Form 604
Corporations Law
Section 671B
Notice of change of interests of substantial holder
To: Company Name/Scheme | Base Resources Ltd | |
ACN/ARSN | 125 546 910 | |
1. Details of substantial holder | ||
Name | Bank of America Corporation and its related bodies corporate (See | |
Appendix C) | ||
ACN/ARSN (if applicable): | ||
There was a change in the interests of the substantial holder on | 12 February 2020 | |
The previous notice was given to the company on | 3 February 2020 |
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:
Class of | Previous Notice | Present Notice | ||
securities (4) | ||||
Person's Votes | Voting Power (5) | Person's Votes | Voting Power (5) | |
Ordinary | 89,658,351 | 7.65% | 77,775,515 | 6.64% |
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 | Person whose relevant | Nature of | Consideration given | Class and Number | Person's |
change | interest changed | Change (6) | in relation to | of securities | votes |
change (7) | affected | affected | |||
Please see Appendix A
4. Present relevant interests
Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows:
Holder of | Registered | Person entitled | Nature of relevant interest | Class and | Person's |
relevant | holder of | to be registered | (6) | number of | votes |
interest | securities | holder (8) | securities | ||
Merrill Lynch | Merrill Lynch | Merrill Lynch | Power to control voting | Ordinary | 35,613,042 |
(Australia) | (Australia) | (Australia) | and/or disposal of | ||
35,613,042 | |||||
Futures Ltd | Nominees Pty Ltd | Futures Ltd | securities in its capacity as | ||
ultimate beneficial owner | |||||
having a principal position. | |||||
Merrill Lynch | Merrill Lynch | Merrill Lynch | Borrowing of securities | Ordinary | 42,162,473 |
International | (Australia) | International | pursuant to a Prime | 42,162,473 | |
(Australia) Ltd | Nominees Pty Ltd | (Australia) Ltd | Brokerage Agreement (see | ||
Appendix B), with power to | |||||
control the voting and/or | |||||
disposal of borrowed | |||||
securities. | |||||
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) | Nature of association |
N/A | N/A |
6. Addresses
The addresses of persons named in this form are as follows:
Name | Addresses |
Bank of America Corporation | 100 North Tryon Street, Charlotte, North Carolina, 28255, USA |
Merrill Lynch (Australia) Futures Ltd | Level 38, Governor Phillip Tower, 1 Farrer Place, Sydney NSW |
2000, Australia | |
Merrill Lynch (Australia) Nominees Pty Ltd | Level 19, 120 Collins St, Melbourne Vic 3000, Australia |
Merrill Lynch International (Australia) Ltd | Level 38, Governor Phillip Tower, 1 Farrer Place, Sydney NSW |
2000, Australia | |
SIGNATURE
Print Name: | Kelvin Kwok | Capacity: | Authorised signatory | |
Sign Here: | Date: | 14 February 2020 | ||
Appendix A
Consideration | Class (6) of | Securities | Person's votes | ||||
Date of change | Person whose relevant interest changed | Nature of change (4) | (5) | securities | affected | affected | Remark |
Merrill Lynch International (Australia) | Securities | ||||||
1/31/2020 | Limited | returned | N/A | Ordinary | (38,936) | (38,936) | Refer to App. B |
Merrill Lynch International (Australia) | Securities | ||||||
2/11/2020 | Limited | returned | N/A | Ordinary | (2,893,912) | (2,893,912) | Refer to App. B |
Merrill Lynch International (Australia) | Securities | ||||||
2/11/2020 | Limited | returned | N/A | Ordinary | (4,013,653) | (4,013,653) | Refer to App. B |
Merrill Lynch International (Australia) | Securities | ||||||
2/11/2020 | Limited | returned | N/A | Ordinary | (4,955,389) | (4,955,389) | Refer to App. B |
Merrill Lynch International (Australia) | |||||||
1/31/2020 | Limited | BUY | 280 | Ordinary | 1,192 | 1,192 | N/A |
Merrill Lynch International (Australia) | |||||||
2/3/2020 | Limited | BUY | 208 | Ordinary | 904 | 904 | N/A |
Merrill Lynch International (Australia) | |||||||
2/4/2020 | Limited | BUY | 243 | Ordinary | 971 | 971 | N/A |
Merrill Lynch International (Australia) | |||||||
2/4/2020 | Limited | BUY | 363 | Ordinary | 1,450 | 1,450 | N/A |
Merrill Lynch International (Australia) | |||||||
2/5/2020 | Limited | BUY | 285 | Ordinary | 1,165 | 1,165 | N/A |
Merrill Lynch International (Australia) | |||||||
2/5/2020 | Limited | BUY | 410 | Ordinary | 1,672 | 1,672 | N/A |
Merrill Lynch International (Australia) | |||||||
2/6/2020 | Limited | BUY | 434 | Ordinary | 1,700 | 1,700 | N/A |
Merrill Lynch International (Australia) | |||||||
2/7/2020 | Limited | BUY | 612 | Ordinary | 2,447 | 2,447 | N/A |
Merrill Lynch International (Australia) | |||||||
2/7/2020 | Limited | BUY | 809 | Ordinary | 3,237 | 3,237 | N/A |
Merrill Lynch International (Australia) | |||||||
2/11/2020 | Limited | BUY | 616 | Ordinary | 2,462 | 2,462 | N/A |
Merrill Lynch International (Australia) | |||||||
2/12/2020 | Limited | BUY | 454 | Ordinary | 1,854 | 1,854 | N/A |
Appendix B-1: Prescribed information
Type of agreement | International Prime Brokerage Agreement |
Parties to agreement | Merrill Lynch International, Merrill Lynch International (Australia) Limited and Regal Funds |
Management Pty Limited as Trustee of Regal Australian Long Short Equity Fund | |
Holder of voting rights | Securities borrower. Securities lender may instruct the registered holder to vote on securities. |
Are there any | No |
restrictions on voting | |
rights? | |
If yes, detail | N/A |
Scheduled return date | On recall of the securities loan by the securities lender. |
(if any) | |
Does the borrower have | Yes |
the right to return | |
early? | |
If yes, detail | Securities borrower will have right to return assets at any time. |
Does the lender have | Yes |
the right to recall | |
early? | |
If yes, detail | Securities lender will have right to recall assets at any time. |
Will the securities be | Yes |
returned on settlement? | |
If yes, detail any | N/A |
exceptions | |
Appendix B-2: Prescribed information
Type of agreement | International Prime Brokerage Agreement |
Parties to agreement | Merrill Lynch International, Merrill Lynch International (Australia) Limited and Regal Funds |
Management Pty Limited as Trustee of Tasman Market Neutral Fund | |
Holder of voting rights | Securities borrower. Securities lender may instruct the registered holder to vote on securities. |
Are there any | No |
restrictions on voting | |
rights? | |
If yes, detail | N/A |
Scheduled return date | On recall of the securities loan by the securities lender. |
(if any) | |
Does the borrower have | Yes |
the right to return | |
early? | |
If yes, detail | Securities borrower will have right to return assets at any time. |
Does the lender have | Yes |
the right to recall | |
early? | |
If yes, detail | Securities lender will have right to recall assets at any time. |
Will the securities be | Yes |
returned on settlement? | |
If yes, detail any | N/A |
exceptions | |
Appendix B-3: Prescribed information
Type of agreement | International Prime Brokerage Agreement |
Parties to agreement | Merrill Lynch International, Merrill Lynch International (Australia) Limited and Regal Funds |
Management Pty Limited as Trustee of Atlantic Absolute Return Fund | |
Holder of voting rights | Securities borrower. Securities lender may instruct the registered holder to vote on securities. |
Are there any | No |
restrictions on voting | |
rights? | |
If yes, detail | N/A |
Scheduled return date | On recall of the securities loan by the securities lender. |
(if any) | |
Does the borrower have | Yes |
the right to return | |
early? | |
If yes, detail | Securities borrower will have right to return assets at any time. |
Does the lender have | Yes |
the right to recall | |
early? | |
If yes, detail | Securities lender will have right to recall assets at any time. |
Will the securities be | Yes |
returned on settlement? | |
If yes, detail any | N/A |
exceptions | |
Appendix B-5: Prescribed information
Type of agreement | International Prime Brokerage Agreement |
Parties to agreement | Merrill Lynch International, Merrill Lynch International (Australia) Limited and Susquehanna |
Pacific Pty Ltd | |
Holder of voting rights | Securities borrower. Securities lender may instruct the registered holder to vote on securities. |
Are there any | No |
restrictions on voting | |
rights? | |
If yes, detail | N/A |
Scheduled return date | On recall of the securities loan by the securities lender. |
(if any) | |
Does the borrower have | Yes |
the right to return | |
early? | |
If yes, detail | Securities borrower will have right to return assets at any time. |
Does the lender have | Yes |
the right to recall | |
early? | |
If yes, detail | Securities lender will have right to recall assets at any time. |
Will the securities be | Yes |
returned on settlement? | |
If yes, detail any | N/A |
exceptions | |
Appendix C
ACN/Registration/Incorporation | ||
Related bodies corporate | Incorporated | Number |
Merrill Lynch (Australia) Futures Limited | Australia | 003639674 |
Merrill Lynch International (Australia) Limited | Australia | 002892846 |
Merrill Lynch Markets (Australia) Pty. Limited | Australia | 075587816 |
Merrill Lynch (Australasia) Pty. Limited | Australia | 075923894 |
Bank of America Global Holdings, LLC | United States | 5169939 |
BofAML Jersey Holdings Limited | Jersey | 115831 |
NB Holdings Corporation | United States | 2361372 |
Bank of America Corporation | United States | N/A628 |
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Base Resources Limited published this content on 14 February 2020 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 14 February 2020 11:26:12 UTC