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INVESTSMART GROUP LIMITED — Major Shareholding Notification 2013
Oct 20, 2013
65130_rns_2013-10-20_e471ad85-41e0-44b5-b2cb-79e486de27ed.pdf
Major Shareholding Notification
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Form 603
Corporations Act 2001 Section 671B
Notice of initial substantial holder
To Company Name/Scheme Australasian Wealth Investments Limited (ASX code: AWK)
ABN 111 772 359
Details of substantial holder
Name Contango Asset Management Limited ACN 085 487 421
The holder became a substantial holder on 15/10/2013.
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 | Number of Securities | Person's Votes | Voting Power |
|---|---|---|---|
| Ordinary Shares | 5,714,284 | 5,714,284 | 10.01% |
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 and Nature of Relevant Interest | Class and Number | Person's votes |
|---|---|---|
| of Securities | Affected | |
| Contango Asset Management Limited (“CAM”), in its capacity | ||
| as the investment manager for persons or trusts listedbesides its name in Paragraph 4, has the power to control | 5,714,284 ord shares | 5,714,284 |
| voting and/orthe disposalofsecurities. |
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 RelevantInterest | Registered Holderof Securities | Person entitled to**be registered holder ** | Class andNumberof Securities | Person's votesAffected |
|---|---|---|---|---|
| Contango AssetManagement Limited | National Nominees Limited | Contango ManagedInvestment Scheme | Ord Shares | 515,963 |
| National Nominees Limited | Contango Microcap Ltd | Ord Shares | 3,722,518 | |
| BNP Paribas Nominees PtyLimited | Media Super LimitedMicrocap Fund | Ord Shares | 1,475,803 |
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5. Consideration
The consideration paid for each relevant interest referred to in paragraph 3 above is as follows:
| Holder of Relevant Interest | Type | Date ofAcquisition | Consideration | Number ofOrdinary Shares |
|---|---|---|---|---|
| Contango Asset Management Ltd | Placement | 20-Sep-13 | $1,199,999.85 | 3,428,571 |
| Contango Asset Management Ltd | Exercise Rights | 15-Oct-13 | $799,999.55 | 2,285,713 |
6. Associates
Not applicable
7. Addresses
The addresses of persons named in this form are as follows:
| Name | Address |
|---|---|
| ContangoAssetManagementLimited | Level 27, 35 Collins Street,Melbourne,VIC 3000 |
| ContangoMicrocapLimited | Level 27, 35 Collins Street,Melbourne,VIC 3000 |
| ContangoManagedInvestment Scheme | Level 27, 35 Collins Street,Melbourne,VIC 3000 |
| National Nominees Limited | GPO Box 1406, Melbourne, VIC, 3001 |
| BNP Paribas Nominees Pty Limited | PO Box R209, Royal Exchange, NSW 1225 |
| Media Super LimitedMicrocapFund | Level 10,45 Clarence Street, Sydney,NSW 2000 |
Signature
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GLENN FOWLES COMPANY SECRETARY 16 OCTOBER 2013
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