GI DYNAMICS, INC.
603 page 1/2 15 July 2001
To Company Name/Scheme
ACN/ARSN
1. Details of substantial holder (1)
Name
ACN/ARSN (if applicable)
The holder became a substantial holder on / /
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) |
The nature of the relevant interest the substantial 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 |
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 |
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 acquisition | Consideration (9) | Class and number of securities | |
Cash | Non-cash | |||
603 page 2/2 15 July 2001
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 |
The addresses of persons named in this form are as follows:
Name | Address |
Signature
print name | capacity | ||
sign here | date | / | / |
(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.
(3) See the definition of "relevant interest" in sections 608 and 671B(7) of the Corporations Act 2001. (4) The voting shares of a company constitute one class unless divided into separate classes.
(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.
(6) The person's votes divided by the total votes in the body corporate or scheme multiplied by 100. (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
(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 Act 2001.
(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".
(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.
Hunter Hall Investment Management Limited (A.C.N. 063 081 612) Hunter Hall International Limited (A.C.N. 059 300 426)
Hampshire Assets and Services Pty Ltd (A.C.N. 059 790 395) Peter James Hall
ANNEXURE B:Holder of Relevant Interest | Person registered and entitled to be Registered as Holder | Nature of relevant Interest | Class and Number of Shares |
Hunter Hall Investment Management Ltd | JP Morgan Chase Bank, N.A. as the Custodian of the Hunter Hall Value Growth Trust, Hunter Hall Global Deep Green Trust and Hunter Hall Global Value Limited | Hunter Hall Investment Management Limited has the power to control the exercise of the right to vote attached to the shares, and the power to exercise control over the disposal of shares as Responsible Entity of the Hunter Hall Value Growth Trust (18,084,237 CDIs) and Hunter Hall Global Deep Green Trust (653,000 CDIs) and as Investment Manager for Hunter Hall Global Value Limited (6,666,111 CDIs). | 25,403,348 CDI |
Hunter Hall International | As above | Hunter Hall International Ltd has a relevant interest in the said shares, as it wholly owns Hunter Hall Investment Management Limited. | As above |
Hampshire Assets And Services Pty Ltd | As above | Hampshire Assets And Services Pty Ltd has a relevant interest in the said shares as it owns 43.47% of Hunter Hall International Ltd. | As above |
Peter James Hall | As above | Peter Hall owns 100% of Hampshire Assets And Services Pty Ltd. Peter controls a further 1.30% Hunter Hall International Limited shares through other holdings. | As above |
Hunter Hall Global Value Limited | As above | Hunter Hall Global Value Limited is the listed investment company managed by Hunter Hall Investment Management Limited. | 6,666,111 CDI |
1
ANNEXURE C:Person whose relevant interest changed: Hunter Hall Investment Management Limited
Hunter Hall International Limited Hampshire Assets and Services Pty Ltd Peter James Hall
Date of Change | Nature of Change | No. CDIs Affected | Consideration Given in Relation to Change | Cumulative |
Opening Balance | - | |||
7/10/2013 | BUY | 7,497 | 6,165.98 | 7,497 |
8/10/2013 | BUY | 156,575 | 128,776.67 | 164,072 |
9/10/2013 | BUY | 20,928 | 17,212.44 | 185,000 |
21/10/2013 | BUY | 178,000 | 143,148.49 | 363,000 |
21/10/2013 | BUY | 500,000 | 402,102.50 | 863,000 |
21/10/2013 | BUY | 1,414,045 | 1,137,182.06 | 2,277,045 |
22/10/2013 | BUY | 21,140 | 17,812.99 | 2,298,185 |
22/10/2013 | BUY | 64,815 | 54,614.42 | 2,363,000 |
24/10/2013 | BUY | 383,090 | 311,541.05 | 2,746,090 |
24/10/2013 | BUY | 1,173,160 |
2
5/05/2014 | BUY | 2,233,461 | 3,016,000.00 | 13,442,098 |
5/05/2014 | BUY | 5,800,000 | 35,993.76 | 19,242,098 |
2/06/2014 | BUY | 65,280 | 95,831.18 | 19,307,378 |
2/06/2014 | BUY | 173,804 | 153,667.91 | 19,481,182 |
3/06/2014 | BUY | 278,750 | 409,121.02 | 19,759,932 |
3/06/2014 | BUY | 742,136 | 59,374.02 | 20,502,068 |
4/06/2014 | BUY | 107,860 | 158,079.33 | 20,609,928 |
4/06/2014 | BUY | 287,170 | 226,769.51 | 20,897,098 |
5/06/2014 | BUY | 411,280 | 603,739.08 | 21,308,378 |
5/06/2014 | BUY | 1,094,970 | 456,455.79 | 22,403,348 |
17/06/2014 | BUY | 827,850 | 5,485.86 | 23,231,198 |
17/06/2014 | BUY | 2,172,150 | 1197669.21 | 25,403,348 |
Balance held as at 17th June 2014 | 25,403,348 | |||
% held as at 17th June 2014 based on 473,802,405 CDIs on issue | 5.36% |
NAME | ADDRESS |
Hunter Hall International Limited | Level 2, 60 Castlereagh Street SYDNEY NSW 2000 |
Hunter Hall Investment Management Limited | Level 2, 60 Castlereagh Street SYDNEY NSW 2000 |
Hampshire Assets And Services Pty Ltd | Level 2, 60 Castlereagh Street SYDNEY NSW 2000 |
Peter James Hall | Level 4, 53 Frith Street, Soho, London W1D 4SN United Kingdom |
Jeremy Freeman
Company Secretary
Hunter Hall International Limited
Dated 19 June 2014
3
|
distributed by
|
