Form 603
Corporations Law
Section 671B
Notice of initial substantial holder
To: Company Name/Scheme
HEXAGON RESOURCES LIMITED
ACN/ARSN
099 098 192
1.
Details of substantial holder (1)
Name:
UBS Group AG and its related bodies corporate
ACN/ARSN (if applicable)The holder became a substantial holder on:
29 June 2018
2.
Details of 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 on the date the substantial holder became a substantial holder are as follows:
Class of securities (4) | Number of securities | Persons' votes (5) | Voting power (6) |
Ordinary | 16,492,462 | 16,492,462 | 5.65% |
3.
Details of relevant interests
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 |
UBS Securities Australia Ltd | Beneficial Owner | 229,850 Ordinary |
UBS AG London Branch | Prime Broker that has exercised its borrowing right in respect of shares pursuant to a Prime Broking Agreement (see Appendix A) | 16,262,612 Ordinary |
4. Details of present registered holders
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 |
UBS Securities Australia Ltd | Brispot Nominees Pty Ltd | UBS Securities Australia Ltd | 229,850 Ordinary |
UBS AG London Branch | Citicorp Nominees Pty Ltd | UBS AG London Branch | 16,262,612 Ordinary |
5.
Consideration
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 acquisitionConsideration (9)Class and number of securities
CashNon-cashPlease see Appendix B.
6.
Associates
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 |
UBS Securities Australia Ltd | Related body corporate |
Brispot Nominees Pty Ltd | Related body corporate |
UBS AG London Branch | Related body corporate |
7.
Addresses
The addresses of persons named in this form are as follows:
Name | Addresses |
Details of all UBS offices can be found through the following link:http://apps2.ubs.com/locationfinder/ |
SIGNATURE
Print Name: | Philip Alexander | Capacity: | Authorised signatory |
Sign Here: | Date: | 3 July 2018 | |
Print Name: | Serene Peh | Capacity: | Authorised signatory |
Sign Here: | Date: | 3 July 2018 | |
Contact details for this notice: |
--------------------------------------------------------Serene Peh
Compliance & Operational Risk Control (T) +65 6495 5283 ---------------------------------------------------
Appendix A
Holder of relevant interest | UBS AG, London Branch |
Type of agreement | Prime Brokerage Agreement |
Parties to agreement | (i) UBS AG, London Branch ("UBS AG") (ii) Client (Please refer to Appendix A-1.) |
Transfer date | Please refer to Appendix A-1. |
Holder of voting rights | UBS AG |
Are there any restrictions on voting rights? | No. |
If yes, detail | N/A |
Scheduled return date (if any) | None. |
Does the borrower have the right to return early? | Yes. |
If yes, detail | The borrower (i.e. UBS AG) has the right to return at its discretion. |
Does the lender have the right to recall early? | Yes. |
If yes, detail | The lender (i.e. Client) can recall at its request subject to compliance with margin requirements and the terms of the relevant loan. |
Will the securities be returned on settlement? | Yes. |
If yes, detail any exceptions | 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.
Appendix A-1
Prime Brokerage Agreement - UBS AG, London Branch
Parties to agreement | Transfer date |
Tribeca Segregated Portfolio Company on behalf and for the account of the Tribeca Global Natural Resources Segregated Portfolio |
|
HXG- Appendix B | |||||
Date of change | Person whose relevant interest changed | Nature of Change | Consideration given in relation to change | Number of securities | Class |
20-Mar-18 | UBS AG London Branch | Stock received | N/A | 3,492,104 | Ordinary |
26-Jun-18 | UBS AG London Branch | Stock received | N/A | 3,411,530 | Ordinary |
29-Jun-18 | UBS AG London Branch | Stock received | N/A | 9,358,978 | Ordinary |
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Hexagon Resources Limited published this content on 04 July 2018 and is solely responsible for the information contained herein. Distributed by Public, unedited and unaltered, on 04 July 2018 08:18:01 UTC