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WORLEY LIMITED Major Shareholding Notification 2015
66073_rns_2015-04-15_5352bb6a-dab7-4f9b-a2a0-4d2b7139abeb.pdf
Major Shareholding Notification
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Form 603 Corporations Act 2001
Section 671B
Notice of initial substantial holder
| To Company Name/Scheme | WORLEYPARSONS LIMITED | |||
|---|---|---|---|---|
| ACN/ARSN | 096 090 158 | |||
| 1. Details of substantial holder (1) Name |
Morgan Stanley and its subsidiaries listed in Annexure A | |||
| ACN/ARSN (if applicable) | Not Applicable | |||
| The holder became a substantial holder on | Apr 14, 2015 |
2. Details of 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 on the date the substantial holder became a substantial holder are as follows:
| Class of securities (4) | Number of securities | Person's votes (5) | Voting power (6) |
|---|---|---|---|
| Ordinary Shares | 12,391,104 | 12.391,104 | 5.07% |
| American Depositary Receipt | 10.820 | 10,820 | 0.00% |
| Based on 244 389,452 Ordinary Shares Outstanding |
3. Details of relevant interests
The nature of the relevant interest the sulbstantial holder or an associate had in the following voting securities on the date the substantial holder became a substantial holder are as follows:
| Holder of relevant interest | Nature of relevant interest (7) | Class and number of securities |
|---|---|---|
| Morgan Stanley Investment Management Inc. |
Shares held or in respect of which the holder may exercise control over disposal in the ordinary course of investment management business. |
30,197 Ordinary Shares |
| Morgan Stanley Investment Management Limited |
Shares held or in respect of which the holder may exercise control over disposal in the ordinary course of investment management business. |
10,304,049 Ordinary Shares |
| Morgan Stanley & Co. International pic |
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 |
743,454 Ordinary Shares |
| Morgan Stanley & Co. International plc |
Holder of securities subject to an obligation to return under a securities lending agreement. | 190,855 Ordinary Shares |
| Morgan Stanley & Co. LLC | 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 |
408,600 Ordinary Shares |
| Morgan Stanley Australia Securities Limited |
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 arrangement. |
16,099 Ordinary Shares |
| Morgan Stanley Australia [Securities Limited |
Holder of securities subject to an obligation to return under a securities lending agreement through an associate. |
684,450 Ordinary Shares |
| Morgan Stanley Wealth Management Australia Pty Ltd |
Shares held or in respect of which the holder may exercise control over disposal in the ordinary course of sales and trading businesses. |
13,400 Ordinary Shares |
| Morgan Stanley Smith Barney LLC Shares held or in respect of which the holder may exercise control over disposal in the ordinary course of sales and trading businesses. |
10,820 American Depositary Receipt |
|
|---|---|---|
| Each of the entities (as listed 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 above entities collectively have. |
12,391,104 Ordinary Shares 10,820 American Depositary Receipt (N.B.: Total of the above direct interest) |
4. Details of present registered holders
The persons registered as holders of the securities referred to in paragraph 3 above are as follows:
| Holder of relevant interest | Registered holder of securities | Person entitled to be registered as holder (8) |
Class and number of securities |
|---|---|---|---|
| Morgan Stanley Investment Management Inc. | HSBC Bank Australia Limited | Not Applicable | 176 Ordinary Shares |
| Morgan Stanley Investment Management Inc. | HSBC Custody Nominees (Australia) Limited | Not Applicable | 2,015 Ordinary Shares |
| Morgan Stanley Investment Management Inc. | JPMorgan Chase Bank, N.A., Sydney | Not Applicable | 22,390 Ordinary Shares |
| Morgan Stanley Investment Management Inc. | National Australia Bank Limited | Not Applicable | 5,131 Ordinary Shares |
| Morgan Stanley Investment Management Inc. | National Nominees Limited | Not Applicable | 485 Ordinary Shares |
| Morgan Stanley Investment Management Limited | HSBC Bank Australia Limited | Not Applicable | 451,528 Ordinary Shares |
| Morgan Stanley Investment Management Limited | HSBC Custody Nominees (Australia) Limited | Not Applicable | 3,092.464 Ordinary Shares |
| Morgan Stanley Investment Management Limited | JP Morgan Chase Bank, Sydney | Not Applicable | 3,399,649 Ordinary Shares |
| Morgan Stanley Investment Management Limited | Mellon Bank, N.A | Not Applicable | 162,766 Ordinary Shares |
| Morgan Stanley Investment Management Limited | Mellon Trust | Not Applicable | 1,183,323 Ordinary Shares |
| Morgan Stanley Investment Management Limited | Morgan Stanley Investment Management Limited | Not Applicable | 242,933 Ordinary Shares |
| Morgan Stanley Investment Management Limited | National Australia Bank Limited | Not Applicable | 1,172,842 Ordinary lShares |
| Morgan Stanley Investment Management Limited | Northern Bank & Trust Co. | Not Applicable | 434,237 Ordinary Shares |
| Morgan Stanley Investment Management Limited | State Street Boston | Not Applicable | 143,512 Ordinary Shares |
| Morgan Stanley Investment Management Limited | Australia and New Zealand Banking Group | Not Applicable | 20,795 Ordinary Shares |
| Morgan Stanley & Co. International plc | Unknown | Not Applicable | 743,454 Ordinary Shares |
| Morgan Stanley & Co. International plc | HSBC Custody Nominees (Australia) Limited | Not Applicable | 190,855 Ordinary Shares |
| Morgan Stanley & Co. LLC | Unknown | Not Applicable | 408,600 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | Unknown | Not Applicable | 16,099 Ordinary Shares 的 |
| Morgan Stanley Australia Securities Limited | Morgan Stanley Australia Securities (Nominee) Pty Limited |
Not Applicable | 684,450 Ordinary Shares |
|---|---|---|---|
| Morgan Stanley Wealth Management Australia Pty lLtd |
Morgan Stanley Wealth Management Australia Pty discretionary client account |
Not Applicable | 113,400 Ordinary Shares |
| Morgan Stanley Smith Barney LLC | DTC through Morgan Stanley | Not Applicable | 10,820 American Depositary Receipt |
5. Consideration
The consideration paid for each relevant interest referred to in paragraph 3 above, and acquired in the four months prior to the day that the substantial holder became a substantial holder is as follows:
| Holder of relevant interest | Date of | Consideration (9) | Class and number interest of | ||
|---|---|---|---|---|---|
| acquisition | Cash | Non-Cash | securities | ||
| Morgan Stanley Australia Securities Limited | 12/15/2014 | 9.1384 | Buy | 226,568 Ordinary Shares | |
| Morgan Stanley Smith Barney LLC | 12/15/2014 | 7.4760 (ADR - in USD) | Buy | 65 American Depository Receipts | |
| Morgan Stanley Australia Securities Limited | 12/16/2014 | 8.8364 | Buy | 202,375 Ordinary Shares | |
| Morgan Stanley Smith Barney LLC | 12/16/2014 | 7.3077 (ADR - in USD) | Buy | 90 American Depository Receipts | |
| Morgan Stanley Australia Securities Limited | 12/17/2014 | 8.9882 | Buy | 153,534 Ordinary Shares | |
| Morgan Stanley Investment Management Limited | 12/17/2014 | 8.9621 | Buy | 26,285 Ordinary Shares | |
| Morgan Stanley Australia Securities Limited | 12/18/2014 | 9.5802 | Buy | 99,927 Ordinary Shares | |
| Morgan Stanley Australia Securities Limited | 12/19/2014 | 9.6363 | Buy | 330,758 Ordinary Shares | |
| Morgan Stanley & Co. International plc | 12/19/2014 | 9.6100 | Buy | 9,758 Ordinary Shares | |
| Morgan Stanley Investment Management Limited | 12/19/2014 | 9.7213 | Buv | 3,912 Ordinary Shares | |
| Morgan Stanley Australia Securities Limited | 12/22/2014 | 10.3016 | Buy | 102,636 Ordinary Shares | |
| Morgan Stanley Australia Securities Limited | 12/23/2014 | 10.0242 | Buy | 208,490 Ordinary Shares | |
| Morgan Stanley Smith Barney LLC | 12/23/2014 | 8.0823 (ADR - in USD) | Buy | 510 American Depository Receipts | |
| Morgan Stanley Australia Securities Limited | 12/24/2014 | 10.0553 | Buy | 32,224 Ordinary Shares | |
| Morgan Stanley Australia Securities Limited | 12/29/2014 | 10.2301 | Buy | 28,188 Ordinary Shares | |
| Morgan Stanley Investment Management Limited | 12/29/2014 | 10.2412 | Buy | 5,831 Ordinary Shares | |
| Morgan Stanley Australia Securities Limited | 12/30/2014 | 10,0058 | Buy | 120,744 Ordinary Shares | |
| Morgan Stanley Smith Barney LLC | 12/30/2014 | 8.0750 (ADR - in USD) | Buy | 50 American Depository Receipts | |
| Morgan Stanley Australia Securities Limited | 12/31/2014 | 10.0796 | Buy | 15,023 Ordinary Shares | |
| Morgan Stanley & Co. International plc | 12/31/2014 | 10.0800 | Buy | 153 Ordinary Shares | |
| Morgan Stanley & Co. LLC | 12/31/2014 | N/A | Borrow | 998 Ordinary Shares | |
| Morgan Stanley Smith Barney LLC | 12/31/2014 | 8.2250 (ADR - in USD) | Buy | 100 American Depository Receipts | |
| Morgan Stanley Australia Securities Limited | 1/2/2015 | 10.0448 | Buy | 57,312 Ordinary Shares | |
| Morgan Stanley Australia Securities Limited | 1/5/2015 | 10.2063 | Buy | 48,756 Ordinary Shares | |
| Morgan Stanley Investment Management Limited | 1/5/2015 | 10.2168 | Buy | 8,255 Ordinary Shares | |
| Morgan Stanley Smith Barney LLC | 1/5/2015 | 8.1116 (ADR - in USD) | Buy | 265 American Depository Receipts | |
| Morgan Stanley Australia Securities Limited | 1/6/2015 | 9.6820 | Buy | 56,644 Ordinary Shares | |
| Morgan Stanley & Co. International plc | 1/6/2015 | 9.6828 | Buy | 4,080 Ordinary Shares | |
| Morgan Stanley Investment Management Limited | 1/6/2015 | 9.6859 | Buy. | 48,495 Ordinary Shares | |
| Morgan Stanley Smith Barney LLC | 1/6/2015 | 7.9640 (ADR - in USD) | Buy | 15 American Depository Receipts | |
| Morgan Stanley Australia Securities Limited | 1/7/2015 | 9.2381 | Buy | 164,738 Ordinary Shares | |
| Morgan Stanley Australia Securities Limited | 1/8/2015 | 9.0705 | Buy. | 53,489 Ordinary Shares | |
| Morgan Stanley & Co. International plc | 1/8/2015 | 9.0903 | Buy | 14,330 Ordinary Shares | |
| Morgan Stanley Smith Barney LLC | 1/8/2015 | 7.3826 (ADR - in USD) | Buy | 50 American Depository Receipts | |
| Morgan Stanley Australia Securities Limited | 1/9/2015 | 9.2441 | Buy | 63.154 Ordinary Shares | |
| Morgan Stanley Australia Securities Limited | 1/12/2015 | 9.0835 | Buy | 104,741 Ordinary Shares |
| Morgan Stanley Smith Barney LLC | 1/12/2015 | 7.3059 (ADR - in USD) | Buy | 390 American Depository Receipts |
|---|---|---|---|---|
| Morgan Stanley Australia Securities Limited | 1/13/2015 | 9.0810 | Buy | 119,602 Ordinary Shares |
| Morgan Stanley Investment Management Limited | 1/13/2015 | 8.9396 | Buy | 14,351 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 1/14/2015 | 8.8593 | Buy | 56,035 Ordinary Shares |
| Morgan Stanley Smith Barney LLC | 1/14/2015 | 7.1545 (ADR - in USD) | Buy | 450 American Depository Receipts |
| Morgan Stanley Australia Securities Limited | 1/15/2015 | 8.8960 | Buy | 84,732 Ordinary Shares |
| Morgan Stanley & Co. International plc | 1/15/2015 | 8.9100 | Buy | 8,196 Ordinary Shares |
| Morgan Stanley Investment Management Limited | 1/15/2015 | 8.8988 | Buy | 23,351 Ordinary Shares |
| Morgan Stanley Wealth Management Australia Pty Ltd | 1/15/2015 | 8.8700 | Buy | 200 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 1/16/2015 | 8.7186 | Buy | 49,549 Ordinary Shares |
| Morgan Stanley & Co. International plc | 1/16/2015 | 8.8400 | Buy | 1,434 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 1/19/2015 | 9.1674 | Buy | 22,032 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 1/20/2015 | 8.8956 | Buy | 64,386 Ordinary Shares |
| Morgan Stanley & Co. International plc | 1/20/2015 | N/A | Borrow | 81,715 Ordinary Shares |
| Morgan Stanley Smith Barney LLC | 1/20/2015 | 7.1931 (ADR - in USD) | Buy | 340 American Depository Receipts |
| Morgan Stanley Australia Securities Limited | 1/21/2015 | 8.8260 | Buy | 61,371 Ordinary Shares |
| Morgan Stanley & Co. International plc | 1/21/2015 | N'A | Borrow | 53,631 Ordinary Shares |
| Morgan Stanley Investment Management Limited | 1/21/2015 | 8.8500 | Transfer In | 49,844 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 1/22/2015 | 9.0646 | Buy | 96,640 Ordinary Shares |
| Morgan Stanley & Co. International plc | 1/22/2015 | N/A | Borrow | 284,914 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 1/23/2015 | 9.5557 | Buy | 27,353 Ordinary Shares |
| Morgan Stanley & Co. International plc | 1/23/2015 | N/A | Borrow | 151,557 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 1/27/2015 | 9.7053 | Buy | 95,753 Ordinary Shares |
| Morgan Stanley & Co. International plc | 1/27/2015 | N/A | Borrow | 132,279 Ordinary Shares |
| Morgan Stanley Smith Barney LLC | 1/27/2015 | 7.5850 (ADR - in USD) | Buy | 100 American Depository Receipts |
| Morgan Stanley Australia Securities Limited | 1/28/2015 | 9.6629 | Buy | 199,025 Ordinary Shares |
| Morgan Stanley & Co. International plc | 1/28/2015 | N'A | Borrow | 35,599 Ordinary Shares |
| Morgan Stanley Investment Management Limited | 1/28/2015 | 9.6499 | Buy | 11,208 Ordinary Shares |
| Morgan Stanley Smith Barney LLC | 1/28/2015 | 7.4951 (ADR - in USD) | Buy | 35 American Depository Receipts |
| Morgan Stanley Australia Securities Limited | 1/29/2015 | 9.4820 | Buy | 94,328 Ordinary Shares |
| Morgan Stanley & Co. International plc | 1/29/2015 | N'A | Borrow | 279,992 Ordinary Shares |
| Morgan Stanley Investment Management Limited | 1/29/2015 | 9.3700 | Buy | 619 Ordinary Shares |
| Morgan Stanley Smith Barney LLC | 1/29/2015 | 7.4660 (ADR - in USD) | Buy | 215 American Depository Receipts |
| Morgan Stanley Australia Securities Limited | 1/30/2015 | 9.6531 | Buy | 190,205 Ordinary Shares |
| Morgan Stanley & Co. International plc. | 1/30/2015 | N/A | Borrow | 346,624 Ordinary Shares |
| Morgan Stanley Investment Management Limited | 1/30/2015 | 9.6500 | Buy | 416 Ordinary Shares |
| Morgan Stanley Smith Barney LLC | 1/30/2015 | 7.4580 (ADR - in USD) | Buy | 50 American Depository Receipts |
| Morgan Stanley Australia Securities Limited | 2/2/2015 | 9.6657 | Buy | 163,075 Ordinary Shares |
| Morgan Stanley & Co. International plc | 2/2/2015 | 9.5800 | Buy | 1,667 Ordinary Shares |
| Morgan Stanley Investment Management Limited | 2/2/2015 | 9.7800 | Buy | 201 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 2/3/2015 | 10.0965 | Buy | 159,141 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 2/4/2015 | 10.4877 | Buy | 140,468 Ordinary Shares |
| Morgan Stanley Investment Management Limited | 2/4/2015 | 10.5500 | Buy | 1,724 Ordinary Shares |
| Morgan Stanley Smith Barney LLC | 2/4/2015 | 7.9473 (ADR - in USD) | Buy. | 110 American Depository Receipts |
| Morgan Stanley Australia Securities Limited | 2/5/2015 | 10.0906 | Buy | 143,143 Ordinary Shares |
| Morgan Stanley & Co. International plc | 2/5/2015 | 10.1000 | Buy | 299 Ordinary Shares |
| Morgan Stanley & Co. LLC | 2/5/2015 | N/A | Borrow | 6,365 Ordinary Shares |
| Morgan Stanley Investment Management Limited | 2/5/2015 | 10.0915 | Buy | 18,954 Ordinary Shares |
| Morgan Stanley Smith Barney LLC | 2/5/2015 | 7.9531 (ADR - in USD) | Buy | 45 American Depository Receipts |
| Morgan Stanley Australia Securities Limited | 2/6/2015 | 10.2197 | Buy | 137,634 Ordinary Shares |
| Morgan Stanley & Co. International plc | 2/6/2015 | 10.1975 | Buy | 1,532 Ordinary Shares |
|---|---|---|---|---|
| Morgan Stanley Australia Securities Limited | 2/9/2015 | 10.3879 | Buy | 36,939 Ordinary Shares |
| Morgan Stanley & Co. International plc | 2/9/2015 | 10.4303 | Buy | 3,303 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 2/9/2015 | N/A | Borrow | 20,000 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 2/10/2015 | 10.6196 | Buy | 198,965 Ordinary Shares |
| Morgan Stanley & Co. International pic | 2/10/2015 | 10.5520 | Buy | 3,890 Ordinary Shares |
| Morgan Stanley & Co. LLC | 2/10/2015 | N/A | Borrow | 49,328 Ordinary Shares |
| Morgan Stanley & Co. International plc | 2/10/2015 | N/A | Borrow | 268,747 Ordinary Shares |
| Morgan Stanley Smith Barney LLC | 2/10/2015 | 8.1080 (ADR - in USD) | Buy | 220 American Depository Receipts |
| Morgan Stanley Australia Securities Limited | 2/11/2015 | 10.2415 | Buy | 155,369 Ordinary Shares |
| Morgan Stanley & Co. International plc | 2/11/2015 | 10.2178 | Buy | 1,055 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 2/12/2015 | 10.1242 | Buy | 84,041 Ordinary Shares |
| Morgan Stanley & Co. International plc | 2/12/2015 | 10.1245 | Buy | 1,424 Ordinary Shares |
| Morgan Stanley & Co. International plc | 2/12/2015 | N/A | Borrow | 16,743 Ordinary Shares |
| Morgan Stanley Investment Management Limited | 2/12/2015 | 10.2396 | Buy | 15,910 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 2/13/2015 | 10.3922 | Buy | 227,393 Ordinary Shares |
| Morgan Stanley & Co. International plc | 2/13/2015 | 10.4092 | Buy | 2,825 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 2/16/2015 | 11.1832 | Buy | 137,452 Ordinary Shares |
| Morgan Stanley & Co. International plc | 2/16/2015 | 11.5300 | Buy | 750 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 2/17/2015 | 11.3263 | Buy | 109,355 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 2/18/2015 | 11.4651 | Buy | 89,153 Ordinary Shares |
| Morgan Stanley Investment Management Limited | 2/18/2015 | 11.4151 | Buy | 6,454 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 2/19/2015 | 11.4542 | Buy | 187,034 Ordinary Shares |
| Morgan Stanley & Co. International plc | 2/19/2015 | 11.5000 | Buy | 664 Ordinary Shares |
| Morgan Stanley Smith Barney LLC | 2/19/2015 | 8.8783 (ADR - in USD) | Buy | 75 American Depository Receipts |
| Morgan Stanley Australia Securities Limited | 2/20/2015 | 11.3045 | Buy | 42,585 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 2/23/2015 | 11.3981 | Buy | 78,859 Ordinary Shares |
| Morgan Stanley & Co. International plc | 2/23/2015 | 11.4724 | Buy | 6,944 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 2/24/2015 | 11.2815 | Buy | 138,148 Ordinary Shares |
| Morgan Stanley & Co. International plc | 2/24/2015 | 11.2888 | Buy | 1,312 Ordinary Shares |
| Morgan Stanley Smith Barney LLC | 2/24/2015 | 8.7890 (ADR - in USD) | Buy | 20 American Depository Receipts |
| Morgan Stanley Australia Securities Limited | 2/25/2015 | 10.0439 | Buy | 592,073 Ordinary Shares |
| Morgan Stanley & Co. International pic | 2/25/2015 | 11.0000 | Buy | 6,099 Ordinary Shares |
| Morgan Stanley & Co. International plc | 2/25/2015 | N/A | Borrow | 132,969 Ordinary Shares |
| Morgan Stanley Smith Barney LLC | 2/25/2015 | 7.8117 (ADR - in USD) | Buy | 120 American Depository Receipts |
| Morgan Stanley Australia Securities Limited | 2/26/2015 | 10.0123 | Buy | 329,893 Ordinary Shares |
| Morgan Stanley & Co. International plc | 2/26/2015 | N/A | Borrow | 46,606 Ordinary Shares |
| Morgan Stanley Investment Management Limited | 2/26/2015 | 9.9500 | Buy | 1,344 Ordinary Shares |
| Morgan Stanley Smith Barney LLC | 2/26/2015 | 7.7044 (ADR - in USD) | Buy | 135 American Depository Receipts |
| Morgan Stanley Australia Securities Limited | 2/27/2015 | 9.9437 | Buy. | 95,178 Ordinary Shares |
| Morgan Stanley & Co. International plc | 2/27/2015 | 9.9955 | Buy | 26,593 Ordinary Shares |
| Morgan Stanley Investment Management Limited | 2/27/2015 | 9.8759 | Buy | 11,504 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 3/2/2015 | 9.8231 | Buy. | 84,112 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 3/3/2015 | 10.0295 | Buy | 50,378 Ordinary Shares |
| Morgan Stanley & Co. LLC | 3/3/2015 | N/A | Borrow | 20,000 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 3/4/2015 | 9.9824 | Buy | 45, 198 Ordinary Shares |
| Morgan Stanley & Co. International plc | 3/4/2015 | 9.9600 | Buy | 145 Ordinary Shares |
| Morgan Stanley Investment Management Limited | 3/4/2015 | 10.2000 | Buy | 471 Ordinary Shares |
| Morgan Stanley Smith Barney LLC | 3/4/2015 | 8.0135 (ADR - in USD) | Buy | 195 American Depository Receipts |
| Morgan Stanley Australia Securities Limited | 3/5/2015 | 9.9379 | Buy | 81,551 Ordinary Shares |
$\begin{array}{c} \hline \end{array}$
| Morgan Stanley & Co. International plc. | 3/5/2015 | 9.9300 | Buy | 35,337 Ordinary Shares |
|---|---|---|---|---|
| Morgan Stanley & Co. LLC | 3/5/2015 | N/A | Borrow | 348,588 Ordinary Shares |
| Morgan Stanley Smith Barney LLC | 3/5/2015 | 7.7020 (ADR - in USD) | Buy | 15 American Depository Receipts |
| Morgan Stanley Australia Securities Limited | 3/6/2015 | 10.0626 | Buy | 54,269 Ordinary Shares |
| Morgan Stanley & Co. LLC | 3/6/2015 | N/A | Borrow | 170,100 Ordinary Shares |
| Morgan Stanley Investment Management Limited | 3/6/2015 | 9.9700 | Buy | 458 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 3/9/2015 | 9.7176 | Buy | 76,832 Ordinary Shares |
| Morgan Stanley & Co. International plc | 3/9/2015 | 9.7321 | Buy | 2,331 Ordinary Shares |
| Morgan Stanley Smith Barney LLC | 3/9/2015 | 7.4722 (ADR - in USD) | Buy | 200 American Depository Receipts |
| Morgan Stanley Australia Securities Limited | 3/10/2015 | 9.4215 | Buy | 330,042 Ordinary Shares |
| Morgan Stanley & Co. LLC | 3/10/2015 | N/A | Borrow | 34,800 Ordinary Shares |
| Morgan Stanley & Co. International plc | 3/10/2015 | N/A | Borrow | 125,050 Ordinary Shares |
| Morgan Stanley Smith Barney LLC | 3/10/2015 | 7.0672 (ADR - in USD) | Buy | 465 American Depository Receipts |
| Morgan Stanley Australia Securities Limited | 3/11/2015 | 9.2203 | Buy | 140,592 Ordinary Shares |
| Morgan Stanley & Co. International plc | 3/11/2015 | N/A | Borrow | 91,978 Ordinary Shares |
| Morgan Stanley Smith Barney LLC | 3/11/2015 | 7.0146 (ADR - in USD) | Buy | 640 American Depository Receipts |
| Morgan Stanley Australia Securities Limited | 3/12/2015 | 9.7738 | Buy | 208,897 Ordinary Shares |
| Morgan Stanley & Co. LLC | 3/12/2015 | N/A | Borrow | 142,515 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 3/13/2015 | 10.0863 | Buy | 248,255 Ordinary Shares |
| Morgan Stanley & Co. International plc. | 3/13/2015 | N/A | Borrow | 1,000,000 Ordinary Shares |
| Morgan Stanley Investment Management Limited | 3/13/2015 | 9.9572 | Buy | 1,570 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 3/16/2015 | 9.9651 | Buy | 106,891 Ordinary Shares |
| Morgan Stanley & Co. International plc. | 3/16/2015 | 9.9507 | Buy | 200,201 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 3/16/2015 | N/A | Borrow | 55,000 Ordinary Shares |
| Morgan Stanley Smith Barney LLC | 3/16/2015 | 7.5868 (ADR - in USD) | Buy | 60 American Depository Receipts |
| Morgan Stanley Australia Securities Limited | 3/17/2015 | 10.0603 | Buy | 79,393 Ordinary Shares |
| Morgan Stanley & Co. LLC | 3/17/2015 | N/A | Borrow | 114,761 Ordinary Shares |
| Morgan Stanley Investment Management Limited | 3/17/2015 | 9.9883 | Buy | 3,062 Ordinary Shares |
| Morgan Stanley Smith Barney LLC | 3/17/2015 | 7.6268 (ADR - in USD) | Buy | 250 American Depository Receipts |
| Morgan Stanley Australia Securities Limited | 3/18/2015 | 9.7570 | Buy | 181,869 Ordinary Shares |
| Morgan Stanley & Co. International plc | 3/18/2015 | 9.7648 | Buy | 57,347 Ordinary Shares |
| Morgan Stanley & Co. International plc | 3/18/2015 | N/A | Borrow | 130,224 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 3/19/2015 | 9.9804 | Buy | 121,944 Ordinary Shares |
| Morgan Stanley & Co. International plc | 3/19/2015 | 10,0019 | Buy | 48,270 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 3/20/2015 | 10.0444 | Buy | 175,538 Ordinary Shares |
| Morgan Stanley & Co. International plc | 3/20/2015 | 10.0300 | Buy | 3,077 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 3/23/2015 | 10.1291 | Buy | 141,469 Ordinary Shares |
| Morgan Stanley Investment Management Inc. | 3/23/2015 | 10.1156 | Buy | 2,555 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 3/24/2015 | 10.1768 | Buy | 171,719 Ordinary Shares |
| Morgan Stanley & Co. International plc | 3/24/2015 | 10.1793 | Buy | 51,775 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 3/25/2015 | 10.1211 | Buy | 70,257 Ordinary Shares |
| Morgan Stanley & Co. International pic | 3/25/2015 | 10.0937 | Buy | 70,861 Ordinary Shares |
| Morgan Stanley & Co. LLC | 3/25/2015 | N/A | Borrow | 96,451 Ordinary Shares |
| Morgan Stanley & Co. International plc. | 3/25/2015 | N/A | Borrow | 1,011,621 Ordinary Shares |
| Morgan Stanley Smith Barney LLC | 3/25/2015 | 7.8233 (ADR - in USD) | Buy | 150 American Depository Receipts |
| Morgan Stanley Australia Securities Limited | 3/26/2015 | 9.8609 | Buy | 333,700 Ordinary Shares |
| Morgan Stanley & Co. International plc. | 3/26/2015 | 9.9132 | Buy | 29,745 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 3/27/2015 | 98874 | Buy | 217,153 Ordinary Shares |
| Morgan Stanley & Co. International plc | 3/27/2015 | 10.0900 | Buy | 197 Ordinary Shares |
| Morgan Stanley & Co. LLC | 3/27/2015 | N/A | Borrow | 107 Ordinary Shares ف |
| Morgan Stanley & Co. International plc | 3/27/2015 | N/A | Borrow | 6,971 Ordinary Shares |
|---|---|---|---|---|
| Morgan Stanley Investment Management Limited | 3/27/2015 | 10.0095 | Buy | 63,074 Ordinary Shares |
| Morgan Stanley Smith Barney LLC | 3/27/2015 | 7.5966 (ADR - in USD) | Buy | 185 American Depository Receipts |
| Morgan Stanley Australia Securities Limited | 3/30/2015 | 9.3492 | Buy | 171,655 Ordinary Shares |
| Morgan Stanley & Co. International plc | 3/30/2015 | 9.3985 | Buy | 28,061 Ordinary Shares |
| Morgan Stanley & Co. LLC | 3/30/2015 | N/A | Borrow | 41,119 Ordinary Shares |
| Morgan Stanley & Co. International plc. | 3/30/2015 | N/A | Borrow | 29,967 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 3/31/2015 | 9.5458 | Buy | 65,760 Ordinary Shares |
| Morgan Stanley & Co. International plc | 3/31/2015 | 9,4886 | Buy | 51,823 Ordinary Shares |
| Morgan Stanley Smith Barney LLC | 3/31/2015 | 7.2196 (ADR - in USD) | Buy | 50 American Depository Receipts |
| Morgan Stanley Australia Securities Limited | 4/1/2015 | 9.3746 | Buy | 80,081 Ordinary Shares |
| Morgan Stanley & Co. International plc | 4/1/2015 | 9.4060 | Buy | 120,921 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 4/2/2015 | 9.2942 | Buy | 185,529 Ordinary Shares |
| Morgan Stanley & Co. International plc. | 4/2/2015 | 9.2782 | Buy | 65,592 Ordinary Shares |
| Morgan Stanley Smith Barney LLC | 4/2/2015 | 7.0720 (ADR - in USD) | Buy | 25 American Depository Receipts |
| Morgan Stanley Australia Securities Limited | 4/7/2015 | 9,5783 | Buy | 81,877 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 4/8/2015 | 9.8636 | Buy | 116,798 Ordinary Shares |
| Morgan Stanley & Co. International plc | 4/8/2015 | 9.9400 | Buy | 821 Ordinary Shares |
| Morgan Stanley Investment Management Limited | 4/8/2015 | 9.6500 | Buy | 162 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 4/9/2015 | 9.7402 | Buv | 76,365 Ordinary Shares |
| Morgan Stanley & Co. International plc | 4/9/2015 | 9.7629 | Buy | 9,460 Ordinary Shares |
| Morgan Stanley Investment Management Limited | 4/9/2015 | 9.7648 | Buy | 2,440 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 4/10/2015 | 9.6913 | Buy | 235,762 Ordinary Shares |
| Morgan Stanley & Co. International plc | 4/10/2015 | 9.6765 | Buy | 24,620 Ordinary Shares |
| Morgan Stanley & Co. International plc | 4/10/2015 | N/A | Borrow | 46,623 Ordinary Shares |
| Morgan Stanley Australia Securities Limited | 4/13/2015 | 9,7462 | Buy | 118,100 Ordinary Shares |
| Morgan Stanley & Co. International plc | 4/13/2015 | 9.7265 | Buy | 39,802 Ordinary Shares |
| Morgan Stanley & Co. LLC | 4/13/2015 | N/A | Borrow | 49,800 Ordinary Shares |
| Morgan Stanley & Co. International plc | 4/13/2015 | N/A | Borrow | 21,647 Ordinary Shares |
| Morgan Stanley Smith Barney LLC | 4/13/2015 | 7.3478 (ADR - in USD) | Buy | 95 American Depository Receipts |
| Morgan Stanley Australia Securities Limited | 4/14/2015 | 9.3156 | Buy | 319,367 Ordinary Shares |
| Morgan Stanley & Co. International plc | 4/14/2015 | 9.2532 | Buy | 112,133 Ordinary Shares |
| Morgan Stanley Smith Barney LLC | 4/14/2015 | 7.0854 (ADR - in USD) | Buy | 170 American Depository Receipts |
6. Associates
The reasons the persons named in paragraph 3 above are associates of the substantial holder are as follows:
| Name and ACN/ARSN (if applicable) | Nature of association |
|---|---|
| Morgan Stanley Investment Management Inc. | Its a body corporate controlled by each upstream entity as listed in Annexure A |
| Morgan Stanley Investment Management Limited | Its a body corporate controlled by each upstream entity as listed in Annexure A |
| Morgan Stanley & Co. International plc | Its a body corporate controlled by each upstream entity as listed in Annexure A |
\$.
| Morgan Stanley & Co. LLC | Its a body corporate controlled by each upstream entity as listed in Annexure A |
|---|---|
| Morgan Stanley Australia Securities Limited | Is a body corporate controlled by each upstream entity as listed in Annexure A |
| Morgan Stanley Wealth Management Australia Pty Ltd ls a body corporate controlled by each upstream entity as listed in Annexure A | |
| Morgan Stanley Smith Barney LLC | Its a body corporate controlled by each upstream entity as listed in Annexure A |
7. Addresses
The addresses of persons named in this form are as follows:
| Name | Address |
|---|---|
| Morgan Stanley | 1585 Broadway, New York 10036, USA |
| Morgan Stanley Investment Management Inc. | 522 5th Avenue 6 th Floor, New York 10036, USA |
| Morgan Stanley Investment Management Limited | 25 Cabot Square, Canary Wharf, London E14 4QA, United Kingdom |
| Morgan Stanley & Co. International plc | 25 Cabot Square, Canary Wharf, London E14 4QA, United Kingdom |
| Morgan Stanley & Co. LLC | 1585 Broadway, New York 10036, USA |
| Morgan Stanley Australia Securities Limited | Level 39 Chifley Tower, 2 Chifley Square, Sydney NSW 2000, Australia |
| Morgan Stanley Wealth Management Australia Pty Ltd | Level 39 Chifley Tower, 2 Chifley Square, Sydney NSW 2000, Australia |
| Morgan Stanley Smith Barney LLC | 1585 Broadway, New York 10036, USA |
Signature
$\bar{z}$
$\cdot$
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 3.
Signature
DIRECTIONS
- $(1)$ 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.
- $(2)$ See the definition of "associate" in section 9 of the Corporations Act 2001.
- See the definition of "relevant interest" in sections 608 and 671B(7) of the Corporations Act 2001. $(3)$
- $(4)$ The voting shares of a company constitute one class unless divided into separate classes.
- 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.
- $(6)$ The person's votes divided by the total votes in the body corporate or scheme multiplied by 100.
- $(7)$ 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 $(a)$ 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
- 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, become entitled to receive in relation to that acquisition. Details $(9)$ 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.
GUIDE
This guide does not form part of the prescribed form and is included by ASIC to assist you in completing and lodging form 603.
| Signature | This form must be signed by either a director or a secretary of the substantial holder. | |||
|---|---|---|---|---|
| Lodging period | Nil | |||
| Lodging Fee | Nil | |||
| 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) | information if: | by 9.30 am on the next trading day of the relevant securities exchange after they become aware of the | ||
| (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 | |||
| $\mathbf{1}$ | 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 ACN 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) |
|||
| 7. | 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.
Annexure B
This is Annexure B referred to in the Form 603: Notice of becoming a substantial holder issued by Morgan Stanley and its subsidiaries. The following is description of the securities lending agreements referenced in the accompanying Form 603.
| Schedule | |
|---|---|
| Type of Agreement | Master Securities Loan Agreement |
| Parties to agreement | Morgan Stanley & Co. LLC, MS Securities Services Inc. and The Northern Trust Company |
| Transfer Date | 20150312; 20150313; 20150317; 20150324; 20150326; 20150330; 20150401; |
| 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 t 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 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. |
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 |
| Does the lender have the right to recall early? | Yes /No |
| 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. |
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 |
| Will the securities be returned on settlement? | Yes/No |
| 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 BlackRock Institutional Trust Company NA as agent or trustee on behalf of various funds and accounts |
| Transfer Date | 20150303; 20150305; 20150306; 20150313; 20150409; |
| 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 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. |
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 |
| 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? | Yes /No P |
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 Chase Manhattan Bank (National Association) |
| Transfer Date | 20150413; |
| 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 Ao |
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 Ale
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 | Customer Prime Broker Account Agreement |
| Parties to agreement | Morgan Stanley & Co. LLC on behalf of all Morgan Stanley entities and NUMERIC HOLDINGS LLC |
| Transfer Date | 20150305; 20150312; 20150319; 20150320; 20150410; 20150413; |
| Holder of Voting Rights | Morgan Stanley |
| 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 Morgan Stanley may return rehypothecated shares at any time. | |
| Does the lender have the right to recall early? | Yes |
| If yes, detail The customer may recall shares from Morgan Stanley at any time. | |
| Will the securities be returned on settlement? | Yes. |
| If yes, detail any exceptions In the ordinary course of business, securities will be returned to customers. 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, including rehypothecated securities, for the purpose of arriving at a single closeout amount. In such a default scenario, Morgan Stanley may do an actual or deemed sale of the rehypothecated securities.
| Schedule | |
|---|---|
| Type of Agreement | Customer Prime Broker Account Agreement |
| Parties to agreement | 1 Morgan Stanley & Co. LLC on behalf of all Morgan Stanley entities and |
| AXEL BALANCED. LP |
| Transfer Date | 20141103; 20141118; 20141128; 20141223; 20141229; 20150115; |
|---|---|
| 20150206: 20150220: 20150302: | |
| Holder of Voting Rights | Morgan Stanley |
| 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 Morgan Stanley may return rehypothecated shares at any time. | |
| Does the lender have the right to recall early? Yes |
|
| If yes, detail The customer may recall shares from Morgan Stanley at any time. | |
| Will the securities be returned on settlement? Yes |
|
| If yes, detail any exceptions In the ordinary course of business, securities will be returned to customers. 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, including rehypothecated securities, for the purpose of arriving at a single closeout amount. In such a default scenario, Morgan
Stanley may do an actual or deemed sale of the rehypothecated securities.
| Schedule | ||
|---|---|---|
| Type of Agreement Overseas Securities Lender's Agreement |
||
| Parties to agreement | Morgan Stanley & Co. International plc and Citibank NA | |
| Transfer Date | 20150130; 20150206; 20150210; 20150217; 20150218; 20150225; | |
| 20150226; 20150303; 20150310; 20150311; 20150313; 20150318; | ||
| 20150324; 20150325; 20150326; 20150327; 20150330; 20150402; | ||
| 20150409; 20150413; 20150414; | ||
| 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 Ale | |
| 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 | 20150313; 20150410; |
| 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. |
的
| 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 | Global Master Securities Lending Agreement |
| Parties to agreement | Morgan Stanley & Co. International plc and STATE BOARD OF |
| ADMINISTRATION OF FLORIDA | |
| Transfer Date | 20150120; 20150121; 20150122; 20150123; 20150127; 20150128; |
| 20150129; 20150130; 20150216; | |
| 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 /No |
| 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? | Yes /No |
| tf use, datail asy systems if the Demouse does not redaliver Equivalent Conviting in accordance with the Agroomant, the Lander may by |
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.
| Schedule | |
|---|---|
| Type of Agreement | Overseas Securities Lender's Agreement |
| Parties to agreement | Morgan Stanley & Co. International plc and UBS AG |
| Transfer Date | 20150311; |
| 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 | ||
| CERES CAPITAL PTY LTD | ||
| Transfer Date | 20150311; | |
| 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 Ale | |
| 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 |
an Event of Default, the default market value of all elivered will be determined 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 pic for itself and as agent and trustee for and on behalf of the other Morgan Stanley Companies and CC ASIA ABSOLUTE RETURN MASTER FUND LIMITED |
| Transfer Date | 20150325: |
| 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 ANo |
| 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 CYAN INVESTMENT MANAGEMENT PTY LTD AS TRUSTEE FOR OATO CAPITAL MARKET NEUTRAL LONG/SHORT FUND |
| Transfer Date | 20150302; 20150305; 20150408; |
| 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 International Prime Brokerage Agreement Morgan Stanley & Co. International plc for itself and as agent and Parties to agreement trustee for and on behalf of the other Morgan Stanley Companies and TASMAN MARKET NEUTRAL FUND Transfer Date 20150320; 20150323; 20150330; 20150409; 20150410; 20150413; 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 | 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 | ||
| AMP CAPITAL ASIA QUANT FUND | ||
| Transfer Date | 20141103: 20141114: 20150209: 20150304: | |
| 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 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. | |
|---|---|
| Schedule | |
|---|---|
| Type of Agreement | Australian Master Securities Lending Agreement |
| Parties to agreement | Morgan Stanley Australia Securities Limited and WESTPAC BANKING CORPORATION |
| Transfer Date | 20150302: 20150303: 20150306: |
| 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 shall be 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 or the equivalent time on the exchange or in the clearing organisation through | ||||
| which the relevant borrowed Securities were originally delivered. | ||||
| 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 and on the basis of the Relevant Values so established, an account shall be taken of what is due from | ||||
| each Party to the other and 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 navable. |
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.
Signature
| print name Annie Gong | ٠ | capacity | Vice President |
|---|---|---|---|
| sign here | date | Apr 16,2015 | |
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