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SANDFIRE RESOURCES LIMITED Major Shareholding Notification 2018
65773_rns_2018-04-22_cfd93686-3add-42f4-b59f-bac0006cf2ad.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 | SANDFIRE RESOURCES NL | |||
|---|---|---|---|---|
| ACN/ARSN | 105 154 185 | |||
| 1. Details of substantial holder (1) Name |
Morgan Stanley and its subsidiaries listed in Annexure A | |||
| ACN/ARSN (if applicable) | Not Applicable | |||
| There was a change in the interests of the | ||||
| substantial holder on | April 19, 2018 | |||
| The previous notice was given to the company on | April 19, 2018 | |||
| The previous notice was dated | April 17, 2018 | |||
| The holder became aware on | April 23, 2018 |
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 votes | Voting power (5) | Person's votes | Voting power (5) | ||
| Ordinary Shares | 10,388,066 | 6.57% | 8.464.436 | 5.35% | |
| Based on 158,187,038 Ordinary Shares Outstanding |
Based on 158,187,038 Ordinary Shares Outstanding |
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 |
|---|---|---|---|---|---|
| 4/18/2018 | Morgan Stanley & Co. International plc | Buy | 4.071.48 | 488 Ordinary Shares | 488 |
| 4/18/2018 | Morgan Stanley & Co. International plc | Buy | 492.95 | 59 Ordinary Shares | 59 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 316.97 | 38 Ordinary Shares | 38 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 876.75 | 105 Ordinary Shares | 105 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 827.00 | 100 Ordinary Shares | 100 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 458.70 | 55 Ordinary Shares | 55 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 4,247.45 | 509 Ordinary Shares | 509 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 175.56 | 21 Ordinary Shares | 21 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 16,590.08 | 1,994 Ordinary Shares | 1,994 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 726.24 | 89 Ordinary Shares | 89 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 808.50 | 98 Ordinary Shares | 98 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 6.748.32 | 827 Ordinary Shares | 827 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 716.01 | 87 Ordinary Shares | 87 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 1,600.95 | 195 Ordinary Shares | 195 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 3.436.20 | 414 Ordinary Shares | 414 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 41.65 | 5 Ordinary Shares | 5 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 591.43 | 71 Ordinary Shares | 71 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 4,264.00 | 520 Ordinary Shares | 520 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 752.56 | 92 Ordinary Shares | 92 |
|---|---|---|---|---|---|
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 1,766.38 | 217 Ordinary Shares | 217 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 6,617.99 | 794 Ordinary Shares | 794 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 5.531.12 | 664 Ordinary Shares | 664 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 389.16 | 47 Ordinary Shares | 47 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 15,334.00 | 1,870 Ordinary Shares | 1,870 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 1,811.95 | 217 Ordinary Shares | 217 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 1,122.53 | 135 Ordinary Shares | 135 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 1,121.85 | 135 Ordinary Shares | 135 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 2,338.56 | 288 Ordinary Shares | 288 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 631.56 | 76 Ordinary Shares | 76 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 1,901.25 | 234 Ordinary Shares | 234 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 584.50 | 70 Ordinary Shares | 70 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 108.03 | 13 Ordinary Shares | 13 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 4,220.04 | 506 Ordinary Shares | 506 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 8,419.84 | 1,012 Ordinary Shares | 1,012 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 4,370.16 | 524 Ordinary Shares | 524 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 933.38 | 113 Ordinary Shares | 113 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 3.813.40 | 460 Ordinary Shares | 460 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 1,010.35 | 121 Ordinary Shares | 121 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 2,186.52 | 266 Ordinary Shares | 266 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 5,313.29 | 639 Ordinary Shares | 639 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 3,665.20 | 440 Ordinary Shares | 440 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 792.30 | 95 Ordinary Shares | 95 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 132.64 | 16 Ordinary Shares | 16 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 2,146.56 | 258 Ordinary Shares | 258 636 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 5,253.36 1,740.97 |
636 Ordinary Shares 209 Ordinary Shares |
209 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 1,250.01 | 153 Ordinary Shares | 153 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy Buy |
2,301.39 | 281 Ordinary Shares | 281 |
| 4/18/2018 4/18/2018 |
Morgan Stanley Australia Securities Limited Morgan Stanley Australia Securities Limited |
Buy | 2,838.93 | 346 Ordinary Shares | 346 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 99.96 | 12 Ordinary Shares | 12 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 1,934.88 | 232 Ordinary Shares | 232 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 224.64 | 27 Ordinary Shares | 27 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 3,490.30 | 418 Ordinary Shares | 418 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 1,260.08 | 152 Ordinary Shares | 152 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 15,335.76 | 1.884 Ordinary Shares | 1,884 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 1,609.49 | 197 Ordinary Shares | 197 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 4.520.06 | 557 Ordinary Shares | 557 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 9,018.88 | 1,084 Ordinary Shares | 1,084 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 3,294.30 | 395 Ordinary Shares | 395 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 2,646.95 | 317 Ordinary Shares | 317 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 3,873.45 | 465 Ordinary Shares | 465 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 7,649.04 | 942 Ordinary Shares | 942 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 4,567.68 | 549 Ordinary Shares | 549 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 22,046.43 | 2,653 Ordinary Shares | 2,653 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 887.03 | 107 Ordinary Shares | 107 480 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy | 3.998.40 | 480 Ordinary Shares 683 Ordinary Shares |
683 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Buy Sell |
5,689.39 8.03 |
-1 Ordinary Shares | $-1$ |
| 4/18/2018 | Morgan Stanley & Co. International plc Morgan Stanley & Co. International plc |
Sell | 3,121.73 | -389 Ordinary Shares | -389 |
| 4/18/2018 4/18/2018 |
Morgan Stanley Australia Securities Limited | Sell | 2,776.65 | -346 Ordinary Shares | -346 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 353.10 | -44 Ordinary Shares | -44 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 504.00 | -63 Ordinary Shares | -63 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 2,336.73 | -291 Ordinary Shares | -291 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 225.96 | -28 Ordinary Shares | -28 |
| Morgan Stanley Australia Securities Limited | Sell | 120.30 | -15 Ordinary Shares | $-15$ | |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 9,246.00 | -1,150 Ordinary Shares | -1,150 |
| 4/18/2018 | 160.60 | -20 Ordinary Shares | $-20$ | ||
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | |||
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 152.57 | -19 Ordinary Shares | $-19$ |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 112.00 | -14 Ordinary Shares | $-14$ |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 32.12 | -4 Ordinary Shares | $-4$ |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 288.36 | -36 Ordinary Shares | $-36$ |
| 4/18/2018 4/18/2018 |
Morgan Stanley Australia Securities Limited Morgan Stanley Australia Securities Limited |
Sell Sell |
1,169.46 24.21 |
-146 Ordinary Shares -3 Ordinary Shares |
$-146$ $-3$ |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 2.232.34 | -278 Ordinary Shares | $-278$ |
|---|---|---|---|---|---|
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 1.624.08 | -202 Ordinary Shares | $-202$ |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 2,211.00 | -275 Ordinary Shares | $-275$ |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 5,086.80 | -628 Ordinary Shares | -628 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 797.94 | -99 Ordinary Shares | -99 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 2,146.68 | -268 Ordinary Shares | |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 1,678.27 | -268 | |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | -209 Ordinary Shares | -209 | |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 2,162.76 | -269 Ordinary Shares | -269 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 979.66 | -122 Ordinary Shares | -122 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 1,125.90 | -139 Ordinary Shares | $-139$ |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 1,054.30 | -130 Ordinary Shares | $-130$ |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 603.00 866.16 |
-75 Ordinary Shares | $-75$ |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 152.00 | -108 Ordinary Shares | -108 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 19,761.83 | -19 Ordinary Shares | -19 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 112.70 | -2,461 Ordinary Shares | -2,461 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 1,809.00 | -14 Ordinary Shares -225 Ordinary Shares |
-14 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 825.03 | -103 Ordinary Shares | $-225$ $-103$ |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 345.08 | -43 Ordinary Shares | -43 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 527.80 | -65 Ordinary Shares | -65 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 990.15 | -123 Ordinary Shares | $-123$ |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 1.034.24 | -128 Ordinary Shares | $-128$ |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 393.47 | -49 Ordinary Shares | $-49$ |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 64.08 | -8 Ordinary Shares | -8 |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 119.70 | -15 Ordinary Shares | $-15$ |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 1,160.00 | -145 Ordinary Shares | $-145$ |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 18,331.20 | -2,280 Ordinary Shares | $-2,280$ |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 1,485.55 | -185 Ordinary Shares | $-185$ |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 223.44 | -28 Ordinary Shares | $-28$ |
| 4/18/2018 | Morgan Stanley Australia Securities Limited | Sell | 280.70 | -35 Ordinary Shares | $-35$ |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 126.45 | 15 Ordinary Shares | 15 |
| 4/19/2018 4/19/2018 |
Morgan Stanley Australia Securities Limited | Buy | 841.01 | 99 Ordinary Shares | 99 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited Morgan Stanley Australia Securities Limited |
Buy | 424.50 | 50 Ordinary Shares | 50 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 346.45 | 41 Ordinary Shares | 41 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy Buy |
12,322.40 23,434.20 |
1,460 Ordinary Shares | 1,460 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 253.80 | 2,770 Ordinary Shares 30 Ordinary Shares |
2,770 30 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 30,393.86 | 3,559 Ordinary Shares | 3,559 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 161.03 | 19 Ordinary Shares | 19 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 10.422.45 | 1,219 Ordinary Shares | 1,219 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 7,191.03 | 849 Ordinary Shares | 849 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 21,886.48 | 2,584 Ordinary Shares | 2,584 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 6,819.15 | 807 Ordinary Shares | 807 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 937.95 | 111 Ordinary Shares | 111 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 19,646.25 | 2,325 Ordinary Shares | 2,325 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 56,629.44 | 6,678 Ordinary Shares | 6,678 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 7,089.28 | 836 Ordinary Shares | 836 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 22,766.57 | 2,669 Ordinary Shares | 2,669 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 8,990.80 | 1,064 Ordinary Shares | 1,064 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 1,865.24 | 221 Ordinary Shares | 221 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 10,467.30 | 1,230 Ordinary Shares | 1,230 |
| 4/19/2018 4/19/2018 |
Morgan Stanley Australia Securities Limited | Buy | 287.98 | 34 Ordinary Shares | 34 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 10,617.30 | 1,255 Ordinary Shares | 1,255 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited Morgan Stanley Australia Securities Limited |
Buy | 23,275.56 | 2,748 Ordinary Shares | 2,748 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy Buy |
9,379.35 1,462.00 |
1,097 Ordinary Shares | 1,097 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 9,348.30 | 172 Ordinary Shares | 172 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 47,652.24 | 1,105 Ordinary Shares 5,646 Ordinary Shares |
1,105 5,646 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 6,700.32 | 792 Ordinary Shares | 792 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 1,316.70 | 154 Ordinary Shares | 154 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 6,982.89 | 822 Ordinary Shares | 822 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 127.65 | 15 Ordinary Shares | 15 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 119.28 | 14 Ordinary Shares | 14 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 40,570.50 | 4,773 Ordinary Shares | 4,773 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 20,184.01 | 2,383 Ordinary Shares | 2,383 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 1,232.24 | 146 Ordinary Shares | 146 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 34,673.16 | 4,084 Ordinary Shares | 4,084 |
|---|---|---|---|---|---|
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 2,219.14 | 262 Ordinary Shares | 262 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 5,315.05 | 629 Ordinary Shares | 629 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 305.46 | 36 Ordinary Shares | 36 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 110.18 | 13 Ordinary Shares | 13 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 118.30 | 14 Ordinary Shares | 14 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 93.23 | 11 Ordinary Shares | 11 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 110.37 | 13 Ordinary Shares | 13 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 3,591.00 | 420 Ordinary Shares | 420 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 153.90 | 18 Ordinary Shares | 18 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 4,197.60 | 495 Ordinary Shares | 495 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 19,894.08 | 2,346 Ordinary Shares | 2,346 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 110.50 | 13 Ordinary Shares | 13 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 805.60 | 95 Ordinary Shares | 95 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 22,514.40 | 2,655 Ordinary Shares | 2,655 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 457.92 | 54 Ordinary Shares | 54 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 9,278.28 | 1,089 Ordinary Shares | 1,089 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 1,529.10 | 180 Ordinary Shares | 180 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 18,295.20 | 2,160 Ordinary Shares | 2,160 627 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 5,316.96 | 627 Ordinary Shares | 513 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 4,360.50 | 513 Ordinary Shares 1,615 Ordinary Shares |
1,615 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 13,630.60 118.16 |
14 Ordinary Shares | 14 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy Buy |
23,660.00 | 2,800 Ordinary Shares | 2,800 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited Morgan Stanley Australia Securities Limited |
Buy | 247.52 | 29 Ordinary Shares | 29 |
| 4/19/2018 4/19/2018 |
Morgan Stanley Australia Securities Limited | Buy | 3,906.98 | 461 Ordinary Shares | 461 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 2,576.40 | 304 Ordinary Shares | 304 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 221.78 | 26 Ordinary Shares | 26 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 151.92 | 18 Ordinary Shares | 18 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 16,226.28 | 1,918 Ordinary Shares | 1,918 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 135.60 | 16 Ordinary Shares | 16 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 304.56 | 36 Ordinary Shares | 36 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 144.67 | 17 Ordinary Shares | 17 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 93.23 | 11 Ordinary Shares | 11 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 3,833.50 | 451 Ordinary Shares | 451 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 878.80 | 104 Ordinary Shares | 104 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 2,368.80 | 280 Ordinary Shares | 280 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 560.34 | 66 Ordinary Shares | 66 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 1,321.32 | 156 Ordinary Shares | 156 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 1,276.50 | 150 Ordinary Shares | 150 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 7,123.11 | 839 Ordinary Shares | 839 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy. | 1,253.56 | 148 Ordinary Shares | 148 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 1,120.02 | 132 Ordinary Shares | 132 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 803.70 | 95 Ordinary Shares 93 Ordinary Shares |
95 93 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Buy | 788.18 | -23 Ordinary Shares | -23 |
| 4/19/2018 | Morgan Stanley & Co. International plc | Sell | 185.50 484.50 |
-60 Ordinary Shares | -60 |
| 4/19/2018 | Morgan Stanley & Co. International plc | Sell Sell |
2,412.39 | -299 Ordinary Shares | -299 |
| 4/19/2018 | Morgan Stanley & Co. International plc Morgan Stanley Australia Securities Limited |
Sell | 5,950.34 | -731 Ordinary Shares | -731 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Sell | 3,082.39 | -382 Ordinary Shares | $-382$ |
| 4/19/2018 4/19/2018 |
Morgan Stanley Australia Securities Limited | Sell | 435.51 | -54 Ordinary Shares | -54 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Sell | 193.92 | -24 Ordinary Shares | -24 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Sell | 1,622.00 | -200 Ordinary Shares | -200 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Sell | 112.98 | -14 Ordinary Shares | -14 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Sell | 700.35 | -87 Ordinary Shares | -87 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Sell | 446.60 | -55 Ordinary Shares | -55 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Sell | 227.36 | -28 Ordinary Shares | -28 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Sell | 1,414.00 | -175 Ordinary Shares | $-175$ |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Sell | 388.80 | -48 Ordinary Shares | $-48$ |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Sell | 1,624.00 | -200 Ordinary Shares | -200 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Sell | 1,044.90 | -129 Ordinary Shares | $-129$ |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Sell | 1,016.25 | -125 Ordinary Shares | $-125$ |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Sell | 2,608.20 | -322 Ordinary Shares | $-322$ |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Sell | 1,644.24 | -204 Ordinary Shares | -204 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Sell | 2,011.28 | -248 Ordinary Shares | $-248$ |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Sell | 50,393.00 | -6,260 Ordinary Shares | -6,260 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Sell | 113.54 | -14 Ordinary Shares | $-14$ |
|---|---|---|---|---|---|
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Sell | 145.08 | -18 Ordinary Shares | $-18$ |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Sell | 1.563.30 | -193 Ordinary Shares | $-193$ |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Sell | 346.80 | -43 Ordinary Shares | $-43$ |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Sell | 473.28 | -58 Ordinary Shares | -58 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Sell | 28,649.95 | -3,559 Ordinary Shares | $-3,559$ |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Sell | 7,378.08 | -912 Ordinary Shares | $-912$ |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Sell | 4.494.99 | -557 Ordinary Shares | -557 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Sell | 490.44 | -61 Ordinary Shares | -61 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Sell | 40.25 | -5 Ordinary Shares | -5 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Sell | 129.12 | -16 Ordinary Shares | -16 |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Sell | 315.90 | -39 Ordinary Shares | $-39$ |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Sell | 1.221.00 | -150 Ordinary Shares | $-150$ |
| 4/19/2018 | Morgan Stanley Australia Securities Limited | Sell | 405.00 | -50 Ordinary Shares | -50 |
| 4/19/2018 | Morgan Stanley & Co. LLC | Borrow | N/A | 167,920 Ordinary Shares | 167.920 |
| 4/19/2018 | Morgan Stanley & Co. International plc | Borrow Returned | N/A | -2.167,920 Ordinary Shares | -2.167.920 |
4. Present relevant interests
Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows: $\Gamma$
| 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 |
|---|---|---|---|---|---|
| Morgan Stanley | HSBC Custody Nominees (Australia) Limited |
Not Applicable | Shares held or in respect of which the holder may 738,339 Ordinary Shares 738,339 exercise control over disposal in the ordinary course of sales and trading businesses. |
||
| Morgan Stanley & Co. ILLC |
Unknown | Not Applicable | Holder of securities subject to an obligation to return under a securities lending agreement. Right as lender to recall the shares under a prime brokerage arrangement. |
58,776 Ordinary Shares | 58,776 |
| Morgan Stanley & Co. ILLC. |
Unknown | Not Applicable | Holder of securities subject to an obligation to return under a securities lending agreement. |
2,645,920 Ordinary Shares |
2.645,920 |
| Morgan Stanley & Co. International plc |
Unknown | Not Applicable | Holder of securities subject to an obligation to return under a securities lending agreement. Right as lender to recall the shares under a securities lending or prime brokerage arrangement. |
416,480 Ordinary Shares 416,480 | |
| Morgan Stanley & Co. International plc |
Unknown | Not Applicable | Holder of securities subject to an obligation to return under a securities lending agreement through an associate. Right as lender to recall the shares under a securities lending or prime brokerage arrangement. |
109,144 Ordinary Shares 109,144 | |
| Morgan Stanley & Co. International plc |
Unknown | Not Applicable | Shares held or in respect of which the holder may exercise control over disposal in the ordinary course of sales and trading businesses. Right as lender to recall the shares under a securities lending or prime brokerage arrangement. |
4,353,716 Ordinary Shares |
4,353,716 |
| Morgan Stanley & Co. International plc |
HSBC Custody Nominees (Australia) Limited |
Not Applicable | Shares held or in respect of which the holder may exercise control over disposal in the ordinary course of sales and trading businesses. |
9,133 Ordinary Shares | 9,133 |
| Morgan Stanley Investment Management llnc. |
HSBC Custody Nominees Australia Ltd. |
Not Applicable | Shares held or in respect of which the holder may exercise control over disposal in the ordinary course of investment management business. |
1,188 Ordinary Shares | 1,188 |
| Securities Limited | Morgan Stanley Australia Morgan Stanley Australia Securities Limited Securities (Nominee) Pty ∟imited |
Not Applicable | Shares held or in respect of which the holder may exercise control over disposal in the ordinary course of sales and trading businesses. |
131,740 Ordinary Shares 131,740 | |
|---|---|---|---|---|---|
| IEach of the entities (as llisted in Annexure A) in the Morgan Stanley group upstream of the labove entities |
Each of the above entities is a body corporate that each upstream entity controls and therefore has the relevant interests that the labove entities collectively have. |
8.464.436 Ordinary Shares |
8.464.436 |
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 | Not applicable |
6. Addresses
The addresses of persons named in this form are as follows:
| Name | Address |
|---|---|
| Morgan Stanley | 1585 Broadway, New York 10036, USA |
| Morgan Stanley & Co. LLC | 1585 Broadway, New York 10036, USA |
| Morgan Stanley & Co. International plc | 25 Cabot Square Canary Wharf, London, E14 4QA, United Kingdom |
| Morgan Stanley Investment Management Inc. | 522 5th Avenue 6th Floor, New York 10036, USA |
| Morgan Stanley Australia Securities Limited | Level 39 Chifley Tower, 2 Chifley Square, Sydney NSW 2000, Australia |
Annexure A
List of Morgan Stanley and its subsidiaries that have a relevant interest or deemed to have a relevant interest in the shares or units stated in Section 4.
Signature
| print name | Wilson Li | capacity | Vice President |
|---|---|---|---|
| sign here | date | April 23, 2018 | |
DIRECTIONS
- 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 ann $(1)$ 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 7 of the form. - See the definition of "associate" in section 9 of the Corporations Act 2001. $(2)$
- See the definition of "relevant interest" in sections 608 and 671B(7) of the Corporations Act 2001. $(3)$
- The voting shares of a company constitute one class unless divided into separate classes. $(4)$
- 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 $(5)$ relevant interest in.
- The person's votes divided by the total votes in the body corporate or scheme multiplied by 100. $(6)$
- $(7)$ Include details of:
- any relevant agreement or other circumstances by which the relevant interest was acquired. If subsection 671B(4) applies, a copy of any document $(a)$ setting out the terms of any relevant agreement, and 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
- 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 $(b)$ 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 Act 2001.
- 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." $(8)$
- Details of the consideration must include any and all benefits, moneys and other, that any person from whom a relevant interest was acquired has, or may, $(9)$ 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 th to the person from whom the relevant interest was acquired.
GUIDE
This guide does not form part of the prescribed form and is included by ASIC to assist you in completing and lodging form 604.
| Signature | This form must be signed by either a director or a secretary of the substantial holder. | |||
|---|---|---|---|---|
| Lodging period | Nil | |||
| Lodging Fee | Νï | |||
| Other forms to be completed |
Nil | |||
| Additional information | (a) | If additional space is required to complete a question, the information may be included on a separate piece of paper annexed to the form. |
||
| (b) | This notice must be given to a listed company, or the responsible entity for a listed managed investment scheme. A copy of this notice must also be given to each relevant securities exchange. |
|||
| (c) | The person must give a copy of this notice: | |||
| (i) | within 2 business days after they become aware of the information; or | |||
| (ii) | by 9.30 am on the next trading day of the relevant securities exchange after they become aware of the information if: |
|||
| (A) | a takeover bid is made for voting shares in the company or voting interests in the scheme; and | |||
| (B) | the person becomes aware of the information during the bid period. | |||
| Annexures | To make any annexure conform to the regulations, you must | |||
| 1 | use A4 size paper of white or light pastel colour with a margin of at least 10mm on all sides | |||
| 2 | show the corporation name and A.C.N or ARBN | |||
| 3 | number the pages consecutively | |||
| 4 | print or type in BLOCK letters in dark blue or black ink so that the document is clearly legible when photocopied | |||
| 5. | identify the annexure with a mark such as A, B, C, etc | |||
| 6 | endorse the annexure with the words: This is annexure (mark) of (number) pages referred to in form (form number and title) |
|||
| sign and date the annexure. | ||||
| The annexure must be signed by the same person(s) who signed the form. | ||||
Information in this guide is intended as a guide only. Please consult your accountant or solicitor for further advice.
$\label{eq:2.1} \frac{1}{\sqrt{2}}\int_{\mathbb{R}^3}\frac{1}{\sqrt{2}}\left(\frac{1}{\sqrt{2}}\right)^2\frac{1}{\sqrt{2}}\left(\frac{1}{\sqrt{2}}\right)^2\frac{1}{\sqrt{2}}\left(\frac{1}{\sqrt{2}}\right)^2\frac{1}{\sqrt{2}}\left(\frac{1}{\sqrt{2}}\right)^2.$
Appendix B
This is Annexure B referred to in the Form 604: Notice of change of interests of substantial holder issued by Morgan Stanley and its subsidiaries. The following is description of the securities lending agreements referenced in the accompanying Form 604.
| Schedule | |
|---|---|
| Type of Agreement | Overseas Securities Lender's Agreement |
| Parties to agreement | Morgan Stanley & Co. International plc and JPMORGAN CHASE BANK, |
| N.A. | |
| Transfer Date | 20180417; 20180419; |
| Holder of Voting Rights | 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). | |
| Are there any restrictions on voting rights? | Yes /No |
| If yes, detail As stated above. | |
| Scheduled Return Date (if any) | Open |
| Does the borrower have the right to return early? | Yes /No |
| If yes, detail The Borrower is 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. |
|
| Does the lender have the right to recall early? | Yes /No |
| If yes, detail 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 on the exchange or in the clearing organisation through which the relevant borrowed | |
| Securities were originally delivered. The Borrower shall redeliver such Equivalent Securities not later than the expiry of such notice in accordance with | |
| the Lender's instructions. | |
| Will the securities be returned on settlement? | Yes /No |
| If yes, detail any exceptions If an Event of Default occurs in relation to either Party, the Parties' delivery and payment obligations shall be | |
| accelerated so as to require performance thereof at the time such Event of Default occurs. In such event the Relevant Value of the Securities to be | |
| delivered by each Party shall be established in accordance with the Agreement and on the basis of the Relevant Values so established, 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. | |
| Schedule | |
| Type of Agreement | Overseas Securities Lender's Agreement |
| Parties to agreement | Morgan Stanley & Co. International plc and RBC INVESTOR SERVICES TRUST |
| Transfer Date | 20180417; |
| Holder of Voting Rights | 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). | |
| Are there any restrictions on voting rights? | Yes /No |
| If yes, detail As stated above. | |
| Scheduled Return Date (if any) | Open |
| Does the borrower have the right to return early? | Yes /No |
| If yes, detail The Borrower is 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. | |
| Does the lender have the right to recall early? | Yes /No |
| If yes, detail 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 on the exchange or in the clearing organisation through which the relevant borrowed | |
| Securities were originally delivered. The Borrower shall redeliver such Equivalent Securities not later than the expiry of such notice in accordance with the Lender's instructions. |
|
| Will the securities be returned on settlement? | Yes /No |
| If yes, detail any exceptions If an Event of Default occurs in relation to either Party, the Parties' delivery and payment obligations shall be accelerated so as to require performance thereof at the time such Event of Default occurs. In such event the Relevant Value of the Securities to be delivered by each Party shall be established in accordance with the Agreement and on the basis of the Relevant Values so established, 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.
| Schedule | |
|---|---|
| Type of Agreement | International Prime Brokerage Agreement |
| Parties to agreement | Morgan Stanley & Co. International plc for itself and as agent and |
| trustee for and on behalf of the other Morgan Stanley Companies and | |
| TOTUS CAPITAL PTY LTD AS TRUSTEE FOR TOTUS ALPHA FUND | |
| Transfer Date | 20170913; 20170929; 20171130; 20171208; 20180209; 20180327; |
| 20180403; | |
| Holder of Voting Rights | If prime broker has settled a short sale for the client, voting rights will |
| pass to the purchaser of the securities. | |
| Are there any restrictions on voting rights? | Yes/No |
| If yes, detail Not applicable | |
| Scheduled Return Date (if any) | Open |
| Does the borrower have the right to return early? | Yes/No |
| If yes, detail At any time the client may return to the prime broker shares which the client previously sold short. | |
| Does the lender have the right to recall early? | Yes /No |
| If yes, detail The prime broker may require the client to return shares delivered on behalf of the client at any time. | |
| Will the securities be returned on settlement? | Yes /No |
| If yes, detail any exceptions Upon an Event of Default, the default market value of all Equivalent Securities to be delivered will be determined and | |
| on the basis of the amounts so established, an account shall be taken of what is due from each party to the other. The amounts due from one | |
| party shall be set off against the amounts due from the other party and only the balance of the account shall be payable. |
$\Delta \sim 1$
$\hat{\mathcal{A}}$
| Schedule | |
|---|---|
| Type of Agreement | International Prime Brokerage Agreement |
| Parties to agreement | Morgan Stanley & Co. International pic for itself and as agent and trustee for and on behalf of the other Morgan Stanley Companies and EQUITY TRUSTEES LIMITED AS THE RESPONSIBLE ENTITY OF WATERMARK GLOBAL LEADERS TRUST |
| Transfer Date | 20180312; 20180410; |
| Holder of Voting Rights | If prime broker has settled a short sale for the client, voting rights will pass to the purchaser of the securities. |
| Are there any restrictions on voting rights? | Yes/No |
| If yes, detail Not applicable | |
| Scheduled Return Date (if any) | Open |
| Does the borrower have the right to return early? | Yes Ale |
| If yes, detail At any time the client may return to the prime broker shares which the client previously sold short. | |
| Does the lender have the right to recall early? | Yes /No |
| If yes, detail The prime broker may require the client to return shares delivered on behalf of the client at any time. | |
| Will the securities be returned on settlement? | Yes ANO |
| If yes, detail any exceptions Upon an Event of Default, the default market value of all Equivalent Securities to be delivered will be determined and on the basis of the amounts so established, an account shall be taken of what is due from each party to the other. The amounts due from one |
party shall be set off against the amounts due from the other party and only the balance of the account shall be payable.
$\mathcal{L}_{\mathcal{A}}$
| Schedule | ||
|---|---|---|
| Type of Agreement | International Prime Brokerage Agreement | |
| Parties to agreement | Morgan Stanley & Co. International plc for itself and as agent and | |
| trustee for and on behalf of the other Morgan Stanley Companies and | ||
| WATERMARK GLOBAL LEADERS FUND LIMITED | ||
| Transfer Date | 20180312; 20180410; | |
| Holder of Voting Rights | If prime broker has settled a short sale for the client, voting rights will | |
| pass to the purchaser of the securities. | ||
| Are there any restrictions on voting rights? | Yes/ No | |
| If yes, detail Not applicable | ||
| Scheduled Return Date (if any) | Open | |
| Does the borrower have the right to return early? | Yes ANO | |
| If yes, detail At any time the client may return to the prime broker shares which the client previously sold short. | ||
| Does the lender have the right to recall early? | Yes /No | |
| If yes, detail The prime broker may require the client to return shares delivered on behalf of the client at any time. | ||
| Will the securities be returned on settlement? | Yes /No | |
| If yes, detail any exceptions Upon an Event of Default, the default market value of all Equivalent Securities to be delivered will be determined and | ||
| on the basis of the amounts so established, an account shall be taken of what is due from each party to the other. The amounts due from one | ||
| party shall be set off against the amounts due from the other party and only the balance of the account shall be payable. |
| Schedule | ||
|---|---|---|
| Type of Agreement | International Prime Brokerage Agreement | |
| Parties to agreement | Morgan Stanley & Co. International plc for itself and as agent and trustee for and on behalf of the other Morgan Stanley Companies and EQUITY TRUSTEES LIMITED AS TRUSTEE FOR L1 CAPITAL LONG SHORT FUND |
|
| Transfer Date | 20180418; | |
| Holder of Voting Rights | If prime broker has settled a short sale for the client, voting rights will pass to the purchaser of the securities. |
|
| Are there any restrictions on voting rights? | Yes/No | |
| If yes, detail Not applicable | ||
| Scheduled Return Date (if any) | Open | |
| Does the borrower have the right to return early? | Yes /No | |
| If yes, detail At any time the client may return to the prime broker shares which the client previously sold short. | ||
| Does the lender have the right to recall early? | Yes /No | |
| If yes, detail The prime broker may require the client to return shares delivered on behalf of the client at any time. | ||
| Will the securities be returned on settlement? | Yes /No | |
| If yes, detail any exceptions Upon an Event of Default, the default market value of all Equivalent Securities to be delivered will be determined and on the basis of the amounts so established, an account shall be taken of what is due from each party to the other. The amounts due from one party shall be set off against the amounts due from the other party and only the balance of the account shall be payable. |
| Schedule | ||
|---|---|---|
| Type of Agreement | Global Master Securities Lending Agreement | |
| Parties to agreement | Morgan Stanley & Co. International plc and CITIBANK NA | |
| Transfer Date | 20180417: 20180418; 20180419; | |
| Holder of Voting Rights | Borrower | |
| Are there any restrictions on voting rights? | Yes/ No | |
| If yes, detail Not applicable | ||
| Scheduled Return Date (if any) | Open | |
| Does the borrower have the right to return early? | Yes /No | |
| If yes, detail The Borrower is entitled at any time to terminate a Loan and to redeliver all and any Equivalent Securities due and outstanding to the | ||
| Lender in accordance with the Lender's instructions. | ||
| Does the lender have the right to recall early? | Yes Ale | |
| If yes, detail The Lender is 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.
Will the securities be returned on settlement?
If yes, detail any exceptions If the Borrower does not redeliver Equivalent Securities in accordance with the Agreement, the Lender may by written notice to Borrower terminate the Loan forthwith and the Parties' delivery and payment obligations in respect thereof.
Yes/No
| Schedule | |
|---|---|
| Type of Agreement | Master Securities Loan Agreement |
| Parties to agreement | Morgan Stanley & Co. LLC, MS Securities Services Inc. and CITIBANK NA |
| Transfer Date | 20180417; |
| Holder of Voting Rights | Borrower |
| Are there any restrictions on voting rights? | Yes/ No |
| If yes, detail Not applicable | |
| Scheduled Return Date (if any) | Open |
| Does the borrower have the right to return early? | Yes /No |
If yes, detail Either party may terminate a Loan on a termination date established by notice given to the other party prior to the Close of Business on a Business Day. The termination date established by a termination notice shall be a date no earlier than the standard settlement date that would apply to a purchase or sale of the Loaned Securities (in the case of a notice given by Lender) or the non-cash Collateral securing the Loan (in the case of a notice given by Borrower) entered into at the time of such notice, which date shall, unless Borrower and Lender agree to the contrary, be the third Business Day following such notice.
Does the lender have the right to recall early?
If yes, detail Either party may terminate a Loan on a termination date established by notice given to the other party prior to the Close of Business on a Business Day. The termination date established by a termination notice shall be a date no earlier than the standard settlement date that would apply to a purchase or sale of the Loaned Securities (in the case of a notice given by Lender) or the non-cash Collateral securing the Loan (in the case of a notice given by Borrower) entered into at the time of such notice, which date shall, unless Borrower and Lender agree to the contrary, be the third Business Day following such notice.
Yes/No
Will the securities be returned on settlement? Yes/No If yes, detail any exceptions Upon the occurrence of a Default entitling the Lender to terminate all Loans, the Lender has the right to purchase a like amount of Loaned Securities, to sell any Collateral and to apply and set off the Collateral and any proceeds thereof against the payment of the purchase price for such Replacement Securities. In the event the Lender exercises such rights, the Borrower's obligation to return a like amount of the Loaned Securities shall terminate.
| Schedule | |
|---|---|
| Type of Agreement | Master Securities Loan Agreement |
| Parties to agreement | Morgan Stanley & Co. LLC, MS Securities Services Inc. and THE BANK OF NEW YORK MELLON |
| Transfer Date | 20180419; |
| Holder of Voting Rights | Borrower |
| Are there any restrictions on voting rights? | ¥es/No |
| If yes, detail Not applicable | |
| Scheduled Return Date (if any) | Open |
| Does the borrower have the right to return early? | Yes /No |
If yes, detail Either party may terminate a Loan on a termination date established by notice given to the other party prior to the Close of Business on a Business Day. The termination date established by a termination notice shall be a date no earlier than the standard settlement date that would apply to a purchase or sale of the Loaned Securities (in the case of a notice given by Lender) or the non-cash Collateral securing the Loan (in the case of a notice given by Borrower) entered into at the time of such notice, which date shall, unless Borrower and Lender agree to the contrary, be the third Business Day following such notice.
Does the lender have the right to recall early? Yes/No If yes, detail Either party may terminate a Loan on a termination date established by notice given to the other party prior to the Close of Business on a Business Day. The termination date established by a termination notice shall be a date no earlier than the standard settlement date that would apply to a purchase or sale of the Loaned Securities (in the case of a notice given by Lender) or the non-cash Collateral securing the Loan (in the case of a notice given by Borrower) entered into at the time of such notice, which date shall, unless Borrower and Lender agree to the contrary, be the third Business Day following such notice.
Will the securities be returned on settlement?
If yes, detail any exceptions Upon the occurrence of a Default entitling the Lender to terminate all Loans, the Lender has the right to purchase a like amount of Loaned Securities, to sell any Collateral and to apply and set off the Collateral and any proceeds thereof against the payment of the purchase price for such Replacement Securities. In the event the Lender exercises such rights, the Borrower's obligation to return a like amount of the Loaned Securities shall terminate.
$Yes/Ne$
| Schedule | ||
|---|---|---|
| Type of Agreement | Customer Prime Broker Account Agreement | |
| Parties to agreement | Morgan Stanley & Co. LLC on behalf of all Morgan Stanley entities and customer WATERMARK FUNDS MANAGEMENT PTY LIMITED |
|
| Transfer Date | 20180221; 20180222; 20180223; 20180226; 20180410; | |
| Holder of Voting Rights | Shares are used to settle customer's short sales. Voting rights are held by third party purchaser. |
|
| Are there any restrictions on voting rights? | No. | |
| If yes, detail Not applicable | ||
| Scheduled Return Date (if any) | Open | |
| Does the borrower have the right to return early? | Yes | |
| if yes, detail The borrower may return shares to the lender at any time. | ||
| Does the lender have the right to recall early? | Yes: | |
| If yes, detail The lender may recall shares from the borrower at any time. | ||
| Will the securities be returned on settlement? | Yes. | |
| If yes, detail any exceptions In the ordinary course of business, customer will return the securities to the prime broker. Upon a customer Event of Default, Morgan Stanley has the right to set off obligations owed to the customer against obligations of the customer to Morgan Stanley and to foreclose on any collateral for the purpose of arriving at a single closeout amount. In such a default scenario, the shares may not be returned to |
||
| the prime broker. |
The above schedules are based on the relevant standard agreements. The entity filing the report will, if requested by the company or responsible entity to whom the prescribed form must be given or ASIC, give a copy of the agreement to the company, responsible entity or ASIC.