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MICRO-X LIMITED — Major Shareholding Notification 2021
Feb 8, 2021
65388_rns_2021-02-08_b3cc3ecc-5e5a-404d-98a2-90c2d23e87a5.pdf
Major Shareholding Notification
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Form 604
Corporations Act 2001
Section 671B
Notice of change of interests of substantial holder
To Company Name/Scheme Micro-X Ltd (MX1) ACN/ARSN 153 273 735
1. Details of substantial holder (1)
Name Regal Funds Management Pty Ltd (RFM)
ACN/ARSN (if applicable) 107 576 821
There was a change in the interests of the substantial holder on 5/02/2021 The previous notice was given to the company on 27/04/2020 The previous notice was dated 23/04/2020
2. Previous and present voting power
The total number of votes attached to all the voting shares in the company or voting interests in the scheme that the substantial holder or an associate (2) had a relevant interest (3) in when last required, and when now required, to give a substantial holding notice to the company or scheme, are as follows:
| Class of securities (4) | Previous notice | Previous notice | Current notice | Current notice |
|---|---|---|---|---|
| Person's votes | Voting power (5) | Person's votes | Voting power (5) | |
| ORDINARY | 18,773,972 | 6.01% | 48,974,294 | 10.90% |
3. Changes in relevant interests
Particulars of each change in, or 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:
| Holder of relevant interest |
Date of acquisition | Consideration (9) | Class and number of securities |
|---|---|---|---|
| See Annexure 1 |
4. Present relevant interests
Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows:
| Holder of relevant interest | Registered holder of securities | Person entitled to be registered as holder (8) |
Nature of relevant interest (6) |
Class and number of securities |
Person's votes |
|---|---|---|---|---|---|
| MERRILL LYNCH INTERNATIONAL LIMITED |
MERRILL LYNCH (AUS) NOMINEES PTY LTD |
MERRILL LYNCH INTERNATIONAL LIMITED |
HOLDER OF SHARES |
16,126,385 ORDINARY |
16,126,385 |
| CREDIT SUISSE AG | CS THIRD NOMINEES PTY LIMITED |
CREDIT SUISSE AG | HOLDER OF SHARES |
32,847,909 ORDINARY |
32,847,909 |
5. Changes in association
The persons who have become associates (2) of, ceased to be associates of, or have changed the nature of their association (9) with, the substantial holder in relation to voting interests in the company or scheme are as follows:
Name and ACN/ARSN (if applicable) Nature of association NOT APPLICABLE
6. Addresses
The addresses of persons named in this form are as follows:
Name Address LEVEL 47 GATEWAY 1 MACQUARIE PLACE SYDNEY PHILIP KING NSW 2000
Signature
print name Kenny Ho capacity Company Secretary sign here date 9/02/2021
Annexure 1
Changes in relevant interests
| Date | Person whose relevant interest changed | Nature of Change |
Consideration given in relation to change |
Number of securities affected |
Class of securities |
Persons votes affected |
|---|---|---|---|---|---|---|
| 28/04/2020 | Regal Funds Management | Sell | 14566.35 | 98688 | Ordinary | 98688 |
| 30/04/2020 | Regal Funds Management | Sell | 30159.86 | 207999 | Ordinary | 207999 |
| 30/04/2020 | Regal Funds Management | Buy | 147920.78 | 1056577 | Ordinary | 1056577 |
| 4/05/2020 | Regal Funds Management | Sell | 44548.98 | 318207 | Ordinary | 318207 |
| 5/05/2020 | Regal Funds Management | Sell | 71104.04 | 507886 | Ordinary | 507886 |
| 6/05/2020 | Regal Funds Management | Sell | 37553.18 | 268237 | Ordinary | 268237 |
| 13/05/2020 | Regal Funds Management | Buy | 707280.00 | 5052000 | Ordinary | 5052000 |
| 20/05/2020 | Regal Funds Management | Buy | 27350.99 | 189674 | Ordinary | 189674 |
| 22/05/2020 | Regal Funds Management | Buy | 4606.42 | 32903 | Ordinary | 32903 |
| 26/05/2020 | Regal Funds Management | Buy | 18005.63 | 123750 | Ordinary | 123750 |
| 28/05/2020 | Regal Funds Management | Buy | 14500.00 | 100000 | Ordinary | 100000 |
| 29/05/2020 | Regal Funds Management | Buy | 4200.00 | 26250 | Ordinary | 26250 |
| 15/06/2020 | Regal Funds Management | Buy | 6500.00 | 52000 | Ordinary | 52000 |
| 16/06/2020 | Regal Funds Management | Buy | 6078.75 | 48630 | Ordinary | 48630 |
| 24/06/2020 | Regal Funds Management | Buy | 18779.37 | 143793 | Ordinary | 143793 |
| 26/06/2020 | Regal Funds Management | Buy | 4975.91 | 37554 | Ordinary | 37554 |
| 30/06/2020 | Regal Funds Management | Buy | 2240.19 | 16594 | Ordinary | 16594 |
| 1/07/2020 | Regal Funds Management | Buy | 1350.00 | 10000 | Ordinary | 10000 |
| 2/07/2020 | Regal Funds Management | Buy | 5404.00 | 40000 | Ordinary | 40000 |
| 3/07/2020 | Regal Funds Management | Buy | 1242.02 | 9554 | Ordinary | 9554 |
| 8/07/2020 | Regal Funds Management | Buy | 16530.00 | 114000 | Ordinary | 114000 |
| 15/07/2020 | Regal Funds Management | Buy | 14330.00 | 100000 | Ordinary | 100000 |
| 20/07/2020 | Regal Funds Management | Sell | 52449.78 | 294001 | Ordinary | 294001 |
|---|---|---|---|---|---|---|
| 20/07/2020 | Regal Funds Management | Sell | 85469.01 | 492333 | Ordinary | 492333 |
| 21/07/2020 | Regal Funds Management | Sell | 170207.14 | 1016162 | Ordinary | 1016162 |
| 23/07/2020 | Regal Funds Management | Sell | 43981.41 | 266554 | Ordinary | 266554 |
| 24/07/2020 | Regal Funds Management | Sell | 350000.00 | 2000000 | Ordinary | 2000000 |
| 28/07/2020 | Regal Funds Management | Sell | 33739.92 | 187444 | Ordinary | 187444 |
| 29/07/2020 | Regal Funds Management | Sell | 180000.00 | 1000000 | Ordinary | 1000000 |
| 6/08/2020 | Regal Funds Management | Buy | 31425.52 | 184856 | Ordinary | 184856 |
| 7/08/2020 | Regal Funds Management | Buy | 53349.94 | 308203 | Ordinary | 308203 |
| 10/08/2020 | Regal Funds Management | Buy | 43576.41 | 256785 | Ordinary | 256785 |
| 13/08/2020 | Regal Funds Management | Buy | 16510.00 | 100000 | Ordinary | 100000 |
| 18/08/2020 | Regal Funds Management | Buy | 8250.00 | 50000 | Ordinary | 50000 |
| 19/08/2020 | Regal Funds Management | Buy | 50437.29 | 304573 | Ordinary | 304573 |
| 21/08/2020 | Regal Funds Management | Buy | 2346.00 | 13800 | Ordinary | 13800 |
| 28/08/2020 | Regal Funds Management | Buy | 10315.38 | 58945 | Ordinary | 58945 |
| 31/08/2020 | Regal Funds Management | Sell | 4063.72 | 21388 | Ordinary | 21388 |
| 10/09/2020 | Regal Funds Management | Sell | 42753.32 | 231099 | Ordinary | 231099 |
| 18/09/2020 | Regal Funds Management | Buy | 46608.00 | 240000 | Ordinary | 240000 |
| 22/09/2020 | Regal Funds Management | Buy | 4397.93 | 23147 | Ordinary | 23147 |
| 25/09/2020 | Regal Funds Management | Buy | 3914.00 | 20600 | Ordinary | 20600 |
| 29/09/2020 | Regal Funds Management | Buy | 51366.63 | 244603 | Ordinary | 244603 |
| 30/09/2020 | Regal Funds Management | Buy | 81075.00 | 345000 | Ordinary | 345000 |
| 7/10/2020 | Regal Funds Management | Sell | 42879.60 | 178665 | Ordinary | 178665 |
| 4/11/2020 | Regal Funds Management | Buy | 52560.24 | 211255 | Ordinary | 211255 |
| 4/11/2020 | Regal Funds Management | Buy | 459720.00 | 1800000 | Ordinary | 1800000 |
| 5/11/2020 | Regal Funds Management | Buy | 2055.84 | 8566 | Ordinary | 8566 |
| 18/11/2020 | Regal Funds Management | Sell | 16902.36 | 58284 | Ordinary | 58284 |
| 19/11/2020 | Regal Funds Management | Sell | 23751.00 | 65000 | Ordinary | 65000 |
| 24/11/2020 | Regal Funds Management | Sell | 27631.29 | 82334 | Ordinary | 82334 |
| 26/11/2020 | Regal Funds Management | Sell | 20501.25 | 57750 | Ordinary | 57750 |
| 27/11/2020 | Regal Funds Management | Sell | 8834.89 | 24887 | Ordinary | 24887 |
| 30/11/2020 | Regal Funds Management | Sell | 49450.10 | 141286 | Ordinary | 141286 |
| 1/02/2021 | Regal Funds Management | Sell | 10655.72 | 30152 | Ordinary | 30152 |
| 2/02/2021 | Regal Funds Management | Sell | 16238.05 | 45523 | Ordinary | 45523 |
| 5/02/2021 | Regal Funds Management | Buy | 9000000.26 | 26470589 | Ordinary | 26470589 |