Re: Notice of initial substantial holder Austbrokers Holdings Ltd (AUB)

Transcription

1 Sydney Level 15, 255 Pitt Street Sydney NSW 2000 Australia GPO Box 3698 Sydney NSW August 2014 Telephone Facsimile The Manager Company Announcements Office ASX Limited 20 Bridge Street SYDNEY NSW 2000 By electronic lodgement Dear Sir/Madam Re: Notice of initial substantial holder Austbrokers Holdings Ltd (AUB) We enclose notice of initial substantial holder in Austbrokers Holdings Ltd. This notice is given by Challenger Limited and each of its subsidiaries named in Annexure 1 to this notice. Yours faithfully Andrew Brown Company Secretary attach Melbourne Level 19, 31 Queen Street PO Box 297, Flinders Lane, Melbourne VIC 3000 Telephone Facsimile Brisbane Level 9, 241 Adelaide Street GPO Box 3234, Brisbane QLD 4001 Telephone Facsimile Perth Level 5, 50 Georges Terrace, Perth WA 6000 Telephone Facsimile Adelaide Level 7, Suite 714, 147 Pirie Street Adelaide SA 5000 Telephone Facsimile Challenger Limited ABN Challenger Group Services Pty Limited ABN Challenger Life Company Limited ABN AFSL Howard Commercial Lending Limited ABN Challenger Listed Investments Limited ABN AFSL Challenger Diversified Property Trust 1 ARSN Challenger Diversified Property Trust 2 ARSN Challenger Management Services Limited ABN AFSL Challenger Retirement and Investment Services Limited ABN AFSL RSE Licence No. L Challenger Mortgage Management Pty Ltd ABN Challenger Securitisation Management Pty Ltd ABN AFSL

2 603 page 1/2 15 July 2001 Form 603 Corporations Act 2001 Section 671B Notice of initial substantial holder To Company Name/Scheme Austbrokers Holdings Limited ACN/ARSN Details of substantial holder (1) Name Challenger Limited (and entities listed in Annexure 1) ACN/ARSN (if applicable) The holder became a substantial holder on 30/07/ 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 Fully Paid 3,288,250 3,288, % 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 See Annexure 1 Ordinary fully paid shares purchased and sold on market by Challenger Limited and the entities listed in Annexure 1, and obtain a relevant interest by virtue of section 608(3) of the Corporations Act See Annexure 2 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 Challenger Limited and each other entity named in Annexure 1 As above As above As above Registered holder of securities Citicorp Nominees Pty Limited JP Morgan Nominees Australia Ltd National Nominees Limited HSBC Custody Nominees Australia Limited Person entitled to be registered as holder (8) Citicorp Nominees Pty Limited JP Morgan Nominees Australia Ltd National Nominees Limited HSBC Custody Nominees Australia Limited Class and number of securities 684, ,861 1,075, , 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 Date of acquisition Consideration (9) Class and number interest Cash Non-cash of securities See Annexure 1 See Annexure 2 See Annexure 2 See Annexure 2 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) N/A 7. Addresses The addresses of persons named in this form are as follows: Name Challenger Limited and each entity named in Annexure 1 Nature of association N/A Address Level 15, 255 Pitt Street, Sydney ASX\ ASIC Form 603

3 Signature 603 page 2/2 15 July 2001 print name Andrew Brown capacity Company Secretary sign here date ASX\ ASIC Form 603

4 Annexure 1 This is page 1 of 4 of Annexure 1 referred to in ASIC Form Notice of initial substantial holder Andrew Brown - Company Secretary of Challenger Limited Company Name ACN / Company No. Country of Incorporation 255 FINANCE PTY LTD AUSTRALIA ACRUX LIMITED AUSTRALIA ALLFINE HOLDINGS PTY LTD AUSTRALIA ALPHACAT 2013, LTD BERMUDA ALPHINITY INVESTMENT MANAGEMENT PTY LTD AUSTRALIA APPIA EUROPE LIMITED ENGLAND/WALES APPIA FINANCE 2 LIMITED ENGLAND/WALES APPIA FINANCE LIMITED ENGLAND/WALES APPIA GROUP LIMITED JERSEY APPIA INVESTMENTS LIMITED ENGLAND/WALES ARDEA INVESTMENT MANAGEMENT PTY LTD AUSTRALIA ARETE INVESTMENT PARTNERS PTY LTD AUSTRALIA ASSETSECURE PTY. LIMITED AUSTRALIA BENDZULLA ACTUARIAL PTY. LTD AUSTRALIA BENDZULLA PROFESSIONAL SERVICES PTY LTD AUSTRALIA BENTHAM ASSET MANAGEMENT PTY LTD AUSTRALIA BLUEZEN PTY LTD AUSTRALIA CDPG AUSTRALIA PTY LIMITED AUSTRALIA CDPG LUXEMBOURG HOLDINGS SARL B LUXEMBOURG CDPG LUXEMBOURG II SARL B LUXEMBOURG CDPG LUXEMBOURG SARL B LUXEMBOURG CDPG MALTA LIMITED C MALTA CESCADE PTY LIMITED AUSTRALIA CFSG HOLDINGS NO 2 (VICTORIA) PTY LIMITED AUSTRALIA CHALLENGER DIRECT PTY LTD AUSTRALIA CHALLENGER DIVERSIFIED PROPERTY DEVELOPMENT PTY LIMITED AUSTRALIA CHALLENGER DPG FRANCE II SAS FRANCE CHALLENGER DPG FRANCE SAS R.C.S. FRANCE CHALLENGER EMERGING MARKET INFRASTRUCTURE FUND PTE. LTD D SINGAPORE CHALLENGER FINANCIAL SERVICES PTY LIMITED AUSTRALIA CHALLENGER FM 2 HOLDINGS PTY LIMITED AUSTRALIA CHALLENGER FM NOMINEES PTY LIMITED AUSTRALIA CHALLENGER FUNDS MANAGEMENT HOLDINGS PTY LIMITED AUSTRALIA CHALLENGER GROUP HOLDINGS LIMITED AUSTRALIA CHALLENGER GROUP PTY LIMITED AUSTRALIA CHALLENGER GROUP SERVICES (UK) LIMITED ENGLAND/WALES CHALLENGER GROUP SERVICES PTY. LTD AUSTRALIA CHALLENGER HOLDING VAGYONKEZELO KFT HUNGARY CHALLENGER HOME LOAN CORPORATION PTY LTD AUSTRALIA CHALLENGER INVENTORY FINANCE SERVICING PTY LIMITED AUSTRALIA CHALLENGER JERSEY I3 LIMITED JERSEY CHALLENGER JERSEY MANAGEMENT LIMITED JERSEY CHALLENGER LBC TERMINALS HOLDING COMPANY LIMITED C41149 MALTA

5 Annexure 1 This is page 2 of 4 of Annexure 1 referred to in ASIC Form Notice of initial substantial holder Andrew Brown - Company Secretary of Challenger Limited Company Name ACN / Company No. Country of Incorporation CHALLENGER LBC TERMINALS LIMITED C41150 MALTA CHALLENGER LIFE COMPANY HOLDINGS PTY LTD AUSTRALIA CHALLENGER LIFE COMPANY LIMITED AUSTRALIA CHALLENGER LIFE DEBT INVESTMENTS (EUROPE) LIMITED ENGLAND/WALES CHALLENGER LIFE FUND PROPERTY INVESTMENTS PTY LTD AUSTRALIA CHALLENGER LIFE NOMINEES NO.2 PTY LTD AUSTRALIA CHALLENGER LIFE NOMINEES NO.3 PTY LIMITED AUSTRALIA CHALLENGER LIFE NOMINEES PTY LTD AUSTRALIA CHALLENGER LIFE OFFSHORE INVESTMENTS LIMITED JERSEY CHALLENGER LIFE SUBSIDIARY HOLDINGS LTD AUSTRALIA CHALLENGER LIMITED AUSTRALIA CHALLENGER LISTED INVESTMENTS LIMITED AUSTRALIA CHALLENGER LUXEMBOURG HOLDING NO.1A SARL B LUXEMBOURG CHALLENGER LUXEMBOURG HOLDING NO.1B SARL B LUXEMBOURG CHALLENGER LUXEMBOURG HOLDING NO.2 SARL B LUXEMBOURG CHALLENGER MANAGED INVESTMENTS (INTERNATIONAL) PTY LIMITED AUSTRALIA CHALLENGER MANAGEMENT SERVICES (UK) LTD ENGLAND/WALES CHALLENGER MANAGEMENT SERVICES LIMITED AUSTRALIA CHALLENGER MARGIN LENDING PTY LIMITED AUSTRALIA CHALLENGER MBK EMERGING MARKET INFRASTRUCTURE FUND GP LTD WK CAYMAN ISLANDS CHALLENGER MBK FUND MANAGEMENT PTE. LTD M SINGAPORE CHALLENGER MORTGAGE MANAGEMENT PTY LTD AUSTRALIA CHALLENGER NON-CONFORMING FINANCE PTY LTD AUSTRALIA CHALLENGER ORIGINATOR FINANCE PTY LIMITED AUSTRALIA CHALLENGER PROPERTY ASSET MANAGEMENT PTY LTD AUSTRALIA CHALLENGER RETIREMENT AND INVESTMENT SERVICES LIMITED AUSTRALIA CHALLENGER SCR LLP MEMBER LIMITED ENGLAND/WALES CHALLENGER SECURITISATION MANAGEMENT PTY LTD AUSTRALIA CHALLENGER SKYBRIDGE (CAPITAL II) INVESTMENT LLP OC ENGLAND/WALES CHALLENGER SKYBRIDGE (FUND SLP) JERSEY LIMITED JERSEY CHALLENGER SKYBRIDGE (GP HOLDINGS) INVESTMENT LLP OC ENGLAND/WALES CHALLENGER SKYBRIDGE (GROUP) HOLDING COMPANY PTY LTD AUSTRALIA CHALLENGER SKYBRIDGE (HASTINGS) HOLDING COMPANY PTY LTD AUSTRALIA CHALLENGER SKYBRIDGE (HASTINGS) INVESTMENT LLP OC ENGLAND/WALES CHALLENGER SKYBRIDGE FUND (LP) JERSEY LIMITED JERSEY CHALLENGER SPECIAL SERVICING PTY LIMITED AUSTRALIA CHALLENGER SPECIALISED FINANCE NO.2 PTY LTD AUSTRALIA CHALLENGER SPECIALISED FINANCE PTY LTD AUSTRALIA CHALLENGER TREASURY LIMITED AUSTRALIA CHALLENGER UK TANK STORAGE LIMITED ENGLAND/WALES CHALLENGER UK TERMINALS LIMITED JERSEY CHALLENGER WELCOME BREAK LIMITED JERSEY CHALLENGER WHOLESALE FINANCE HOLDINGS PTY LIMITED AUSTRALIA

6 Annexure 1 This is page 3 of 4 of Annexure 1 referred to in ASIC Form Notice of initial substantial holder Andrew Brown - Company Secretary of Challenger Limited Company Name ACN / Company No. Country of Incorporation CHALLENGER WIND HOLDINGS PTY LIMITED AUSTRALIA CLASHFERN INVESTMENTS (UK) LIMITED ENGLAND/WALES CLS US HOLDINGS, LLC UNITED STATES CPHIC INVESTMENTS PTY LTD AUSTRALIA CSPP1 BROADBEACH PTY LTD AUSTRALIA CSPP1 INVESTMENT COMPANY 1 PTY LIMITED AUSTRALIA CSPP1 MAITLAND PTY LTD AUSTRALIA CSPP1 MAVIS COURT PTY LTD AUSTRALIA EMIF HOLDINGS PTY LTD AUSTRALIA ENDOWMENT WARRANTS LIMITED AUSTRALIA FIDANTE PARTNERS ALPHINITY HOLDINGS PTY LTD AUSTRALIA FIDANTE PARTNERS ARDEA HOLDINGS PTY LTD AUSTRALIA FIDANTE PARTNERS ARETE HOLDINGS PTY LTD AUSTRALIA FIDANTE PARTNERS BENTHAM HOLDINGS PTY LTD AUSTRALIA FIDANTE PARTNERS HOLDINGS PTY LIMITED AUSTRALIA FIDANTE PARTNERS INVESTMENT FUNDS PUBLIC LIMITED COMPANY IRELAND FIDANTE PARTNERS KAPSTREAM HOLDINGS PTY LIMITED AUSTRALIA FIDANTE PARTNERS LIMITED AUSTRALIA FIDANTE PARTNERS MERLON HOLDINGS PTY LTD AUSTRALIA FIDANTE PARTNERS METISQ HOLDINGS PTY LTD AUSTRALIA FIDANTE PARTNERS NOVAPORT HOLDINGS PTY LTD AUSTRALIA FIDANTE PARTNERS R&M HOLDINGS PTY LIMITED AUSTRALIA FIDANTE PARTNERS SERVICES LIMITED AUSTRALIA FIDANTE PARTNERS TEMPO HOLDINGS PTY LTD AUSTRALIA FIDANTE PARTNERS WAVESTONE HOLDINGS PTY LIMITED AUSTRALIA FIDANTE PARTNERS WHITEHELM HOLDINGS PTY LTD AUSTRALIA FIVE OCEANS ASSET MANAGEMENT LIMITED AUSTRALIA FUTURE FIBRE PTY LTD AUSTRALIA GASVALPO FINANCE PTY LIMITED AUSTRALIA GASVALPO S.A CHILE GREENCAPE CAPITAL PTY LTD AUSTRALIA GV CAYMAN COMPANY LIMITED OG CAYMAN ISLANDS GV CHILE HOLDING LIMITADA CHILE GV CHILE LIMITADA CHILE GV JERSEY HOLDING COMPANY LIMITED JERSEY GV JERSEY TRUSTEE COMPANY LIMITED JERSEY GV JERSEY TRUSTEE COMPANY NO. 2 LIMITED JERSEY HOMELOANS LIMITED AUSTRALIA HOWARD COMMERCIAL LENDING LIMITED AUSTRALIA KAPSTREAM CAPITAL PTY LIMITED AUSTRALIA KINETIC INVESTMENT PARTNERS PTY LTD AUSTRALIA LANV PTY LTD AUSTRALIA LEASE COLLATERAL NO.2 PTY LTD AUSTRALIA

7 Annexure 1 This is page 4 of 4 of Annexure 1 referred to in ASIC Form Notice of initial substantial holder Andrew Brown - Company Secretary of Challenger Limited Company Name ACN / Company No. Country of Incorporation LEASE COLLATERAL PTY LTD AUSTRALIA LEASE FUNDING MANAGEMENT PTY LTD AUSTRALIA MAITLAND NOMINEE HOLDINGS PTY LIMITED AUSTRALIA MAVIS COURT DEVELOPMENT CO PTY LTD AUSTRALIA MAWBURY PTY LIMITED AUSTRALIA MERLON CAPITAL PARTNERS PTY LTD AUSTRALIA METISQ CAPITAL HOLDINGS PTY LTD AUSTRALIA METISQ CAPITAL PTY LTD AUSTRALIA METISQ CAPITAL SINGAPORE PTE. LTD. 49G SINGAPORE MIR ASIA PACIFIC EQUITY FEEDER FUND LTD CAYMAN ISLANDS MIR ASIA PACIFIC EQUITY MASTER FUND LTD CAYMAN ISLANDS MIR GREATER CHINA PTE LTD D SINGAPORE MIR LIBRA CAPITAL MANAGEMENT LTD CAYMAN ISLANDS MIR LIBRA GREATER CHINA EQUITY FUND LTD WK CAYMAN ISLANDS NOVAPORT CAPITAL PTY LTD AUSTRALIA OAKLANDS HILL PTY LTD AUSTRALIA OAKLANDS HILL WIND FARM PTY LTD AUSTRALIA OIKOS LIMITED ENGLAND/WALES OIKOS STORAGE LIMITED ENGLAND/WALES STRUCTURED CREDIT RESEARCH LLP OC ENGLAND/WALES TALAVERA HERRING PTY LIMITED AUSTRALIA TEMPO ASSET MANAGEMENT PTY LTD AUSTRALIA THE LIBERTY GROUP CONSORTIUM PTY LTD AUSTRALIA TLG SERVICES PTY LIMITED AUSTRALIA TLGH PTY LIMITED AUSTRALIA TRE DATA CENTRES CANBERRA PTY LTD AUSTRALIA US LLC HOLDINGS PTY LTD AUSTRALIA WATERFORD COUNTY PTY LIMITED AUSTRALIA WAVESTONE CAPITAL PTY LTD AUSTRALIA WELCOME BREAK CAYMAN LIMITED FC CAYMAN ISLANDS WELCOME BREAK GROUP HOLDINGS LIMITED FC CAYMAN ISLANDS WELCOME BREAK GROUP LIMITED ENGLAND/WALES WELCOME BREAK HOLDINGS (1) LIMITED ENGLAND/WALES WELCOME BREAK HOLDINGS (2) LIMITED ENGLAND/WALES WELCOME BREAK HOLDINGS LIMITED CAYMAN ISLANDS WELCOME BREAK LIMITED ENGLAND/WALES WELCOME BREAK NO.1 LIMITED ENGLAND/WALES WELCOME BREAK NO.2 LIMITED ENGLAND/WALES WELCOME BREAK NO.3 LIMITED ENGLAND/WALES WELCOME BREAK SERVICES LIMITED ENGLAND/WALES WYETREE ASSET MANAGEMENT LTD ENGLAND/WALES WYETREE FUNDS PLC IRELAND

8 Annexure 2 Annexure 2 consists of 2 pages and is referred to in Form 603 signed by me and dated Transactions: Austbrokers Holdings Ltd (AUB) As at 30/07/2014 Ordinary Fully Paid Andrew Brown Date of Change Holder of relevant interest Nature of Change Consideration Number of securities Person's Votes Affected Challenger Limited Opening 29/03/2014 ( the entities listed in Annexure 1) Balance 2,160,091 2,160,091 02/04/2014 as above Buy 357, ,708 33,708 03/04/2014 as above Buy 2, /04/2014 as above Buy 319, ,435 30,435 09/04/2014 as above Buy 25, ,400 2,400 11/04/2014 as above Buy 34, ,190 3,190 14/04/2014 as above Buy 61, ,729 5,729 16/04/2014 as above Buy 207, ,001 20,001 17/04/2014 as above Buy 208, ,999 19,999 17/04/2014 as above Sell 4, /04/2014 as above Sell 14, ,400 1,400 23/04/2014 as above Buy 63, ,987 5,987 23/04/2014 as above Sell 4, /04/2014 as above Sell 7, /04/2014 as above Buy 143, ,511 13,511 28/04/2014 as above Buy 72, ,877 6,877 30/04/2014 as above Buy 1, /04/2014 as above Buy 16, ,618 1,618 30/04/2014 as above Buy 4, /05/2014 as above Buy 319, ,174 32,174 12/05/2014 as above Buy 226, ,151 23,151 12/05/2014 as above Buy 68, ,992 6,992 12/05/2014 as above Sell 295, ,143 30,143 13/05/2014 as above Buy 1,324, , ,916 13/05/2014 as above Sell 55, ,600 5,600 14/05/2014 as above Buy 1,761, , ,305 16/05/2014 as above Buy 67, ,725 6,725 16/05/2014 as above Buy 91, ,060 9,060 19/05/2014 as above Buy 3, /05/2014 as above Buy 4, /05/2014 as above Buy 4, /05/2014 as above Buy 6, /05/2014 as above Buy 8, /05/2014 as above Buy 11, ,080 1,080 27/05/2014 as above Buy 13, ,378 1,378 28/05/2014 as above Buy 34, ,454 3,454 29/05/2014 as above Buy 25, ,549 2,549 30/05/2014 as above Buy 614, ,248 60,248 02/06/2014 as above Buy 7, /06/2014 as above Buy 102, ,000 10,000 03/06/2014 as above Buy 102, ,000 10,000 06/06/2014 as above Buy 161, ,203 16,203 06/06/2014 as above Sell 7, /06/2014 as above Sell 11, ,100 1,100 10/06/2014 as above Buy 61, ,129 6,129 11/06/2014 as above Buy 209, ,729 20,729 12/06/2014 as above Buy 38, ,843 3,843

9 13/06/2014 as above Buy 62, ,064 6,064 16/06/2014 as above Buy 35, ,390 3,390 17/06/2014 as above Buy 42, ,137 4,137 18/06/2014 as above Buy 108, ,633 10,633 30/06/2014 as above Buy 5, /07/2014 as above Sell 20, ,900 1,900 04/07/2014 as above Buy 181, ,000 17,000 07/07/2014 as above Buy 106, ,000 10,000 08/07/2014 as above Sell 7, /07/2014 as above Sell 8, /07/2014 as above Buy 149, ,193 15,193 29/07/2014 as above Buy 494, ,232 50,232 29/07/2014 as above Buy 31, ,217 3,217 29/07/2014 as above Buy 95, ,749 9,749 29/07/2014 as above Buy 5, /07/2014 as above Buy 223, ,716 22,716 29/07/2014 as above Buy /07/2014 as above Buy 1,676, , ,670 30/07/2014 as above Buy 325, ,535 33,535 30/07/2014 as above Buy 758, ,164 78,164 30/07/2014 as above Buy 107, ,094 11,094 30/07/2014 as above Buy 3, /07/2014 as above Buy 18, ,948 1,948 30/07/2014 as above Buy 507, ,250 52,250 3,288,250