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LODE RESOURCES LTD — Major Shareholding Notification 2021
Oct 24, 2021
65220_rns_2021-10-24_fbb0473d-2916-4677-a382-5a70e67d609c.pdf
Major Shareholding Notification
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Form 603
Corporations Act 2001
Section 671B
Notice of initial substantial holder
To Company Name/Scheme LODE RESOURCES LTD ACN/ARSN ACN 637 512 415
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 20-Oct-2021
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 ofsecurities (4) | Numberofsecurities | Persons' votes (5) | Voting power(6) |
|---|---|---|---|
| Common Stock | 4,985,456 | 4,985,456 | 6.23% |
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:
| Holderof relevantinterest | Nature of relevantinterest (7) | Class andnumberofsecurities |
|---|---|---|
| Credit Suisse Equities (Australia) Limited (ACN068232 708) |
Voting rights and right to dispose | 4,985,456 Common Stock |
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 | Person entitled to be | Class and number of |
|---|---|---|---|
| securities | registered asholder(8) | securities | |
| Credit Suisse Equities | CS Fourth Nominees Pty | Credit Suisse Equities | 4,985,456 Common Stock |
| (Australia) Limited (ACN 068 | Limited (ACN 069 126 432) | (Australia) Limited | |
| 232 708) |
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 Equities (Australia) Limited | 2-Jul-21 | 2,875.00 AUD | 20,000 Common Stock | |
| Credit | Suisse Equities (Australia) Limited | 6-Jul-21 | 2,900.00 AUD | -20,000 Common Stock | |
| Credit | Suisse Equities (Australia) Limited | 28-Jul-21 | 903.75 AUD | 6,025 Common Stock | |
| Credit | Suisse Equities (Australia) Limited | 30-Jul-21 | 964.00 AUD | -6,025 Common Stock | |
| Credit | Suisse Equities (Australia) Limited | 19-Oct-21 | 676,554.23 AUD | 2,342,523 Common Stock |
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| Credit Suisse Equities (Australia) Limited | 19-Oct-21 | 359,944.56 | AUD | 1,204,139 | Common Stock | |
|---|---|---|---|---|---|---|
| Credit Suisse Equities (Australia) Limited | 20-Oct-21 | 379,309.81 | AUD | 1,055,091 | Common Stock | |
| Credit Suisse Equities (Australia) Limited | 20-Oct-21 | 143,718.71 | AUD | 383,703 | Common Stock |
6. Associates
The reasons the persons named in paragraph 3 above are associates of the substantial holder are as follows:
| Name | andACN/ARSN(ifapplicable) | Nature ofassociation |
|---|---|---|
| Credit | Suisse Equities (Australia) Limited | Related Body Corporate |
| (ACN | 068232 708) |
7. Addresses
The addresses of persons named in this form are as follows:
| Name | Address | |
|---|---|---|
| Credit | Suisse Holdings (Australia) Limited | Level 31, Gateway, 1 Macquarie Place, Sydney NSW 2000, Australia |
| (ACN | 008496713) | |
| Credit | Suisse Equities (Australia) Limited | Level 31, Gateway, 1 Macquarie Place, Sydney NSW 2000, Australia |
| (ACN | 068232 708) | |
| Credit | Suisse Fourth Nominees Pty Limited | Level 31, Gateway, 1 Macquarie Place, Sydney NSW 2000, Australia |
| (ACN | 069126432) |
Signature
| print name | Winston Loke | capacity | Authorised Signatory |
|---|---|---|---|
| sign here | date | 25-Oct-2021 |
==> picture [73 x 31] intentionally omitted <==
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