GI Dynamics : Change in substantial holding

May 17, 2016 at 07:38 pm EDT

Scanned Document

Form 604

Corporations Law Section 6718

Notice of change of interests of substantial holder

To: Company Name/Scheme .G:::.:_.D::'-Y-'-N":A:..:M::c:C.:::.S:: , -I"N-"C=---------------- ACN/ARSN 1 51'---2=39 388_

Details of substantial holder
Name UBS Group AG and its related bodies corporate ACN/ARSN (if applicable):
There was a change in the interests of the substantial holder on 13 May 2016
The previous notice was given to the company on 21 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)

CHESS

Depositary Interest

(COis)

33,870,658

7.13%

28,927,841

6.08%

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 A.

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 Asset Management (Hong Kong) Ltd

Various

Custodians

UBS Asset Management (Hong Kong) Ltd

Fund Manager with power to exercise control over voting shares

764,916

CDls

764,916

UBS O'Connor LLC

Various Custodians

UBS O'Connor LLC

Fund Manager with power to exercise control over voting shares

400,000

CDls

400,000

UBS Securities Australia Ltd

Brispot Nominees Pty Ltd

UBS Securities Australia Ltd

Beneficial Owner

27,762,925

CDls

27,762,925

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.com ocationfinder/

SIGNATURE

Print Name: Pepe Chan Capacity: Authorised signatory

Sign Here: Date: 17 May 2016

Print Name: Weixiao Qin Capacity: Authorised signatory Sign Here: Date: 17 May 2016

Contact details for this notice:

Weixiao Qin Compliance Operations (T) +65 6495 8217

Dcit! pf_

GID - Appendix A

_ --_-Pe·i:son Wh0$e ·i:elevant inten st Nature of Change Cons_ic;lrat_ibil Qie,i NJ.1JTlbQf-'.Of securitie·s >1:::/)t::> _,.:_·

_hange

. .,c_hElngf!d in relation _to c:haQe ·;1 .·>_:: ::

. . ., ;;:,"",,::.:.·c. '?}. ,. ..

18-Dec-15	UBS Securities Australia Ltd	Sell	200	(6,450)	CDls
18-Dec-15	UBS Securities Australia Ltd	Sell	1,070	(34,523)	CDls
18-Dec-15	UBS Securities Australia Ltd	Sell	30	(968)	CDls
18-Dec-15	UBS Securities Australia Ltd	Sell	10	(327)	CDls
18-Dec-15	UBS Securities Australia Ltd	Sell	3	(82)	CDls
22-Dec-15	UBS Securities Australia Ltd	Sell	3,120	(103,683)	CDls
22-Dec-15	UBS Securities Australia Ltd	Sell	30,094	(1,000,000)	CDls
30-Dec-15	UBS Securities Australia Ltd	Sell	29,944	(1,000,000)	CDls
30-Dec-15	UBS Securities Australia Ltd	Sell	1,788	(59,709)	CDls
06-Jan-16	UBS Securities Australia Ltd	Sell	7,250	(250,000)	CDls
04-Feb-16	UBS Securities Australia Ltd	Sell	400	(20,000)	COis
04-Feb-16	UBS Securities Australia Ltd	Sell	600	(30,000)	COis
11-Feb-16	UBS Securities Australia Ltd	Sell	418	(18,990)	CDls
15-Feb-16	UBS Securities Australia Ltd	Sell	660	(30,000)	CDls
15-Feb-16	UBS Securities Australia Ltd	Sell	1,122	(51,010)	CDls
09-Mar-16	UBS Securities Australia Ltd	Sell	29	(1,262)	CDls
16-Mar-16	UBS Securities Australia Ltd	Sell	2,507	(98,738)	CDls
16-Mar-16	UBS Securities Australia Ltd	Sell	747	(29,414)	CDls
16-Mar-16	UBS Securities Australia Ltd	Sell	2,639	(103,944)	CDls
16-Mar-16	UBS Securities Australia Ltd	Sell	2,194	(86,411)	CDls
16-Mar-16	UBS Securities Australia Ltd	Sell	6,347	(250,000)	CDls
16-Mar-16	UBS Securities Australia Ltd	Sell	1,993	(78,485)	CDls
16-Mar-16	UBS Securities Australia Ltd	Sell	4,355	(171,515)	CDls
16-Mar-16	UBS Securities Australia Ltd	Sell	5,078	(200,000)	CDls
16-Mar-16	UBS Securities Australia Ltd	Sell	1,980	(78,000)	CDls
16-Mar-16	UBS Securities Australia Ltd	Sell	57	(2,231)	CDls
16-Mar-16	UBS Securities Australia Ltd	Sell	2,444	(96,254)	CDls
16-Mar-16	UBS Securities Australia Ltd	Sell	1,936	(76,254)	CDls
16-Mar-16	UBS Securities Australia Ltd	Sell	3,903	(153,746)	CDls
22-Mar-16	UBS Securities Australia Ltd	Sell	522	(23,746)	CDls
06-Apr-16	UBS Securities Australia Ltd	Sell	10,164	(484,007)	CDls
06-Apr-16	UBS Securities Australia Ltd	Sell	336	(15,993)	CDls
11-May-16	UBS Securities Australia Ltd	Sell	1,117	(62,075)	CD!s
11-May-16	UBS Securities Australia Ltd	Sell	1,800	(100,000)	CDls
13-May-16	UBS Securities Australia Ltd	Sell	2,376	(131,986)	CDls
13-May-16	UBS Securities Australia Ltd	Sell	1,597	(88,743)	COis
13-May-16	UBS Securities Australia Ltd	Sell	77	(4,271)	COis

GI Dynamics Inc. published this content on 18 May 2016 and is solely responsible for the information contained herein.
Distributed by Public, unedited and unaltered, on 17 May 2016 23:37:04 UTC.

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