AUSTRALIAN ETHICAL INVESTMENT LIMITED 
By l F l l l M l group
Form 604
Corporations Act 2001
Section 6718
Notice of change of interests of substantial holder
To Company Name/Scheme Australian Ethicallnvestment
ACNIARSN 003188 930
1. Details of substantial holder (1)
Name
ACN/ARSN (if applicable)
Flnanclal & lnvestment Management Group Ltd (FIMG)
N/A
There was a change in the interests of the substantial holder on
The previous notlce was given to the company on
The previous notice was dated
See Annexure A
11110/2012
11/10/2012
2. Previous and present voting power
The total number of votes attached to ali the voting shares In the company or voting lnterests in the scheme that the substantlal holder or an associate (2) had a
relevant interest (3) in when last requlred, and when now required, to glve a substantial holding notlce to the company or scheme, are as follaws:
Class cf securltias (4) | Previaus natica | Present notice | ||
Class cf securltias (4) | Persan's vates | Votlng pawer (5) | Parscn's votes | Vcting pawer (5) |
Ordinary shares | 80,455 | 7.93% (based on 1,015,086 shares autstandlng) | 90,837 | 8.95% (based an 1,015,086 shares autstanding) |
3. Changes In relevant lnterests
Partlculars cf each changa In, or change in the nature af, a relevant interest of the substantial holder or an associate in voting sacuritias of the company or scheme, since the substantial holderwas last requlred to give a substantlal holding nctice 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 numberof securities affected | Person's votes affected |
See Annexure A | FIMG and Sutherland Paul | See Annexure A | See Annexure A | See Annexure A | See Annexure A |
4. Present relevant lnterests
Partlculars of each relevant interest of the substantlal holder in voling securities after the change are as follows:
Holder of relevant interest | Registered holder of securities | Person entitled to be registered as holder (8) | Nature of relevant | Class and numberof | Person's votes |
Holder of relevant interest | Registered holder of securities | Person entitled to be registered as holder (8) | interest (6) securities | Person's votes |
FINANClAL & INVESTMENT
FEE-ONLY WEALTH
I I I CASS STREET
231 929 4500
TEL
WWW.FIMG.NET
MANAGEMENT GROUP, LTD.
MANAGEMENT
TRAVERSE CITY, MICI-JIGAN 49684
231 99S 7999 FAX
l F l l l M l group
FIMG | Citicorp Nominees Pty Ltd | Numerous clients | Relevant interest arises from lnvestment Management Agreement with each of its clients pursuant lo which it has authority lo dispose of, and, in some cases, exerclse the power to vota, the shares comprising the clients' portfolios. FIMG's power te vota and dispose ls limited by reason of FJMG not being the registered holder and, in relation to the power lo vota, is limited in some cases by the terms of that cllent's lnvestment Management Agreement where those terms do not confar on FIMG the power to vota the shares. | 90,837 ordinary shares | 90,837 |
Paul Sutherland | Citicorp Nominees Pty Ltd | Numerous cllents | Paul Sutherland ls the 100% beneficiai owner of voting shares in FIMG and accordlngly has a relevant interest in the securities In whlch FIMG has a relevant interest under s608(3) of the Corporations Act | 90,837 ordlnary shares | 90,837 |
5. Changes in associatlon
The persons who have become associates (2) ofceased te be associates cf, or have changed the nature of thelr assoclatlon (9) with, the substantial holder in relation to voting lnterests in the company or schema are as follows:
Name and ACN/ARSN (il applicable) | Nature of associatlon |
6. Addresses
The addresses of persons named In thls formare as follows:
Nama | Address |
Financial & lnvestment Management Group Ltd | 111 Cass Street, Traverse City, Michigan 49684, Unlted States of America |
Paul Sutherland | 111 Ca.ss Street, Traverse City, Michigan 49684, United States of America |
Signature
print name Matthew Bohrer capacity Chief Compliance Office sign here date 07/01/2013
FJNANCIAL & INVESTMENT MANAGEMENT GROUP, LTD.
FEE-ONLY WEALTH MANAGEMENT
I I I CASS STREET
TRAVERSE CITY, MICl-IIGAN 49684
231
929
4!;oo
TEL
WWW.FlMG.NET
2JI 99S 7999 FAX
l F l l l M l group
Annexure A
This is Annexure "A" of 1 page referred to in the Form 604 (Notice of change of interests of substantial holder), signed by me and dated
Matthew Bohrer
Chief Compliance Officer
Financial & lnvestment Management Group Ltd
Date of Change | Person whose relevant lnterest changed | Nature of change | Conslderatlon given in relation to change | Class and number of securltles affected | Person's votes affected |
26/10/2012 | FIMG and Paul Sutherland | On market sale | $2,307.68 USD | -125 | -125 |
08/11/2012 | FIMG and Paul Sutherland | On-market purchase | $8,034.65 USD | 425 | 425 |
09/11/2012 | FIMG and Paul Sutherland | On-market ourchase | $1,980.35 USD | 100 | 100 |
14/11/2012 | FIMG and Paul Sutherland | On-market purchase | $1,992.60 USD | 100 | 100 |
27/11/2012 | FIMG and Paul Sutherland | ·on-market purchase | $59,834.50 USD | 3000 | 3000 |
29/11/2012 | FIMG and Paul Sutherland | On-market purchase | $33,793.69 USD | 1695 | 1695 |
12/12/2012 | FIMG and Paul Sutherland | On-market purchase | $1,868.07 USD | 89 | 89 |
13/12/2012 | FIMG and Paul Sutherland | On-market purchase | $1,314.85 USD | 61 | 61 |
17112/2012 | FIMG and Paul Sutherland | On-market purchase | $7,488.04 USD | 372 | 372 |
17/12/2012 | FIMG and Paul Sutherland | On-market sale | $4,567.02 USD | -228 | -228 |
HNANCIAL & INVESTMENT MANAGEMENT GROUJ•, LTD.
FEE-ONI.Y WEALTH MANAGEMENT
l l I CASS STREETTRAVERSE CITY, MICHIGAN 49684
231 929 4500 TEL
23I 995 7999 FAX
WWW,FIMG.NET
|
distributed by
|
