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ILUKA RESOURCES LIMITED — Major Shareholding Notification 2018
Apr 3, 2018
65116_rns_2018-04-03_861ed305-bbb7-4b88-813c-017ef87f37cf.pdf
Major Shareholding Notification
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Form 604
Corporations Act 2001
Section 671B
Notice of change of interests of substantial holder
| To Company Name/Scheme | Iluka Resources Ltd |
|---|---|
| ACN/ARSN | ACN 008 675 018 |
1. Details of substantial holder (1)
| Name | Credit Suisse Holdings (Australia) Limited (on behalf of Credit Suisse Group AG and its affiliates) | |
|---|---|---|
| ACN/ARSN (if applicable) | 008 496 713 | |
| There was a change in the interests of the substantial holder on | 27-Mar-2018 | |
| The previous notice was given to the company on | 19-Mar-2018 | |
| The previous notice was dated | 19-Mar-2018 |
2. Previous and present voting power
The total number of votes attached to all the voting shares in the company or voting interests in the scheme that the substantial holder or an associate (2) had a relevant interest (3) in when last required, and when now required, to give a substantial holding notice to the company or scheme, are as follows:
| Class of securities (4) | t Previous Notice | l Present Notice. | ||
|---|---|---|---|---|
| Person's votes | Voting power (5) | l Person's votes | Voting power (5) | |
| ' Common Stock | 22.424.858 | 5.36% | 29.298.824 | 7.00% |
3. Changes in relevant interests
Particulars of each change in, or change in the nature of, a relevant interest of the substantial holder or an associate in voting securities of the company or scheme, since the substantial holder was last required to give a substantial holding notice to the company or scheme are as follows:
| l Date of l change |
Person whose relevant interest changed |
Nature of change (6) | Consideration given I in relation to change |
l Class and number of securities affected |
Person's wotes affected |
|---|---|---|---|---|---|
| ، See l Annexure "A" |
4. Present relevant interests
Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows:
| Holder of relevant | Registered holder of Person entitled to | I be registered as | I Nature of relevant | I Class and number | Person's |
|---|---|---|---|---|---|
| I interest. | securities | holder (8) | l interest (6) | l of securities | votes |
| I See Annexure "B" |
5. Changes in association
The persons who have become associates (2) of, ceased to be associates of, or have changed the nature of their association (9) with, the substantial holder in relation to voting interests in the company or scheme are as fo
| Name and ACN/ARSN (if a (if applicable) |
Nature of association |
|---|---|
| N/A |
6. Addresses
The addresses of persons named in this form are as follows:
| l Name | Address |
|---|---|
| Credit Suisse Holdings (Australia) Limited (ACN 008 496 713) |
Level 31, Gateway, 1 Macquarie Place, Sydney NSW 2000, Australia |
| Credit Suisse Equities (Australia) Limited (ACN 068 232 708) |
Level 31, Gateway, 1 Macquarie Place, Sydney NSW 2000, Australia |
| CS Third Nominees Pty Limited (ACN 007 053 849) |
Level 31, Gateway, 1 Macquarie Place, Sydney NSW 2000, Australia |
| Credit Suisse Fourth Nominees Pty Limited (ACN 069 126 432) |
Level 31, Gateway, 1 Macquarie Place, Sydney NSW 2000, Australia |
| Credit Suisse Securities (Europe) Limited (ARBN 099554131) |
One Cabot Square, London, E14 4QJ |
| Credit Suisse Securities (USA) LLC | 11 Madison Avenue,, New York, New York 10010, New York 10010 |
| Credit Suisse Funds AG | Uetibergstrasse 231. Zurich, 8045 Switzerland |
Signature
| print name | Winston Loke | capacity | Authorised Signatory | |
|---|---|---|---|---|
| sign here | date | 04-Apr-2018 | ||
Annexure "A"
3. Changes in relevant interests
Particulars of each change in, or change in the nature of, a relevant interest of the substantial holder or an associate in voting securities of the
company or scheme, since the substantial holder was last required to give
| Date of change |
Person whose relevant interest changed |
Nature of change (6) | Consideration given in relation to change (7) |
Class and number of securities affected |
Person's votes affected |
|---|---|---|---|---|---|
| 14-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 1,572,595.40 AUD | 148,889 Common Stock |
148,889 |
| 14-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 32,619.90 AUD | 3.000 Common Stock | 3,000 |
| 14-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 19,787.13 AUD | 1.817 Common Stock | 1,817 |
| 14-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 55,124.36 AUD | 5,069 Common Stock | 5,069 |
| 14-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 2.601.04 AUD | 239 Common Stock | 239 |
| 14-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 254,023.06 AUD | 23,352 Common Stock |
23,352 |
| 14-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 8,866.71 AUD | 815 Common Stock | 815 |
| 14-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 6.319.58 AUD | 584 Common Stock | 584 |
| 14-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 163.43 AUD | 15 Common Stock | 15 |
| 14-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 14.913.88 AUD | -1.371 Common Stock |
$-1,371$ |
| 14-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 227,617.51 AUD | -20,872 Common Stock |
$-20,872$ |
| 14-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 918,006.42 AUD | -84,388 Common Stock |
$-84,388$ |
| 14-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 74,461.17 AUD | -6,835 Common Stock |
$-6,835$ |
| 14-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 6,411.85 AUD | -589 Common Stock | $-589$ |
| 14-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 1,561.56 AUD | -143 Common Stock | $-143$ |
| 14-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 1,299.48 AUD | -119 Common Stock | $-119$ |
| 14-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 2,072.71 AUD | -190 Common Stock | $-190$ |
| 14-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 165,626.66 AUD | -15,162 Common Stock |
$-15,162$ |
| 15-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 5.058.78 AUD | 467 Common Stock | 467 |
| 15-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 253,622.73 AUD | 23,406 Common Stock |
23,406 |
| 15-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 9,503.35 AUD | 877 Common Stock | 877 |
| 15-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 289,485.50 AUD | 26,709 Common Stock |
26,709 |
| 15-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 315,180.91 AUD | 29,087 Common Stock |
29,087 |
| 15-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 103,311.73 AUD | 9,535 Common Stock | 9,535 |
| 15-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 3,205.09 AUD | 296 Common Stock | 296 |
| 15-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 7,042.69 AUD | 649 Common Stock | 649 |
| 15-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 181,245.41 AUD | 16,518 Common Stock |
16,518 |
| 15-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 3,337.48 AUD | -309 Common Stock | $-309$ |
$\overline{\phantom{a}}$
| 15-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 21,610.00 AUD | -2,000 Common Stock |
$-2,000$ |
|---|---|---|---|---|---|
| 15-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 71,071.70 AUD | -6,560 Common Stock |
$-6,560$ |
| 15-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 451,392.02 AUD | -41,721 Common Stock |
$-41.721$ |
| 15-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 52,727.28 AUD | -4,878 Common Stock |
$-4,878$ |
| 15-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 28,317.60 AUD | -2,622 Common Stock |
$-2,622$ |
| 15-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 85,466.73 AUD | -7,913 Common Stock |
$-7.913$ |
| 15-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 10.817.67 AUD | -999 Common Stock | $-999$ |
| 16-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 43,296.00 AUD | 3,936 Common Stock | 3,936 |
| 16-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 2,943.82 AUD | 268 Common Stock | 268 |
| 16-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 3,471.69 AUD | 317 Common Stock | 317 |
| 16-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 330,464.52 AUD | 30,063 Common Stock |
30,063 |
| 16-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 80.195.49 AUD | 7,297 Common Stock | 7,297 |
| 16-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 51,256.05 AUD | 4,670 Common Stock | 4,670 |
| 16-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 167,622.15 AUD | 15,246 Common Stock |
15,246 |
| 16-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 41,865.91 AUD | 3,808 Common Stock | 3,808 |
| 16-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 77,345.16 AUD | 7,034 Common Stock | 7,034 |
| 16-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 173,743.31 AUD | -16,020 Common Stock |
$-16,020$ |
| 16-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 9,275.29 AUD | -854 Common Stock | $-854$ |
| 16-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 102,828.39 AUD | -9,496 Common Stock |
$-9,496$ |
| 16-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 97,609.40 AUD | -8.998 Common Stock |
$-8,998$ |
| 16-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 47,496.75 AUD | -4,375 Common Stock |
$-4,375$ |
| 16-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 1,393.06 AUD | -129 Common Stock | $-129$ |
| 16-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 746,615.84 AUD | -68,876 Common Stock |
$-68,876$ |
| 16-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 478,904.29 AUD | -44,232 Common Stock |
$-44,232$ |
| 16-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 1,572,595.40 AUD | -148,889 Common Stock |
$-148,889$ |
| 16-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 10,815.00 AUD | -1,000 Common Stock |
$-1,000$ |
| 16-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 17,791.87 AUD | $-1,640$ Common Stock |
$-1,640$ |
| 16-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 162.74 AUD | -15 Common Stock | $-15$ |
| 19-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 3,035.04 AUD | 275 Common Stock | 275 |
| 19-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 34,052.56 AUD | 3,094 Common Stock | 3,094 |
| 19-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 167,129.00 AUD | 15,210 Common Stock |
15,210 |
| 19-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 97,448.62 AUD | 8.840 Common Stock | 8,840 |
| 19-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 58,602.93 AUD | 5,337 Common Stock | 5,337 |
| 19-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 3,695.05 AUD | 335 Common Stock | 335 |
| 19-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 255,062.83 AUD | 23,161 Common Stock |
23,161 |
|---|---|---|---|---|---|
| 19-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 1.966.88 AUD | -180 Common Stock | $-180$ |
| 19-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 15,424.63 AUD | $-1.424$ Common Stock |
$-1.424$ |
| 19-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 29,190.30 AUD | -2,694 Common Stock |
$-2,694$ |
| 19-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 14,764.97 AUD | -1,363 Common Stock |
$-1,363$ |
| 19-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 86,399.58 AUD | -7,970 Common Stock |
$-7,970$ |
| 19-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 367.79 AUD | -34 Common Stock | $-34$ |
| 19-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 5,724.10 AUD | -528 Common Stock | $-528$ |
| 20-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 22,603.46 AUD | 2,056 Common Stock | 2,056 |
| 20-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 270,484.98 AUD | 24,622 Common Stock |
24,622 |
| 20-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 73,374.58 AUD | 6,707 Common Stock | 6,707 |
| 20-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 40,803.61 AUD | 3.744 Common Stock | 3,744 |
| 20-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 16,825.74 AUD | 1.544 Common Stock | 1,544 |
| 20-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 43,817.42 AUD | 3,973 Common Stock | 3,973 |
| 20-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 4,026.58 AUD | 363 Common Stock | 363 |
| 20-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 149,889.39 AUD | 13,541 Common Stock |
13,541 |
| 20-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 33.08 AUD | 3 Common Stock | 3 |
| 20-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 91,644.16 AUD | -8,335 Common Stock |
$-8,335$ |
| 20-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 502.66 AUD | -46 Common Stock | $-46$ |
| 20-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 6,629.38 AUD | -604 Common Stock | $-604$ |
| 20-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 229,014.16 AUD | -20,846 Common Stock |
$-20,846$ |
| 20-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 12,479.83 AUD | $-1,137$ Common Stock |
$-1,137$ |
| 20-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 133,533.25 AUD | -12,148 Common Stock |
$-12,148$ |
| 20-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 38,715.03 AUD | -3,516 Common Stock |
$-3,516$ |
| 20-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 12,182.69 AUD | -1,110 Common Stock |
$-1,110$ |
| 21-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 495,466.12 AUD | 44,639 Common Stock |
44,639 |
| 21-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 7,392.60 AUD | 666 Common Stock | 666 |
| 21-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 34,559.33 AUD | 3,109 Common Stock | 3,109 |
| 21-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 2,485.77 AUD | 224 Common Stock | 224 |
| 21-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 933.05 AUD | 84 Common Stock | 84 |
| 21-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 9,108.08 AUD | -827 Common Stock | $-827$ |
| 21-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 87,872.07 AUD | -7,983 Common Stock |
$-7,983$ |
| 21-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 52,462.66 AUD | -4,753 Common Stock |
$-4,753$ |
| 21-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 26,891.46 AUD | $-2,429$ Common Stock |
$-2,429$ |
| 21-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 1,229.76 AUD | -112 Common Stock | $-112$ |
|---|---|---|---|---|---|
| 22-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 95,883.05 AUD | 8,485 Common Stock | 8,485 |
| 22-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 9,486.27 AUD | 835 Common Stock | 835 |
| 22-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 6,322.28 AUD | 556 Common Stock | 556 |
| 22-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 3,002.34 AUD | 266 Common Stock | 266 |
| 22-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 24,352.48 AUD | $-2,231$ Common Stock |
$-2,231$ |
| 22-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 111,877.03 AUD | -10,190 Common Stock |
$-10,190$ |
| 22-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 6,615.60 AUD | -596 Common Stock | $-596$ |
| 22-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 1,719.10 AUD | -157 Common Stock | $-157$ |
| 22-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 1,603.91 AUD | -146 Common Stock | -146 |
| 22-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 19,075.25 AUD | -1,738 Common Stock |
$-1,738$ |
| 22-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 173.280.33 AUD | -15,827 Common Stock |
$-15,827$ |
| 22-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 30,919.91 AUD | -2,825 Common Stock |
$-2,825$ |
| 22-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 3,044.52 AUD | -278 Common Stock | $-278$ |
| 22-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 11,718.64 AUD | -1,070 Common Stock |
$-1,070$ |
| 22-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 18,098.59 AUD | -1,651 Common Stock |
$-1,651$ |
| 23-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 59,128.81 AUD | 5,521 Common Stock | 5,521 |
| 23-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 15,855.06 AUD | 1,469 Common Stock | 1,469 |
| 23-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 116,714.72 AUD | 10,947 Common Stock |
10,947 |
| 23-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 1,685.19 AUD | 156 Common Stock | 156 |
| 23-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 446,183.90 AUD | 41,740 Common Stock |
41,740 |
| 23-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 2,014.38 AUD | 186 Common Stock | 186 |
| 23-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 23,442.45 AUD | 2.188 Common Stock | 2,188 |
| 23-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 2,046.15 AUD | 190 Common Stock | 190 |
| 23-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 8,007.39 AUD | 741 Common Stock | 741 |
| 23-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 106,815.05 AUD | -9,634 Common Stock |
$-9,634$ |
| 23-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 12,598.58 AUD | $-1,136$ Common Stock |
$-1,136$ |
| 23-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 96,167.64 AUD | -8,665 Common Stock |
$-8,665$ |
| 23-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 6,961.02 AUD | -627 Common Stock | $-627$ |
| 23-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 5,010.15 AUD | -452 Common Stock | -452 |
| 23-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 145,716.44 AUD | -13,106 Common Stock |
$-13,106$ |
| 23-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 3,164.64 AUD | -285 Common Stock | -285 |
| 23-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 87,110.67 AUD | -7,850 Common Stock |
$-7,850$ |
| 23-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 240,533.42 AUD | -21,699 Common Stock |
$-21,699$ |
| 23-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 10,867.32 AUD | -980 Common Stock | $-980$ |
|---|---|---|---|---|---|
| 26-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 90.085.21 AUD | 8,343 Common Stock | 8,343 |
| 26-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 332.461.47 AUD | 30.830 Common Stock |
30,830 |
| 26-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 5,693.95 AUD | 526 Common Stock | 526 |
| 26-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 387,465.28 AUD | 35,968 Common Stock |
35,968 |
| 26-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 401,263.12 AUD | 37,315 Common Stock |
37,315 |
| 26-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 436.753.64 AUD | 40,540 Common Stock |
40,540 |
| 26-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 4,204.72 AUD | -373 Common Stock | $-373$ |
| 26-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 6,229.72 AUD | -551 Common Stock | $-551$ |
| 26-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 442,987.86 AUD | -39,216 Common Stock |
$-39,216$ |
| 26-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 11,810.07 AUD | -1,046 Common Stock |
$-1,046$ |
| 26-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 170,010.09 AUD | -15,055 Common Stock |
$-15,055$ |
| 26-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 15,538.70 AUD | $-1,374$ Common Stock |
$-1,374$ |
| 26-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 16,920.41 AUD | -1,495 Common Stock |
$-1,495$ |
| 26-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 294,648.18 AUD | -26,097 Common Stock |
$-26,097$ |
| 26-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 60,782.13 AUD | -5,384 Common Stock |
$-5,384$ |
| 26-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 4,173.75 AUD | -371 Common Stock | $-371$ |
| 26-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 6,814.58 AUD | -602 Common Stock | $-602$ |
| 26-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 3,882.35 AUD | -343 Common Stock | $-343$ |
| 26-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 387,064.73 AUD | -34,252 Common Stock |
$-34,252$ |
| 27-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Stock borrowed under ASLA | Refer to Annexure C of Notice |
1,700,000 Common Stock |
1,700,000 |
| 27-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 100,933.98 AUD | 9,399 Common Stock | 9,399 |
| 27-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 121,850.55 AUD | 11,500 Common Stock |
11,500 |
| 27-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 24,254.55 AUD | 2,260 Common Stock | 2,260 |
| 27-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 10,260.28 AUD | 957 Common Stock | 957 |
| 27-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Acquired on market | 215,343.07 AUD | 20,177 Common Stock |
20,177 |
| 27-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 165,588.25 AUD | -15,353 Common Stock |
$-15,353$ |
| 27-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 70,474.12 AUD | -6,555 Common Stock |
$-6,555$ |
| 27-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 12,604.84 AUD | -1,164 Common Stock |
$-1,164$ |
| 27-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 12,370.71 AUD | -1,149 Common Stock |
$-1,149$ |
| 27-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 1,670.07 AUD | -156 Common Stock | $-156$ |
| 27-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 87,710.79 AUD | -8,087 Common Stock |
$-8,087$ |
| 27-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 198,427.05 AUD | -18,344 Common Stock |
$-18,344$ |
| 27-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 122,668.17 AUD | -11,473 Common Stock |
$-11,473$ |
| 27-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 10,458.62 AUD | -974 Common Stock | $-974$ |
|---|---|---|---|---|---|
| 27-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 75,982.70 AUD | -7,146 Common Stock |
$-7,146$ |
| 27-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 197,656.98 AUD | -18,392 Common Stock |
$-18,392$ |
| 27-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 435,747.93 AUD | -39,217 Common Stock |
$-39,217$ |
| 27-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 2,954.06 AUD | -276 Common Stock | $-276$ |
| 27-Mar-2018 | Credit Suisse Equities (Australia) Limited |
Disposed on market | 7,918.99 AUD | -737 Common Stock | $-737$ |
| 14-Mar-2018 | Credit Suisse Securities (Europe) Limited |
Acquired on market | 1,1659.23AUD | 107 Common Stock | 107 |
| 19-Mar-2018 | Credit Suisse Securities (Europe) Limited |
Acquired on market | 804.22 AUD | 73 Common Stock | 73 |
| 19-Mar-2018 | Credit Suisse Securities (Europe) Limited |
Disposed on market | 197,164.00 AUD | -17,924 Common Stock |
$-17,924$ |
| 22-Mar-2018 | Credit Suisse Securities (Europe) Limited |
Acquired on market | 2,205.00 AUD | 196 Common Stock | 196 |
| 23-Mar-2018 | Credit Suisse Securities (Europe) Limited |
Disposed on market | 7,625.70 AUD | -687 Common Stock | $-687$ |
| 14-Mar-2018 | Credit Suisse Securities (Europe) Limited |
Stock borrowed under Master Prime brokerage agreement |
Refer to Annexure C of Notice |
100 Common Stock | 100 |
| 15-Mar-2018 | Credit Suisse Securities (Europe) Limited |
Stock borrowed under Master Prime brokerage agreement |
Refer to Annexure C of Notice |
393 Common Stock | 393 |
| 15-Mar-2018 | Credit Suisse Securities (Europe) Limited |
Stock returned under Master Prime brokerage agreement |
Refer to Annexure C of Notice |
-200 Common Stock | $-200$ |
| 16-Mar-2018 | Credit Suisse Securities (Europe) Limited |
Stock borrowed under Master Prime brokerage agreement |
Refer to Annexure C of Notice |
18,424 Common Stock |
18,424 |
| 16-Mar-2018 | Credit Suisse Securities (Europe) Limited |
Stock returned under Master Prime brokerage agreement |
Refer to Annexure C of Notice |
-100 Common Stock | $-100$ |
| 19-Mar-2018 | Credit Suisse Securities (Europe) Limited |
Stock borrowed under Master Prime brokerage agreement |
Refer to Annexure C of Notice |
18,817 Common Stock |
18,817 |
| 19-Mar-2018 | Credit Suisse Securities (Europe) Limited |
Stock returned under Master Prime brokerage agreement |
Refer to Annexure C of Notice |
-18,424 Common Stock |
$-18,424$ |
| 19-Mar-2018 | Credit Suisse Securities (Europe) Limited |
Stock returned under Master Prime brokerage agreement |
Refer to Annexure C of Notice |
-393 Common Stock | -393 |
| 20-Mar-2018 | Credit Suisse Securities (Europe) Limited |
Stock returned under Master Prime brokerage agreement |
Refer to Annexure C of Notice |
-18,817 Common Stock |
$-18,817$ |
| 23-Mar-2018 | Credit Suisse Securities (Europe) Limited |
Stock borrowed under OSLA | Refer to Annexure C of Notice |
748,000 Common Stock |
748,000 |
| 27-Mar-2018 | Credit Suisse Securities (Europe) Limited |
Stock borrowed under OSLA | Refer to Annexure C of Notice |
1,058,375 Common Stock |
1,058,375 |
| 22-Mar-2018 | Credit Suisse Securities (USA) LLC |
Stock borrowed under OSLA | Refer to Annexure C of Notice |
303,016 Common Stock |
303,016 |
| 22-Mar-2018 | Credit Suisse Securities (USA) LLC |
Stock borrowed under OSLA | Refer to Annexure C of Notice |
1,396,984 Common Stock |
1,396,984 |
| 22-Mar-2018 | Credit Suisse Securities (USA) LLC |
Stock borrowed under OSLA | Refer to Annexure C of Notice |
1,600,000 Common Stock |
1,600,000 |
| 22-Mar-2018 | Credit Suisse Securities (USA) LLC |
Stock borrowed under OSLA | Refer to Annexure C of Notice |
225,000 Common Stock |
225,000 |
This is Annexure "A" referred to in the Form 604 "Notice of change of interests of substantial holder"
Signature
Credit Suisse Holdings (Australia) Limited (ACN 008 496 713)
print name
Winston Loke
capacity Authorised Signatory $\overline{date}$
sign here
04-Apr-2018
Annexure "B"
4. Present relevant interests
Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows:
| Holder of relevant interest |
Registered holder of securities |
Person entitled to be registered as holder (8) |
Nature of relevant interest (6) |
Class and number of securities |
Person's votes |
|---|---|---|---|---|---|
| Credit Suisse Equities (Australia) Limited (ACN 068 232 708) |
CS Fourth Nominees Pty Limited (ACN 069 126 432) |
Credit Suisse Equities (Australia) Limited |
Voting rights and right to dispose |
706,230 Common Stock |
706.230 |
| Credit Suisse Equities (Australia) Limited (ACN 068 232 708) |
CS Fourth Nominees Pty Limited (ACN 069 126 432) |
Credit Suisse Equities (Australia) Limited |
Holder of securities subject to an obligation to return under a securities lending agreement |
1,700,000 Common Stock |
1,700,000 |
| Credit Suisse Securities (Europe) Limited (ARBN 099554131) |
CS Third Nominees Pty Limited (ACN 007 053 849)) |
Credit Suisse Securities (Europe) Limited |
Voting rights and right to dispose |
70,219 Common Stock |
70,219 |
| Credit Suisse Securities (Europe) Limited (ARBN 099554131) |
CS Third Nominees Pty Limited (ACN 007 053 849) |
Credit Suisse Securities (Europe) Limited |
Holder of securities subject to an obligation to return under a securities lending agreement |
19,950,635 Common Stock |
19,950,635 |
| Credit Suisse Securities (USA) LLC |
CS Third Nominees Pty Limited (ACN 007 053 849) |
Credit Suisse Securities (USA) LLC |
Holder of securities subject to an obligation to return under a securities lending agreement |
6,730,000 Common Stock |
6,730,000 |
| Credit Suisse Funds AG |
HSBC Custody Nominees (Australia) Limited (ACN 003 094 568) |
Credit Suisse Funds AG |
Voting rights and right to dispose |
141,740 Common Stock |
141,740 |
This is Annexure "B" referred to in the Form 604 "Notice of change of interests of substantial holder"
Signature
Credit Suisse Holdings (Australia) Limited (ACN 008 496 713)
print name sign here Winston Loke
Authorised Signatory capacity
04-Apr-2018
date
Annexure "C"
This is Annexure "C" referred to in the Form 604 "Notice of change of interests of substantial holder"
| Signature | Credit Suisse Holdings (Australia) Limited (ACN 008 496 713) | ||||
|---|---|---|---|---|---|
| print name | Winston Loke | capacity | Authorised Signatory | ||
| sign here | date | 04-Apr-2018 | |||
| Prescribed information | |
|---|---|
| Schedule | |
| Type of agreement | Australian Securities Lending Agreement |
| Parties to agreement | Credit Suisse Equities (Australia) Limited and State Street Bank & Trust Co |
| Transfer date | 27-Mar-18 |
| Holder of voting rights | Borrower |
| Are there any restrictions on voting rights? | Yes |
| If yes, detail | Voting rights to be exercised in accordance with lender's instructions provided such instructions are received 7 days prior |
| Scheduled return date (if any) | N/A |
| Does the borrower have the right to return early? | Yes |
| If yes, detail | Early return is subject to the lender's acceptance |
| Does the lender have the right to recall early? | Yes |
| If yes, detail | With 4 business days prior notice or earlier upon agreement |
| Will the securities be returned on settlement? | Yes |
| If yes, detail any exceptions | If an event of default occurs in respect of either the lender or the borrower, the obligation of the borrower to deliver the securities to the lender will be netted off against the obligation of the lender to return securities or cash held by the lender as collateral. |
Prescribed information
| Schedule | |
|---|---|
| Type of agreement | Overseas Securities Borrowing Agreement |
| Parties to agreement | Credit Suisse Securities (Europe) Limited and ESEC A/C Calpers |
| Transfer date | 23-Mar-2018 |
| Holder of voting rights | Borrower |
| Are there any restrictions on voting rights? | Yes |
| If yes, detail | Voting rights to be exercised in accordance with lender's instructions provided such instructions are received 5 days prior. |
| Scheduled return date (if any) | N/A |
| Does the borrower have the right to return early? | Yes |
| If yes, detail | At Will. |
| Does the lender have the right to recall early? | Yes |
| If yes, detail | With 4 business days prior notice or earlier upon agreement |
| Will the securities be returned on settlement? | Yes |
| If yes, detail any exceptions | If an event of default occurs in respect of either the lender or the borrower, the obligation of the borrower to deliver the securities to the lender will be netted off against the obligation of the lender to return securities or cash held by the lender as collateral. |
Prescribed information
| Overseas Securities Borrowing Agreement |
|---|
| Credit Suisse Securities (Europe) Limited and Citibank NA |
| 27-Mar-2018 |
| Borrower |
| Yes |
| Voting rights to be exercised in accordance with lender's instructions provided such instructions are received 5 days prior. |
| N/A |
| Yes |
| At Will. |
| Yes |
| With 4 business days prior notice or earlier upon agreement |
| Yes |
| If an event of default occurs in respect of either the lender or the borrower, the obligation of the borrower to deliver the securities to the lender will be netted off against the obligation of the lender to return securities or cash held by the lender as collateral. |
| Prescribed information | |
|---|---|
| Schedule | |
| Type of agreement | Overseas Securities Lending Agreement |
| Parties to agreement | Credit Suisse Securities (USA) LLC and The Northern Trust Company |
| Transfer date | 22-Mar-2018 |
| Holder of voting rights | Borrower |
| Are there any restrictions on voting rights? | No |
| If yes, detail | N/A |
| Scheduled return date (if any) | N/A |
| Does the borrower have the right to return early? | Yes |
| If yes, detail | At Will, unless Borrower and Lender agree to the contrary. |
| Does the lender have the right to recall early? | Yes |
| If yes, detail | With 4 business days prior notice or earlier upon agreement. |
| Will the securities be returned on settlement? | Yes |
| If yes, detail any exceptions | If an event of default occurs in respect of either the lender or the borrower, the obligation of the borrower to deliver the securities to the lender will be netted off against the obligation of the lender to return securities or cash held by the lender as collateral. |
| Prescribed information | |
|---|---|
| Schedule | |
| Type of agreement | Overseas Securities Lending Agreement |
| Parties to agreement | Credit Suisse Securities (USA) LLC and Goldman Sachs Agency Lending |
| Transfer date | 22-Mar-2018 |
| Holder of voting rights | Borrower |
| Are there any restrictions on voting rights? | No |
| If yes, detail | N/A |
| Scheduled return date (if any) | N/A |
| Does the borrower have the right to return early? | Yes |
| If yes, detail | At Will, unless Borrower and Lender agree to the contrary. |
| Does the lender have the right to recall early? | Yes |
| If yes, detail | With 4 business days prior notice or earlier upon agreement. |
| Will the securities be returned on settlement? | Yes |
| If yes, detail any exceptions | If an event of default occurs in respect of either the lender or the borrower, the obligation of the borrower to deliver the securities to the lender will be netted off against the obligation of the lender to return securities or cash held by the lender as collateral. |
| Prescribed information | |
|---|---|
| Schedule | |
| Type of agreement | Overseas Securities Lending Agreement |
| Parties to agreement | Credit Suisse Securities (USA) LLC and Brown Bothers Intl S/L |
| Transfer date | 22-Mar-2018 |
| Holder of voting rights | Borrower |
| Are there any restrictions on voting rights? | No |
| If yes, detail | N/A |
| Scheduled return date (if any) | N/A |
| Does the borrower have the right to return early? | Yes |
| If yes, detail | At Will, unless Borrower and Lender agree to the contrary. |
| Does the lender have the right to recall early? | Yes |
| If yes, detail | With 4 business days prior notice or earlier upon agreement. |
| Will the securities be returned on settlement? | Yes |
| If yes, detail any exceptions | If an event of default occurs in respect of either the lender or the borrower, the obligation of the borrower to deliver the securities to the lender will be netted off against the obligation of the lender to return securities or cash held by the lender as collateral. |