Form 604
Corporations Act 2001
Section 671B
Notice of change of interests of substantial holder
| To Company Name/Scheme |
St Barbara Limited |
| ACN/ARSN |
ACN 009 165 066 |
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1. Details of substantial holder (1)
| Credit Suisse Holdings (Australia) Limited (on behalf of Credit Suisse Group AG and its affiliates) |
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| 008 496 713 |
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| There was a change in the interests of the substantial holder on |
04-Mar-2020 |
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| The previous notice was given to the company on |
06-Mar-2020 |
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06-Mar-2020 |
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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 |
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|
Person's votes |
Voting power (5) |
Person's votes |
Voting power (5) |
| Common Stock |
49,378,170 |
7.06% |
57,285,339 |
8.19% |
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 ofchange |
Person whose relevantinterest changed |
Nature of change(6) |
Consideration givenin relation tochange (7) |
Class and numberof securitiesaffected |
Person's votesaffected |
| 4-Mar-20 |
Credit Suisse Securities(Europe) Limited |
Stock returnedunder OSLA |
Refer to AnnexureB of Notice |
-787,411 CommonStock |
-787,411 |
| 4-Mar-20 |
Credit Suisse Securities(Europe) Limited |
Stock returnedunder OSLA |
Refer to AnnexureB of Notice |
7,272,816 CommonStock |
7,272,816 |
| 4-Mar-20 |
Credit Suisse Securities(Europe) Limited |
Stock borrowedunder Master primebrokerageagreement |
Refer to AnnexureB of Notice |
1,421,764 CommonStock |
1,421,764 |
4. Present relevant interests
Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows:
| Holder of relevantinterest |
Registered holder ofsecurities |
Person entitled tobe registered asholder (8) |
Nature of relevantinterest (6) |
Class and numberof securities |
Person'svotes |
| Credit SuisseSecurities (Europe)Limited (ARBN099554131) |
CS Third NomineesPty Limited (ACN007 053 849) |
Credit SuisseSecurities (Europe)Limited |
Holder of securitiessubject to anobligation to returnunder a securitieslending agreement |
16,498,170Common Stock |
16,498,170 |
| Credit SuisseSecurities (USA)LLC |
CS Third NomineesPty Limited (ACN007 053 849) |
Credit SuisseSecurities (USA)LLC |
Holder of securitiessubject to anobligation to returnunder a securitieslending agreement |
40,060,000Common Stock |
40,060,000 |
| Credit Suisse FundsAG |
HSBC CustodyNominees(Australia) Limited(ACN 003 094 568 |
Credit Suisse FundsAG |
Voting rights andright to dispose |
727,169 CommonStock |
727,169 |
5. Changes in association
The persons who have become associates (2) of, ceased to be associates of, or have changed the nature of their association (9) with, the substantial holder in relation to voting interests in the company or scheme are as follows:
| Name and ACN/ARSN (if applicable) |
Nature of association |
| N/A |
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6. Addresses
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 Funds AG |
Uetibergstrasse 231,Zurich,8045 Switzerland |
| Credit Suisse Securities (Europe) Limited(ARBN 099554131) |
One Cabot Square,London,E14 4QJ |
| Credit Suisse Securities (USA) LLC |
11 Madison Avenue,, New York, New York 10010, New York 10010 |
Signature
| print name |
Winston Loke |
capacity |
Authorised Signatory |
| sign here |
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date |
9-Mar-2020 |
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Annexure "B"
This is Annexure "B" referred to in the Form 604 "Notice of change of interests of substantial holder"
| Signature |
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Credit Suisse Holdings (Australia) Limited (ACN 008 496 713) |
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|
print name |
Winston Loke |
capacity |
Authorised Signatory |
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sign here |
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date |
9-Mar-2020 |
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Prescribed information Schedule Type of agreement Overseas Securities Lending Agreement Parties to agreement Credit Suisse Securities (Europe) Limited and Chase Manhattan Bank, London Transfer date 4-Mar-2020 Holder of voting rights Borrower Are there any restrictions on voting rights? Yes If yes, detail Voting rights to be exercised in accordance with lender's instructions provided such instructions are received 7 days prior. 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 earlier upon agreement. Will the securities be returned on settlement? Yes If yes, detail any exceptions If an event of default occurs in respect of either the lender or the borrower, the obligation of the borrower to deliver the securities to the lender will be netted off against the obligation of the lender to return securities or cash held by the lender as collateral.
Prescribed information
| Schedule |
|
| Type of agreement |
Master Prime Brokerage Securities LendingAgreement |
| Parties to agreement |
Credit Suisse Securities (Europe) Limited andL1 Capital LS (Master) Fund |
| Transfer date |
4-Mar-2020 |
| Holder of voting rights |
Borrower |
| Are there any restrictions on voting rights? |
Yes |
| If yes, detail |
Voting rights to be exercised in accordancewith lender's instructions provided suchinstructions are received 5 days prior. |
| 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 days prior written notice or earlier uponagreement. |
| 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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