Corporations Law Section 671B
Notice of change of interests of substantial holderTo Company Name/Scheme GI Dynamics Inc
ACN/ARSN
Details of substantial holder (1)
Name Prudential plc
M&G Group Limited M&G Limited M&G Investment Management Limited M&G Securities Limited M&G Investment Funds (1)ACN/ARSN (if applicable)
There was a change in the interests of the substantial holder on
The previous notice was given to the company on
09 May 2016 18 April 2016The previous notice was dated 18 April 2016
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 Security (4)
Previous Notice
Present Notice
Person's votes
Voting Power (5)
Person's votes
Voting Power (5)
CDI NPV (50:1)
52,560,345
11.05%
46,030,187
9.68%
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
Prudential plc
PLEASE SEE ANNEX 1 (Below)
M&G Group Limited
M&G Limited
M&G Investment Management
Limited
M&G Securities Limited
M&G Investment Funds (1)
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 as holder (8)
Class and number of securities
Prudential plc M&G Group Limited M&G Limited
M&G Investment Management Limited M&G Securities Limited
M&G Investment Funds (1)
State Street Noms Ltd A/C GMBM -
M&G Global Basics Fund
State Street Noms Ltd A/C GMBM -
M&G Global Basics Fund
46,030,187
Changes in association
The persons who have been 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 CAN/ARSN (if applicable)
Nature of association
M&G Investment Funds (1)
An Open Ended Investment Company (Separate Legal Entity, not within the Prudential plc group of companies), the assets are managed by M&G Investment Management Limited, which is a wholely owned subsidiary of Prudential Plc, as are M&G Limited and M&G Group Limited and as such these companies are included within this notice.
Since the previous notice there has been no change in overall ownership structure of the assets.
Addresses
The addresses of persons named in this form are as follows:
Name | Address |
Prudential plc | Laurence Pountney Hill, London EC4R 0HH, England |
M&G Group Limited | Laurence Pountney Hill, London EC4R 0HH, England |
M&G Limited | Laurence Pountney Hill, London EC4R 0HH, England |
M&G Investment Management Limited | Laurence Pountney Hill, London EC4R 0HH, England |
M&G Securities Limited | Laurence Pountney Hill, London EC4R 0HH, England |
M&G Investment Funds (1) | Laurence Pountney Hill, London EC4R 0HH, England |
State Street Nominees Limited | 20 Churchill Place, Canary Wharf, London E14 5HJ, England |
Signatureprint name John Baker capacity Shareholder Disclosures Analyst
sign here John Baker date 10 May 2016 DIRECTIONSIf 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.
See the definition of "associate" in section 9 of the Corporations Law.
See the definition of "relevant interest" in sections 608 and 671B(7) of the Corporations Law.
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 relevant interest in.
The person's votes divided by the total votes in the body corporate or scheme multiplied by 100.
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 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 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 Law.
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".
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.
Annex 1: Transactions 18 April 2016 - 09 May 2016
Holder of relevant | Date of acquisition | Consideration (9) | Class and number of securities | |
interest | ||||
Cash | Non- cash | |||
Prudential plc | 19-Apr-16 | -8,625 | -480,000 | |
M&G Group Limited | 21-Apr-16 | -2,794 | -151,384 | |
M&G Limited | 26-Apr-16 | -503 | -28,000 | |
M&G Investment Management Limited | 28-Apr-16 | -13,407 | -790,000 | |
M&G Securities Limited | 02-May-16 | -16,502 | -1,030,000 | |
M&G Investment Funds (1) | 03-May-16 | -14,673 | -918,616 | |
State Street Noms Ltd A/C GMBM - | 04-May-16 | -885 | -52,158 | |
06-May-16 | -1,438 | -80,000 | ||
M&G Global Basics Fund | 09-May-16 | -53,908 | -3,000,000 |
GI Dynamics Inc. published this content on 11 May 2016 and is solely responsible for the information contained herein.
Distributed by Public, unedited and unaltered, on 10 May 2016 23:21:05 UTC.
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