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Macquarie Group Limited Major Shareholding Notification 2013
10518_rns_2013-01-14_8b57d545-e7d0-4169-8f32-223606b8b054.pdf
Major Shareholding Notification
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Form 605
Corporations Act 2001 Section 671B
Notice of ceasing to be a substantial holder
| To: | Company Name/Scheme ABN/ACN/ARSN |
Silver Lake Resources Ltd 38 108 779 782 |
SLR.AX |
|---|---|---|---|
| 1. Details of substantial holder | |||
| Name | Macquarie Group Limited ('MQG'); and | ||
| its controlled bodies corporate listed in Annexure A | |||
| ('Macquarie Group Entities') | |||
| ABN/ACN/ARSN (if applicable) | 122 169 279 | ||
| There holder ceased to be a substantial holder on: | 11 January 2013 | ||
| The previous notice was given to the company on: | 19 October 2012 | ||
| The previous notice was dated: | 17 October 2012 |
2. Change in relevant interests
The particulars of each change in the nature of, a relevant interest of the substantial holder or an associate 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 | Person whose relevant | Nature of change | Consideration given in Number of securities | Class | Person's votes | |
|---|---|---|---|---|---|---|
| change | interest has changed | relation to change | affected | affected | ||
| See Annexure B |
3. Changes in association
The persons who have become associates of, ceased to be associates of, or have changed the nature of their association with, the substantial holder in relation to voting interests in the company or scheme are as follows:
| Name and ACN (if applicable) | Nature of association |
|---|---|
| Macquarie Group Limited & | Controlled Bodies Corporate |
| Macquarie Group Entities |
4. Addresses
| The addresses of persons named in this form are as follows: | |
|---|---|
| Name | Address |
| MQG | Level 7, No 1 Martin Place, Sydney NSW 2000 |
| C/- Company Secretarial Mezzanine Level No. 1 Martin Place Sydney New South Wales Australia | |
| MACQUARIE INVESTMENT MANAGEMENT LTD | 2000 |
| MACQUARIE BANK LIMITED | Level 3 25 National Circuit Forrest Australian Capital Territory Australia 2603 |
| MACQUARIE FUNDS MANAGEMENT HONG | Level 18, One International Finance Centre 1 Harbour View Street Central Hong Kong |
| KONG LIMITED | |
| C/- Company Secretarial Mezzanine Level No. 1 Martin Place Sydney New South Wales Australia | |
| MACQUARIE LIFE LIMITED | 2000 |
| MQ SPECIALIST INVESTMENT MANAGEMENT | C/- Company Secretarial Mezzanine Level No. 1 Martin Place Sydney New South Wales Australia |
| LIMITED | 2000 |
| Signature | print name | Dennis Leong | Capacity | Company Secretary |
|---|---|---|---|---|
| sign here | Date | 15 January 2013 |
ANNEXURE 'A'
This is the annexure marked 'A' of 19 pages referred to in the Notice of ceasing to be a substantial holder.
Dennis Leong Company Secretary, Macquarie Group Limited 15 January 2013
Controlled Bodies Corporate
| ACN / Company No | Entity Name | Incorp Country |
|---|---|---|
| unlisted | Taurus Enhanced Gold and Precious Metals Fund | Australia |
| 4649834 | 1135-1139 WESTMINSTER INC. | United States |
| 1486261 | 1486261 Ontario Limited | Canada |
| 133419708 | 160 CENTRAL HOLDING COMPANY PTY LIMITED | Australia |
| 2279716 | 2279716 Ontario Limited | Canada |
| 124437574 | ACCESS GP CO PTY LIMITED | Australia |
| 124437421 | ACCESS LP CO PTY LIMITED | Australia |
| 153 275 677 | ACN 153 275 677 Pty Ltd | Australia |
| 5170061 | Adreca Holdings Corp. | United States |
| 1033353 | AIRCRAFT ON GROUND, INC. | United States |
| 75176813 | AIRPORT MOTORWAY INFRASTRUCTURE NO.1 PTY LIMITED | Australia |
| 75176859 | AIRPORT MOTORWAY INFRASTRUCTURE NO.3 PTY LIMITED | Australia |
| 75176993 | AIRPORT MOTORWAY INFRASTRUCTURE NO.4 PTY LIMITED | Australia |
| 81119477 | ALLOCA (NO. 4) PTY. LIMITED | Australia |
| 141 710 527 | ALMOND HOLDCO PTY LIMITED (IN DEREGISTRATION) | Australia |
| 3936270 | Alster & Thames Partners (USA) LLC | United States |
| WK-145138 | Alster & Thames Partners, Ltd. | Cayman Islands |
| 8300092 | Amador / Parkway Loan Holder LLC | United States |
| 08.266.585/0001-04 | AMAZON PARTICIPACOES DO BRASIL S.A. | Brazil |
| 800004897 | AOG EUROPE, LTD. | United States |
| 800037055 | AOG TANK TIGERS, INC. | United States |
| 112 951 292 | ARES CAPITAL MANAGEMENT INTERNATIONAL PTY LTD | Australia |
| ARES CAPITAL MANAGEMENT INTERNATIONAL TRUST | Australia | |
| 113 861 046 | ARES CAPITAL MANAGEMENT PTY LTD | Australia |
| 128 115 266 | ARES CAPITAL MANAGEMENT TRUST ARES INTERNATIONAL RESEARCH PTY LTD |
Australia Australia |
| 128 115 248 | ARES RESEARCH PTY LTD | Australia |
| 124437609 | ASIAN PACIFIC PROPERTY 2007 PTY LIMITED | Australia |
| 136 524 975 | AUSTRALIAN SOLAR POWER CONSORTIUM PTY LTD | Australia |
| 3336426 | AVENAL POWER CENTER, LLC | United States |
| 600 235 951 | AVIATION TECHNICAL SERVICES INC. | United States |
| 3595090 | AWHR America's Water Heater Rentals, L.L.C. | United States |
| 4029153 | AWHR Five, LLC | United States |
| 4029149 | AWHR Four, LLC | United States |
| 4029145 | AWHR One, LLC | United States |
| 4029154 | AWHR Six, LLC | United States |
| 4029148 | AWHR Three, LLC | United States |
| 4029147 | AWHR Two, LLC | United States |
| 304030 | A.C.N. 000 304 030 PTY LIMITED (IN LIQUIDATION) | Australia |
| 67299923 | A.C.N. 067 299 923 PTY LTD | Australia |
| 127162485 | A.C.N. 127 162 485 PTY LTD (IN LIQUIDATION) | Australia |
| 127294946 | A.C.N. 127 294 946 PTY LTD (IN LIQUIDATION) | Australia |
| 127329337 | A.C.N. 127 329 337 PTY LIMITED | Australia |
| 136 024 970 | A.C.N. 136 024 970 PTY LTD | Australia |
| 154 402 927 | A.C.N. 154 402 927 Pty Ltd | Australia |
| 59814818 | BAROSSA GE PTY LIMITED | Australia |
| HRB 177683 | BE Geothermal GmbH | Germany |
| 158 626 549 | BECAG PTY LIMITED | Australia |
| 8604966 | BELIKE NOMINEES PTY. LIMITED | Australia |
| HRB 187113 | Bernried Erdwärme Kraftwerk GmbH | Germany |
| 128681809 | BESPOKE CUSTODIANS PTY LIMITED (IN LIQUIDATION) | Australia |
| 4522327 | BIG SANDY CREEK WIND, LLC | United States |
| 200921079K | BIOCARBON GROUP PTE. LIMITED (Former Non-Bank Group) | Singapore |
| 131 532 735 | BIOCARBON SERVICES PTY LIMITED | Australia |
| 131 532 735 | BIOCARBON SERVICES PTY LIMITED (Former Non-Bank Group) | Australia |
| Blue Grass Abstract LLC | United States | |
| Blueshine, LLC | United States | |
| 5182626 | Boketo LLC | United States |
| 8607065 | BOND STREET CUSTODIANS LIMITED | Australia |
| 8606924 | BOND STREET INVESTMENTS PTY. LIMITED | Australia |
| 71247606 | BOND STREET LEASE MANAGEMENT PTY LIMITED (IN | Australia |
| BOOTH STAFF LOANS TRUST | Australia |
| 4680004 | BOSTON AUSTRALIA PTY LIMITED | Australia |
|---|---|---|
| 5008702 | BOSTON LEASING PTY. LIMITED | Australia |
| C0593320 | BREK MANUFACTURING CO. | United States |
| 1218745 | BROOK ASSET MANAGEMENT LIMITED | New Zealand |
| 1855508 | BROOK ASSET MANAGEMENT PTY LIMITED | New Zealand |
| B64188642 | Bruna Moon S.L. | Spain |
| BUCKLING STAFF LOANS TRUST | Australia | |
| 88217 | Bunhill Investments Unlimited | Jersey |
| 2865830 | BUTTONWOOD NOMINEES PTY LIMITED | Australia |
| 79173381 | CAMPUS INTERNATIONAL HOLDINGS PTY. LTD | Australia |
| CAMPUS INTERNATIONAL HOLDINGS UNIT TRUST | Australia | |
| 4644364 | CANADIAN BREAKS LLC | United States |
| Not Registered | CANTERBURY COURT HOLDINGS TRUST | Australia |
| 4800336 4800317 |
Capital Meters Holdings Limited Capital Meters Limited |
United Kingdom United Kingdom |
| B86295391 | Captico Investments, S.L. | Spain |
| 113484165 | CENTAURUS INVESTOR PTY LIMITED | Australia |
| B 142637 | Chartreuse et Mont Blanc Global Holdings S.C.A. | Luxembourg |
| B 142634 | Chartreuse et Mont Blanc GP S.a r.l. | Luxembourg |
| B 142635 | Chartreuse et Mont Blanc Holdings S.a r.l. | Luxembourg |
| 508 758 745 RCS Paris | Chartreuse et Mont Blanc SAS | France |
| 46527C1/GBL | CHINA PROPERTY INVESTMENTS LIMITED | Mauritius |
| WK-133807 | Chiswell Investments Limited | Cayman Islands |
| 2228708 | CIORL LP Limited | Canada |
| Closing Documentation Services, LLC | United States | |
| CMC Holdco Inc. | United States | |
| CMC Industries Inc. | United States | |
| CMC Railroad III-A, Inc. | United States | |
| CMC Railroad III-B, Inc. | United States | |
| CMC Railroad III-C, Inc. | United States | |
| CMC Railroad III-D, Inc. | United States | |
| CMC Railroad III, Inc. CMC Railroad Inc. |
United States United States |
|
| 3709185 | Columbia Service Partners of Kentucky, Inc. | United States |
| 3709185 | Columbia Service Partners of Ohio, Inc. | United States |
| 3709187 | Columbia Service Partners of Pennsylvania, Inc. | United States |
| 3709182 | Columbia Service Partners of West Virginia, Inc. | United States |
| 2603344 | Columbia Service Partners, Inc. | United States |
| Commerce and Industry Brokerage Inc. | United States | |
| 79775134 | CONCEPT BLUE PROPERTY PTY LTD | Australia |
| 104379491 | CORIOLIS HOLDINGS PTY LIMITED - IN LIQUIDATION | Australia |
| 3241012 | Corona Energy Limited | United Kingdom |
| 3241002 | Corona Energy Retail 1 Limited | United Kingdom |
| SC138229 | Corona Energy Retail 2 Limited | United Kingdom |
| 2746961 2798334 |
Corona Energy Retail 3 Limited Corona Energy Retail 4 Limited |
United Kingdom United Kingdom |
| 2879748 | Corona Gas Management Limited | United Kingdom |
| COWLEY MAP STAFF LOANS TRUST | Australia | |
| 64075C1/GBL | DALIAN II HOLDING COMPANY LIMITED | |
| Mauritius | ||
| 147 091 227 | DATAFIRM PTY LIMITED Delaware Alternative Strategies |
Australia United States |
| Delaware Asset Advisers | United States | |
| Delaware Capital Management | United States | |
| Delaware Capital Management Advisers, Inc. | United States | |
| Delaware Distributors, Inc. | United States | |
| Delaware Distributors, L.P. | United States | |
| Delaware Foundation Equity Fund | United States | |
| Delaware Global Opportunities Partners, Inc. | United States | |
| Delaware Investment Advisers | United States | |
| Delaware Investments U.S., Inc. Delaware Lincoln Cash Management |
United States United States |
|
| Delaware Management Business Trust | United States | |
| Delaware Management Company | United States | |
| Delaware Management Company, Inc. | United States | |
| no | Delaware Management Holdings, Inc. | United States |
| Delaware Management Trust Company | United States | |
| Delaware Service Company, Inc. | United States | |
| Delaware Structured Assets Parnters, Inc. | United States | |
| DELTA1 FINANCE TRUST | Australia | |
| 5843681 | Despen Bayle Limited | United Kingdom |
| 8606871 B86081437 |
DEXIN NOMINEES PTY. LIMITED Dextertown SL |
Australia Spain |
| 101 190 569 101 190 649 |
DIVCO 116 PTY LIMITED DIVCO 126 PTY LIMITED |
Australia Australia |
| 097 289 999 097 290 821 |
DIVCO 84 PTY LIMITED DIVCO 96 PTY LIMITED |
Australia Australia |
| DIVERSIFIED CMBS AUSTRALIA HOLDINGS PTY LIMITED (IN | ||
|---|---|---|
| 109819418 | DEREGISTRATION) | Australia |
| 110311 | Divisadero Leasing Ltd. DMH Corp. |
Cayman Islands United States |
| 128078615 | EAST VICTORIA PARK JOINT VENTURE PTY LIMITED - IN LIQUIDATION | Australia |
| 94631964 | EASTERN SEA INVESTMENTS PTY LIMITED | Australia |
| Elements Trust | Australia | |
| 69344001 | ELISE NOMINEES PTY LIMITED | Australia |
| 6435810 | EQUITAS NOMINEES PTY. LIMITED | Australia |
| 4605170 | ERC Holdco LLC | United States |
| 116532542 | ESCALATOR 2005-2 (COMMODITIES INDEX) PTY LIMITED (IN DEREGISTRATION) |
Australia |
| 116532533 | ESCALATOR 2005-2 (EQUITIES INDEX) PTY LIMITED (IN | Australia |
| ESCALATOR 2005 (COMMODITIES INDEX) PTY LIMITED (IN | ||
| 114174211 | DEREGISTRATION) | Australia |
| 114174220 | ESCALATOR 2005 (EQUITIES INDEX) PTY LIMITED (IN DEREGISTRATION) | Australia |
| ESCALATOR 2006 (AUSTRALIAN PROPERTY) PTY LIMITED (IN | ||
| 120435841 | DEREGISTRATION) | Australia |
| 111360528 111494574 |
ESCALATOR AUSTRALIAN INVESTMENT COMPANY PTY LIMITED ESCALATOR GP CO PTY LIMITED |
Australia Australia |
| 111494663 | ESCALATOR INCOME NOTE CO PTY LIMITED | Australia |
| 111494467 | ESCALATOR LP CO PTY LIMITED | Australia |
| 79878783 | EURO FIN CO PTY LTD | Australia |
| 4721352 | FAS 1 LLC | United States |
| 9636131 | FELTER PTY LIMITED - IN LIQUIDATION | Australia |
| 137357 | FINCH SECURITIES LIMITED | Cayman Islands |
| 779889 779887 |
FIRST CHINA PROPERTY GROUP LIMITED FIRST CHINA PROPERTY MANAGEMENT LIMITED |
Hong Kong Hong Kong |
| 8604466 | FOUCAULT PTY LIMITED - IN LIQUIDATION | Australia |
| 3432790 | Four Corners Capital Management, LLC | United States |
| Fox-Pitt Kelton Cochran Caronia Waller LLC | United States | |
| Fox-Pitt Kelton Cochran Caronia Waller (USA) LLC | United States | |
| 2897779 | Fox-Pitt, Kelton Group Limited | United Kingdom |
| 1601171 32157 |
Fox-Pitt, Kelton Limited Fox-Pitt, Kelton N.V. |
United Kingdom Curaçao |
| 692337 | FOX-PITT, KELTON (ASIA) LIMITED | Hong Kong |
| 99228 | FPK Capital I CIP GP Limited | Jersey |
| 989 | FPK Capital I CIP L.P. | Jersey |
| 4222775 | Fremantle Energy Holdings, LLC | United States |
| 4222772 3930054 |
Fremantle Energy, LLC Fremantle Wind Holdings Inc. |
United States United States |
| 106204862 | FUNDCORP PTY LIMITED | Australia |
| 8542685 | GALANTHUS AUSTRALIA PTY LIMITED - IN LIQUIDATION | Australia |
| 1581031 | GALANTHUS LEASING PTY LIMITED | Australia |
| B86230539 | Ganeta Investments SL | Spain |
| 68104558 | GARACHINE PTY LIMITED (In LIquidation) Garrison Energy Center LLC |
Australia United States |
| 54001400 | GATESUN PTY. LIMITED | Australia |
| 109964 | Geary Leasing Limited | Cayman Islands |
| 1332891 | GENERATOR BONDS LIMITED | New Zealand |
| 108026437 | GENERATOR CHARITIES AUSTRALIA PTY LIMITED | Australia |
| 103116954 | GENERATOR INVESTMENTS AUSTRALIA PTY LIMITED | Australia |
| 9642942 105819181 |
GILLMAN PTY. LIMITED GLOBAL DEBT INVESTMENTS NO.4 PTY LIMITED (IN LIQUIDATION) |
Australia Australia |
| MC143292 | GLOBAL STAR GP LTD | Cayman Islands |
| 8604484 | GLORIOLE PTY LIMITED - IN LIQUIDATION | Australia |
| N/A | Goldman Sachs Commodity Alpha Beta Portfolio class C | Luxembourg |
| 5481707 | Goonzaran Bluebell Funding Limited | United Kingdom |
| 5473771 4521455 |
Goonzaran Bluebell Leasing Limited Groupe Rossignol Canada Inc. |
United Kingdom Canada |
| 0100-01-086076 | GROUPE ROSSIGNOL KK | Japan |
| 148 217 029 | HARRIS DAIRIES LIMITED | Australia |
| 148 217 029 | HARRIS DAIRIES LIMITED (Former Bank Group) | Australia |
| 3416168 | Harrison Leasing Corporation | United States |
| 415492 125438600 |
HBEAR CO. NO.1 LIMITED HENDERSON WA PTY LIMITED |
Ireland Australia |
| not registered | HENDERSON WA TRUST | Australia |
| Hermes BPK Greater China Fund (a sub-fund of Hermes BPK Funds PLC) | Ireland | |
| 4317904 | High Lonesome Wind, LLC | United States |
| 758010 | HILLSAM NOMINEES PTY. LIMITED (IN LIQUIDATION) | Australia |
| 104173891 | HOBSON STAFF LOANS TRUST HUB X PTY LIMITED |
Australia Australia |
| 2563271 | Huntsmen Corporation | United States |
| 97666 | Hydra Investments 2007 Limited | Jersey |
| 2757020 | IDAMENEO (NO. 79) NOMINEES PTY. LIMITED | Australia |
| 9642979 | INDEMCO PTY LIMITED (IN DEREGISTRATION) | Australia |
| Indiana TLP, LLC | United States | |
|---|---|---|
| HRA43929 | Industrial Investments Germany GmbH & Co. KG | Germany |
| 65764 | INFRASTRUCTURE INVESTMENT NO. 2 LTD. | Cayman Islands |
| 73710942 | INFRASTRUCTURE INVESTMENTS NO 1 PTY LIMITED | Australia |
| International Ag Insurance Solutions LLC | United States | |
| IRVING STAFF LOANS TRUST | Australia | |
| CR-113608 | Jackson Leasing Limited | Cayman Islands |
| 72362 | Jet Leasing LDC | Cayman Islands |
| 0100-02-036303 | JIG HOLDINGS LIMITED | Japan |
| JOHNSON MAP STAFF LOANS TRUST | Australia | |
| 9641114 | JUBILEE PTY. LIMITED | Australia |
| 464138 | Juuichi Limited | Ireland |
| 254939 | Kandahar Sp. z o.o. (in liquidation) | Poland |
| CR-113609 | Kearny Leasing Limited | Cayman Islands |
| 4721412 | Keba Energy LLC | United States |
| 4310212 | Knik Arm Crossing, LLC | United States |
| 140 135 379 | LAKE GEORGE WIND FARM DEVELOPMENTS PTY LTD | Australia |
| 3250833 | LANROD PTY LIMITED - IN LIQUIDATION | Australia |
| 491404 | Leannta PPP Investments Limited (in voluntary liquidation) | Ireland |
| 130271108 | LEARNSPACE VIC HOLDINGS PTY LIMITED (IN LIQUIDATION) | Australia |
| 130271180 | LEARNSPACE VIC PTY LIMITED (IN LIQUIDATION) | Australia |
| 8272295 4708904 |
Levantera Developments Limited LG BIOMASS MISSOURI LLC |
United Kingdom United States |
| 8604920 | LIANA PTY. LIMITED | Australia |
| Liberty Green Renewables Indiana, LLC | United States | |
| Lien Data Services, LLC | United States | |
| HRB80214 | Lightning Bolt Germany GmbH | Germany |
| CH -217-3534284-8 | LISA Lange International Sarl | Switzerland |
| 131532664 | LIVING EDUCATION HOLDINGS PTY LTD | Australia |
| 131532637 | LIVING EDUCATION PTY LTD | Australia |
| 397 727 397 RCS NEVERS | Look Fixations S.A.S. | France |
| 118029664 | M & I DEBT INVESTMENTS PTY LIMITED (IN DEREGISTRATION) | Australia |
| 118029342 | M & I INVESTMENTS HOLDINGS PTY LIMITED (IN DEREGISTRATION) | Australia |
| MAC FUND ONE TRUST | Australia | |
| 4717557 | MACQUARIE 55 NINTH ST INC. | United States |
| 30416 | MACQUARIE ABSOLUTE RETURN STRATEGIES GLOBAL LIMITED | Bermuda |
| 8594885 | MACQUARIE ACCEPTANCES LIMITED | Australia |
| 95180788 | MACQUARIE ADMIN SERVICES PTY LIMITED | Australia |
| 95180788 | MACQUARIE ADMIN SERVICES PTY LIMITED (Former Bank Group) | Australia |
| 131476910 | MACQUARIE ADVANCED INVESTMENT MANAGEMENT LIMITED | Australia |
| WK-211745 | Macquarie Advanced Investment Partners G.P. Ltd. | Cayman Islands |
| 486592 | Macquarie Aerospace AF (Ireland) Limited | Ireland |
| 40096.0 (Decree No. 10356/AVV) |
MACQUARIE AEROSPACE ARUBA A.V.V. | Aruba |
| Macquarie Aerospace Inc. | United States | |
| 484423 | Macquarie Aerospace Ireland Limited | Ireland |
| 44138 | MACQUARIE AEROSPACE LIMITED | Bermuda |
| 4508116 | Macquarie Affiliated Managers Holdings (USA) Inc. | United States |
| Macquarie Affiliated Managers (USA) Inc. | United States | |
| 2000/001243/07 | MACQUARIE AFRICA (PROPRIETARY) LIMITED | South Africa |
| 122169368 | MACQUARIE AGRICULTURAL FUNDS MANAGEMENT LTD | Australia |
| MACQUARIE AGRICULTURAL FUNDS MANAGEMENT LTD (Former Bank | ||
| 122169368 | Group) | Australia |
| 116381634 | MACQUARIE AGRICULTURAL SERVICES PTY LIMITED | Australia |
| B121660 | Macquarie Aircraft Leasing Finance SA | Luxembourg |
| 139 633 015 | MACQUARIE AIRCRAFT LEASING HOLDINGS PTY LIMITED | Australia |
| 429567 | Macquarie Aircraft Leasing Holdings (2) Limited | Ireland |
| 426824 | Macquarie Aircraft Leasing Limited | Ireland |
| 139 654 407 130 643 319 |
MACQUARIE AIRCRAFT LEASING PTY LIMITED MACQUARIE AIRCRAFT LEASING SERVICES (AUSTRALIA) PTY LTD |
Australia Australia |
| 429566 | Macquarie Aircraft Leasing Services (Ireland) Limited | Ireland |
| 200917376C | Macquarie Aircraft Leasing Services (Singapore) Pte. Ltd. | Singapore |
| 5988531 | Macquarie Aircraft Leasing Services (UK) Limited | United Kingdom |
| 4247748 | Macquarie Aircraft Leasing Services (US), Inc. | United States |
| MACQUARIE AIRCRAFT LEASING TRUST A | Australia | |
| 41370 | Macquarie AirFinance Acquisitions Holdings Ltd. | Bermuda |
| 41289 | Macquarie AirFinance Acquisitions Limited | Bermuda |
| 464499 | Macquarie AirFinance Acquisitions (Ireland) Limited | Ireland |
| 6767724 | Macquarie AirFinance Acquisitions (UK) Limited | United Kingdom |
| 41212 | Macquarie AirFinance Aruba A.V.V. | Aruba |
| 435319 | Macquarie AirFinance Holdings Limited | Ireland |
| 40863 | Macquarie AirFinance International Group Limited | Bermuda |
| 40569 | Macquarie AirFinance International Limited | Bermuda |
| 38946 | MACQUARIE AIRFINANCE LTD | Bermuda |
| 38946 | Macquarie AirFinance Ltd. | Bermuda |
| 40673 | Macquarie AirFinance Warehouse (No. 1) Limited | Bermuda |
| 3461469 | Macquarie Allegiance Capital, LLC | United States |
|---|---|---|
| 103237181 | MACQUARIE ALTERNATIVE ASSETS MANAGEMENT LIMITED | Australia |
| 142 495 958 | MACQUARIE ALTERNATIVE PROPERTY HOLDINGS PTY LIMITED | Australia |
| 3379259 | MACQUARIE AMERICAS CORP | United States |
| 124071414 | MACQUARIE AMERICAS HOLDINGS PTY LTD | Australia |
| 4717558 | MACQUARIE ARGENTA INC. | United States |
| 128071545 | MACQUARIE ASCARI HOLDINGS PTY LIMITED - IN LIQUIDATION | Australia |
| 71501963 | MACQUARIE ASIA HOLDINGS PTY LIMITED | Australia |
| 619928 | MACQUARIE ASIA LIMITED | Hong Kong |
| Macquarie Asia New Stars Fund | Luxembourg | |
| MC-25427 | Macquarie Asia Pacific Private Equity Offshore Fund, L.P. | Cayman Islands |
| MACQUARIE ASIA REAL ESTATE MANAGEMENT PTY LIMITED (IN | ||
| 105453638 | DEREGISTRATION) | Australia |
| 1049991 | MACQUARIE ASIA STRUCTURED TRANSACTIONS LIMITED | Virgin Islands, British |
| MACQUARIE ASIA STRUCTURED TRANSACTIONS LIMITED (SINGAPORE | ||
| T07FC7008F | BRANCH) | Singapore |
| Macquarie Asian Leaders Segregated Portfolio | Cayman Islands | |
| L0000124F | MACQUARIE ASIAN PACIFIC PROPERTY 2007 LP | Australia |
| 8253772 | Macquarie Asset Finance Holdings Limited | United Kingdom |
| 0100-01-107687 | MACQUARIE ASSET FINANCE JAPAN LIMITED | Japan |
| 64219601 | MACQUARIE ASSET FINANCE LIMITED | Australia |
| 57952C1/GBL | MACQUARIE ASSET FINANCE MAURITIUS LTD | Mauritius |
| 7815862 | Macquarie Asset Leasing (UK) Limited | United Kingdom |
| 4578015 | MACQUARIE ASSET MANAGEMENT INC. | United States |
| 1263583 | MACQUARIE ASSET MANAGEMENT PTY LIMITED | Australia |
| 77193956 | MACQUARIE AUSTRALIA FINANCE PTY LIMITED (IN DEREGISTRATION) | Australia |
| 6055796 | MACQUARIE AUSTRALIA INTERNATIONAL PTY LIMITED | Australia |
| 736210 | MACQUARIE AUSTRALIA PTY LIMITED | Australia |
| 74453286 | MACQUARIE AUSTRALIA SECURITIES LIMITED | Australia |
| 8660811 | MACQUARIE AUSTRALIA TECHNOLOGY PTY LIMITED - IN LIQUIDATION | Australia |
| not registered | MACQUARIE AUSTRALIAN DAIRY FUND | Australia |
| 096 257 224 | MACQUARIE AUSTRALIAN PURE INDEXED EQUITIES FUND | Australia |
| 4687739 | MACQUARIE AUTOPARK INC. | United States |
| 121836191 | MACQUARIE AVENIR NO. 1 PTY LIMITED | Australia |
| 121836235 | MACQUARIE AVENIR NO. 2 PTY LIMITED | Australia |
| 368579 | MACQUARIE AVIATION CAPITAL FINANCE LIMITED | Ireland |
| 368589 | MACQUARIE AVIATION CAPITAL GROUP | Ireland |
| 8607047 | MACQUARIE AVIATION NO 1 CO PTY LIMITED | Australia |
| 75176733 | MACQUARIE AVIATION (NO. 1) PTY LIMITED (IN DEREGISTRATION) | Australia |
| 6309906 | Macquarie Bank International Limited | United Kingdom |
| HRB 189708 | Macquarie Bank International Limited, Niederlassung Deutschland | Germany |
| FN 331748 s | Macquarie Bank International Limited, Vienna Branch | Austria |
| 8583542 | MACQUARIE BANK LIMITED | Australia |
| T11FC0018C | MACQUARIE BANK LIMITED SINGAPORE BRANCH | Singapore |
| 1045 | Macquarie Bank Limited (DIFC Recognised Company) | United Arab Emirates |
| F18649 | MACQUARIE BANK LIMITED (HONG KONG BRANCH) | Hong Kong |
| FC018220 | Macquarie Bank Limited (London Branch) | United Kingdom |
| 104-84-07697 | MACQUARIE BANK LIMITED (SEOUL BRANCH) | Korea, Republic of |
| FC018220 | Macquarie Bank Limited (US Representative Office) | United States |
| 1531997 | MACQUARIE BANK SUPERANNUATION PTY. LIMITED | Australia |
| 5939070 | Macquarie Barnett LLC | United States |
| Macquarie Basin Leasing LLC | United States | |
| 109280819 | MACQUARIE BATHURST STREET PTY LIMITED (IN LIQUIDATION) | Australia |
| R.P.M. 892390892 | Macquarie Belgium TCG SPRL | Belgium |
| 42536 | Macquarie Bermuda Investments Limited | Bermuda |
| HRB 232767 | Macquarie Beteiligungstreuhand GmbH | Germany |
| HRB 86921 | Macquarie Beteiligungsverwaltungs GmbH (in liquidation) | Germany |
| 657826-8 | Macquarie BFS Holdings Ltd. | Canada |
| 4708902 | MACQUARIE BIOMASS LLC | United States |
| CNPJ03.516.449/0001 | MACQUARIE BRASIL PARTICIPACOES LTDA | Brazil |
| 124071432 | MACQUARIE B.H. PTY LTD | Australia |
| 69344289 | MACQUARIE CAF USD LEASING CO NO 1 PTY LIMITED | Australia |
| 69344387 | MACQUARIE CAF USD SECURITY CO NO 1 PTY LIMITED | Australia |
| 798792-7 | Macquarie Canada Inventory Holdings Limited | Canada |
| 683412-4 | Macquarie Canada Services Ltd. | Canada |
| 1846259 | Macquarie Canadian Holdings Operations Ltd. | Canada |
| 793548-0 | Macquarie Canadian Infrastructure Management Limited | Canada |
| 6489800 | Macquarie Canadian Investment Holdings Ltd. | Canada |
| B112.601 | MACQUARIE CANADIAN LUXEMBOURG S.A.R.L. | Luxembourg |
| 2149053 | Macquarie Capital Acquisitions (Canada) Ltd. | Canada |
| 716740-7 | Macquarie Capital Acquisitions (Canada) No.2 Ltd | Canada |
| 130 342 915 | MACQUARIE CAPITAL ADVISERS CRE PTY LTD | Australia |
| 105777704 | MACQUARIE CAPITAL ALLIANCE MANAGEMENT PTY LIMITED | Australia |
| 137760822 | MACQUARIE CAPITAL ARGENTINA PTY LTD | Australia |
| 1818250 | Macquarie Capital Argentina Pty Ltd (Sucursal Argentina) | Argentina |
| 132 864 950 | MACQUARIE CAPITAL CIS HOLDINGS PTY LTD | Australia |
| 22407 | Macquarie Capital CIS Holdings Pty Ltd (Russia Branch) | Russian Federation |
|---|---|---|
| 133 664 632 | MACQUARIE CAPITAL FINANCE HOLDINGS (AUSTRALIA) PTY LIMITED | Australia |
| 127829458 | MACQUARIE CAPITAL FINANCE (AUSTRALIA) PTY LTD | Australia |
| 736 | Macquarie Capital Finance (Dubai) Limited | United Arab Emirates |
| Macquarie Capital Funding LLC | United States | |
| LP561 | MACQUARIE CAPITAL FUNDING L.P. | Jersey |
| 88464 | Macquarie Capital Funding (GP) Limited | Jersey |
| 110605724 | MACQUARIE CAPITAL FUNDING (LP) PTY LIMITED | Australia |
| 1210279 | MACQUARIE CAPITAL FUNDS (ASIA) LIMITED | Hong Kong |
| 96705109 | MACQUARIE CAPITAL GROUP LIMITED | Australia |
| FC027878 | MACQUARIE CAPITAL GROUP LIMITED (UK BRANCH) | United Kingdom |
| 2149050 | Macquarie Capital Holdings (Canada) Ltd. | Canada |
| 687 | Macquarie Capital Holdings (Dubai) Limited | United Arab Emirates |
| 123199253 | MACQUARIE CAPITAL INTERNATIONAL HOLDINGS PTY LIMITED | Australia |
| 4607360 | MACQUARIE CAPITAL INVESTMENT MANAGEMENT INC. | United States |
| 3752829 | Macquarie Capital Investment Management LLC | United States |
| 86159060 | MACQUARIE CAPITAL INVESTMENT MANAGEMENT (AUSTRALIA) LIMITED | Australia |
| 77595012 | MACQUARIE CAPITAL LOANS MANAGEMENT LIMITED | Australia |
| Macquarie Capital Markets Canada Ltd./Marchés Financiers Macquarie Canada | ||
| 565608 | Ltée. | Canada |
| Macquarie Capital Markets North America Ltd./Marchés Financiers Macquarie | ||
| 1079073 | Amérique Du Nord Ltée. | Canada |
| 803092-8 | Macquarie Capital Principal Holdings Canada Ltd | Canada |
| 128212868 | MACQUARIE CAPITAL PRODUCTS LIMITED | Australia |
| WK-203889 | Macquarie Capital Products (CI) Limited | Cayman Islands |
| 2104407 | MACQUARIE CAPITAL PRODUCTS (NZ) LIMITED | New Zealand |
| 135973 | Macquarie Capital Securities Limited | Hong Kong |
| 110-84-02227 | MACQUARIE CAPITAL SECURITIES LIMITED (SEOUL BRANCH) | Korea, Republic of |
| 89407381 | MACQUARIE CAPITAL SECURITIES LIMITED (TAIWAN BRANCH) | Taiwan |
| 11-89592 | MACQUARIE CAPITAL SECURITIES (INDIA) PRIVATE LIMITED | India |
| MC-134609 | MACQUARIE CAPITAL SECURITIES (JAPAN) LIMITED | Cayman Islands |
| 0100-03-012063 | MACQUARIE CAPITAL SECURITIES (JAPAN) LIMITED (TOKYO BRANCH) | Japan |
| 463469-W | MACQUARIE CAPITAL SECURITIES (MALAYSIA) SDN. BHD. | Malaysia |
| 15184/2070C1/GBL | MACQUARIE CAPITAL SECURITIES (MAURITIUS) LIMITED | Mauritius |
| 180496 | Macquarie Capital Securities (Philippines) Inc. | Philippines |
| 198702912C | MACQUARIE CAPITAL SECURITIES (SINGAPORE) PTE. LIMITED | Singapore |
| 4733273 | Macquarie Capital US Acquisitions LLC | United States |
| 133 001 359 | MACQUARIE CAPITAL WIND MANAGEMENT PTY LTD | Australia |
| 123199548 | MACQUARIE CAPITAL (AUSTRALIA) LIMITED | Australia |
| 740 | Macquarie Capital (Dubai) Limited | United Arab Emirates |
| 3704031 | Macquarie Capital (Europe) Limited | United Kingdom |
| 516404-9909 | Macquarie Capital (Europe) Limited UK Filial, Sweden | Sweden |
| 34297902 | Macquarie Capital (Europe) Limited, Amsterdam Branch | Netherlands |
| 905963 | Macquarie Capital (Europe) Limited, Dublin Branch | Ireland |
| HRB 82506 | Macquarie Capital (Europe) Limited, Niederlassung Deutschland | Germany |
| 478 586 167 | Macquarie Capital (Europe) Limited, Paris Branch | France |
| 611405 | MACQUARIE CAPITAL (HONG KONG) LIMITED | Hong Kong |
| 11-90696 | Macquarie Capital (India) Private Limited | India |
| 104-81-64533 | MACQUARIE CAPITAL (KOREA) LIMITED | Korea, Republic of |
| MCM081013SY0 | MACQUARIE CAPITAL (MEXICO), S.A. de C.V. | Mexico |
| 1952567 199704430K |
MACQUARIE CAPITAL (NEW ZEALAND) LIMITED MACQUARIE CAPITAL (SINGAPORE) PTE. LIMITED |
New Zealand Singapore |
| 6388283 2382080 |
Macquarie Capital (UK) Limited MACQUARIE CAPITAL (USA) INC |
United Kingdom United States |
| 4684152 | MACQUARIE CAPITOLA VILLAS INC. | United States |
| 169009 | MACQUARIE CAYMAN HOLDINGS 2 CO. | Cayman Islands |
| 168347 | MACQUARIE CAYMAN HOLDINGS CO | Cayman Islands |
| 42381 | MACQUARIE CHINA RETAIL COMPANY 1 LIMITED (Former Bank Group) | Bermuda |
| Macquarie Climate Change Investments PNG Limited (In Liquidation) (Former | ||
| 1-65845 | Non-Bank Group) | Papua New Guinea |
| 97868687 | MACQUARIE CLO INVESTMENTS NO.1 PTY LIMITED (IN | Australia |
| 65178618 | MACQUARIE CLO INVESTMENTS NO.2 PTY LIMITED (IN | Australia |
| 15.246.175/0001-50 | Macquarie Commodities Brasil Ltda. | Brazil |
| 6863247 | Macquarie Commodities Factoring Holdings (UK) Limited | United Kingdom |
| 4662005 | MACQUARIE COMMODITIES FACTORING LLC | United States |
| 5259503 | Macquarie Commodities Finance (UK) Limited | United Kingdom |
| 35304 | MACQUARIE COMMODITIES FUND LIMITED | Bermuda |
| 4668206 | MACQUARIE COMMODITIES FUNDING (USA) LLC | United States |
| 4071304 | MACQUARIE COMMODITIES HOLDINGS (USA) LLC | United States |
| 4100974 | MACQUARIE COMMODITIES TRADING INC. | United States |
| 201016397N | MACQUARIE COMMODITIES (SINGAPORE) PTE. LIMITED | Singapore |
| SP.688/AsingP3A | MACQUARIE COMMODITIES (SINGAPORE) PTE. LIMITED, Indonesia Rep. | |
| PDN.2/9/2010 | Office | Indonesia |
| 5259474 4383511 |
Macquarie Commodities (UK) Limited MACQUARIE COMMODITIES (USA) INC |
United Kingdom United States |
| 96629471 | MACQUARIE CONCEPT BLUE PTY LTD | Australia |
|---|---|---|
| 12-377-980/0001-25 | Macquarie Consultoria Agricola E Representacoes Ltda. | Brazil |
| 12-377-980/0001-25 | Macquarie Consultoria Agricola E Representacoes Ltda. (Former Bank Group) | Brazil |
| 4752472 | Macquarie Corona Energy Holdings Limited | United Kingdom |
| 4624506 | MACQUARIE CORPORATE AND ASSET FINANCE CONSULTING INC. | United States |
| 4618137 | MACQUARIE CORPORATE AND ASSET FINANCE HOLDINGS INC. | United States |
| 6198910 | MACQUARIE CORPORATE AND ASSET FINANCE LIMITED | Australia |
| 368580 | Macquarie Corporate and Asset Finance (Ireland) Limited | Ireland |
| 4624264 | MACQUARIE CORPORATE AND ASSET FUNDING INC. | United States |
| 8606862 | MACQUARIE CORPORATE FINANCE HOLDINGS PTY LTD | Australia |
| 8595426 | MACQUARIE CORPORATE FINANCE LIMITED | Australia |
| MACQUARIE CORPORATE FINANCE LIMITED NIEDERLASSUNG | ||
| HRB52973 | DEUTSCHLAND | Germany |
| 3835213 | MACQUARIE COTTON INTERNATIONAL INC | United States |
| 4552354 | Macquarie CPS LLC | United States |
| 129962358 | Macquarie CPS Trust | Australia |
| 5108711 | Macquarie Credit Investment Management Inc. | United States |
| MC-266242 | MACQUARIE CREDIT NEXUS FUND LIMITED | Cayman Islands |
| MC-267012 | Macquarie Credit Nexus Holdings Limited | Cayman Islands |
| MC-266243 | MACQUARIE CREDIT NEXUS MASTER FUND LIMITED | Cayman Islands |
| 4774619 | Macquarie Crop Partners GP, LLC | United States |
| 4774619 | Macquarie Crop Partners GP, LLC (Former Bank Group) | United States |
| 8295013 | Macquarie DD1 (USA) Inc. | United States |
| 75067631 | MACQUARIE DEBF PTY LIMITED | Australia |
| 132821580 | MACQUARIE DELTA1 FINANCE SERVICES PTY LIMITED | Australia |
| 29318190 | Macquarie Denmark Limited A/S | Denmark |
| 102607616 | MACQUARIE DEVELOPMENT CAPITAL II PTY LIMITED | Australia |
| 134474712 | MACQUARIE DEVELOPMENT CAPITAL MANAGEMENT PTY LIMITED | Australia |
| 82018399 | MACQUARIE DEVELOPMENT CAPITAL PTY LIMITED | Australia |
| 126768714 | MACQUARIE DEVELOPMENT CAPITAL (AUS) PTY LIMITED | Australia |
| 91936515 | MACQUARIE DEVELOPMENT DIRECTION PTY LIMITED | Australia |
| 115402349 | MACQUARIE DIGITAL PTY LIMITED | Australia |
| 8607083 | MACQUARIE DIRECT INVESTMENT PTY LIMITED | Australia |
| 20.3.0.31.542-6 | Macquarie Distribution Finance Ltd. | Switzerland |
| 85795651 | MACQUARIE DISTRIBUTION PTY LIMITED | Australia |
| 114099795 | MACQUARIE DIVERSIFIED ASSET ADVISORY PTY LIMITED | Australia |
| 98127578 | MACQUARIE DIVERSIFIED INVESTMENTS NO 2 PTY LTD (IN | Australia |
| 98127569 | MACQUARIE DIVERSIFIED INVESTMENTS NO 3 PTY LTD (IN | Australia |
| 106197488 | MACQUARIE DYNAMIC MANAGEMENT PTY LIMITED | Australia |
| 4257710 | MACQUARIE DYNAMIC MANAGEMENT (USA) INC | United States |
| 363806 | MACQUARIE ELECTRONICS LIMITED | Ireland |
| 363803 | MACQUARIE ELECTRONICS REMARKETING LIMITED | Ireland |
| Delaware #3567972 | MACQUARIE ELECTRONICS USA INC | United States |
| 200408424K | MACQUARIE EMERGING MARKETS ARBITRAGE TRADING PTE. LIMITED (wef 20/05/2009) (Former Non-Bank Group) |
Singapore |
| 200408424K | MACQUARIE EMERGING MARKETS ASIAN TRADING PTE. LIMITED | Singapore |
| MACQUARIE EMERGING MARKETS ASIAN TRADING PTE. LIMITED (Non | ||
| F18440 | Hong Kong Company) | Hong Kong |
| 143365673 | Macquarie Emerging Markets Investments Pty Ltd | Australia |
| 127185719 | MACQUARIE EMG HOLDINGS PTY LIMITED | Australia |
| 4708900 | MACQUARIE ENERGY ASSETS LLC | United States |
| 6643795 | Macquarie Energy Canada Ltd. | Canada |
| 664374-4 | Macquarie Energy Holdings Canada Ltd. | Canada |
| 122300592 | MACQUARIE ENERGY HOLDINGS PTY LTD | Australia |
| 4554443 | Macquarie Energy Investments LLC | United States |
| 2468860 | Macquarie Energy LLC | United States |
| 4023666 | MACQUARIE ENERGY NORTH AMERICA TRADING INC. | United States |
| ARSN 085 130 794 | Macquarie Enhanced Australian Fixed Interest Fund | Australia |
| 087 433 912 | MACQUARIE ENHANCED PROPERTIES SECURITIES FUND | Australia |
| 4457323 | Macquarie Equipment Finance Holdings Inc. | United States |
| 262381 | MACQUARIE EQUIPMENT FINANCE LIMITED | New Zealand |
| 421234 | Macquarie Equipment Finance Limited | Ireland |
| 421234 | Macquarie Equipment Finance Limited | Ireland |
| 605377-7 | Macquarie Equipment Finance Ltd./Macquarie Financement d'Équipement Ltée. | Canada |
| 124335593 | MACQUARIE EQUIPMENT FINANCE PTY LIMITED | Australia |
| 475730 | Macquarie Equipment Finance Services Limited | Ireland |
| 8253764 | Macquarie Equipment Finance (UK) Limited | United Kingdom |
| 4463641 | Macquarie Equipment Finance, Inc. | United States |
| 468487 | Macquarie Equipment Funding Limited | Ireland |
| 4463642 | Macquarie Equipment Funding, LLC | United States |
| 459515-H | Macquarie Equipment Leasing Fund Two, LLC MACQUARIE EQUIPMENT LEASING SDN. BHD. |
United States Malaysia |
| 112079268 | MACQUARIE EQUIPMENT RENTALS PTY LIMITED | Australia |
| MACQUARIE EQUITIES BRASIL ADMINISTRACAO DE FUNDOS E | ||
|---|---|---|
| 04.317.671/0001-31 | PARTICIPACAO LTDA | Brazil |
| WN1114218 | MACQUARIE EQUITIES CUSTODIANS LIMITED | New Zealand |
| 2574923 WN/1007806 |
MACQUARIE EQUITIES LIMITED MACQUARIE EQUITIES NEW ZEALAND LIMITED |
Australia New Zealand |
| 485394 | MACQUARIE EQUITIES (ASIA) LIMITED | Hong Kong |
| 63906392 | MACQUARIE EQUITIES (US) HOLDINGS PTY. LIMITED | Australia |
| 1374572 | MACQUARIE EQUITY CAPITAL MARKETS PTY LIMITED | Australia |
| 6294706 | Macquarie Equity Products (UK) Limited | United Kingdom |
| MACQUARIE ESCALATOR 2005-2 (COMMODITIES INDEX) LP | Australia | |
| MACQUARIE ESCALATOR 2005-2 (EQUITIES INDEX) LP | Australia | |
| LP00000393 | MACQUARIE ESCALATOR 2005 (COMMODITIES INDEX) LP MACQUARIE ESCALATOR 2005 (EQUITIES INDEX) LP |
Australia Australia |
| MACQUARIE ESCALATOR 2006 (AUSTRALIAN PROPERTY) LP | Australia | |
| LP00000350 | MACQUARIE ESCALATOR LP | Australia |
| 4714085 | MACQUARIE ESPRIT INC. | United States |
| 7713808 | Macquarie Euro Limited | United Kingdom |
| MC268820 | Macquarie European Alpha Master Fund | Cayman Islands |
| 114801464 | MACQUARIE EUROPEAN FINANCIAL INVESTMENTS PTY LTD | Australia |
| 78771123 | MACQUARIE EUROPEAN HOLDINGS PTY LIMITED MACQUARIE EUROPEAN HOLDINGS PTY LIMITED (NON HONG KONG |
Australia |
| F15820 | COMPANY) | Hong Kong |
| 6146573 | Macquarie European Investment Holdings Limited | United Kingdom |
| 8253782 | Macquarie European Rail Limited | United Kingdom |
| B172.199 | Macquarie European Rail Limited (Luxembourg Branch) | Luxembourg |
| 128078277 | MACQUARIE EVP HOLDING COMPANY PTY LIMITED - IN LIQUIDATION | Australia |
| 6863307 6863285 |
Macquarie Factoring Finance (UK) Limited Macquarie Factoring (UK) Limited |
United Kingdom United Kingdom |
| 116582524 | MACQUARIE FARM ASSETS AND RESOURCES MANAGEMENT LIMITED | Australia |
| 122169304 | Macquarie Farm Services Limited | Australia |
| 122169304 | Macquarie Farm Services Limited (Former Bank Group) | Australia |
| Macquarie Fastracks Holdings LLC | United States | |
| Macquarie FG Holdings Inc. | United States | |
| 6855383 132 573 436 |
Macquarie FICC (UK) Limited MACQUARIE FIEX INVESTMENT PTY LIMITED |
United Kingdom Australia |
| 118817440 | MACQUARIE FINANCE HOLDINGS LIMITED | Australia |
| 106-81-94256 | MACQUARIE FINANCE KOREA CO., LTD. | Korea, Republic of |
| 1214964 | MACQUARIE FINANCE LIMITED | Australia |
| U65999MH2009PTC190863 | MACQUARIE FINANCE (INDIA) PRIVATE LIMITED | India |
| U65999MH2009PTC190863 1065067 |
MACQUARIE FINANCE (INDIA) PRIVATE LIMITED (Former Non-Bank Group) MACQUARIE FINANCE (NZ) LIMITED |
India New Zealand |
| 124071398 | MACQUARIE FINANCIAL HOLDINGS LIMITED | Australia |
| F15819 | MACQUARIE FINANCIAL HOLDINGS LIMITED (NON HONG KONG | Hong Kong |
| 4551158 | Macquarie Financial Holdings (USA) LLC | United States |
| 4228146 | Macquarie Financial Ltd./Financiere Macquarie Ltee. | Canada |
| 95135694 | MACQUARIE FINANCIAL PRODUCTS MANAGEMENT LIMITED | Australia |
| 128948498 200800950C |
MACQUARIE FINANCIAL SERVICES HOLDINGS PTY LIMITED MACQUARIE FINANCIAL SERVICES (ASIA) PTE. LIMITED |
Australia Singapore |
| 2007/030612/07 | Macquarie Financial Trustees (Proprietary) Limited | South Africa |
| MACQUARIE FIXED INCOME CURRENCIES AND COMMODITIES | ||
| 200813631K | (SINGAPORE) PTE. LIMITED | Singapore |
| 69344154 | MACQUARIE FLEET LEASING PTY LIMITED | Australia |
| ARSN 129 962 189 93752946 |
MACQUARIE FLEXI 100 TRUST MACQUARIE FORESTRY SERVICES PTY LIMITED |
Australia Australia |
| 113113214 | Australia | |
| 481 104 479 R.C.S. Paris | MACQUARIE FORTRESS INVESTMENTS LIMITED Macquarie France SARL |
France |
| 127735960 | Macquarie Fund Advisers Pty Limited | Australia |
| B143751 | Macquarie Fund Solutions | Luxembourg |
| Macquarie Fund Solutions - Macquarie Emerging Markets Infrastructure | ||
| Securities Fund | Luxembourg | |
| 4240236 6581935 |
MACQUARIE FUNDING HOLDINGS INC Macquarie Funding Inc. |
United States Canada |
| LP00000352 | MACQUARIE FUNDING LIMITED PARTNERSHIP | Australia |
| BC0847563 | Macquarie Funding (B.C.) Inc. | Canada |
| 113054569 | MACQUARIE FUNDS HEDGING PTY LTD | Australia |
| 93177407 | MACQUARIE FUNDS MANAGEMENT HOLDINGS PTY LIMITED | Australia |
| 724745 | MACQUARIE FUNDS MANAGEMENT HONG KONG LIMITED | Hong Kong |
| 6880217 177751 |
MACQUARIE FUNDS MANAGEMENT PTY LIMITED MACQUARIE FUNDS MANAGEMENT SPC |
Australia Cayman Islands |
| MACQUARIE FUNDS MANAGEMENT (USA) INC. | United States | |
| 4088350 | Macquarie Futures USA LLC | United States |
| 170076 | MACQUARIE FUTURES & OPTIONS (HONG KONG) LIMITED | Hong Kong |
| 111631 | MACQUARIE FUTURES (ASIA) LIMITED | Hong Kong |
| 137072112 128219330 |
MACQUARIE FX INVESTMENTS PTY LTD MACQUARIE GCUH HOLDINGS PTY LIMITED |
Australia Australia |
| Macquarie Generation Management I, Inc. | United States | |
|---|---|---|
| HRB 82733 | Macquarie Germany Holdings GmbH | Germany |
| B142903 | Macquarie Germany Holdings GmbH & Cies S.E.N.C. | Luxembourg |
| 117033226 | MACQUARIE GLASSCOCKS PTY LIMITED | Australia |
| MACQUARIE GLOBAL DEBT INVESTMENTS NO.1 PTY LIMITED (IN | ||
| 84388947 | LIQUIDATION) | Australia |
| MACQUARIE GLOBAL DEBT INVESTMENTS NO.2 PTY LIMITED (IN | ||
| 75176779 | LIQUIDATION) | Australia |
| 068897C1/GBL | MACQUARIE GLOBAL FINANCE SERVICES (MAURITIUS) LIMITED | Mauritius |
| 4633002 | MACQUARIE GLOBAL GROWTH ADVISORS LLC | United States |
| 4633008 | MACQUARIE GLOBAL GROWTH MANAGERS LLC | United States |
| 4632997 | MACQUARIE GLOBAL INCOME ADVISORS LLC | United States |
| 4633006 | MACQUARIE GLOBAL INCOME MANAGERS LLC | United States |
| ARSN 095 850 472 | MACQUARIE GLOBAL INFRASTRUCTURE TRUST | Australia |
| 5259497 | Macquarie Global Investments (UK) Limited | United Kingdom |
| Macquarie Global Multi Events Segregated Portfolio | Cayman Islands | |
| 194165 | MACQUARIE GLOBAL OPPORTUNITIES PARTNERS GP LTD | Cayman Islands |
| 131661697 | MACQUARIE GLOBAL OPPORTUNITIES PARTNERS INVESTMENT PTY | Australia |
| 4332814 | Macquarie Global Opportunities Partners LLC | United States |
| 110930964 | MACQUARIE GLOBAL PROPERTY FUNDS PTY LIMITED | Australia |
| LP461 | MACQUARIE GLOBAL RESOURCES MASTER HEDGE FUND LP | Virgin Islands, British |
| 1480825 | MACQUARIE GLOBAL RESOURCES OFFSHORE HEDGE FUND LIMITED | Virgin Islands, British |
| 168982 | MACQUARIE GLOBAL SERVICES PRIVATE LIMITED | India |
| 134 225 817 | MACQUARIE GLOBAL SOVEREIGN BOND FUND | Australia |
| 5488013 | Macquarie GP Limited | United Kingdom |
| 5718600 | Macquarie GP2 Limited | United Kingdom |
| 1952566 | MACQUARIE GROUP HOLDINGS NEW ZEALAND LIMITED | New Zealand |
| 124071478 | MACQUARIE GROUP HOLDINGS NO.3 PTY LTD | Australia |
| 200412291W | MACQUARIE GROUP HOLDINGS (SINGAPORE) PTE. LIMITED | Singapore |
| 6357992 | Macquarie Group Holdings (UK) No.1 Limited | United Kingdom |
| 6357999 | Macquarie Group Holdings (UK) No.2 Limited | United Kingdom |
| 7032532 | Macquarie Group Holdings (UK) No.4 Limited | United Kingdom |
| 6373218 | Macquarie Group Investments (UK) Limited | United Kingdom |
| 7438584 | Macquarie Group Investments (UK) No.2 Limited | United Kingdom |
| 122169279 | MACQUARIE GROUP LIMITED | Australia |
| 245979 | MACQUARIE GROUP NEW ZEALAND LIMITED | New Zealand |
| 116467031 | MACQUARIE GROUP SERVICES AUSTRALIA PTY LTD | Australia |
| FC027877 | MACQUARIE GROUP SERVICES AUSTRALIA PTY LTD (UK BRANCH) | United Kingdom |
| 200703288K | MACQUARIE GROUP SERVICES (SINGAPORE) PTE. LIMITED | Singapore |
| 124071389 | MACQUARIE GROUP (US) HOLDINGS NO.1 PTY LTD | Australia |
| Macquarie HiTIP Management I, Inc. | United States | |
| not registered | MACQUARIE HOLDINGS TRUST | Australia |
| 728003-3 | Macquarie Holdings (Canada) Ltd | Canada |
| MHM08101318A | MACQUARIE HOLDINGS (MEXICO), S.A. DE C.V. | Mexico |
| 200703280D 6309919 |
MACQUARIE HOLDINGS (SINGAPORE) PTE. LTD. Macquarie Holdings (UK) No.1 Limited |
Singapore United Kingdom |
| 2428034 | MACQUARIE HOLDINGS (U.S.A.) INC. | United States |
| MC-199805 | Macquarie Hong Kong Finance Limited | Cayman Islands |
| 133001751 | MACQUARIE I A RETURNS PTY LIMITED | Australia |
| 3075842 | MACQUARIE INC | United States |
| 116548880 | MACQUARIE INCOME INVESTMENTS LIMITED | Australia |
| ARSN 113 844 410 | MACQUARIE INDEX LINKED PROPERTY SECURITIES FUND | Australia |
| 58341C1/GBL | MACQUARIE INDIA HOLDINGS LIMITED | Mauritius |
| MACQUARIE INDIA INFRASTRUCTURE MANAGEMENT HOLDINGS PTE. | ||
| 200823500E | LIMITED | Singapore |
| 130542924 | MACQUARIE INDIA PROPERTIES PTY LIMITED | Australia |
| 130542924 | MACQUARIE INDIA PROPERTIES PTY LIMITED (Former Bank Group) | Australia |
| 130542924 | MACQUARIE INDIA PROPERTIES PTY LIMITED (Former Bank Group) | Australia |
| 58340C2/GBL | MACQUARIE INDIAN AIRPORTS TWO LIMITED | Mauritius |
| 71501918 | MACQUARIE INDONESIA HOLDINGS PTY LIMITED | Australia |
| C41803 | MACQUARIE INDUSTRIAL INVESTMENTS MALTA LIMITED | Malta |
| CS201221372 | MACQUARIE INFRASTRUCTURE ADVISORY (PHILIPPINES) INC. | Philippines |
| 418159-0 | Macquarie Infrastructure and Real Assets Canada Ltd. | Canada |
| 4346793 | Macquarie Infrastructure and Real Assets Inc. | United States |
| MCF090729QX6 | Macquarie Infrastructure and Real Assets México, S.A. de C.V. | Mexico |
| 84828437 | Macquarie Infrastructure and Real Assets Pty Limited | Australia |
| B138295 | Macquarie Infrastructure and Real Assets SA | Luxembourg |
| 135007199 | MACQUARIE INFRASTRUCTURE AND REAL ASSETS TRUST | Australia |
| 744 | Macquarie Infrastructure and Real Assets (Dubai) Limited | United Arab Emirates |
| 3976881 | Macquarie Infrastructure and Real Assets (Europe) Limited | United Kingdom |
| 499 798 742 | Macquarie Infrastructure and Real Assets (Europe) Limited (Spain) Macquarie Infrastructure and Real Assets (Europe) Limited, Paris Branch |
Spain France |
| 623285 | Macquarie Infrastructure and Real Assets (Hong Kong) Limited | Hong Kong |
| 784370-4 | Macquarie Infrastructure and Real Assets (Sales) Canada Ltd | Canada |
| MACQUARIE INFRASTRUCTURE AND REAL ASSETS (SINGAPORE) PTE. | ||
| 200513362E | LIMITED | Singapore |
| MACQUARIE INFRASTRUCTURE AND REAL ASSETS (SINGAPORE) PTE. | ||
|---|---|---|
| F16888 | LIMITED (NON HONG KONG COMPANY) | Hong Kong |
| 74311390 | MACQUARIE INFRASTRUCTURE FUNDS MANAGEMENT PTY LIMITED | Australia |
| 5755862 | Macquarie Infrastructure GP Limited | United Kingdom |
| CH-170.3.028.960-5/ | MACQUARIE INFRASTRUCTURE HOLDINGS AG (in liquidation) | Switzerland |
| 112772871 | MACQUARIE INFRASTRUCTURE MANAGEMENT (ASIA) PTY LIMITED | Australia |
| MACQUARIE INFRASTRUCTURE MANAGEMENT (ASIA) PTY LIMITED - | ||
| T06FC6823A | SINGAPORE BRANCH | Singapore |
| 3707788 72677993 |
MACQUARIE INFRASTRUCTURE MANAGEMENT (USA) INC MACQUARIE INFRASTRUCTURE NO.2 PTY LIMITED (IN LIQUIDATION) |
United States Australia |
| 4339673 | Macquarie Infrastructure Partners Canada GP Ltd. | Canada |
| 6372304 | Macquarie Infrastructure Partners II GP LLC | United States |
| 4088348 | MACQUARIE INFRASTRUCTURE PARTNERS INC | United States |
| 4106439 | Macquarie Infrastructure Partners U.S. GP LLC | United States |
| 46726 | Macquarie Infrastructure Philippines Limited | Bermuda |
| 29003 | MACQUARIE INFRASTRUCTURE PRIVATE TRUSTEE COMPANY LIMITED | Bermuda |
| 72652736 | MACQUARIE INFRASTRUCTURE PTY LIMITED (IN LIQUIDATION) | Australia |
| 41533 | MACQUARIE INFRASTRUCTURE REINSURANCE COMPANY LIMITED | Bermuda |
| 1460256 | Macquarie Insurance Services Ltd./Services D'Assurances Macquarie Ltée | Canada |
| 129 526 272 | MACQUARIE INSURANCE SOLUTIONS (BROKER) PTY LTD | Australia |
| 200505701K 117787C |
MACQUARIE INSURANCE (SINGAPORE) PTE. LTD. Macquarie International Advisory Limited |
Singapore Isle of Man |
| 92985263 | MACQUARIE INTERNATIONAL FINANCE LIMITED | Australia |
| 4125302 | Macquarie International Holdings Limited | United Kingdom |
| MACQUARIE INTERNATIONAL HOUSING AND LAND CONSULTING | ||
| 310000400294785 (Jing An) | (SHANGHAI) COMPANY LIMITED | China |
| MACQUARIE INTERNATIONAL HOUSING AND LAND CONSULTING | ||
| 310000400294785 (Jing An) | (SHANGHAI) COMPANY LIMITED (Former Bank Group) | China |
| LP013238 | Macquarie International Investment Holdings LP | United Kingdom |
| 108590996 | MACQUARIE INTERNATIONAL INVESTMENTS PTY LIMITED | Australia |
| 1802574 | Macquarie International Limited | United Kingdom |
| 104-84-05215 | MACQUARIE INTERNATIONAL LIMITED SEOUL BRANCH | Korea, Republic of |
| F11422 169002 |
MACQUARIE INTERNATIONAL LIMITED (NON HONG KONG COMPANY) MACQUARIE INTERNATIONAL NEW YORK PARKING CO |
Hong Kong Cayman Islands |
| MACQUARIE INTERNATIONAL PROPERTY SERVICES PTY. LIMITED (IN | ||
| 78980668 | DEREGISTRATION) | Australia |
| 169050 | MACQUARIE INTERNATIONAL SC INVESTMENTS CO | Cayman Islands |
| 502151 | Macquarie International Services Limited | Hong Kong |
| MACQUARIE INTERNATIONAL SMALL CAP ROADS CO. (In Liquidation) | Cayman Islands | |
| 4957256 | Macquarie Internationale Investments Limited | United Kingdom |
| 1.1E+14 | MACQUARIE INVESTMENT ADVISORY (BEIJING) CO LTD | China |
| 122939600 | MACQUARIE INVESTMENT HOLDINGS LIMITED | Australia |
| 112017919 FN 171881 t |
MACQUARIE INVESTMENT HOLDINGS NO.2 PTY LIMITED Macquarie Investment Management Austria Kapitalanlage AG |
Australia Austria |
| 2867003 | MACQUARIE INVESTMENT MANAGEMENT LTD | Australia |
| B108283 | MACQUARIE INVESTMENT MANAGEMENT S.à r.l. | Luxembourg |
| FN 350922 m | Macquarie Investment Management (Austria) GmbH | Austria |
| 41471 | MACQUARIE INVESTMENT MANAGEMENT (BERMUDA) LIMITED | Bermuda |
| WN1114216 | MACQUARIE INVESTMENT MANAGEMENT (NZ) LIMITED | New Zealand |
| 71745401 | MACQUARIE INVESTMENT SERVICES LIMITED | Australia |
| not registered | MACQUARIE INVESTMENT TRUST | Australia |
| 36631 5582630 |
MACQUARIE INVESTMENT (HONG KONG) LIMITED Macquarie Investments 1 Limited |
Hong Kong United Kingdom |
| 5708696 | Macquarie Investments 2 Limited | United Kingdom |
| 7012592 | Macquarie Investments 3 Limited | United Kingdom |
| 69416977 | MACQUARIE INVESTMENTS AUSTRALIA PTY LIMITED | Australia |
| HRB 74953 | Macquarie Investments Deutschland GmbH | Germany |
| 4092888 | Macquarie Investments LLC | United States |
| 200718499D | MACQUARIE INVESTMENTS SINGAPORE PTE. LIMITED | Singapore |
| 2009/012283/07 | Macquarie Investments US Inc. Macquarie Investments (Proprietary) Limited |
United States South Africa |
| WK-133809 | MACQUARIE INVESTMENTS (SINGAPORE) LIMITED | Cayman Islands |
| 4104671 | Macquarie Investments (UK) Limited | United Kingdom |
| 6373185 | Macquarie Investor Products (UK) Limited | United Kingdom |
| 119211433 | MACQUARIE INVESTORS PTY LTD | Australia |
| 459515-H | MACQUARIE IT SDN BHD (Former Non-Bank Group) | Malaysia |
| 107147222 | MACQUARIE JAPAN INFRASTRUCTURE NO.1 PTY LIMITED | Australia |
| MACQUARIE JAPAN INFRASTRUCTURE NO.1 PTY LIMITED (JAPAN | ||
| 0100-03-012002 | BRANCH) | Japan |
| 107147188 | MACQUARIE JAPAN INFRASTRUCTURE NO.2 PTY LIMITED | Australia |
| 0100-03-011932 | MACQUARIE JAPAN INFRASTRUCTURE NO.2 PTY LIMITED (JAPAN BRANCH) |
Japan |
| 117560282 | MACQUARIE JAPAN INFRASTRUCTURE NO.3 PTY LIMITED | Australia |
| 117560415 | MACQUARIE JAPAN INFRASTRUCTURE NO.4 PTY LIMITED | Australia |
| MACQUARIE JAPAN INFRASTRUCTURE NO.4 PTY LIMITED (JAPAN | ||
| 0100-03-012591 | BRANCH) | Japan |
| 110990184 | MACQUARIE JIN LIN PTY LIMITED | Australia |
|---|---|---|
| 122774289 | MACQUARIE KEMBLE WATER HOLDINGS PTY LTD (IN DEREGISTRATION) | Australia |
| 128743822 | MACQUARIE KEYAKIZAKA HOLDINGS PTY LIMITED (IN | Australia |
| 128743546 | MACQUARIE KIOIZAKA HOLDINGS PTY LIMITED - IN LIQUIDATION | Australia |
| 104-81-76330 | MACQUARIE KOREA ASSET MANAGEMENT CO., LTD. | Korea, Republic of |
| 104-81-95716 | MACQUARIE KOREA OPPORTUNITIES MANAGEMENT, LTD. | Korea, Republic of |
| 110356968 | MACQUARIE LAH PTY LIMITED | Australia |
| 5867292 | Macquarie Leasing Limited | United Kingdom |
| 2675032 | MACQUARIE LEASING NSW PTY. LIMITED | Australia |
| 2674982 | MACQUARIE LEASING PTY. LIMITED | Australia |
| 1E+14 | MACQUARIE LEASING (CHINA) CO LIMITED | China |
| 2997799 | Macquarie Leasing (UK) Limited | United Kingdom |
| 2574914 | MACQUARIE LEISURE SERVICES PTY LIMITED | Australia |
| RCSLUXB112.243 | MACQUARIE LEISUREWORLD LUXEMBOURG S.A.R.L | Luxembourg |
| OC363068 | Macquarie Lending & Investment Partners LLP | United Kingdom |
| 4708903 | MACQUARIE LG BIOMASS LLC | United States |
| 3963773 | MACQUARIE LIFE LIMITED | Australia |
| 114174168 | MACQUARIE LP FINANCE COMPANY PTY LIMITED | Australia |
| 130789767 | MACQUARIE MACAU HOLDINGS PTY LIMITED | Australia |
| MACQUARIE MANAGEMENT COMPANY (ISF) 3 PTY LIMITED (IN | ||
| 116208354 | DEREGISTRATION) | Australia |
| HRB 74075 | Macquarie Management GmbH | Germany |
| 099 813 028 | MACQUARIE MASTER GEARED GROWTH FUND | Australia |
| 090 079 413 | MACQUARIE MASTER SMALL COMPANIES FUND | Australia |
| 51142C1/GBL | MACQUARIE MAURITIUS INVESTMENTS LIMITED | Mauritius |
| 133000987 | MACQUARIE MDW INVESTMENTS PTY LTD | Australia |
| 2264114 | Macquarie MEAP Holding Ltd. | Canada |
| 108538218 | MACQUARIE MEDIA FUND MANAGEMENT PTY LIMITED | Australia |
| 639997-5 | Macquarie Metals and Energy Capital (Canada) Ltd. | Canada |
| 4921203 | Macquarie Meters 1 (UK) Limited | United Kingdom |
| 4920378 | Macquarie Meters 2 (UK) Limited | United Kingdom |
| 7361419 | Macquarie Meters 3 (UK) Limited | United Kingdom |
| 1344888 | Macquarie Meters 4 Limited | Hong Kong |
| Not Applicable | MACQUARIE MEXICO INFRASTRUCTURE MANAGEMENT, S.A. DE C.V. | Mexico |
| 477795 | Macquarie Mexico Real Estate Management, S.A. de C.V. | Mexico |
| 4508971 | MACQUARIE MICROSTAR HOLDINGS INC | United States |
| 95180564 | MACQUARIE MIDDLE EAST HOLDINGS PTY LIMITED | Australia |
| 115524028 | MACQUARIE MIDDLE EAST MANAGEMENT LIMITED | Australia |
| 130225222 | MACQUARIE MIP II INVESTMENT PTY LIMITED | Australia |
| Macquarie MLH, LLC | United States | |
| 120070788 | MACQUARIE MORTGAGES CANADA HOLDINGS PTY LIMITED | Australia |
| MACQUARIE MORTGAGES FUNDING TRUST 2007-1 | United States | |
| 57760175 | MACQUARIE MORTGAGES PTY LIMITED | Australia |
| 010473862-3438695 | MACQUARIE MORTGAGES USA INC | United States |
| 4627119 | MACQUARIE NB US HOLDINGS INC. | United States |
| 4606760 | MACQUARIE NE HOLDINGS INC. | United States |
| 200404077D | MACQUARIE NE HOLDINGS (SINGAPORE) PTE. LIMITED | Singapore |
| 6798497 | Macquarie New World Gaming Canada Ltd. | Canada |
| N/A | Macquarie New World Gaming Partnership | Canada |
| 334868 | MACQUARIE NEW ZEALAND LIMITED | New Zealand |
| Macquarie NM Management II, Inc. | United States | |
| Macquarie NM Management I, Inc | United States | |
| 6697718 | Macquarie Nominees Limited | United Kingdom |
| 123851436 | MACQUARIE NOOSA PTY LTD | Australia |
| 3481018 | Macquarie North America Ltd. | Canada |
| 107464620 | MACQUARIE NOTE INVESTMENTS PTY LIMITED | Australia |
| 8595711 | MACQUARIE NZ HOLDINGS PTY LIMITED | Australia |
| 30414 129 590 576 |
MACQUARIE OFFSHORE MASTER FUND LIMITED MACQUARIE OFFSHORE SERVICES PTY LTD |
Bermuda Australia |
| FS200805155 | Macquarie Offshore Services Pty Ltd - Philippine Branch | Philippines |
| 4207954 770975-7 |
MACQUARIE OIL AND GAS HOLDINGS INC Macquarie Oil Services Canada Ltd |
United States Canada |
| OF2150 | MACQUARIE ONE LIMITED | United Arab Emirates |
| Macquarie One LLC | United States | |
| 2934705 | MACQUARIE OPTIONS PTY. LIMITED | Australia |
| Macquarie PA TAP Management I, Inc. | United States | |
| MACQUARIE PARTNERSHIP FINANCE CO PTY LIMITED (IN | ||
| 111494172 | DEREGISTRATION) | Australia |
| MACQUARIE PARTNERSHIP INVESTMENT HOLDINGS PTY LIMITED (IN | ||
| 107464264 | LIQUIDATION) | Australia |
| 115251619 | MACQUARIE PAYMENTS INFRASTRUCTURE HOLDINGS PTY LIMITED | Australia |
| 130903249 | MACQUARIE PDP SPV HOLDCO PTY LIMITED | Australia |
| 6349353 | MACQUARIE PETERBOROUGH HOSPITAL INVESTMENTS LIMITED | United Kingdom |
| Macquarie Physical Metals (USA) Inc. | United States | |
| 93919727 | MACQUARIE PIB MANAGEMENT PTY LIMITED (IN DEREGISTRATION) | Australia |
| 115622449 | MACQUARIE PIB PROJECT CO A PTY LIMITED | Australia |
| 115622458 | MACQUARIE PIB PROJECT CO B PTY LIMITED | Australia |
|---|---|---|
| Macquarie Platinum Katella Inc. | United States | |
| 8327852 | Macquarie PMI LLC | United States |
| Macquarie PMI Manager LLC | United States | |
| 4768433 | Macquarie Poinsettia Inc. | United States |
| MACQUARIE PORTFOLIO INVESTMENTS NO.1 PTY LIMITED (IN | ||
| 107464586 | LIQUIDATION) MACQUARIE PORTFOLIO INVESTMENTS NO.2 PTY LIMITED (IN |
Australia |
| 107464540 | LIQUIDATION) | Australia |
| Macquarie Power LLC | United States | |
| 4235312 | Macquarie Power Management Ltd. | Canada |
| 133 273 426 | MACQUARIE PRECISION MARKETING PTY LTD | Australia |
| 0100-01-119544 | MACQUARIE PRECISION MARKETING (JAPAN) LIMITED | Japan |
| MACQUARIE PRECISION MARKETING (JAPAN) LIMITED (Former Non-Bank | ||
| 0199-01-119544 | Group) | Japan |
| 1356202 112561501 |
Macquarie Premium Funding Inc./Financement Primes Macquarie Inc. MACQUARIE PRINCIPAL PTY LIMITED |
Canada Australia |
| 200703284G | MACQUARIE PRINCIPAL (SINGAPORE) PTE. LTD. | Singapore |
| 82038328 | MACQUARIE PRISM PTY LIMITED | Australia |
| 116782006 | MACQUARIE PRIVATE CAPITAL MANAGEMENT LIMITED | Australia |
| B162599 | Macquarie Private Markets Fund GP S.à r.l | Luxembourg |
| B162637 | Macquarie Private Markets Fund S.C.A., SICAV-FIS | Luxembourg |
| 89987388 | MACQUARIE PRIVATE PORTFOLIO MANAGEMENT LIMITED | Australia |
| 1405135 | Macquarie Private Wealth Corp./Gestion Privee Macquarie Corp. | Canada |
| 1745409 74453393 |
Macquarie Private Wealth Inc./Gestion Privee Macquarie Inc. MACQUARIE PROJECT FINANCE PTY LIMITED |
Canada Australia |
| 8606826 | MACQUARIE PROPERTY CHINA PTY LIMITED | Australia |
| MACQUARIE PROPERTY DEVELOPMENT FINANCE PTY LIMITED (IN | ||
| 77727318 | DEREGISTRATION) | Australia |
| AK640307 | MACQUARIE PROPERTY FINANCE LIMITED | New Zealand |
| 76560917 | MACQUARIE PROPERTY FINANCE MANAGEMENT PTY LIMITED | Australia |
| 65678962 | MACQUARIE PROPERTY INTERNATIONAL PTY LIMITED | Australia |
| 105453736 | MACQUARIE PROPERTY INVESTMENT MANAGEMENT 2 PTY LIMITED (IN DEREGISTRATION) |
Australia |
| MACQUARIE PROPERTY INVESTMENT MANAGEMENT 5 PTY LIMITED (IN | ||
| 120957333 | DEREGISTRATION) | Australia |
| MACQUARIE PROPERTY INVESTMENT MANAGEMENT 6 PTY LIMITED (IN | ||
| 120957360 | DEREGISTRATION) | Australia |
| MACQUARIE PROPERTY INVESTMENT MANAGEMENT HOLDINGS PTY | ||
| 88772203 64904169 |
LIMITED MACQUARIE PROPERTY (OBU) PTY LIMITED |
Australia Australia |
| 113621024 | MACQUARIE QUEEN STREET PTY LIMITED | Australia |
| 142 083 092 | MACQUARIE RADAR HOLDINGS PTY LIMITED | Australia |
| 730170-7 | Macquarie Rail Canada Limited | Canada |
| 4039167 | MACQUARIE RAIL INC. | United States |
| 4484981 | MACQUARIE RAIL MANAGEMENT LLC | United States |
| 115220123 4504560 |
MACQUARIE READING PTY LIMITED MACQUARIE REAL ESTATE ADVISORY SERVICES LLC |
Australia United States |
| MACQUARIE REAL ESTATE AFRICA INVESTMENTS PTY LIMITED - IN | ||
| 129 130 963 | LIQUIDATION | Australia |
| 623285 | MACQUARIE REAL ESTATE ASIA LIMITED (Former Bank Group) | Hong Kong |
| MACQUARIE REAL ESTATE ASIA NOMINEES PTY LIMITED (IN | ||
| 95918068 0199-01-089825 |
DEREGISTRATION) Macquarie Real Estate Capital KK (Former Bank Group) |
Australia Japan |
| 0100-01-089825 | MACQUARIE REAL ESTATE CAPITAL KK (In Liquidation) | Japan |
| 130364699 | MACQUARIE REAL ESTATE DEVELOPMENT CAPITAL (AUS) PTY LIMITED | Australia |
| MACQUARIE REAL ESTATE EQUITY FUND NO. 8 PTY LIMITED (IN | ||
| 132468690 | DEREGISTRATION) | Australia |
| 3455302 2920528 |
MACQUARIE REAL ESTATE FINANCE INC MACQUARIE REAL ESTATE INC |
United States United States |
| 6421191 | Macquarie Real Estate Investments Europe Limited | United Kingdom |
| 104-81-74725 | MACQUARIE REAL ESTATE KOREA LIMITED (Former Bank Group) | Korea, Republic of |
| 104-81-74725 | MACQUARIE REAL ESTATE KOREA LTD. | Korea, Republic of |
| 223524 | MACQUARIE REAL ESTATE OPPORTUNITIES MASTER FUND | Cayman Islands |
| 127762010 | Macquarie Real Estate Services Pty Limited | Australia |
| 200509669E 4326812 |
MACQUARIE REAL ESTATE SINGAPORE PTE. LIMITED Macquarie Real Estate Telecom Holdings LLC |
Singapore United States |
| HRB 86922 | Macquarie Real Invest GmbH (in liquidation) | Germany |
| 102368052 | MACQUARIE REALTY SERVICES AUSTRALIA PTY LIMITED - IN | Australia |
| 4454539 | MACQUARIE RENEWABLE ENERGY INC | United States |
| 112147350 | MACQUARIE RENEWABLES HOLDINGS PTY LIMITED | Australia |
| 112588664 | MACQUARIE RENEWABLES MANAGEMENT PTY LIMITED (IN DEREGISTRATION) |
Australia |
| 125098179 | MACQUARIE RESIDENTIAL MANAGEMENT PTY LTD | Australia |
| MACQUARIE RESIDENTIAL TRUST | Australia | |
| 125098339 | MACQUARIE RESIDENTIAL (STATE) MANAGEMENT PTY LTD | Australia |
| 672846-4 | Macquarie Resource Capital Canada Ltd. | Canada |
|---|---|---|
| 130 224 949 | MACQUARIE RESOURCES INVESTMENT MANAGEMENT PTY LIMITED | Australia |
| 7055620 | Macquarie Restorations Limited | United Kingdom |
| 998584 | Macquarie Retail Management (Asia) Limited | Hong Kong |
| 1273174 | MACQUARIE RETAIL REAL ESTATE MANAGEMENT LIMITED | Hong Kong |
| MACQUARIE RETAIL REAL ESTATE MANAGEMENT LIMITED (Former Bank | ||
| 1273174 | Group) | Hong Kong |
| 6219852 | MACQUARIE RISK ADVISORY SERVICES PTY LIMITED | Australia |
| 3898413 | MACQUARIE RISK MANAGEMENT ADVISORY PTY LIMITED | Australia |
| 63267032 | MACQUARIE SCIENCE HOLDINGS PTY LIMITED | Australia |
| 728007-6 | Macquarie Securities Financing Ltd (Canada) | Canada |
| 104-81-99444 | MACQUARIE SECURITIES KOREA LIMITED | Korea, Republic of |
| 3435443 | MACQUARIE SECURITIES MANAGEMENT PTY LIMITED | Australia |
| 2006/023546/07 | MACQUARIE SECURITIES SOUTH AFRICA (PROPRIETARY) LIMITED | South Africa |
| 2832126 | MACQUARIE SECURITIES (AUSTRALIA) LIMITED | Australia |
| MACQUARIE SECURITIES (AUSTRALIA) LIMITED SHANGHAI | ||
| 3.10001E+14 | REPRESENTATIVE OFFICE | China |
| 1748511 | MACQUARIE SECURITIES (NZ) LIMITED | New Zealand |
| 1.05539E+11 | MACQUARIE SECURITIES (THAILAND) LIMITED | Thailand |
| 7283920 | Macquarie Securities (UK) Limited | United Kingdom |
| 3297336 | MACQUARIE SECURITISATION LIMITED | Australia |
| 641342 | MACQUARIE SECURITISATION (HONG KONG) LIMITED | Hong Kong |
| 75289002 | MACQUARIE SECURITISATION (OBU) PTY LIMITED | Australia |
| 010473862-3438695 | Macquarie Securitization USA LLC | United States |
| 496224 | MACQUARIE SERVICES (HONG KONG) LIMITED | Hong Kong |
| MSM081013GR9 | Macquarie Services (Mexico), S.A. de C.V. | Mexico |
| Macquarie Services (USA) Partners | United States | |
| 11.988.470/001-21 | Macquarie Servicos Agricolas Limitada | Brazil |
| 11.988.470/001-21 | Macquarie Servicos Agricolas Limitada (Former Bank Group) | Brazil |
| 126143860 | MACQUARIE SGT PTY LIMITED | Australia |
| 125336101 | MACQUARIE SHENTON PTY LIMITED | Australia |
| 127761871 | MACQUARIE SHEP INVESTMENTS PTY LIMITED | Australia |
| Macquarie Sierra Investment Holdings Inc. | United States | |
| 96705341 | MACQUARIE SOUTH KINGSCLIFF PTY LIMITED (In Liquidation) | Australia |
| 75295608 | MACQUARIE SPECIALISED ASSET MANAGEMENT 2 LIMITED | Australia |
| 87382965 | MACQUARIE SPECIALISED ASSET MANAGEMENT LIMITED | Australia |
| EC#39329 | MACQUARIE SPECIALISED ASSET MANAGEMENT (BERMUDA) LIMITED | Bermuda |
| 125 574 389 | MACQUARIE SPECIALIST INVESTMENTS LENDING LIMITED | Australia |
| Macquarie Storage Investments Inc. | United States | |
| MACQUARIE STRUCTURED AND SPECIALIST INVESTMENTS HOLDINGS | ||
| 86587635 | PTY LIMITED | Australia |
| 583316 | MACQUARIE STRUCTURED PRODUCTS ASIA LIMITED | Virgin Islands, British |
| MACQUARIE STRUCTURED PRODUCTS ASIA LIMITED (NON HONG KONG | ||
| F14239 | COMPANY) | Hong Kong |
| 8607074 | MACQUARIE STRUCTURED PRODUCTS AUSTRALIA PTY LIMITED | Australia |
| HRB 87430 | Macquarie Structured Products (Europe) GmbH | Germany |
| 65747417 | MACQUARIE STRUCTURED PRODUCTS (INTERNATIONAL) LIMITED | Australia |
| Macquarie Structured Products (International) Limited (Registered as an | ||
| 2009/012427/10 | external Company in South Africa) | South Africa |
| 489855 | Macquarie Structured Securities (Europe) Public Limited Company | Ireland |
| 8607038 | MACQUARIE SWAN STREET PTY LIMITED | Australia |
| 92034403 | MACQUARIE SYNDICATE MANAGEMENT PTY LTD (Former Bank Group) | Australia |
| 92034403 | MACQUARIE SYNDICATE MANAGEMENT PTY LTD (IN DEREGISTRATION) | Australia |
| 62060879 | MACQUARIE SYNDICATION (NO. 7) PTY. LIMITED | Australia |
| 65309033 | MACQUARIE SYNDICATION (NO.12) PTY LIMITED | Australia |
| 4668277 | MACQUARIE TCG (USA) LLC | United States |
| 392769-T | MACQUARIE TECHNOLOGIES (M) SDN BHD | Malaysia |
| 392769-T | MACQUARIE TECHNOLOGIES (M) SDN BHD (Former Non-Bank Group) | Malaysia |
| C41050 | MACQUARIE TECHNOLOGY HOLDINGS (MALTA) LIMITED | Malta |
| 80218846 | MACQUARIE TECHNOLOGY INVESTMENTS LIMITED | Australia |
| 680639-2 | Macquarie Technology Services (Canada) Ltd. | Canada |
| 680639-2 | Macquarie Technology Services (Canada) Ltd. (Former Non-Bank Group) | Canada |
| 80472751 | MACQUARIE TECHNOLOGY VENTURES PTY LTD | Australia |
| 8606906 | MACQUARIE THIRTY-THIRD AVIATION LEASING PTY. LIMITED | Australia |
| 9642933 | MACQUARIE TOURISM & LEISURE PTY LIMITED (IN LIQUIDATION) | Australia |
| Macquarie Townsend LLC | United States | |
| 4598172 | MACQUARIE TRADING HOLDINGS INC. | United States |
| 4240237 | MACQUARIE TRADING SERVICES INC | United States |
| 0100-01-119358 | MACQUARIE TREASURY AND COMMODITIES (JAPAN) LIMITED | Japan |
| 28999 | MACQUARIE TREASURY MANAGEMENT LTD. | Bermuda |
| HRB 76979 | Macquarie Treuvermoegen GmbH | Germany |
| ARSN 093 394 926 | MACQUARIE TRUE INDEX AUSTRALIAN EQUITIES FUND | Australia |
| ARSN 103 324 821 | MACQUARIE TRUE INDEX AUSTRALIAN SHARE FUND | Australia |
| ARSN 118 888 547 | MACQUARIE TRUE INDEX CASH FUND | Australia |
| ARSN 093 394 793 ARSN 099 117 558 |
MACQUARIE TRUE INDEX FIXED INTEREST MACQUARIE TRUE INDEX GLOBAL BOND FUND |
Australia Australia |
| 134 225 915 | MACQUARIE TRUE INDEX GLOBAL INFRASTRUCTURE SECURITIES FUND | Australia |
|---|---|---|
| 121530041 | MACQUARIE TRUE INDEX INTERNATIONAL EQUITIES FUND | Australia |
| ARSN 093 394 515 | MACQUARIE TRUE INDEX LISTED PROPERTY | Australia |
| ARSN 100 056 595 | MACQUARIE TRUE INDEX PLUS AUSTRALIAN EQUITY | Australia |
| 6697750 | Macquarie Trustees Limited | United Kingdom |
| 2007/035961/07 | Macquarie Trustees South Africa (Proprietary) Limited | South Africa |
| MACQUARIE TWELFTH AVIATION LEASING PTY. LIMITED (IN | ||
| 8607029 | DEREGISTRATION) | Australia |
| 8607109 | MACQUARIE TWENTIETH AVIATION LEASING PTY. LIMITED | Australia |
| MACQUARIE TWENTY-SEVENTH AVIATION LEASING PTY. LIMITED - IN | ||
| 8606844 | LIQUIDATION | Australia |
| 2579363 | Macquarie UK Holdings Limited | United Kingdom |
| 8248121 | Macquarie UK Power Investments Limited | United Kingdom |
| 115219988 | MACQUARIE UK PROPERTY MANAGEMENT PTY LIMITED | Australia |
| 8253776 | Macquarie UK Rail Limited | United Kingdom |
| Macquarie US Gas Supply LLC | United States | |
| Macquarie US Trading LLC | United States | |
| 261723 | MACQUARIE VEHICLES (NZ) LIMITED | New Zealand |
| 4517192 | Macquarie Veridian Cove Inc. | United States |
| HRB 232580 | Macquarie Verwaltungs GmbH | Germany |
| 4474070 | Macquarie Water Heater Rentals Holdings 2 LLC | United States |
| 4370515 | Macquarie Water Heater Rentals Holdings LLC | United States |
| 4370511 | Macquarie Water Heater Rentals LLC | United States |
| 4684158 | MACQUARIE WATERFRONT PEARL INC. | United States |
| 168966 | MACQUARIE WEALTH MANAGEMENT (INDIA) PRIVATE LIMITED | India |
| 213181 | Macquarie Zhaopin Holdings Limited | Cayman Islands |
| 116308466 | MACQUARIE (171 COLLINS ST) PTY LIMITED | Australia |
| 115007817 | MACQUARIE (454 COLLINS STREET) PTY LIMITED - in liquidation | Australia |
| 198500776M | MACQUARIE (ASIA) PTE LTD. | Singapore |
| 27230949 | MACQUARIE (ASIA) PTE LTD. TAIWAN BRANCH | Taiwan |
| 119105896 | MACQUARIE (COLEMANS) PTY LIMITED (IN DEREGISTRATION) | Australia |
| 6612064 | Macquarie (Europe) Nominees Limited | United Kingdom |
| 200228 | MACQUARIE (HK) FINANCIAL SERVICES LIMITED | Hong Kong |
| 0100-01-068766 | MACQUARIE (JAPAN) LIMITED | Japan |
| 110256418 | MACQUARIE (PYRMONT) PTY LIMITED (In Liquidation) | Australia |
| SC280388 | Macquarie (Scotland) GP Limited | United Kingdom |
| 127762038 | MACQUARIE (STUD ROAD) PTY LIMITED | Australia |
| 6287793 | Macquarie (UK) Group Services Limited | United Kingdom |
| 6010500 | MAIL HOLDINGS PTY LIMITED | Australia |
| 66195 | MALL Jet Partners LDC | Cayman Islands |
| 86503 | MALL Partners II Limited | Cayman Islands |
| CR-93169 | MALL Partners III Limited | Cayman Islands |
| 66690 | MALL Partners I, LDC | Cayman Islands |
| 54786 | MALL/CL Air Leasing Cooperative Association | (Netherlands Antilles) |
| MAP HOLDING TRUST | Australia | |
| MC-257951 | MAP II GP Limited | Cayman Islands |
| 122169279 | Maquarie Group Employee Retained Equity Plan (MEREP Trust) | Australia |
| 90975456 | MARGIN LENDING NOMINEES PTY LIMITED | Australia |
| 500773510 RCS Paris | MASA (France) SARL | France |
| 500773726 RCS Paris | MASB (France) SARL | France |
| 509 298 634 RCS Paris | MASC (France) SARL | France |
| 446197 | MASL Ireland (10) Limited | Ireland |
| 446196 | MASL Ireland (11) Limited | Ireland |
| 446195 | MASL Ireland (12) Limited | Ireland |
| 446206 | MASL Ireland (13) Limited | Ireland |
| 446207 | MASL Ireland (14) Limited | Ireland |
| 446210 | MASL Ireland (17) Limited | Ireland |
| 446187 | MASL Ireland (18) Limited | Ireland |
| 446188 | MASL Ireland (19) Limited | Ireland |
| 446189 | MASL Ireland (20) Limited | Ireland |
| 446190 | MASL Ireland (21) Limited | Ireland |
| 446191 | MASL Ireland (22) Limited | Ireland |
| 446192 | MASL Ireland (23) Limited | Ireland |
| 447475 | MASL Ireland (24) Limited | Ireland |
| 447474 | MASL Ireland (25) Limited | Ireland |
| 447987 | MASL Ireland (26) Limited | Ireland |
| 448204 | MASL Ireland (27) Limited | Ireland |
| 447980 | MASL Ireland (28) Limited | Ireland |
| 447981 | MASL Ireland (29) Limited | Ireland |
| 446205 | MASL Ireland (2) Limited | Ireland |
| 447982 | MASL Ireland (30) Limited | Ireland |
| 447983 | MASL Ireland (31) Limited | Ireland |
| 447984 | MASL Ireland (32) Limited | Ireland |
| 447985 | MASL Ireland (33) Limited | Ireland |
| 451456 451173 |
MASL Ireland (34) Limited MASL Ireland (35) Limited |
Ireland Ireland |
| 452129 | MASL Ireland (36) Limited | Ireland |
|---|---|---|
| 452130 | MASL Ireland (37) Limited | Ireland |
| 453683 | MASL Ireland (38) Limited | Ireland |
| 453684 | MASL Ireland (39) Limited | Ireland |
| 446204 | MASL Ireland (3) Limited | Ireland |
| 446203 | MASL Ireland (4) Limited | Ireland |
| 446202 | MASL Ireland (5) Limited | Ireland |
| 446201 | MASL Ireland (6) Limited | Ireland |
| 446200 | MASL Ireland (7) Limited | Ireland |
| 446199 | MASL Ireland (8) Limited | Ireland |
| 446198 | MASL Ireland (9) Limited | Ireland |
| 102964312 | MASL NO. 2 PTY LIMITED (IN DEREGISTRATION) | Australia |
| 556734-5524 | MASL Sweden (1) AB | Sweden |
| 556734-6068 | MASL Sweden (2) AB | Sweden |
| 556734-9310 | MASL Sweden (3) AB | Sweden |
| 556734-9328 | MASL Sweden (4) AB | Sweden |
| 556741-2498 | MASL Sweden (7) AB | Sweden |
| 556741-2506 | MASL Sweden (8) AB | Sweden |
| 6386342 | MASL UK (1) Limited | United Kingdom |
| LL08078 | MASL (Labuan) Limited | Malaysia |
| 8607092 | MBL REALTY INVESTMENT MANAGEMENT PTY. LIMITED | Australia |
| 1330132 | MBL RIVER LINKS PTY LIMITED (IN DEREGISTRATION) | Australia |
| 363941 | MC CAPITAL GROUP | Ireland |
| 69343693 | MC CAPITAL HOLDINGS NO.1 PTY LIMITED | Australia |
| 69343791 | MC CAPITAL HOLDINGS NO.2 PTY LIMITED | Australia |
| 146 752 329 | MC EDUCATION HOLDINGS PTY LTD | Australia |
| MC-207028 | MCA ACQUISITION CORP. | Cayman Islands |
| MC-207027 | MCA ACQUISITION HOLDINGS CORP. | Cayman Islands |
| 78223382 | MCF LEASING PTY LIMITED | Australia |
| 977935 | MCNEE HOLDINGS PTY LIMITED (IN LIQUIDATION) | Australia |
| 4526019 | MCP Solar Assets Partners I LLC | United States |
| 452697 | MCP Solar Assets Partners II LLC | United States |
| 4625932 | MEF US HOLDINGS INC. | United States |
| 4866246 | MEIF (UK) Limited | United Kingdom |
| 132 468 734 | MELRO HOLDCO PTY LIMITED | Australia |
| 132 468 734 | MELRO HOLDCO PTY LIMITED (Former Bank Group) | Australia |
| 2223765 | Merino Air Leasing, Inc. | United States |
| 84781555 | MERIT MANAGEMENT NO.1 PTY LIMITED - IN LIQUIDATION | Australia |
| 84781493 | MERIT NO.1 PTY LIMITED | Australia |
| 0 | MERIT TRUST NO. 2 | Australia |
| 140390629 | MGI PROTECTED ASSET FINANCING NO.1 PTY LTD (In Deregistration) | Australia |
| 200708397H | MGJ HOLDINGS PTE. LIMITED | Singapore |
| 200708397H | MGJ HOLDINGS PTE. LIMITED (Former Bank Group) | Singapore |
| 4346896 | MGOP Feeder I GP LLC | United States |
| 44351 | MIAC GROUP LTD | Bermuda |
| 4661999 | MIAC HOLDINGS (US) INC. | United States |
| 44352 | MIAC REINSURANCE LTD | Bermuda |
| 4662005 | MIAC SERVICES INC. | United States |
| 4323418 | MIF US Investment Holdings LLC | United States |
| 4323415 | MIF US INVESTMENT PARTNERSHIP | United States |
| 4261648 | MIHI LLC | |
| United States | ||
| 0100-02-032951 | MJL ACE LTD. | Japan |
| 0100-02-032952 | MJL BAY LTD. | Japan |
| 8108745 | MMT I LLC | United States |
| 010473862-3438695 | MMUSA Warehouse No. 1 LLC | United States |
| 3613926 | Mongoose Acquisition LLC | United States |
| 103410297 | MONGOOSE PTY LTD | Australia |
| WK-133920 86587608 |
Monkwell Investments Limited MONT PARK DEVELOPMENT COMPANY PTY LIMITED |
Cayman Islands Australia |
| Moonstone Lien Investments, LLC | United States | |
| Not Registered | MOORE STREET TRUST | Australia |
| 8108683 | Mornington Funding 2012-1 PLC | United Kingdom |
| 8108607 | Mornington Holding Limited | United Kingdom |
| 460268 | MPFI Investments 1 Limited (in liquidation) | Ireland |
| 451722 | MPFI INVESTMENTS LIMITED | Ireland |
| MC-162571 | MQ ABSOLUTE RETURN STRATEGIES - ASIA | Cayman Islands |
| MQ Absolute Return Strategies - Asia LLC | United States | |
| 61160558 | MQ CAPITAL PTY LIMITED | Australia |
| MQ HELIX UK Market Strategy 1 L.P. | Guernsey | |
| 92552611 | MQ PORTFOLIO MANAGEMENT LIMITED | Australia |
| 86438995 | MQ SPECIALIST INVESTMENT MANAGEMENT LIMITED | Australia |
| U51909MH2012FTC226545 | MQG Commodities (India) Private Limited | India |
| 109837783 | MREEF SSF MANAGEMENT LIMITED | Australia |
| 129962269 | MSI CASH TRUST | Australia |
| MUNICIPAL AND INFRASTRUCTURE ASSURANCE CORPORATION (Sold | ||
|---|---|---|
| 15/06/2011) | United States | |
| 117100615 FN215363K |
MUSASHI INVESTOR PTY LIMITED (IN LIQUIDATION) MXMM GmbH |
Australia Austria |
| 3337675 | NANWAY NOMINEES PTY LIMITED | Australia |
| 451296 | NCH Symphony Limited (in voluntary liquidation) | Ireland |
| 4107909 | NDI NO.1 LLC | United States |
| B132283 | New World Gaming International S.a.r.l | Luxembourg |
| 124392829 | NORTH-WEST EXPRESSWAY PTY LIMITED | Australia |
| BC0883591 | NWG Canada Investments Ltd. | Canada |
| 157723441 | NZ MORTGAGES PTY LTD | Australia |
| CR-114570 | O'Farrell Leasing (Holdings) Ltd. | Cayman Islands |
| 109649292 | OLF, LLC OLICC TECHNOLOGIES PTY LTD |
United States Australia |
| 79630603 | OMNI LEISURE OPERATIONS PTY LIMITED (In Liquidation) | Australia |
| One Call Debt Help LLC | United States | |
| 131 233 719 | OPEN BROADBAND AUSTRALIA PTY LTD | Australia |
| 113519823 | OT HOLDINGS PTY LIMITED | Australia |
| 115771992 | OUTPLAN PTY LIMITED | Australia |
| 205391 | OW Funding Limited | Cayman Islands |
| 71982244 | PACIFIC RIM OPERATIONS LIMITED | Australia |
| 4444506 | PADUA MG HOLDINGS LLC | United States |
| not registered 107805452 |
PARENTS AT WORK INVESTMENT UNIT TRUST PARENTS@WORK PTY LIMITED |
Australia Australia |
| 134 011 313 | PARETO GLOBAL RISK ADJUSTED ALPHA TRUST | Australia |
| 490262 | Pathglade Limited (in voluntary liquidation) | Ireland |
| PELICAN WAREHOUSE TRUST NO.1 | Australia | |
| PEREGRINE SELLER TRUST | Australia | |
| PEREGRINE SERIES TRUST 2009-1 | Australia | |
| Petro Tradelinks Inc. | United States | |
| Pipeline Rehabilitation No.4 Trust | Australia | |
| C205320 | PIRANGUT CYPRUS NO. 1 LIMITED (Former Bank Group) | Cyprus |
| C205320 C205304 |
PIRANGUT CYPRUS NO. 1 LIMITED (IN LIQUIDATION) PIRANGUT CYPRUS NO. 2 LIMITED (Former Bank Group) |
Cyprus Cyprus |
| C205304 | PIRANGUT CYPRUS NO. 2 LIMITED (IN LIQUIDATION) | Cyprus |
| 117100599 | PLEIADES INVESTOR PTY LIMITED | Australia |
| 80106412 | Polar Finance Pty Limited | Australia |
| 8288421 | Poseidon InvestCo GP Limited | United Kingdom |
| 2382149 | Presidio Partners LLC | United States |
| Prodigal Asian Long Short Fund | Australia | |
| 124071405 09.03.1.67.21972 |
PROP CO NO. 1 PTY LTD (IN DEREGISTRATION) PT Macquarie Capital Securities Indonesia |
Australia Indonesia |
| 09.03.1.05.73897 | PT MACQUARIE COMMODITIES INDONESIA | Indonesia |
| 09.03.1.70.68374 | PT MPM INDONESIA | Indonesia |
| 09.03.1.46.66473 | PT WANA HIJAU NUSANTARA (Former Non-Bank Group) | Indonesia |
| 111086705 | PTK INVESTOR PTY LIMITED (IN DEREGISTRATION) | Australia |
| not registered 64904212 |
PUMA GLOBAL TRUST NO.5 PUMA MANAGEMENT PTY LIMITED |
Australia Australia |
| not registered | PUMA MASTER FUND P-10 | Australia |
| no registered | PUMA MASTER FUND P-11 | Australia |
| PUMA MASTER FUND P-8 | Australia | |
| PUMA MASTER FUND P-9 | Australia | |
| PUMA MASTER FUND S-2 | Australia | |
| PUMA MASTERFUND H-1 | Australia | |
| PUMA MASTERFUND P-13 PUMA MASTERFUND P-14 |
Australia Australia |
|
| not registered | PUMA MASTERFUND P-15 | Australia |
| PUMA MASTERFUND P-16 | Australia | |
| PUMA MASTERFUND P-17 | Australia | |
| PUMA Masterfund P-18 | Australia | |
| PUMA Masterfund P-19 PUMA MASTERFUND P12 |
Australia Australia |
|
| PUMA Masterfund S-10 | Australia | |
| PUMA MASTERFUND S-11 | Australia | |
| PUMA Masterfund S-12 | Australia | |
| PUMA Masterfund S-13 | Australia | |
| PUMA MASTERFUND S-5 PUMA MASTERFUND S-6 |
Australia Australia |
|
| not registered | PUMA Masterfund S-7 | Australia |
| PUMA MASTERFUND S-8 | Australia | |
| PUMA Masterfund S-9 | Australia | |
| PUMA MASTERFUND S3 | Australia | |
| not registered | PUMA SUB FUND CRS | Australia |
| Not registered not registered |
PUMA SUB FUND GSF PUMA SUB FUND SPAN |
Australia Australia |
| PUMA SUBFUND B-1 | Australia | |
| PUMA SUBFUND COMMBANK | Australia | |
|---|---|---|
| 511 507 527 RCS Grenoble | Pure Montain Company S.A.S. | France |
| 118472441 | RANSHAR PTY LTD - IN LIQUIDATION | Australia |
| 4644365 | RED HOLLOW WIND LLC | United States |
| 2.00902E+11 | Regal Capital Advisors, LLC | United States |
| Regal Capital Group, LLC | United States | |
| not registered | REGIONAL MEDIA TRUST | Australia |
| Relational Technology Services, Inc. | United States | |
| 150 449 684 | RELOAD WIND FARM PTY LTD | Australia |
| RELOAD WIND FARM TRUST | Australia | |
| 124947388 | RESF NO. 1 PTY LTD | Australia |
| 200921086K | RESOURCE MARINE PTE. LIMITED | Singapore |
| 148013316 | RESOURCE MARINE PTE. LIMITED (Australian Representative Office) | Australia |
| 200921086K | RESOURCE MARINE PTE. LIMITED (FORMER NON-BANK) | Singapore |
| FC029978 | Resource Marine Pte. Limited (UK Establishment) | United Kingdom |
| 144 871 554 | RESOURCES HOLDINGS NO.1 PTY LIMITED (IN DEREGISTRATION) | Australia |
| Retirement Financial Services, Inc. | United States | |
| 114 594 080 | REVERSE MORTGAGE SERVICES PTY LTD | Australia |
| 153718079 | RISK ADVICE SPECIALISTS PTY LTD | Australia |
| 114 530 139 | RISMARK INTERNATIONAL FUNDS MANAGEMENT LTD | Australia |
| Rismark International Funds Management Trust | Australia | |
| 5129984 | ROSS PLASTICS PTY LTD (IN DEREGISTRATION) | Australia |
| CH -150.4.000.882-8 | Rossignol GmbH | Switzerland |
| P.I. 00351680079 | Rossignol Lange S.R.L. | Italy |
| FN Innsbruck 30814 | Rossignol Osterreich GmbH | Austria |
| 161930029 | Rossignol Sci S.R.L. | Italy |
| Rossignol Ski Company, Incorporated | United States | |
| HRB 7401 | Rossignol Ski Deutschland GmbH | Germany |
| 48603C1/GBL | SAN LING INVESTMENTS LIMITED | Mauritius |
| 58639688 | SEDULOUS INVESTMENTS PTY LIMITED | Australia |
| 3477679 | Service Line Warranties of America, Inc. | United States |
| Service Line Warranties of America, Inc. | United States | |
| 3484259 | SHALINA PTY LIMITED (IN DEREGISTRATION) | Australia |
| 4721411 | SHELBY ENERGY HOLDINGS, LLC | United States |
| 464139 | Shichi Limited | Ireland |
| 2008/022345/07 | Shieldco Securities S1 (Pty) Limited | South Africa |
| 7163380 | SiCURAnt InvestCo GP Limited | United Kingdom |
| France | ||
| 606 320 174 RCS ANNECY | Skis Dynastar S.A.S. | |
| 835447 | Skis Dynastar, Inc | United States |
| B 08 - 266140 | Skis Rossignol de Espana, S.L. | Spain |
| 056 502 958 RCS | ||
| GRENOBLE | Skis Rossignol S.A.S. | France |
| SMART ABS Series 2012-2US Trust | Australia | |
| to be incorporated | SMART ABS Series 2012-3EQ Trust | Australia |
| not registered | SMART ABS Series 2012-4US Trust | Australia |
| SMART ANZ WAREHOUSE Trust | Australia | |
| SMART J WAREHOUSE TRUST | Australia | |
| SMART MBL WAREHOUSE TRUST | Australia | |
| SMART RBS WAREHOUSE TRUST | Australia | |
| SMART RESIDUAL VALUE SERIES TRUST | Australia | |
| SMART SERIES 2007-3E TRUST | Australia | |
| SMART SERIES 2008-1E TRUST | Australia | |
| SMART SERIES 2008-2 TRUST | Australia | |
| SMART SERIES 2008-3 TRUST | Australia | |
| SMART Series 2009-1 Trust | Australia | |
| SMART Series 2010-1US Trust | Australia | |
| unlisted not registered |
SMART Series 2010-2 Trust SMART SERIES 2011-1US TRUST |
Australia Australia |
| not registered | SMART Series 2011-2US Trust | Australia |
| SMART Series 2011-3 Trust | Australia | |
| SMART Series 2011-4US Trust | Australia | |
| unlisted | SMART Series 2012-1US Trust | Australia |
| 320 114 937 | Societe Civile Immobiliere Promo-Star | France |
| Specialty Finance Holdings, Inc. | United States | |
| 3421628 | Stanyan Leasing Corporation | United States |
| HRB80040 | Structural Support Systems Germany GmbH | Germany |
| 128219330 | SUREPARK HOLDINGS PTY LIMITED (Former Bank Group) | Australia |
| 127761960 | SurePark PTY LTD | Australia |
| MC189031 | SYNTHETIC ASSET FUNDING ENTITY 1 LIMITED | Cayman Islands |
| MC189031 | SYNTHETIC ASSET FUNDING ENTITY 1 LIMITED (Former Non-Bank Group) | Cayman Islands |
| MC189033 | SYNTHETIC ASSET FUNDING ENTITY 2 LIMITED | Cayman Islands |
| MC189033 | SYNTHETIC ASSET FUNDING ENTITY 2 LIMITED (Non-Bank Group) | Cayman Islands |
| MC189031 | SYNTHETIC ASSET FUNDING ENTITY 3 LIMITED | Cayman Islands |
| MC189031 | SYNTHETIC ASSET FUNDING ENTITY 3 LIMITED (Former Non-Bank Group) | Cayman Islands |
| TA Trust | Australia |
| 6740344 | Tank Devils Ltd | United Kingdom |
|---|---|---|
| 4439050 | TAURUS AEROSPACE GROUP INC. | United States |
| 4439057 | TAURUS AEROSPACE GROUP LLC | United States |
| 5058776 | Taurus Aerospace Holdings, LLC | United States |
| 4578519 | Taurus Tanks Inc. | United States |
| Tax Ease CA, LLC | United States | |
| Tax Ease Employee Services Company LLC | United States | |
| Tax Ease Funding GP LLC | United States | |
| Tax Ease Funding, LP | United States | |
| Tax Ease Holdings LLC | United States | |
| Tax Ease Lien Investments 1 LLC | United States | |
| Tax Ease Lien Servicing LLC | United States | |
| Tax Ease NY, LLC | United States | |
| Tax Ease Ohio, LLC | United States | |
| Tax Ease PA, Inc | United States | |
| Tax Ease, LP | United States | |
| 85356770 | TEGENSEE PTY LIMITED (IN DEREGISTRATION) | Australia |
| 113508160 | TELBANE 2 PTY LIMITED | Australia |
| 70142951 | TELBANE PTY LTD | Australia |
| 79630649 | TEN7 PTY LIMITED | Australia |
| HRB80044 | Tension Services Holdings GmbH | Germany |
| 238030 | Tex Funding | Cayman Islands |
| Texas Rail Terminal LLC | United States | |
| OC315196 | The Bluebell Transportation LLP | United Kingdom |
| Not Registered | The Concept Blue Property Trust | Australia |
| THE GLOBAL DEBT LIMITED PARTNERSHIP NO. 2 | Australia | |
| OC315171 | The Goonzaran LLP | United Kingdom |
| THE MACQUARIE TOPI40 INVESTMENT TRUST | South Africa | |
| IT1872/2007 | THE MF TRUST | South Africa |
| Not Registered | THE NSW RESIDENTIAL TRUST | Australia |
| THE TRUSTEE FOR MACQUARIE EMERGING MARKETS | ||
| INFRASTRUCTURE SECURITIES FUND | Australia | |
| Not Registered | THE VICTORIA RESIDENTIAL TRUST | Australia |
| 64721080 | TOUCHSTONE MACQUARIE PTY LIMITED (Former Bank Group) | Australia |
| 2012853459 | Tristone Capital Global Inc. | Canada |
| 208568022 | Tristone Capital Inc. | Canada |
| 5366079 | Tristone Capital Limited Tristone Capital LLC |
United Kingdom United States |
| 6144124 | Tristone Capital Nominees Limited (in Strike Off) | United Kingdom |
| 2012712838 | Tristone Capital SA Ltd | Canada |
| Tristone Capital SA (Argentine Branch) | Argentina | |
| 9633603 | TRYPTIC PTY LIMITED - IN LIQUIDATION | Australia |
| 81119619 | UPL DEVELOPMENTS PTY LIMITED | Australia |
| 114734557 | UPL (CATHERINE FIELD) PTY LIMITED (IN LIQUIDATION) | Australia |
| 116908537 | UPL (KIRRA) PTY LIMITED | Australia |
| 127048659 | UPL (NO 15) PTY LIMITED | Australia |
| 127049110 | UPL (NO 19) PTY LIMITED (IN LIQUIDATION) | Australia |
| 127049254 | UPL (NO 22) PTY LIMITED | Australia |
| 116908493 | UPL (NO 6) PTY LIMITED | Australia |
| 116908582 | UPL (NO 7) PTY LIMITED | Australia |
| 116908635 | UPL (NO 9) PTY LIMITED | Australia |
| 114734986 | UPL (NO. 11) PTY LIMITED (IN DEREGISTRATION) | Australia |
| 115793685 | UPL (NSW) PTY LIMITED | Australia |
| 127049227 | UPL (PALMVIEW) PTY LIMITED (IN DEREGISTRATION) | Australia |
| 115007933 | UPL (PORTARLINGTON) PTY LIMITED (IN LIQUIDATION) | Australia |
| 120934741 | UPL (QLD) PTY LIMITED (IN DEREGISTRATION) | Australia |
| 85359833 | UPL (SA) PTY LIMITED | Australia |
| 84657616 | UPL (UNDERDALE) PTY LIMITED | Australia |
| 115912822 | UPL (VIC) PTY LIMITED (IN DEREGISTRATION) | Australia |
| 95793141 | UPL (WA) PTY LTD | Australia |
| 115007755 | UPL (WHITBY) PTY LIMITED | Australia |
| 55500902 | UPMILL NOMINEES PTY LIMITED | Australia |
| 81119495 | URBAN PACIFIC PTY LIMITED | Australia |
| 92034458 | URBAN PACIFIC SPRINGTHORPE INVESTMENT PTY LIMITED (IN DEREGISTRATION) |
Australia |
| 113918166 | URBAN PACIFIC (BEROWRA) PTY LIMITED | Australia |
| 115131345 | URBAN PACIFIC (FLETCHER) PTY LIMITED (IN LIQUIDATION) | Australia |
| 114197429 3705740 |
URBAN PACIFIC (SOMERSET) PTY LIMITED (IN LIQUIDATION) Utility Metering Services Limited |
Australia United Kingdom |
| Utility Service Partners Private Label of Virginia Inc. | United States | |
| 3993140 3709191 |
UTILITY SERVICE PARTNERS PRIVATE LABEL, INC. UTILITY SERVICE PARTNERS, INC. |
United States United States |
| 8592916 | UTOPIA PTY LIMITED (IN DEREGISTRATION) | Australia |
| 3201303 | VALCORA PTY LIMITED - IN LIQUIDATION | Australia |
| WK-137396 | Valley Leasing Limited | Cayman Islands |
| 107-87-51612 | VALUE LOAN MORTGAGE LLC | Korea, Republic of |
| 8586927 | VARZY PTY LIMITED (IN DEREGISTRATION) | Australia |
|---|---|---|
| 80218622 | VICWIRE PARTNERSHIP PTY LIMITED (IN DEREGISTRATION) | Australia |
| WK-166995 | West Portal Leasing Limited | Cayman Islands |
| Winslow Lien Investments, LLC | United States | |
| 54813080 | WOODROSS NOMINEES PTY. LIMITED | Australia |
| 2736423 | WUXTA PTY LIMITED (In Deregistration) | Australia |
| YAYASAN HUTAN HIJAU (Former Non-Bank Group) | Indonesia | |
| 5532426 | YBR Feeder GP Limited | United Kingdom |
| 1449995 | Yorkton Capital Partners II Inc. | Canada |
| 1430727 | Yorkton Capital Partners Inc. | Canada |
| BIN 100829696 | Yorkton Partners 2000 Fund, LP | Canada |
| BIN 110589777 | Yorkton Partners 2001 Fund, LP | Canada |
| BIN: 101242931 | Yorkton Private Equity Limited Partnership | Canada |
| BIN: 110078755 | Yorkton Private Equity Non-Resident Limited Partnership | Canada |
| 2798503 | ZELENKA PTY LIMITED - IN LIQUIDATION | Australia |
| 4721409 | ZODIAC ENERGY HOLDINGS, LLC | United States |
ANNEXURE 'B'
This is the annexure marked 'B' of 16 page(s) referred to in the Notice of ceasing to be a substantial holder.
Dennis Leong Company Secretary, Macquarie Group Limited 15 January 2013
Consideration
| Date of change |
Person whose relevant interest changed |
Nature of change | Consideration | Number of securities affected |
Class Person's votes affected |
|
|---|---|---|---|---|---|---|
| 18-Oct-12 | MBL | On market sale | AUD 3.82 | -689 | FPO | 689 |
| 18-Oct-12 | MBL | On market purchase | AUD 3.86 | 299 | FPO | 299 |
| 19-Oct-12 | MBL | On market sale | AUD 3.80 | -129 | FPO | 129 |
| 19-Oct-12 | MBL | On market sale | AUD 3.80 | -129 | FPO | 129 |
| 19-Oct-12 | MBL | On market sale | AUD 3.81 | -247 | FPO | 247 |
| 19-Oct-12 | MBL | On market sale | -4,894 | 4,894 | ||
| 19-Oct-12 | MBL | On market purchase | AUD 3.81 AUD 3.81 |
75,000 | FPO FPO |
75,000 |
| 19-Oct-12 | MBL | On market sale | AUD 3.86 | -5,009 | FPO | 5,009 |
| 19-Oct-12 | MBL | On market sale | AUD 3.86 | -8,015 | FPO | 8,015 |
| 22-Oct-12 | MBL | On market sale | AUD 3.74 | -230 | FPO | 230 |
| 22-Oct-12 | MBL | On market sale | AUD 3.70 | -5,000 | FPO | 5,000 |
| 22-Oct-12 | MBL | On market purchase | AUD 3.69 | 5,000 | FPO | 5,000 |
| 22-Oct-12 | MBL | On market sale | AUD 3.70 | -230 | FPO | 230 |
| 22-Oct-12 | MBL | On market sale | AUD 3.70 | -1,193 | FPO | 1,193 |
| 23-Oct-12 | MBL | On market sale | AUD 3.73 | -229 | FPO | 229 |
| 23-Oct-12 | MBL | On market sale | AUD 3.74 | -129 | FPO | 129 |
| 23-Oct-12 | MBL | On market sale | AUD 3.72 | -353 | FPO | 353 |
| 23-Oct-12 | MBL | On market sale | AUD 3.71 | -34 | FPO | 34 |
| 23-Oct-12 | MBL | On market sale | AUD 3.72 | -387 | FPO | 387 |
| 23-Oct-12 | MBL | On market sale | AUD 3.72 | -129 | FPO | 129 |
| 23-Oct-12 | MBL | On market sale | AUD 3.71 | -147 | FPO | 147 |
| 23-Oct-12 | MBL | On market sale | AUD 3.69 | -294 | FPO | 294 |
| 23-Oct-12 | MBL | On market sale | AUD 3.70 | -441 | FPO | 441 |
| 23-Oct-12 | MBL | On market sale | AUD 3.70 | -441 | FPO | 441 |
| 23-Oct-12 | MBL | On market sale | AUD 3.68 | -210 | FPO | 210 |
| 23-Oct-12 | MBL | On market sale | AUD 3.68 | -626 | FPO | 626 |
| 24-Oct-12 | MBL | On market purchase | AUD 3.57 | 1,000 | FPO | 1,000 |
| 24-Oct-12 | MBL | On market sale | AUD 3.62 | -229 | FPO | 229 |
| 24-Oct-12 | MBL | On market sale | AUD 3.57 | -294 | FPO | 294 |
| 24-Oct-12 | MBL | On market sale | AUD 3.57 | -147 | FPO | 147 |
| 24-Oct-12 | MBL | On market sale | AUD 3.56 | -147 | FPO | 147 |
| 24-Oct-12 | MBL | On market sale | AUD 3.58 | -2,346 | FPO | 2,346 |
| 25-Oct-12 | MBL | On market purchase | AUD 3.53 | 115 | FPO | 115 |
| 25-Oct-12 | MBL | On market purchase | AUD 3.52 | 82 | FPO | 82 |
| 25-Oct-12 | MBL | On market sale | AUD 3.52 | -128 | FPO | 128 |
| 25-Oct-12 | MBL | On market purchase | AUD 3.48 | 46 | FPO | 46 |
| 25-Oct-12 | MBL | On market purchase | AUD 3.44 | 688 | FPO | 688 |
| 26-Oct-12 | MBL | On market sale | AUD 3.48 | -229 | FPO | 229 |
| 26-Oct-12 | MBL | On market sale | AUD 3.54 | -101 | FPO | 101 |
| 26-Oct-12 | MBL | On market sale | AUD 3.51 | -128 | FPO | 128 |
| 26-Oct-12 | MBL | On market sale | AUD 3.50 | -256 | FPO | 256 |
| 26-Oct-12 | MBL | On market sale | AUD 3.47 | -1,853 | FPO | 1,853 |
| 29-Oct-12 | MBL | On market purchase | AUD 3.44 | 229 | FPO | 229 |
| 29-Oct-12 | MBL | On market purchase | AUD 3.45 | 77 | FPO | 77 |
| 29-Oct-12 | MBL | On market purchase | AUD 3.48 | 51 | FPO | 51 |
| 29-Oct-12 | MBL | On market purchase | AUD 3.45 | 128 | FPO | 128 |
| 29-Oct-12 | MBL | On market purchase | AUD 3.47 | 128 | FPO | 128 |
| 29-Oct-12 | MBL | On market purchase | AUD 3.47 | 128 | FPO | 128 |
| 29-Oct-12 | MBL | On market purchase | AUD 3.45 | 2,856 | FPO | 2,856 |
| 30-Oct-12 | MBL | On market purchase | AUD 3.42 | 229 | FPO | 229 |
| 30-Oct-12 | MBL | On market purchase | AUD 3.39 | 133 | FPO | 133 |
| 30-Oct-12 | MBL | On market purchase | AUD 3.38 | 133 | FPO | 133 |
| 30-Oct-12 | MBL | On market purchase | AUD 3.39 | 133 | FPO | 133 |
| 30-Oct-12 | MBL | On market purchase | AUD 3.38 | 147 | FPO | 147 |
| 30-Oct-12 | MBL | On market purchase | AUD 3.38 | 2,180 | FPO | 2,180 |
| 31-Oct-12 | MBL | On market purchase | AUD 3.48 | 137 | FPO | 137 |
| 31-Oct-12 | MBL | On market purchase | AUD 3.51 | 3,299 | FPO | 3,299 |
| 31-Oct-12 | MBL | On market purchase | AUD 3.41 | 344 | FPO | 344 |
| 01-Nov-12 | MBL | On market sale | AUD 3.52 | -458 | FPO | 458 |
| 01-Nov-12 | MBL | On market purchase | AUD 3.45 | 229 | FPO | 229 |
| Date of change |
Person whose relevant interest changed |
Nature of change | Consideration | Number of securities affected |
Class Person's votes affected |
|
|---|---|---|---|---|---|---|
| 01-Nov-12 | MBL | On market purchase | AUD 3.45 | 229 | FPO | 229 |
| 01-Nov-12 | MBL | On market sale | AUD 3.42 | -985 | FPO | 985 |
| 02-Nov-12 | MBL | On market sale | AUD 3.44 | -343 | FPO | 343 |
| 02-Nov-12 | MBL | On market sale | AUD 3.46 | -101 | FPO | 101 |
| 02-Nov-12 05-Nov-12 |
MBL MBL |
On market sale On market sale |
AUD 3.39 AUD 3.29 |
-1,502 -229 |
FPO FPO |
1,502 229 |
| 05-Nov-12 | MBL | On market purchase | AUD 3.25 | 101 | FPO | 101 |
| 05-Nov-12 | MBL | On market purchase | AUD 3.30 | 1,433 | FPO | 1,433 |
| 06-Nov-12 | MBL | On market sale | AUD 3.27 | -343 | FPO | 343 |
| 07-Nov-12 | MBL | On market sale | AUD 3.35 | -343 | FPO | 343 |
| 07-Nov-12 | MBL | On market sale | AUD 3.33 | -133 | FPO | 133 |
| 07-Nov-12 | MBL | On market sale | AUD 3.37 | -439 | FPO | 439 |
| 08-Nov-12 | MBL | On market purchase | AUD 3.33 | 229 | FPO | 229 |
| 08-Nov-12 | MBL | On market sale | AUD 3.36 | -343 | FPO | 343 |
| 08-Nov-12 08-Nov-12 |
MBL MBL |
On market purchase On market purchase |
AUD 3.32 AUD 3.34 |
128 2,367 |
FPO FPO |
128 2,367 |
| 08-Nov-12 | MBL | On market purchase | AUD 3.37 | 10,078 | FPO | 10,078 |
| 09-Nov-12 | MBL | On market purchase | AUD 3.39 | 101 | FPO | 101 |
| 09-Nov-12 | MBL | On market purchase | AUD 3.45 | 128 | FPO | 128 |
| 09-Nov-12 | MBL | On market purchase | AUD 3.47 | 128 | FPO | 128 |
| 09-Nov-12 | MBL | On market purchase | AUD 3.46 | 384 | FPO | 384 |
| 09-Nov-12 | MBL | On market purchase | AUD 3.47 | 128 | FPO | 128 |
| 09-Nov-12 09-Nov-12 |
MBL MBL |
On market purchase On market purchase |
AUD 3.48 AUD 3.51 |
128 2,413 |
FPO FPO |
128 2,413 |
| 12-Nov-12 | MBL | On market sale | AUD 3.52 | -343 | FPO | 343 |
| 12-Nov-12 | MBL | On market purchase | AUD 3.55 | 128 | FPO | 128 |
| 12-Nov-12 | MBL | On market purchase | AUD 3.51 | 810 | FPO | 810 |
| 13-Nov-12 | MBL | On market purchase | AUD 3.50 | 229 | FPO | 229 |
| 13-Nov-12 14-Nov-12 |
MBL MBL |
On market purchase On market sale |
AUD 3.33 AUD 3.26 |
1,945 -16 |
FPO FPO |
1,945 16 |
| 14-Nov-12 | MBL | On market sale | AUD 3.26 | -320 | FPO | 320 |
| 14-Nov-12 | MBL | On market sale | AUD 3.26 | -5,578 | FPO | 5,578 |
| 14-Nov-12 | MBL | On market purchase | AUD 3.26 | 5,578 | FPO | 5,578 |
| 15-Nov-12 | MBL | On market sale | AUD 3.20 | -2,561 | FPO | 2,561 |
| 15-Nov-12 | MBL | On market purchase | AUD 3.20 | 17,583 | FPO | 17,583 |
| 15-Nov-12 15-Nov-12 |
MBL MBL |
On market purchase On market purchase |
AUD 3.20 | 22,983 18,384 |
FPO | 22,983 18,384 |
| 15-Nov-12 | MBL | On market purchase | AUD 3.20 AUD 3.20 |
3,000 | FPO FPO |
3,000 |
| 15-Nov-12 | MBL | On market sale | AUD 3.20 | -40,000 | FPO | 40,000 |
| 15-Nov-12 | MBL | On market purchase | AUD 3.20 | 35,640 | FPO | 35,640 |
| 15-Nov-12 | MBL | On market sale | AUD 3.20 | -40,000 | FPO | 40,000 |
| 15-Nov-12 | MBL | On market purchase | AUD 3.20 | 156 | FPO | 156 |
| 15-Nov-12 15-Nov-12 |
MBL MBL |
On market purchase On market purchase |
AUD 3.23 AUD 3.20 |
30,000 4,586 |
FPO FPO |
30,000 4,586 |
| 15-Nov-12 | MBL | On market sale | AUD 3.20 | -22,332 | FPO | 22,332 |
| 16-Nov-12 | MBL | On market purchase | AUD 3.19 | 229 | FPO | 229 |
| 16-Nov-12 | MBL | On market purchase | AUD 3.14 | 128 | FPO | 128 |
| 16-Nov-12 | MBL | On market sale | AUD 3.17 | -128 | FPO | 128 |
| 16-Nov-12 16-Nov-12 |
MBL MBL |
On market sale On market sale |
AUD 3.18 AUD 3.19 |
-128 -101 |
FPO FPO |
128 101 |
| 16-Nov-12 | MBL | On market sale | AUD 3.19 | -128 | FPO | 128 |
| 16-Nov-12 | MBL | On market sale | AUD 3.19 | -215 | FPO | 215 |
| 19-Nov-12 | MBL | On market purchase | AUD 3.22 | 229 | FPO | 229 |
| 19-Nov-12 | MBL | On market purchase | AUD 3.26 | 3,000 | FPO | 3,000 |
| 19-Nov-12 19-Nov-12 |
MBL MBL |
On market purchase On market sale |
AUD 3.26 AUD 3.31 |
7,000 -10,000 |
FPO FPO |
7,000 10,000 |
| 19-Nov-12 | MBL | On market purchase | AUD 3.32 | 1,257 | FPO | 1,257 |
| 20-Nov-12 | MBL | On market sale | AUD 3.39 | -343 | FPO | 343 |
| 20-Nov-12 | MBL | On market sale | AUD 3.43 | -128 | FPO | 128 |
| 20-Nov-12 | MBL | On market sale | AUD 3.44 | -5,000 | FPO | 5,000 |
| 20-Nov-12 21-Nov-12 |
MBL MBL |
On market sale On market sale |
AUD 3.45 AUD 3.48 |
-695 -5,000 |
FPO FPO |
695 5,000 |
| 21-Nov-12 | MBL | On market sale | AUD 3.49 | -128 | FPO | 128 |
| 21-Nov-12 | MBL | On market sale | AUD 3.48 | -10,000 | FPO | 10,000 |
| 21-Nov-12 | MBL | On market sale | AUD 3.50 | -1,243 | FPO | 1,243 |
| 22-Nov-12 | MBL | On market purchase | AUD 3.52 | 571 | FPO | 571 |
| 22-Nov-12 22-Nov-12 |
MBL MBL |
On market purchase On market purchase |
AUD 3.56 AUD 3.54 |
256 384 |
FPO FPO |
256 384 |
| 22-Nov-12 | MBL | On market purchase | AUD 3.52 | 128 | FPO | 128 |
| 22-Nov-12 | MBL | On market purchase | AUD 3.50 | 256 | FPO | 256 |
| 22-Nov-12 | MBL | On market purchase | AUD 3.51 | 3,500 | FPO | 3,500 |
| 23-Nov-12 | MBL | On market purchase | AUD 3.41 | 256 | FPO | 256 |
| 23-Nov-12 23-Nov-12 |
MBL MBL |
On market purchase On market purchase |
AUD 3.42 AUD 3.41 |
2,000 795 |
FPO FPO |
2,000 795 |
| Date of change |
Person whose relevant interest changed |
Nature of change | Consideration | Number of securities affected |
Class Person's votes affected |
|
|---|---|---|---|---|---|---|
| 26-Nov-12 | MBL | On market purchase | AUD 3.48 | 128 | FPO | 128 |
| 26-Nov-12 | MBL | On market sale | AUD 3.49 | -2,000 | FPO | 2,000 |
| 26-Nov-12 | MBL | On market purchase | AUD 3.48 | 128 | FPO | 128 |
| 26-Nov-12 26-Nov-12 |
MBL MBL |
On market purchase On market sale |
AUD 3.47 | 128 -247 |
FPO | 128 247 |
| 26-Nov-12 | MBL | On market sale | AUD 3.45 AUD 3.41 |
-5,173 | FPO FPO |
5,173 |
| 26-Nov-12 | MBL | On market purchase | AUD 3.41 | 5,173 | FPO | 5,173 |
| 27-Nov-12 | MBL | On market purchase | AUD 3.50 | 228 | FPO | 228 |
| 27-Nov-12 | MBL | On market purchase | AUD 3.45 | 128 | FPO | 128 |
| 27-Nov-12 | MBL | On market purchase | AUD 3.44 | 128 | FPO | 128 |
| 27-Nov-12 | MBL | On market purchase | AUD 3.45 | 128 | FPO | 128 |
| 27-Nov-12 | MBL | On market purchase | AUD 3.45 | 2,198 | FPO | 2,198 |
| 28-Nov-12 28-Nov-12 |
MBL MBL |
On market sale On market sale |
AUD 3.46 AUD 3.44 |
-228 -2,055 |
FPO FPO |
228 2,055 |
| 29-Nov-12 | MBL | On market purchase | AUD 3.43 | 343 | FPO | 343 |
| 29-Nov-12 | MBL | On market sale | AUD 3.42 | -5,207 | FPO | 5,207 |
| 29-Nov-12 | MBL | On market purchase | AUD 3.40 | 128 | FPO | 128 |
| 29-Nov-12 | MBL | On market sale | AUD 3.42 | -4,793 | FPO | 4,793 |
| 29-Nov-12 | MBL | On market purchase | AUD 3.41 | 128 | FPO | 128 |
| 29-Nov-12 29-Nov-12 |
MBL MBL |
On market purchase On market purchase |
AUD 3.42 AUD 3.42 |
146 146 |
FPO FPO |
146 146 |
| 29-Nov-12 | MBL | On market purchase | AUD 3.41 | 146 | FPO | 146 |
| 29-Nov-12 | MBL | On market purchase | AUD 3.44 | 5,124 | FPO | 5,124 |
| 29-Nov-12 | MBL | On market purchase | AUD 3.42 | 2,891 | FPO | 2,891 |
| 30-Nov-12 | MBL | On market purchase | AUD 3.42 | 128 | FPO | 128 |
| 30-Nov-12 | MBL | On market purchase | AUD 3.44 | 384 | FPO | 384 |
| 30-Nov-12 30-Nov-12 |
MBL MBL |
On market purchase On market purchase |
AUD 3.46 AUD 3.46 |
438 146 |
FPO FPO |
438 146 |
| 30-Nov-12 | MBL | On market purchase | AUD 3.47 | 2,100 | FPO | 2,100 |
| 03-Dec-12 | MBL | On market sale | AUD 3.44 | -228 | FPO | 228 |
| 03-Dec-12 | MBL | On market purchase | AUD 3.43 | 128 | FPO | 128 |
| 03-Dec-12 | MBL | On market purchase | AUD 3.47 | 10,113 | FPO | 10,113 |
| 03-Dec-12 | MBL | On market purchase | AUD 3.41 | 142 | FPO | 142 |
| 03-Dec-12 03-Dec-12 |
MBL MBL |
On market purchase On market purchase |
AUD 3.40 AUD 3.41 |
132 3,205 |
FPO FPO |
132 3,205 |
| 04-Dec-12 | MBL | On market purchase | AUD 3.41 | 342 | FPO | 342 |
| 04-Dec-12 | MBL | On market purchase | AUD 3.32 | 100 | FPO | 100 |
| 04-Dec-12 | MBL | On market purchase | AUD 3.30 | 128 | FPO | 128 |
| 04-Dec-12 05-Dec-12 |
MBL MBL |
On market sale On market sale |
AUD 3.27 | -456 -456 |
FPO | 456 456 |
| 05-Dec-12 | MBL | On market purchase | AUD 3.24 AUD 3.25 |
384 | FPO FPO |
384 |
| 05-Dec-12 | MBL | On market purchase | AUD 3.23 | 256 | FPO | 256 |
| 05-Dec-12 | MBL | On market purchase | AUD 3.19 | 640 | FPO | 640 |
| 05-Dec-12 | MBL | On market purchase | AUD 3.22 | 128 | FPO | 128 |
| 05-Dec-12 | MBL | On market purchase | AUD 3.25 | 1,307 | FPO | 1,307 |
| 06-Dec-12 06-Dec-12 |
MBL MBL |
On market sale On market sale |
AUD 3.20 AUD 3.20 |
-342 -1,620 |
FPO FPO |
342 1,620 |
| 07-Dec-12 | MBL | On market purchase | AUD 3.16 | 456 | FPO | 456 |
| 07-Dec-12 | MBL | On market purchase | AUD 3.23 | 128 | FPO | 128 |
| 07-Dec-12 | MBL | On market purchase | AUD 3.21 | 256 | FPO | 256 |
| 07-Dec-12 | MBL | On market purchase | AUD 3.21 | 128 | FPO | 128 |
| 07-Dec-12 07-Dec-12 |
MBL MBL |
On market purchase On market purchase |
AUD 3.20 AUD 3.23 |
384 2,093 |
FPO FPO |
384 2,093 |
| 07-Dec-12 | MBL | On market purchase | AUD 3.20 | 3,032 | FPO | 3,032 |
| 10-Dec-12 | MBL | On market purchase | AUD 3.27 | 228 | FPO | 228 |
| 10-Dec-12 | MBL | On market purchase | AUD 3.29 | 5,000 | FPO | 5,000 |
| 10-Dec-12 | MBL | On market sale | AUD 3.30 | -384 | FPO | 384 |
| 10-Dec-12 10-Dec-12 |
MBL MBL |
On market sale On market purchase |
AUD 3.29 AUD 3.22 |
-4,980 5,000 |
FPO FPO |
4,980 5,000 |
| 11-Dec-12 | MBL | On market purchase | AUD 3.31 | 114 | FPO | 114 |
| 11-Dec-12 | MBL | On market purchase | AUD 3.31 | 447 | FPO | 447 |
| 11-Dec-12 | MBL | On market sale | AUD 3.32 | -228 | FPO | 228 |
| 11-Dec-12 | MBL | On market sale | AUD 3.31 | -128 | FPO | 128 |
| 11-Dec-12 11-Dec-12 |
MBL MBL |
On market purchase On market purchase |
AUD 3.27 AUD 3.25 |
127 3,000 |
FPO FPO |
127 3,000 |
| 11-Dec-12 | MBL | On market purchase | AUD 3.23 | 1 | FPO | 1 |
| 11-Dec-12 | MBL | On market purchase | AUD 3.26 | 128 | FPO | 128 |
| 11-Dec-12 | MBL | On market purchase | AUD 3.24 | 128 | FPO | 128 |
| 11-Dec-12 | MBL | On market purchase | AUD 3.25 | 3,439 | FPO | 3,439 |
| 12-Dec-12 12-Dec-12 |
MBL MBL |
On market purchase On market purchase |
AUD 3.24 AUD 3.26 |
114 128 |
FPO FPO |
114 128 |
| 12-Dec-12 | MBL | On market purchase | AUD 3.26 | 1,765 | FPO | 1,765 |
| 13-Dec-12 | MBL | On market sale | AUD 3.31 | -3,000 | FPO | 3,000 |
| 13-Dec-12 | MBL | On market sale | AUD 3.36 | -23 | FPO | 23 |
| Date of change |
Person whose relevant interest changed |
Nature of change | Consideration | Number of securities affected |
Class Person's votes affected |
|
|---|---|---|---|---|---|---|
| 14-Dec-12 | MBL | On market purchase | AUD 3.40 | 356 | FPO | 356 |
| 14-Dec-12 | MBL | On market purchase | AUD 3.43 | 256 | FPO | 256 |
| 14-Dec-12 | MBL | On market sale | AUD 3.47 | -10,000 | FPO | 10,000 |
| 14-Dec-12 17-Dec-12 |
MBL MBL |
On market purchase On market purchase |
AUD 3.47 | 984 10,000 |
FPO | 984 10,000 |
| 17-Dec-12 | MBL | On market sale | AUD 3.24 AUD 3.22 |
-128 | FPO FPO |
128 |
| 17-Dec-12 | MBL | On market sale | AUD 3.21 | -200 | FPO | 200 |
| 17-Dec-12 | MBL | On market purchase | AUD 3.16 | 1,600 | FPO | 1,600 |
| 17-Dec-12 | MBL | On market purchase | AUD 3.19 | 328 | FPO | 328 |
| 17-Dec-12 | MBL | On market sale | AUD 3.22 | -1,094 | FPO | 1,094 |
| 18-Dec-12 | MBL | On market purchase | AUD 3.24 | 342 | FPO | 342 |
| 18-Dec-12 18-Dec-12 |
MBL MBL |
On market purchase On market sale |
AUD 3.25 AUD 3.26 |
100 -1,600 |
FPO FPO |
100 1,600 |
| 18-Dec-12 | MBL | On market purchase | AUD 3.28 | 12 | FPO | 12 |
| 18-Dec-12 | MBL | On market purchase | AUD 3.33 | 244 | FPO | 244 |
| 18-Dec-12 | MBL | On market purchase | AUD 3.31 | 256 | FPO | 256 |
| 18-Dec-12 | MBL | On market purchase | AUD 3.30 | 128 | FPO | 128 |
| 18-Dec-12 | MBL | On market purchase | AUD 3.27 | 3,408 | FPO | 3,408 |
| 19-Dec-12 19-Dec-12 |
MBL MBL |
On market purchase On market sale |
AUD 3.25 AUD 3.23 |
342 -1,000 |
FPO FPO |
342 1,000 |
| 19-Dec-12 | MBL | On market sale | AUD 3.30 | -684 | FPO | 684 |
| 20-Dec-12 | MBL | On market purchase | AUD 3.25 | 60,583 | FPO | 60,583 |
| 20-Dec-12 | MBL | On market purchase | AUD 3.25 | 2,295 | FPO | 2,295 |
| 20-Dec-12 | MBL | On market sale | AUD 3.21 | -101 | FPO | 101 |
| 20-Dec-12 20-Dec-12 |
MBL MBL |
On market purchase On market sale |
AUD 3.21 AUD 3.30 |
1,000 -9,867 |
FPO FPO |
1,000 9,867 |
| 20-Dec-12 | MBL | On market sale | AUD 3.23 | -941 | FPO | 941 |
| 20-Dec-12 | MBL | On market sale | AUD 3.21 | -9,899 | FPO | 9,899 |
| 20-Dec-12 | MBL | On market purchase | AUD 3.21 | 101 | FPO | 101 |
| 20-Dec-12 | MBL | On market sale | AUD 3.21 | -101 | FPO | 101 |
| 21-Dec-12 | MBL | On market sale | AUD 3.19 | -459 | FPO | 459 |
| 21-Dec-12 21-Dec-12 |
MBL MBL |
On market sale On market sale |
AUD 3.13 AUD 3.10 |
-102 -156 |
FPO FPO |
102 156 |
| 21-Dec-12 | MBL | On market sale | AUD 3.06 | -129 | FPO | 129 |
| 21-Dec-12 | MBL | On market sale | AUD 3.06 | -30,000 | FPO | 30,000 |
| 21-Dec-12 | MBL | On market sale | AUD 3.13 | -646 | FPO | 646 |
| 21-Dec-12 | MBL | On market sale | AUD 3.13 | -4,147 | FPO | 4,147 |
| 24-Dec-12 24-Dec-12 |
MBL MBL |
On market purchase On market purchase |
AUD 3.10 AUD 3.15 |
114 1,260 |
FPO FPO |
114 1,260 |
| 27-Dec-12 | MBL | On market sale | AUD 3.19 | -3,215 | FPO | 3,215 |
| 27-Dec-12 | MBL | On market sale | AUD 3.20 | -764 | FPO | 764 |
| 27-Dec-12 | MBL | On market sale | AUD 3.17 | -221 | FPO | 221 |
| 28-Dec-12 | MBL | On market purchase | AUD 3.25 | 954 | FPO | 954 |
| 31-Dec-12 31-Dec-12 |
MBL MBL |
On market sale On market purchase |
AUD 3.33 AUD 3.30 |
-763 382 |
FPO FPO |
763 382 |
| 31-Dec-12 | MBL | On market sale | AUD 3.32 | -688 | FPO | 688 |
| 31-Dec-12 | MBL | On market sale | AUD 3.32 | -4,118 | FPO | 4,118 |
| 02-Jan-13 | MBL | On market sale | AUD 3.39 | -762 | FPO | 762 |
| 02-Jan-13 | MBL | On market purchase | AUD 3.42 | 12,239 | FPO | 12,239 |
| 02-Jan-13 02-Jan-13 |
MBL MBL |
On market purchase On market sale |
AUD 3.42 AUD 3.46 |
750 -12 |
FPO FPO |
750 12 |
| 02-Jan-13 | MBL | On market purchase | AUD 3.45 | 57 | FPO | 57 |
| 02-Jan-13 | MBL | On market sale | AUD 3.45 | -1,337 | FPO | 1,337 |
| 02-Jan-13 | MBL | On market purchase | AUD 3.44 | 1,255 | FPO | 1,255 |
| 02-Jan-13 | MBL | On market sale | AUD 3.45 | -1,296 | FPO | 1,296 |
| 02-Jan-13 02-Jan-13 |
MBL MBL |
On market purchase On market sale |
AUD 3.45 | 82 -45 |
FPO | 82 45 |
| 03-Jan-13 | MBL | On market sale | AUD 3.45 AUD 3.47 |
-1,334 | FPO FPO |
1,334 |
| 03-Jan-13 | MBL | On market sale | AUD 3.45 | -168 | FPO | 168 |
| 03-Jan-13 | MBL | On market sale | AUD 3.42 | -762 | FPO | 762 |
| 03-Jan-13 | MBL | On market sale | AUD 3.42 | -213 | FPO | 213 |
| 03-Jan-13 | MBL | On market purchase | AUD 3.42 | 2,000 | FPO | 2,000 |
| 03-Jan-13 03-Jan-13 |
MBL MBL |
On market sale On market sale |
AUD 3.44 AUD 3.43 |
-426 -426 |
FPO FPO |
426 426 |
| 03-Jan-13 | MBL | On market sale | AUD 3.43 | -213 | FPO | 213 |
| 03-Jan-13 | MBL | On market sale | AUD 3.43 | -426 | FPO | 426 |
| 03-Jan-13 | MBL | On market sale | AUD 3.43 | -2 | FPO | 2 |
| 03-Jan-13 | MBL | On market sale | AUD 3.43 | -12 | FPO | 12 |
| 03-Jan-13 03-Jan-13 |
MBL MBL |
On market purchase On market sale |
AUD 3.44 AUD 3.45 |
2,127 -158 |
FPO FPO |
2,127 158 |
| 03-Jan-13 | MBL | On market purchase | AUD 3.44 | 219 | FPO | 219 |
| 03-Jan-13 | MBL | On market sale | AUD 3.45 | -6,326 | FPO | 6,326 |
| 03-Jan-13 | MBL | On market purchase | AUD 3.44 | 4,199 | FPO | 4,199 |
| 03-Jan-13 | MBL | On market sale | AUD 3.45 | -689 | FPO | 689 |
| Date of change |
Person whose relevant interest changed |
Nature of change | Consideration | Number of securities affected |
Class Person's votes affected |
|
|---|---|---|---|---|---|---|
| 03-Jan-13 | MBL | On market purchase | AUD 3.44 | 642 | FPO | 642 |
| 03-Jan-13 | MBL | On market sale | AUD 3.44 | -1,252 | FPO | 1,252 |
| 04-Jan-13 | MBL | On market sale | AUD 3.34 | -213 | FPO | 213 |
| 04-Jan-13 | MBL | On market sale | AUD 3.35 | -168 | FPO | 168 |
| 04-Jan-13 | MBL | On market sale | AUD 3.40 | -1,524 | FPO | 1,524 |
| 04-Jan-13 04-Jan-13 |
MBL MBL |
On market purchase On market purchase |
AUD 3.35 AUD 3.33 |
10,000 7,011 |
FPO FPO |
10,000 7,011 |
| 04-Jan-13 | MBL | On market sale | AUD 3.22 | -213 | FPO | 213 |
| 04-Jan-13 | MBL | On market sale | AUD 3.21 | -101 | FPO | 101 |
| 04-Jan-13 | MBL | On market purchase | AUD 3.21 | 99 | FPO | 99 |
| 04-Jan-13 | MBL | On market purchase | AUD 3.21 | 1,800 | FPO | 1,800 |
| 04-Jan-13 | MBL | On market sale | AUD 3.22 | -39 | FPO | 39 |
| 04-Jan-13 | MBL | On market purchase | AUD 3.22 | 2,751 | FPO | 2,751 |
| 04-Jan-13 04-Jan-13 |
MBL MBL |
On market sale On market sale |
AUD 3.25 AUD 3.23 |
-161 -6,460 |
FPO FPO |
161 6,460 |
| 04-Jan-13 | MBL | On market purchase | AUD 3.23 | 3,709 | FPO | 3,709 |
| 04-Jan-13 | MBL | On market sale | AUD 3.23 | -4,207 | FPO | 4,207 |
| 04-Jan-13 | MBL | On market purchase | AUD 3.23 | 202 | FPO | 202 |
| 07-Jan-13 | MBL | On market purchase | AUD 3.27 | 762 | FPO | 762 |
| 07-Jan-13 | MBL | On market sale | AUD 3.20 | -213 | FPO | 213 |
| 07-Jan-13 07-Jan-13 |
MBL MBL |
On market sale On market sale |
AUD 3.13 AUD 3.10 |
-213 -213 |
FPO FPO |
213 213 |
| 07-Jan-13 | MBL | On market sale | AUD 3.12 | -944 | FPO | 944 |
| 07-Jan-13 | MBL | On market sale | AUD 3.09 | -26 | FPO | 26 |
| 07-Jan-13 | MBL | On market purchase | AUD 3.08 | 157 | FPO | 157 |
| 07-Jan-13 | MBL | On market purchase | AUD 3.08 | 2,744 | FPO | 2,744 |
| 07-Jan-13 07-Jan-13 |
MBL MBL |
On market purchase On market sale |
AUD 3.08 AUD 3.08 |
63 -5,764 |
FPO FPO |
63 5,764 |
| 07-Jan-13 | MBL | On market sale | AUD 3.07 | -2,836 | FPO | 2,836 |
| 07-Jan-13 | MBL | On market sale | AUD 3.07 | -194 | FPO | 194 |
| 07-Jan-13 | MBL | On market purchase | AUD 3.07 | 3,020 | FPO | 3,020 |
| 08-Jan-13 | MBL | On market purchase | AUD 3.09 | 5,000 | FPO | 5,000 |
| 08-Jan-13 | MBL MBL |
On market sale On market sale |
AUD 3.06 AUD 3.07 |
-213 | FPO | 213 16,054 |
| 08-Jan-13 08-Jan-13 |
MBL | On market sale | AUD 3.06 | -16,054 -639 |
FPO FPO |
639 |
| 08-Jan-13 | MBL | On market sale | AUD 3.04 | -24 | FPO | 24 |
| 08-Jan-13 | MBL | On market purchase | AUD 3.02 | 125 | FPO | 125 |
| 08-Jan-13 | MBL | On market purchase | AUD 3.01 | 125 | FPO | 125 |
| 08-Jan-13 | MBL MBL |
On market purchase On market sale |
AUD 3.01 AUD 2.99 |
4,173 | FPO | 4,173 226 |
| 08-Jan-13 08-Jan-13 |
MBL | On market sale | AUD 2.99 | -226 -4,173 |
FPO FPO |
4,173 |
| 08-Jan-13 | MBL | On market sale | AUD 2.99 | -6,196 | FPO | 6,196 |
| 09-Jan-13 | MBL | On market sale | AUD 3.02 | -168 | FPO | 168 |
| 09-Jan-13 | MBL | On market sale | AUD 3.02 | -168 | FPO | 168 |
| 09-Jan-13 | MBL | On market purchase | AUD 3.00 | 53 | FPO | 53 |
| 09-Jan-13 09-Jan-13 |
MBL MBL |
On market sale On market purchase |
AUD 3.00 AUD 3.00 |
-59 12 |
FPO FPO |
59 12 |
| 09-Jan-13 | MBL | On market sale | AUD 3.00 | -36 | FPO | 36 |
| 09-Jan-13 | MBL | On market sale | AUD 3.00 | -258 | FPO | 258 |
| 09-Jan-13 | MBL | On market sale | AUD 3.00 | -76 | FPO | 76 |
| 09-Jan-13 | MBL | On market purchase | AUD 2.99 | 203 | FPO | 203 |
| 09-Jan-13 09-Jan-13 |
MBL MBL |
On market purchase On market sale |
AUD 2.99 AUD 3.00 |
5,300 -2,759 |
FPO FPO |
5,300 2,759 |
| 09-Jan-13 | MBL | On market sale | AUD 3.00 | -51 | FPO | 51 |
| 09-Jan-13 | MBL | On market sale | AUD 2.98 | -122 | FPO | 122 |
| 09-Jan-13 | MBL | On market sale | AUD 2.98 | -2,541 | FPO | 2,541 |
| 09-Jan-13 | MBL | On market sale | AUD 2.98 | -5,309 | FPO | 5,309 |
| 10-Jan-13 10-Jan-13 |
MBL MBL |
On market sale On market sale |
AUD 3.00 AUD 2.99 |
-1,432 -259 |
FPO FPO |
1,432 259 |
| 10-Jan-13 | MBL | On market sale | AUD 2.99 | -213 | FPO | 213 |
| 10-Jan-13 | MBL | On market sale | AUD 3.00 | -213 | FPO | 213 |
| 10-Jan-13 | MBL | On market sale | AUD 3.00 | -122 | FPO | 122 |
| 10-Jan-13 | MBL | On market sale | AUD 3.00 | -91 | FPO | 91 |
| 10-Jan-13 10-Jan-13 |
MBL MBL |
On market sale On market sale |
AUD 3.00 AUD 2.98 |
-717 -8,043 |
FPO FPO |
717 8,043 |
| 10-Jan-13 | MBL | On market sale | AUD 3.00 | -25 | FPO | 25 |
| 10-Jan-13 | MBL | On market sale | AUD 2.99 | -2,818 | FPO | 2,818 |
| 10-Jan-13 | MBL | On market purchase | AUD 2.99 | 25 | FPO | 25 |
| 11-Jan-13 | MBL | On market sale | AUD 3.06 | -762 | FPO | 762 |
| 11-Jan-13 11-Jan-13 |
MBL MBL |
On market sale On market sale |
AUD 3.06 AUD 3.02 |
-213 -213 |
FPO FPO |
213 213 |
| 11-Jan-13 | MBL | On market sale | AUD 3.02 | -213 | FPO | 213 |
| 11-Jan-13 | MBL | On market sale | AUD 3.03 | -852 | FPO | 852 |
| 11-Jan-13 | MBL | On market sale | AUD 3.07 | -73 | FPO | 73 |
| Date of change |
Person whose relevant interest changed |
Nature of change | Consideration | Number of securities affected |
Class Person's votes affected |
|
|---|---|---|---|---|---|---|
| 11-Jan-13 | MBL | On market sale | AUD 3.07 | -5,357 | FPO | 5,357 |
| 11-Jan-13 | MBL | On market purchase | AUD 3.08 | 73 | FPO | 73 |
| 11-Jan-13 | MBL | On market sale | AUD 3.08 | -2,498 | FPO | 2,498 |
| 11-Jan-13 | MBL | On market purchase | AUD 3.07 | 7,855 | FPO | 7,855 |
| 11-Jan-13 19-Oct-12 |
MBL MBL |
On market sale On market purchase |
AUD 3.07 AUD 3.78 |
-5,744 788 |
FPO FPO |
5,744 788 |
| 19-Oct-12 | MBL | On market sale | AUD 3.81 | -912 | FPO | 912 |
| 19-Oct-12 | MBL | On market purchase | AUD 3.76 | 2,810 | FPO | 2,810 |
| 19-Oct-12 | MBL | On market sale | AUD 3.80 | -427 | FPO | 427 |
| 19-Oct-12 | MBL | On market purchase | AUD 3.80 | 4,607 | FPO | 4,607 |
| 19-Oct-12 | MBL | On market purchase | AUD 3.80 | 1,400 | FPO | 1,400 |
| 19-Oct-12 | MBL | On market purchase | AUD 3.79 | 2,500 | FPO | 2,500 |
| 19-Oct-12 | MBL | On market sale | AUD 3.80 | -1,509 | FPO | 1,509 |
| 19-Oct-12 19-Oct-12 |
MBL MBL |
On market purchase On market purchase |
AUD 3.79 AUD 3.80 |
3,119 12,150 |
FPO FPO |
3,119 12,150 |
| 22-Oct-12 | MBL | On market sale | AUD 3.74 | -261 | FPO | 261 |
| 22-Oct-12 | MBL | On market sale | AUD 3.71 | -2,492 | FPO | 2,492 |
| 22-Oct-12 | MBL | On market purchase | AUD 3.71 | 4,108 | FPO | 4,108 |
| 22-Oct-12 | MBL | On market purchase | AUD 3.72 | 1,497 | FPO | 1,497 |
| 22-Oct-12 | MBL | On market purchase | AUD 3.72 | 36 | FPO | 36 |
| 22-Oct-12 | MBL | On market sale | AUD 3.71 | -2,008 | FPO | 2,008 |
| 22-Oct-12 23-Oct-12 |
MBL MBL |
On market purchase On market sale |
AUD 3.72 AUD 3.72 |
871 -395 |
FPO FPO |
871 395 |
| 23-Oct-12 | MBL | On market purchase | AUD 3.74 | 2,357 | FPO | 2,357 |
| 23-Oct-12 | MBL | On market sale | AUD 3.70 | -5,230 | FPO | 5,230 |
| 23-Oct-12 | MBL | On market purchase | AUD 3.71 | 2,710 | FPO | 2,710 |
| 23-Oct-12 | MBL | On market sale | AUD 3.72 | -1,292 | FPO | 1,292 |
| 23-Oct-12 | MBL | On market purchase | AUD 3.68 | 827 | FPO | 827 |
| 23-Oct-12 | MBL | On market sale | AUD 3.74 | -843 | FPO | 843 |
| 23-Oct-12 23-Oct-12 |
MBL MBL |
On market purchase On market sale |
AUD 3.73 AUD 3.70 |
2,150 -21 |
FPO FPO |
2,150 21 |
| 23-Oct-12 | MBL | On market sale | AUD 3.73 | -26 | FPO | 26 |
| 23-Oct-12 | MBL | On market purchase | AUD 3.68 | 316 | FPO | 316 |
| 23-Oct-12 | MBL | On market sale | AUD 3.71 | -1,341 | FPO | 1,341 |
| 24-Oct-12 | MBL | On market purchase | AUD 3.57 | 3,581 | FPO | 3,581 |
| 24-Oct-12 | MBL MBL |
On market sale On market purchase |
AUD 3.59 | -1 | FPO | 1 22 |
| 24-Oct-12 24-Oct-12 |
MBL | On market sale | AUD 3.56 AUD 3.56 |
22 -255 |
FPO FPO |
255 |
| 24-Oct-12 | MBL | On market sale | AUD 3.57 | -1 | FPO | 1 |
| 24-Oct-12 | MBL | On market sale | AUD 3.58 | -2,300 | FPO | 2,300 |
| 24-Oct-12 | MBL | On market purchase | AUD 3.58 | 247 | FPO | 247 |
| 24-Oct-12 | MBL | On market purchase | AUD 3.57 | 555 | FPO | 555 |
| 24-Oct-12 24-Oct-12 |
MBL MBL |
On market purchase On market purchase |
AUD 3.56 AUD 3.55 |
1,833 280 |
FPO FPO |
1,833 280 |
| 24-Oct-12 | MBL | On market purchase | AUD 3.57 | 596 | FPO | 596 |
| 25-Oct-12 | MBL | On market purchase | AUD 3.46 | 85 | FPO | 85 |
| 25-Oct-12 | MBL | On market purchase | AUD 3.46 | 5,623 | FPO | 5,623 |
| 25-Oct-12 | MBL | On market sale | AUD 3.45 | -4 | FPO | 4 |
| 25-Oct-12 25-Oct-12 |
MBL MBL |
On market purchase On market sale |
AUD 3.43 AUD 3.45 |
843 -2,725 |
FPO FPO |
843 2,725 |
| 25-Oct-12 | MBL | On market sale | AUD 3.43 | -1,040 | FPO | 1,040 |
| 25-Oct-12 | MBL | On market sale | AUD 3.45 | -1,758 | FPO | 1,758 |
| 26-Oct-12 | MBL | On market purchase | AUD 3.50 | 2,250 | FPO | 2,250 |
| 26-Oct-12 | MBL | On market purchase | AUD 3.49 | 1,850 | FPO | 1,850 |
| 26-Oct-12 26-Oct-12 |
MBL MBL |
On market purchase On market purchase |
AUD 3.51 AUD 3.50 |
1,466 1,883 |
FPO FPO |
1,466 1,883 |
| 29-Oct-12 | MBL | On market sale | AUD 3.47 | -100 | FPO | 100 |
| 29-Oct-12 | MBL | On market sale | AUD 3.46 | -100 | FPO | 100 |
| 29-Oct-12 | MBL | On market sale | AUD 3.46 | -683 | FPO | 683 |
| 29-Oct-12 | MBL | On market sale | AUD 3.45 | -49 | FPO | 49 |
| 29-Oct-12 29-Oct-12 |
MBL MBL |
On market sale On market sale |
AUD 3.45 AUD 3.45 |
-2,088 -100 |
FPO FPO |
2,088 100 |
| 30-Oct-12 | MBL | On market sale | AUD 3.36 | -185 | FPO | 185 |
| 30-Oct-12 | MBL | On market sale | AUD 3.41 | -2,300 | FPO | 2,300 |
| 30-Oct-12 | MBL | On market purchase | AUD 3.39 | 1,772 | FPO | 1,772 |
| 30-Oct-12 | MBL | On market purchase | AUD 3.39 | 3,400 | FPO | 3,400 |
| 30-Oct-12 30-Oct-12 |
MBL MBL |
On market purchase On market sale |
AUD 3.38 AUD 3.39 |
100 -748 |
FPO FPO |
100 748 |
| 30-Oct-12 | MBL | On market sale | AUD 3.39 | -500 | FPO | 500 |
| 31-Oct-12 | MBL | On market sale | AUD 3.50 | -1,000 | FPO | 1,000 |
| 31-Oct-12 | MBL | On market purchase | AUD 3.47 | 28 | FPO | 28 |
| 31-Oct-12 | MBL | On market sale | AUD 3.45 | -909 | FPO | 909 |
| 31-Oct-12 31-Oct-12 |
MBL MBL |
On market purchase On market sale |
AUD 3.45 AUD 3.48 |
1,460 -833 |
FPO FPO |
1,460 833 |
| Date of change |
Person whose relevant interest changed |
Nature of change | Consideration | Number of securities affected |
Class Person's votes affected |
|
|---|---|---|---|---|---|---|
| 31-Oct-12 | MBL | On market sale | AUD 3.47 | -28 | FPO | 28 |
| 31-Oct-12 | MBL | On market sale | AUD 3.47 | -2,702 | FPO | 2,702 |
| 31-Oct-12 | MBL | On market sale | AUD 3.50 | -2,430 | FPO | 2,430 |
| 31-Oct-12 | MBL | On market sale | AUD 3.48 | -3,846 | FPO | 3,846 |
| 31-Oct-12 | MBL | On market sale | AUD 3.47 | -442 | FPO | 442 |
| 31-Oct-12 | MBL | On market sale | AUD 3.45 | -25 | FPO | 25 |
| 31-Oct-12 | MBL | On market sale | AUD 3.45 | -147 | FPO | 147 |
| 01-Nov-12 | MBL | On market sale | AUD 3.46 | -484 | FPO | 484 |
| 02-Nov-12 | MBL | On market purchase | AUD 3.38 | 2,674 | FPO | 2,674 |
| 02-Nov-12 | MBL | On market sale | AUD 3.41 | -506 | FPO | 506 |
| 05-Nov-12 | MBL | On market purchase | AUD 3.28 | 1,001 | FPO | 1,001 |
| 05-Nov-12 | MBL | On market purchase | AUD 3.27 | 6,316 | FPO | 6,316 |
| 05-Nov-12 | MBL | On market sale | AUD 3.27 | -94 | FPO | 94 |
| 05-Nov-12 | MBL | On market purchase | AUD 3.28 | 1,315 | FPO | 1,315 |
| 05-Nov-12 | MBL | On market purchase | AUD 3.27 | 501 | FPO | 501 |
| 05-Nov-12 | MBL | On market purchase | AUD 3.27 | 4,393 | FPO | 4,393 |
| 05-Nov-12 | MBL | On market purchase | AUD 3.27 | 105 | FPO | 105 |
| 05-Nov-12 05-Nov-12 |
MBL MBL |
On market sale On market sale |
AUD 3.29 AUD 3.26 |
-5 -11 |
FPO FPO |
5 11 |
| 05-Nov-12 | MBL | On market purchase | AUD 3.29 | 783 | FPO | 783 |
| 05-Nov-12 | MBL | On market sale | AUD 3.27 | -39,526 | FPO | 39,526 |
| 05-Nov-12 | MBL | On market purchase | AUD 3.28 | 633 | FPO | 633 |
| 05-Nov-12 | MBL | On market purchase | AUD 3.27 | 39,526 | FPO | 39,526 |
| 05-Nov-12 | MBL | On market purchase | AUD 3.28 | 1,544 | FPO | 1,544 |
| 05-Nov-12 | MBL | On market purchase | AUD 3.27 | 39,526 | FPO | 39,526 |
| 06-Nov-12 | MBL | On market purchase | AUD 3.28 | 1,400 | FPO | 1,400 |
| 06-Nov-12 | MBL | On market purchase | AUD 3.28 | 900 | FPO | 900 |
| 07-Nov-12 | MBL | On market sale | AUD 3.36 | -3,185 | FPO | 3,185 |
| 07-Nov-12 | MBL | On market sale | AUD 3.32 | -2,280 | FPO | 2,280 |
| 07-Nov-12 07-Nov-12 |
MBL MBL |
On market sale On market sale |
AUD 3.33 AUD 3.35 |
-1,957 -42 |
FPO FPO |
1,957 42 |
| 07-Nov-12 | MBL | On market sale | AUD 3.29 | -500 | FPO | 500 |
| 07-Nov-12 | MBL | On market sale | AUD 3.30 | -2,600 | FPO | 2,600 |
| 07-Nov-12 | MBL | On market sale | AUD 3.33 | -17 | FPO | 17 |
| 07-Nov-12 | MBL | On market purchase | AUD 3.29 | 221 | FPO | 221 |
| 07-Nov-12 | MBL | On market sale | AUD 3.37 | -2 | FPO | 2 |
| 08-Nov-12 | MBL | On market sale | AUD 3.33 | -1,915 | FPO | 1,915 |
| 08-Nov-12 | MBL | On market sale | AUD 3.33 | -56 | FPO | 56 |
| 08-Nov-12 | MBL | On market sale | AUD 3.33 | -308 | FPO | 308 |
| 08-Nov-12 08-Nov-12 |
MBL MBL |
On market sale On market sale |
AUD 3.33 AUD 3.33 |
-3,140 -4,394 |
FPO FPO |
3,140 4,394 |
| 08-Nov-12 | MBL | On market sale | AUD 3.33 | -2 | FPO | 2 |
| 08-Nov-12 | MBL | On market sale | AUD 3.33 | -31 | FPO | 31 |
| 09-Nov-12 | MBL | On market sale | AUD 3.48 | -438 | FPO | 438 |
| 09-Nov-12 | MBL | On market sale | AUD 3.50 | -288 | FPO | 288 |
| 09-Nov-12 | MBL | On market sale | AUD 3.48 | -4,097 | FPO | 4,097 |
| 09-Nov-12 | MBL | On market sale | AUD 3.47 | -5,032 | FPO | 5,032 |
| 09-Nov-12 | MBL | On market sale | AUD 3.47 | -186 | FPO | 186 |
| 09-Nov-12 09-Nov-12 |
MBL MBL |
On market sale On market sale |
AUD 3.45 AUD 3.50 |
-333 -3,706 |
FPO FPO |
333 3,706 |
| 09-Nov-12 | MBL | On market sale | AUD 3.44 | -743 | FPO | 743 |
| 09-Nov-12 | MBL | On market sale | AUD 3.44 | -286 | FPO | 286 |
| 09-Nov-12 | MBL | On market sale | AUD 3.46 | -12,252 | FPO | 12,252 |
| 09-Nov-12 | MBL | On market sale | AUD 3.47 | -134 | FPO | 134 |
| 09-Nov-12 | MBL | On market sale | AUD 3.49 | -709 | FPO | 709 |
| 09-Nov-12 | MBL | On market sale | AUD 3.47 | -234 | FPO | 234 |
| 12-Nov-12 | MBL | On market sale | AUD 3.55 | -3,000 | FPO | 3,000 |
| 12-Nov-12 12-Nov-12 |
MBL MBL |
On market sale On market sale |
AUD 3.57 AUD 3.57 |
-4,748 -3,474 |
FPO FPO |
4,748 3,474 |
| 12-Nov-12 | MBL | On market sale | AUD 3.55 | -49 | FPO | 49 |
| 12-Nov-12 | MBL | On market sale | AUD 3.57 | -2,192 | FPO | 2,192 |
| 13-Nov-12 | MBL | On market sale | AUD 3.38 | -493 | FPO | 493 |
| 14-Nov-12 | MBL | On market purchase | AUD 3.29 | 658 | FPO | 658 |
| 14-Nov-12 | MBL | On market purchase | AUD 3.28 | 43 | FPO | 43 |
| 15-Nov-12 | MBL | On market sale | AUD 3.20 | -110 | FPO | 110 |
| 15-Nov-12 | MBL | On market purchase | AUD 3.20 | 894 | FPO | 894 |
| 15-Nov-12 15-Nov-12 |
MBL MBL |
On market sale On market sale |
AUD 3.21 AUD 3.23 |
-458 -131 |
FPO FPO |
458 131 |
| 15-Nov-12 | MBL | On market sale | AUD 3.24 | -653 | FPO | 653 |
| 16-Nov-12 | MBL | On market purchase | AUD 3.18 | 37 | FPO | 37 |
| 16-Nov-12 | MBL | On market purchase | AUD 3.19 | 192 | FPO | 192 |
| 16-Nov-12 | MBL | On market sale | AUD 3.21 | -37 | FPO | 37 |
| 16-Nov-12 | MBL | On market sale | AUD 3.19 | -243 | FPO | 243 |
| 16-Nov-12 | MBL | On market sale | AUD 3.19 | -6 | FPO | 6 |
| Date of change |
Person whose relevant interest changed |
Nature of change | Consideration | Number of securities affected |
Class Person's votes affected |
|
|---|---|---|---|---|---|---|
| 16-Nov-12 | MBL | On market purchase | AUD 3.19 | 643 | FPO | 643 |
| 19-Nov-12 | MBL | On market sale | AUD 3.29 | -100 | FPO | 100 |
| 19-Nov-12 | MBL | On market sale | AUD 3.26 | -829 | FPO | 829 |
| 19-Nov-12 | MBL | On market purchase | AUD 3.27 | 121 | FPO | 121 |
| 19-Nov-12 19-Nov-12 |
MBL MBL |
On market sale On market sale |
AUD 3.29 AUD 3.29 |
-21 -91 |
FPO FPO |
21 91 |
| 19-Nov-12 | MBL | On market purchase | AUD 3.27 | 128 | FPO | 128 |
| 20-Nov-12 | MBL | On market purchase | AUD 3.37 | 147 | FPO | 147 |
| 20-Nov-12 | MBL | On market sale | AUD 3.39 | -37 | FPO | 37 |
| 20-Nov-12 | MBL | On market sale | AUD 3.37 | -46 | FPO | 46 |
| 20-Nov-12 | MBL | On market sale | AUD 3.41 | -147 | FPO | 147 |
| 20-Nov-12 | MBL | On market purchase | AUD 3.37 | 46 | FPO | 46 |
| 21-Nov-12 | MBL | On market sale | AUD 3.50 | -2,957 | FPO | 2,957 |
| 21-Nov-12 | MBL | On market purchase | AUD 3.45 | 5,534 | FPO | 5,534 |
| 21-Nov-12 21-Nov-12 |
MBL MBL |
On market sale On market sale |
AUD 3.50 AUD 3.48 |
-3 -1 |
FPO FPO |
3 1 |
| 21-Nov-12 | MBL | On market sale | AUD 3.45 | -517 | FPO | 517 |
| 21-Nov-12 | MBL | On market sale | AUD 3.47 | -1,197 | FPO | 1,197 |
| 21-Nov-12 | MBL | On market sale | AUD 3.49 | -97 | FPO | 97 |
| 21-Nov-12 | MBL | On market sale | AUD 3.49 | -704 | FPO | 704 |
| 21-Nov-12 | MBL | On market sale | AUD 3.51 | -5 | FPO | 5 |
| 21-Nov-12 | MBL | On market sale | AUD 3.50 | -113 | FPO | 113 |
| 21-Nov-12 22-Nov-12 |
MBL MBL |
On market purchase On market purchase |
AUD 3.48 AUD 3.56 |
60 100 |
FPO FPO |
60 100 |
| 22-Nov-12 | MBL | On market purchase | AUD 3.56 | 59 | FPO | 59 |
| 22-Nov-12 | MBL | On market purchase | AUD 3.52 | 1,185 | FPO | 1,185 |
| 26-Nov-12 | MBL | On market sale | AUD 3.53 | -1,344 | FPO | 1,344 |
| 27-Nov-12 | MBL | On market sale | AUD 3.45 | -579 | FPO | 579 |
| 27-Nov-12 27-Nov-12 |
MBL MBL |
On market purchase On market sale |
AUD 3.45 AUD 3.45 |
3,396 -303 |
FPO FPO |
3,396 303 |
| 27-Nov-12 | MBL | On market sale | AUD 3.46 | -221 | FPO | 221 |
| 27-Nov-12 | MBL | On market purchase | AUD 3.48 | 307 | FPO | 307 |
| 27-Nov-12 | MBL | On market sale | AUD 3.45 | -28 | FPO | 28 |
| 27-Nov-12 | MBL | On market sale | AUD 3.46 | -307 | FPO | 307 |
| 28-Nov-12 | MBL | On market purchase | AUD 3.42 | 651 | FPO | 651 |
| 28-Nov-12 | MBL MBL |
On market sale On market sale |
AUD 3.42 | -737 | FPO | 737 351 |
| 28-Nov-12 28-Nov-12 |
MBL | On market sale | AUD 3.42 AUD 3.44 |
-351 -125 |
FPO FPO |
125 |
| 28-Nov-12 | MBL | On market sale | AUD 3.42 | -3 | FPO | 3 |
| 28-Nov-12 | MBL | On market purchase | AUD 3.42 | 565 | FPO | 565 |
| 28-Nov-12 | MBL | On market sale | AUD 3.48 | -765 | FPO | 765 |
| 28-Nov-12 | MBL | On market purchase | AUD 3.42 | 754 | FPO | 754 |
| 28-Nov-12 28-Nov-12 |
MBL MBL |
On market purchase On market purchase |
AUD 3.42 AUD 3.46 |
285 206 |
FPO FPO |
285 206 |
| 28-Nov-12 | MBL | On market purchase | AUD 3.42 | 100 | FPO | 100 |
| 28-Nov-12 | MBL | On market sale | AUD 3.48 | -1,500 | FPO | 1,500 |
| 28-Nov-12 | MBL | On market purchase | AUD 3.44 | 377 | FPO | 377 |
| 30-Nov-12 | MBL | On market purchase | AUD 3.45 | 1,427 | FPO | 1,427 |
| 30-Nov-12 30-Nov-12 |
MBL MBL |
On market sale On market sale |
AUD 3.44 AUD 3.45 |
-100 -588 |
FPO FPO |
100 588 |
| 30-Nov-12 | MBL | On market purchase | AUD 3.44 | 268 | FPO | 268 |
| 03-Dec-12 | MBL | On market purchase | AUD 3.42 | 168 | FPO | 168 |
| 03-Dec-12 | MBL | On market purchase | AUD 3.40 | 29 | FPO | 29 |
| 03-Dec-12 | MBL | On market sale | AUD 3.41 | -795 | FPO | 795 |
| 03-Dec-12 03-Dec-12 |
MBL MBL |
On market sale On market sale |
AUD 3.40 AUD 3.42 |
-325 -502 |
FPO FPO |
325 502 |
| 04-Dec-12 | MBL | On market purchase | AUD 3.33 | 600 | FPO | 600 |
| 04-Dec-12 | MBL | On market purchase | AUD 3.30 | 655 | FPO | 655 |
| 04-Dec-12 | MBL | On market purchase | AUD 3.33 | 2,080 | FPO | 2,080 |
| 05-Dec-12 | MBL | On market sale | AUD 3.24 | -2,529 | FPO | 2,529 |
| 05-Dec-12 05-Dec-12 |
MBL MBL |
On market purchase On market purchase |
AUD 3.24 AUD 3.25 |
7 440 |
FPO FPO |
7 440 |
| 05-Dec-12 | MBL | On market purchase | AUD 3.19 | 1,452 | FPO | 1,452 |
| 05-Dec-12 | MBL | On market purchase | AUD 3.19 | 143 | FPO | 143 |
| 05-Dec-12 | MBL | On market purchase | AUD 3.23 | 1,094 | FPO | 1,094 |
| 05-Dec-12 | MBL | On market sale | AUD 3.19 | -2,360 | FPO | 2,360 |
| 05-Dec-12 05-Dec-12 |
MBL MBL |
On market sale On market sale |
AUD 3.26 AUD 3.24 |
-553 -443 |
FPO FPO |
553 443 |
| 05-Dec-12 | MBL | On market sale | AUD 3.23 | -1,240 | FPO | 1,240 |
| 06-Dec-12 | MBL | On market purchase | AUD 3.20 | 73 | FPO | 73 |
| 06-Dec-12 | MBL | On market sale | AUD 3.21 | -7 | FPO | 7 |
| 06-Dec-12 | MBL | On market sale | AUD 3.20 | -21 | FPO | 21 |
| 06-Dec-12 06-Dec-12 |
MBL MBL |
On market sale On market purchase |
AUD 3.21 AUD 3.19 |
-130 34 |
FPO FPO |
130 34 |
| Date of change |
Person whose relevant interest changed |
Nature of change | Consideration | Number of securities affected |
Class Person's votes affected |
|
|---|---|---|---|---|---|---|
| 07-Dec-12 | MBL | On market sale | AUD 3.22 | -453 | FPO | 453 |
| 10-Dec-12 | MBL | On market sale | AUD 3.29 | -73 | FPO | 73 |
| 11-Dec-12 | MBL | On market sale | AUD 3.27 | -445 | FPO | 445 |
| 11-Dec-12 11-Dec-12 |
MBL MBL |
On market purchase On market purchase |
AUD 3.25 AUD 3.25 |
138 78 |
FPO FPO |
138 78 |
| 11-Dec-12 | MBL | On market sale | AUD 3.25 | -132 | FPO | 132 |
| 11-Dec-12 | MBL | On market purchase | AUD 3.31 | 4,623 | FPO | 4,623 |
| 11-Dec-12 | MBL | On market sale | AUD 3.25 | -28 | FPO | 28 |
| 11-Dec-12 | MBL | On market purchase | AUD 3.31 | 3,000 | FPO | 3,000 |
| 12-Dec-12 | MBL | On market purchase | AUD 3.27 | 75 | FPO | 75 |
| 12-Dec-12 | MBL MBL |
On market purchase On market sale |
AUD 3.27 | 501 | FPO | 501 720 |
| 12-Dec-12 12-Dec-12 |
MBL | On market purchase | AUD 3.26 AUD 3.26 |
-720 2,521 |
FPO FPO |
2,521 |
| 12-Dec-12 | MBL | On market sale | AUD 3.26 | -1,915 | FPO | 1,915 |
| 13-Dec-12 | MBL | On market sale | AUD 3.29 | -200 | FPO | 200 |
| 13-Dec-12 | MBL | On market sale | AUD 3.29 | -579 | FPO | 579 |
| 13-Dec-12 | MBL | On market sale | AUD 3.36 | -2,330 | FPO | 2,330 |
| 13-Dec-12 13-Dec-12 |
MBL MBL |
On market sale On market sale |
AUD 3.31 AUD 3.30 |
-173 -172 |
FPO FPO |
173 172 |
| 13-Dec-12 | MBL | On market sale | AUD 3.33 | -100 | FPO | 100 |
| 14-Dec-12 | MBL | On market sale | AUD 3.41 | -977 | FPO | 977 |
| 14-Dec-12 | MBL | On market sale | AUD 3.40 | -1,524 | FPO | 1,524 |
| 14-Dec-12 | MBL | On market sale | AUD 3.47 | -178 | FPO | 178 |
| 14-Dec-12 14-Dec-12 |
MBL MBL |
On market sale On market sale |
AUD 3.46 AUD 3.43 |
-233 -259 |
FPO FPO |
233 259 |
| 17-Dec-12 | MBL | On market sale | AUD 3.22 | -32 | FPO | 32 |
| 17-Dec-12 | MBL | On market sale | AUD 3.22 | -2,202 | FPO | 2,202 |
| 17-Dec-12 | MBL | On market purchase | AUD 3.15 | 1,699 | FPO | 1,699 |
| 17-Dec-12 | MBL | On market sale | AUD 3.25 | -507 | FPO | 507 |
| 18-Dec-12 | MBL | On market sale | AUD 3.32 | -2 | FPO | 2 |
| 18-Dec-12 18-Dec-12 |
MBL MBL |
On market sale On market purchase |
AUD 3.29 AUD 3.33 |
-2,252 2,252 |
FPO FPO |
2,252 2,252 |
| 19-Dec-12 | MBL | On market sale | AUD 3.30 | -181 | FPO | 181 |
| 19-Dec-12 | MBL | On market purchase | AUD 3.27 | 349 | FPO | 349 |
| 19-Dec-12 | MBL | On market sale | AUD 3.29 | -168 | FPO | 168 |
| 20-Dec-12 | MBL | On market purchase | AUD 3.23 | 12,633 | FPO | 12,633 |
| 20-Dec-12 | MBL | On market sale | AUD 3.24 | -100 | FPO | 100 |
| 20-Dec-12 21-Dec-12 |
MBL MBL |
On market purchase On market purchase |
AUD 3.22 AUD 3.09 |
100 523 |
FPO FPO |
100 523 |
| 21-Dec-12 | MBL | On market purchase | AUD 3.14 | 306 | FPO | 306 |
| 21-Dec-12 | MBL | On market sale | AUD 3.13 | -32 | FPO | 32 |
| 21-Dec-12 | MBL | On market sale | AUD 3.13 | -13,324 | FPO | 13,324 |
| 21-Dec-12 | MBL | On market purchase | AUD 3.08 | 200 | FPO | 200 |
| 28-Dec-12 28-Dec-12 |
MBL MBL |
On market purchase On market purchase |
AUD 3.32 AUD 3.32 |
2 225 |
FPO FPO |
2 225 |
| 28-Dec-12 | MBL | On market sale | AUD 3.33 | -174 | FPO | 174 |
| 28-Dec-12 | MBL | On market sale | AUD 3.34 | -86 | FPO | 86 |
| 28-Dec-12 | MBL | On market purchase | AUD 3.34 | 713 | FPO | 713 |
| 28-Dec-12 | MBL | On market purchase | AUD 3.34 | 100 | FPO | 100 |
| 28-Dec-12 04-Jan-13 |
MBL MBL |
On market purchase On market sale |
AUD 3.35 AUD 3.32 |
306 -525 |
FPO FPO |
306 525 |
| 04-Jan-13 | MBL | On market purchase | AUD 3.21 | 603 | FPO | 603 |
| 04-Jan-13 | MBL | On market purchase | AUD 3.34 | 1,459 | FPO | 1,459 |
| 04-Jan-13 | MBL | On market sale | AUD 3.23 | -563 | FPO | 563 |
| 04-Jan-13 | MBL | On market purchase | AUD 3.32 | 501 | FPO | 501 |
| 04-Jan-13 | MBL MBL |
On market purchase On market sale |
AUD 3.26 | 2,383 | FPO | 2,383 2,862 |
| 04-Jan-13 04-Jan-13 |
MBL | On market sale | AUD 3.34 AUD 3.27 |
-2,862 -260 |
FPO FPO |
260 |
| 04-Jan-13 | MBL | On market sale | AUD 3.34 | -40 | FPO | 40 |
| 04-Jan-13 | MBL | On market sale | AUD 3.29 | -2,383 | FPO | 2,383 |
| 04-Jan-13 | MBL | On market sale | AUD 3.38 | -3,740 | FPO | 3,740 |
| 04-Jan-13 | MBL MBL |
On market sale On market purchase |
AUD 3.22 | -85 | FPO | 85 181 |
| 04-Jan-13 04-Jan-13 |
MBL | On market purchase | AUD 3.33 AUD 3.34 |
181 27 |
FPO FPO |
27 |
| 04-Jan-13 | MBL | On market purchase | AUD 3.28 | 114 | FPO | 114 |
| 04-Jan-13 | MBL | On market purchase | AUD 3.36 | 3,867 | FPO | 3,867 |
| 07-Jan-13 | MBL | On market purchase | AUD 3.08 | 1,000 | FPO | 1,000 |
| 07-Jan-13 | MBL | On market purchase | AUD 3.10 | 80 | FPO | 80 |
| 07-Jan-13 07-Jan-13 |
MBL MBL |
On market purchase On market purchase |
AUD 3.11 AUD 3.11 |
1,133 214 |
FPO FPO |
1,133 214 |
| 07-Jan-13 | MBL | On market purchase | AUD 3.22 | 287 | FPO | 287 |
| 07-Jan-13 | MBL | On market purchase | AUD 3.20 | 100 | FPO | 100 |
| 07-Jan-13 | MBL | On market purchase | AUD 3.25 | 214 | FPO | 214 |
| 07-Jan-13 | MBL | On market purchase | AUD 3.10 | 592 | FPO | 592 |
| Date of change |
Person whose relevant interest changed |
Nature of change | Consideration | Number of securities affected |
Class Person's votes affected |
|
|---|---|---|---|---|---|---|
| 07-Jan-13 | MBL | On market purchase | AUD 3.16 | 64 | FPO | 64 |
| 07-Jan-13 | MBL | On market purchase | AUD 3.09 | 2,380 | FPO | 2,380 |
| 07-Jan-13 | MBL | On market purchase | AUD 3.10 | 580 | FPO | 580 |
| 08-Jan-13 | MBL | On market purchase | AUD 3.05 | 340 | FPO | 340 |
| 08-Jan-13 | MBL | On market purchase | AUD 3.01 | 150 | FPO | 150 |
| 08-Jan-13 | MBL | On market purchase | AUD 3.07 | 2,055 | FPO | 2,055 |
| 08-Jan-13 | MBL | On market sale | AUD 3.07 | -19 | FPO | 19 |
| 08-Jan-13 | MBL | On market sale | AUD 3.03 | -74 | FPO | 74 |
| 08-Jan-13 | MBL | On market purchase | AUD 3.07 | 1,610 | FPO | 1,610 |
| 08-Jan-13 | MBL | On market purchase | AUD 3.05 | 1,000 | FPO | 1,000 |
| 08-Jan-13 | MBL | On market purchase | AUD 3.08 | 1,086 | FPO | 1,086 |
| 08-Jan-13 08-Jan-13 |
MBL MBL |
On market purchase On market purchase |
AUD 3.03 AUD 3.04 |
3,000 10,463 |
FPO FPO |
3,000 10,463 |
| 08-Jan-13 | MBL | On market purchase | AUD 3.10 | 995 | FPO | 995 |
| 08-Jan-13 | MBL | On market purchase | AUD 3.04 | 33 | FPO | 33 |
| 08-Jan-13 | MBL | On market purchase | AUD 3.04 | 150 | FPO | 150 |
| 08-Jan-13 | MBL | On market sale | AUD 3.09 | -50 | FPO | 50 |
| 08-Jan-13 | MBL | On market purchase | AUD 3.05 | 9,577 | FPO | 9,577 |
| 08-Jan-13 | MBL | On market purchase | AUD 3.08 | 2,150 | FPO | 2,150 |
| 08-Jan-13 | MBL | On market purchase | AUD 3.09 | 434 | FPO | 434 |
| 08-Jan-13 | MBL | On market purchase | AUD 3.04 | 2,309 | FPO | 2,309 |
| 08-Jan-13 | MBL | On market purchase | AUD 3.08 | 214 | FPO | 214 |
| 08-Jan-13 | MBL | On market purchase | AUD 3.02 | 4,542 | FPO | 4,542 |
| 08-Jan-13 09-Jan-13 |
MBL MBL |
On market purchase On market purchase |
AUD 3.05 AUD 2.98 |
1,000 12,996 |
FPO FPO |
1,000 12,996 |
| 09-Jan-13 | MBL | On market purchase | AUD 3.02 | 3,735 | FPO | 3,735 |
| 09-Jan-13 | MBL | On market purchase | AUD 3.00 | 2,876 | FPO | 2,876 |
| 09-Jan-13 | MBL | On market purchase | AUD 3.01 | 1,627 | FPO | 1,627 |
| 09-Jan-13 | MBL | On market purchase | AUD 3.00 | 3,295 | FPO | 3,295 |
| 09-Jan-13 | MBL | On market purchase | AUD 3.01 | 1,673 | FPO | 1,673 |
| 09-Jan-13 | MBL | On market purchase | AUD 3.02 | 7,250 | FPO | 7,250 |
| 09-Jan-13 | MBL | On market purchase | AUD 2.99 | 418 | FPO | 418 |
| 09-Jan-13 | MBL | On market purchase | AUD 2.99 | 1,314 | FPO | 1,314 |
| 09-Jan-13 | MBL | On market purchase | AUD 3.01 | 464 | FPO | 464 |
| 09-Jan-13 09-Jan-13 |
MBL MBL |
On market purchase On market purchase |
AUD 3.03 AUD 3.06 |
27 1,066 |
FPO FPO |
27 1,066 |
| 09-Jan-13 | MBL | On market purchase | AUD 2.99 | 894 | FPO | 894 |
| 09-Jan-13 | MBL | On market purchase | AUD 3.07 | 6,943 | FPO | 6,943 |
| 09-Jan-13 | MBL | On market purchase | AUD 3.01 | 2,818 | FPO | 2,818 |
| 10-Jan-13 | MBL | On market purchase | AUD 2.99 | 15 | FPO | 15 |
| 10-Jan-13 | MBL | On market purchase | AUD 3.01 | 590 | FPO | 590 |
| 10-Jan-13 | MBL | On market purchase | AUD 3.00 | 4 | FPO | 4 |
| 10-Jan-13 | MBL | On market purchase | AUD 3.01 | 4,097 | FPO | 4,097 |
| 10-Jan-13 | MBL | On market purchase | AUD 3.00 | 23 | FPO | 23 |
| 10-Jan-13 | MBL | On market purchase | AUD 2.99 | 56 | FPO | 56 |
| 10-Jan-13 11-Jan-13 |
MBL MBL |
On market purchase On market sale |
AUD 3.00 AUD 3.06 |
17 -714 |
FPO FPO |
17 714 |
| 11-Jan-13 | MBL | On market sale | AUD 3.05 | -1,600 | FPO | 1,600 |
| 11-Jan-13 | MBL | On market sale | AUD 3.07 | -100 | FPO | 100 |
| 11-Jan-13 | MBL | On market purchase | AUD 3.06 | 13 | FPO | 13 |
| 11-Jan-13 | MBL | On market sale | AUD 3.04 | -19 | FPO | 19 |
| Borrow Delivery under Stock | ||||||
| Lending agreement - Refer to | ||||||
| 16-Nov-12 | MBL | Annex I | AUD 3.41 | 6,000 | FPO | 6,000 |
| Borrow Delivery under Stock | ||||||
| Lending agreement - Refer to | ||||||
| Annex C of Substantial Shareholding Notice in |
||||||
| SLR.AX lodged by Macquarie | ||||||
| Group Limited on 19-Oct | ||||||
| 01-Nov-12 | MBL | 2012 | AUD 3.70 | 65,000 | FPO | 65,000 |
| Borrow Delivery under Stock | ||||||
| Lending agreement - Refer to | ||||||
| Annex C of Substantial | ||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie | ||||||
| Group Limited on 19-Oct | ||||||
| 15-Nov-12 | MBL | 2012 | AUD 3.45 | 110,000 | FPO | 110,000 |
| Date of change |
Person whose relevant interest changed |
Nature of change | Consideration | Number of securities affected |
Class Person's votes affected |
|
|---|---|---|---|---|---|---|
| Borrow Delivery under Stock | ||||||
| Lending agreement - Refer to | ||||||
| Annex C of Substantial | ||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie | ||||||
| Group Limited on 19-Oct | ||||||
| 07-Nov-12 | MBL | 2012 | AUD 3.45 | 380,000 | FPO | 380,000 |
| Borrow Delivery under Stock | ||||||
| Lending agreement - Refer to | ||||||
| Annex C of Substantial | ||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie | ||||||
| Group Limited on 19-Oct | ||||||
| 19-Nov-12 | MBL | 2012 | AUD 3.35 | 170,000 | FPO | 170,000 |
| Borrow Delivery under Stock Lending agreement - Refer to |
||||||
| Annex C of Substantial | ||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie | ||||||
| Group Limited on 19-Oct | ||||||
| 31-Oct-12 | MBL | 2012 | AUD 3.55 | 80,000 | FPO | 80,000 |
| Borrow Delivery under Stock | ||||||
| Lending agreement - Refer to | ||||||
| Annex C of Substantial | ||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie | ||||||
| Group Limited on 19-Oct | ||||||
| 30-Oct-12 | MBL | 2012 | AUD 3.65 | 70,000 | FPO | 70,000 |
| Borrow Delivery under Stock Lending agreement - Refer to |
||||||
| Annex C of Substantial | ||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie | ||||||
| Group Limited on 19-Oct | ||||||
| 05-Dec-12 | MBL | 2012 | AUD 3.45 | 25,000 | FPO | 25,000 |
| Borrow Return under Stock | ||||||
| Lending agreement - Refer to | ||||||
| Annex C of Substantial | ||||||
| Shareholding Notice in SLR.AX lodged by Macquarie |
||||||
| Group Limited on 19-Oct | ||||||
| 13-Nov-12 | MBL | 2012 | AUD 3.69 | -380,000 | FPO | 380,000 |
| Borrow Return under Stock | ||||||
| Lending agreement - Refer to | ||||||
| Annex C of Substantial | ||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie | ||||||
| 13-Nov-12 | MBL | Group Limited on 19-Oct 2012 |
AUD 3.69 | -65,000 | FPO | 65,000 |
| Borrow Return under Stock | ||||||
| Lending agreement - Refer to | ||||||
| Annex C of Substantial | ||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie | ||||||
| Group Limited on 19-Oct | ||||||
| 13-Nov-12 | MBL | 2012 | AUD 3.69 | -60,000 | FPO | 60,000 |
| Borrow Delivery under Stock Lending agreement - Refer to |
||||||
| Annex D of Substantial | ||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie | ||||||
| Group Limited on 13-Aug | ||||||
| 13-Nov-12 | MBL | 2012 | AUD 3.33 | 172,471 | FPO | 172,471 |
| Borrow Delivery under Stock | ||||||
| Lending agreement - Refer to | ||||||
| Annex D of Substantial | ||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie | ||||||
| 22-Oct-12 | MBL | Group Limited on 13-Aug 2012 |
AUD 3.62 | 250,000 | FPO | 250,000 |
| Date of change |
Person whose relevant interest changed |
Nature of change | Consideration | Number of securities affected |
Class Person's votes affected |
|
|---|---|---|---|---|---|---|
| Borrow Delivery under Stock | ||||||
| Lending agreement - Refer to | ||||||
| Annex D of Substantial | ||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie | ||||||
| Group Limited on 13-Aug | ||||||
| 30-Oct-12 | MBL | 2012 | AUD 3.28 | 146,000 | FPO | 146,000 |
| Borrow Delivery under Stock | ||||||
| Lending agreement - Refer to Annex D of Substantial |
||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie | ||||||
| Group Limited on 13-Aug | ||||||
| 08-Nov-12 | MBL | 2012 | AUD 3.20 | 700,000 | FPO | 700,000 |
| Borrow Delivery under Stock | ||||||
| Lending agreement - Refer to | ||||||
| Annex D of Substantial | ||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie | ||||||
| MBL | Group Limited on 13-Aug 2012 |
200,000 | ||||
| 26-Oct-12 | Borrow Return under Stock | AUD 3.27 | 200,000 | FPO | ||
| Lending agreement - Refer to | ||||||
| Annex D of Substantial | ||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie | ||||||
| Group Limited on 13-Aug | ||||||
| 26-Nov-12 | MBL | 2012 | AUD 3.33 | -91,490 | FPO | 91,490 |
| Borrow Return under Stock Lending agreement - Refer to |
||||||
| Annex D of Substantial | ||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie | ||||||
| Group Limited on 13-Aug | ||||||
| 23-Nov-12 | MBL | 2012 | AUD 3.33 | -7,519 | FPO | 7,519 |
| Borrow Return under Stock | ||||||
| Lending agreement - Refer to Annex D of Substantial |
||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie | ||||||
| Group Limited on 13-Aug | ||||||
| 26-Nov-12 | MBL | 2012 | AUD 3.33 | -16,541 | FPO | 16,541 |
| Borrow Return under Stock | ||||||
| Lending agreement - Refer to | ||||||
| Annex D of Substantial | ||||||
| Shareholding Notice in SLR.AX lodged by Macquarie |
||||||
| Group Limited on 13-Aug | ||||||
| 21-Nov-12 | MBL | 2012 | AUD 3.15 | -37,492 | FPO | 37,492 |
| Borrow Return under Stock | ||||||
| Lending agreement - Refer to | ||||||
| Annex D of Substantial | ||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie | ||||||
| 07-Jan-13 | MBL | Group Limited on 13-Aug 2012 |
AUD 3.27 | -8,798 | FPO | 8,798 |
| Borrow Return under Stock | ||||||
| Lending agreement - Refer to | ||||||
| Annex D of Substantial | ||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie | ||||||
| Group Limited on 13-Aug | ||||||
| 07-Jan-13 | MBL | 2012 | AUD 3.27 | -32,613 | FPO | 32,613 |
| Borrow Return under Stock Lending agreement - Refer to |
||||||
| Annex D of Substantial | ||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie | ||||||
| Group Limited on 13-Aug | ||||||
| 07-Jan-13 | MBL | 2012 | AUD 3.27 | -6,932 | FPO | 6,932 |
| Date of change |
Person whose relevant interest changed |
Nature of change | Consideration | Number of securities affected |
Class Person's votes affected |
|
|---|---|---|---|---|---|---|
| Borrow Return under Stock | ||||||
| Lending agreement - Refer to | ||||||
| Annex D of Substantial | ||||||
| Shareholding Notice in SLR.AX lodged by Macquarie |
||||||
| Group Limited on 13-Aug | ||||||
| 19-Nov-12 | MBL | 2012 | AUD 3.09 | -167,387 | FPO | 167,387 |
| Borrow Return under Stock | ||||||
| Lending agreement - Refer to | ||||||
| Annex D of Substantial | ||||||
| Shareholding Notice in SLR.AX lodged by Macquarie |
||||||
| Group Limited on 13-Aug | ||||||
| 21-Nov-12 | MBL | 2012 | AUD 3.15 | -542 | FPO | 542 |
| Borrow Return under Stock | ||||||
| Lending agreement - Refer to | ||||||
| Annex D of Substantial | ||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie Group Limited on 13-Aug |
||||||
| 16-Nov-12 | MBL | 2012 | AUD 3.10 | -8,913 | FPO | 8,913 |
| Borrow Return under Stock | ||||||
| Lending agreement - Refer to | ||||||
| Annex D of Substantial | ||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie | ||||||
| 23-Nov-12 | MBL | Group Limited on 13-Aug 2012 |
AUD 3.33 | -86,936 | FPO | 86,936 |
| Borrow Return under Stock | ||||||
| Lending agreement - Refer to | ||||||
| Annex D of Substantial | ||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie | ||||||
| 07-Jan-13 | MBL | Group Limited on 13-Aug 2012 |
AUD 3.27 | -7,082 | FPO | 7,082 |
| Borrow Return under Stock | ||||||
| Lending agreement - Refer to | ||||||
| Annex D of Substantial | ||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie | ||||||
| Group Limited on 13-Aug | ||||||
| 03-Jan-13 | MBL | 2012 | AUD 3.15 | -188,415 | FPO | 188,415 |
| Borrow Return under Stock Lending agreement - Refer to |
||||||
| Annex D of Substantial | ||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie | ||||||
| Group Limited on 13-Aug | ||||||
| 15-Nov-12 | MBL | 2012 | AUD 3.16 | -140,782 | FPO | 140,782 |
| Borrow Return under Stock | ||||||
| Lending agreement - Refer to | ||||||
| Annex D of Substantial Shareholding Notice in |
||||||
| SLR.AX lodged by Macquarie | ||||||
| Group Limited on 13-Aug | ||||||
| 27-Nov-12 | MBL | 2012 | AUD 3.24 | -173,521 | FPO | 173,521 |
| Borrow Return under Stock | ||||||
| Lending agreement - Refer to | ||||||
| Annex D of Substantial | ||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie Group Limited on 13-Aug |
||||||
| 02-Jan-13 | MBL | 2012 | AUD 3.15 | -52,198 | FPO | 52,198 |
| Borrow Return under Stock | ||||||
| Lending agreement - Refer to | ||||||
| Annex D of Substantial | ||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie | ||||||
| Group Limited on 13-Aug | ||||||
| 31-Dec-12 | MBL | 2012 | AUD 2.99 | -17,616 | FPO | 17,616 |
| Date of change |
Person whose relevant interest changed |
Nature of change | Consideration | Number of securities affected |
Class Person's votes affected |
|
|---|---|---|---|---|---|---|
| Borrow Return under Stock | ||||||
| Lending agreement - Refer to | ||||||
| Annex D of Substantial Shareholding Notice in |
||||||
| SLR.AX lodged by Macquarie | ||||||
| Group Limited on 13-Aug | ||||||
| 12-Nov-12 | MBL | 2012 | AUD 3.17 | -108,508 | FPO | 108,508 |
| Borrow Return under Stock Lending agreement - Refer to |
||||||
| Annex D of Substantial | ||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie | ||||||
| 14-Nov-12 | MBL | Group Limited on 13-Aug 2012 |
AUD 3.33 | -233,463 | FPO | 233,463 |
| Borrow Return under Stock | ||||||
| Lending agreement - Refer to | ||||||
| Annex D of Substantial Shareholding Notice in |
||||||
| SLR.AX lodged by Macquarie | ||||||
| Group Limited on 13-Aug | ||||||
| 04-Jan-13 | MBL | 2012 Borrow Return under Stock |
AUD 3.28 | -81,026 | FPO | 81,026 |
| Lending agreement - Refer to | ||||||
| Annex D of Substantial | ||||||
| Shareholding Notice in SLR.AX lodged by Macquarie |
||||||
| Group Limited on 13-Aug | ||||||
| 07-Jan-13 | MBL | 2012 | AUD 3.27 | -697 | FPO | 697 |
| Borrow Delivery under Stock Lending agreement - Refer to |
||||||
| Annex E of Substantial | ||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie Group Limited on 13-Aug |
||||||
| 09-Jan-13 | MBL | 2012 | AUD 3.14 | 175,000 | FPO | 175,000 |
| Borrow Return under Stock | ||||||
| Lending agreement - Refer to Annex E of Substantial |
||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie | ||||||
| 21-Nov-12 | MBL | Group Limited on 13-Aug 2012 |
AUD 3.35 | -150,000 | FPO | 150,000 |
| Borrow Delivery under Stock | ||||||
| Lending agreement - Refer to | ||||||
| 29-Oct-12 | MBL | Annex J Borrow Return under Stock |
USD 4.00 | 100,000 | FPO | 100,000 |
| Lending agreement - Refer to | ||||||
| Annex G of Substantial | ||||||
| Shareholding Notice in SLR.AX lodged by Macquarie |
||||||
| Group Limited on 13-Aug | ||||||
| 30-Oct-12 | MBL | 2012 | AUD 3.65 | -22,970 | FPO | 22,970 |
| Borrow Return under Stock Lending agreement - Refer to |
||||||
| Annex G of Substantial | ||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie Group Limited on 13-Aug |
||||||
| 07-Jan-13 | MBL | 2012 | AUD 3.65 | -10,694 | FPO | 10,694 |
| Borrow Return under Stock | ||||||
| Lending agreement - Refer to Annex G of Substantial |
||||||
| Shareholding Notice in | ||||||
| SLR.AX lodged by Macquarie | ||||||
| 08-Nov-12 | MBL | Group Limited on 13-Aug 2012 |
AUD 3.45 | -6,788 | FPO | 6,788 |
| Borrow Return under Stock | ||||||
| Lending agreement - Refer to | ||||||
| Annex G of Substantial Shareholding Notice in |
||||||
| SLR.AX lodged by Macquarie | ||||||
| Group Limited on 13-Aug | ||||||
| 30-Oct-12 | MBL | 2012 | AUD 3.65 | -228,633 | FPO | 228,633 |
| Date of change |
Person whose relevant interest changed |
Nature of change | Consideration | Number of securities affected |
Class Person's votes affected |
|
|---|---|---|---|---|---|---|
| 08-Jan-13 | MBL | Borrow Delivery - Refer to Annex K |
AUD 3.22 | 50,000 | FPO | 50,000 |
| 18-Dec-12 | MBL | Borrow Return - Refer to Annex K |
AUD 3.64 | -75,000 | FPO | 75,000 |
| 02-Jan-13 | MFMHK | On Market Purchase | AUD 3.44 | 2,759 | FPO | 2,759 |
| 02-Jan-13 | MFMHK | On Market Purchase | AUD 3.44 | 1,369 | FPO | 1,369 |
| 02-Jan-13 | MFMHK | On Market Purchase | AUD 3.44 | 3,557 | FPO | 3,557 |
| 06-Dec-12 | MFMHK | On Market Purchase | AUD 3.20 | 1,876 | FPO | 1,876 |
| 06-Dec-12 | MFMHK | On Market Purchase | AUD 3.20 | 2,004 | FPO | 2,004 |
| 03-Dec-12 | MFMHK | On Market Purchase | AUD 3.41 | 7,870 | FPO | 7,870 |
| 01-Nov-12 | MFMHK | On Market Purchase | AUD 3.45 | 457 | FPO | 457 |
| 01-Nov-12 | MFMHK | On Market Purchase | AUD 3.45 | 699 | FPO | 699 |
| 09-Jan-13 | MFMHK | On Market Sale | AUD 3.01 | -589 | FPO | 589 |
| 02-Jan-13 | MFMHK | On Market Sale | AUD 3.43 | -16,683 | FPO | 16,683 |
| 12-Dec-12 | MFMHK | On Market Sale | AUD 3.26 | -1,345 | FPO | 1,345 |
| 14-Nov-12 | MFMHK | On Market Sale | AUD 3.32 | -4,089 | FPO | 4,089 |
| 07-Nov-12 | MFMHK | On Market Sale | AUD 3.33 | -6,741 | FPO | 6,741 |
| 01-Nov-12 | MFMHK | On Market Sale | AUD 3.44 | -917 | FPO | 917 |
| 31-Oct-12 | MFMHK | On Market Sale | AUD 3.47 | -10,844 | FPO | 10,844 |
| 31-Oct-12 | MFMHK | On Market Sale | AUD 3.47 | -10,357 | FPO | 10,357 |
| 31-Oct-12 | MFMHK | On Market Sale | AUD 3.47 | -50,000 | FPO | 50,000 9,519 |
| 31-Oct-12 21-Dec-12 |
MFMHK MIML |
On Market Sale On Market Purchase |
AUD 3.47 AUD 3.13 |
-9,519 573 |
FPO FPO |
573 |
| 21-Dec-12 | MIML | On Market Purchase | AUD 3.13 | 441 | FPO | 441 |
| 21-Dec-12 | MIML | On Market Purchase | AUD 3.13 | 1,414 | FPO | 1,414 |
| 20-Dec-12 | MIML | On Market Purchase | AUD 3.23 | 4,851 | FPO | 4,851 |
| 18-Dec-12 | MIML | On Market Purchase | AUD 3.27 | 3,433 | FPO | 3,433 |
| 11-Dec-12 | MIML | Off Market Crossing | AUD 3.25 | 1,147 | FPO | 1,147 |
| 13-Nov-12 | MIML | Off Market Crossing | AUD 3.33 | 34,400 | FPO | 34,400 |
| 13-Nov-12 | MIML | Off Market Crossing | AUD 3.33 | 900 | FPO | 900 |
| 12-Nov-12 | MIML | Off Market Crossing | AUD 3.51 | 8,000 | FPO | 8,000 |
| 31-Oct-12 | MIML | Off Market Crossing | AUD 3.51 | 6,048 | FPO | 6,048 |
| 24-Oct-12 | MIML | On Market Purchase | AUD 3.57 | 2,977 | FPO | 2,977 |
| 23-Oct-12 | MIML | Off Market Crossing | AUD 3.71 | 213 | FPO | 213 |
| 23-Oct-12 | MIML | On Market Purchase | AUD 3.69 | 178 | FPO | 178 |
| 23-Oct-12 | MIML | On Market Purchase | AUD 3.71 | 178 | FPO | 178 |
| 19-Oct-12 | MIML | On Market Purchase | AUD 3.81 | 972 | FPO | 972 |
| 19-Oct-12 | MIML | On Market Purchase | AUD 3.78 | 748 | FPO | 748 |
| 19-Oct-12 | MIML | On Market Purchase | AUD 3.79 | 430 | FPO | 430 |
| 18-Oct-12 | MIML | Off Market Crossing | AUD 3.86 | 3,418 | FPO | 3,418 |
| 11-Jan-13 | MIML | On Market Sale | AUD 3.07 | -4,405 | FPO | 4,405 |
| 11-Jan-13 | MIML | On Market Sale | AUD 3.07 | -189 | FPO | 189 |
| 11-Jan-13 | MIML | On Market Sale | AUD 3.07 | -2,010 | FPO | 2,010 23 |
| 11-Jan-13 10-Jan-13 |
MIML MIML |
Off Market Crossing On Market Sale |
AUD 3.05 AUD 2.99 |
-23 -4,377 |
FPO FPO |
4,377 |
| 03-Jan-13 | MIML | On Market Sale | AUD 3.44 | -11,407 | FPO | 11,407 |
| 02-Jan-13 | MIML | Off Market Crossing | AUD 3.45 | -113 | FPO | 113 |
| 02-Jan-13 | MIML | On Market Sale | AUD 3.45 | -910 | FPO | 910 |
| 11-Dec-12 | MIML | Off Market Crossing | AUD 3.25 | -1,147 | FPO | 1,147 |
| 11-Dec-12 | MIML | On Market Sale | AUD 3.25 | -16,259 | FPO | 16,259 |
| 30-Nov-12 | MIML | On Market Sale | AUD 3.47 | -12,300 | FPO | 12,300 |
| 20-Nov-12 | MIML | On Market Sale | AUD 3.45 | -8,212 | FPO | 8,212 |
| 13-Nov-12 | MIML | Off Market Crossing | AUD 3.33 | -34,400 | FPO | 34,400 |
| 13-Nov-12 | MIML | Off Market Crossing | AUD 3.33 | -900 | FPO | 900 |
| 13-Nov-12 | MIML | On Market Sale | AUD 3.33 | -1,800 | FPO | 1,800 |
| 13-Nov-12 | MIML | On Market Sale | AUD 3.33 | -2,300 | FPO | 2,300 |
| 12-Nov-12 | MIML | Off Market Crossing | AUD 3.51 | -8,000 | FPO | 8,000 |
| 08-Nov-12 | MIML | Off Market Crossing | AUD 3.34 | -27 | FPO | 27 |
| 08-Nov-12 | MIML | On Market Sale | AUD 3.33 | -6,900 | FPO | 6,900 223 |
| 08-Nov-12 02-Nov-12 |
MIML MIML |
On Market Sale On Market Sale |
AUD 3.34 AUD 3.39 |
-223 -8,780 |
FPO FPO |
8,780 |
| 31-Oct-12 | MIML | Off Market Crossing | AUD 3.51 | -6,048 | FPO | 6,048 |
| 31-Oct-12 | MIML | On Market Sale | AUD 3.51 | -2,335 | FPO | 2,335 |
| 25-Oct-12 | MIML | Fund closed - Inspecie | AUD 3.44 | -1,340,321 | FPO | 1,340,321 |
| 25-Oct-12 | MIML | On Market Sale | AUD 3.47 | -22,775 | FPO | 22,775 |
| 18-Oct-12 | MIML | Off Market Crossing | AUD 3.86 | -3,418 | FPO | 3,418 |
| 18-Oct-12 | MIML | On Market Sale | AUD 3.86 | -20,717 | FPO | 20,717 |
| Adjustment entry due to | ||||||
| 11-Jan-13 | MIML | rounding | N/A | 1 | FPO | 1 |
| Adjustment entry due to | ||||||
| 11-Jan-13 | MIML | rounding | N/A | 1 | FPO | 1 |
| 11-Jan-13 | MIML | Ticker Change to SLR AU | N/A | 15,325 | FPO | 15,325 |
| 11-Jan-13 | MIML | Ticker Change to SLR AU | N/A | 96,419 | FPO | 96,419 |
| 11-Jan-13 | MIML | Ticker Change to SLR AU | N/A | 81,934 | FPO | 81,934 |
| Date of | Person whose relevant | Nature of change | Consideration | Number of securities | Class Person's votes | |
|---|---|---|---|---|---|---|
| change | interest changed | affected | affected | |||
| 11-Jan-13 | MLL | Off Market Crossing | AUD 3.05 | 23 | FPO | 23 |
| 02-Jan-13 | MLL | Off Market Crossing | AUD 3.45 | 113 | FPO | 113 |
| 08-Nov-12 | MLL | Off Market Crossing | AUD 3.34 | 27 | FPO | 27 |
| 11-Jan-13 | MLL | On Market Sale | AUD 3.07 | -1,155 | FPO | 1,155 |
| 29-Nov-12 | MLL | On Market Sale | AUD 3.42 | -414 | FPO | 414 |
| 23-Oct-12 | MLL | Off Market Crossing | AUD 3.71 | -213 | FPO | 213 |
| 11-Jan-13 | MLL | Ticker Change to SLR AU | N/A | 16,636 | FPO | 16,636 |
| Adjustment entry due to | ||||||
| 11-Jan-13 | MLL | rounding | N/A | 1 | FPO | 1 |
| 02-Jan-13 | MQSIML | On Market Purchase | AUD 3.43 | 2,403 | FPO | 2,403 |
ANNEXURE 'J'
This is the annexure marked 'J' of 35 pages referred to in the Notice of ceasing to be a substantial holder.
Dennis Leong Company Secretary, Macquarie Group Limited 15 January 2013
ANNEXURE 'K'
This is the annexure marked 'K' of 38 pages referred to in the Notice of ceasing to be a substantial holder.
Dennis Leong Company Secretary, Macquarie Group Limited 15 January 2013
VERSION: MAY 2000
GLOBAL MASTER SECURITIES LENDING AGREEMENT
G:\Legal\London SF Legal\GPM\CM Project\ECM Suppliers (SSBTC as Borrower)\MacQuarie Bank\GMSLA MBL Lend to SSBTC EXECUTION 2.DOC
| 1. Applicability 1 |
|---|
| 2. Interpretation 1 |
| 3. Loans of Securities 5 |
| 4. Delivery 5 |
| 5. Collateral 7 |
| 6. Distributions and Corporate Actions 9 |
| 7. Rates applicable to Loaned securities and Cash Collateral 10 |
| 8. Redelivery of Equi valent Securities 11 |
| 9. Failure to Redeliver 12 |
| 10. Set-off etc 14 |
| 11. Transfer Taxes 16 |
| 12. Lender's Warranties 16 |
| 13. Borrower's Waranties 17 |
| 14. Events of Default 17 |
| 15. Interest on Outstanding Payments 18 |
| 16 Transactions Entered Into as Agent 18 |
| 17. Termnation of this Agreement 20 |
| 18. Single Agreement. 20 |
| 19. Severance 20 |
| 20. Specific Performance 21 |
| 21. Notices 21 |
| 22. Assignment 21 |
| 23 . Non-waiver 21 |
| 24. Governing Law and Jurisdiction 22 |
| 25. Time. 22 |
| 26. Recording 22 |
| 27 . Waiver of Immunity 22 |
| 28. Miscellaneous 22 |
AGREEMENT
BETWEEN:
MACQUARIE BANK LTD ("Party A") a company incorporated under the laws of Australia, having its principal place of business at Level 3, 25 National Circuit, Forrest ACT 2603, Australia, acting through a Designated Office; and
STATE STREET BANK AND TRUST COMPANY, ("Party B") a Massachusetts trust company incorporated under the laws of the Commonwealth of Massachusetts, having its principal place of business at 225 Franklin Street, Boston, Massachusetts, USA acting through a Designated Office
i. APPLICABILITY
- i. i From time to time the paries may enter into transactions in which one party ("Lender") wil transfer to the other ("Borrower") securities and financial instruments ("Securities") against the transfer of Collateral (as defined in paragraph 2) with a simultaneous agreement by Borrower to transfer to Lender Securities equivalent to such Securities on a fixed date or on demand against the transfer to Borrower by Lender of assets equivalent to such CollateraL.
- 1.2 Each such transaction shall be referred to in this Agreement as a "Loan" and shall be governed by the terms of this Agreement, including the supplemental terms and conditions contained in the Schedule and any Addenda or Annexures attached hereto, unless otherwise agreed in writing.
i.3 Either party may perform its obligations under this Agreement either directly or through a Nominee.
2. INTERPRETATION
- i In this Agreement:-
"Act of Insolvency" means in relation to either Party
- (i) its making a general assignment for the benefit of, or entering into a reorganisation, arangement, or composition with creditors; or
-
(ii) its stating in writing that it is unable to pay its debts as they become due; or
-
(iii) its seeking, consenting to or acquiescing in the appointment of any trustee, administrator, receiver or liquidator or analogous officer of it or any material part of its property; or
- (iv) the presentation or filing of a petition in respect of it (other than by the other Pary to this Agreement in respect of any obligation under this Agreement) in any court or before any agency alleging or for the bankruptcy, winding-up or insolvency of such Party (or any analogous proceeding) or seeking any reorganisation, arangement, composition, re-adjustment, administration, liquidation, dissolution or similar relief under any present or future statute, law or regulation, such petition not having been stayed or dismissed within 30 days of its filing (except in the case of a petition for winding-up or any analogous proceeding in respect of which no such 30 day period shall apply); or
- (v) the appointment of a receiver, administrator, liquidator or trustee or analogous offcer of such Pary over all or any material part of such Party's property; or
- (vi) the convening of any meeting of its creditors for the purpose of considering a voluntary arangement as referred to in Section 3 of the Insolvency Act i 986 (or any analogous proceeding);
"Alternative Collateral" means Collateral having a Market Value equal to the Collateral delivered pursuant to paragraph 5 and provided by way of substitution in accordance with the provisions of paragraph 5.3;
"Base Currency" means the currency indicated in paragraph 2 of the Schedule;
"Business Day" means a day other than a Saturday or a Sunday on which banks and securities markets are open for business generally in each place stated in paragraph 3 of the Schedule and, in relation to the delivery or redelivery of any of the following in relation to any Loan, in the place(s) where the relevant Securities, Equivalent Securities, Collateral or Equivalent Collateral are to be delivered;
"Cash Collateral" means Collateral that takes the form of a transfer of currency;
"Close of Business" means the time at which the relevant banks, securities exchanges or depositaries close in the business centre in which payment is to be made or Securities or Collateral is to be delivered;
"Collateral" means such securities or financial instruments or transfers of currency as are referred to in the table set out under paragraph i of the Schedule as being acceptable or any combination thereof as agreed between the Parties in relation to any particular Loan and which are delivered by Borrower to Lender in accordance with this Agreement and shall include Alternative Collateral;
"Defaulting Party" shall have the meaning given in paragraph 14;
"Designated Offce" means the branch or office of a Party which is specified as such in paragraph 4 of the Schedule or such other branch or offce as may be agreed to in writing by the Parties;
"Equivalent" or "equivalent to" in relation to any Securities or Collateral provided under this Agreement means securites, together with cash or other property (in the case of Collateral) as the case may be, of an identical type, nominal value, description and amount to particular Securities or Collateral, as the case may be, so provided. If and to the extent that such Securities or Collateral, as the case may be, consists of securities that are partly paid or have been converted, subdivided, consolidated, made the subject of a takeover, rights of pre-emption, rights to receive securities or a certificate which may at a future date be exchanged for securities, the expression shall include such securities or other assets to which Lender or Borrower as the case may be, is entitled following the occurrence of the relevant event, and, if appropriate, the giving of the relevant notice in accordance with paragraph 6.4 and provided that Lender or Borrower, as the case may be, has paid to the other Party all and any sums due in respect thereof. In the event that such Securities or Collateral, as the case may be, have been redeemed, are partly paid, are the subject of a capitalisation issue or are subject to an event similar to any of the foregoing events described in this paragraph, the expression shall have the following meanings:-
- (a) in the case of redemption, a sum of money equivalent to the proceeds of the redemption;
- (b) in the case of a call on partly paid securities, securities equivalent to the relevant Loaned Securities or Collateral, as the case may be, provided that Lender shall have paid Borrower, in respect of Loaned Securities, and Borrower shall have paid to Lender, in respect of Collateral, an amount of money equal to the sum due in respect of the call;
- (c) in the case of a capitalisation issue, securities equivalent to the relevant Loaned Securities or Collateral, as the case may be, together with the securities allotted by way of bonus thereon;
- (d) in the case of any event similar to any of the foregoing events described in this paragraph, securities equivalent to the Loaned Securities or the relevant Collateral, as the case may be, together with or replaced by a sum of money or securities or other property equivalent to that received in respect of such Loaned Securities or Collateral, as the case may be, resulting from such event;
"Income" means any interest, dividends or other distributions of any kind whatsoever with respect to any Securities or Collateral;
"Income Payment Date", with respect to any Securites or Collateral means the date on which Income is paid in respect of such Securites or Collateral, or, in the case of registered
Securities or Collateral, the date by reference to which particular registered holders are identified as being entitled to payment of Income;
"Letter of Credit" means an irrevocable, non-negotiable letter of credit in a form, and from a bank, acceptable to Lender;
"Loaned Securities" means Securities which are the subject of an outstanding Loan;
"Margin" shall have the meaning specified in paragraph 1 of the Schedule with reference to the table set out therein;
"Market Value" means:
- (a) in relation to the valuation of Securities, Equivalent Securities, Collateral or Equivalent Collateral (other than Cash Collateral or a Letter of Credit):
- (i) such price as is equal to the market quotation for the bid price of such Securities, Equivalent Securities, Collateral and/or Equivalent Collateral as derived from a reputable pricing information service reasonably chosen in good faith by Lender; or
- (ii) if unavailable the market value thereof as derived from the prices or rates bid by a reputable dealer for the relevant instrument reasonably chosen in good faith by Lender, in each case at Close of Business on the previous Business Day or, at the option of either Party where in its reasonable opinion there has been an exceptional movement in the price of the asset in question since such time, the latest available price; plus (in each case)
- (iii) the aggregate amount of Income which has accrued but not yet been paid in respect of the Securities, Equivalent Securities, Collateral or Equivalent Collateral concerned to the extent not included in such price,
(provided that the price of Securities, Equivalent Securities, Collateral or Equivalent Collateral that are suspended shall (for the purposes of paragraph 5) be nil unless the Parties otherwise agree and (for all other purposes) shall be the price of such Securities, Equivalent Securities, Collateral or Equivalent Collateral, as the case may be, as of Close of Business on the dealing day in the relevant market last preceding the date of suspension or a commercially reasonable price agreed between the Parties;
- (b) in relation to a Letter of Credit the face or stated amount of such Letter of Credit; and
- (c) in relation to Cash Collateral the amount of the currency concerned;
"Nominee" means an agent or a nominee appointed by either Pary to accept delivery of, hold or deliver Securities, Equivalent Securities, Collateral and/or Equivalent Collateral or to receive or make payments on its behalf;
"Non-Defaulting Party" shall have the meaning given in paragraph 14;
"Parties" means Lender and Borrower and "Party" shall be construed accordingly;
"Posted Collateral" has the meaning given in paragraph 5.4;
"Required Collateral Value" shall have the meaning given in paragraph 5.4;
"Settlement Date" means the date upon which Securities are transferred to Borrower in accordance with this Agreement.
2.2 Headings
All headings appear for convenience only and shall not affect the interpretation of this Agreement.
2.3 Market terminology
Notwithstanding the use of expressions such as "borrow", "lend", "Collateral", "Margin", "redeliver" etc. which are used to reflect terminology used in the market for transactions of the kind provided for in this Agreement, title to Securities "borrowed" or "lent" and "Collateral" provided in accordance with this Agreement shall pass from one Pary to another as provided for in this Agreement, the Party obtaining such title being obliged to redeliver Equivalent Securities or Equivalent Collateral as the case may be.
2.4 Currency conversions
For the purposes of determining any prices, sums or values (including Market Value, Required Collateral Value, Relevant Value, Bid Value and Offer Value for the purposes of paragraphs 5 and 10 of this Agreement) prices, sums or values stated in currencies other than the Base Currency shall be converted into the Base Currency at the latest available spot rate of exchange quoted by a bank selected by Lender (or if an Event of Default has occurred in relation to Lender, by Borrower) in the London interbank market for the purchase of the Base Currency with the currency concerned on the day on which the calculation is to be made or, if that day is not a Business Day the spot rate of exchange quoted at Close of Business on the immediately preceding Business Day.
2.5 The parties confirm that introduction of and/or substitution (in place of an existing currency) of a new currency as the lawful currency of a country shall not have the effect of altering, or discharging, or excusing performance under, any term of the Agreement or any
Loan thereunder, nor give a party the right unilaterally to alter or terminate the Agreement or any Loan thereunder. Securities wil for the purposes of this Agreement be regarded as equivalent to other securities notwithstanding that as a result of such introduction and/or substitution those securities have been redenominated into the new currency or the nominal value of the securities has changed in connection with such redenomination.
2.6 Modifications etc to legislation
Any reference in this Agreement to an act, regulation or other legislation shall include a reference to any statutory modification or re-enactment thereof for the time being in force.
3. LOANS OF SECURITIES
Lender wil lend Securities to Borrower, and Borrower wil borrow Securities from Lender in accordance with the terms and conditions of this Agreement. The terms of each Loan shall be agreed prior to the commencement of the relevant Loan either orally or in writing (including any agreed form of electronic communication) and confirmed in such form and on such basis as shall be agreed between the Parties. Any confirmation produced by a Party shall not supersede or prevail over the prior oral, written or electronic communication (as the case may be).
4. DELIVERY
4.1 Delivery of Securities on commencement of Loan
Lender shall procure the delivery of Securities to Borrower or deliver such Securities in accordance with this Agreement and the terms of the relevant Loan. Such Securities shall be deemed to have been delivered by Lender to Borrower on delivery to Borrower or as it shall direct of the relevant instruments of transfer, or in the case of Securities held by an agent or within a clearing or settlement system on the effective instructions to such agent or the operator of such system which result in such Securities being held by the operator of the clearing system for the account of the Borrower or as it shall direct, or by such other means as may be agreed.
4.2 Requirements to effect delivery
The Parties shall execute and deliver all necessary documents and give all necessary instructions to procure that all right, title and interest in:
- (a) any Securities borrowed pursuant to paragraph 3;
- (b) any Equivalent Securities redelivered pursuant to paragraph 8;
- (c) any Collateral delivered pursuant to paragraph 5;
(d) any Equivalent Collateral redelivered pursuant to paragraphs 5 or 8;
shall pass from one Party to the other subject to the terms and conditions set out in this Agreement, on delivery or redelivery of the same in accordance with this Agreement with full title guarantee, free from all liens, charges and encumbrances. In the case of Securities, Collateral, Equivalent Securities or Equivalent Collateral title to which is registered in a computer based system which provides for the recording and transfer of title to the same by way of book entries, delivery and transfer of title shall take place in accordance with the rules and procedures of such system as in force from time to time. The Party acquiring such right, title and interest shall have no obligation to return or redeliver any of the assets so acquired but, in so far as any Securities are borrowed or any Collateral is delivered to such Party, such Pary shall be obliged, subject to the terms of this Agreement, to redeliver Equivalent Securities or Equivalent Collateral as appropriate.
4.3 Deliveries to be simultaneous unless otherwise agreed
Where under the terms of this Agreement a Party is not obliged to make a delivery unless simultaneously a delivery is made to it, subject to and without prejudice to its rights under paragraph 8.6 such Party may from time to time in accordance with market practice and in recognition of the practical difficulties in arranging simultaneous delivery of Securites, Collateral and cash transfers waive its right under this Agreement in respect of simultaneous delivery and/or payment provided that no such waiver (whether by course of conduct or otherwise) in respect of one transaction shall bind it in respect of any other transaction.
4.4 Deliveries of Income
In respect of Income being paid in relation to any Loaned Securities or CollateraL, Borrower in the case of Income being paid in respect of Loaned Securities and Lender in the case of Income being paid in respect of Collateral shall provide to the other Party, as the case may be, any endorsements or assignments as shall be customary and appropriate to effect the delivery of money or property equivalent to the type and amount of such Income to Lender, irrespective of whether Borrower received the same in respect of any Loaned Securities or to Borrower, irrespective of whether Lender received the same in respect of any CollateraL.
5. COLLATERAL
5.1 Delivery of Collateral on commencement of Loan
Subject to the other provisions of this paragraph 5, Borrower undertakes to deliver to or deposit with Lender (or in accordance with Lender's instructions) Collateral simultaneously with delivery of the Securities to which the Loan relates and in any event no later than Close of Business on the Settlement Date. In respect of Collateral comprising securities, such Collateral shall be deemed to have been delivered by Borrower to Lender on delivery to Lender or as it shall direct of the relevant instruments of transfer, or in the case of such securities being held by an agent or within a clearing or settlement system, on the effective instructions to such agent or the operator of such system, which result in such securities being held by the operator of the clearing system for the account of the Lender or as it shall direct, or by such other means as may be agreed.
5.2 Deliveries through payment systems generating automatic payments
Unless otherwise agreed between the Parties, where any Securities, Equivalent Securities, Collateral or Equivalent Collateral (in the form of securities) are transferred through a book entry transfer or settlement system which automatically generates a payment or delivery, or obligation to payor deliver, against the transfer of such securities, then:-
- (i) such automatically generated payment, delivery or obligation shall be treated as a payment or delivery by the transferee to the transferor, and except to the extent that it is applied to discharge an obligation of the transferee to effect payment or delivery, such payment or delivery, or obligation to payor deliver, shall be deemed to be a transfer of Collateral or redelivery of Equivalent Collateral, as the case may be, made by the transferee until such time as the Collateral or Equivalent Collateral is substituted with other Collateral or Equivalent Collateral if an obligation to deliver other Collateral or redeliver Equivalent Collateral existed immediately prior to the transfer of Securities, Equivalent Securities, Collateral or Equivalent Collateral; and
- (ii) the party receiving such substituted Collateral or Equivalent Collateral, or if no obligation to deliver other Collateral or redeliver Equivalent Collateral existed immediately prior to the transfer of Securities, Equivalent Securities, Collateral or Equivalent Collateral, the party receiving the deemed transfer of Collateral or redelivery of Equivalent Collateral, as the case may be, shall cause to be made to the other party for value the same day either, where such transfer is a payment, an irrevocable payment in the amount of such transfer or, where such transfer is a delivery, an irrevocable delivery of securities (or other property, as the case may be) equivalent to such property.
5.3 Substitutions of Collateral
Borrower may from time to time call for the repayment of Cash Collateral or the redelivery of Collateral equivalent to any Collateral delivered to Lender prior to the date on which the same would otherwise have been repayable or redeliverable provided that at the time of such repayment or redelivery Borrower shall have delivered or delivers Alternative Collateral acceptable to Lender and Borrower is in compliance with paragraph 5.4 or paragraph 5.5, as applicable.
5.4 Marking to Market of Collateral during the currency of a Loan on aggregated basis
Unless paragraph 1.3 of the Schedule indicates that paragraph 5.5 shall apply in lieu of this paragraph 5.4, or unless otherwise agreed between the Parties:-
- (i) the aggregate Market Value of the Collateral delivered to or deposited with Lender (excluding any Equivalent Collateral repaid or redelivered under Paragraphs 5.4(ii) or 5.5(ii) (as the case may be)) ("Posted Collateral") in respect of all Loans outstanding under this Agreement shall equal the aggregate of the Market Value of the Loaned Securities and the applicable Margin (the "Required Collateral Value") in respect of such Loans;
- (ii) if at any time on any Business Day the aggregate Market Value of the Posted Collateral in respect of all Loans outstanding under this Agreement exceeds the aggregate of the Required Collateral Values in respect of such Loans, Lender shall (on demand) repay and/or redeliver, as the case may be, to Borrower such Equivalent Collateral as wil eliminate the excess;
- (iii) if at any time on any Business Day the aggregate Market Value of the Posted Collateral in respect of all Loans outstanding under this Agreement falls below the aggregate of Required Collateral Values in respect of all such Loans, Borrower shall (on demand) provide such further Collateral to Lender as wil eliminate the deficiency.
5.5 Marking to Market of Collateral during the currency of a Loan on a Loan by Loan basis
If paragraph 1.3 of the Schedule indicates this paragraph 5.5 shall apply in lieu of paragraph 5.4, the Posted Collateral in respect of any Loan shall bear from day to day and at any time the same proportion to the Market Value of the Loaned Securities as the Posted Collateral bore at the commencement of such Loan. Accordingly:
- (i) the Market Value of the Posted Collateral to be delivered or deposited while the Loan continues shall be equal to the Required Collateral Value;
- (ii) if at any time on any Business Day the Market Value of the Posted Collateral in respect of any Loan exceeds the Required Collateral Value in respect of such Loan, Lender shall (on demand) repay and/or redeliver, as the case may be, to Borrower such Equivalent Collateral as wil eliminate the excess; and
- (iii) if at any time on any Business Day the Market Value of the Posted Collateral falls below the Required Collateral Value, Borrower shall (on demand) provide such further Collateral to Lender as wil eliminate the deficiency.
5.6 Requirements to redeliver excess Collateral
Where paragraph 5.4 applies, unless paragraph 1.4 of the Schedule indicates that this paragraph 5.6 does not apply, if a Party (the "first Party") would, but for this paragraph 5.6, be required under paragraph 5.4 to provide further Collateral or redeliver Equivalent Collateral in circumstances where the other Party (the "second Party") would, but for this paragraph 5.6, also be required to or provide Collateral or redeliver Equivalent Collateral under paragraph 5.4, then the Market Value of the Collateral or Equivalent Collateral deliverable by the first Party ("X") shall be set-off against the Market Value of the Collateral or Equivalent Collateral deliverable by the second Party ("Y") and the only obligation of the Parties under paragraph 5.4 shall be, where X exceeds Y, an obligation of the first Pary, or where Y exceeds X, an obligation of the second Party to repay and/or (as the case may be) redeliver Equivalent Collateral or to deliver further Collateral having a Market Value equal to the difference between X and Y.
5.7 Where Equivalent Collateral is repaid or redelivered (as the case may be) or further Collateral is provided by a Party under paragraph 5.6, the Parties shall agree to which Loan or Loans such repayment, redelivery or further provision is to be attributed and failing agreement it shall be attributed, as determined by the Party making such repayment, redelivery or further provision to the earliest outstanding Loan and, in the case of a repayment or redelivery up to the point at which the Market Value of Collateral in respect of such Loan equals the Required Collateral Value in respect of such Loan, and then to the next earliest outstanding Loan up to the similar point and so on.
5.8 Timing of repayments of excess Collateral or deliveries of further Collateral
Where any Equivalent Collateral falls to be repaid or redelivered (as the case may be) or further Collateral is to be provided under this paragraph 5, unless otherwise agreed between the Parties, it shall be delivered on the same Business Day as the relevant demand. Equivalent Collateral comprising securities shall be deemed to have been delivered by Lender to Borrower on delivery to Borrower or as it shall direct of the relevant instruments of transfer, or in the case of such securities being held by an agent or within a clearing or settement system on the effective instructions to such agent or the operator of such system which result in such securities being held by the operator of the clearing system for the account of the Borrower or as it shall direct or by such other means as may be agreed.
5.9 Substitutions and extensions of Letters of Credit
Where Collateral is a Letter of Credit, Lender may by notice to Borrower require that Borrower, on the Business Day following the date of delivery of such notice, substitute Collateral consisting of cash or other Collateral acceptable to Lender for the Letter of Credit. Prior to the expiration of any Letter of Credit supporting Borrower's obligations hereunder, Borrower shall, no later than 1O.30a.m. UK time on the second Business Day prior to the date such Letter of Credit expires, obtain an extension of the expiration of such Letter of Credit or replace such Letter of Credit by providing Lender with a substitute Letter of Credit in an amount at least equal to the amount of the Letter of Credit for which it is substituted.
6. DISTRIBUTIONS AND CORPORATE ACTIONS
6.1 Manufactured Payments
Where Income is paid in relation to any Loaned Securities or Collateral (other than Cash Collateral) on or by reference to an Income Payment Date Borrower, in the case of Loaned Securities, and Lender, in the case of Collateral, shall, on the date of the payment of such Income, or on such other date as the Parties may from time to time agree, (the "Relevant Payment Date") pay and deliver a sum of money or property equivalent to the type and amount of such Income that, in the case of Loaned Securities, Lender would have been entitled to receive had such Securities not been loaned to Borrower and had been retained by Lender on the Income Payment Date, and, in the case of Collateral, Borrower would have been entitled to receive had such Collateral not been provided to Lender and had been retained by Borrower on the Income Payment Date unless a different sum is agreed between the Parties.
6.2 Income in the form of Securities
Where Income, in the form of securities, is paid in relation to any Loaned Securities or Collateral, such securities shall be added to such Loaned Securities or Collateral (and shall constitute Loaned Securities or Collateral, as the case may be, and be part of the relevant Loan) and wil not be delivered to Lender, in the case of Loaned Securities, or to Borrower, in the case of Collateral, until the end of the relevant Loan, provided that the Lender or Borrower (as the case may be) fulfils their obligations under paragraph 5.4 or 5.5 (as applicable) with respect to the additional Loaned Securities or Collateral, as the case may be.
6.3 Exercise of voting rights
Where any voting rights fall to be exercised in relation to any Loaned Securities or Collateral, neither Borrower, in the case of Equivalent Securities, nor Lender, in the case of Equivalent Collateral, shall have any obligation to arange for voting rights of that kind to be exercised in accordance with the instructions of the other Party in relation to the Securities borrowed by it or transferred to it by way of Collateral, as the case may be, unless otherwise agreed between the Parties.
6.4 Corporate actions
Where, in respect of any Loaned Securities or any Collateral, any rights relating to conversion, sub-division, consolidation, pre-emption, rights arising under a takeover offer, rights to receive securities or a certificate which may at a future date be exchanged for securities or other rights, including those requiring election by the holder for the time being
of such Securities or Collateral, become exercisable prior to the redelivery of Equivalent Securities or Equivalent Collateral, then Lender or Borrower, as the case may be, may, within a reasonable time before the latest time for the exercise of the right or option give written notice to the other Party that on redelivery of Equivalent Securities or Equivalent Collateral, as the case may be, it wishes to receive Equivalent Securities or Equivalent Collateral in such form as wil arise if the right is exercised or, in the case of a right which may be exercised in more than one manner, is exercised as is specified in such written notice.
7. RA TES APPLICABLE TO LOANED SECURITIES AND CASH COLLATERAL
7.1 Rates in respect of Loaned Securities
In respect of each Loan, Borrower shall pay to Lender, in the manner prescribed in subparagraph 7.3, sums calculated by applying such rate as shall be agreed between the Parties from time to time to the daily Market Value of the Loaned Securities.
7.2 Rates in respect of Cash Collateral
Where Cash Collateral is deposited with Lender in respect of any Loan, Lender shall pay to Borrower, in the manner prescribed in paragraph 7.3, sums calculated by applying such rates as shall be agreed between the Parties from time to time to the amount of such Cash CollateraL. Any such payment due to Borrower may be set-off against any payment due to Lender pursuant to paragraph 7.1.
7.3 Payment of rates
In respect of each Loan, the payments referred to in paragraph 7.1 and 7.2 shall accrue daily in respect of the period commencing on and inclusive of the Settlement Date and terminating on and exclusive of the Business Day upon which Equivalent Securities are redelivered or Cash Collateral is repaid. Unless otherwise agreed, the sums so accruing in respect of each calendar month shall be paid in arear by the relevant Party not later than the Business Day which is one week after the last Business Day of the calendar month to which such payments relate or such other date as the Parties shall from time to time agree.
8. REDELIVERY OF EQUIVALENT SECURITIES
8.1 Delivery of Equivalent Securities on termination of a Loan
Borrower shall procure the redelivery of Equivalent Securities to Lender or redeliver Equivalent Securities in accordance with this Agreement and the terms of the relevant Loan on termination of the Loan. Such Equivalent Securities shall be deemed to have been delivered by Borrower to Lender on delivery to Lender or as it shall direct of the relevant instruments of transfer, or in the case of Equivalent Securities held by an agent or within a clearing or settlement system on the effective instructions to such agent or the operator of such system which result in such Equivalent Securities being held by the operator of the clearing system for the account of the Lender or as it shall direct, or by such other means as may be agreed. For the avoidance of doubt any reference in this Agreement or in any other agreement or communication between the Parties (howsoever expressed) to an obligation to redeliver or account for or act in relation to Loaned Securities shall accordingly be construed as a reference to an obligation to redeliver or account for or act in relation to Equivalent Securities.
8.2 Lender's right to terminate a Loan
Subject to paragraph 10 and the terms of the relevant Loan, Lender shall be entitled to terminate a Loan and to call for the redelivery of all or any Equivalent Securities at any time by giving notice on any Business Day of not less than the standard settlement time for such Equivalent Securities on the exchange or in the clearing organisation through which the Loaned Securities were originally delivered. Borrower shall redeliver such Equivalent Securities not later than the expiry of such notice in accordance with Lender's instructions.
8.3 Borrower's right to terminate a Loan
Subject to the terms of the relevant Loan, Borrower shall be entitled at any time to terminate a Loan and to redeliver all and any Equivalent Securities due and outstanding to Lender in accordance with Lender's instructions and Lender shall accept such redelivery.
8.4 Redelivery of Equivalent Collateral on termination of a Loan
On the date and time that Equivalent Securities are required to be redelivered by Borrower on the termination of a Loan, Lender shall simultaneously (subject to paragraph 5.4 if applicable) repay to Borrower any Cash Collateral or, as the case may be, redeliver Collateral equivalent to the Collateral provided by Borrower pursuant to paragraph 5 in respect of such Loan. For the avoidance of doubt any reference in this Agreement or in any other agreement or communication between the Parties (however expressed) to an obligation to redeliver or account for or act in relation to Collateral shall accordingly be construed as a reference to an obligation to redeliver or account for or act in relation to Equivalent CollateraL.
8.5 Redelivery of Letters of Credit
Where a Letter of Credit is provided by way of Collateral, the obligation to redeliver Equivalent Collateral is satisfied by Lender redelivering for cancellation the Letter of Credit so provided, or where the Letter of Credit is provided in respect of more than one Loan, by Lender consenting to a reduction in the value of the Letter of Credit.
8.6 Redelivery obligations to be reciprocal
Neither Party shall be obliged to make delivery (or make a payment as the case may be) to the other unless it is satisfied that the other Party wil make such delivery (or make an appropriate payment as the case may be) to it. If it is not so satisfied (whether because an Event of Default has occurred in respect of the other Party or otherwise) it shall notify the other party and unless that other Party has made arangements which are sufficient to assure full delivery (or the appropriate payment as the case may be) to the notifying Party, the notifying Party shall (provided it is itself in a position, and wiling, to perform its own obligations) be entitled to withhold delivery (or payment, as the case may be) to the other Party.
9. FAILURE TO REDELIVER
9.1 Borrower's failure to redeliver Equivalent Securities
- (i) If Borrower does not redeliver Equivalent Securities in accordance with paragraph 8.1 or 8.2, Lender may elect to continue the Loan (which Loan, for the avoidance of doubt, shall continue to be taken into account for the purposes of paragraph 5.4 or 5.5 as applicable) provided that if Lender does not elect to continue the Loan, Lender may either by written notice to Borrower terminate the Loan forthwith and the Parties' delivery and payment obligations in respect thereof (in which case subparagraph (ii) below shall apply) or serve a notice of an Event of Default in accordance with paragraph 14.
- (ii) Upon service of a notice to terminate the relevant Loan pursuant to paragraph 9.1(i):-
- (a) there shall be set-off against the Market Value of the Equivalent Securities concerned such amount of Posted Collateral chosen by Lender (calculated at its Market Value) as is equal thereto;
- (b) the Parties delivery and payment obligations in relation to such assets which are set-off shall terminate;
- (c) in the event that the Market Value of the Posted Collateral set-off is less than the Market Value of the Equivalent Securities concerned Borrower shall account to Lender for the shortfall; and
- (d) Borrower shall account to Lender for the total costs and expenses incurred by Lender as a result thereof as set out in paragraphs 9.3 and 9.4 from the time the notice is effective.
9.2 Lender's failure to Redeliver Equivalent Collateral
(i) If Lender does not redeliver Equivalent Collateral in accordance with paragraph 8.4 or 8.5, Borrower may either by written notice to Lender terminate the Loan forthwith and the Parties' delivery and payment obligations in respect thereof (in which case sub-paragraph (ii) below shall apply) or serve a notice of an Event of Default in accordance with paragraph 14.
- (ii) Upon service of a notice to terminate the relevant Loan pursuant to paragraph 9.2(i):-
- (a) there shall be set-off against the Market Value of the Equivalent Collateral concerned the Market Value of the Loaned Securities;
- (b) the Parties delivery and payment obligations in relation to such assets which are set-off shall terminate;
- (c) in the event that the Market Value of the Loaned Securities held by Borrower is less than the Market Value of the Equivalent Collateral concerned Lender shall account to Borrower for the shortfall; and
- d) Lender shall account to Borrower for the total costs and expenses incurred by Borrower as a result thereof as set out in paragraphs 9.3 and 9.4 from the time the notice is effective.
9.3 Failure by either Party to redeliver
This provision applies in the event that a Party (the "Transferor") fails to meet a redelivery obligation within the standard settlement time for the asset concerned on the exchange or in the clearing organisation through which the asset equivalent to the asset concerned was originally delivered or within such other period as may be agreed between the Parties. In such situation, in addition to the Parties' rights under the general law and this Agreement where the other Party (the "Transferee") incurs interest, overdraft or similar costs and expenses the Transferor agrees to pay on demand and hold harmless the Transferee with respect to all such costs and expenses which arise directly from such failure excluding (i) such costs and expenses which arise from the negligence or wilful default of the Transferee and (ii) any indirect or consequential losses. It is agreed by the Parties that any costs reasonably and properly incurred by a Party arising in respect of the failure of a Party to meet its obligations under a transaction to sell or deliver securities resulting from the failure of the Transferor to fulfil its redelivery obligations is to be treated as a direct cost or expense for the purposes of this paragraph.
9.4 Exercise of buy-in on failure to redeliver
In the event that as a result of the failure of the Transferor to fulfi its redelivery obligations a "buy-in" is exercised against the Transferee, then the Transferor shall account to the Transferee for the total costs and expenses reasonably incurred by the Transferee as a result of such "buy-in".
10. SET -OFF ETC
10.1 Definitions for paragraph 10
In this paragraph 10:
"Bid Price" in relation to Equivalent Securities or Equivalent Collateral means the best available bid price on the most appropriate market in a standard size;
"Bid Value" subject to paragraph 10.5 means:-
- (a) in relation to Collateral equivalent to Collateral in the form of a Letter of Credit zero and in relation to Cash Collateral the amount of the currency concerned; and
- (b) in relation to Equivalent Securities or Collateral equivalent to all other types of Collateral the amount which would be received on a sale of such Equivalent Securities or Equivalent Collateral at the Bid Price at Close of Business on the relevant Business Day less all costs, fees and expenses that would be incurred in connection therewith, calculated on the assumption that the aggregate thereof is the least that could reasonably be expected to be paid in order to cary out such sale or realisation and adding thereto the amount of any interest, dividends, distributions or other amounts, in the case of Equivalent Securities, paid to Borrower and in respect of which equivalent amounts have not been paid to Lender and in the case of Equivalent Collateral, paid to Lender and in respect of which equivalent amounts have not been paid to Borrower, in accordance with paragraph 6.1 prior to such time in respect of such Equivalent Securities, Equivalent Collateral or the original Securities or Collateral held, gross of all and any tax deducted or paid in respect thereof;
"Offer Price" in relation to Equivalent Securities or Equivalent Collateral means the best available offer price on the most appropriate market in a standard size;
"Offer Value" subject to paragraph 10.5 means:-
- (a) in relation to Collateral equivalent to Collateral in the form of a Letter of Credit zero and in relation to Cash Collateral the amount of the currency concerned; and
- (b) in relation to Equivalent Securities or Collateral equivalent to all other types of Collateral the amount it would cost to buy such Equivalent Securities or Equivalent Collateral at the Offer Price at Close of Business on the relevant Business Day together with all costs, fees and expenses that would be incurred in connection therewith, calculated on the assumption that the aggregate thereof is the least that could reasonably be expected to be paid in order to carry out the transaction and adding thereto the amount of any interest, dividends, distributions or other amounts, in the case of Equivalent Securities, paid to Borrower and in respect of which equivalent amounts have not been paid to Lender and in the case of Equivalent
Collateral, paid to Lender and in respect of which equivalent amounts have not been paid to Borrower, in accordance with paragraph 6.1 prior to such time in respect of such Equivalent Securities, Equivalent Collateral or the original Securities or Collateral held, gross of all and any tax deducted or paid in respect thereof;
10.2 Termination of delivery obligations upon Event of Default
Subject to paragraph 9, if an Event of Default occurs in relation to either Party, the Parties' delivery and payment obligations (and any other obligations they have under this Agreement) shall be accelerated so as to require performance thereof at the time such Event of Default occurs (the date of which shall be the "Termination Date" for the purposes of this clause) so that performance of such delivery and payment obligations shall be effected only in accordance with the following provisions:
- (i) the Relevant Value of the securities which would have been required to be delivered but for such termination (or payment to be made, as the case may be) by each Party shall be established in accordance with paragraph 10.3; and
- (ii) on the basis of the Relevant Values so established, an account shall be taken (as at the Termination Date) of what is due from each Pary to the other and (on the basis that each Pary's claim against the other in respect of delivery of Equivalent Securities or Equivalent Collateral or any cash payment equals the Relevant Value thereof) the sums due from one Party shall be set-off against the sums due from the other and only the balance of the account shall be payable (by the Pary having the claim valued at the lower amount pursuant to the foregoing) and such balance shall be payable on the Termination Date.
If the Bid Value is greater than the Offer Value, and the Non-Defaulting Party had delivered to the Defaulting Party a Letter of Credit, the Defaulting Party shall draw on the Letter of Credit to the extent of the balance due and shall subsequently redeliver for cancellation the Letter of Credit so provided.
If the Offer Value is greater than the Bid Value, and the Defaulting Party had delivered to the Non-Defaulting Party a Letter of Credit, the Non-Defaulting Party shall draw on the Letter of Credit to the extent of the balance due and shall subsequently redeliver for cancellation the Letter of Credit so provided.
In all other circumstances, where a Letter of Credit has been provided to a Party, such Party shall redeliver for cancellation the Letter of Credit so provided.
10.3 Determination of delivery values upon Event of Default
For the purposes of paragraph 10.2 the "Relevant Value":-
- (i) of any securities to be delivered by the Defaulting Party shall, subject to paragraph 10.5 below, equal the Offer Value of such securities; and
- (ii) of any securities to be delivered to the Defaulting Party shall, paragraph 10.5 below, equal the Bid Value of such securities.
- 10.4 For the purposes of paragraph 10.3, but subject to paragraph 10.5, the Bid Value and Offer Value of any securities shall be calculated for securities of the relevant description (as determined by the Non-Defaulting Party) as of the first Business Day following the Termination Date, or if the relevant Event of Default occurs outside the normal business hours of such market, on the second Business Day following the Termination Date (the "Default Valuation Time");
- 10.5 Where the Non-Defaulting Party has following the occurrence of an Event of Default but prior to the close of business on the fifth Business Day following the Termination Date purchased securities forming part of the same issue and being of an identical type and description to those to be delivered by the Defaulting Party or sold securities forming part of the same issue and being of an identical type and description to those to be delivered by him to the Defaulting Party, the cost of such purchase or the proceeds of such sale, as the case may be, (taking into account all reasonable costs, fees and expenses that would be incurred in connection therewith) shall (together with any amounts owing pursuant to paragraph 6.1) be treated as the Offer Value or Bid Value, as the case may be, of the amount of securities to be delivered which is equivalent to the amount of the securities so bought or sold, as the case may be, for the purposes of this paragraph 10, so that where the amount of securities to be delivered is more than the amount so bought or sold as the case may be, the Offer Value or Bid Value as the case may be, of the balance shall be valued in accordance with paragraph 10.4.
- 10.6 Any reference in this paragraph 10 to securities shall include any asset other than cash provided by way of CollateraL.
10.7 Other costs, expenses and interest payable in consequence of an Event of Default
The Defaulting Party shall be liable to the Non-Defaulting Party for the amount of all reasonable legal and other professional expenses incurred by the Non-Defaulting Party in connection with or as a consequence of an Event of Default, together with interest thereon at the one-month London Inter Bank Offered Rate as quoted on a reputable financial information service ("LIBOR") as of 1 1 .00 am, London Time, on the date on which it is to be determined or, in the case of an expense attributable to a particular transaction and where the parties have previously agreed a rate of interest for the transaction, that rate of interest if it is greater than LIBOR. The rate of LIBOR applicable to each month or part thereof that any sum payable pursuant to this paragraph 10.7 remains outstanding is the rate of LIBOR determined on the first Business Day of any such period of one month or any part thereof. Interest wil accrue daily on a compound basis and wil be calculated according to the actual number of days elapsed.
11. TRANSFER TAXES
Borrower hereby undertakes promptly to pay and account for any transfer or similar duties or taxes chargeable in connection with any transaction effected pursuant to or contemplated by this Agreement, and shall indemnify and keep indemnified Lender against any liabilty arising as a result of Borrower's failure to do so.
12. LENDER'S WARRANTIES
Each Party hereby warants and undertakes to the other on a continuing basis to the intent that such warranties shall survive the completion of any transaction contemplated herein that, where acting as a Lender:
- (a) it is duly authorised and empowered to perform its duties and obligations under this Agreement;
- (b) it is not restricted under the terms of its constitution or in any other manner from lending Securities in accordance with this Agreement or from otherwise performing its obligations hereunder;
- (c) it is absolutely entitled to pass full legal and beneficial ownership of all Securities provided by it hereunder to Borrower free from all liens, charges and encumbrances; and
- (d) it is acting as principal in respect of this Agreement or, subject to paragraph 16, as agent and the conditions referred to in paragraph 16.2 wil be fulfiled in respect of any Loan which it makes as agent.
13. BORROWER'S WARRANTIES
Each Party hereby warrants and undertakes to the other on a continuing basis to the intent that such waranties shall survive the completion of any transaction contemplated herein that, where acting as a Borrower:
(a) it has all necessary licenses and approvals, and is duly authorised and empowered, to perform its duties and obligations under this Agreement and wil do nothing prejudicial to the continuation of such authorisation, licences or approvals;
- (b) it is not restricted under the terms of its constitution or in any other manner from borrowing Securities in accordance with this Agreement or from otherwise performing its obligations hereunder;
- (c) it is absolutely entitled to pass full legal and beneficial ownership of all Collateral provided by it hereunder to Lender free from all liens, charges and encumbrances; and
- (d) it is acting as principal in respect of this Agreement.
14. EVENTS OF DEFAULT
- 14.1 Each of the following events occurrng in relation to either Party (the "Defaulting Party", the other Party being the "Non-Defaulting Party") shall be an Event of Default for the purpose of paragraph 10 but only (subject to sub-paragraph (v) below) where the Non-Defaulting Party serves written notice on the Defaulting Party:-
- (i) Borrower or Lender failing to payor repay Cash Collateral or deliver Collateral or redeliver Equivalent Collateral or Lender failing to deliver Securities upon the due date;
- (ii) Lender or Borrower failing to comply with its obligations under paragraph 5;
- (iii) Lender or Borrower failng to comply with its obligations under paragraph 6.1;
- (iv) Borrower failng to comply with its obligations to deliver Equivalent Securities in accordance with paragraph 8;
- (v) an Act of Insolvency occurring with respect to Lender or Borrower, an Act of Insolvency which is the presentation of a petition for winding up or any analogous proceeding or the appointment of a liquidator or analogous officer of the Defaulting Party not requiring the Non-Defaulting Pary to serve written notice on the Defaulting Party;
- (vi) any representation or warranty made by Lender or Borrower being incorrect or untrue in any material respect when made or repeated or deemed to have been made or repeated;
- (vii) Lender or Borrower admitting to the other that it is unable to, or it intends not to, perform any of its obligations under this Agreement and/or in respect of any Loan;
-
(viii) Lender (if applicable) or Borrower being declared in default or being suspended or expelled from membership of or participation in, any securities exchange or association or suspended or prohibited from dealing in securities by any regulatory authority;
-
(ix) any of the assets of Lender or Borrower or the assets of investors held by or to the order of Lender or Borrower being transferred or ordered to be transferred to a trustee (or a person exercising similar functions) by a regulatory authority pursuant to any securities regulating legislation, or
- (x) Lender or Borrower failing to perform any other of its obligations under this Agreement and not remedying such failure within 30 days after the Non-Defaulting Party serves written notice requiring it to remedy such failure.
- 14.2 Each Party shall notify the other (in writing) if an Event of Default or an event which, with the passage of time and/or upon the serving of a written notice as referred to above, would be an Event of Default, occurs in relation to it.
- 14.3 The provisions of this Agreement constitute a complete statement of the remedies available to each Pary in respect of any Event of Default.
- 14.4 Subject to paragraph 9.3 and 10.7, neither Pary may claim any sum by way of consequential loss or damage in the event of failure by the other party to perform any of its obligations under this Agreement.
15. INTEREST ON OUTSTANDING PAYMENTS
In the event of either Party failng to remit sums in accordance with this Agreement such Party hereby undertakes to pay to the other Party upon demand interest (before as well as after judgment) on the net balance due and outstanding, for the period commencing on and inclusive of the original due date for payment to (but excluding) the date of actual payment, in the same currency as the principal sum and at the rate referred to in paragraph 10.7. Interest wil accrue daily on a compound basis and wil be calculated according to the actual number of days elapsed.
16. TRANSACTIONS ENTERED INTO AS AGENT
16.1 Power for Lender to enter into Loans as agent
Subject to the following provisions of this paragraph, Lender may (if so indicated in paragraph 6 of the Schedule) enter into Loans as agent (in such capacity, the "Agent") for a third person (a "Principal"), whether as custodian or investment manager or otherwise (a Loan so entered into being referred to in this paragraph as an "Agency Transaction").
16.2 Conditions for agency loan
A Lender may enter into an Agency Transaction if, but only if:-
(i) it specifies that Loan as an Agency Transaction at the time when it enters into it;
- (ii) it enters into that Loan on behalf of a single Principal whose identity is disclosed to Borrower (whether by name or by reference to a code or identifier which the Parties have agreed wil be used to refer to a specified Principal) at the time when it enters into the Loan or as otherwise agreed between the Paries; and
- (iii) it has at the time when the Loan is entered into actual authority to enter into the Loan and to perform on behalf of that Principal all of that Principal's obligations under the agreement referred to in paragraph 16.4(ii).
16.3 Notification by Lender of certain events affecting the principal
Lender undertakes that, if it enters as agent into an Agency Transaction, forthwith upon becoming aware:-
- (i) of any event which constitutes an Act of Insolvency with respect to the relevant Principal; or
- (ii) of any breach of any of the waranties given in paragraph 16.5 or of any event or circumstance which has the result that any such waranty would be untrue if repeated by reference to the then current facts;
it wil inform Borrower of that fact and wil, if so required by Borrower, furnish it with such additional information as it may reasonably request.
16.4 Status of agency transaction
- (i) Each Agency Transaction shall be a transaction between the relevant Principal and Borrower and no person other than the relevant Principal and Borrower shall be a party to or have any rights or obligations under an Agency Transaction. Without limiting the foregoing, Lender shall not be liable as principal for the performance of an Agency Transaction, but this is without prejudice to any liabilty of Lender under any other provision of this clause; and
- (ii) all the provisions of the Agreement shall apply separately as between Borrower and each Principal for whom the Agent has entered into an Agency transaction or Agency Transactions as if each such Principal were a party to a separate agreement with Borrower in all respects identical with this Agreement other than this paragraph and as if the Principal were Lender in respect of that agreement;
PROVIDED THAT
if there occurs in relation to the Agent an Event of Default or an event which would constitute an Event of Default if Borrower served written notice under any sub-clause of paragraph 14, Borrower shall be entitled by giving written notice to the Principal (which notice shall be validly given if given to Lender in accordance with paragraph 21) to declare
that by reason of that event an Event of Default is to be treated as occurring in relation to the PrincipaL. If Borrower gives such a notice then an Event of Default shall be treated as occurring in relation to the Principal at the time when the notice is deemed to be given; and
if the Principal is neither incorporated in nor has established a place of business in Great Britain, the Principal shall for the purposes of the agreement referred to in paragraph 16.4(ii) be deemed to have appointed as its agent to receive on its behalf service of process in the courts of England the Agent, or if the Agent is neither incorporated nor has established a place of business in Great Britain, the person appointed by the Agent for the purposes of this Agreement, or such other person as the Principal may from time to time specify in a written notice given to the other Party.
The foregoing provisions of this paragraph do not affect the operation of the Agreement as between Borrower and Lender in respect of any transactions into which Lender may enter on its own account as principaL.
16.5 Warranty of authority by Lender acting as agent
Lender warants to Borrower that it wil, on every occasion on which it enters or purports to enter into a transaction as an Agency Transaction, have been duly authorised to enter into that Loan and perform the obligations arising under such transaction on behalf of the person whom it specifies as the Principal in respect of that transaction and to perform on behalf of that person all the obligations of that person under the agreement referred to in paragraph 16.4(ii).
17. TERMINANA TION OF THIS AGREEMENT
Each Party shall have the right to terminate this Agreement by giving not less than 15 Business Days' notice in writing to the other Party (which notice shall specify the date of termnation) subject to an obligation to ensure that all Loans which have been entered into but not discharged at the time such notice is given are duly discharged in accordance with this Agreement.
18. SINGLE AGREEMENT
Each Party acknowledges that, and has entered into this Agreement and wil enter into each Loan in consideration of and in reliance upon the fact that, all Loans constitute a single business and contractual relationship and are made in consideration of each other. Accordingly, each Party agrees:
(i) to perform all of its obligations in respect of each Loan, and that a default in the performance of any such obligations shall constitute a default by it in respect of all Loans; and
(ii) that payments, deliveries and other transfers made by either of them in respect of any Loan shall be deemed to have been made in consideration of payments, deliveries and other transfers in respect of any other Loan.
19. SEVERANCE
If any provision of this Agreement is declared by any judicial or other competent authority to be void or otherwise unenforceable, that provision shall be severed from the Agreement and the remaining provisions of this Agreement shall remain in full force and effect. The Agreement shall, however, thereafter be amended by the Parties in such reasonable manner so as to achieve as far as possible, without ilegality, the intention of the Paries with respect to that severed provision.
20. SPECIFIC PERFORMANCE
Each Party agrees that in relation to legal proceedings it wil not seek specific performance of the other Pary's obligation to deliver or redeliver Securities, Equivalent Securities, Collateral or Equivalent Collateral but without prejudice to any other rights it may have.
21. NOTICES
- 21.1 Any notice or other communication in respect of this Agreement may be given in any manner set forth below to the address or number or in accordance with the electronic messaging system details set out in paragraph 4 of the Schedule and wil be deemed effective as indicated:
- (i) if in writing and delivered in person or by courier, on the date it is delivered;
- (ii) if sent by telex, on the date the recipient's answerback is received;
- (iii) if sent by facsimile transmission, on the date that transmission is received by a responsible employee of the recipient in legible form (it being agreed that the burden of proving receipt wil be on the sender and wil not be met by a transmission report generated by the sender's facsimile machine);
- (iv) if sent by certified or registered mail (airmail, if overseas) or the equivalent (return receipt requested), on the date that mail is delivered or its delivery is attempted; or
- (v) if sent by electronic messaging system, on the date that electronic message is received,
unless the date of that delivery (or attempted delivery) or the receipt, as applicable, is not a Business Day or that communication is delivered (or attempted) or received, as applicable, after the Close of Business on a Business Day, in which case that communication shall be deemed given and effective on the first following day that is a Business Day.
21.2 Either party may by notice to the other change the address, telex or facsimile number or electronic messaging system details at which notices or other communications are to be given to it.
22. ASSIGNMENT
Neither Party may charge assign or transfer all or any of its rights or obligations hereunder without the prior consent of the other Pary.
23. NON-WAIVER
No failure or delay by either Party (whether by course of conduct or otherwise) to exercise any right, power or privilege hereunder shall operate as a waiver thereof nor shall any single or partial exercise of any right, power or privilege preclude any other or further exercise thereof or the exercise of any other right, power or privilege as herein provided.
24. GOVERNING LAW AND JURISDICTION
- 24.1 This Agreement is governed by, and shall be construed in accordance with, English law.
- 24.2 The courts of England have exclusive jurisdiction to hear and decide any suit, action or proceedings, and to settle any disputes, which may arise out of or in connection with this Agreement (respectively, "Proceedings" and "Disputes") and, for these purposes, each party irrevocably submits to the jurisdiction of the courts of England.
- 24.3 Each party irrevocably waives any objection which it might at any time have to the courts of England being nominated as the forum to hear and decide any Proceedings and to settle any Disputes and agrees not to claim that the courts of England are not a convenient or appropriate forum.
- 24.4 Each of Party A and Party B hereby respectively appoints the person identified in paragraph 5 of the Schedule pertaining to the relevant Party as its agent to receive on its behalf service of process in the courts of England. If such an agent ceases to be an agent of Party A or party B, as the case may be, the relevant Party shall promptly appoint, and notify the other Party of the identity of its new agent in England.
25. TIME
Time shall be of the essence of the Agreement.
26. RECORDING
The Parties agree that each may record all telephone conversations between them.
27. WAIVER OF IMMUNITY
Each Party hereby waives all immunity (whether on the basis of sovereignty or otherwise) from jurisdiction, attachment (both before and after judgement) and execution to which it might otherwise be entitled in any action or proceeding in the courts of England or of any other country or jurisdiction relating in any way to this Agreement and agrees that it wil not raise, claim or cause to be pleaded any such immunity at or in respect of any such action or proceeding.
28. MISCELLANEOUS
- 28.1 This Agreement constitutes the entire agreement and understanding of the Parties with respect to its subject matter and supersedes all oral communication and prior writings with respect thereto.
- 28.2 The Party (the "Relevant Party") who has prepared the text of this Agreement for execution (as indicated in paragraph 7 of the Schedule) warrants and undertakes to the other Party that such text conforms exactly to the text of the standard form Global Master Securities Lending Agreement posted by the International Securities Lenders Association on its website on 7 May 2000 except as notified by the Relevant Pary to the other Party in writing prior to the execution of this Agreement.
- 28.3 No amendment in respect of this Agreement wil be effective unless in writing (including a writing evidenced by a facsimile transmission) and executed by each of the Parties or confirmed by an exchange of telexes or electronic messages on an electronic messaging system.
- 28.4 The obligations of the Parties under this Agreement wil survive the termination of any Loan.
- 28.5 The warranties contained in paragraphs 12, 13, 16 and 28.2 wil survive termination of this Agreement for so long as any obligations of either of the Parties pursuant to this Agreement remain outstanding.
- 28.6 Except as provided in this Agreement, the rights, powers, remedies and privileges provided in this Agreement are cumulative and not exclusive of any rights, powers, remedies and privileges provided by law.
- 28.7 This Agreement (and each amendment in respect of it) may be executed and delivered in counterparts (including by facsimile transmission), each of which wil be deemed an original.
- 28.8 A person who is not a party to this Agreement has no right under the Contracts (Rights of Third Parties) Act 1999 to enforce any terms of this Agreement, but this does not affect any right or remedy of a third party which exists or is available apart from that Act.
EXECUTED by the PARTIES
DATED 21 st March, 2011
SIGNED BY
FOR AND ON BEHALF OF
~/~~ ~~~e~ ~
Associate Director
SIGNED BY
DULY AUTHORISED FOR AND ON BEHALF OF
STATE STREET BANK AN TRUST CO~'
Don O'Eramo Senior Managing Director
ID Chri r Morley Senior aging Director
SCHEDULE
1 Collateral
- 1.1 The securities, financial instruments and deposits of currency set out in the table below with a cross marked next to them are acceptable forms of Collateral under this Agreement.
- 1.2 Unless otherwise agreed between the Paries, the Market Value of the Collateral delivered pursuant to paragraph 5 by Borrower to Lender under the terms and conditions of this Agreement shall on each Business Day represent not less than the Market Value of the Loaned Securities together with the percentage contained in the row of the table below corresponding to the particular form of Collateral, referred to in this Agreement as the "Margin ".
| Security /Financial | Mark "X" if acceptable | Margin |
|---|---|---|
| Instrument/Deposit of Currency |
form of Collateral | (%) |
| Sovereign bonds (as agreed) | X | 5% |
| Cash Collateral | X | 2% - 5% |
| FTSE 100 DBV | X | 5% |
| UK Gilts DBV | X | 2% - 5% |
1.3 Basis of Margin Maintenance:
Paragraph 5.4 (aggregation) shall not apply* D
The assumption is that paragraph 5.4 (aggregation) applies unless the box is ticked
1.4 Paragraph 5.6 (netting of obligations to deliver Collateral and redeliver Equivalent Collateral) shall not apply* D
If paragraph 5.4 applies, the assumption is that paragraph 5.6 (netting) applies unless the box is ticked.
- Base Currency
The Base Currency applicable to this Agreement is: EURO
3. Places of Business
London
4. Designated Offce and Address for Notices
(A) Designated offce of Party A:
Party A may act through its Sydney Head Office or London branch.
(a) Address for notices or communications to Party A when it is acting through its Sydney head office:
| Address: 1 Martin Place, Sydney NSW 2000 Australia | |
|---|---|
| Attention: Executive Director, Legal Risk Management, Treasury & | |
| Commodities Group, Equity Markets Group | |
| Facsimile No: +61282324540 | |
| Telephone No: +61282323333 | |
(b) Address for notices or communications to Party A when it is acting through its London branch: Address: Attention: Level 30, Citypoint, 1 Ropemaker Street, London EC2Y 9HD, United Kingdom Head of Legal, Treasury Legal London
| Facsimile No: | +442030374435 |
|---|---|
Telephone No: +442070652215
(B) Designated offce of Party B:
London, Boston and Toronto
| Address for notices or communications to Party B: |
|---|
| Address: State Street Bank and Trust Company, 20 Churchil Place, |
| Canary Whar, London E14 5HJ United Kingdom |
| Attention: Christopher Taylor, Securities Finance |
| Facsimile No: 44 (0) 20 7369 4603 |
| Telephone No: +44 (0) 20 7864-7357 |
| Electronic Messaging System Details: not applicable |
| With a copy to: Securities Finance |
| State Street Financial Center |
| One Lincoln Street |
| Boston Massachusetts 02111-2900 |
| Attn: Paul Fleming, Short Extension Product |
5. (A) Agent of Party A for Service of Process
NOT APPLICABLE
(B) Agent of Party B for Service of Process
Macquarie Bank Ltd (London Branch)Level 30, Citypoint, 1 Ropemaker Street, London EC2Y 9HD, United Kingdom
6. Agency
| - Paragraph 16 may apply to Party A* | D | |
|---|---|---|
| - Paragraph 16 may apply to Pary B* | D | |
| 7. | Party Preparing this Agreement Pary A * |
D |
| Pary B * | LK |
8. Records and Statements
- (a) The Lender shall keep records capable of demonstrating at all times the outstanding Transactions, the Net Transaction Exposure, the amount of Cash Collateral and/or Collateral Securities paid or delivered by Borrower in respect of Loans and such other information as may be necessary to perform its obligations as Lender or agreed between the Parties.
- (b) The Lender shall, at such times and using the medium as have been agreed between the Paries, or otherwise upon reasonable request by Borrower, deliver a statement to Borrower in respect of all outstanding Transactions setting out the amount of Collateral by value and any further information agreed to be provided.
9 Confidentiality
- (a) The statements provided in accordance with clause 9 and any other information exchanged between the Parties shall be provided to persons in their respective legal/creditrisk/compliance departments or such other entity performing similar functions on behalf of the Party as have a need to know in order to cary out their functions ("Authorised Persons") for the purposes of (a) credit analysis, (b) monitoring credit exposure, (c) calculating regulatory capital requirements and (d) compliance requirements (including without limitation "know your customer" requirements), in each case with respect to transactions executed under this Agreement or other agreements for securities finance products or services (together, the "Authorized Purposes").
- (b) The Parties each acknowledge that all information regarding themselves or Transactions provided by or on behalf of one party or otherwise made available to the other is
confidential, proprietary and very valuable. Each Party undertakes to ensure that such information is only available to Authorised Persons and used for Authorised Purposes. Each Party shall not, and wil ensure that other persons or entities under its control or direction, including without limitation the Authorized Persons shall not, directly or indirectly, in any manner or through any means, (i) trade or make investment recommendations on the basis of the information, or (ii) disclose such information to any other person, department or unit, including without limitation, the sales, trading or marketing units of that Party or its affiliates without the prior written consent of the other party, and shall not permit any use of the information to solicit business or to market any products or services (including securities lending) to any person or otherwise interfere with the other Party's relationship with its clients or customers.
- (f) Each Pary shall safeguard the information from unauthorized use or disclosure using the same degree of care as it takes to protect its own confidential information of similar nature in any event no less than the degree of care reasonably expected of a professional and competent financial institution. For purposes hereof, "person" wil be interpreted broadly to include any organization, governmental instrumentality, corporation, partnership, division or individuaL.
- (g) Each Pary acknowledges and agrees that the other party could suffer irreparable harm if the provision of this clause 10 were breached and that money damages might not be a sufficient remedy for any such breach. Each Pary shall therefore be entitled to seek specific performance and injunctive relief as remedies for any such breach. Such remedies are not the exclusive remedies for a breach of this Agreement but are in addition to all other remedies available at law or in equity.
10 Manufactured Dividends
In relation to any Loan of Overseas Securities or shares in United Kingdom real estate investment trusts made pursuant to the Agreement Paragraph 6.1 of the Agreement shall take effect as if it were replaced by the following sub-paragraphs:-
- (a) Where Income is paid in relation to any Loaned Securities on or by reference to an Income Payment Date on which such Securities are the subject of a Loan, the Borrower shall, on the date of the payment of such Income, or on such other date as the Parties may from time to time agree (the "Relevant Payment Date") pay and deliver a sum of money or property equivalent to the type and amount of such Income, irrespective of whether the Borrower received the same. The provisions of sub-paragraphs (b) to (d) below shall apply in relation thereto.
- (b) Subject to sub-paragraph (c) below, in the case of any Income comprising a payment, the amount (the "Manufactured Dividend") payable by the Borrower shall be equal to the amount of such income that the Lender would have been entitled to receive had such securities not been loaned to Borrower and had been retained by the Lender on the Income Payment Date TOGETHER WIH a sum of money equivalent to any reclaims or tax credits with respect to withholding tax at source on
actual distribution made by the issuer which may otherwise have been available to the Lender had it received the actual distribution made by the issuer, unless a lesser amount is agreed between the Parties or an Appropriate Tax Voucher (TOGETHER WIH any further amount which may be agreed between the parties to be paid) is provided in lieu of such deduction, withholding, tax credit or payment.
- (c) Where either the Borrower, or any person to whom the Borrower has on-lent the Securities, is unable to make payment of the Manufactured Dividend to the Lender without there being a requirement to account to the UK Inland Revenue for any amount of (a) in the case of shares in United Kingdom real estate investment trusts, UK Income tax pursuant to Regulation 3(2) of Statutory Instrument 2006/2867 or (b) in all other cases, relevant withholding tax pursuant to Schedule 23A to the Income and Corporation Taxes Act 1988 or Chapter 9 of Part 15 of the Income Tax Act 2007, as applicable) the Borrower shall pay to the Lender, in cash, the Manufactured Dividend less amounts equal to such tax. The Borrower shall at the same time, if requested, supply Appropriate Certificates of Deduction of Tax or Appropriate Tax Vouchers to the Lender. For the avoidance of doubt, this sub-paragraph (c) wil not apply where the Lender has provided to the Borrower documentation that would allow the Borrower to make the payment of the Manufactured Dividend without accountjng for any amount of UK income tax or relevant withholding tax.
- (d) In this paragraph:
- (i) "Appropriate Tax Vouchers" means such tax vouchers and/or certificates as are defined in Regulations 10(2), 10 (3), 10(4) and 15 of UK Statutory Instrument 1993 / 2004 as amended, supplemented or superseded.
- (ii) "Appropriate Certificates of Deduction of Tax" means such statements as referred to in Regulation 6 of Statutory Instrument 2006 / 2867 as amended, supplemented or superseded.
11 Payments on Collateral Securities
The following shall be added at the end of Paragraph 6.1 of the Agreement:
"Where Securities are delivered as Collateral for a Loan, Borrower shall provide to Lender Alternative Collateral acceptable to Lender not less than three Business Days prior to the record date for the payment of any Income with respect to the CollateraL. If, for whatever reason, Alternative Collateral is not provided prior to the record date for the payment of any Income with respect to the Collateral, causing Lender to be the holder of record at such time Lender's obligation to account to Borrower for Income or other distributions in respect of Collateral shall be subject to any withholding taxes or duties deducted or imposed on Lender without reference to any amount of tax credit or reclaim which may be due or claimable by Lender. Where Borrower has supplied Alternative Collateral but Lender has failed to make reasonable efforts to transfer Equivalent Collateral prior to such Income
Payment Date Lender shall indemnify Borrower in respect of any cost, loss or damage suffered by Borrower which it would not have suffered had Equivalent Collateral been transferred prior to such Income Payment Date."
12 AUKI / AUKCA Status
Each party undertakes to notify the other Party if it becomes or ceases to be an A UKI or an AUKCA.
13 Distribution of Securities, warrants or rights
A new paragraph 6.5 is added as follows:
"6.5 Distribution of Securities, warrants or rights
- 6.5.1 Any distribution of Securities made in exchange for Securities which are the subject of a Loan or are securities which are provided as Collateral shall be deemed substituted for such Loaned Securities or Collateral respectively, and shall be treated as if such Securities were originally the subject of the relevant Loan or originally provided as Collateral, as the case may be.
- 6.5.2 Income comprising a distribution of warants or rights to purchase shares shall, if made in respect of Securities, be deemed to be a new Loan of Securities at the rate agreed upon by the Parties, and shall, if made in respect of Collateral, be deemed to a provision of additional Collateral subject to the Margin agreed upon by the Parties. "
Draft 4,4 April 1997 (showing change from Draft 3) Australian Securities Lending Association Limited
(ACN 054 944 482) Level 18,20 Bond Street Sydney NSW 2000 Tel: (02) 9220 1413 Fax: (02) 9220 1379
(Version: 4 April 1997)
Coversheet to
1AUSTRALIAN MASTER SECURITIES LENDING AGREEMENT*
dated as of:
ma..... T -2.. .fl.w&. . . . .la .%3 .?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
I *
1 Between: WARBURG DfLLON READ AUSTRALIA EQUITIES LIMITED
1, ACN 008 586 481
IAnd: BANKERS TRUST AUSTRALIA LIMITED
~ACN 003 017 221
This agreement is adapted from the ISLA Overseas Securities Lender's Agreement (Yemion: December 1995, as amended by 1996 UK Tax Addendum), prepared by Clzfford ~I Chance, London, England for use by parties required to meet UKInland Revenue tax requirements.
* This agreement is also subject to the "Warning and Disclaimer" on the coversheet to the ~l User's Guide relating to this agreement.
Mallesons Stephen Jaques
SOLICITORS Governor Phillip Tower 1 Farrer Place Sydney NSW 2000 Telephone (02) 9296 2000 Fax (02) 9296 3999 DX 1 13 Sydney Ref: JCK
| Contents | |
|---|---|
Contents Agreement Page No
| 1 Interpretation | |
|---|---|
| 2 Loans of Securities | |
| 3 Delivery of Securities | |
| 4 Title, Distributions and Voting | |
| 5 Fees | |
| 6 Collateral | |
| 7 Redelivery of Equivalent Securities | |
| 8 Set-off etc. | |
| 9 Stamp duty, taxes etc and loss of tax benefits | |
| 10 Lender's warranties | |
| 11 Borrower's warranties | |
| 12 Events of Default | |
| 13 Outstanding payments | |
| 14 Transactions entered into as agent | |
| 15 Termination of course of dealings by notice | |
| 16 No reliance or tax or accounting representations by &her Party |
|
| 17 Observance of procedures | |
| 18 Severance | |
| 19 Specific performance | |
| 20 Notices | |
| 21 Assignment | |
| 22 Non-Waiver | |
| 23 Time | |
| 24 Recording | |
| 25 Miscellaneous |
| 26 Definitions | 19 |
|---|---|
| 27 Governing Law and Jurisdiction | 27 |
| Schedule 1 - Particulars | 28 |
| Schedule 2 Specimen Form of Borrowing Request (see clause 2.1 | |
| and definition of C'Borrowing Request" in clause 26) | 3 1 |
| Schedule 3 Supplementary Terms and Conditions (if any) | 33 |
Australian Securities Lending Association Limited
(ACN 054 944 482) Level 18,20 Bond Street Sydney NSW 2000 Tel: (02) 9220 141 3 Fax: (02) 9220 1379
AUSTRALIAN MASTER SECURITIES LENDING AGREEMENT *
F(Version: 4 April 1997)
dated as of: 1 Between: (1) WARBURG DILLON READ AUSTRALIA EQUITIES LIMITED
ACN 008 586 481
a company incorporated under the laws of the Australian Capital Territory
of Level 25, Governor Phillip Tower, 1 Farrer Place, Sydney NSW.
And: (2) BANKERS TRUST AUSTFULIA LIMITED
ACN 003 0 17 22 1
1of Level 2, Chifley Tower, 2 Chifley Square, Sydney NSW.
* This agreement is adaptedfrom the ISLA Overseas Securities Lender's Agreement version: December 1995, as amended by 1996 UK Tax Addendum), prepared by Clifford Chance, London, England for use by parties required to meet UK Inland Revenue tax requirements.
* This agreement is also subject to the "Warning and Disclaimer" on the coversheet to the "User's Guide" relating to this agreement.
Mallesons Stephen Jaques
SOLICITORS Governor Phillip Tower 1 Farrer Place Sydney NSW 2000 Telephone (02) 9296 2000 Fax (02) 9296 3999 DX 1 13 Sydney
Recitals:
A. The Parties hereto are desirous of agreeing to a procedure whereby either one of them (the "Lender") will make available to the other of them (the "Borrower") from time to time Securities (as hereinafter defined).
2, % e - - i . A
B. All transactions carried out under this Agreement will be effected in accordance with the Rules (as hereinafter defined), if applicable, together with current market practices, customs and conventions, in so far as they are not inconsistent with the terms of this Agreement.
Operative provisions:
1 Interpretation
- 1.1 [Definitions] The terms defined in clause 26 and in Schedule 1 have the meanings therein specified for the purposes of this Agreement.
- 1.2 pnconsistency] In the event of any inconsistency between the provisions of Schedule 1 and the other provisions of this Agreement, Schedule 1 will prevail. In the event of any inconsistency between the provisions (if any) of Schedule 3 and the other provisions of this Agreement (including Schedule I), Schedule 3 will prevail. In the event of any inconsistency between the provisions of any Confirmation and this Agreement (including Schedules 1 and 3), such Confirmation will prevail for the purpose of the relevant transaction.
- 1.3 [Single agreement] All transactions are entered into in reliance on the fact that this Agreement and all Confirmations form a single agreement between the Parties (collectively referred to as this "Agreement"), and the Parties would not otherwise enter into any transactions.
- 1.4 [Interpretation] In this Agreement:
- (a) Unless the context otherwise requires:
- (i) The singular includes the plural and vice versa.
- (ii) A person includes a corporation.
- (iii) A corporation includes any body corporate and any statutory authority.
- (iv) A reference to a statute, ordinance, code or other law or the Rules includes regulations or other instruments under it or them and consolidations, amendments, re-enactments or replacements of any of them.
2
- (b) Notwithstanding tIie use of expressions such as "borrow", "lend", "Collateral", "Margin", "redeliver" etc., which are used to reflect terminology used in the market for transactions of the kind provided for in this Agreement, title to Securities "borrowed" or "lent" and "Collateral" provided in accordance with this Agreement shall pass from one Party to another as provided for in this Agreement, the Party obtaining such title being obliged to redeliver Equivalent Securities or Equivalent Collateral, as the case may be.
- 1.5 [Headings] All headings appear for convenience only and shall not affect the interpretation of this Agreement.
- 1.6 [Currency conversion] For the purposes of clauses 6, 8.3 and 8.4, when a conversion into the Base Currency is required, all prices, sums or values (including any Value, Offer Value and Bid Value) of Securities, Equivalent Securities, Collateral or Equivalent Collateral (including Cash Collateral) stated in currencies other than the Base Currency shall be converted into the Base Currency at the rate quoted by an Australian bank selected by the Lender (or, if an Event of Default has occurred in relation to the Lender, by the Borrower) at or about 11.00am (Sydney time) on the day of conversion as its spot rate for the sale by the bank of the Base Currency in exchange for the relevant other currency.
- 1.7 [Other agreements] Where at any time there is in existence any other agreement between the Parties the terms of which make provision for the lending of Securities (as defined in this Agreement) as well as other securities, the terms of this Agreement shall apply to the lending of such Securities to the exclusion of any other such agreement.
- 1.8 wominees] If payment is to be made to a Party's nominee or otherwise in accordance with the directions of a Party (whether by the other Party or by a third party), it shall be deemed, for the purposes of this agreement, to have been paid or made to the first mentioned Party.
2 Loans of Securities
- 2.1 [Borrowing Request and acceptance thereofl The Lender will lend Securities to the Borrower, and the Borrower will borrow Securities from the Lender, in accordance with the terms and conditions of this Agreement and with the Rules provided always that the Lender shall have received from the Borrower and accepted (by whatever means) a Borrowing Request.
- [Changes to a Borrowing Request] The Borrower has the right to reduce the amount of Securities referred to in, or otherwise vary, a Borrowing Request provided that:
- (a) the Borrower has notified the Lender of such reduction or variation no later than midday Australian Eastern standard or summer (as appropriate) time on the day which is two Business Days prior to the Settlement Date, unless otherwise agreed between the Parties, and
- (b) the Lender shall have accepted such reduction or variation (by whatever means).
3 Deliverv of Securities
[Delivery of Securities] The Lender shall procure the delivery of Securities to the Borrower or deliver such Securities in accordance with the relevant Borrowing Request together with appropriate instruments of transfer (where necessary) duly stamped (where necessary) and such other instruments (if any) as may be requisite to vest title thereto in the Borrower. Such Securities shall be deemed to have been delivered by the Lender to the Borrower on delivery to the Borrower or as it shall direct of the relevant instruments of transfer and certificates or other documents of title (if any), or in the case of Securities title to which is registered in a computer based system which provides for the recording and transfer of title to the same by way of electronic entries (such as CHESS), on the transfer of title in accordance with the rules and procedures of such system as in force from time to time, or by such other means as may be agreed.
4 Title, Distributions and Voting
- 4.1 [Passing of title] The Parties shall execute and deliver all necessary documents and give all necessary instructions to procure that all right, title and interest in:
- (a) any Securities borrowed pursuant to clause 2;
- (b) any Equivalent Securities redelivered pursuant to clause 7;
- (c) any Collateral delivered pursuant to clause 6;
- (d) any Equivalent Collateral redelivered pursuant to clauses 6 or 7,
shall pass from one Party to the other, on delivery or redelivery of the same in accordance with this Agreement, free from all liens, charges, equities and encumbrances. In the case of Securities, Collateral, Equivalent Securities or Equivalent Collateral title to which is registered in a computer based system which provides for the recording and transfer of title to the same by way of electronic entries, delivery and transfer of title shall take place in accordance with the rules and procedures of such system as in force from time to time.
4.2 [Distributions]
- (a) [Cash distributions] Unless otherwise agreed, where Income is paid in relation to any Securities on or by reference to an Income Payment Date on which such Securities are the subject of a loan under this Agreement, the Borrower shall, on the date of the payment of such Income, or on such other date as the Parties may from time to time agree, (the "Relevant Payment Datey') pay and deliver a sum of money equivalent to the same to the Lender, irrespective of whether the Borrower received the same.
- (b) [Non-cash distributions] Subject to paragraph (c) (unless otherwise agreed), where, in respect of any borrowed Securities or any Collateral, any rights relating to conversion, sub-division, consolidation, pre-emption, rights arising under a takeover offer or other rights, including those requiring election by the holder for the time being of such Securities or Collateral, become exercisable prior to the redelivery of Equivalent Securities or Equivalent Collateral, then the Lender or Borrower, as the case may be, may, within a reasonable time before the latest time for the exercise of the right or option, give written notice to the other Party that, on
redelivery of ~~uivalent Securities or Equivalent Collateral, as the case may be, it wishes to receive Equivalent Securities or Equivalent Collateral in such form as will arise if the right is exercised or, in the case of a right which may be exercised in more than one manner, is exercised as is specified in such written notice.
- (c) [Tax Act ss 26BC(3)(c)(ii) and (v) requirements] Notwithstanding paragraph (b), where, in respect of any Borrowed Securities or any Collateral, the relevant issuer company, trustee, government or government authority issues any right or option in respect of the Borrowed Securities or Collateral, as the case may be, the Borrower or the Lender, respectively, must deliver or make, as the case may be, to the other Party on the date of such issue or on such other date as the Parties may from time to time agree:
- (i) the right, or option; or
- (ii) an identical right or option; or
- (iii) a payment equal to the value to the Lender or the Borrower, respectively, of the right or option;
together with any such endorsements or assignments as shall be customary and appropriate.
- (d) [Manner of payment] Any payment to be made by the Borrower under this clause shall be made in a manner to be agreed between the Parties.
- 4.3 [Voting] Unless paragraph 4 in Schedule 1 specifies that this clause 4.3 does not apply, each Party undertakes that, where it holds Securities of the same description as any Securities borrowed by it or transferred to it by way of Collateral at a time when a right to vote arises in respect of such Securities, it will use its best endeavours to arrange for the voting rights attached to such Securities to be exercised in accordance with the instructions of the Lender or Borrower (as the case may be) provided always that each Party shall use its best endeavours to notifl the other of its instructions in writing no later than seven Business Days prior to the date upon which such votes are exercisable, or as otherwise agreed between the Parties, and that the Party concerned shall not be obliged so to exercise the votes in respect of the number of Securities greater than the number so lent or transferred to it. For the avoidance of doubt, the Parties agree that, subject as hereinbefore provided, any voting rights attaching to the relevant Securities, Equivalent Securities, Collateral and/or Equivalent Collateral shall be exercisable by the persons in whose name they are registered, or in the case of Securities, Equivalent Securities, collateral and/or Equivalent Collateral in bearer form by the persons by or on behalf of whom they are held, and not necessarily by the Borrower or the Lender (as the case may be).
I
5.1 [Fees] In respect of each loan of Securities:
- , (a) for which the Collateral is cash:
- i(i) the Lender must pay a fee to the Borrower in respect of the amount 1 of that Collateral, calculated at the rate agreed between them; and
5
- (ii) unless the Parties otherwise agree, the Borrower is not obliged to pay a fee to the Lender;
- (b) for which there is no Cash Collateral, the Borrower must pay a fee to the Lender, calculated at the rate agreed between them.
- 5.2 were there are different types of Collateral] Where the Collateral comprises only partly cash, clause 5.1 is to be construed as if there were separate loans of Securities, one secured solely by Cash Collateral and the other secured solely by non-cash Collateral.
- 5.3 [Calculation of fees] In respect of each loan of Securities, the payments referred to in clause 5.1 of this clause shall accrue daily in respect of the period commencing on and inclusive of the Settlement Day and terminating on and exclusive of the Business Day upon which Equivalent Securities are redelivered or Cash Collateral is repaid. Unless otherwise agreed, the sums so accruing in respect of each calendar month shall be paid in arrears by the Borrower to the Lender or to the Borrower by the Lender (as the case may be) not later than the Business Day which is one week after the last Business Day of the calendar month to which such payment relate or such other date as the Parties from time to time agree. Any payment made pursuant to clause 5.1 shall be in Australian currency, unless otherwise agreed, and shall be paid in such manner and at such place as shall be agreed between the Parties.
6 Collateral
6.1 [Borrower's obligation to provide Collateral] Unless otherwise agreed, subject to the other provisions of this clause 6, the Borrower undertakes to deliver to or deposit with the Lender (or in accordance with the Lender's instructions) Collateral of the kind specified in the relevant Borrowing Request or as otherwise agreed between the Parties (together with appropriate instruments of transfer duly stamped (where necessary) and such other instruments as may be requisite to vest title thereto in the I Lender) simultaneously with delivery of the Borrowed Securities by the Lender.
6.2 [Global margining]
- (a) [Adjustments to Collateral] Unless otherwise agreed between the Parties, subject to paragraph (b), clause 6.4 and paragraph 1.5 in Schedule 1 :
- (i) The aggregate Value of the Collateral delivered to or deposited with the Lender or its nominated bank or depositary (excluding any Collateral repaid or redelivered under paragraph (ii) below (as the case may be)) in respect of all loans of Securities outstanding under this Agreement ("Posted Collateral") shall from day to day and at any time be at least the aggregate of the Required Collateral Values in respect of such loans.
- (ii) If at any time the aggregate Value of the Posted Collateral in respect of all loans of Securities outstanding under this Agreement exceeds the aggregate of the Required Collateral Values in respect of such loans, the Lender shall (on demand) repay such Cash Collateral andlor redeliver to the Borrower such Equivalent Collateral as will eliminate the excess.
1- ^. ;.I 92dl*.-&x, ,
- (iii) If at any time the aggregate Value of the Posted Collateral in respect of all loans of Securities outstanding under this Agreement falls below the aggregate of Required Collateral Values in respect of all such loans, the Borrower shall (on demand) provide such further Collateral to the Lender as will eliminate the deficiency.
- (b) [Netting of Collateral obligations where a Party is both Lender and Borrower] Unless otherwise agreed between the Parties, subject to clause 6.4 and paragraph 1.5 in Schedule 1, where paragraph (a) applies, if a Party (the "first Party") would, but for this paragraph, be required under paragraph (a) to repay Cash Collateral, redeliver Equivalent Collateral or provide fixther Collateral in circumstances where the other Party (the "second Party") would, but for this paragraph, also be required to repay Cash Collateral, redeliver Equivalent Collateral or provide further Collateral under paragraph (a), then the Value of the Cash Collateral, Equivalent Collateral or further Collateral deliverable by the first Party ("X") shall be set-off against the Value of the Cash Collateral, Equivalent Collateral or further Collateral deliverable by the second Party ('(Y") and the only obligation of the Parties under paragraph (a) shall be, where X exceeds Y, an obligation of the first Party, or where Y exceed X, an obligation of the second Party, (on demand) to repay Cash Collateral, redeliver Equivalent Collateral or deliver further Collateral having a Value equal to the difference between X and Y.
- [Required Collateral Value] For the purposes of clause 6.2(a), the Value of the Posted Collateral to be delivered or deposited in respect of any loan of Securities, while the loan of Securities continues, shall be equal to the aggregate of the Value of the borrowed Securities and the Margin applicable thereto (the "Required Collateral Value").
- 6.4 [Time for paymentlrepayment of Collateral] Except as provided in clause 6.1 or clause 6.6, where any Cash Collateral is to be repaid, Equivalent Collateral is to be redelivered or further Collateral is to be provided under this clause 6, it shall be paid or delivered as stated in paragraph 1.4 in Schedule 1.
- 6.5 [Substitution of Alternative Collateral] The Borrower may from time to time call for the repayment of Cash Collateral or the redelivery of Equivalent Collateral prior to the date on which the same would otherwise have been repayable or redeliverable, provided that, at the time of such repayment or redelivery, the Borrower shall have delivered or delivers Alternative Collateral acceptable to the Lender.
- 6.6 [Return of CollateraYEquivalent Collateral on redelivery of Equivalent Securities]
- (a) Cash Collateral shall be repaid and Equivalent Collateral shall be redelivered at the same time as Equivalent Securities in respect of the Securities borrowed are redelivered.
- (b) Where Collateral is provided through a book entry transfer system (such as Austraclear or RITS), the obligation of the Lender shall be to redeliver Equivalent Collateral through such book entry transfer system in accordance with this Agreement. If the loan of Securities in respect of which Collateral
was provided has not been discharged when the Equivalent Collateral is redelivered, any payment obligation generated within the book entry transfer system on such redelivery shall, until the loan of Securities is discharged or further Collateral is provided, be deemed to constitute an obligation to pay Cash Collateral.
- [Receipt by Lender of Income on Collateral] Where Collateral (other than Cash Collateral) is delivered in respect of which any Income may become payable and an Income Payment Date in respect of that Collateral occurs prior to the redelivery of Equivalent Collateral, then, unless such Income is paid directly to the Borrower, the Lender shall, on the date on which such Income is paid or on such other date as the Parties may fiom time to time agree, pay and deliver a sum of money or property equivalent to such Income (with any such endorsements or assignments as shall be customary and appropriate to effect the delivery) to the Borrower.
- [Borrower's rights re Collateral are not assignable] The Borrower may not assign, transfer or otherwise dispose of, or mortgage, charge or otherwise encumber, or otherwise deal with its rights in respect of any Collateral without the prior written consent of the Lender.
- [Lender may set off obligation to repay or return Equivalent Collateral] If the Borrower fails to comply with its obligation to redeliver Equivalent Securities, the obligation of the Lender in respect of any Collateral may be the subject of a set-off in accordance with clause 8.
- [Collateral provided to Lender's Nominee] Without limiting clause 1.8, where Collateral is provided to the Lender's nominee, any obligation under this Agreement to repay or redeliver or otherwise account for Equivalent Collateral shall be an obligation of the Lender, notwithstanding that any such repayment or redelivery may be effected in any particular case by the nominee.
7 Redelivery of Equivalent Securities
- 7.1 [Borrower's obligation to redeliver Equivalent Securities] The Borrower undertakes to redeliver Equivalent Securities in accordance with this Agreement and the terms of the relevant Borrowing Request.
- 7.2 [Lender may call for early redelivery of Equivalent Securities] Subject to clause 8 and the terms of the relevant Borrowing Request, the Lender may call for the redelivery of all or any Equivalent Securities at any time by giving notice on any Business Day of not less than the Standard Settlement Time for such Equivalent Securities or the equivalent time on the exchange or in the clearing organisation through which the relevant borrowed Securities were originally delivered. The Borrower shall as hereinafter provided redeliver such Equivalent Securities not later than the expiry of such notice in accordance with the Lender's instructions.
- 7.3 [Lender may terminate loan if Borrower defaults] If the Borrower does not redeliver Equivalent Securities in accordance with such call, the Lender may elect to continue the loan of Securities ; provided that, if the Lender does not elect to continue the loan, the Lender may by written notice to the Borrower elect to terminate the relevant loan. Upon the expiry of such notice the provisions of clauses 8.2 to 8.5 shall apply as if upon the expiry of such notice an Event of Default had occurred in relation to the Borrower (who shall thus be the Defaulting
Party for the purposes of this Agreement) and as if the relevant loan were the only loan outstanding.
7.4 [Consequence of exercise of "buy-in" against Lender, as a result of Borrower default] In the event that, as a result of the failure of the Borrower to redeliver Equivalent Securities to the Lender in accordance with this Agreement, a "buy-in" is exercised against the Lender, then, provided that reasonable notice has been given to the Borrower of the likelihood of such a bbbuy-in", the Borrower shall account to the Lender for the total costs and expenses reasonably incurred by the Lender as a result of such "buy-in".
7.5 [Right of Borrower to terminate loan early] Subject to the terms of the relevant Borrowing Request, the Borrower shall be entitled at any time to terminate a particular loan of Securities and to redeliver all and any Equivalent Securities due and outstanding to the Lender in accordance with the Lender's instructions.
Set-off etc.
- [Requirement for simultaneous delivery] On the date and time that Equivalent Securities are required to be redelivered by the Borrower in accordance with the provisions of this Agreement the Lender shall simultaneously redeliver the Equivalent Collateral and repay any Cash Collateral held (in respect of the Equivalent Securities to be redelivered) to the Borrower. Neither Party shall be obliged to make delivery (or make a payment as the case may be) to the other unless it is satisfied that the other Party will make such delivery (or make an appropriate payment as the case may be) to it simultaneously. If it is not so satisfied (whether because an Event of Default has occurred in respect of the other Party or otherwise), it shall notify the other Party and, unless that other Party has made arrangements which are sufficient to assure full delivery (or the appropriate payment as the case may be) to the notifying Party, the notifying Party shall (provided it is itself in a position, and willing, to perform its own obligations) be entitled to withhold delivery (or payment, as the case may be) to the other Party.
- [Netting following occurrence of Event of Default] If an Event of Default occurs in relation to either Party, the Parties' delivery and payment obligations (and any other obligations they have under this Agreement) shall be accelerated so as to require performance thereof at the time such Event of Default occurs (the date of which shall be the "Performance Date" for the purposes of this clause), and in such event:
- (a) the Relevant Value of the Securities to be delivered (or payment to be made, as the case may be) by each Party shall be established in accordance with clause 8.3; and
- (b) on the basis of the Relevant Values so established, an account shall be taken (as at the Performance Date) of what is due from each Party to the other and (on the basis that each Party's claim against the other in respect of delivery of Equivalent Securities or Equivalent Collateral or any cash payment equals the Relevant Value thereof) the sums due fiom one Party shall be setoff against the sums due from the other and only the balance of the account shall be payable (by the Party having the claim valued at the lower amount pursuant to the foregoing) and such balance shall be payable on the Performance Date.
8.3 [Relevant Value] For the purposes of clause 8.2 the Relevant Value:
*-..<z-9*fiwr%-J*' ,*%+*, *
- (a) of any cash payment obligation shall equal its par value (disregarding any amount taken into account under (b) or (c) below);
- (b) of any Securities to be delivered by the Defaulting Party shall, subject to clause 8.4(b) and (c) below, equal the Offer Value thereoc and
- (c) of any Securities to be delivered to the Defaulting Party shall, subject to clause 8.4(b) and (c) below, equal the Bid Value thereof.
8.4 [Bid ValueIOffer Value]
- (a) For the purposes of clause 8.3, but subject to (b) and (c) below, the Bid Value and Offer Value of any Securities shall be calculated as at the Close of Business in the most appropriate market for Securities of the relevant description (as determined by the Non-Defaulting Party) on the first Business Day following the Performance Date, or, if the relevant Event of Default occurs outside the normal business hours of such market, on the second Business Day following the Performance Date (the "Default Valuation Time").
- (b) Where the Non-Defaulting Party has, following the occurrence of an Event of Default but prior to the Default Valuation Time, purchased Securities forming part of the same issue and being of an identical type and description to those to be delivered by the Defaulting Party and in substantially the same amount as those Securities or sold Securities forming part of the same issue and being of an identical type and description to those to be delivered by him to the Defaulting Party and in substantially the same amount as those Securities, the cost of such purchase or the proceeds of such sale, as the case may be, (taking into account all reasonable costs, fees and expenses that would be incurred in connection therewith) shall be treated as the Offer Value or Bid Value, as the case may be, of the relevant Securities for the purposes of this clause 8.
- (c) Where the amount of any Securities sold or purchased as mentioned in (b) above is not in substantially the same amount as those Securities to be valued for the purposes of clause 8.3, the Offer Value or the Bid Value (as the case may be) of those Securities shall be ascertained by:
- (i) dividing the net proceeds of sale or cost of purchase by the amount of the Securities sold or purchased so as to obtain a net unit price; and
- (ii) multiplying that net unit price by the amount of the Securities to be valued.
- 8.5 [Interpretation: "Securitiesy'] Any reference in this clause 8 to Securities shall include any asset other than cash provided by way of Collateral.
- 8.6 [Interpretation: "Event of Default"] If the Borrower or the Lender for any reason fails to comply with its respective obligations under clause 6.6 in respect of the redelivery of Equivalent Collateral or the repayment of Cash Collateral, such failure
shall be an Event of Default for the purposes of this clause 8, and the person failing to comply shall thus be the Defaulting Party.
8.7 paiver of right to require simultaneous delivery] Subject to and without prejudice to its rights under clause 8.1, either Party may f?om time to time in accordance with market practice and in recognition of the practical difficulties in arranging simultaneous delivery of Securities, Collateral and cash transfers waive its right under this Agreement in respect of, simultaneous delivery and/or payment; provided that no such waiver in respect of one transaction shall bind it in respect of any other transaction.
9 Stamp duty, taxes etc and loss of tax benefits
- 9.1 [Stamp duty etc] The Borrower hereby undertakes promptly to pay and account for any transfer or similar duties or taxes, and any loan security or other stamp duties, (if any) chargeable in connection with any transaction effected pursuant to or contemplated by this Agreement, and shall indemnify and keep indemnified the Lender against any liability arising in respect thereof as a result of the Borrower's failure to do so.
- I9.2 [Borrower to give Transfer of Dividend Statement to Lender re franked I dividends] If:
- (a) an Income Payment Date occurs during an Income Determination Period in , relation to a particular loan of securities;
- (b) had the Lender been the holder of those Securities on the relevant Income Payment Date, it would have received a Franked Dividend in respect of those Securities;
- (c) the Agreement or the relevant Confirmation states that the Lender is an Australian Taxpayer;
- (d) the failure of the Lender to receive a Franked Dividend is not due to any unreasonable act or omission by or on behalf of the Lender; and
- (e) neither item 7 in Schedule 1 nor the relevant Confirmation states that the Lender is not entitled to compensation for the loss of fkanking creditslrebates;
then:
- (f) the Borrower must either:
-
(i) as soon as practicable, and in any event within [lo Business Days] after the relevant Income Payment Date, give to the Lender a Transfer of Dividend Statement in respect of those Securities (which the Borrower is to be taken as having warranted is correct in all material respects and is effective for the purposes of Division 6A of Part IIIAA of the Tax Act); or
-
(ii) on the [loth Business Day] after the relevant Income Payment Date pay to the Lender an amount equal to the franking credit referable to the Franked Dividend.
9.3 [Borrower to compensate corporate Lender for loss of intercorporate dividend rebate re unfranked dividends] If
- (a) an Income Payment Date occurs during an Income Determination Period in relation to a particular loan of Securities;
- (b) had the Lender been the holder of those Securities on the relevant Income Payment Date, it would have received an Unfkanked Dividend in respect of those Securities;
- (c) the Agreement or the relevant Confirmation states the Lender is entitled to compensation for the loss of the intercorporate dividend rebate under the Tax Act;
- (d) the failure of the Lender to qualify for that rebate is not due to any unreasonable act or omission by or on behalf of the Lender; and
- (e) neither item 8 of the Agreement nor the relevant Confirmation states that the Lender is not entitled to compensation for the loss of that rebate;
then the Borrower must pay to the Lender an amount calculated as follows:
$$
= \frac{\mathbf{DT}}{1-\mathbf{T}}
$$
Where:
P = the amount payable;
- D = the amount of the Unfranked Dividend; and
- T = the rate of income tax, expressed as a decimal, determined under the Tax Act at the relevant Income Payment Date as that payable in respect of the taxable income of a company (other than a private company, a company in the capacity of a trustee or a nonprofit company that is a friendly society dispensary).
- 9.4 YNotifiable consideration" for the purposes of s26BC(3)(d) of the Tax Act] For the purposes of section 26BC(3)(d) of the Tax Act, the notifiable consideration in respect of any loan of Securities is dissected as follows:
- (a) a fee see clause 5.l(as applicable); and
- (b) other consideration see clauses 4.2, 6 and 9 and the definition of "Equivalent Securities" in clause 26.
10 Lender's warranties
[Lender's warranties] Each Party hereby warrants and undertakes to the other on a continuing basis, to the intent that such warranties shall survive the completion of any transaction contemplated by this Agreement, that, where acting as a Lender:
-
%
-
(a) it is duly authorised and empowered to perform its duties and obligations under this Agreement;
- (b) it is not restricted under the terms of its constitution or in any other manner from lending Securities in accordance with this Agreement or from otherwise performing its obligations under this Agreement;
- (c) it is absolutely entitled to pass full legal and beneficial ownership of all Securities provided by it under this Agreement to the Borrower free from all liens, charges, equities and encumbrances; and
- (d) where paragraph 3 in Schedule 1 specifies that this clause 10(d) applies, it is not resident in Australia for the purposes of the Tax Act and either:
- (i) does not have a branch or other permanent establishment in Australia for the purposes of the Tax Act or of any applicable double tax agreement between Australia and its country of tax residence; or
- (ii) if it does have such a branch or other permanent establishment in Australia, that the loan is not entered into in the course of canying on business through such branch or permanent establishment.
I1 Borrower's warranties
[Borrower's warranties] Each Party hereby warrants and undertakes to the other on a continuing basis, to the intent that such warranties shall survive the completion of any transaction contemplated by this Agreement, that, where acting as a Borrower:
- (a) it has all necessary licences and approvals, and is duly authorised and empowered, to perform its duties and obligations under this Agreement and will do nothing prejudicial to the continuation of such authorisation, licences or approvals;
- (b) it is not restricted under the terms of its constitution or in any other manner from borrowing Securities in accordance with this Agreement or from otherwise performing its obligations under this Agreement;
- , (c) it is absolutely entitled to pass full legal and beneficial ownership of all ICollateral provided by it under this Agreement to the Lender free from all liens, charges, equities and encumbrances; and I
- (d) it is acting as principal in respect of this Agreement.
13
12 Events of Default
12.1 [Events of Default] Each of the following events occurring in relation to either Party (the "Defaulting Party", the other Party being the "Non-Defaulting Party") shall be an Event of Default for the purpose of clause 8:
-
- (a) the Borrower or Lender failing to pay or repay Cash Collateral or deliver or redeliver Collateral or Equivalent Collateral upon the due date, and the Non-Defaulting Party serves written notice on the Defaulting Party;
- (b) the Lender or Borrower failing to comply with its obligations under clause 6, and the Non-Defaulting Party serves written notice on the Defaulting party;
- (c) the Borrower failing to comply with clause 4.2, clause 9.2 or clause 9.3 and the Non-Defaulting Party serves written notice on the Defaulting Party;
- (d) an Act of Insolvency occurring with respect to the Lender or the Borrower and (except in the case of an Act of Insolvency which is the presentation of a petition for winding up or any analogous proceeding or the appointment of a liquidator or analogous officer of the Defaulting Party in which case no such notice shall be required) the Non-Defaulting Party serves written notice on the Defaulting Party;
- (e) any representations or warranties made by the Lender or the Borrower being incorrect or untrue in any material respect when made or repeated or deemed to have been made or repeated, and the Non-Defaulting Party serves written notice on the Defaulting Party;
- (9 the Lender or the Borrower admitting to the other that it is unable to, or it intends not to, perform any of its obligations hereunder and/or in respect of any loan hereunder, and the Non-Defaulting Party serves written notice on the Defaulting Party;
- (g) the Lender (if appropriate) or the Borrower being declared in default by the appropriate authority under the Rules or being suspended or expelled from membership of or participation in any securities exchange or association or other self-regulatory organisation, or suspended from dealing in securities by any government agency, and the Non-Defaulting Party serves written notice on the Defaulting Party;
- (h) any of the assets of the Lender or the Borrower or the assets of investors held by or to the order of the Lender or the Borrower being ordered to be transferred to a trustee by a regulatory authority pursuant to any securities regulating legislation and the Non-Defaulting Party serves written notice on the Defaulting Party, or
- (i) the Lender or the Borrower failing to perform any other of its obligations hereunder and not remedying such failure within 30 days after the Non-Defaulting Party serves written notice requiring it to remedy such failure, and the Non-Defaulting Party serves a further written notice on the Defaulting Party.
14
12.2 [Obligation of each Party to notify its Event of Default] Each Party shall notify the other if an Event of Default occurs in relation to it.
~ I 13 Outstanding payments
I
I[Default interest] In the event of either Party failing to remit sums in accordance with this Agreement, such Party hereby undertakes to pay to the other Party upon demand interest (before as well as aRer judgment) on the net balance due and outstanding, for the period commencing on and inclusive of the original due date for payment to (but excluding) the date of actual payment, in the same currency at a rate per annum equal to the cost (without proof or evidence of any actual cost) to the relevant payee (as certified by it in good faith) if it were to fund or of funding the relevant amount, plus 2% (or other agreed percentage) per annum.
14 Transactions entered into as agent
- 14.1 [Agency Transactions] Subject to the following provisions of this clause, the Lender may enter into loans as agent (in such capacity, the "Agent") for a third person (a "Principal"), whether as custodian or investment manager or otherwise (a loan so entered into being referred to in this clause as an "Agency Transaction").
- i14.2 [Conditions for Agency Transactions] A Lender may enter into an Agency 1Transaction ify but only if:
- (a) it specifies that loan as an Agency Transaction at the time when it enters I Iinto it;
- (b) it enters into that loan on behalf of a single Principal whose identity is disclosed to the Borrower (whether by name or by reference to a code or identifier which the Parties have agreed will be used to refer to a specified Principal) at the time when it enters into the loan; and
- , (c) it has at the time when the loan is entered into actual authority to enter into , the loan and to perform on behalf of that Principal all of that Principal's Iobligations under the agreement referred to in clause 14.4(b) below.
- I14.3 [Undertakings by Lender] The Lender undertakes that, if it enters as agent into an , Agency Transaction, forthwith upon becoming aware: I
- (a) of any event which constitutes an Act of Insolvency with respect to the relevant Principal; or
- (b) of any breach of any of the warranties given in clause 14.5 below or of any event or circumstance which has the result that any such warranty would be untrue if repeated by reference to the current facts,
it will inform the Borrower of that fact and will, if so required by the Borrower, hrnish it with such additional information as it may reasonably request.
14.4 [Consequences of Agency Transaction]
(a) Each Agency Transaction shall be a transaction between the relevant Principal and the Borrower and no person other than the relevant Principal
and the Borrower shall be a party to or have any rights or obligations under an Agency Transaction. Without limiting the foregoing, the Lender shall not be liable as principal for the performance of an Agency Transaction or for breach of any warranty contained in clause 10(d) of this Agreement, but this is without prejudice to any liability of the Lender under any other provision of this clause.
(b) All the provisions of the Agreement shall apply separately as between the Borrower and each Principal for whom the Agent has entered into an Agency Transaction or Agency Transactions as if each such Principal were a party to a separate agreement with the Borrower in all respects identical with this Agreement other than this paragraph and as if the Principal were Lender in respect of that agreement; provided that:
- (i) if there occurs in relation to the Agent an Event or Default or an event which would constitute an Event of Default if the Borrower served written notice under any paragraph of clause 12, the Borrower shall be entitled by giving written notice to the Principal (which notice shall be validly given to the Lender in accordance with clause 20) to declare that, by reason of that event, an Event of Default is to be treated as occurring in relation to the Principal. If the Borrower gives such a notice, then an Event of Default shall be treated as occurring in relation to the Principal at the time when the notice is deemed to be given; and
(ii) if the Principal is neither incorporated nor has established a place of business in Australia, the Principal shall for the purposes of the agreement referred to in the preamble in this paragraph (b) be deemed to have appointed as its agent to receive on its behalf service of process in the courts of Australia the Agent, or, if the Agent is neither incorporated nor has established a place of business in Australia, the person appointed by the Agent for the purposes of this Agreement, or such other person as the Principal may from time to time specify in a written notice given to the other party.
- (c) The foregoing provisions of this clause do not affect the operation of the Agreement as between the Borrower and the Lender in respect of any transactions into which the Lender may enter on its own account as principal.
- 14.5 [Warranty by Lender] The Lender warrants to the Borrower that it will, on every occasion on which it enters or purposes to enter into a transaction as an Agency Transaction, have been duly authorised to enter into that loan and perform the obligations arising thereunder on behalf of the person whom it specifies as the Principal in respect of that transaction and to perform on behalf of that person all the obligations of that person under the agreement referred to in clause 14.4(b).
15 Termination of course of dealings by notice
Each Party shall have the right to bring the course of dealing contemplated under this Agreement to an end by giving not less than 15 Business Days' notice in writing to the other Party (which notice shall specify the date of termination), subject to an obligation to ensure that all loans and which have been entered into but not discharged at the time such notice is
given are duly discharged in accordance with this Agreement and with the Rules (if applicable).
I 16 No reliance or tax or accounting representations by other Party
Each Party acknowledges, represents and warrants to the other that, except as expressly stated in this Agreement or any Confirmation:
- (a) it has not relied on any advice, statement, representation or conduct of any kind by or on behalf of the other Party in relation to any tax (including stamp duty) or accounting issues concerning this Agreement or any transactions effected under it; and
- (b) it has made its own determination as to the tax (including stamp duty) and accounting consequences and treatment of any transaction effected under this Agreement, including (without limitation) of any moneys paid or received or any property transferred or received in connection with any such I transaction.
17 Observance of procedures
Each of the Parties hereto agrees that, in taking any action that may be required in accordance with this Agreement, it shall observe strictly the procedures and timetable applied by the Rules (if and to the extent applicable) and, further, shall observe strictly any agreement (oral or otherwise) as to the time for delivery or redelivery of any money, Securities, Equivalent Securities, Collateral or Equivalent Collateral entered into pursuant to this Agreement.
18 Severance
If any provision of this Agreement is declared by any judicial or other competent authority to be void or otherwise unenforceable, that provision shall be severed from the Agreement and the remaining provisions of this Agreement shall remain in kll force and effect. The ~greement shall, however, thereafter be amended by the Parties in such reasonable manner so as to achieve, without illegality, the intention of the Parties with respect to that severed provision.
19 Specific performance
Each Party agrees that, in relation to legal proceedings, it will not seek specific performance of the other Party's obligation to deliver or redeliver Securities, Equivalent Securities, Collateral or Equivalent Collateral, but without prejudice to any other rights it may have.
20.1 [Effectiveness] Any notice or other communication in respect of this Agreement may be given in any manner set forth below (except that a notice or other communication under clause 12 or clause 15 may not be given by facsimile transmission or electronic messaging system) to the address or number or in
accordance with the electronic messaging system details provided (see paragraph 6 in Schedule 1) and will be deemed effective as indicated:
- (a) if in writing and delivered in person or by courier, on the date it is delivered;
- (b) if sent by telex, on the date the recipient's answerback is received;
- (c) if sent by facsimile transmission, on the date that transmission is received by a responsible employee of the recipient in legible form (it being agreed that the burden of proving receipt will be on the sender and will not be met by a transmission report generated by the sender's facsimile machine);
- (d) if sent by certified or registered mail (airmail, if overseas) or the equivalent (return receipt requested), on the date that mail is delivered or its delivery is attempted; or
- (e) if sent by electronic messaging system, on the date that electronic message is received,
unless the date of that delivery (or attempted delivery) or the receipt, as applicable, is not a Business Day or that communication is delivered (or attempted) or received, as applicable, after the close of business on a Business Day, in which case that communication shall be deemed given and effective on the first following day that is a Business Day.
20.2 [Change of Address] Either party may by notice to the other change the address, telex or facsimile number or electronic massaging system details at which notices or , other communications are to be given to it.
21 Assignment
Neither Party may assign, transfer or otherwise dispose of all or any of its rights or obligations under this Agreement without the prior written consent of the other Party.
22 Non-Waiver
No failure or delay by either Party to exercise any right, power or privilege under this Agreement shall operate as a waiver thereof, nor shall any single or partial exercise of any right, power or privilege preclude any other or further exercise thereof or the exercise of any other right, power or privilege as provided in this Agreement.
23 Time
Time shall be of the essence of the Agreement.
24 Recording
The Parties agree that each may electronically record all telephonic conversations between them.
25 Miscellaneous
- 25.1 [Entire Agreement] This Agreement constitutes the entire agreement and understanding of the Parties with respect to its subject matter and supersedes all oral communication and prior writings with respect thereto.
- 25.2 [Amendments] No amendment in respect of this Agreement will be effective unless in writing (including a writing evidenced by a facsimile transmission) and executed by each of the Parties or confirmed by an exchange of telexes or electronic messages on an electronic messaging system.
- 25.3 [Survival of Obligations] The obligations of the Parties under this Agreement will survive the termination of any transaction.
- 25.4 [Remedies Cumulative] Except as provided in this Agreement, the rights, powers, remedies and privileges provided in this Agreement are cumulative and not exclusive or any rights, powers, remedies and privileges provided by law.
- 25.5 [Counterparts] This Agreement (and each amendment in respect of it) may be executed and delivered in counterparts (including by facsimile transmission), each of which will be deemed an original.
- 25.6 [Expenses] A defaulting Party will, on demand, indemnify and hold harmless the other Party for and against all reasonable out-of-pocket expenses, including legal fees and stamp duty, incurred by such other Party by reason of the enforcement and protection of its rights under this Agreement or by reason of the early termination of any transaction, including, but not limited to, costs of collection.
26 Definitions
In this Agreement:
Act of Insolvency means in relation to either Party:
- (a) its making a general assignment for the benefit of, or entering into a reorganisation, arrangement, or composition with creditors; or
- (b) its admitting in writing that it is unable to pay its debts as they become due; or
- (c) its seeking, consenting to or acquiescing in the appointment of any trustee, administrator, receiver or liquidator or analogous officer of it or any material part of its property; or
- (d) the presentation or filing of a petition in respect of it (other than by the other Party to this Agreement in respect of any obligation under this Agreement) in any court or before any agency alleging or for the bankruptcy, winding-up or insolvency of such Party (or any analogous proceeding) or seeking any reorganisation, arrangement, composition, re-adjustment, administration, liquidation, dissolution or similar relief under any present or future statute, law or regulation, such petition (except in the case of a petition for winding-up or any analogous
proceeding in respect of which no such 30 day period shall apply) not having been stayed or dismissed within 30 days of its filing; or
- (e) the appointment of a receiver, administrator, liquidator or trustee or analogous officer of such Party over all or any material part of such Party's property; or
- (f) the convening of any meeting of its creditors for the purpose of considering a compromise or arrangement within Part 5.1 of the Corporations Law of Australia (or any analogous proceeding).
In this definition:
- (g) "liquidatoryy shall be deemed to include a "provisional liquidatoryy;
- (h) "receiver" shall be deemed to include a "receiver and manageryy;
- (i) "administrator" shall be deemed to include an "official manageryy;
- Cj) "arrangementy' shall be deemed to include a "scheme of arrangementy'; and
- (k) "creditors" shall be deemed to include "any class of creditors".
Agent has the meaning given in clause 14.
Alternative Collateral means Collateral of a Value equal to the Collateral delivered pursuant to clause 6 and provided by way of substitution for Collateral originally delivered or previously substituted in accordance with the provisions of clause 6.5.
Australian Taxpayer means any person other than:
- (a) a Party who is not a resident of Australia for the purposes of the Tax Act (whether that Party is acting as a trustee, nominee or agent or in some other capacity) at the time a Franked Dividend is paid; or
- (b) a Party who is acting in the capacity of trustee, nominee or agent for a person who is not a resident of Australia for the purposes of the Tax Act at the time a Franked Dividend is paid.
Bankers Acceptances has the meaning given in paragraph 1 . l(d) in Schedule 1.
Base Currency has the meaning given in paragraph 2 in Schedule 1.
Bid Price, in relation to Equivalent Securities or Equivalent Collateral, means the best available bid price thereof on the most appropriate market in a standard size.
Bid Value, subject to clause 8.5, means:
(a) in relation to Equivalent Collateral at a particular time:
(i) in relation to Collateral type (h) (more specifically referred to in paragraph 1.1 in Schedule I), the Value thereof as calculated in accordance with paragraph 1.2(d) in Schedule 1;
,*- -z&: ' -
(ii) in relation to all other types of Collateral (more specifically referred to in paragraph 1.1 in Schedule I), the amount which would be received on a sale of such Collateral at the Bid Price thereof at such time less all costs, fees and expenses that would be incurred in connection with selling or otherwise redising such Equivalent Collateral, calculated on the assumption that the aggregate thereof is the least that could reasonably be expected to be paid in order to carry out such sale or realisation and adding thereto the amount of any interest, dividends, distributions or other amounts paid to the Lender and in respect of which equivalent amounts have not been paid to the Borrower in accordance with clause 6.7 prior to such time in respect of such Equivalent Collateral or the original Collateral held gross of all and any tax deducted or paid in respect thereof; and
(b) in relation to Equivalent Securities at a particular time, the amount which would be received on a sale of such Equivalent Securities at the Bid Price thereof at such time less all costs, fees and expenses that would be incurred in connection therewith, calculated on the assumption that the aggregate thereof is the least that could reasonably be expected to be paid in order to carry out the transaction.
Borrower, in relation to a particular loan of Securities, means the Borrower as referred to in Recital A of this Agreement.
Borrowing Request means a request made in writing (an example of which comprises Schedule 2 to this Agreement) by the Borrower to the Lender pursuant to clause 2.1 specifymg, as necessary:
- (a) the description, title and amount of the Securities required by the Borrower;
- (b) the description (if other than Australian currency) and amount of any Collateral to be provided;
- (c) the proposed Settlement Date;
- (d) the duration of such loan (if other than indefinite);
- (e) the mode and place of delivery, which shall, where relevant, include the bank, agent, clearing or settlement system and account to which delivery of the Securities and any Collateral is to be made;
- (f) the Margin in respect of the transaction (if different from that stated in Schedule 1 or Schedule 3, as appropriate); and
- (g) the Fee.
Business Day means a day on which banks and securities markets are open for business generally in each place stated in paragraph 5 in Schedule 1 and, in relation to the delivery or redelivery of any of the following in relation to any loan, in the place(s) where the relevant Securities, Equivalent Securities, Collateral (including Cash Collateral) or Equivalent Collateral are to be delivered.
Cash Collateral means Collateral that takes the form of a deposit of currency.
Close of Business means:
- (a) in relation to any borrowing of Securities or redelivery of Equivalent Securities under this agreement, the final time on a Business Day at which settlement of the transfer of those Securities can take place in the Stock Exchange in order to constitute good delivery on that day; and
- (b) in relation to the provision of Collateral or return of Equivalent Collateral or the making of any other payment under this agreement, the time at which trading banks close for general banking business in the place in which payment is to be made or Collateral or Equivalent Collateral is to be delivered or redelivered.
Collateral means such securities or financial instruments or deposits of currency as are referred to in paragraph 1.1 in Schedule 1 or any combination thereof which are delivered by the Borrower to the Lender in accordance with this Agreement and includes the certificates or other documents of title (if any) and transfer in respect of the foregoing (as appropriate), and includes Alternative Collateral.
Confirmation means the Borrowing Request, as it may be amended pursuant to clause 2.2., or other confirming evidence exchanged between the Parties confirming the terms of a transaction.
Defaulting Party has the meaning given in clause 12.
Dividend means a dividend within the meaning of the definition of that term in section 6(1) (as affected by sections 6(4) and 6(5)) of the Tax Act.
Equivalent Collateral or Collateral equivalent to, in relation to any Collateral provided under this Agreement, means securities, cash or other property, as the case may be, of an identical type, nominal value, description and amount to particular Collateral so provided and shall include the certificates or other documents of title (if any) and transfer in respect of the foregoing (as appropriate). If and to the extent that such Collateral consists of securities that are partly paid or have been converted, subdivided, consolidated, redeemed, made the subject of a takeover, capitalisation issue, rights issue or event similar to any of the foregoing, the expression shall have the following meaning:
(a) in the case of conversion, subdivision or consolidation the securities into which the relevant Collateral has been converted, subdivided or consolidated provided that, if appropriate, notice has been given in accordance with clause 4.2(b);
(b) in the case of redemption, a sum of money equivalent to the proceeds of the redemption;
-
- (c) in the case of a takeover, a sum of money or securities, being the consideration or alternative consideration of which the Borrower has given notice to the Lender in accordance with clause 4.2(b);
- (d) in the case of a call on partly paid securities, the paid-up securities provided that the Borrower shall have paid to the Lender an amount of money equal to the sum due in respect of the call;
- (e) in the case of a capitalisation issue, the relevant Collateral together with the securities allotted by way of a bonus thereon;
- (f) in the case of a rights issue, the relevant Collateral together with the securities allotted thereon, provided that the Borrower has given notice to the Lender in accordance with clause 4.2(b), and has paid to the Lender all and any sums due in respect thereof;
- (g) in the event that a payment or delivery of Income is made of the relevant Collateral in the form of securities or a certificate which may at a future date be exchanged for securities or in the event of an option to take Income in the form of securities or a certificate which may at a future date be exchanged for securities, notice has been given to the Lender in accordance with clause 4.2(b) the relevant Collateral together with securities or a certificate equivalent to those allotted; and
- (h) in the case of any event similar to any of the foregoing, the relevant Collateral together with or replaced by a sum of money or securities equivalent to that received in respect of such Collateral resulting from such event.
For the avoidance of doubt, in the case of Bankers' Acceptances (Collateral type (d)), Equivalent Collateral must bear dates, acceptances and endorsements (if any) by the same entitles as the bill to which it is intended to be equivalent and, for the purposes of this definition, securities are equivalent to other securities where they are of an identical type, nominal value, description and amount and such term shall include the certificate and other documents of or evidencing title and transfer in respect of the foregoing (as appropriate).
Equivalent Securities means securities of an identical type, nominal value, description and amount to particular Securities borrowed and such term shall include the certificate and other documents of or evidencing title and transfer in respect of the foregoing (if appropriate). If and to the extent that such Securities are partly paid or have been converted, subdivided, consolidated, redeemed, made the subject of a takeover, capitalisation issue, rights issue or event similar to any of the foregoing, the expression shall have the following meaning:
(a) in the case of conversion, subdivision or consolidation the securities into which the borrowed Securities have been converted, subdivided or
consolidated provided that if appropriate, notice has been given in accordance with clause 4.2(b);
- (b) in the case of redemption, a sum of money equivalent to the proceeds of the redemption;
- (c) in the case of a takeover, a sum of money or securities, being the consideration or alternative consideration of which the Lender has given notice to the Borrower in accordance with clause 4.2(b);
- (d) in the case of a call on partly paid securities, the paid-up securities provided that the Lender shall have paid to the Borrower an amount of money equal to the sum due in respect of the call;
- (e) in the case of a capitalisation issue, the borrowed Securities together with the securities allotted by way of a bonus thereon;
- (0 in the case of a rights issue, the borrowed Securities together with the securities allotted thereon, provided that the Lender has given notice to the Borrower in accordance with clause 4.2(b), and has paid to the Borrower all and any sums due in respect thereof;
- (g) in the event that a payment or delivery of Income is made in respect of the borrowed Securities in the form of securities or a certificate which may at a Wre date be exchanged for securities or in the event of an option to take Income in the form of securities or a certificate which may at a future date be exchanged for securities, notice has been given to the Borrower in accordance with clause 4.2(b) the borrowed Securities together with securities or a certificate equivalent to those allotted; and
- (h) in the case of any event similar to any of the foregoing, the borrowed Securities together with or replaced by a sum of money or securities equivalent to that received in respect of such borrowed Securities resulting from such event.
For the purposes of this definition, securities are equivalent to other securities where they are of an identical type, nominal value, description and amount and such term shall include the certificate and other documents of or evidencing title and transfer in respect of the foregoing (as appropriate).
Event of Default has the meaning given in clause 12.
Fee, in respect of a transaction, means the fee payable by one Party to the other in respect of that transaction under clause 5.
Franked Dividend means a Dividend the whole or part of which is taken to have been franked in accordance with section 160AQF of the Tax Act.
Income means any dividends, interest or other distributions of any kind whatsoever with respect to any Securities or Collateral.
Income Determination Period, in relation to a particular loan of Securities, means:
(a) in relation to the Securities, the period commencing when the Securities cease to be registered in the name of the Lender (or the relevant transferor) upon or before delivery of those Securities under clause 3 and ending when Equivalent Securities are registered in the name of the Lender (or the relevant transferee) upon or following redelivery of those Equivalent Securities under clause 7.1; and
(b) in relation to Collateral (other than Cash Collateral), the period commencing when the Collateral ceases to be registered in the name of the Borrower (or the relevant transferor) upon or before delivery of that Collateral under clause 6.1 and ending when Equivalent Collateral is registered in the name of the Borrower (or the relevant transferee) upon or following redelivery of that Equivalent Collateral under clause 6.6.
Income Payment Date, in relation to any Securities or Collateral, means the date on which Income is paid in respect of such Securities or Collateral, or, in the case of registered Securities or Collateral, the date by reference to which particular registered holders are identified as being entitled to payment of Income.
Lender, in relation to a particular loan of Securities, means the Lender as referred to in Recital A of this Agreement.
Margin has the meaning in paragraph 1.3 in Schedule 1.
Nominee means an agent or a nominee appointed by either Party to accept delivery of, hold or deliver Securities, Equivalent Securities, Collateral andlor Equivalent Collateral on its behalf whose appointment has been notified to the other Party.
Non-Defaulting Party has the meaning given in clause 12.
Offer Price, in relation to Equivalent Securities or Equivalent Collateral, means the best available offer price thereof on the most appropriate market in a standard size.
Offer Value, subject to clause 8.5, means:
- (a) in relation to Collateral equivalent to Collateral type (h) (more specifically referred to in paragraph 1.1 in Schedule I), the Value thereof as calculated in accordance with paragraph l.2(d) in Schedule 1; and
- (b) in relation to Equivalent Securities or Collateral equivalent to all other types of Collateral (more specifically referred to in paragraph 1.1 in Schedule I), the amount it would cost to buy such Equivalent Securities or Equivalent Collateral at the Offer Price thereof at such time plus all costs, fees and expenses that would be incurred in connection therewith, calculated on the assumption that the aggregate thereof is the least that could reasonably be expected to be paid in order to carry out the transaction.
paid, in relation to a Dividend, includes credited, distributed or issued and like terms are to be construed accordingly.
Parties means the Lender and the Borrower and Party shall be construed accordingly.
Performance Date has the meaning given in clause 8.
Posted Collateral has the meaning given in clause 6.2(a)(i).
Principal has the meaning given in clause 14.
Reference Price means:
- (a) in relation to the valuation of Securities, Equivalent Securities, Collateral and/or Collateral equivalent to type (g) (more specifically referred to in paragraph 1.1 in Schedule I), such price as is equal to the mid market quotation of such Securities, Equivalent Securities, Collateral and/or Equivalent Collateral as derived from a reputable pricing information service (such as the services provided by SEATS or Reuters) reasonably chosen in good faith by the Lender or if unavailable the market value thereof as derived from the prices or rates bid by a reputable dealer for the relevant instrument reasonably chosen in good faith by the Lender, in each case at Close of Business on the previous Business Day; and
(b) in relation to the valuation of Securities, Equivalent Securities, Collateral and/or Collateral equivalent to Collateral types @)-(0 (more specifically referred to in paragraph 1.1 in Schedule I), the market value thereof as derived fiom the prices or rates bid by a market maker or reputable dealer for the relevant instrument reasonably chosen by the Lender in good faith or, in the absence of such a bid, the average of the rates bid by two leading market makers reasonably chosen in good faith by the Lender in each case at Close of Business on the previous Business Day.
Relevant Payment Date has the meaning given in clause 4.2(a).
Required Collateral Value has the meaning given in clause 6.3.
Rules means the rules for the time being of the Stock Exchange (where either Party is a member of the Stock Exchange) and/or any other regulatory authority whose rules and regulations shall from time to time affect the activities of the Parties pursuant to this Agreement (provided that in an Event of Default, where either Party is a member of the Stock Exchange, the Rules and Regulations of the Stock Exchange shall prevail).
Securities means "eligible securities" within the meaning of section 26BC(1) of the Tax Act which the Borrower is entitled to borrow from the Lender in accordance with the Rules and which are the subject of a loan pursuant to this Agreement and such term shall include the certificates or other documents of title (if any) in respect of the foregoing.
Settlement Date means the date upon which Securities are or are to be transferred to the Borrower in accordance with this Agreement.
Standard Settlement Time, in relation to Australian Securities, means T + 5 Australian business days on which the Australian Stock Exchange Limited is open for trading, or such lesser time in which transactions in Australia in listed securities are customarily required to be settled.
Stock Exchange means the Australian Stock Exchange Limited.
Tax Act means the Income Tax Assessment Act 1936 (Commonwealth of Australia).
Transfer of Dividend Statement, in relation to Dividends, means a properly completed document in the form, or substantially in the form, of Appendix 6.26 to the Rules or a properly completed statement in another approved form within the meaning of the definition of that term in section 160APA of the Tax Act.
Unfranked Dividend means a Dividend no part of which has been franked in accordance with the Tax Act.
Value at any particular time means, in relation to Securities and Equivalent Securities, the Reference Price thereof then current and in respect of Collateral andlor Equivalent Collateral such worth as determined in accordance with paragraph 1.2 in Schedule 1.
27 Governing Law and Jurisdiction
27.1 [Governing law] This Agreement is governed by, and shall be construed in accordance with, the law in force in New South Wales, Australia.
27.2 [Consent to jurisdiction] Each Party irrevocably and unconditionally submits to the non-exclusive jurisdiction of the courts of New South Wales in respect of any dispute in connection with this Agreement.
EXECUTED as an agreement
Schedule 'l - Particulars
1 COLLATERAL (see definition in clause 26, and also clause 6)
1.1 Types (see definition of "Collateral" in clause 26)
Collateral acceptable under this Agreement may include the following, whether transferable by hand or within a depositary:
- (a) Cash;
- (b) Australian Government Inscribed Stock;
- (c) Australian, State or Territory Government stock, bonds or promissory notes (including those issued by any statutory corporation such as Treasury Corporation of New South Wales);
- (d) Bills of exchange accepted by any bank carrying on business in Australia ("Bankers Acceptances");
- (e) Promissory notes issued by any such bank;
- (f) Certificates of Deposit issued by any such bank;
- (g) Corporate bonds in registrable or bearer form;
- (h) such Collateral as agreed between the Parties from time to time.
Valuation of Collateral (see definition of "Value" in clause 26 and clause 6.2)
Collateral provided in accordance with this Agreement shall be evaluated by reference to the following, or by such means as the Parties may from time to time agree:
- (a) in respect of Collateral type (a), the amount thereof in, or converted into, the Base Currency;
- (b) in respect of Collateral type (b), the value calculated by reference to the middle market price of each stock as determined daily by the Reserve Bank of Australia, adjusted to include the accumulated interest thereon;
- (c) in respect of Collateral types (c) to (h), the Reference Price thereof.
Margin (see definition in clause 26 and clause 6.3)
The Value of any Collateral delivered, or to be delivered, pursuant to clause 6 by the Borrower to the Lender under the terms and conditions of this Agreement shall on each Business Day represent not less than the Value of the borrowed Securities together with the following additional percentages, hereinbefore referred to as ("the Margin"), unless otherwise agreed between the Parties:
- (a) in the case of Collateral type (a): 5%; or
- (b) in the case of Collateral types (b) to (f): 10% (except that, for Certificates of Deposit, the Margin shall be the accumulated interest thereon); or
(c) in the case of Collateral type (g) and Ch): as agreed between the Parties.
If the Value of the borrowed Securities includes any margin over the mid market price of the borrowed Securities, this shall be taken into account in determining the Margin applicable.
1.4 Basis of Margin Maintenance (see clause 6.4)
Minimum period after demand for transferring Collateral or Equivalent Collateral:
- (a) Cash Collateral: within one Business Day;
- (b) Equivalent Collateral: within one Business Day or as otherwise determined by the Borrower in the Borrower's absolute discretion;
- (c) Other Collateral (ie a Letter of Credit): within one Business Day or as otherwise determined by the Borrower in the Borrower's absolute discretion.
1.5 Minimum adjustments (see clauses 6.2(a)(iO and (iii))
- (a) The Lender may not demand that further Collateral be provided by the Borrower if the aggregate deficiency calculated in accordance with clause 6.2 is less than the greater of:
- (i) \$5,000; and
- (ii) 2% of the Value of the Required Collateral Value.
- (b) The Borrower may not demand the return of Collateral provided to the Lender if the Borrower has committed an Event of Default in respect of any transaction or if the aggregate excess calculated in accordance with clause 6.2 is less than the greater of:
- (i) \$5,000; and
- (ii) 2% of the Required Collateral Value.
2 BASE CURRENCY (see defirtition in clause 26 and clause 1.6)
The Base Currency applicable to this Agreement is Australian Dollars.
3 LENDER'S WARRANTIES (see clause lo(#))
clause 10(d) shall not apply to Warburg Dillon Read Australia Equities Limited and shall / shall not [please advise] apply to [insert name if not a resident of Australia and where any transaction is not entered into through any branch of that non-resident in Australia].
4 VOTING (see clause 4.3)
Clause 4.3 does apply.
5 PLACE OF BUSINESS (see definition of "Business Day" in clause 26)
Sydney and Melbourne.
6 ADDRESS FOR NOTICES AND STATUS OF PARTIES (see clause 20.1)
6.1 Address for notices or communications to
Warburg Dillon Read Australia Equities Limited:
Address: Level 25, Governor Phillip Tower, 1 Farrer Place, Sydney 2000 Attention: Securities Lending Manager Facsimile No: (02) 9240 7595 ~ele~hone No:(02) 9324 2000
Electronic Messaging System Details: AA70732
which is an Australian Taxpayer.
6.2 Address for notices or communications to Bankers Trust Australia Limited:
Address: Level 2, Chifley Tower, 2 Chifley Square,
Sydney 2000
Attention: Securities Lending Manager
Facsimile No: (02) 9259 9466
Telephone No: (02) 9259 2756
Electronic Messaging System Details:
which is an Australian Taxpayer.
7 COMPENSATION FOR LOSS OF FRANKING CREDITS/REBATES (see clause 9.2)
Is not required by
[INSERT NAME OF RELEVANT AUSTRALIAN TAXPAYER PARTY (if applicable). OTHERWISE, DELETE THE PARAGRAPH OR LEAVE IT BLANK. Note: There is no need to insert the name of any Party who is not an Australian Taxpayer, as such a party is not entitled to compensation in any event.]
8 COMPENSATION FOR LOSS OF INTERCORPORATE DIVIDEND REBATE (see clause 9.3)
Is not required by
[INSERT NAME OF RELEVANT PARTY (if applicable). OTHERWISE, DELETE THE PARAGRAPH OR LEAVE IT BLANK. Note: Only the name of a resident company (which is not a private company for the purposes of the Tax Act) or a trust estate that is treated as a resident company for the purposes of the Tax Act should be inserted in this item.]
* DELETE ONE ALTERNATIVE
Schedule 2 Specimen Form of Borrowing Request (see clause 2.1 and definition of "Borrowing Request" in clause 26)
To: [Name and Address of Lender]
This is a Borrowing Request under the Master Securities Lending Agreement between us dated # (the "Agreement")
- 1 We wish to make the following borrowing of Securities:
- (a) Description of Securities: # [eg "fully paid ordinary shares in # "1 Amount of Securities: # [eg "1 million"]
- Proposed Settlement Date of # [eg "today"] Borrowing:
- Time, Mode and Place of Delivery of Securities, including (as appropriate) settlement system and account to which delivery is to be made:
Duration of Loan: No longer than eleven months and 20 days after the Borrowed Securities are delivered under
[eg "to the account of #, HIN #, in CHESS"]
(f) Type of Collateral: # [eg "Cash"]
(g) Time, Mode and Place of Delivery of # [eg "dvp on CHESS"] Collateral:
this Borrowing Request.
(h) Rates (see clause 5.1 of the #[eg (a) " #% per annum on the Cash
Agreement): Collateral", or (b) "# % per annum on the daily value of the Borrowed Securities" as appropriate].
2 Please confirm your acceptance of this Borrowing Request by return fax.
Dated: #
For and on behalf of Dame of Borrower]
Signature of Authorised Representative
Name and title of Authorised Representative
Schedule 3 Supplementary Terms and Conditions (if any)
This Schedule forms part of and amends the Master Securities Lending Agreement (including Schedule 1) to which it is a Schedule, as follows:
- (a) Clause 9 is amended by replacing the words, "[lo Business Days]", where they occur in clause 9.2(f)(i), with the words, "3 Business Days".
- (b) Sub clause 12.2 is deleted and replaced with:
- "12.2 [Obligation of each Party to noti@] Each Party shall notifj! the other if an event occurs that, with the serving of written notice by the Non-Defaulting Party on the Defaulting Party, would constitute an Event of Default."
- (c) Agency Transactions may not be effected under this Agreement and accordingly clause 14 will not apply.
- (d) Clause 15 is amended by adding the following paragraph:
"Any termination pursuant to this clause 15 will be without prejudice to the rights or remedies of either party against the other in respect of any breach of this Agreement occurring before such termination."
- (e) Sub-clause 25.4 is amended by replacing the word, "or7' with the word, "of'
- (f) Insert the following new sub-clause:
- "25.7 If either Party ("Party B") requires the other Party ("Party A") to act as its custodian in respect of any Securities or Collateral, then to the extent required by applicable law, all Securities and Collateral in the possession of Party A shall be segregated fiom other securities belonging to Party A by appropriate identification in the books of Party A."
- Sub-paragraph (a) of the definition of "Reference Price" in clause 26 is amended by adding, after the words, "to type (g)" in the second line of that sub-paragraph, the words, "and (h)".
- Clause 2.1
The Borrowing Request may be made orally by the Borrower. Following receipt of the Borrowing Request the Lender, in its absolute discretion, may accept the Borrowing Request by serving on the Borrower a Confirmation.
Clause 6.603)
Property in and title to the Equivalent Collateral redelivered by the Lender through a book entry transfer system shall not pass to the Borrower until the Securities due for redelivery have been received by the Lender.
This provision shall (except to the extent that the same cannot overridden) override the regulations or other provisions governing the relevant book entry system.
ti) Clause 9.2 Clause 9.2 is amended by:
| (a) | deleting paragraph (d) and inserting the following: |
|---|---|
| ----- | ----------------------------------------------------- |
- "(d) "the failure of the Borrower to receive a Franked Dividend is not due to any unreasonable act or omission by or on behalf of the Lender; and";
- deleting sub-paragraph (f)(ii) and inserting the following:
- "(ii) if required by notice from the Lender, compensate the Lender for the loss of that Franked Dividend by payment on the 3rd Business Day afier the relevant Income Payment Date of an amount calculated in accordance with the following formula:
$$
\mathbf{P} = \frac{\mathbf{F}\mathbf{T}}{1-\mathbf{T}}
$$
Where:
P- - the amount payable;
F = the amount of the Franked Dividend (or, where the Franked Dividend is partly franked, the amount of the franked component of the Franked Dividend) paid or to be paid in respect of a particular loan of Securities; and
T- the rate of income tax, expressed as a decimal, determined under the Tax Act at the Income Payment Date as that payable in respect of the taxable income of a company (other than a private company, a company in the capacity of a trustee or a non-profit company that is a dispensary or friendly society)."
(k) Clause 9.3
Clause 9.3 shall not apply for the purpose of this Agreement.
Execution page
SIGNED by Warburg Dillon Read Australia Equities Limited by its duly appointed attorneys:
Signature
Name of attorney
SIGNED by Bankers Trust Australia Limited in the presence of:
Signature of witness
Name of witness (block letters)
2 CHtfLW SQUMC, hDNH 2000) .................................................................. Address of witness )
Occupation of witness j