Form 604
Corporations Law
Section 671B
Notice of change of interests of substantial holder
To: Company Name/Scheme SYRAH RESOURCES LIMITED ACN/ARSN _1=25=242=-=2-84'--
1. Details of substantial holder
Name UBS Group AG and i ts related bodies corporate ACN/ARSN (if applicable):
There was a change in the interests of the substantial holder on 31 December 2015 The previous notice was given to the company on 17 December 2015
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
Person's Votes
Voting Power (5)
Person's Votes
Voting Power (5)
Ordinary
12,936,141
5.60%
15,525,634
6.71%
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
Please see Appendix C.
Present relevant interests
Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows:
Holder of relevant interest | Registered holder of securities | Person entitled to be registered holder (8) | Nature of relevant interest (6) | Class and number of securities | Person's votes |
UBS AG | Various Custodians | UBS AG | Fund Manager with power to exercise control over voting shares | 78,010 Ordinary | 78,010 |
UBS Asset Management (Australia) Ltd | Various Custodians | UBS Asset Management (Australia) Ltd | Fund Manager with power to exercise control over voting shares | 593, 149 Ordinary | 593,149 |
UBS Asset Management (UK) Limited | Various Custodians | UBS Asset Management (UK) Limited | Fund Manager with power to exercise control over voting shares | 17,348 Ordinary | 17,348 |
UBS Fund Management (Switzerland) AG | Various Custodians | UBS Fund Management (Switzerland) AG | Fund Manager with power to exercise control over voting shares | 32,609 Ordinary | 32,609 |
UBS Securities Australia Ltd | Warbont Nominees Ply Ltd | UBS Securities Australia Ltd | Power to control disposal over shares pursuant to stock borrowing and lending activities (see Appendix A) | 210,000 Ordinary | 210,000 |
Brispot Nominees Ply Ltd | UBS Securities Australia Ltd | Beneficial Owner | 3,951,576 Ordinary | 3,951,576 | |
UBS Securities LLC | Various Custodians | UBS Securities LLC | Power to control disposal over shares pursuant to stock borrowing and lending activities (see Appendix A) | 42,000 Ordinary | 42,000 |
UBS AG Australia Branch | UBS Nominees Ply Ltd | UBS AG Australia Branch | Prime Broker that has exercised its borrowing right in respect of shares pursuant to a Prime Broking Agreement (see Appendix A) | 8,016,579 Ordinary | 8,016,579 |
UBS Switzerland AG | Various Custodians | UBS Switzerland AG | Power to control disposal over shares pursuant to stock borrowing and lending activities (see Appendix B) | 2,584,363 Ordinary | 2,584,363 |
-
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
N A
- Addresses
The addresses of persons named in this form are as follows:
Name | Address |
Details of all UBS offices can be found through the following link: http://apps2.ubs.comAocationfinder/ |
Print Name: Pepe Chan Capacity: Authorised signatory
Sign Here: , Date: 4 January 2016
Print Name: Weixiao Qin Capacity: Authorised signatory
""""'" {11 Date: 4 January 2016
Contact details for this notice:
Weixiao Qin Compliance Operations (T) +65 6495 8217
Appendi x A
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Type of agreement Securities Lending Agreement Securities Lending Agreement Prime Brokerage Agreement
Parties to agreement (i) UBS AG, Australia Branch ("UBS (i) UBS Securities LLC ("UBS Sec (i) UBS AG, Australia Branch ("UBS AG")/ UBS Securities Australia LLC") AG")
Limited
(ii) Client (Please refer to Appendix (ii) Client (Please refer to Appendix
(ii) Client (Please refer to Appendix A-1.) A-1.)A-1.)
Transfer date | Please refer to Appendix A-1. | Please refer to Appendix A-1. | Please refer to Appendix A-1. |
Holder of voting rights | UBS AG/ UBS Securities Australia | UBS Sec LLC | UBS AG |
Limited | |||
Are there any restrictions on voting rights? | Please refer to the details below. | No. | Please refer to the details below. |
If yes, detail | Since all right and title in the | N/A | Since all right and title in the |
securities passes to the transferee | securities passes to the transferee | ||
(i.e. UBS AG/ UBS Securities | (i.e. UBS AG), the transferee has | ||
Australia Limited), the transferee | the right to vote. However, in certain | ||
has the right to vote. However, in | circumstances! the transferee may | ||
certain circumstances, the | seek to arrange for instructions to | ||
transferee may seek to arrange for | be exercised in accordance with the | ||
instructions to be exercised in | instructions of the transferor (i.e. | ||
accordance with the instructions of | Client). | ||
the transferor (i.e. Client). | |||
Scheduled return date (if any) | None, subject to the terms of the | None unless agreed to by the | None, subject to the terms of the |
relevant loan. | parties. | relevant loan. | |
Does the borrower have the right | Yes. | Yes. Either party can terminate the | Yes. |
to return early? | loan upon notice unless otherwise | ||
agreed. | |||
If yes, detail | The borrower (i.e. UBS AG/ UBS | The borrower (i.e. UBS Sec LLC) | The borrower (i.e. UBS AG) has the |
Securities Australia Limited) has the | has the right to return at its | right to return at its discretion. | |
right to return at its discretion. | discretion. | ||
Does the lender have the right to | Yes. | Yes. Either party can terminate the | Yes. |
recall early? | loan upon notice unless otherwise | ||
agreed. | |||
If yes, detail | The lender (i.e. Client) can recall at | The lender has the right to return at | The lender (i.e. Client) can recall at |
its request subject to compliance | its discretion. | its request subject to compliance | |
with margin requirements and the | with margin requirements and the | ||
terms of the relevant loan. | terms of the relevant loan. | ||
Will the securities be returned on | Yes. | Yes (equivalent securities). | Yes. |
settlement? | |||
If yes, detail any exceptions | None. | None. | None. |
The information in this appendix is based on the relevant standard UBS agreement.
A copy of the agreement is available to the company, or responsible entity to whom the prescribed form must be given, or to ASIC, upon request.
Appendi x A-1
Securities Lending Agreement - UBS AG, Australia Branch/ UBS Securities Australia Limited Parties tQ gre111iint
JPMorgan Chase Bank, N.A. as an agent acting on behalf of its clients
Macquarie Bank Ltd
Securities Lending Agreement - UBS Securities LLC
(i) 5 February 2015
5 February 2015
Barclays Global Investment NA as an agent acting on behalf of its clients (i) 24 November2015
Prime Brokerage Agreement - UBS AG, Australia Branch
Signature Capital Nominees Pty Ltd as trustee for the Signature Quantitative Fund (i) 16 October2015
16 December 2015
Regal Funds Management Pty Ltd as trustee and manager of Atlantic Absolute Return
Fund
Regal Funds Management Pty Limited as manager and trustee for Regal Australian Long
Short Equity Fund
Regal Funds Management Pty Limited as trustee for Regal Australian Long Short Geared Equity Fund
Regal Funds Management Pty Limited as Trustee of the Regal Australian Small Companies Fund
5 February 2015
18 November 2015
(i) 18 November 2015
(i) 18 November 2015
(i) 18 November 2015
Syrah Resources Limited issued this content on 2016-01-05 and is solely responsible for the information contained herein. Distributed by Public, unedited and unaltered, on 2016-01-04 22:00:25 UTC
Original Document: http://www.syrahresources.com.au/site/DefaultSite/filesystem/documents/ASX Announcements 2016/1 Change in substantial holding 5Jan16.pdf