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RAIDEN RESOURCES LIMITED Major Shareholding Notification 2013
65675_rns_2013-11-12_873ed6ed-1f4e-4828-9d46-2f5e3db4978f.pdf
Major Shareholding Notification
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13 November 2013
Company Announcements Platform Australian Securities Exchange Limited 20 Bridge Street SYDNEY NSW 2000
Dear Sir/Madam,
Notice of Initial Substantial Holder
In accordance with section 671B of the Corporations Act 2001 (Cth), we attach a Notice of Initial Substantial Holder (Form 603) in respect of Subzero Group Limited.
A notice in substantially the same terms will also be lodged with the ASX on behalf of Westpac Banking Corporation (WBC).
Yours faithfully,
Chris Millard Company Secretary
{00005428.DOC}BT Investment Management Limited ABN 28 126 385 822
GPO Box 7072 Sydney NSW 2001 Australia
The Chifley Tower Level 15, 2 Chifley Square Sydney NSW 2000 Australia Tel 612 8253 2999
Form 603
Corporations Law Section 671B
Notice of initial substantial holder
| ToCompany Name/Scheme | SUBZERO GROUP LIMITED (SZG) |
|---|---|
| ACN/ARSN | ACN 009 161 522 |
| 1.Details of substantial holder(1) | |
| Name | BT INVESTMENT MANAGEMENT LIMITED (BTT) |
| ACN/ARSN (if applicable) | ABN 28 126 385 822 |
| The holder became a substantial holder on | 11/11/2013 |
2. Details of voting power
The total number of votes attached to all the voting shares in the company or voting interests in the scheme that the substantial holder or an associate (2) had a relevant interest (3) in on the date the substantial holder became a substantial holder are as follows:
| Class of securities | Number of securities | Person's votes (5) | Voting power (6) |
|---|---|---|---|
| ORDINARY SHARES | 15,023,500 | 15,023,500 | 7.90% |
3. Details of relevant interests
The nature of the relevant interest the substantial holder or an associate had in the following voting securities on the date the substantial holder became a substantial holder are as follows:
| Holder of relevant interest | Registered holder ofsecurities | Nature of relevant interest (6) | Number of securities |
|---|---|---|---|
| BT Funds | BT Portfolio Services | BT Funds Management | 23,500 |
| Management Limited | Limited | Limited is the manager | |
| of various | |||
| superannuation funds, | |||
| institutional investor | |||
| portfolios and unit | |||
| trusts and, in that | |||
| capacity, can exercise | |||
| the power to vote or | |||
| dispose of the shares. | |||
| BT Investment | HSBC Custody | BT Investment | 15,000,000 |
| Management | Nominees (Australia) | Management | |
| (Institutional) Limited | Limited. | (Institutional) Limited | |
| (previously known as | |||
| BT Investment | |||
| Management (RE) | |||
| Limited) is the fund | |||
| manager of various | |||
| superannuation funds, | |||
| institutional investor |
| portfolios and unittrusts and, in that |
|---|
| capacity, can exercise |
| the power to vote or |
| dispose of the shares. |
4. Details of present registered holders
The persons registered as holders of the securities referred to in paragraph 3 above are as follows:
| Holder of relevant interest | Registered holder ofsecurities | Persons entitled to beregistered as holder (8) | Class and number ofsecurities |
|---|---|---|---|
| BT Funds Management | See Schedule | See Schedule | |
| Limited | |||
| BT Investment | See Schedule | See Schedule | |
| Management | |||
| (Institutional) Limited |
5. Consideration
The consideration paid for each relevant interest referred to in paragraph 3 above, and acquired in the four months prior to the day that the substantial holder became a substantial holder is as follows:
| Holder of relevant | Date of acquisition | Consideration (9) | Class and number of | |
|---|---|---|---|---|
| interest | Cash | Non-cash | securities | |
| WBC & associates | See Schedule | See Schedule |
6. Associates
The reasons the persons named in paragraph 3 above are associates of the substantial holder are as follows:
| Name and ACN/ARSN (if applicable) | Nature of association |
|---|---|
7. Addresses
The addresses of persons named in this form are as follows:
| Name | Address |
|---|---|
| Westpac Banking Corporation (WBC) | Level 20, Westpac Place, 275 Kent St, Sydney |
| NSW 2000 | |
| Westpac Financial Services Group Limited | Level 20, Westpac Place, 275 Kent St, Sydney |
| (WFSG) | NSW 2000 |
| BT Funds Management Limited | Level 20, Westpac Place, 275 Kent Street, Sydney |
| NSW 2000 | |
| BT Investment Management (Institutional) | Level 14, Chifley Tower, 2 Chifley Square |
| Limited | SYDNEY NSW 2000 |
| SUBZERO GROUP LIMITED (SZG) | The Company Secretary, |
| SubZero Group Limited (SZG) | |
| Level 1, 39/43 Bridge Street | |
| MUSWELLBROOK NSW 2333 | |
| Tel: +61 2 6540 9400 | |
| Fax: +61 6 6540 9444 |
Signature
| print name | Chris Millard | capacity | Company Secretary | |
|---|---|---|---|---|
| sign here | date | 13/11/2013 |
DIRECTIONS
- (1) If there are a number of substantial holders with similar or related relevant interests (eg. a corporation and its related corporations, or the manager and trustee of an equity trust), the names could be included in an annexure to the form. If the relevant interests of a group of persons are essentially similar, they may be referred to throughout the form as a specifically named group if the membership of each group, with the names and addresses of members is clearly set out in paragraph 6of the form.
- (2) See the definition of "associate" in section 9 of the Corporations Law.
- (3) See the definition of "relevant interest" in sections 608 and 671B(7) of the Corporations Law.
- (4) The voting shares of a company constitute one class unless divided into separate classes.
- (5) The total number of votes attached to all the voting shares in the company or voting interests in the scheme (if any) that the person or an associate has a relevant interest in.
- (6) The person's votes divided by the total votes in the body corporate scheme multiplied by 100.
- (7) Include details of:
- (a) Any relevant agreement or other circumstances because of which the change in relevant interest occurred. If subsection 671B(4) applies, a copy of any document setting out the terms of any relevant agreement, and with a statement by the person giving full and accurate details of any contract, scheme or arrangement, must accompany this form, together with a written statement certifying this contract, scheme or arrangement; and
- (b) Any qualification of the power of a person to exercise, control the exercise of, or influence the exercise of, the voting powers or disposal of the securities to which the relevant interest relates (indicating clearly the particular securities to which the qualification applies).
See the definition of "relevant agreement" in section 9 of the Corporations Law.
- (8) If the substantial holder is unable to determine the identity of the person (eg. if the relevant interest arises because of an option) write "unknown".
- (9) Details of the consideration must include any and all benefits, money and other, that any person from whom a relevant interest was acquired has, or may, become entitled to receive in relation to that acquisition. Details must be included even if the benefit is conditional on the happening or not of a contingency. Details must be included of any benefit paid on behalf of the substantial holder or its associate in relation to the acquisitions, even if they are not paid directly to the person from whom the relevant interest was acquired.
SCHEDULE
Sales & Purchases for the period : 11/07/2013 to 11/11/2013 SECURITY: SZG
| BT Investment Management (Institutional) Limited | |||
|---|---|---|---|
| Date | Registered Company | Quantity | Value |
| 11/11/2013 | HSBC Custody Nominees (Australia) Limited. | 15,000,000 | .00 |
| Total | 15,000,000 | .00 | |
| BT Investment Management (Institutional) | |||
| Limited Total : | 15,000,000 | .00 |
{00005427.DOCX}Page 4 of 7
ANNEXURE A – ASSOCIATED COMPANIES
This is the annexure 'A' (being 3 pages) referred to in Form 603, Notice of initial substantial holder, lodged for Westpac and its associated entities
Tim Hartin – Company Secretary WBC – 11/11/2013
| Westpac Banking Corporation | Australia | Qvalent Pty Limited | Australia |
|---|---|---|---|
| 1925 (Commercial) Pty Limited | Australia | RAMS Financial Group Pty Limited | Australia |
| 1925 (Industrial) Pty Limited | Australia | RMS Warehouse Trust 2007-1 | Australia |
| 1925 Advances Pty Limited | Australia | Sallmoor Pty Limited | Australia |
| A.G.C. (Pacific) Limited | Papua NewGuinea | Securitor Financial Group Limited | Australia |
| Advance Asset Management Limited | Australia | Seed Pool Trust No. 2 | Australia |
| Altitude Administration Pty Limited | Australia | Series 2007-1G WST Trust | Australia |
| Altitude Rewards Pty Limited | Australia | Series 2008-1M WST Trust | Australia |
| Aotearoa Financial Services Limited | New Zealand | Series 2009-1 WST Trust | Australia |
| Ascalon Capital Managers (Asia) Limited | Hong Kong | Series 2011-1 WST Trust | Australia |
| Ascalon Capital Managers Limited | Australia | Series 2011-2 WST Trust | Australia |
| Ascalon Funds Seed Pool Trust | Australia | Series 2011-3 WST Trust | Australia |
| Asgard Capital Management Limited | Australia | Series 2012-1 WST Trust | Australia |
| Asgard Wealth Solutions Limited | Australia | Series 2013-1 WST Trust | Australia |
| Australian Loan Processing Security Company PtyLimited | Australia | Series 2013-2 WST Trust | Australia |
| Australian Loan Processing Security Trust | Australia | Sixty Martin Place (Holdings) Pty Limited | Australia |
| Belliston Pty Limited | Australia | Southern Cross Inc | USA |
| Bill Acceptance Corporation Pty Limited | Australia | St.George Business Finance Pty Limited | Australia |
| BLE Capital Investments Pty Limited | Australia | St.George Custodial Pty Limited | Australia |
| BLE Capital Limited | Australia | St.George Equity Finance Limited | Australia |
| BLE Development Pty Limited | Australia | St.George Finance Holdings Limited | Australia |
| BLE Holdings Pty Limited | Australia | St.George Finance Limited | Australia |
| BT (Queensland) Pty Limited | Australia | St.George Life Limited | Australia |
| BT Australia Pty Limited | Australia | St.George Motor Finance Limited | Australia |
| BT Financial Group (NZ) Limited | New Zealand | St.George Procurement Management Pty Limited | Australia |
| BT Financial Group Pty Limited | Australia | St.George Security Holdings Pty Limited | Australia |
| BT Funds Management (NZ) Limited | New Zealand | Sydney Capital Corp Inc. | USA |
| BT Funds Management Limited | Australia | Tavarua Funding Trust III | USA |
| BT Funds Management No.2 Limited | Australia | Tavarua Funding Trust IV | USA |
| BT Investment Management (Fund Services) Limited | Australia | Teuton Pty Limited | Australia |
| BT Investment Management (Institutional) Limited | Australia | The Home Mortgage Company Limited | New Zealand |
| BT Investment Management Limited | Australia | The Mortgage Company Pty Limited | Australia |
| BT Life Limited | Australia | The Warehouse Financial Services Limited | New Zealand |
| BT Long Term Income Fund | Australia | Value Nominees Pty Limited | Australia |
| BT Portfolio Services Limited | Australia | W1 Investments Pty Limited | Australia |
| BT Private Nominees Pty Limited (formerly known asBT Investment Management No.2 Limited) | Australia | Waratah Receivables Corp Pty Limited | Australia |
| BT Securities Limited | Australia | Waratah Securities Australia Limited | Australia |
{00005427.DOCX}Page 5 of 7
| BT Short Term Income Fund | Australia | Westpac (NZ) Investments Limited | New Zealand |
|---|---|---|---|
| BTIM UK Limited | UK | Westpac Administration Pty Limited | Australia |
| Canning Park Capital Pte. Ltd | Australia | Westpac Altitude Rewards Trust | Australia |
| Castlereagh Trust | Australia | Westpac Americas Inc. | USA |
| CBA Limited | Australia | Westpac Asian Lending Pty Limited | Australia |
| Challenge Limited | Australia | Westpac Bank of Tonga | Tonga |
| Codrington S.a.r.l. | Luxembourg | Westpac Bank Samoa Limited | Samoa |
| Crusade ABS Series 2012 - 1 Trust | Australia | Westpac Bank-PNG-Limited | Papua NewGuinea |
| Crusade CP Management Pty Limited | Australia | Westpac Capital Holdings Inc. | USA |
| Crusade CP No.1 Pty Limited | Australia | Westpac Capital Markets Holding Corp. | USA |
| Crusade CP Trust No. 41 | Australia | Westpac Capital Markets LLC | USA |
| Crusade CP Trust No. 44 | Australia | Westpac Capital Trust III | USA |
| Crusade CP Trust No. 48 | Australia | Westpac Capital Trust IV | USA |
| Crusade CP Trust No. 49 | Australia | Westpac Capital-NZ-Limited | New Zealand |
| Crusade CP Trust No. 50 | Australia | Westpac Cash PIE Fund | Australia |
| Crusade CP Trust No. 52 | Australia | Westpac Cook Cove Trust I | Australia |
| Crusade CP Trust No. 53 | Australia | Westpac Cook Cove Trust II | Australia |
| Crusade CP Trust No. 54 | Australia | Westpac Covered Bond Trust New | Australia |
| Crusade CP Trust No. 55 | Australia | Westpac Custodian Nominees Limited | Australia |
| Crusade CP Trust No. 56 | Australia | Westpac Debt Securities Pty Limited | Australia |
| Crusade CP Trust No. 57 | Australia | Westpac Delta LLC | USA |
| Crusade CP Trust No. 58 | Australia | Westpac Direct Equity Investments Pty Limited | Australia |
| Crusade CP Trust No. 60 | Australia | Westpac Equipment Finance (No.1) Pty Limited | Australia |
| Crusade Euro Trust 1E of 2006 | Australia | Westpac Equipment Finance Limited | Australia |
| Crusade Euro Trust 1E of 2007 | Australia | Westpac Equity Holdings Pty Limited | Australia |
| Crusade Global Trust 1 of 2005 | Australia | Westpac Equity Investments NZ Limited | New Zealand |
| Crusade Global Trust 1 of 2006 | Australia | Westpac Equity Pty Limited | Australia |
| Crusade Global Trust 1 of 2007 | Australia | Westpac Europe Limited | UK |
| Crusade Global Trust 2 of 2004 | Australia | Westpac Finance (HK) Limited | Hong Kong |
| Crusade Global Trust 2 of 2005 | Australia | Westpac Financial Consultants Limited | Australia |
| Crusade Global Trust 2 of 2006 | Australia | Westpac Financial Holdings Pty Limited | Australia |
| Crusade Management Limited | Australia | Westpac Financial Services Group Limited | Australia |
| Crusade Trust 1A of 2005 | Australia | Westpac Financial Services Group-NZ-Limited | New Zealand |
| Crusade 2P Trust of 2008 | Australia | Westpac Financial Services Limited | Australia |
| Danaby Pty Limited | Australia | Westpac Funding Holdings Pty Limited | Australia |
| eQR Securities Pty. Limited | Australia | Westpac Funds Financing Holdco Pty Limited | Australia |
| Europe Infrastructure Debt LP | UK | Westpac Funds Financing Pty Limited | Australia |
| G.C.L. Investments Pty Limited | Australia | Westpac General Insurance Limited | Australia |
| General Credit Holdings Pty Limited | Australia | Westpac General Insurance Services Limited | Australia |
| General Credits Pty Limited | Australia | Westpac Group Investment-NZ-Limited | New Zealand |
| Halcyon Securities Limited | Australia | Westpac Group Investments Australia Pty Limited | Australia |
| Hastings Advisers LLC | USA | Westpac Global Capital Markets Pty Limited | Australia |
| Hastings Forestry Investments Limited | New Zealand | Westpac Holdings-NZ-Limited | New Zealand |
| Hastings Forests Australia Pty Limited | Australia | Westpac Investment Capital Corporation | USA |
| Hastings Funds Management Asia Pty. Limited | Singapore | Westpac Investment Vehicle No.2 Pty Limited | Australia |
{00005427.DOCX}Page 6 of 7
| Hastings Funds Management (UK) Limited | UK | Westpac Investment Vehicle No.3 Pty Limited | Australia |
|---|---|---|---|
| Hastings Funds Management (USA) Inc. | USA | Westpac Investment Vehicle Pty Limited | Australia |
| Hastings Funds Management Limited | Australia | Westpac Investments U.K. Limited | UK |
| Hastings Group Pty Limited | Australia | Westpac Leasing Nominees-Vic.-Pty Limited | Australia |
| Hastings Infrastructure 1 Limited | UK | Westpac Lenders Mortgage Insurance Limited | Australia |
| Hastings Infrastructure 2 Limited | UK | Westpac Life Insurance Services Limited | Australia |
| Hastings Investment Capital LP | USA | Westpac Life-NZ-Limited | New Zealand |
| Hastings Investments GP LLC | USA | Westpac New Zealand Group Limited | New Zealand |
| Hastings Investment Management Pty Ltd (formerlyHastings Private Equity Fund IIB Pty Limited) | Australia | Westpac New Zealand Limited | New Zealand |
| Hastings Management Pty Limited | Australia | Westpac Nominees-NZ-Limited | New Zealand |
| Hastings Private Equity Fund IIA Pty Limited | Australia | Westpac NZ Covered Bond Holdings Limited | New Zealand |
| Hickory Trust | Australia | Westpac NZ Covered Bond Limited | New Zealand |
| Hitton Pty Limited | Australia | Westpac NZ Leasing Limited | New Zealand |
| HLT Custodian Trust | New Zealand | Westpac NZ Operations Limited | New Zealand |
| Infrastructure GP LLP | UK | Westpac NZ Securitisation Holdings Limited | New Zealand |
| J O Hambro Capital Management Holdings Limited | UK | Westpac NZ Securitisation Limited | New Zealand |
| J O Hambro Capital Management Limited | UK | Westpac NZ Securitisation No. 2 Limited | New Zealand |
| JOHCM (Singapore) Pte Limited | Singapore | Westpac Overseas Holdings No. 2 Pty Limited | Australia |
| JOHCM (USA) General Partner Inc | USA | Westpac Overseas Holdings Pty Limited | Australia |
| JOHCM (USA) Inc | USA | Westpac Pacific Limited Partnership | Australia |
| JOHCMG Share Trustee Limited | UK | Westpac Properties Limited | Australia |
| Magnitude Group Pty Limited | Australia | Westpac RE Limited | Australia |
| MIF Custodian Trust | New Zealand | Westpac Securities Administration Limited | Australia |
| Mortgage Management Pty Limited | Australia | Westpac Securities Limited | Australia |
| Nationwide Management Pty Limited | Australia | Westpac Securities NZ Limited | New Zealand |
| Net Nominees Limited | Australia | Westpac Securitisation Holdings Pty Limited | Australia |
| Number 120 Limited1 | New Zealand | Westpac Securitisation Management Pty Limited | Australia |
| Oniston Pty Limited | Australia | Westpac Singapore Limited | Singapore |
| Packaging Properties 1 Pty Limited | Australia | Westpac Structured Products Limited | Australia |
| Packaging Properties 2 Pty Limited | Australia | Westpac Superannuation Nominees-NZ-Limited | New Zealand |
| Packaging Properties 3 Pty Limited | Australia | Westpac Syndications Management Pty Limited | Australia |
| Partnership Pacific Pty Limited | Australia | Westpac Term PIE Fund | New Zealand |
| Partnership Pacific Securities Pty Limited | Australia | Westpac TPS Trust | Australia |
| Pashley Investments Pty Limited | Australia | Westpac Unit Trust | Australia |
| Westpac USA Inc. | USA |
Note: Westpac retains 63% ownership of BT Investment Management Limited who lodges separate notices under ASX code 'BTT'
| BT Investment Management Limited (63%) | Australia |
|---|---|
| BT Investment Management (Institutional) Limited (Subsidiary of BT Investment Management Limited) | Australia |