Form 604
Corporations Act 2001
Section 671B
Notice of change of interests of substantial holder
| To Company Name/Scheme |
Regis Resources Ltd |
| ACN/ARSN |
009 174 761 |
1. Details of substantial holder (1)
| Name |
AXA Equitable Holdings Inc ("EQH"), AllianceBernstein Australia Limited ("ABAL")095 022 718 |
|
|
| ACN/ARSN (if applicable) |
|
|
|
| There was a change in the interests of the substantial holder on |
|
26-Nov-2020 |
|
| The previous notice was given to the company on |
|
7 Oct -2020 |
|
| The previous notice was dated |
|
29 Sept 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 |
|
Present Notice |
|
|
Person's votesVoting power (5) |
|
Person's votes |
Voting power (5) |
| Common Stock |
25,610,591 |
5.02% |
31,024,661 |
6.07% |
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 whoserelevant interestchanged |
Nature of change(6) |
Consideration givenin relation to change(7) |
Class and number ofsecurities affected |
Person's votesaffected |
| See Schedule 3 |
See Schedule 3 |
See Schedule 3 |
See Schedule 3 |
See Schedule 3 |
See Schedule 3 |
4. Present relevant interests
Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows:
| Holder ofrelevant interest |
Registered holder ofsecurities |
Person entitled tobe registered asholder (8) |
Nature of relevantinterest (6) |
Class and numberof securities |
Person's votes |
| See Schedule 2 |
See Schedule 2 |
See Schedule 2 |
See Schedule 2 |
See Schedule 2 |
See Schedule 2 |
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 |
| Each entity listed in Schedule 1 |
Each of the entities listed in Schedule 1. |
6. Addresses
The addresses of persons named in this form are as follows:
| Name |
Address |
| Australia Limited |
Level 32, Aurora Place, 88 Phillip Street Sydney NSW |
| See Schedule 1 |
See schedule 1 |
Schedule 1
| AB (Shanghai) Investment Consulting Co., Ltd. |
China |
| AB (Shanghai) Overseas Investment Fund Management Co., Ltd. |
China |
| AB Bernstein Israel Ltd |
Israel |
| AB Custom Alternative Solutions LLC |
USA |
| AB Europe GmbH |
Germany |
| AB Private Credit Investors LLC |
USA |
| AB Trust Company, LLC |
USA |
| Alliance Capital (Mauritius) Private Limited |
Mauritius |
| Alliance Capital Management LLC |
USA |
| AllianceBernstein (Argentina) S.R.L. |
Argentina |
| AllianceBernstein (Chile) SpA |
Chile |
| AllianceBernstein (France) SAS |
France |
| AllianceBernstein (Luxembourg) S.à r.l |
Luxembourg |
| AllianceBernstein (Mexico), S. de R. L. de C. V. |
Mexico |
| AllianceBernstein (Singapore) Limited |
Singapore |
| AllianceBernstein Administradora de Carteiras (Brasil) Ltda. |
Brazil |
| AllianceBernstein Asset Management (Korea) Ltd. |
Korea |
| AllianceBernstein Australia Limited |
Australia |
| AllianceBernstein Canada, Inc |
Canada |
| AllianceBernstein Corporation of Delaware |
USA |
| AllianceBernstein Global Derivatives Corporation |
USA |
| AllianceBernstein Holding L.P |
USA |
| AllianceBernstein Holdings (Cayman) Ltd. |
Cayman Islands |
| AllianceBernstein Holdings Limited |
UK |
| AllianceBernstein Hong Kong Limited |
Hong Kong |
| AllianceBernstein International LLC |
USA |
| AllianceBernstein Investment Management Australia Limited |
Australia |
| AllianceBernstein Investment Research and Management (India) PrivateLtd. |
India |
| AllianceBernstein Investments Taiwan Limited |
Taiwan |
| AllianceBernstein Investments, Inc |
USA |
| AllianceBernstein Investor Services, Inc. |
USA |
| AllianceBernstein Japan Ltd. |
Japan |
| AllianceBernstein L.P. |
USA |
| AllianceBernstein Limited |
UK |
| AllianceBernstein Oceanic Corporation |
USA |
| AllianceBernstein Preferred Limited |
UK |
| AllianceBernstein Real Estate Investments LLC |
USA |
| AllianceBernstein Schweiz AG |
Switzerland |
| AllianceBernstein Services Limited |
UK |
| AllianceBernstein Solutions (India) Private Limited |
India |
| Alpha Units Holdings, Inc |
USA |
| Autonomous Research Asia Limited† (Hong Kong) |
Hong Kong |
| Autonomous Research LLP |
UK |
| Autonomous Research LLP |
USA |
| AXA Equitable Financial Services, LLC |
USA |
| AXA Equitable Holdings, Inc. |
USA |
| AXA Equitable Life Insurance Company |
USA |
| CPH Capital Fondsmæglerselskab A/S |
Denmark |
| MONY Life Insurance Company of the US |
USA |
| Sanford C. Bernstein & Co., LLC |
USA |
| Sanford C. Bernstein (Canada) Limited |
Canada |
| Sanford C. Bernstein (Hong Kong) Limited |
Hong Kong |
| Sanford C. Bernstein (India) Pte Limited (India) |
India |
| Sanford C. Bernstein (Schweiz) GmbH |
Switzerland |
| Sanford C. Bernstein "Australia" Pty Ltd |
Australia |
| Sanford C. Bernstein Ireland Limited |
Ireland |
| Sanford C. Bernstein Limited |
UK |
| W.P. Stewart & Co., LLC |
USA |
| W.P. Stewart Asset Management (NA), LLC |
USA |
| W.P. Stewart Asset Management LLC |
USA |
| W.P. Stewart Fund Management S.A. |
USA |
| W.P. Stewart Securities LLC |
USA |
| WPS Advisors, LLC |
USA |
| Holder of Relevant Interest |
Nature of relevant interests(s) |
Class and number ofsecurities |
Registered holder ofsecurities |
Person entitled to be registered asholder |
| Equitable Holdings Inc |
Power to exercise, or to control the exercise of, a right to voteattached to 20% or more of the securities of AXA SA. AXA SAand the entities listed in Schedule 1 are related bodiescorporate. |
31,024,661 |
Various custodians |
n/a |
| AllianceBernstein L.P. |
Power to control the exercise of a right to vote attached to thesecurities and/or the power to control the disposal of thesecurities as investment manager or trustee. |
8,557,072 |
Various custodians |
AllianceBernstein L.P. |
| AllianceBernstein InvestmentManagement Australia Limited |
Power to control the exercise of a right to vote attached to thesecurities and/or the power to control the disposal of thesecurities as investment manager or trustee. |
22,467,589 |
Various custodians |
AllianceBernstein InvestmentManagement Australia Limited |
Schedule of Transactions - Schedule 3
30-Sep-2020 to 26-Nov-2020
| Legal Entity |
Trade Date |
Transaction Type |
Quantity |
Consideration |
| AllianceBernstein L.P. |
06-Oct-2020 |
ACQUISITION |
75,300 |
383,871.87 AUD |
| AllianceBernstein L.P. |
12-Oct-2020 |
ACQUISITION |
718,440 |
3,649,675.20 AUD |
| AllianceBernstein L.P. |
13-Oct-2020 |
DISPOSAL |
-2,180 |
11,074.40 AUD |
| AllianceBernstein L.P. |
15-Oct-2020 |
ACQUISITION |
42,470 |
218,810.83 AUD |
| AllianceBernstein L.P. |
16-Oct-2020 |
ACQUISITION |
316,209 |
1,635,244.41 AUD |
| AllianceBernstein L.P. |
30-Oct-2020 |
DISPOSAL |
-2,330 |
10,182.10 AUD |
| AllianceBernstein L.P. |
06-Nov-2020 |
ACQUISITION |
11,241 |
48,058.65 AUD |
| AllianceBernstein L.P. |
09-Nov-2020 |
ACQUISITION |
11,138 |
48,625.17 AUD |
| AllianceBernstein L.P. |
09-Nov-2020 |
DISPOSAL |
-1,665 |
6,843.15 AUD |
| AllianceBernstein L.P. |
10-Nov-2020 |
ACQUISITION |
24,001 |
99,851.36 AUD |
| AllianceBernstein L.P. |
25-Nov-2020 |
DISPOSAL |
-1,778 |
6,934.20 AUD |
| AllianceBernstein L.P. |
26-Nov-2020 |
DISPOSAL |
-2,800 |
10,192.00 AUD |
| AllianceBernstein InvestmentManagement Australia Limited |
30-Sep-2020 |
ACQUISITION |
77,210 |
388,860.44 AUD |
| AllianceBernstein InvestmentManagement Australia Limited |
30-Sep-2020 |
ACQUISITION |
3,053,230 |
15,296,682.30 AUD |
| AllianceBernstein InvestmentManagement Australia Limited |
15-Oct-2020 |
ACQUISITION |
445,801 |
2,297,086.82 AUD |
| AllianceBernstein InvestmentManagement Australia Limited |
16-Oct-2020 |
ACQUISITION |
1,465,296 |
7,517,422.18 AUD |
| AllianceBernstein InvestmentManagement Australia Limited |
28-Oct-2020 |
ACQUISITION |
18,780 |
81,308.01 AUD |
| AllianceBernstein InvestmentManagement Australia Limited |
04-Nov-2020 |
ACQUISITION |
5,120 |
21,622.78 AUD |
| AllianceBernstein InvestmentManagement Australia Limited |
05-Nov-2020 |
ACQUISITION |
124,334 |
509,520.73 AUD |
| AllianceBernstein InvestmentManagement Australia Limited |
06-Nov-2020 |
ACQUISITION |
426,145 |
1,821,077.72 AUD |
| AllianceBernstein InvestmentManagement Australia Limited |
09-Nov-2020 |
ACQUISITION |
377,478 |
1,647,052.72 AUD |
| AllianceBernstein InvestmentManagement Australia Limited |
10-Nov-2020 |
ACQUISITION |
638,293 |
2,655,490.37 AUD |
| AllianceBernstein InvestmentManagement Australia Limited |
13-Nov-2020 |
DISPOSAL |
-10,320 |
41,796.00 AUD |
| AllianceBernstein InvestmentManagement Australia Limited |
19-Nov-2020 |
ACQUISITION |
258,450 |
1,000,511.64 AUD |
| AllianceBernstein InvestmentManagement Australia Limited |
25-Nov-2020 |
ACQUISITION |
73,510 |
275,662.50 AUD |
| AllianceBernstein InvestmentManagement Australia Limited |
26-Nov-2020 |
ACQUISITION |
325,927 |
1,252,178.94 AUD |
| AllianceBernstein Limited |
16-Oct-2020 |
ACQUISITION |
10,650 |
55,080.92 AUD |
| AllianceBernstein Limited |
12-Nov-2020 |
DISPOSAL |
-10,650 |
43,665.00 AUD |