Form 604 | ||||
Corporations Law | ||||
onlyACN/ARSN | Section 671B | |||
114 940 | 984 and 116 870 725 | |||
Notice of change of interests of substantial holder | ||||
To: Company Name/Scheme | Spark Infrastructure Group ( formed by | |||
Spark Infrastructure RE Limited and | ||||
Spark Infrastructure Trust ) | ||||
1. Details of substantial holder | ||||
use | 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 | 25 November 2021 | |||
The previous notice was given to the company on | 26 November 2021 |
personal | ||||||||
Class of | Previous Notice | Present Notice | ||||||
securities (4) | ||||||||
Person's Votes | Voting Power (5) | Person's Votes | Voting Power (5) | |||||
Stapled | 88,751,419 | 5.06% | 134,540,175 | 7.67% | ||||
Securities | ||||||||
2. 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:
3. 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
For | ||||||
company or scheme are as follows: | ||||||
Date of | Person whose | Nature of Change (6) | Consideration | Class and | Person's | |
change | relevant interest | given in | Number of | votes | ||
changed | relation to | securities | affected | |||
change (7) | affected | |||||
Please see Appendix B. | ||||||
4. Present relevant interests
Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows:
Holder of relevant | Registered | Person entitled to | Nature of relevant interest | Class and | Person's |
holder of | be registered | number of | |||
interest | (6) | votes | |||
securities | holder (8) | securities | |||
UBS AG London | Various | UBS AG London | Beneficial Owner | 337,127 | 337,127 |
Branch | Custodians | Branch | Staple | ||
Securities | |||||
UBS Asset | Various | UBS Asset | Fund Manager with power to | 8,579,973 | 8,579,973 | |
Management | Custodians | Management | exercise control over voting | Staple | ||
(Australia) Ltd | (Australia) Ltd | shares | Securities | |||
UBS Asset | Various | UBS Asset | Fund Manager with power to | 1,413,349 | 1,413,349 | |
Management (UK) | Custodians | Management (UK) | exercise control over voting | Staple | ||
only | Limited | Limited | shares | Securities | ||
UBS Asset | Various | UBS Asset | Fund Manager with power to | 58,517 | 58,517 | |
Management Trust | Custodians | Management Trust | exercise control over voting | Staple | ||
Company | Company | shares | Securities | |||
UBS Fund | Various | UBS Fund | Fund Manager with power to | 1,392,786 | 1,392,786 | |
Management | Custodians | Management | exercise control over voting | Staple | ||
(Luxembourg) S.A. | (Luxembourg) S.A. | shares | Securities | |||
UBS Fund | Various | UBS Fund | Fund Manager with power to | 807,809 | 807,809 | |
Management | Custodians | Management | exercise control over voting | Staple | ||
(Switzerland) AG | (Switzerland) AG | shares | ||||
Securities | ||||||
use | ||||||
UBS Securities | Brispot | UBS Securities | Beneficial Owner | 121,490,614 | 121,490,614 | |
Australia Ltd | Nominees Pty | Australia Ltd | Staple | |||
Ltd | Securities | |||||
Warbont | UBS Securities | Power to control disposal | 460,000 | 460,000 | ||
Nominees Pty | Australia Ltd | over shares pursuant to | Staple | |||
Ltd | stock borrowing and lending | Securities | ||||
activities | ||||||
5. Changes in association | ||||||
personal | |||||||
Name and ACN/ ARSN (if applicable) | Nature of association | ||||||
UBS AG London Branch | 5 Broadgate, London, United Kingdom | ||||||
UBS Asset Management (Australia) Ltd | Level 16, Chifley Tower, 2 Chifley Square, Sydney, Australia | ||||||
For | |||||||
UBS Asset Management (UK) Limited | 5 Broadgate, London, United Kingdom | ||||||
UBS Asset Management Trust Company | Illinois Corporation Service Company 801 Adlai Stevenson Drive, | ||||||
Springfield, IL, USA | |||||||
UBS Fund Management (Luxembourg) S.A. | 33A avenue J.F. Kennedy, Luxembourg | ||||||
UBS Fund Management (Switzerland) AG | Aeschenplatz 6, Basel, Switzerland | ||||||
UBS Securities Australia Ltd | Level 16, Chifley Tower, 2 Chifley Square, Sydney, Australia | ||||||
Brispot Nominees Pty Ltd | Level 16, Chifley Tower, 2 Chifley Square, Sydney, Australia | ||||||
Warbont Nominees Pty Ltd | Level 16, Chifley Tower, 2 Chifley Square, Sydney, Australia | ||||||
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 |
6. Addresses
The addresses of persons named in this form are as follows:
SIGNATURE | |||||||
Print Name: | Andrew Costley | Capacity: | Authorised signatory | ||||
only | Sign Here: | Date: | 29 November 2021 | ||||
Print Name: | Joanne Chan | Capacity: | Authorised signatory | ||||
Sign Here: | Date: | 29 November 2021 | |||||
Contact details for this notice: | |||||||
-------------------------------------------------------------- | |||||||
Andrew Costley | |||||||
Group Compliance, Regulatory & Governance | |||||||
(T) +852 3712 3707 | |||||||
--------------------------------------------------------- | |||||||
For personaluse |
Appendix A
Holder of relevant interest | UBS Securities Australia Ltd | ||
Type of agreement | Securities Lending Agreement | ||
Parties to agreement | (i) UBS AG, Australia Branch ("UBS AG")/ UBS | ||
only | Securities Australia Limited | ||
(ii) Client (Please refer to Appendix A-1.) | |||
Transfer date | Please refer to Appendix A-1. | ||
Holder of voting rights | UBS AG/ UBS Securities Australia Limited | ||
Are there any restrictions on | Please refer to the details below. | ||
v ting rights? | |||
If yes, detail | Since all right and title in the securities passes to | ||
use | the transferee (i.e. UBS AG/ UBS Securities | ||
Australia Limited), the transferee has the right to | |||
vote. However, in certain circumstances, the | |||
transferee may seek to arrange for voting rights to | |||
be exercised in accordance with the instructions of | |||
the transferor (i.e. Client). | |||
Scheduled return date (if | None, subject to the terms of the relevant loan. | ||
any) | |||
personal | |||
Does the borrower have the | Yes. | ||
right to return early? | |||
If yes, detail | The borrower (i.e. UBS AG/ UBS Securities | ||
Australia Limited) has the right to return at its | |||
discretion. | |||
D es the lender have the | Yes. | ||
right to 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 | Yes. | ||
returned on settlement? | |||
If yes, detail any exceptions | None. | ||
For | |||
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
Securities Lending Agreement - UBS AG, Australia Branch/ UBS Securities Australia Limited
Parties to agreement | Transfer date | |
JP Morgan Securities Australia Ltd | (i) | 09 November 2021 |
For personal use only
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Spark Infrastructure Group published this content on 29 November 2021 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 29 November 2021 05:49:05 UTC.