Re: Notice of change of interests of substantial holder Lynas Corporation Limited (LYC)

Transcription

1 Sydney Level 2, 5 Martin Place Sydney NSW 2000 Australia GPO Box 3698 Sydney NSW March 2019 Telephone Facsimile The Manager Company Announcements Office ASX 20 Bridge Street SYDNEY NSW 2000 By electronic lodgement Dear Sir/Madam Re: Notice of change of interests of substantial holder Lynas Corporation (LYC) We attach a notice of change of interests of substantial holder in Lynas Corporation. This notice is given by Challenger and each of its associated entities named in Annexure 2 to this notice. Yours faithfully Andrew Brown Company Secretary Melbourne Level 19, 31 Queen Street PO Box 297, Flinders Lane, Melbourne VIC 3000 Telephone Facsimile Brisbane Level 6, 215 Adelaide Street, Brisbane QLD 4000 Telephone Facsimile Perth Level 26, 140 St Georges Terrace, Perth WA 6000 Telephone Adelaide Level 7, Suite 714, 147 Pirie Street, Adelaide SA 5000 Telephone Challenger ABN Challenger Group Services Pty ABN Challenger Life Company ABN AFSL Challenger Investment Partners ABN AFSL Challenger Retirement and Investment Services ABN AFSL RSE Licence No. L Challenger Mortgage Management Pty Ltd ABN Challenger Securitisation Management Pty Ltd ABN AFSL Challenger Investment Solutions Management Pty Ltd ABN AFSL

2 Form 604 Corporations Act 2001 Section 671B Notice of change of interests of substantial holder To Company Name/Scheme Lynas Corporation ACN/ARSN Details of substantial holder(1) Name ACN/ARSN (if applicable) There was a change in the interests of the substantial holder on The previous notice was given to the company on The previous notice was dated 01/03/ /12/ /12/ 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: Classof securities (4) Previous notice Present notice Person's votes Voting power (5) Person's votes Voting power (5) Ordinary Fully Paid 54,849, % 61,744, % 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 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 Person's votes affected 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 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 Citicorp Nominees Pty Citicorp Nominees Pty Ordinary Fully Paid securities purchased and sold on market by and obtains a relevant interest by virtue of section 608(3) of the Corporations Act 2001 (Cth). 18,314,868 (Ordinary Fully Paid) 18,314,868 J P Morgan Nominees Australia J P Morgan Nominees Australia As above 16,467,951 (Ordinary Fully Paid) 16,467,951 National Nominees National Nominees As above 6,143,527 (Ordinary Fully Paid) 6,143,527 RBC Investor Services Australia Nominees Pty RBC Investor Services Australia Nominees Pty As above 1,570,654 (Ordinary Fully Paid) 1,570,654 HSBC Custody Nominees (Australia) HSBC Custody Nominees (Australia) As above 19,247,864 (Ordinary Fully Paid) 19,247,864

3 5. 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) N/A Nature of association N/A 6. Addresses The addresses of persons named in this form are as follows: Name Address Level 2, 5 Martin Place, Sydney NSW 2000 Signature print name Andrew Brown Capacity Company Secretary sign here date 05/03/2019 DIRECTIONS (1) 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. (2) See the definition of "associate" in section 9 of the Corporations Act (3) See the definition of "relevant interest" in sections 608 and 671B(7) of the Corporations Act (4) The voting shares of a company constitute one class unless divided into separate classes. (5) The person's votes divided by the total votes in the body corporate or scheme multiplied by 100. (6) Include details of: (a) 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 (b) 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 (7) 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. (8) 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". (9) Give details, if appropriate, of the present association and any change in that association since the last substantial holding notice.

4 consists of 1 Page and is referred to in Form 604 signed by me and dated 05/03/2019 [Insert Signature Here] Transactions: Company Name/Scheme: Lynas Corporation (LYC) As at: 01/03/2019 Class of security: Ordinary Fully Paid Andrew Brown Company Secretary of Challenger Date of Change Holder of relevant interest Nature of Change Consideration Number of Securities Person's Votes Affected its entities listed in Annexure 20/12/2018 2) Buy 1,395, , ,395 20/12/2018 as above Buy 658, , ,605 21/12/2018 as above Buy 318, , ,100 21/12/2018 as above Buy 675, , ,700 24/01/2019 as above Buy 402, , ,925 24/01/2019 as above Buy 20,346 13,294 13,294 24/01/2019 as above Buy 24,884 16,259 16,259 24/01/2019 as above Buy 448, , ,054 24/01/2019 as above Buy 331, , ,633 24/01/2019 as above Buy 156, , ,148 24/01/2019 as above Buy 108,323 70,776 70,776 24/01/2019 as above Buy 180, , ,833 24/01/2019 as above Buy 10,833 7,078 7,078 24/01/2019 as above Buy 26,158 17,000 17,000 31/01/2019 as above Buy 48,870 29,461 29,461 31/01/2019 as above Buy 1,609, , ,539 01/02/2019 as above Buy 410, , ,900 01/02/2019 as above Buy 149,154 91,500 91,500 04/02/2019 as above Buy 412, , ,300 08/02/2019 as above Buy 11,849 7,200 7,200 13/02/2019 as above Buy 54,996 33,200 33,200 15/02/2019 as above Sell 54,807-30,000 30,000 28/02/2019 as above Buy 8,367 4,871 4,871 28/02/2019 as above Buy 275, , ,395 28/02/2019 as above Buy 45,065 26,234 26,234 28/02/2019 as above Buy 83,554 48,640 48,640 28/02/2019 as above Buy 531, , ,656 28/02/2019 as above Buy 12,311 7,167 7,167 28/02/2019 as above Buy 887, , ,744 28/02/2019 as above Buy 388, , ,293 28/02/2019 as above Buy 323, , ,201 28/02/2019 as above Buy 685, , ,799 01/03/2019 as above Sell 15,883-9,468 9,468 01/03/2019 as above Buy 362, , ,985 01/03/2019 as above Buy 170, , ,163 01/03/2019 as above Buy 24,371 14,852 14,852 Total Number of Securities 6,895,432 Page 1 of 1

5 Annexure 2 This is page 1 of 4 of Annexure 2 referred to in ASIC Form Notice of change of interests of Substantial Holder Andrew Brown - Company Secretary of Challenger 05/03/2019 Company Name ACN / Company No. Country of Incorporation 255 FINANCE GROUP PTY LTD AUSTRALIA 255 FINANCE INVESTMENTS PTY LTD AUSTRALIA 255 FINANCE PTY LTD AUSTRALIA ACCURIUM HOLDINGS PTY LTD AUSTRALIA ACCURIUM PTY LTD AUSTRALIA AGRICULTURAL ASSET MANAGEMENT LIMITED ENGLAND/WALES 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 AVENIR CAPITAL PTY LTD AUSTRALIA BENTHAM ASSET MANAGEMENT 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 CHALLENGER DIRECT PTY LTD AUSTRALIA CHALLENGER DIVERSIFIED PROPERTY DEVELOPMENT PTY LIMITED AUSTRALIA CHALLENGER DPG FRANCE II SAS FRANCE CHALLENGER EMERGING MARKET INFRASTRUCTURE FUND PTE. LTD D SINGAPORE CHALLENGER EMERGING MARKET INFRASTRUCTURE FUND, L.P. CAYMAN ISLANDS CHALLENGER FINANCIAL SERVICES PTY LIMITED AUSTRALIA CHALLENGER FM 2 HOLDINGS 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 INVESTMENT PARTNERS LIMITED AUSTRALIA CHALLENGER INVESTMENT SOLUTIONS MANAGEMENT PTY LTD AUSTRALIA CHALLENGER JAPAN HOLDINGS KABUSHIKI KAISHA JAPAN CHALLENGER JAPAN HOLDINGS PTY LIMITED AUSTRALIA CHALLENGER JAPAN KABUSHIKI KAISHA CHALLENGER KABUSHIKI KAISHA CHALLENGER LBC TERMINALS HOLDING COMPANY LIMITED C41149 MALTA CHALLENGER LBC TERMINALS LIMITED C41150 MALTA

6 Annexure 2 This is page 2 of 4 of Annexure 2 referred to in ASIC Form Notice of change of interests of Substantial Holder Andrew Brown - Company Secretary of Challenger 05/03/2019 Company Name ACN / Company No. Country of Incorporation CHALLENGER LIFE CDI NOMINEES PTY LTD AUSTRALIA 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 INVESTMENTS UK LIMITED ENGLAND/WALES CHALLENGER LIFE NOMINEES NO.2 PTY LTD AUSTRALIA CHALLENGER LIFE NOMINEES NO.3 PTY LIMITED AUSTRALIA CHALLENGER LIFE NOMINEES PTY LTD AUSTRALIA CHALLENGER LIFE SUBSIDIARY HOLDINGS PTY LIMITED AUSTRALIA CHALLENGER LIMITED AUSTRALIA CHALLENGER MANAGED INVESTMENTS (INTERNATIONAL) PTY LIMITED AUSTRALIA CHALLENGER MANAGEMENT SERVICES (UK) LIMITED ENGLAND/WALES CHALLENGER MARGIN LENDING PTY LTD 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 LTD AUSTRALIA CHALLENGER PROPERTY ASSET MANAGEMENT PTY LTD AUSTRALIA CHALLENGER RETIREMENT AND INVESTMENT SERVICES LIMITED AUSTRALIA CHALLENGER SECURITISATION MANAGEMENT PTY LTD AUSTRALIA CHALLENGER SKYBRIDGE (GROUP) HOLDING COMPANY PTY LTD AUSTRALIA CHALLENGER SKYBRIDGE (HASTINGS) HOLDING COMPANY PTY LTD AUSTRALIA CHALLENGER SPECIAL SERVICING PTY LTD AUSTRALIA CHALLENGER SPECIALISED FINANCE NO.2 PTY LTD AUSTRALIA CHALLENGER TREASURY LIMITED AUSTRALIA CHALLENGER UK TERMINALS LIMITED JERSEY CHALLENGER WHOLESALE FINANCE HOLDINGS PTY LIMITED AUSTRALIA CHALLENGER WIND HOLDINGS PTY LIMITED AUSTRALIA CLS US HOLDINGS, LLC UNITED STATES CPHIC INVESTMENTS PTY LTD AUSTRALIA CSPP1 MAITLAND PTY LTD AUSTRALIA CSPP1 MAVIS COURT PTY LTD AUSTRALIA EIGER CAPITAL PTY LIMITED AUSTRALIA FIDANTE PARTNERS (GUERNSEY) LIMITED GUERNSEY FIDANTE PARTNERS ALPHINITY HOLDINGS PTY LTD AUSTRALIA FIDANTE PARTNERS ARDEA HOLDINGS PTY LTD AUSTRALIA FIDANTE PARTNERS ARETE HOLDINGS PTY LTD AUSTRALIA FIDANTE PARTNERS AVENIR CAPITAL HOLDINGS PTY LTD AUSTRALIA FIDANTE PARTNERS BENTHAM HOLDINGS PTY LTD AUSTRALIA FIDANTE PARTNERS EIGER HOLDINGS PTY LIMITED AUSTRALIA FIDANTE PARTNERS EUROPE LIMITED ENGLAND/WALES FIDANTE PARTNERS FME HOLDINGS LIMITED UNITED KINGDOM

7 Annexure 2 This is page 3 of 4 of Annexure 2 referred to in ASIC Form Notice of change of interests of Substantial Holder Andrew Brown - Company Secretary of Challenger 05/03/2019 Company Name ACN / Company No. Country of Incorporation FIDANTE PARTNERS GP US LLC UNITED STATES FIDANTE PARTNERS HOLDINGS (GUERNSEY) LIMITED GUERNSEY FIDANTE PARTNERS HOLDINGS EUROPE LIMITED ENGLAND/WALES FIDANTE PARTNERS HOLDINGS PTY LIMITED AUSTRALIA FIDANTE PARTNERS INVESTMENT FUNDS PUBLIC LIMITED COMPANY IRELAND FIDANTE PARTNERS KAPSTREAM HOLDINGS PTY LIMITED AUSTRALIA FIDANTE PARTNERS LATIGO HOLDINGS LLC UNITED STATES FIDANTE PARTNERS LENNOX 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 USA LLC UNITED STATES FIDANTE PARTNERS WAVESTONE HOLDINGS PTY LIMITED AUSTRALIA FIDANTE PARTNERS WHITEHELM HOLDINGS PTY LTD AUSTRALIA FIDANTE PARTNERS WYETREE LIMITED ENGLAND/WALES 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 HOWARD COMMERCIAL LENDING PTY LTD AUSTRALIA KUDU INVESTMENT MANAGEMENT LLC UNITED STATES KUDU INVESTMENT PARTNERS I, LP UNITED STATES KUDU INVESTMENTS GP LLC UNITED STATES LANV PTY LTD AUSTRALIA LBC TANK TERMINALS (JERSEY) LIMITED JERSEY LEASE COLLATERAL NO.2 PTY LTD AUSTRALIA LEASE COLLATERAL PTY LTD AUSTRALIA LEASE FUNDING MANAGEMENT PTY LTD AUSTRALIA LENNOX CAPITAL PARTNERS PTY LIMITED AUSTRALIA MAITLAND NOMINEE HOLDINGS PTY LIMITED 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 G SINGAPORE METISQ LIBRA GREATER CHINA EQUITY FUND LTD. WK CAYMAN ISLANDS

8 Annexure 2 This is page 4 of 4 of Annexure 2 referred to in ASIC Form Notice of change of interests of Substantial Holder Andrew Brown - Company Secretary of Challenger 05/03/2019 Company Name ACN / Company No. Country of Incorporation MIR GREATER CHINA PTE LTD D SINGAPORE MIR LIBRA CAPITAL MANAGEMENT LTD CAYMAN ISLANDS NOVAPORT CAPITAL PTY LTD AUSTRALIA OAKLANDS HILL PTY LTD AUSTRALIA OAKLANDS HILL WIND FARM PTY LTD AUSTRALIA OFFSHORE REINSURER (BERMUDA) COMPANY LIMITED BERMUDA OIKOS STORAGE LIMITED ENGLAND/WALES RESIDENTIAL REAL ESTATE TOTAL RETURN OPPORTUNITIES FUND LTD CAYMAN ISLANDS RESIDENTIAL REAL ESTATE TOTAL RETURN OPPORTUNITIES MASTER FUND L.P CAYMAN ISLANDS RESONANCE ASSET MANAGEMENT LIMITED ENGLAND/WALES SABRAND LIMITED CYPRUS STRUCTURED CREDIT RESEARCH LLP OC ENGLAND/WALES 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 US LLC INVESTMENTS LLC UNITED STATES WATER VENTURES LIMITED ENGLAND/WALES WATERFORD COUNTY PTY LIMITED AUSTRALIA WAVESTONE CAPITAL PTY LIMITED 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 FUNDS PLC IRELAND