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WHITEHAVEN COAL LIMITED — Major Shareholding Notification 2016
Dec 18, 2016
66059_rns_2016-12-18_4d4870c3-0884-47f9-8713-be91904bcc5b.pdf
Major Shareholding Notification
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Form 604
Corporations Law Section 671B
Notice of change of interests of substantial holder
To Company Name/Scheme Whitehaven Coal Limited
ACN/ARSN
1. Details of substantial holder (1)
Name Prudential Plc Prudential Assurance Company Limited Prudential Pensions Limited M&G Group Limited M&G Limited Eastspring Investments (Singapore) Limited ACN/ARSN (if applicable) There was a change in the 15 December 2016 interests of the substantial holder on The previous notice was given 13 October 2016 to the company on The previous notice was dated 13 October 2016
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 Security (4) | Previous Notice | Previous Notice | Present Notice | Present Notice |
|---|---|---|---|---|
| Person’s votes | Voting Power (5) | Person’s votes | Voting Power (5) | |
| NPV Shares | 81,345,233 | 7.92% | 70,478,473 | 6.86% |
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 |
|---|---|---|---|---|---|
| Prudential Plc Prudential Assurance Company Limited Prudential Pensions Limited M&G Group Limited M&G Limited Eastspring Investments (Singapore) Limited |
|||||
| PLEASE SEE ANNEX 1 (Below) | |||||
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4. Present relevant interests
Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows:
| Registered holder of securities | Person entitled to be registered as holder (8) | Class and number of securities |
|---|---|---|
| PRUCLT HSBC GIS NOM(UK) PAC AC | Prudential Assurance Company Limited | 35,577,826 |
| EASTSPRING INV ASIA PACIFIC EQ | Etrin Intmnt Sinr Limitd | 9485054 |
| asspg veses (gapoe) e | ,, | |
| EASTSPRING INV ASIAN DYNAMIC | Etrin Intmnt Sinr Limitd | 2020053 |
| asspg veses (gapoe) e | ,, | |
| EASTSPRING INVESTMENTS DEVELOPED ASIA EQUITY | Etrin Intmnt Sinr Limitd | 19508461 |
| – | asspg veses (gapoe) e | ,, |
| EASTSPRING INV WORLD VALUE AP | Etrin Intmnt Sinr Limitd | 87369 |
| asspg veses (gapoe) e | , | |
| PMAN APJ DYNAMIC EQUITY SUB-FUND | Etrin Intmnt Sinr Limitd | 756596 |
| x | asspg veses (gapoe) e | , |
| EASTSPRING INV ASIAPAC EQ MY | Etrin Intmnt Sinr Limitd | 115613 |
| asspg veses (gapoe) e | , | |
| State Street Noms Ltd A/C GMIW PRU PACIFIC MARKETS TRUST |
Eastspring Investments (Singapore) Limited | 2,348,862 |
| PRUCLT HSBC GIS NOM (UK) PPL AC | Prudential Pensions Limited | 22,710 |
| PRUCLT HSBC GIS NOM (UK) PPL PM | Prudential Pensions Limited | 555,929 |
5. Changes in association The persons who have been 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 CAN/ARSN (if applicable) Nature of association
6. Addresses
The addresses of persons named in this form are as follows:
| Name | Address |
|---|---|
| Prudential PLC | LaurencePountneyHill,London EC4R0HH,England |
| Prudential Assurance CompanyLimited | LaurencePountneyHill,London EC4R0HH,England |
| Prudential Pensions Limited | Laurence PountneyHill, London EC4R 0HH, England |
| M&G Group Limited | Laurence Pountney Hill, London EC4R 0HH, England |
| M&G Limited | Laurence Pountney Hill, London EC4R 0HH, England |
| Eastspring Investments (Singapore) Limited |
10 Marina Boulevard #32-01, Marina Bay Financial Centre Tower 2, Singapore 018983 |
| State Street Nominees Ltd | 20 Churchill Place, Canary Wharf, London E14 5HJ, England |
| Signature | ||
|---|---|---|
| John Baker | Date:16 December 2016 | |
| sign here | ||
| print name | John Baker | capacityShareholder Disclosures Analyst |
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DIRECTIONS
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(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 7 of the form.
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(2) See the definition of “associate” in section 9 of the Corporations Law.
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(3) See the definition of “relevant interest” in sections 608 and 671B(7) of the Corporations Law.
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(4) The voting shares of a company constitute one class unless divided into separate classes.
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(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.
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(6) The person’s votes divided by the total votes in the body corporate or scheme multiplied by 100.
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(7) Include details of: (a) any relevant agreement or other circumstances by which the relevant interest was acquired. If subsection 671B(4) applies, a copy of any document 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
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(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.
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(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”.
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(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.
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Annex 1: Transactions – 13 October 2016 – 15 December 2016
| Holder of relevant interest | Date of Acquisition | Transactio n Type |
Class and number of securities |
Price |
|---|---|---|---|---|
| CF PRUDENTIAL PACIFIC MKTS TST | 14/12/2016 | Sale | 179,667 | 2.8413 |
| CF PRUDENTIAL PACIFIC MKTS TST | 15/12/2016 | Sale | 109,816 | 2.7736 |
| EASTSPRING INV ASIA PACIFIC EQ | 12/12/2016 | Purchase | 1,627,396 | 3.02564312 |
| EASTSPRING INV ASIA PACIFIC EQ | 14/11/2016 | Sale | 442,655 | 3.12360023 |
| EASTSPRING INV ASIA PACIFIC EQ | 14/12/2016 | Sale | 867,874 | 2.84126751 |
| EASTSPRING INV ASIA PACIFIC EQ | 15/11/2016 | Sale | 163,777 | 2.85528963 |
| EASTSPRING INV ASIA PACIFIC EQ | 15/12/2016 | Sale | 530,461 | 2.77363205 |
| EASTSPRING INV ASIAN DYNAMIC | 14/11/2016 | Sale | 147,981 | 3.1034275 |
| EASTSPRING INV ASIAN DYNAMIC | 14/12/2016 | Sale | 323,307 | 2.84126751 |
| EASTSPRING INV ASIAN DYNAMIC | 15/12/2016 | Sale | 197,611 | 2.77363205 |
| EASTSPRING INV ASIAPAC EQ MY | 03/11/2016 | Sale | 1,118 | 3.045 |
| EASTSPRING INV ASIAPAC EQ MY | 14/12/2016 | Sale | 11,952 | 2.84126751 |
| EASTSPRING INV ASIAPAC EQ MY | 15/12/2016 | Sale | 7,305 | 2.77363205 |
| EASTSPRING INV WORLD VALUE AP | 14/12/2016 | Sale | 7,256 | 2.84126751 |
| EASTSPRING INV WORLD VALUE AP | 15/12/2016 | Sale | 4,435 | 2.77363205 |
| ESIN-DEVELOPED AND EMERGING AS |
13/10/2016 | Sale | 430,112 | 2.80329916 |
| ESIN-DEVELOPED AND EMERGING AS |
21/10/2016 | Sale | 148,805 | 3.05471746 |
| ESIN-DEVELOPED AND EMERGING AS |
24/10/2016 | Sale | 9,562 | 3.00085978 |
| ESIN-DEVELOPED AND EMERGING AS |
24/10/2016 | Sale | 8,466 | 3.00124514 |
| ESIN-DEVELOPED AND EMERGING AS |
24/10/2016 | Sale | 521,368 | 2.99314359 |
| ESIN-DEVELOPED AND EMERGING AS |
24/10/2016 | Sale | 40,996 | 3.00219986 |
| ESIN-DEVELOPED AND EMERGING AS |
24/10/2016 | Sale | 22,829 | 3.00013542 |
| ESIN-DEVELOPED AND EMERGING AS |
24/10/2016 | Sale | 878 | 3.035 |
| ESIN-DEVELOPED AND EMERGING AS |
24/10/2016 | Sale | 4,173 | 3 |
| ESIN-DEVELOPED AND EMERGING AS |
24/10/2016 | Sale | 5,350 | 3.00054413 |
| ESIN-DEVELOPED AND EMERGING AS |
24/10/2016 | Sale | 390 | 3.01773792 |
| ESIN-DEVELOPED AND EMERGING AS |
24/10/2016 | Sale | 30,194 | 3.00071347 |
| ESIN-DEVELOPED AND EMERGING AS |
25/10/2016 | Sale | 304 | 3.005 |
| ESIN-DEVELOPED AND EMERGING AS |
25/10/2016 | Sale | 6,437 | 3.00490319 |
| ESIN-DEVELOPED AND EMERGING AS |
25/10/2016 | Sale | 405 | 3 |
| ESIN-DEVELOPED AND EMERGING AS |
25/10/2016 | Sale | 9,296 | 3.0016792 |
| ESIN-DEVELOPED AND EMERGING AS |
25/10/2016 | Sale | 244,968 | 3.00427091 |
| ESIN-DEVELOPED AND EMERGING AS |
25/10/2016 | Sale | 12,900 | 3.00499345 |
| ESIN-DEVELOPED AND EMERGING AS |
25/10/2016 | Sale | 1,190 | 3.005 |
| M&G PACIFIC BASIN PASS PF | 25/10/2016 | Sale | 10,824 | 3.01 |
| PAC (EX SAL ANNUITY FUND) | 13/10/2016 | Sale | 48,666 | 2.8033 |
| PAC (EX SAL ANNUITY FUND) | 21/10/2016 | Sale | 16,339 | 3.0547 |
| PAC (EX SAL ANNUITY FUND) | 24/10/2016 | Sale | 57,246 | 2.9931 |
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| PAC (EX SAL ANNUITY FUND) | 24/10/2016 | Sale | 96 | 3.035 |
|---|---|---|---|---|
| PAC (EX SAL ANNUITY FUND) | 24/10/2016 | Sale | 1,050 | 3.0009 |
| PAC (EX SAL ANNUITY FUND) | 24/10/2016 | Sale | 3,315 | 3.0007 |
| PAC (EX SAL ANNUITY FUND) | 24/10/2016 | Sale | 4,501 | 3.0022 |
| PAC (EX SAL ANNUITY FUND) | 24/10/2016 | Sale | 43 | 3.0177 |
| PAC (EX SAL ANNUITY FUND) | 24/10/2016 | Sale | 458 | 3 |
| PAC (EX SAL ANNUITY FUND) | 24/10/2016 | Sale | 587 | 3.0005 |
| PAC (EX SAL ANNUITY FUND) | 24/10/2016 | Sale | 930 | 3.0012 |
| PAC (EX SAL ANNUITY FUND) | 24/10/2016 | Sale | 2,507 | 3.0001 |
| PAC (EX SAL ANNUITY FUND) | 25/10/2016 | Sale | 707 | 3.0049 |
| PAC (EX SAL ANNUITY FUND) | 25/10/2016 | Sale | 45 | 3 |
| PAC (EX SAL ANNUITY FUND) | 25/10/2016 | Sale | 131 | 3.005 |
| PAC (EX SAL ANNUITY FUND) | 25/10/2016 | Sale | 1,417 | 3.005 |
| PAC (EX SAL ANNUITY FUND) | 25/10/2016 | Sale | 26,898 | 3.0043 |
| PAC (EX SAL ANNUITY FUND) | 25/10/2016 | Sale | 1,021 | 3.0017 |
| PAC (EX SAL ANNUITY FUND) | 25/10/2016 | Sale | 31 | 3.005 |
| PAC (EX SAL ANNUITY FUND) | 27/10/2016 | Sale | 179,886 | 3.0741 |
| PMAN APXJ DYNAMIC EQ SUB FUND | 03/11/2016 | Sale | 451,481 | 2.98659469 |
| PMAN APXJ DYNAMIC EQ SUB FUND | 04/11/2016 | Sale | 531,040 | 2.98569784 |
| PMAN APXJ DYNAMIC EQ SUB FUND | 07/11/2016 | Sale | 583,288 | 3.06226838 |
| PMAN APXJ DYNAMIC EQ SUB FUND | 08/11/2016 | Sale | 1,326,569 | 3.16868069 |
| PMAN APXJ DYNAMIC EQ SUB FUND | 14/12/2016 | Sale | 49,149 | 2.84126751 |
| PMAN APXJ DYNAMIC EQ SUB FUND | 14/12/2016 | Sale | 110,745 | 2.92169317 |
| PMAN APXJ DYNAMIC EQ SUB FUND | 15/12/2016 | Sale | 30,041 | 2.77363205 |
| PMAN APXJ DYNAMIC EQ SUB FUND | 16/11/2016 | Sale | 573,713 | 2.6808 |
| PRUDENTIAL LIFE MANAGED OB | 13/10/2016 | Sale | 754,579 | 2.8033 |
| PRUDENTIAL LIFE MANAGED OB | 21/10/2016 | Sale | 3,059 | 3.17 |
| PRUDENTIAL LIFE MANAGED OB | 21/10/2016 | Sale | 946,464 | 3.1233 |
| PRUDENTIAL LIFE MANAGED OB | 21/10/2016 | Sale | 209 | 3.17 |
| PRUDENTIAL LIFE MANAGED OB | 24/10/2016 | Sale | 2,066 | 3.035 |
| PRUDENTIAL LIFE MANAGED OB | 24/10/2016 | Sale | 22,496 | 3.0009 |
| PRUDENTIAL LIFE MANAGED OB | 24/10/2016 | Sale | 96,446 | 3.0022 |
| PRUDENTIAL LIFE MANAGED OB | 24/10/2016 | Sale | 71,034 | 3.0007 |
| PRUDENTIAL LIFE MANAGED OB | 24/10/2016 | Sale | 1,226,575 | 2.9931 |
| PRUDENTIAL LIFE MANAGED OB | 24/10/2016 | Sale | 9,817 | 3 |
| PRUDENTIAL LIFE MANAGED OB | 24/10/2016 | Sale | 12,585 | 3.0005 |
| PRUDENTIAL LIFE MANAGED OB | 24/10/2016 | Sale | 19,918 | 3.0012 |
| PRUDENTIAL LIFE MANAGED OB | 24/10/2016 | Sale | 53,707 | 3.0001 |
| PRUDENTIAL LIFE MANAGED OB | 24/10/2016 | Sale | 922 | 3.0177 |
| PRUDENTIAL LIFE MANAGED OB | 25/10/2016 | Sale | 30,350 | 3.005 |
| PRUDENTIAL LIFE MANAGED OB | 25/10/2016 | Sale | 2,799 | 3.005 |
| PRUDENTIAL LIFE MANAGED OB | 25/10/2016 | Sale | 576,316 | 3.0043 |
| PRUDENTIAL LIFE MANAGED OB | 25/10/2016 | Sale | 714 | 3.005 |
| PRUDENTIAL LIFE MANAGED OB | 25/10/2016 | Sale | 21,870 | 3.0017 |
| PRUDENTIAL LIFE MANAGED OB | 25/10/2016 | Sale | 15,143 | 3.0049 |
| PRUDENTIAL LIFE MANAGED OB | 25/10/2016 | Sale | 954 | 3 |
| SCOT AM LIFE NO1 FUND | 14/12/2016 | Sale | 48,010 | 2.8413 |
| SCOT AM LIFE NO1 FUND | 15/12/2016 | Sale | 29,345 | 2.7736 |
| SCOTTISH AMICABLE CAPITAL FUND | 13/10/2016 | Sale | 12,340 | 2.8033 |
| SCOTTISH AMICABLE CAPITAL FUND | 21/10/2016 | Sale | 4,161 | 3.0547 |
| SCOTTISH AMICABLE CAPITAL FUND | 24/10/2016 | Sale | 14,577 | 2.9931 |
| SCOTTISH AMICABLE CAPITAL FUND | 24/10/2016 | Sale | 638 | 3.0001 |
| SCOTTISH AMICABLE CAPITAL FUND | 24/10/2016 | Sale | 237 | 3.0012 |
| SCOTTISH AMICABLE CAPITAL FUND | 24/10/2016 | Sale | 150 | 3.0005 |
| SCOTTISH AMICABLE CAPITAL FUND | 24/10/2016 | Sale | 117 | 3 |
| SCOTTISH AMICABLE CAPITAL FUND | 24/10/2016 | Sale | 11 | 3.0177 |
| SCOTTISH AMICABLE CAPITAL FUND | 24/10/2016 | Sale | 1,146 | 3.0022 |
| SCOTTISH AMICABLE CAPITAL FUND | 24/10/2016 | Sale | 25 | 3.035 |
| SCOTTISH AMICABLE CAPITAL FUND | 24/10/2016 | Sale | 844 | 3.0007 |
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| SCOTTISH AMICABLE CAPITAL FUND | 24/10/2016 | Sale | 267 | 3.0009 |
|---|---|---|---|---|
| SCOTTISH AMICABLE CAPITAL FUND | 25/10/2016 | Sale | 6,849 | 3.0043 |
| SCOTTISH AMICABLE CAPITAL FUND | 25/10/2016 | Sale | 180 | 3.0049 |
| SCOTTISH AMICABLE CAPITAL FUND | 25/10/2016 | Sale | 11 | 3 |
| SCOTTISH AMICABLE CAPITAL FUND | 25/10/2016 | Sale | 260 | 3.0017 |
| SCOTTISH AMICABLE CAPITAL FUND | 25/10/2016 | Sale | 9 | 3.005 |
| SCOTTISH AMICABLE CAPITAL FUND | 25/10/2016 | Sale | 361 | 3.005 |
| SCOTTISH AMICABLE CAPITAL FUND | 25/10/2016 | Sale | 33 | 3.005 |
Freehills Melbourne ASIC00603\003811236