |
| Are there any restrictions on voting rights: |
No | No |
| Ifyes,detail: | N/A | N/A |
| Scheduled return date (if any): | None (subject to the terms of the relevant loan) |
None (subject to the terms of the relevant loan) |
| Does the borrower have the **right to return early: ** |
Yes | Yes |
| Ifyes,detail: | The borrower has the right to return at any time (subject to the terms of the relevant loan) |
The borrower has the right to return at any time (subject to the terms of the relevant loan) |
| Does the lender have the right **to recall early: ** |
Yes | Yes |
| If yes, detail: | The lender has the right to recall at any time (subject to the terms of the relevant loan) |
The lender has the right to recall at any time (subject to the terms of the relevant loan) |
| Will the securities be returned on settlement: |
Yes | Yes |
| Ifyes,detail anyexceptions: | N/A | N/A |
Schedule 2
| Type of Agreement: | Securities LendingAgreement |
|---|---|
| Parties to Agreement: | (1) Deutsche Bank Securities Inc. (2) JP MORGAN CHASE |
| Transfer date: | From 3 July to 2 November 2017 |
| Holder of voting rights: | Registered holder |
| Are there any restrictions on voting rights: |
No |
| Ifyes,detail: | N/A |
| Scheduled return date (if any): | None (subject to the terms of the relevant loan) |
| Does the borrower have the **right to return early: ** |
Yes |
| Ifyes,detail: | The borrower has the right to return at any time (subject to the terms of the relevant loan) |
| Does the lender have the right **to recall early: ** |
Yes |
| If yes, detail: | The lender has the right to recall at any time (subject to the terms of the relevant loan) |
| Will the securities be returned on settlement: |
Yes |
| Ifyes,detail anyexceptions: | N/A |
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