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Immuron Ltd Regulatory Filings 2019
35121_rns_2019-07-22_9922f855-f42d-40fb-b584-9c75fdf568c3.pdf
Regulatory Filings
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Form 605 Corporations Act 2001
Section 671B
Notice of ceasing to be a substantial holder
| To Company Name/Scheme | IMMURON LIMITED | |||||
|---|---|---|---|---|---|---|
| ACN/ARSN | 063 114 045 | |||||
| 1. Details of substantial holder (1) | ||||||
| Name | Morgan Stanley and its subsidiaries listed in Annexure A | |||||
| ACN/ARSN (if applicable) | Not Applicable | |||||
| The holder ceased to be a | ||||||
| substantial holder on | July 18, 2019 | |||||
| The previous notice was given to the company on | July 19, 2019 | |||||
| The previous notice was dated | July 16, 2019 | |||||
| The holder became aware on | July 22, 2019 |
2. Changes in relevant interests
Particulars of each change in, or change in the nature of, a relevant interest (2) of the substantial holder or an associate (3) in voting securities of the company or scheme, since the substantial holder was last required to give a substantial holding notice to the company or scheme are as follows:
| Date of change | Person whose relevant interest changed | Nature of change (4) |
Consideration given in relation to change $(5)$ (USD) |
Class (6) and number of Securities affected |
Person's votes affected |
|---|---|---|---|---|---|
| 7/17/2019 | Morgan Stanley & Co. LLC | Buy | 3,690.00 | 1,000 American Depositary Receipts | 40,000 |
| 7/17/2019 | Morgan Stanley & Co. LLC | Buy | 18.5 | 5 American Depositary Receipts | 200 |
| 7/17/2019 | Morgan Stanley & Co. LLC | Buy | 9,625.65 | 2,621 American Depositary Receipts | 104,840 |
| 7/17/2019 | Morgan Stanley & Co. LLC | Buy | 378 | 100 American Depositary Receipts | 4,000 |
| 7/17/2019 | Morgan Stanley & Co. LLC | Buy | 780 | 200 American Depositary Receipts | 8,000 |
| 7/17/2019 | Morgan Stanley & Co. LLC | Buy | 12,254.40 | 3,350 American Depositary Receipts | 134,000 |
| 7/17/2019 | Morgan Stanley & Co. LLC | Buy | 66.06 | 18 American Depositary Receipts | 720 |
| 7/17/2019 | Morgan Stanley & Co. LLC | Buy | 2,190.00 | 600 American Depositary Receipts | 24.000 |
| 7/17/2019 | Morgan Stanley & Co. LLC | Buy | 560.99 | 149 American Depositary Receipts | 5,960 |
| 7/17/2019 | Morgan Stanley & Co. LLC | Buy | 2,315.32 | 628 American Depositary Receipts | 25,120 |
| 7/17/2019 | Morgan Stanley & Co. LLC | Buy | 10.701.54 | 2,909 American Depositary Receipts | 116,360 |
| 7/17/2019 | Morgan Stanley & Co. LLC | Buy | 1,458.00 | 400 American Depositary Receipts | 16,000 |
| 7/17/2019 | Morgan Stanley & Co. LLC | Buy | 358.2 | 98 American Depositary Receipts | 3,920 |
| 7/17/2019 | Morgan Stanley & Co. LLC | Buy | 3.76 | 1 American Depositary Receipts | 40 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Buy | 1.080.00 | 300 American Depositary Receipts | 12,000 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Buy | 360 | 100 American Depositary Receipts | 4.000 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Buy | 1,080.00 | 300 American Depositary Receipts | 12,000 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 61,317.45 | 10,004 American Depositary Receipts | 400,160 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 1,017.00 | 200 American Depositary Receipts | 8,000 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 82,135.37 | 13,629 American Depositary Receipts | 545,160 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 2,074.00 | 400 American Depositary Receipts | 16,000 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 593.5 | 100 American Depositary Receipts | 4,000 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 15,029.75 | 2,559 American Depositary Receipts | 102,360 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 56,046.72 | 9,610 American Depositary Receipts | 384,400 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 5,249.92 | 864 American Depositary Receipts | 34,560 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 730.05 | 115 American Depositary Receipts | 4.600 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 4,183.00 | 700 American Depositary Receipts | 28,000 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 5,810.85 | 1,032 American Depositary Receipts | 41,280 |
|---|---|---|---|---|---|
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 34,546.26 | 5,837 American Depositary Receipts | 233,480 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 6,030.00 | 900 American Depositary Receipts | 36,000 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 12,553.17 | 2,197 American Depositary Receipts | 87,880 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 19,094.45 | 3,035 American Depositary Receipts | 121,400 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 1,258.00 | 200 American Depositary Receipts | 8,000 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 4,398.00 | 800 American Depositary Receipts | 32,000 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 8,740.60 | 1,507 American Depositary Receipts | 60,280 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 3,688.00 | 600 American Depositary Receipts | 24,000 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 13,165.54 | 2,062 American Depositary Receipts | 82,480 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 22,106.85 | 3,685 American Depositary Receipts | 147,400 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 574 | 100 American Depositary Receipts | 4,000 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 3,602.50 | 800 American Depositary Receipts | 32,000 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 273.36 | 67 American Depositary Receipts | 2,680 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 30,221.82 | 4,876 American Depositary Receipts | 195,040 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 131.56 | 22 American Depositary Receipts | 880 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 3,537.50 | 635 American Depositary Receipts | 25,400 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 3,822.20 | 659 American Depositary Receipts | 26,360 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 146,373.10 | 23,149 American Depositary Receipts | 925,960 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 1,183.55 | 191 American Depositary Receipts | 7,640 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 1,169.00 | 200 American Depositary Receipts | 8,000 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 124,503.38 | 20,036 American Depositary Receipts | 801,440 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 2,112.00 | 400 American Depositary Receipts | 16,000 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 49,414.02 | 7,788 American Depositary Receipts | 311,520 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 34,675.43 | 5,881 American Depositary Receipts | 235,240 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 18,484.00 | 3,050 American Depositary Receipts | 122,000 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 23,511.68 | 4,048 American Depositary Receipts | 161,920 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 5.95 | 1 American Depositary Receipts | 40 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 7,071.20 | 1,150 American Depositary Receipts | 46,000 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 75,921.44 | 12,491 American Depositary Receipts | 499,640 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 78.177.39 | 12,317 American Depositary Receipts | 492,680 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 6,617.62 | 1,071 American Depositary Receipts | 42,840 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 470 | 100 American Depositary Receipts | 4,000 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 2,461.00 | 400 American Depositary Receipts | 16,000 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 580 | 100 American Depositary Receipts | 4,000 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 1,796.00 | 300 American Depositary Receipts | 12,000 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 6,289.27 | 987 American Depositary Receipts | 39,480 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 570 | 100 American Depositary Receipts | 4,000 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 8,483.60 | 1,462 American Depositary Receipts | 58,480 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 1,227.50 | 200 American Depositary Receipts | 8,000 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 587.5 | 100 American Depositary Receipts | 4,000 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 711.76 | 164 American Depositary Receipts | 6,560 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 3,178.69 | 528 American Depositary Receipts | 21,120 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 61,986.65 | 10,010 American Depositary Receipts | 400,400 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 630 | 100 American Depositary Receipts | 4,000 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 3,971.99 | 803 American Depositary Receipts | 32,120 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 36,999.85 | 6,326 American Depositary Receipts | 253,040 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 3,232.04 | 519 American Depositary Receipts | 20,760 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 1,945.00 | 300 American Depositary Receipts | 12,000 4,000 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 431 | 100 American Depositary Receipts | |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 10,707.55 | 1,845 American Depositary Receipts | 73,800 28,320 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Seil | 3,418.26 | 708 American Depositary Receipts |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 3,101.00 | 500 American Depositary Receipts | 20,000 |
|---|---|---|---|---|---|
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 36,630.31 | 6,077 American Depositary Receipts | 243,080 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 70,645.29 | 12,141 American Depositary Receipts | 485,640 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 15,482.50 | 2,650 American Depositary Receipts | 106,000 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 1,346.40 | 220 American Depositary Receipts | 8,800 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 5,740.00 | 1,000 American Depositary Receipts | 40,000 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 41.65 | 7 American Depositary Receipts | 280 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 4.494.50 | 750 American Depositary Receipts | 30,000 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 11.690.80 | 1,880 American Depositary Receipts | 75,200 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 25,964.41 | 4,141 American Depositary Receipts | 165,640 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 593.5 | 100 American Depositary Receipts | 4,000 |
| 7/18/2019 | Morgan Stanley & Co. LLC | Sell | 615 | 100 American Depositary Receipts | 4,000 |
3. Changes in association
The persons who have become associates (3) of, ceased to be associates of, or have changed the nature of their association (7) with, the substantial holder in relation to voting interests in the company or scheme are as follows:
| Name and ACN/ARSN (if applicable) | Nature of association |
|---|---|
| Not Applicable | Not Applicable |
4. Addresses
÷,
The addresses of persons named in this form are as follows:
| Name | Address | |
|---|---|---|
| Morgan Stanley Capital Services LLC | 1585 Broadway, New York, 10036, USA. | |
| Morgan Stanley & Co. LLC | 1585 Broadway, New York, 10036, USA. | |
| Morgan Stanley | 1585 Broadway, New York, New York, 10036, USA. |
$\blacksquare$
| Signature | |||||
|---|---|---|---|---|---|
| print name | Wilson Li | capacity | Vice President | ||
| sign here | date | July 23, 2019 | |||
Annexure A
List of Morgan Stanley and its subsidiaries that have a relevant interest or deemed to have a relevant interest in the shares or units.
Signature
| print name | Wilson Li | capacity | Vice President | |
|---|---|---|---|---|
| sign here | $\sim$ | date | July 23, 2019 | |
| $\sim$ | $\sim$ |
DIRECTIONS
- If there are a number of substantial holders with similar or related relevant interests (eg. a corporation and its related corporations, or the manager and $(1)$ trustee of an equity trust), the names could be included in an annexure to the form. If the relevant interests of a group of persons are essentially similar, they may be referred to throughout the form as a specifically named group if the membership of each group, with the names and addresses of members is clearly set out in paragraph 4 of the form.
- See the definition of "relevant interest" in sections 608 and 671B(7) of the Corporations Act 2001. $(2)$
- See the definition of "associate" in section 9 of the Corporations Act 2001. $(3)$
- Include details of: $(4)$
- any relevant agreement or other circumstances because of which the change in relevant interest occurred. If subsection 671B(4) applies, a copy $(a)$ of any document setting out the terms of any relevant agreement, and a statement by the person giving full and accurate details of any contract, scheme or arrangement, must accompany this form, together with a written stat
- any qualification of the power of a person to exercise, control the exercise of, or influence the exercise of, the voting powers or disposal of the $(b)$ securities to which the relevant interest relates (indicating clearly the particular securities to which the qualification applies).
See the definition of "relevant agreement" in section 9 of the Corporations Act 2001.
- Details of the consideration must include any and all benefits, moneys and other, that any person from whom a relevant interest was acquired has, or
may, become entitled to receive in relation to that acquisition. Details $(5)$ contingency. Details must be included of any benefit paid on behalf of the substantial holder or its associate in relation to the acquisitions, even if they are not paid directly to the person from whom the relevant interest was acquired. - The voting shares of a company constitute one class unless divided into separate classes. $(6)$
- Give details, if appropriate, of the present association and any change in that association since the last substantial holding notice. $(7)$
GUIDE
This guide does not form part of the prescribed form and is included by ASIC to assist you in completing and lodging form 605.
| Signature | This form must be signed by either a director or a secretary of the substantial holder. | ||
|---|---|---|---|
| Lodging period | Nil | ||
| $\mathcal{F}(\mathcal{F})$ is a $\mathcal{F}$ | |||
| Lodging Fee | Nil | ||
| Other forms to be completed |
Nil | ||
| Additional information | (a) | If additional space is required to complete a question, the information may be included on a separate piece of paper annexed to the form. |
|
| (b) | This notice must be given to a listed company, or the responsible entity for a listed managed investment scheme. A copy of this notice must also be given to each relevant securities exchange. |
||
| (c) | The person must give a copy of this notice: | ||
| (i) within 2 business days after they become aware of the information; or |
|||
| (ii) by 9.30 am on the next trading day of the relevant securities exchange after they become aware of the information if: |
|||
| (A) a takeover bid is made for voting shares in the company or voting interests in the scheme; and |
|||
| (B) the person becomes aware of the information during the bid period. |
|||
| Annexures | To make any annexure conform to the regulations, you must | ||
| 1 | use A4 size paper of white or light pastel colour with a margin of at least 10mm on all sides | ||
| 2 | show the corporation name and ACN or ARBN | ||
| 3 | number the pages consecutively | ||
| 4 | print or type in BLOCK letters in dark blue or black ink so that the document is clearly legible when photocopied | ||
| 5 | identify the annexure with a mark such as A, B, C, etc | ||
| 6 | endorse the annexure with the words: This is annexure (mark) of (number) pages referred to in form (form number and title) |
||
| 7 sign and date the annexure. | |||
| The annexure must be signed by the same person(s) who signed the form. | |||
| $\sim$ | |||
Information in this guide is intended as a guide only. Please consult your accountant or solicitor for further advice.