Form 604
Corporations Act 2001 Section 671B
Notice of change of interests of substantial holder
To Company Name/Scheme UGL LIMITED
ACN/ARSN 009 180 287
Details of substantial holder (1)
Name AXA SA ("AXA"), AllianceBernstein Australia Limited ("ABAL") and various bodies corporate controlled by AXA and ABAL listed in
Schedule 1 (together, "the AXA Group") and certain other entities associated with AXA and ABAL listed in Schedule 1.
ACN/ARSN (if applicable) 095 022 718
There was a change in the interests of the
substantial holder on 18 November 2016
The previous notice was given to the company on 14 November 2016 The previous notice was dated 10 November 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 securities (4)
Previous notice
Present notice
Person's votes
Voting power (5)
Person's votes
Voting power (5)
Ordinary
10,983,774
6.60
8,883,774
5.34%
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 (ordinary shares unless stated otherwise)
Person's votes affected
See Schedule 3.
Each person whose relevant interest has changed is listed in Schedule 1.
The change in the relevant interest occurred as a result of various transactions effected on the Australian Stock Exchange (see Schedule 3).
See Schedule 3.
See Schedule 3.
See Schedule 3.
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)
Nature of relevant interest (6)
Class and number of securities
Person's votes
The holders
The registered holders
[Not applicable.]
Each person listed in Part A(i) of
See Schedule
See Schedule 2.
of a relevant
of the securities are
Schedule 1 has a relevant
2.
interest are
various third parties
interest because it has power to
listed in Part
acting as custodians
exercise or control the exercise of
A of
on behalf of AXA
a right to vote or to dispose of the
Schedule 1.
Group entities (see
relevant securities (s 608(1)(b)
Schedule 2).
and (c) Corporations Act 2001
("CA")).
Each person listed in Part A(ii) of
Schedule 1 has a relevant
interest because it has voting
power above 20% over one or
more persons listed in Part A(i)
of Schedule 1 (s 608(3) CA).
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
[Not applicable.]
[Not applicable.]
Addresses
The addresses of persons named in this form are as follows:
Name | Address |
See Parts A and B of Schedule 1 (column 1). | See Parts A and B of Schedule 1 (column 2). |
Signature
Print name: Kristine Mitchell Capacity: AllianceBernstein Australia Ltd
Sign here: Date: 21 November 2016
DIRECTIONS
If 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 6 of the form.
See the definition of "associate" in section 9 of the Corporations Act 2001.
See the definition of "relevant interest" in sections 608 and 671B(7) of the Corporations Act 2001.
The voting shares of a company constitute one class unless divided into separate classes.
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 because of which the change in relevant interest occurred. 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 Act 2001.
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.
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".
Give details, if appropriate, of the present association and any change in that association since the last substantial holding notice.
SCHEDULE 1 - HOLDERS OF A RELEVANT INTEREST AND ASSOCIATES
Note: All information provided in this schedule is based on the information available to ABAL at the time of filing this notice.
PART A - PERSONS WITH A RELEVANT INTERESTName | Address |
Part A(i) - Responsible entities / trustees / managers of funds / delegates of managers [s 608(1)(b) and (c)] | |
Various AXA Group entities which are responsible entities, trustees, managers of funds and delegates of managers, including those set out below | |
AllianceBernstein L.P. | 1345 Avenue of the Americas, NY, NY, 10105 USA |
AllianceBernstein Australia Limited | Level 37, 2 Chifley Square, Sydney NSW 2000 |
AllianceBernstein Investment Management Australia Ltd | Level 37, 2 Chifley Square, Sydney NSW 2000 |
AllianceBernstein (Luxembourg) S.A. | 2-4 rue Eugene Ruppert, Vertigo Building, L-2453, Luxembourg |
AllianceBernstein Canada, Inc | Canada Trust Tower, BCE Place, 161 Bay Street P.O. Box 508, Toronto Ontario M5J 2S1, Canada |
AllianceBernstein Limited | 50 Berkeley Street, London W1J 8HA, England |
AllianceBernstien Trust Company, LLC | 1345 Avenue of the Americas, NY, NY, 10105 USA |
Sanford C Bernstein & Co, LLC | 1345 Avenue of the Americas, NY, NY, 10105 USA |
AllianceBernstein Japan Ltd. | 1-8-3 Marunouchi, Chiyoda-ku, Tokyo, Japan |
AllianceBernstein Hong Kong Limited | Suite 3401,34/F One International Finance Centre, 1 Harbour View Street,Central, Hong Kong |
AllianceBernstein (Singapore) Ltd. | 30 Cecil Street #28-01, Singapore 049712 Singapore |
AXA Investment Managers Paris | Cœur Défense - Tour B - La Défense 4 100 esplanade du Général De Gaulle, 92932 Paris La Defense Cedex France |
AXA Investment Managers UK Ltd | 7 Newgate Street, London EC1A 7NX, UK |
AXA Rosenberg Investment Management Ltd (UK) | 9A Devonshire Square, London EC2M 4YY United Kingdom |
AXA Rosenberg Investment Management Ltd (Japan) | NBF Platinum Tower 14F, 1-17-3 Shirokane, Minato-ku, Tokyo 108-0072, Japan |
AXA Rosenberg Investment Management LLC | 4 Orinda Way, Orinda, CA 94563, USA |
AXA Rosenberg Investment Management Asia Pacific Ltd. | 133 Cecil Street #16-01, Keck Seng Tower, Singapore 069535 Singapore |
AXA Rosenberg Investment Management Asia Pacific Ltd. (Hong Kong) | Suites 5701-4, 57/F, One Island East, 18 Westlands Road, Quarry Bay, Hong Kong |
AXA China Region Insurance Company Limited | 20/F AXA Centre, 151 Gloucester Road Wanchai, Hong Kong |
AllianceBernstein Taiwan Investment Limited | 57F-1, Taipei 101 Tower, 7 Xin Yi Road, Sec 5 Taipei 110, Taiwan |
Various custodians on behalf of various international entities ultimately controlled by AXA (details not available at time of filing) | |
Part A(ii) - Persons with voting power greater than 20% in persons listed in Parts A(i) and (ii) | Various |
Various AXA Group entities, including, as ultimate holding companies, those set out below | |
AXA SA | 25 Avenue Matignon 75008 Paris France |
Persons listed in Part B of Schedule 1 | |
Part A(iii) - Other relevant interests | |
[Not applicable] |
UGL Limited published this content on 21 November 2016 and is solely responsible for the information contained herein.
Distributed by Public, unedited and unaltered, on 21 November 2016 05:26:04 UTC.
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