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MarketScreener Homepage  >  Equities  >  AUSTRALIAN SECURITIES EXCHANGE LIMITED  >  Base Resources Limited    BSE   AU000000BSE5

BASE RESOURCES LIMITED

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Base Resources : 15/08/2019 Notice of Change of Interests of Substantial Holder - UBS (200.2 KiB) View Document

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08/14/2019 | 08:17pm EDT

Form 604

Corporations Law

Section 671B

Notice of change of interests of substantial holder

To: Company Name/Scheme

BASE RESOURCES LIMITED

ACN/ARSN

125 546 910

1. Details of substantial holder

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

12

Aug 2019

The previous notice was given to the company on

16

July 2019

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

95,586,919

8.19%

69,577,898

5.96%

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

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 Securities

Brispot

UBS Securities

Beneficial Owner

55,636,382

55,636,382

Australia Ltd

Nominees Pty

Australia Ltd

Ordinary

Ltd

UBS AG, Australia

UBS Nominees

UBS AG, Australia

Prime Broker that has

13,941,516

13,941,516

Branch

Pty Ltd

Branch

exercised its borrowing right

Ordinary

in respect of shares pursuant

to a Prime Broking

Agreement (see Appendix A)

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

Address

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

UBS AG, Australia Branch

Level 16, Chifley Tower, 2 Chifley Square, Sydney, Australia

UBS Nominees Pty Ltd

Level 16, Chifley Tower, 2 Chifley Square, Sydney, Australia

SIGNATURE

Print Name:

Andrew Costley

Capacity:

Authorised signatory

Sign Here:

Date:

14 August 2019

Print Name:

Joanne Chan

Capacity:

Authorised signatory

Sign Here:

Date:

14 August 2019

Contact details for this notice:

-----------------------------------------------------

Andrew Costley

Group Compliance, Regulatory & Governance

  1. + 852 3712 3707
    ------------------------------------------------------------

Appendix A

Holder of relevant interest

UBS AG, Australia Branch

Type of agreement

Prime Brokerage Agreement

Parties to agreement

(i) UBS AG, Australia Branch

("UBS AG")

(ii) Client (Please refer to Appendix

A-1.)

Transfer date

Please refer to Appendix A-1.

Holder of voting rights

UBS AG

Are there any restrictions on

Please refer to the details below.

voting rights?

If yes, detail

Since all right and title in the

securities passes to the transferee

(i.e. UBS AG), 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 any)

None, subject to the terms of the

relevant loan.

Does the borrower have the right

Yes.

to return early?

If yes, detail

The borrower (i.e. UBS AG) has the

right to return at its discretion.

Does the lender have the right to

Yes.

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 returned on

Yes.

settlement?

If yes, detail any exceptions

None.

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

Prime Brokerage Agreement - UBS AG, Australia Branch

Parties to agreement

Transfer date

Regal Funds Management Pty Ltd as trustee and manager of Atlantic Absolute Return

(i)

10 July 2018

Fund

Regal Funds Management Pty Limited as trustee for Regal Australian Long Short Geared

(i)

10 July 2018

Equity Fund

Regal Funds Management Pty Limited as Trustee of the Regal Australian Small

(i)

10 July 2018

Companies Fund

BSE - Appendix B

Date of change

Person whose relevant interest changed

Nature of Change

Consideration given in

Number of securities

Class

relation to change

17-Jul-19

UBS Securities Australia Ltd

Sell

814

(3,070)

Ordinary

18-Jul-19

UBS Securities Australia Ltd

Sell

4,966

(19,100)

Ordinary

18-Jul-19

UBS Securities Australia Ltd

Buy

3,926

15,100

Ordinary

19-Jul-19

UBS Securities Australia Ltd

Buy

69

270

Ordinary

22-Jul-19

UBS Securities Australia Ltd

Sell

4,373

(16,500)

Ordinary

22-Jul-19

UBS Securities Australia Ltd

Buy

5,698

21,500

Ordinary

24-Jul-19

UBS Securities Australia Ltd

Sell

6,612

(25,254)

Ordinary

24-Jul-19

UBS Securities Australia Ltd

Buy

6,864

26,400

Ordinary

26-Jul-19

UBS Securities Australia Ltd

Sell

1,735

(6,548)

Ordinary

31-Jul-19

UBS Securities Australia Ltd

Buy

734

2,820

Ordinary

01-Aug-19

UBS Securities Australia Ltd

Sell

465

(1,753)

Ordinary

06-Aug-19

UBS Securities Australia Ltd

Buy

490

2,000

Ordinary

07-Aug-19

UBS Securities Australia Ltd

Sell

697

(2,786)

Ordinary

09-Aug-19

UBS Securities Australia Ltd

Buy

357

1,400

Ordinary

09-Aug-19

UBS Securities Australia Ltd

Sell

893

(3,500)

Ordinary

12-Aug-19

UBS Securities Australia Ltd

Sell

6,500,000

(26,000,000)

Ordinary

This is an excerpt of the original content. To continue reading it, access the original document here.

Disclaimer

Base Resources Limited published this content on 15 August 2019 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 15 August 2019 00:16:06 UTC

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