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INGHAMS GROUP LIMITED — Major Shareholding Notification 2019
May 29, 2019
65128_rns_2019-05-29_8024ef4d-8565-40cc-8184-8bdd08196825.pdf
Major Shareholding Notification
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Form 603
Corporations Act 2001
Section 671B
Notice of initial substantial holder
| To Company Name/Scheme | Inghams Group Ltd |
|---|---|
| ACN/ARSN | ACN 162 709 506 |
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 | ||
| The holder became a substantial holder on | 24-May-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 | Persons' votes (5) | I Voting power (6) |
|---|---|---|---|
| l Common Stock | 19.134.903 | 19,134,903 | 5.15% |
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:
| l Holder of relevant interest | Nature of relevant interest (7) | I Class and number of securities |
|---|---|---|
| ' See Annexure "A" |
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 | l Registered holder of | ' Person entitled to be | I Class and number of |
|---|---|---|---|
| securities | registered as holder (8) | l securities | |
| ' See Annexure "B" |
5. Consideration
The consideration paid for each relevant interest referred to in paragraph 3 above, and acquired in the 4 months prior to the day that the substantial holder became a substantial holder is as follows:
| Holder of relevant interest | I Date of acquisition | Consideration (9) | Class and number of securities |
|
|---|---|---|---|---|
| Cash | l Non-cash | |||
| ' See Annexure "C" |
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_ |
|---|---|
| l See Annexure "D" |
7. Addresses
The addresses of persons named in this form are as follows:
| l Name | Address |
|---|---|
| See Annexure "E" |
Signature
| print name | Winston Loke | capacity | Authorised Signatory |
|---|---|---|---|
| sign here | date | 30-May-2019 |
÷,
Annexure "A"
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 |
|---|---|---|
| Credit Suisse Funds AG | Voting rights and right to dispose | 253.934 Common Stock |
| Credit Suisse Securities (Europe) Limited (ARBN 099554131) |
Holder of securities subject to an obligation to return under a securities lending agreement |
4,546,333 Common Stock |
| Credit Suisse Securities (USA) LLC | Holder of securities subject to an obligation to return under a securities lending agreement |
14,334,636 Common Stock |
This is Annexure "A" referred to in the Form 603 "Notice of initial substantial holder"
Ø.
| Signature | Credit Suisse Holdings (Australia) Limited (ACN 008 496 713) | |||
|---|---|---|---|---|
| print name | Winston Loke | capacity | Authorised Signatory | |
| sign here | date | 30-May-2019 | ||
Annexure "B"
4. Details of present registered holders
۰
The persons registered as holders of the securities referred to in paragraph 3 above are as follows:
| Holder of relevant interest | Registered holder of | Person entitled to be | Class and number of | |
|---|---|---|---|---|
| securities | registered as holder (8) | securities | ||
| Credit Suisse Funds AG | HSBC Custody Nominees (Australia) Limited (ACN 003 094 568) |
Credit Suisse Funds AG | 253,934 Common Stock | |
| Credit Suisse Securities (Europe) Limited (ARBN) 099554131) |
CS Third Nominees Pty Limited (ACN 007 053 849) |
Credit Suisse Securities (Europe) Limited |
4,546,333 Common Stock | |
| Credit Suisse Securities | CS Third Nominees Pty | Credit Suisse Securities | 14,334,636 Common Stock | |
| (USA) LLC | Limited (ACN 007 053 849) | (USA) LLC |
This is Annexure "B" referred to in the Form 603 "Notice of initial substantial holder"
| Signature | Credit Suisse Holdings (Australia) Limited (ACN 008 496 713) | ||||
|---|---|---|---|---|---|
| print name | Winston Loke | capacity | Authorised Signatory | ||
| sign here | date | 30-May-2019 | |||
| ۱M |
Annexure "C"
5. Consideration
The consideration paid for each relevant interest referred to in paragraph 3 above, and acquired in the 4 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 of securities |
|
|---|---|---|---|---|
| Cash | Non-cash | |||
| Credit Suisse Funds AG |
30-Jan-19 | 54,149.06 AUD | Disposed on market |
-11,746 Common Stock |
| Credit Suisse Funds AG |
12-Apr-19 | 165,154.40 AUD | Acquired on market | 38,408 Common Stock |
| Credit Suisse Funds AG |
23-Apr-19 | 27,861.00 AUD | Acquired on market | 6,275 Common Stock |
| Credit Suisse Funds AG |
29-Apr-19 | 44,149.50 AUD | Acquired on market | 9,811 Common Stock |
| Credit Suisse Funds AG |
3-May-19 | 62,237.70 AUD | Disposed on market |
-13,986 Common Stock |
| Credit Suisse Securities (Europe) Limited |
25-Jan-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
66,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
31-Jan-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
610,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
31-Jan-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
20,762 Common Stock |
| Credit Suisse Securities (Europe) Limited |
4-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-525,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
4-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-133,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
4-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-66,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
4-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-32,700 Common Stock |
| Credit Suisse Securities (Europe) Limited |
5-Feb-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
455,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
$6-Feb-19$ | Refer to Annexure F of Notice |
Stock returned under OSLA |
-300,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
6-Feb-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
23,700 Common Stock |
| Credit Suisse Securities (Europe) Limited |
7-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-310,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
7-Feb-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
445,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
8-Feb-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
16,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
12-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-34,100 Common Stock |
| Credit Suisse Securities (Europe) Limited |
22-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-40,000 Common Stock |
|---|---|---|---|---|
| Credit Suisse Securities (Europe) Limited |
27-Feb-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
400,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
28-Feb-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
100,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
1-Mar-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
15,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
5-Mar-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-35,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
6-Mar-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-29,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
6-Mar-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
$-7,433$ Common Stock |
| Credit Suisse Securities (Europe) Limited |
6-Mar-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-400,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
8-Mar-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-42,567 Common Stock |
| Credit Suisse Securities (Europe) Limited |
8-Mar-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
7,423 Common Stock |
| Credit Suisse Securities (Europe) Limited |
8-Mar-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
35,144 Common Stock |
| Credit Suisse Securities (Europe) Limited |
15-Mar-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-32,100 Common Stock |
| Credit Suisse Securities (Europe) Limited |
18-Mar-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-445,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
21-Mar-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
150,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
21-Mar-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
350,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
22-Mar-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-16,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
27-Mar-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-100,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
28-Mar-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-7,423 Common Stock |
| Credit Suisse Securities (Europe) Limited |
28-Mar-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-35,144 Common Stock |
| Credit Suisse Securities (Europe) Limited |
28-Mar-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-107,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
28-Mar-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-54,176 Common Stock |
| Credit Suisse Securities (Europe) Limited |
28-Mar-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-190,015 Common Stock |
| Credit Suisse Securities (Europe) Limited |
29-Mar-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
338,260 Common Stock |
| Credit Suisse Securities (Europe) Limited |
4-Apr-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
34,900 Common Stock |
| Credit Suisse Securities (Europe) Limited |
5-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-20,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
5-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-61,363 Common Stock |
|---|---|---|---|---|
| Credit Suisse Securities (Europe) Limited |
5-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-48,322 Common Stock |
| Credit Suisse Securities (Europe) Limited |
5-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-280,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
5-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-630,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
5-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-455,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
9-Apr-19 | Refer to Annexure F of Notice |
Stock borrowed under Master prime brokerage agreement |
1,584,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
9-Apr-19 | Refer to Annexure F of Notice |
Stock borrowed under Master prime brokerage agreement |
1,000,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
10-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-60,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
10-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-40,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
10-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-300,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
10-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-108,590 Common Stock |
| Credit Suisse Securities (Europe) Limited |
10-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-300,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
11-Apr-19 | Refer to Annexure F of Notice |
Stock returned under Master prime brokerage agreement |
-984,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
12-Apr-19 | Refer to Annexure F of Notice |
Stock returned under Master prime brokerage agreement |
-100,977 Common Stock |
| Credit Suisse Securities (Europe) Limited |
12-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-3,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
16-Apr-19 | Refer to Annexure F of Notice |
Stock returned under Master prime brokerage agreement |
-824,940 Common Stock |
| Credit Suisse Securities (Europe) Limited |
16-Apr-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
134,057 Common Stock |
| Credit Suisse Securities (Europe) Limited |
16-Apr-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
500,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
17-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-2,650 Common Stock |
| Credit Suisse Securities (Europe) Limited |
17-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-58,400 Common Stock |
| Credit Suisse Securities (Europe) Limited |
17-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-11,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
17-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-19,350 Common Stock |
| Credit Suisse Securities (Europe) Limited |
17-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-15,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
17-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-23,700 Common Stock |
| Credit Suisse Securities (Europe) Limited |
18-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-11,000 Common Stock |
|---|---|---|---|---|
| Credit Suisse Securities (Europe) Limited |
18-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-9,392 Common Stock |
| Credit Suisse Securities (Europe) Limited |
18-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-370 Common Stock |
| Credit Suisse Securities (Europe) Limited |
18-Apr-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
200,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
23-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-60,100 Common Stock |
| Credit Suisse Securities (Europe) Limited |
23-Apr-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
60,100 Common Stock |
| Credit Suisse Securities (Europe) Limited |
26-Apr-19 | Refer to Annexure F of Notice |
Stock returned under Master prime brokerage agreement |
-17,547 Common Stock |
| Credit Suisse Securities (Europe) Limited |
29-Apr-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
57,400 Common Stock |
| Credit Suisse Securities (Europe) Limited |
1-May-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
59,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
6-May-19 | Refer to Annexure F of Notice |
Stock returned under Master prime brokerage agreement |
-7,436 Common Stock |
| Credit Suisse Securities (Europe) Limited |
20-May-19 | Refer to Annexure F of Notice |
Stock returned under Master prime brokerage agreement |
-396,367 Common Stock |
| Credit Suisse Securities (Europe) Limited |
20-May-19 | Refer to Annexure F of Notice |
Stock borrowed under Master prime brokerage agreement |
526,610 Common Stock |
| Credit Suisse Securities (Europe) Limited |
21-May-19 | Refer to Annexure F of Notice |
Stock returned under Master prime brokerage agreement |
-236,733 Common Stock |
| Credit Suisse Securities (Europe) Limited |
21-May-19 | Refer to Annexure F of Notice |
Stock returned under Master prime brokerage agreement |
$-2,594$ Common Stock |
| Credit Suisse Securities (Europe) Limited |
21-May-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
23,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
22-May-19 | Refer to Annexure F of Notice |
Stock borrowed under Master prime brokerage agreement |
107,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
23-May-19 | Refer to Annexure F of Notice |
Stock returned under Master prime brokerage agreement |
-526,610 Common Stock |
| Credit Suisse Securities (Europe) Limited |
23-May-19 | Refer to Annexure F of Notice |
Stock returned under Master prime brokerage agreement |
-13,406 Common Stock |
| Credit Suisse Securities (Europe) Limited |
23-May-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
7,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
23-May-19 | Refer to Annexure F of Notice |
Stock borrowed under Master prime brokerage agreement |
540,016 Common Stock |
| Credit Suisse Securities (Europe) Limited |
24-May-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
480,000 Common Stock |
| Credit Suisse Securities (Europe) Limited |
24-May-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
19,900 Common Stock |
| Credit Suisse Securities (USA) LLC |
31-Jan-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-39,685 Common Stock |
| Credit Suisse Securities (USA) LLC |
31-Jan-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
140,000 Common Stock |
|---|---|---|---|---|
| Credit Suisse Securities (USA) LLC |
31-Jan-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
1,000,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
31-Jan-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
202,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
31-Jan-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
745,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
31-Jan-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
300,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
1-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-175,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
1-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-48,819 Common Stock |
| Credit Suisse Securities (USA) LLC |
4-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-24,100 Common Stock |
| Credit Suisse Securities (USA) LLC |
4-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-47,200 Common Stock |
| Credit Suisse Securities (USA) LLC |
4-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-46,843 Common Stock |
| Credit Suisse Securities (USA) LLC |
5-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-31,200 Common Stock |
| Credit Suisse Securities (USA) LLC |
5-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-46,843 Common Stock |
| Credit Suisse Securities (USA) LLC |
5-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-44,668 Common Stock |
| Credit Suisse Securities (USA) LLC |
5-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-46,843 Common Stock |
| Credit Suisse Securities (USA) LLC. |
5-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-41,661 Common Stock |
| Credit Suisse Securities (USA) LLC |
$6-Feb-19$ | Refer to Annexure F of Notice |
Stock returned under OSLA |
-45,500 Common Stock |
| Credit Suisse Securities (USA) LLC |
7-Feb-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
151,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
7-Feb-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
82,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
7-Feb-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
1,000,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
8-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
$-2,610$ Common Stock |
| Credit Suisse Securities (USA) LLC |
8-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-40,500 Common Stock |
| Credit Suisse Securities (USA) LLC |
8-Feb-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
156,700 Common Stock |
| Credit Suisse Securities (USA) LLC |
8-Feb-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
79,594 Common Stock |
| Credit Suisse Securities (USA) LLC |
12-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-24,400 Common Stock |
| Credit Suisse Securities (USA) LLC. |
12-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-28,952 Common Stock |
| Credit Suisse Securities (USA) LLC |
12-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-176,000 Common Stock |
|---|---|---|---|---|
| Credit Suisse Securities (USA) LLC |
12-Feb-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
759,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
13-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-40,200 Common Stock |
| Credit Suisse Securities (USA) LLC |
14-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-26,900 Common Stock |
| Credit Suisse Securities (USA) LLC |
14-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-34,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
15-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-55,100 Common Stock |
| Credit Suisse Securities (USA) LLC |
19-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-49,800 Common Stock |
| Credit Suisse Securities (USA) LLC |
19-Feb-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
918,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
20-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-62,500 Common Stock |
| Credit Suisse Securities (USA) LLC |
21-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-41,600 Common Stock |
| Credit Suisse Securities (USA) LLC Credit Suisse |
21-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-36,374 Common Stock |
| Securities (USA) LLC |
22-Feb-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-28,590 Common Stock |
| Credit Suisse Securities (USA) LLC |
22-Feb-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
500,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
22-Feb-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
700,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
25-Feb-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
82,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
27-Feb-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
175,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
1-Mar-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
592,000 Common Stock |
| Credit Suisse Securities (USA) LLC. |
1-Mar-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
191,000 Common Stock |
| Credit Suisse Securities (USA) LLC. |
1-Mar-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
211,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
4-Mar-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
50,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
5-Mar-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-260,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
7-Mar-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
500,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
8-Mar-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
266,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
11-Mar-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
150,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
12-Mar-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
200,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
12-Mar-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
100,000 Common Stock |
|---|---|---|---|---|
| Credit Suisse Securities (USA) LLC |
18-Mar-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-46,300 Common Stock |
| Credit Suisse Securities (USA) LLC |
19-Mar-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-54,100 Common Stock |
| Credit Suisse Securities (USA) LLC |
27-Mar-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
407,600 Common Stock |
| Credit Suisse Securities (USA) LLC |
27-Mar-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
1,160,100 Common Stock |
| Credit Suisse Securities (USA) LLC |
28-Mar-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-390,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
1-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-700,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
1-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-175,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
1-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-140,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
1-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-50,000 Common Stock |
| Credit Suisse Securities (USA) LLC Credit Suisse |
1-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-150,000 Common Stock |
| Securities (USA) LLC |
4-Apr-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
93,100 Common Stock |
| Credit Suisse Securities (USA) LLC |
4-Apr-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
52,900 Common Stock |
| Credit Suisse Securities (USA) LLC |
4-Apr-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
1,000,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
5-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-500,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
5-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-985,647 Common Stock |
| Credit Suisse Securities (USA) LLC |
5-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-56,300 Common Stock |
| Credit Suisse Securities (USA) LLC |
5-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-82,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
5-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-190,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
5-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-250,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
5-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-79,594 Common Stock |
| Credit Suisse Securities (USA) LLC |
5-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
$-1,000,000$ Common Stock |
| Credit Suisse Securities (USA) LLC |
5-Apr-19 | Refer to Annexure F of Notice |
Stock returned under OSLA |
-300,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
11-Apr-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
1,500,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
15-Apr-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
160,000 Common Stock |
| 15-Apr-19 | Refer to Annexure | Stock borrowed | 66,900 Common |
|---|---|---|---|
| F of Notice | under OSLA | Stock | |
| 16-Apr-19 | Refer to Annexure | Stock returned | $-1,000,000$ |
| F of Notice | under OSLA | Common Stock | |
| 16-Apr-19 | Refer to Annexure | Stock borrowed | 490,000 Common |
| F of Notice | under OSLA | Stock | |
| 18-Apr-19 | Refer to Annexure | Stock borrowed | 500,000 Common |
| F of Notice | under OSLA | Stock | |
| 23-Apr-19 | Refer to Annexure | Stock returned | $-1,160,100$ |
| F of Notice | under OSLA | Common Stock | |
| 29-Apr-19 | Refer to Annexure | Stock borrowed | 1,091,074 Common |
| F of Notice | under OSLA | Stock | |
| 29-Apr-19 | Refer to Annexure | Stock borrowed | 493,827 Common |
| F of Notice | under OSLA | Stock | |
| 29-Apr-19 | Refer to Annexure | Stock borrowed | 187,525 Common |
| F of Notice | under OSLA | Stock | |
| 29-Apr-19 | Refer to Annexure | Stock borrowed | 105,238 Common |
| F of Notice | under OSLA | Stock | |
| 29-Apr-19 | Refer to Annexure | Stock borrowed | 31,800 Common |
| F of Notice | under OSLA | Stock | |
| 29-Apr-19 | Refer to Annexure | Stock borrowed | 148,500 Common |
| F of Notice | under OSLA | Stock | |
| 29-Apr-19 | Refer to Annexure | Stock borrowed | 973,836 Common |
| F of Notice | under OSLA | Stock | |
| 30-Apr-19 | Refer to Annexure | Stock returned | -385,710 Common |
| F of Notice | under OSLA | Stock | |
| 30-Apr-19 | Refer to Annexure | Stock returned | -100,000 Common |
| F of Notice | under OSLA | Stock | |
| 30-Apr-19 | Refer to Annexure | Stock returned | -200,000 Common |
| F of Notice | under OSLA | Stock | |
| 30-Apr-19 | Refer to Annexure | Stock returned | -128,200 Common |
| F of Notice | under OSLA | Stock | |
| 30-Apr-19 | Refer to Annexure | Stock returned | -28,590 Common |
| F of Notice | under OSLA | Stock | |
| 30-Apr-19 | Refer to Annexure | Stock returned | -543,310 Common |
| F of Notice | under OSLA | Stock | |
| 30-Apr-19 | Refer to Annexure | Stock returned | -500,000 Common |
| F of Notice | under OSLA | Stock | |
| 30-Apr-19 | Refer to Annexure | Stock returned | -670,000 Common |
| F of Notice | under OSLA | Stock | |
| 30-Apr-19 | Refer to Annexure | Stock returned | -918,000 Common |
| F of Notice | under OSLA | Stock | |
| 30-Apr-19 | Refer to Annexure | Stock returned | -191,000 Common |
| F of Notice | under OSLA | Stock | |
| 30-Apr-19 | Refer to Annexure | Stock returned | -759,000 Common |
| F of Notice | under OSLA | Stock | |
| 30-Apr-19 | Refer to Annexure | Stock returned | -745,000 Common |
| F of Notice | under OSLA | Stock | |
| 30-Apr-19 | Refer to Annexure | Stock returned | -407,600 Common |
| F of Notice | under OSLA | Stock | |
| Credit Suisse Securities (USA) LLC |
24-May-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
230,000 Common Stock |
|---|---|---|---|---|
| Credit Suisse Securities (USA) LLC |
24-May-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
350,000 Common Stock |
| Credit Suisse Securities (USA) LLC |
24-May-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
59,600 Common Stock |
| Credit Suisse Securities (USA) LLC. |
24-May-19 | Refer to Annexure F of Notice |
Stock borrowed under OSLA |
16,900 Common Stock |
This is Annexure "C" referred to in the Form 603 "Notice of initial substantial holder"
Signature
Credit Suisse Holdings (Australia) Limited (ACN 008 496 713)
| print name | Winston Loke | capacity | Authorised Signatory | |
|---|---|---|---|---|
| sign here | $\sim$ $\sim$ $\sim$ $\sim$ $\sim$ $\sim$ $\sim$ $\sim$ | date | 30-May-2019 |
Annexure "D"
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 | |
| Credit Suisse Funds AG | Related Body Corporate |
| Credit Suisse Securities (USA) LLC | Related Body Corporate |
| Credit Suisse Securities (Europe) Limited (ARBN 099554131) |
Related Body Corporate |
| Credit Suisse Equities (Australia) Limited (ACN 068 232 708) |
Related Body Corporate |
This is Annexure "D" referred to in the Form 603 "Notice of initial substantial holder"
Signature
Credit Suisse Holdings (Australia) Limited (ACN 008 496 713)
| print name | Winston Loke | capacity | Authorised Signatory | |
|---|---|---|---|---|
| sign here | date | 30-Mav-2019 | ||
Annexure "E"
7. Addresses
The addresses of persons named in this form are as follows:
| Name and ACN/ARSN (if applicable) | Nature of association |
|---|---|
| Credit Suisse Holdings (Australia) Limited (ACN 008 496 713) |
Level 31, Gateway, 1 Macquarie Place, Sydney NSW 2000, Australia |
| Credit Suisse Equities (Australia) Limited (ACN 068 232 708) |
Level 31, Gateway, 1 Macquarie Place, Sydney NSW 2000, Australia |
| CS Third Nominees Pty Limited (ACN 007 053 849) |
Level 31, Gateway, 1 Macquarie Place, Sydney NSW 2000, Australia |
| Credit Suisse Fourth Nominees Pty Limited (ACN 069 126 432) |
Level 31, Gateway, 1 Macquarie Place, Sydney NSW 2000, Australia |
| Credit Suisse Funds AG | Uetibergstrasse 231, Zurich, 8045 Switzerland |
| Credit Suisse Securities (USA) LLC | 11 Madison Avenue,, New York, New York 10010, New York 10010 |
| Credit Suisse Securities (Europe) Limited (ARBN 099554131) |
One Cabot Square, London, E14 4QJ |
This is Annexure "E" referred to in the Form 603 "Notice of initial substantial holder"
Signature
Credit Suisse Holdings (Australia) Limited (ACN 008 496 713)
| print name | Winston Loke | capacity | Authorised Signatory |
|---|---|---|---|
| sign here | date | 30-May-2019 |
Annexure "F"
This is Annexure "F" referred to in the Form 603 "Notice of initial substantial holder"
| Signature | Credit Suisse Holdings (Australia) Limited (ACN 008 496 713) | |||
|---|---|---|---|---|
| print name | Winston Loke | capacity | Authorised Signatory | |
| sign here | date | 30-Mav-2019 | ||
| Prescribed information | |
|---|---|
| Schedule | |
| Type of agreement | Overseas Securities Lending Agreement |
| Parties to agreement | Credit Suisse Securities (Europe) Limited and DRKW, London |
| Transfer date | 5-Apr-2019 |
| Holder of voting rights | Borrower |
| Are there any restrictions on voting rights? | No |
| If yes, detail | N/A |
| Scheduled return date (if any) | N/A |
| Does the borrower have the right to return early? | Yes |
| If yes, detail | At Will |
| Does the lender have the right to recall early? | Yes |
| If yes, detail | With 4 business days prior notice or earlier upon agreement |
| Will the securities be returned on settlement? | Yes |
| If yes, detail any exceptions | If an event of default occurs in respect of either the lender or the borrower, the obligation of the borrower to deliver the securities to the lender will be netted off against the obligation of the lender to return securities or cash held by the lender as collateral. |
| Prescribed information | |
|---|---|
| Schedule | |
| Type of agreement | Overseas Securities Lending Agreement |
| Parties to agreement | Credit Suisse Securities (Europe) and The Northern Trust Company |
| Transfer date | 28-Mar-2019 |
| Holder of voting rights | Borrower |
| Are there any restrictions on voting rights? | Yes |
| If yes, detail | Borrower must use best endeavours to vote in accordance with the Lender's instructions until completion of the corporate action. |
| 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 | |
|---|---|
| Schedule | |
| Type of agreement | Overseas Securities Lending Agreement |
| Parties to agreement | Credit Suisse Securities (Europe) Limited and Chase Manhattan Bank, London |
| Transfer date | 23-May-2019 |
| 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 | 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 | |
|---|---|
| Schedule | |
| Type of agreement | Overseas Securities Lending Agreement |
| Parties to agreement | Credit Suisse Securities (Europe) Limited and ESEC |
| Transfer date | 24-May-2019 |
| 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 (Europe) and Citibank N.A. |
| Transfer date | 24-May-2019 |
| 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 | 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 | |
|---|---|
| Schedule | |
| Type of agreement | Overseas Securities Lending Agreement |
| Parties to agreement | Credit Suisse Securities (Europe) Limited and HSBC Bank PLC A/C Gulf, London |
| Transfer date | 16-Apr-2019 |
| Holder of voting rights | Borrower |
| Are there any restrictions on voting rights? | No |
| If yes, detail | N/A |
| Scheduled return date (if any) | N/A |
| Does the borrower have the right to return early? | Yes |
| If yes, detail | At Will |
| Does the lender have the right to recall early? | Yes |
| If yes, detail | With 4 business days prior notice or earlier upon agreement. |
| Will the securities be returned on settlement? | Yes |
| If yes, detail any exceptions | If an event of default occurs in respect of either the lender or the borrower, the obligation of the borrower to deliver the securities to the lender will be netted off against the obligation of the lender to return securities or cash held by the lender as collateral. |
| Prescribed information | |
|---|---|
| Schedule | |
| Type of agreement | Overseas Securities Lending Agreement |
| Parties to agreement | Credit Suisse Securities (Europe) Limited and RBC Investor Services Trust |
| Transfer date | 10-Apr-2019 |
| Holder of voting rights | Borrower |
| Are there any restrictions on voting rights? | No |
| If yes, detail | N/A |
| Scheduled return date (if any) | N/A |
| Does the borrower have the right to return early? | Yes |
| If yes, detail | At Will |
| Does the lender have the right to recall early? | Yes |
| If yes, detail | With 4 business days prior notice or earlier upon agreement. |
| Will the securities be returned on settlement? | Yes |
| If yes, detail any exceptions | If an event of default occurs in respect of either the lender or the borrower, the obligation of the borrower to deliver the securities to the lender will be netted off against the obligation of the lender to return securities or cash held by the lender as collateral. |
| Prescribed information | |
|---|---|
| Schedule | |
| Type of agreement | Overseas Securities Lending Agreement |
| Parties to agreement | Credit Suisse (Europe) Limited and Bank of New York Mellon |
| Transfer date | 18-Apr-2019 |
| Holder of voting rights | Borrower |
| Are there any restrictions on voting rights? | No |
| If yes, detail | N/A |
| Scheduled return date (if any) | N/A |
| Does the borrower have the right to return early? | Yes |
| If yes, detail | At Will |
| Does the lender have the right to recall early? | Yes |
| If yes, detail | With 4 business days prior notice or earlier upon agreement |
| Will the securities be returned on settlement? | Yes |
| If yes, detail any exceptions | If an event of default occurs in respect of either the lender or the borrower, the obligation of the borrower to deliver the securities to the lender will be netted off against the obligation of the lender to return securities or cash held by the lender as collateral. |
| Prescribed information | |
|---|---|
| Schedule | |
| Type of agreement | Master Prime Brokerage Securities Lending Agreement |
| Parties to agreement | Credit Suisse Securities (Europe) and ICSA-AIR4C |
| Transfer date | 23-May-2019 |
| 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 days prior written 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 Deutsche Bank AG |
| Transfer date | 16-Apr-2019 |
| Holder of voting rights | Borrower |
| Are there any restrictions on voting rights? | No |
| If yes, detail | N/A |
| Scheduled return date (if any) | N/A |
| Does the borrower have the right to return early? | Yes |
| If yes, detail | At Will |
| Does the lender have the right to recall early? | Yes |
| If yes, detail | With 4 business days prior notice or earlier upon agreement. |
| Will the securities be returned on settlement? | Yes |
| If yes, detail any exceptions | If an event of default occurs in respect of either the lender or the borrower, the obligation of the borrower to deliver the securities to the lender will be netted off against the obligation of the lender to return securities or cash held by the lender as collateral. |
| Prescribed information | |
|---|---|
| Schedule | |
| Type of agreement | Overseas Securities Lending Agreement |
| Parties to agreement | Credit Suisse Securities (USA) LLC Limited and Citibank N.A. |
| Transfer date | 24-May-2019 |
| Holder of voting rights | Borrower |
| Are there any restrictions on voting rights? | No |
| If yes, detail | N/A |
| Scheduled return date (if any) | N/A |
| Does the borrower have the right to return early? | Yes |
| If yes, detail | At Will |
| Does the lender have the right to recall early? | Yes |
| If yes, detail | With 4 business days prior notice or earlier upon agreement |
| Will the securities be returned on settlement? | Yes |
| If yes, detail any exceptions | If an event of default occurs in respect of either the lender or the borrower, the obligation of the borrower to deliver the securities to the lender will be netted off against the obligation of the lender to return securities or cash held by the lender as collateral. |
| Prescribed information | |
|---|---|
| Schedule | |
| Type of agreement | Overseas Securities Lending Agreement |
| Parties to agreement | Credit Suisse Securities (USA) LLC Limited and State Street Bank and Trust and Company |
| Transfer date | 16-Apr-2019 |
| Holder of voting rights | Borrower |
| Are there any restrictions on voting rights? | No |
| If yes, detail | N/A |
| Scheduled return date (if any) | N/A |
| Does the borrower have the right to return early? | Yes |
| If yes, detail | At Will |
| Does the lender have the right to recall early? | Yes |
| If yes, detail | Next Business day. |
| 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 Limited and The Goldman Sachs Trust Company |
| Transfer date | 30-Apr-2019 |
| Holder of voting rights | Borrower |
| Are there any restrictions on voting rights? | No. |
| If yes, detail | N/A |
| Scheduled return date (if any) | N/A |
| Does the borrower have the right to return early? | Yes |
| If yes, detail | At Will |
| Does the lender have the right to recall early? | Yes |
| If yes, detail | With 4 business days prior notice or earlier upon agreement |
| Will the securities be returned on settlement? | Yes |
| If yes, detail any exceptions | If an event of default occurs in respect of either the lender or the borrower, the obligation of the borrower to deliver the securities to the lender will be netted off against the obligation of the lender to return securities or cash held by the lender as collateral. |
| Prescribed information | |
|---|---|
| Schedule | |
| Type of agreement | Overseas Securities Lending Agreement |
| Parties to agreement | Credit Suisse Securities (USA) LLC Limited and The Bank of New York Mellon |
| Transfer date | 30-Apr-2019 |
| 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. |
| Overseas Securities Lending Agreement |
|---|
| Credit Suisse Securities (USA) LLC Limited and ESEC |
| 24-May-2019 |
| Borrower |
| No |
| N/A |
| N/A |
| Yes |
| At Will, unless Borrower and Lender agree to the contrary. |
| 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 Limited and Brown Brothers Harriman and Co. |
| Transfer date | 29-Apr-2019 |
| 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 | With 4 business days prior notice, 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. |