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ST BARBARA LIMITED — Major Shareholding Notification 2018
Sep 12, 2018
65749_rns_2018-09-12_7105e536-5ce5-4eea-a4f2-ba3546799ebb.pdf
Major Shareholding Notification
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Form 605
Corporations Act 2001
Section 671B
Notice of ceasing to be a substantial holder
| To Company Name/Scheme | St Barbara Ltd |
|---|---|
| ACN/ARSN | ACN 009 165 066 |
1. Details of substantial holder (1)
| Name | Credit Suisse Holdings (Australia) Limited (on behalf of Credit Suisse Group AG and its affiliates) | |
|---|---|---|
| ACN/ARSN (if applicable) | 008 496 713 | |
| The holder ceased to be a substantial holder on | 07-Sep-2018 | |
| The previous notice was given to the company on | 12-Sep-2018 | |
| The previous notice was dated | 12-Sep-2018 |
2. Changes in relevant interests
Particulars of each change in, or change in the nature of, a relevant interest (2) of the substantial holder or an associate (3)in voting securities ofthe company or scheme, since the substantial holder was last required follows:
| Date ofchange | l Person whoserelevant interestchanged | l Nature ofchange (4) | Consideration givenI in relation to change | Class (6) and number Person's votesof securities affected | l affected |
|---|---|---|---|---|---|
| See Annexure I"∆" |
3. Changes in association
The persons who have become associates (3) of, ceased to be associates of, or have changed the nature of their association (7) with, the substantial holder in relation to voting interests in the company or scheme are as follows:
| Name and ACN/ARSN (if applicable) | : Nature :association⊢∩ t |
|---|---|
| N/A |
4. Addresses
The addresses of persons named in this form are as follows:
| Name | Address------------------ |
|---|---|
| See Annexure "B"_______________________________________ |
Signature
| print name | Winston Loke | capacity Authorised Signatory | |
|---|---|---|---|
| sign here | date | 13-Sep-2018 | |
| W. | _______________________________________---- |
2. Changes in relevant interests
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Particulars of each change in, or change in the nature of, a relevant interest (2) of the substantial holder or an associate (3) 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 ofchange | Person whoserelevant interestchanged | Nature ofchange (4) | Consideration givenin relation to change(5) | Class (6) and numberof securities affected | Person's votesaffected |
|---|---|---|---|---|---|
| 07-Sep-2018 | Credit Suisse Equities(Australia) Limited | Disposed onmarket | 100,597.00 AUD | -26,601 CommonStock | $-26,601$ |
| 07-Sep-2018 | Credit Suisse Equities(Australia) Limited | Disposed onmarket | 723.72 AUD | -192 Common Stock | $-192$ |
| 07-Sep-2018 | Credit Suisse Equities(Australia) Limited | Disposed onmarket | 64,612.25 AUD | -17,067 CommonStock | $-17,067$ |
| 07-Sep-2018 | Credit Suisse Equities(Australia) Limited | Disposed onmarket | 25.494.98 AUD | -6,661 CommonStock | $-6,661$ |
| 07-Sep-2018 | Credit Suisse Equities(Australia) Limited | Disposed onmarket | 150.40 AUD | -40 Common Stock | $-40$ |
| 07-Sep-2018 | Credit Suisse Equities(Australia) Limited | Disposed onmarket | 11,978.21 AUD | -3,151 CommonStock | $-3,151$ |
| 07-Sep-2018 | Credit Suisse Equities(Australia) Limited | Acquired onmarket | 943.18 AUD | 254 Common Stock | 254 |
| 07-Sep-2018 | Credit Suisse Equities(Australia) Limited | Acquired onmarket | 7,440.00 AUD | 2,000 Common Stock | 2,000 |
| 07-Sep-2018 | Credit Suisse Equities(Australia) Limited | Acquired onmarket | 60,361.77 AUD | 16,242 CommonStock | 16,242 |
| 07-Sep-2018 | Credit Suisse Equities(Australia) Limited | Acquired onmarket | 458,976.09 AUD | 123,457 CommonStock | 123,457 |
| 07-Sep-2018 | Credit Suisse Equities(Australia) Limited | Disposed onmarket | 170,478.00 AUD | -45,000 CommonStock | $-45,000$ |
| 07-Sep-2018 | Credit Suisse Equities(Australia) Limited | Acquired onmarket | 1,191.13 AUD | 325 Common Stock | 325 |
| 07-Sep-2018 | Credit SuisseSecurities (Europe)Limited | Stockreturnedunder OSLAagreement | Refer to Annexure Cof Notice | -2,500,000 CommonStock | $-2,500,000$ |
| 07-Sep-2018 | Credit SuisseSecurities (USA) LLC | Stockreturnedunder OSLAagreement | Refer to Annexure Cof Notice | -27,000,000 CommonStock | $-27,000,000$ |
| 07-Sep-2018 | Credit SuisseSecurities (USA) LLC | Stockreturnedunder OSLAagreement | Refer to Annexure Cof Notice | -3,000,000 CommonStock | $-3,000,000$ |
| 07-Sep-2018 | Credit SuisseSecurities (USA) LLC | Stockreturnedunder OSLAagreement | Refer to Annexure Cof Notice | -2,100,000 CommonStock | $-2,100,000$ |
This is Annexure "A" referred to in the Form 605 "Notice of ceasing to be a substantial holder"
| Signature | Credit Suisse Holdings (Australia) Limited (ACN 008 496 713) | |||
|---|---|---|---|---|
| print name | Winston Loke | capacity | Authorised Signatory | |
| sign here | date | 13-Sep-2018 |
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4. Addresses
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The addresses of persons named in this form are as follows:
| Name | Address |
|---|---|
| Credit Suisse Holdings (Australia) Limited(ACN 008 496 713) | Level 31, Gateway, 1 Macquarie Place, Sydney NSW 2000, Australia |
| Credit Suisse Equities (Australia) Limited(ACN 068 232 708) | Level 31, Gateway, 1 Macquarie Place, Sydney NSW 2000, Australia |
| CS Third Nominees Pty Limited (ACN 007053 849) | Level 31, Gateway, 1 Macquarie Place, Sydney NSW 2000, Australia |
| Credit Suisse Fourth Nominees Pty Limited(ACN 069 126 432) | Level 31, Gateway, 1 Macquarie Place, Sydney NSW 2000, Australia |
| Credit Suisse Securities (USA) LLC | 11 Madison Avenue, New York, NY 10010 |
| Credit Suisse Securities (Europe) Limited(ARBN 099554131) | One Cabot Square, London, E14 4QJ |
| Credit Suisse Funds AG | Uetibergstrasse 231, Zurich 8045 Switzerland |
This is Annexure "B" referred to in the Form 605 "Notice of ceasing to be a substantial holder"
Signature
Credit Suisse Holdings (Australia) Limited (ACN 008 496 713)
| print name | Winston Loke | capacity | Authorised Signatory |
|---|---|---|---|
| sign here | $W_{-}$ | date | 13-Sep-2018 |
Annexure "C"
This is Annexure "C" referred to in the Form 605 "Notice of ceasing to be a substantial holder"
| Signature | Credit Suisse Holdings (Australia) Limited (ACN 008 496 713) | ||||
|---|---|---|---|---|---|
| print name | Winston Loke | capacity | Authorised Signatory | ||
| sign here | date | 13-Sep-2018 | |||
| (M — |
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| Prescribed information | |
|---|---|
| Schedule | |
| Type of agreement | Overseas Securities Lending Agreement |
| Parties to agreement | Credit Suisse Securities (Europe) Limited andThe Northern Trust Company |
| Transfer date | 07-Sep-2018 |
| Holder of voting rights | Borrower |
| Are there any restrictions on voting rights? | No |
| If yes, detail | N/A |
| Scheduled return date (if any) | N/A |
| Does the borrower have the right to return early? | Yes |
| If yes, detail | At Will |
| Does the lender have the right to recall early? | Yes |
| If yes, detail | With 4 business days prior notice or earlierupon agreement. |
| Will the securities be returned on settlement? | Yes |
| If yes, detail any exceptions | If an event of default occurs in respect of eitherthe lender or the borrower, the obligation of theborrower to deliver the securities to the lenderwill be netted off against the obligation of thelender to return securities or cash held by thelender as collateral. |
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$\ddot{\phantom{a}}$
| Prescribed information | |
|---|---|
| Schedule | |
| Type of agreement | Overseas Securities Lending Agreement |
| Parties to agreement | Credit Suisse Securities (USA) LLC Limitedand The Bank of New York Mellon |
| Transfer date | 07-Sep-2018 |
| Holder of voting rights | Borrower |
| Are there any restrictions on voting rights? | No |
| If yes, detail | N/A |
| Scheduled return date (if any) | N/A |
| Does the borrower have the right to return early? | Yes |
| If yes, detail | At Will, unless Borrower and Lender agree tothe contrary. |
| Does the lender have the right to recall early? | Yes |
| If yes, detail | With 4 business days prior notice or earlierupon agreement |
| Will the securities be returned on settlement? | Yes |
| If yes, detail any exceptions | If an event of default occurs in respect of eitherthe lender or the borrower, the obligation of theborrower to deliver the securities to the lenderwill be netted off against the obligation of thelender to return securities or cash held by thelender as collateral. |
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| Prescribed information | |
|---|---|
| Schedule | |
| Type of agreement | Overseas Securities Lending Agreement |
| Parties to agreement | Credit Suisse Securities (USA) LLC Limitedand BlackRock |
| Transfer date | 07-Sep-2018 |
| Holder of voting rights | Borrower |
| Are there any restrictions on voting rights? | No. |
| If yes, detail | N/A |
| Scheduled return date (if any) | N/A |
| Does the borrower have the right to return early? | Yes |
| If yes, detail | With 4 business days prior notice, unlessBorrower and Lender agree to the contrary. |
| Does the lender have the right to recall early? | Yes |
| If yes, detail | With 4 business days prior notice or earlierupon agreement. |
| Will the securities be returned on settlement? | Yes |
| If yes, detail any exceptions | If an event of default occurs in respect of eitherthe lender or the borrower, the obligation of theborrower to deliver the securities to the lenderwill be netted off against the obligation of thelender to return securities or cash held by thelender as collateral. |
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