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NUIX LIMITED — Major Shareholding Notification 2021
Jul 6, 2021
65464_rns_2021-07-06_ba95193a-6c04-41e9-a90d-6b3bd175b2d7.pdf
Major Shareholding Notification
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Form 604
Corporations Law Section 671B Notice of change of interests of substantial holder
To: Company Name/Scheme NUIX LIMITED
ACN/ARSN 117 140 235
1. Details of substantial holder
Name
UBS Group AG and its related bodies corporate
ACN/ARSN (if applicable):
There was a change in the interests of the substantial holder on 5 July 2021 The previous notice was given to the company on 1 July 2021
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 | Present Notice | Present Notice |
|---|---|---|---|---|
| Person’s Votes | Voting Power (5) | Person’s Votes | Voting Power (5) | |
| Ordinary | 16,679,953 | 5.26% | 20,625,110 | 6.50% |
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:
| Date of change |
Person whose relevant interest changed |
Nature of Change (6) | Consideration given in relation to change (7) |
Class and Number of securities affected |
Person’s votes affected |
|---|---|---|---|---|---|
| Please see Appendix B. |
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 holder (8) |
Nature of relevant interest (6) |
Class and number of securities |
Person’s votes |
|---|---|---|---|---|---|
| UBS Asset Management (Australia) Ltd |
Various Custodians |
UBS Asset Management (Australia) Ltd |
Fund Manager with power to exercise control over voting shares |
790,809 Ordinary |
790,809 |
| UBS Asset Management (UK) Limited |
Various Custodians |
UBS Asset Management (UK) Limited |
Fund Manager with power to exercise control over voting shares |
41,208 Ordinary |
41,208 |
|---|---|---|---|---|---|
| UBS Fund Management (Luxembourg) S.A. |
Various Custodians |
UBS Fund Management (Luxembourg) S.A. |
Fund Manager with power to exercise control over voting shares |
15,469 Ordinary |
15,469 |
| UBS Fund Management (Switzerland) AG |
Various Custodians |
UBS Fund Management (Switzerland) AG |
Fund Manager with power to exercise control over voting shares |
74,234 Ordinary |
74,234 |
| UBS Trustees (Bahamas) Limited |
Various Custodians |
UBS Trustees (Bahamas) Limited |
Trustee with power to exercise discretion over account |
100,000 Ordinary |
100,000 |
| UBS Switzerland AG | Various Custodians |
UBS Switzerland AG | Broker has the right to use over this position under a Securities Lending agreement |
5,000 Ordinary |
5,000 |
| UBS AG London Branch |
Various Custodians |
UBS AG London Branch |
Beneficial Owner | 11,333 Ordinary |
11,333 |
| UBS Securities Australia Ltd |
Brispot Nominees Pty Ltd |
UBS Securities Australia Ltd |
Beneficial Owner | 19,361,904 Ordinary |
19,361,904 |
| UBS AG, Australia Branch |
UBS Nominees Pty Ltd |
UBS AG, Australia Branch |
Prime Broker that has exercised its borrowing right in respect of shares pursuant to a Prime Broking Agreement |
225,153 Ordinary |
225,153 |
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 N/A |
|---|---|
| N/A |
6. Addresses
The addresses of persons named in this form are as follows:
| Name and ACN/ ARSN (if applicable) | Nature of association |
|---|---|
| UBS Asset Management (Australia) Ltd | Level 16, Chifley Tower, 2 Chifley Square, Sydney, Australia |
| UBS Asset Management (UK) Limited | 5 Broadgate, London, United Kingdom |
| UBS Fund Management (Luxembourg) S.A. | 33A avenue J.F. Kennedy, Luxembourg |
| UBS Fund Management (Switzerland) AG | Aeschenplatz 6, Basel, Switzerland |
| UBS Trustees (Bahamas) Limited | East Bay Street, Nassau, Bahamas |
| UBS Switzerland AG | Bahnhofstrasse 45, Zürich, Switzerland |
| UBS AG London Branch | 5 Broadgate, London, United Kingdom |
| UBS Securities Australia Ltd | Level 16, Chifley Tower, 2 Chifley Square, Sydney, Australia |
| Brispot Nominees Pty Ltd | Level 16, Chifley Tower, 2 Chifley Square, Sydney, Australia |
| UBS AG, Australia Branch | Level 16, Chifley Tower, 2 Chifley Square, Sydney, Australia |
| UBS Nominees Pty Ltd | Level 16, Chifley Tower, 2 Chifley Square, Sydney, Australia |
SIGNATURE
| Print Name: Sign Here: Print Name: Sign Here: |
Andrew Costley Capacity: Authorised signatory |
|---|---|
| Date: 7 July 2021 |
|
| Joanne Chan Capacity: Authorised signatory |
|
| Date: 7 July 2021 |
Contact details for this notice:
Andrew Costley
Group Compliance, Regulatory & Governance (T) +852 3712 3707
---------------------------------------------------------
Appendix A
| Holder of relevant interest | UBS AG, Australia Branch |
|---|---|
| Type of agreement | Prime Brokerage Agreement |
| Parties to agreement | (i) UBS AG, Australia Branch (“UBS AG”) (ii) Client (Please refer to Appendix A-1.) |
| Transfer date | Please refer to Appendix A-1. |
| Holder of voting rights | UBS AG |
| Are there any restrictions on voting rights? |
Please refer to the details below. |
| If yes, detail | Since all right and title in the securities passes to the transferee (i.e. UBS AG), the transferee has the right to vote. However, in certain circumstances, the transferee may seek to arrange for voting rights to be exercised in accordance with the instructions of the transferor (i.e. Client). |
| Scheduled return date (if any) | None, subject to the terms of the relevant loan. |
| Does the borrower have the right to return early? |
Yes. |
| If yes, detail | The borrower (i.e. UBS AG) has the right to return at its discretion. |
| Does the lender have the right to recall early? |
Yes. |
| If yes, detail | The lender (i.e. Client) can recall at its request subject to compliance with margin requirements and the terms of the relevant loan. |
| Will the securities be returned on settlement? |
Yes. |
| If yes, detail any exceptions | None. |
The information in this appendix is based on the relevant standard UBS agreement. A copy of the agreement is available to the company, or responsible entity to whom the prescribed form must be given, or to ASIC, upon request.
Appendix A-1
Prime Brokerage Agreement - UBS AG, Australia Branch
| Parties to agreement | Transfer date |
|---|---|
| Alfred Street Nominees Pty Ltd as trustee for MAN Caledonia Investment Trust | (i) 23 March 2021 |
| Colonial First State Investment Limited as Responsible Entity for the Commonwealth Specialist Fund 20 |
(i) 23 March 2021 |
| Blue Lake Partners Pty Limited | (i) 3 June 2021 |
| BlackRock Investment Management (Australia) Limited as responsible entity for Blackrock Australian Equity Market Neutral Fund |
(i) 30 June 2021 |
| NXL- Appendix B | NXL- Appendix B | NXL- Appendix B | NXL- Appendix B | NXL- Appendix B | NXL- Appendix B |
|---|---|---|---|---|---|
| Date of change |
Person whose relevant interest changed | Nature of Change | Consideration given in relation to change |
Number of securities |
Class |
| 30-Jun-21 | UBS Securities Australia Ltd | Buy | 2,284,200 | 1,000,000 | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Buy | 1,464,117 | 652,313 | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Sell | 598,213 | (255,450) | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Sell | 4,344,706 | (1,959,193) | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Sell | 441,149 | (200,796) | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Buy | 76,782 | 32,800 | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Sell | 59,548 | (25,500) | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Buy | 2,927,966 | 1,303,810 | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Sell | 571,414 | (242,474) | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Sell | 2,694,566 | (1,198,384) | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Sell | 716,924 | (305,165) | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Buy | 3,187,595 | 1,428,838 | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Sell | 3,304,614 | (1,482,621) | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Sell | 173,054 | (74,021) | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Buy | 178,222 | 79,259 | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Sell | 1,137,498 | (501,653) | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Sell | 6,570 | (2,784) | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Buy | 3,387,180 | 1,536,833 | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Buy | 71,056 | 29,484 | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Sell | 59,805 | (27,061) | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Sell | 257,549 | (116,538) | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Sell | 1,365 | (591) | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Sell | 15,658 | (6,640) | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Sell | 73,126 | (31,379) | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Sell | 122,693 | (53,075) | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Sell | 19,420 | (8,374) | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Sell | 138,050 | (62,466) | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Buy | 1,096,750 | 500,000 | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Sell | 5 | (2) | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Buy | 13,358 | 5,259 | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Buy | 15 | 7 | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Buy | 4 | 2 | Ordinary |
| 30-Jun-21 | UBS Securities Australia Ltd | Buy | 7,750 | 3,507 | Ordinary |
| 30-Jun-21 | UBS AG Australia Branch | Rehypothecatedposition | N/A | 14,872 | Ordinary |
| 01-Jul-21 | UBS Securities Australia Ltd | Buy | 198,554 | 90,693 | Ordinary |
| 01-Jul-21 | UBS Securities Australia Ltd | Buy | 1,909,192 | 828,247 | Ordinary |
| 01-Jul-21 | UBS Securities Australia Ltd | Sell | 413,797 | (178,192) | Ordinary |
| 01-Jul-21 | UBS Securities Australia Ltd | Buy | 10,950 | 5,000 | Ordinary |
| 01-Jul-21 | UBS Securities Australia Ltd | Sell | 1,140 | (500) | Ordinary |
| 01-Jul-21 | UBS Securities Australia Ltd | Sell | 395,172 | (171,717) | Ordinary |
| 01-Jul-21 | UBS Securities Australia Ltd | Sell | 1,434,741 | (626,853) | Ordinary |
| 01-Jul-21 | UBS Securities Australia Ltd | Buy | 1,792,765 | 775,585 | Ordinary |
| 01-Jul-21 | UBS Securities Australia Ltd | Sell | 1,469,044 | (636,887) | Ordinary |
| 01-Jul-21 | UBS Securities Australia Ltd | Buy | 2,220,569 | 959,582 | Ordinary |
| 01-Jul-21 | UBS Securities Australia Ltd | Sell | 89,700 | (38,206) | Ordinary |
| 01-Jul-21 | UBS Securities Australia Ltd | Buy | 1,237,918 | 534,207 | Ordinary |
| 01-Jul-21 | UBS Securities Australia Ltd | Sell | 75,747 | (33,790) | Ordinary |
| 01-Jul-21 | UBS Securities Australia Ltd | Buy | 113,169 | 51,092 | Ordinary |
| 01-Jul-21 | UBS Securities Australia Ltd | Buy | 320,323 | 138,231 | Ordinary |
| 01-Jul-21 | UBS Securities Australia Ltd | Buy | 25,465 | 10,873 | Ordinary |
| 01-Jul-21 | UBS Securities Australia Ltd | Buy | 706,274 | 303,122 | Ordinary |
| 01-Jul-21 | UBS Securities Australia Ltd | Sell | 83,528 | (35,849) | Ordinary |
| 01-Jul-21 | UBS Securities Australia Ltd | Buy | 33,045 | 14,355 | Ordinary |
| 01-Jul-21 | UBS Securities Australia Ltd | Buy | 750,309 | 325,938 | Ordinary |
| 01-Jul-21 | UBS Securities Australia Ltd | Buy | 147,528 | 64,087 | Ordinary |
| 01-Jul-21 | UBS Securities Australia Ltd | Sell | 1,018 | (438) | Ordinary |
| 01-Jul-21 | UBS Securities Australia Ltd | Sell | 7 | (3) | Ordinary |
| 01-Jul-21 | UBS Securities Australia Ltd | Sell | 2 | (1) | Ordinary |
| 01-Jul-21 | UBS Securities Australia Ltd | Sell | 9 | (4) | Ordinary |
| 01-Jul-21 | UBS Securities Australia Ltd | Sell | 22,570 | (9,712) | Ordinary |
| 01-Jul-21 | UBS AG Australia Branch | Return of Rehypothecatedposition | N/A | (3,736) | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Sell | 83,528 | (35,849) | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Buy | 944,535 | 388,346 | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Sell | 600,314 | (244,896) | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Buy | 71,799 | 30,000 | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Sell | 11,760 | (4,800) | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Sell | 558,606 | (227,279) | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Sell | 865,763 | (355,608) | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Buy | 1,446,071 | 592,895 | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Sell | 789,010 | (322,743) | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Buy | 1,006,569 | 410,962 | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Sell | 23,435 | (9,644) | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Sell | 726 | (294) | Ordinary |
|---|---|---|---|---|---|
| 02-Jul-21 | UBS Securities Australia Ltd | Sell | 1,956 | (792) | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Sell | 5,928 | (2,400) | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Sell | 2,792 | (1,126) | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Sell | 3,536 | (1,426) | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Sell | 211 | (85) | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Sell | 2,163 | (872) | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Buy | 212,078 | 86,626 | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Sell | 114,721 | (47,259) | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Sell | 48,844 | (20,000) | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Sell | 37,469 | (15,356) | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Buy | 95,074 | 39,125 | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Buy | 2 | 1 | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Buy | 3,939 | 1,621 | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Sell | 179,696 | (73,157) | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Sell | 11,077 | (4,539) | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Sell | 650 | (266) | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Sell | 434,365 | (178,751) | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Sell | 446,003 | (182,377) | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Sell | 19,652 | (8,036) | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Sell | 88,689 | (36,266) | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Buy | 83,528 | 35,849 | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Sell | 5 | (2) | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Buy | 5 | 2 | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Buy | 19 | 8 | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Buy | 66 | 27 | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Buy | 66 | 27 | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Buy | 459 | 189 | Ordinary |
| 02-Jul-21 | UBS Securities Australia Ltd | Buy | 1,541 | 634 | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Buy | 5,359,314 | 2,325,082 | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Sell | 348,348 | (150,761) | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Buy | 452,187 | 195,684 | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Sell | 4,826 | (2,051) | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Buy | 4,747 | 2,051 | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Sell | 23,400 | (10,000) | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Buy | 11,184 | 4,800 | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Sell | 371,339 | (158,313) | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Buy | 118,139 | 51,023 | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Sell | 800,911 | (345,921) | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Buy | 559,614 | 242,016 | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Buy | 11,388 | 4,894 | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Buy | 595 | 256 | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Sell | 5,505 | (2,353) | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Sell | 7,066 | (3,061) | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Sell | 309,221 | (133,515) | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Sell | 14,474 | (6,266) | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Sell | 86,038 | (37,343) | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Sell | 94,677 | (40,206) | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Buy | 5,890 | 2,548 | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Sell | 10,653 | (4,602) | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Sell | 34,701 | (14,982) | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Sell | 28,213 | (12,158) | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Sell | 3,764 | (1,621) | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Sell | 14,629 | (6,319) | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Sell | 332,358 | (143,561) | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Sell | 65,447 | (28,332) | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Sell | 64,408 | (27,821) | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Buy | 81,683 | 35,057 | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Sell | 12 | (5) | Ordinary |
| 05-Jul-21 | UBS Securities Australia Ltd | Buy | 16 | 7 | Ordinary |
| 05-Jul-21 | UBS Switzerland AG | Right of borrow | N/A | 500 | Ordinary |
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