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Immuron Ltd Regulatory Filings 2019
35121_rns_2019-07-18_b5617030-26e1-470d-b9c4-b44784430b05.pdf
Regulatory Filings
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Form 603 Corporations Act 2001
Section 671B
Notice of initial 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 became a substantial holder on | July 16, 2019 |
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 the substantial holder became a substantial holder are as follows:
| Class of securities (4) | Number of securities | Person's votes (5) | Voting power (6) | |
|---|---|---|---|---|
| American Depositary Receipts | 213.687 | 8,547,480 | 5.24% | |
| Based on 163,215,706 Ordinary Shares Outstanding |
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 |
|
|---|---|---|---|
| Morgan Stanley & Co. LLC | American Depositary Receipts held or in respect of which the holder may exercise control over disposal in the ordinary course of sales and trading lbusinesses. |
213,686 American Depositary Receipts |
|
| Morgan Stanley Capital Services ILLC |
American Depositary Receipts held or in respect of which the holder may exercise control over disposal in the ordinary course of sales and trading lbusinesses. |
American Depositary Receipt |
|
| Each of the entities (as listed in Annexure A) in the Morgan Stanley group upstream of the labove entities |
Each of the above entities is a body corporate that each upstream entity controls and therefore has the relevant interests that the above entities collectively have. |
213,687 American Depositary Receipts (N.B.: Total of the above direct linterest) |
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 |
|---|---|---|---|
| Morgan Stanley Capital Services LLC | DTC through Morgan Stanley | Not Applicable | 1 American Depositaryİ Receipt |
| Morgan Stanley & Co. LLC | DTC through Morgan Stanley | Not Applicable | 213,686 American Depositary Receipts |
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) | Class and number interest of securities |
|
|---|---|---|---|---|
| Cash (USD) | Non-cash | |||
| Morgan Stanley & Co. LLC | 03/28/2019 | 1,712.14 | Buy | 290 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/01/2019 | 1.080.00 | Buy | 200 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/01/2019 | 628.26 | Buy | 114 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/01/2019 | 1,100.00 | Buy | 200 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/04/2019 | 580.00 | Buy | 100 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/04/2019 | 5,387.00 | Buy | 986 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/04/2019 | 1,100.10 | Buy | 190 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/04/2019 | 550.00 | Buy | 100 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/05/2019 | 560.00 | Buy | 100 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/11/2019 | 670.80 | Buy | 130 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/11/2019 | 570.00 | Buy | 100 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/11/2019 | 597.00 | Buy | 100 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/11/2019 | 877.20 | Buy | 170 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/11/2019 | 609.00 | Buy | 100 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/11/2019 | 597.00 | Buy | 100 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/11/2019 | 570.00 | Buy | 100 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/11/2019 | 608.00 | Buy | 100 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/11/2019 | 1,173.80 | Buy | 200 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/12/2019 | 1,490.00 | Buy | 200 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/12/2019 | 3,080.00 | Buy | 400 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/12/2019 | 8,465.70 | Buy. | 1,190 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/12/2019 | 740.00 | Buy | 100 American Depositary Receipts |
| Morgan Stanley Capital Services LLC | 04/12/2019 | 700.00 | Buy | 100 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/12/2019 | 70.50 | Buy | 10 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/12/2019 | 738.72 | Buy | 114 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/12/2019 | 2,889.00 | Buy | 400 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/15/2019 | 3,829.92 | Buy | 606 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/15/2019 | 632.50 | Buy | 100 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/16/2019 | 618.00 | Buy | 100 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/16/2019 | 1,223.00 | Buy | 200 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/16/2019 | 618.00 | Buy | 100 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/17/2019 | 1,198.00 | Buy | 200 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/17/2019 | 1,198.00 | Buy | 200 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 04/22/2019 | 1,089.00 | Buy | 200 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 05/02/2019 | 2,225.25 | Buy | 387 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 05/02/2019 | 580.00 | Buy | 100 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 05/15/2019 | 1,000.00 | Buy | 200 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 05/15/2019 | 239.29 | Buy | 47 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 05/15/2019 | 310.49 | Buy | 61 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 05/24/2019 | 1,110.00 | Buy | 300 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 05/24/2019 | 340.40 | Buy | 92 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 05/31/2019 | 30.69 | Buy | 9 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/12/2019 | 1,576.20 | Buy | 370 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/12/2019 | 17,017.30 | Buy | 4,005 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/12/2019 | 5,025.00 | Buy | 1,000 American Depositary Receipts |
|---|---|---|---|---|
| Morgan Stanley & Co. LLC | 06/12/2019 | 2,664.25 | Buy | 604 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/12/2019 | 2,313.60 | Buy | 480 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/12/2019 | 13,582.93 | Buy | 3,167 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/12/2019 | 4,420.00 | Buy | 900 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/12/2019 | 15,328.84 | Buy | 3,745 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/12/2019 | 2,241.60 | Buy | 560 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/12/2019 | 33,948.15 | Buy | 6,089 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/12/2019 | 21,436.63 | Buy | 3,963 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/12/2019 | 196.50 | Buy | 50 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/12/2019 | 3,795.00 | Buy | 700 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/12/2019 | 26,205.26 | Buy | 6,115 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/12/2019 | 1,056.00 | Buy | 200 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/12/2019 | 39,129.46 | Buy | 8,083 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/12/2019 | 1,275.00 | Buy | 300 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/12/2019 | 1,415.25 | Buy | 325 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/12/2019 | 2,613.00 | Buy | 550 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/12/2019 | 2,876.66 | Buy | 606 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/12/2019 | 500.00 | Buy | 100 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/12/2019 | 1,260.00 | Buy | 300 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/12/2019 | 2,660.00 | Buy | 700 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/12/2019 | 1,168.60 | Buy | 283 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/12/2019 | 22,874.93 | Buy | 4,642 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/12/2019 | 13,284.20 | Buy | 2,780 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/12/2019 | 10,428.00 | Buy | 2,800 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/12/2019 | 29,684.10 | Buy | 5,719 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/12/2019 | 21,802.25 | Buy | 4,636 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/12/2019 | 2,660.70 | Buy | 701 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/12/2019 | 11,257.39 | Buy | 2,143 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/13/2019 | 339.00 | Buy | 100 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/13/2019 | 735.64 | Buy | 234 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/13/2019 | 3,013.00 | Buy | 1,000 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/13/2019 | 2,099.00 | Buy | 700 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/13/2019 | 652.24 | Buy | 224 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/13/2019 | 1,892.00 | Buy | 600 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/13/2019 | 1,433.28 | Buy. | 426 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/13/2019 | 206.50 | Buy | 70 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/14/2019 | 349.20 | Buy | 120 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/14/2019 | 8,354.90 | Buy | 2,881 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/17/2019 | 504.00 | Buy | 200 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/17/2019 | 250.00 | Buy | 100 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/17/2019 | 137.50 | Buy | 50 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/17/2019 | 259.00 | Buy | 100 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/17/2019 | 140.00 | Buy | 50 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/17/2019 | 504.00 | Buy | 200 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/18/2019 | 598.00 | Buy | 200 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/18/2019 | 1,240.00 | Buy | 400 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/18/2019 | 292.01 | Buy | 100 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/18/2019 | 1,972.76 | Buy | 662 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/19/2019 | 1,361.70 | Buy 3 |
445 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/24/2019 | 202.17 | Buy | 69 American Depositary Receipts |
|---|---|---|---|---|
| Morgan Stanley & Co. LLC | 06/25/2019 | 664.00 | Buy | 200 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/25/2019 | 868.00 | Buy | 280 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/25/2019 | 2,018.10 | Buy | 651 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/25/2019 | 612.00 | Buy | 200 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 06/28/2019 | 317.00 | Buy | 100 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/02/2019 | 544.18 | Buy | 182 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/02/2019 | 600.00 | Buy | 200 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/03/2019 | 249.01 | Buy | 83 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/03/2019 | 604.00 | Buy | 200 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/10/2019 | 657.00 | Buy | 219 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/11/2019 | 417.60 | Buy | 144 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 2,718.00 | Buy | 500 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 15,182.01 | Buy | 2,401 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 32,848.68 | Buy | 5,548 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 1,269.00 | Buy | 200 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 535.00 | Buy | 100 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 1,296.00 | Buy | 200 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 828.00 | Buy | 200 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 18,484.00 | Buy | 3,050 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 664.46 | Buy | 124 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 12,613.47 | Buy | 2,150 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 25,156.17 | Buy | 4,136 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 38,518.25 | Buy | 6,640 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 1,181.76 | Buy | 264 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 1,260.00 | Buy | 200 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 2,074.00 | Buy | 400 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 176,385.48 | Buy | 29,713 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 8,726.50 | Buy | 1.450 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 131,822.75 | Buy | 21,484 American Depositary Receipts 12,317 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 78,177.39 | Buy | 50 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 326.00 | Buy | 2.947 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 17,047.67 | Buy Buy |
350 American Depositary Receipts |
| Morgan Stanley & Co. LLC Morgan Stanley & Co. LLC |
07/16/2019 07/16/2019 |
1,976.50 10,782.40 |
Buy | 1,740 American Depositary Receipts |
| 07/16/2019 | 3,644.52 | Buy | 624 American Depositary Receipts | |
| Morgan Stanley & Co. LLC Morgan Stanley & Co. LLC |
07/16/2019 | 57,666.73 | Buy | 9,368 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 142,570.65 | Buy | 23,823 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 587.50 | Buy | 100 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 1,258.00 | Buy | 200 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 1,950.00 | Buy | 300 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 5,023.85 | Buy | 885 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 2,063.50 | Buy | 450 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 15,029.75 | Buy | 2,559 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 5,788.26 | Buy | 1,108 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 6,289.27 | Buy | 987 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 13,338.00 | Buy | 2,200 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 1,941.00 | Buy | 300 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 43,262.12 | Buy | 7,164 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 120,820.37 | Buy | 19,411 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 24.023.67 | Buy | 4,327 American Depositary Receipts |
|---|---|---|---|---|
| Morgan Stanley & Co. LLC | 07/16/2019 | 7.502.20 | Buy | 1,250 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 21.727.42 | Buv | 3,564 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 1.380.50 | Buy | 225 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 1.332.25 | Buy | 225 American Depositary Receipts |
| Morgan Stanley & Co. LLC | 07/16/2019 | 240.101.13 | Buy | 38,452 American Depositary Receipts |
6. Associates
$\frac{1}{2}$
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 | ||
|---|---|---|---|
| Morgan Stanley Capital Services LLC | [Is a body corporate controlled by each upstream entity as listed in Annexure A | ||
| Morgan Stanley & Co. LLC | Is a body corporate controlled by each upstream entity as listed in Annexure A |
7. Addresses
The addresses of persons named in this form are as follows:
$\bar{\alpha}$
| 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, |
Signature
| print name | Wilson Li | capacity | Vice President | |
|---|---|---|---|---|
| sign here | $\mathcal{N}$ | date | July 19, 2019 | |
$\sim$
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 stated in Section 3.
Signature
DIRECTIONS
- $(1)$ If there are a number of substantial holders with similar or related relevant interests (eg. a corporation and its related corporations, or the manager and trustee of an equity trust), the names could be included in an annexure to the form. If the relevant interests of a group of persons are essentially similar, they may be referred to throughout the form as a specifically named group if the membership of each group, with the names and addresses of members is clearly set out in paragraph 7 of the form.
- $(2)$ See the definition of "associate" in section 9 of the Corporations Act 2001.
- $(3)$ See the definition of "relevant interest" in sections 608 and 671B(7) of the Corporations Act 2001.
- $(4)$ The voting shares of a company constitute one class unless divided into separate classes.
- $(5)$ The total number of votes attached to all the voting shares in the company or voting interests in the scheme (if any) that the person or an associate has a relevant interest in.
- $(6)$ The person's votes divided by the total votes in the body corporate or scheme multiplied by 100.
- $(7)$ Include details of:
- $(a)$ any relevant agreement or other circumstances by which the relevant interest was acquired. If subsection 671B(4) applies, a copy of any document setting out the terms of any relevant agreement, and a statement by the person giving full and accurate details of any contract, scheme or arrangement, must accompany this form, together with a written statement certifying this contract, scheme or arrangement; and
- $(b)$ any qualification of the power of a person to exercise, control the exercise of, or influence the exercise of, the voting powers or disposal of the securities to which the relevant interest relates (indicating clearly the particular securities to which the qualification applies).
See the definition of "relevant agreement" in section 9 of the Corporations Act 2001.
- If the substantial holder is unable to determine the identity of the person (eg. if the relevant interest arises because of an option) write "unknown." $(8)$
- $(9)$ 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 must be included even if the benefit is conditional on the happening or not of a contingency. Details must be included of any benefit paid on behalf of the substantial holder or its associate in relation to the acquisitions, even if they are not paid directly to the person from whom the relevant interest was acquired.
GUIDE
This guide does not form part of the prescribed form and is included by ASIC to assist you in completing and lodging form 603.
| 小田 新元 Signature |
This form must be signed by either a director or a secretary of the substantial holder. | |||
|---|---|---|---|---|
| Nil | ||||
| Lodging period | ÷ | |||
| 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) | information if: | by 9.30 am on the next trading day of the relevant securities exchange after they become aware of the | ||
| (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. | |||
| To make any annexure conform to the regulations, you must | ||||
| Annexures | 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) |
|||
| 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.