Form 603
Corporations Law
Section 671B
Notice of initial substantial holder
To: Company Name/Scheme NAVIGATOR GLOBAL INVESTMENTS LIMITED
ACN/ARSN | 101 585 737 |
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 April 2019 | |
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 | 9,102,854 | 9,102,854 | 5.61% |
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 Asset Management | Fund Manager with power to exercise control over | 968,523 | Ordinary |
(Australia) Ltd | voting shares | ||
UBS Asset Management Trust | Fund Manager with power to exercise control over | 28,710 | Ordinary |
Company | voting shares | ||
UBS Asset Management (UK) | Fund Manager with power to exercise control over | 8,886 | Ordinary |
Limited | voting shares | ||
UBS Fund Management | Fund Manager with power to exercise control over | 63,577 | Ordinary |
(Switzerland) AG | voting shares | ||
UBS Securities Australia Ltd | Beneficial Owner | 1,402,736 | Ordinary |
UBS AG London Branch | Prime Broker that has exercised its borrowing right in | 6,630,422 | Ordinary |
respect of shares pursuant to a Prime Broking | |||
Agreement (see Appendix A) | |||
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 | Registered holder of | Person entitled to be | Class and number of | |
interest | securities | registered as holder (8) | securities | |
UBS Asset Management | Various Custodians | UBS Asset Management | 968,523 | Ordinary |
(Australia) Ltd | (Australia) Ltd | |||
UBS Asset Management Trust | Various Custodians | UBS Asset Management | 28,710 | Ordinary |
Company | Trust Company | |||
UBS Asset Management (UK) | Various Custodians | UBS Asset Management | 8,886 | Ordinary |
Limited | (UK) Limited | |||
UBS Fund Management | Various Custodians | UBS Fund Management | 63,577 | Ordinary |
(Switzerland) AG | (Switzerland) AG | |||
UBS Securities Australia Ltd | Brispot Nominees Pty Ltd | UBS Securities Australia Ltd | 1,402,736 | Ordinary |
UBS AG London Branch | Citicorp Nominees Pty Ltd | UBS AG London Branch | 6,630,422 | 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 acquisition | Consideration (9) | Class and number | |
of securities | ||||
Cash | Non-cash | |||
Please 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 Asset Management (Australia) Ltd | Related body corporate |
UBS Asset Management Trust Company | Related body corporate |
UBS Asset Management (UK) Limited | Related body corporate |
UBS Fund Management (Switzerland) AG | Related body corporate |
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: | 1 May | 2019 | |||
Print Name: | Joanne Chan | Capacity: | Authorised signatory | |||
Sign Here: | Date: | 1 May | 2019 | |||
Contact details for this notice:
-----------------------------------------------------
Philip Alexander
Compliance & Operational Risk Control
(T)+852 2971 6074
------------------------------------------------------------
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 | No. |
voting rights? | |
If yes, detail | N/A |
Scheduled return date (if any) | None. |
Does the borrower have the right | Yes. |
to return early? | |
If yes, detail | The borrower (i.e. UBS AG) has the |
right to return at its discretion. | |
Does the lender have the right to | Yes. |
recall early? | |
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 | Yes. |
settlement? | |
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 | |||
Amitell Holdings Pte. Ltd. | (i) | 26 | February 2019 | |
(ii) | 5 | March 2019 | ||
CC&L Q Equity Extension Fund II | (i) | 5 | March 2019 | |
(ii) | 20 | March 2019 | ||
(iii) | 21 | March 2019 | ||
(iv) | 8 | April 2019 | ||
Delaware Street Capital Master Fund LTD | (i) | 24 | April 2019 | |
(ii) | 26 | April 2019 | ||
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Navigator Global Investments Limited published this content on 02 May 2019 and is solely responsible for the information contained herein. Distributed by Public, unedited and unaltered, on 01 May 2019 22:42:07 UTC