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AFG Australian Finance : Change in substantial holding Opens in a new Window

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08/14/2019 | 05:32am EDT

Form 604

Corporations Act 2001

Section 671B

Notice of change of interests of substantial holder

To: Company Name/Scheme:

AUSTRALIAN FINANCE GROUP LTD

ACN/ARSN

066 385 822

1. Details of substantial holder

Name

Carol Australia Holdings Pty Limited ACN 630 725 558 and its related bodies corporate listed in annexure A

There was a change in the interests of the

12/08/2019

substantial holder on

The previous notice was given to the company on

05/08/2019

The previous notice was dated

02/08/2019

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 had a relevant interest 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

Previous notice

Present notice

Person's votes

Voting power (%)

Person's votes

Voting power (%)

Fully Paid ordinary shares

29,980,911

13.96

27,733,673*

12.91*

*Note these securities are comprised of 26,603,785 in which Carol and its subsidiaries have voting power and 1,129,888 in which Carol's parent entity parent entity (Mitsubishi UFJ Group on and from 2 August 2019), has informed us that it has voting power prior to the date of this notice .

3. Changes in relevant interest

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

Consideration given in

Class and number

Person's votes

relevant interest

Nature of change

of securities

change

relation to change

affected

changed

affected

See annexure B to this notice

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 holder

Person entitled to be

Nature of relevant

Class and number

relevant

Person's votes

of securities

registered as holder

interest

of securities

interest

Relevant interest under paragraph

608(1)(b) and/or 608(1)(c) of the

Corporations Act 2001 (Cth), being a

relevant interest arising from having the

power to control the exercise of the right

to vote attached to securities and/or to

control the exercise of the power to

dispose of securities in its capacity as

Colonial First State Asset

investment manager (as provided for

Citibank N A Hong Kong

under its investment mandates). In

Fully paid

6,718,881

Management (Australia)

addition, if any OTC derivatives,

6,718,881

ordinary shares

Limited ACN 114 194 311

warrants or other securities (other than

ordinary shares or ordinary units (as

applicable)) are referred to below in this

row, the relevant interest in respect of

those securities arises under subsection

608(8) being an accelerated relevant

interest held in the same capacity.

Page 1

Holder of

Registered holder

Person entitled to be

Nature of relevant

Class and number

Person's votes

relevant

of securities

registered as holder

interest

of securities

interest

Relevant interest under paragraph

608(1)(b) and/or 608(1)(c) of the

Corporations Act 2001 (Cth), being a

relevant interest arising from having the

power to control the exercise of the right

to vote attached to securities and/or to

control the exercise of the power to

dispose of securities in its capacity as

investment manager (as provided for

Colonial First State Asset

Citicorp Nominees Pty

under its investment mandates). In

Fully paid

addition, if any OTC derivatives,

12,441,607

Management (Australia)

Limited (Australia)

12,441,607 ordinary shares

warrants or other securities (other than

Limited ACN 114 194 311

ordinary shares or ordinary units (as

applicable)) are referred to below in this

row, the relevant interest in respect of

those securities arises under subsection

608(8) being an accelerated relevant

interest held in the same capacity.

Relevant interest under paragraph

608(1)(b) and/or 608(1)(c) of the

Corporations Act 2001 (Cth), being a

relevant interest arising from having the

power to control the exercise of the right

to vote attached to securities and/or to

control the exercise of the power to

dispose of securities in its capacity as

Colonial First State Asset

investment manager (as provided for

Fully paid

Northern Trust Company

under its investment mandates). In

1,806,065

Management (Australia)

1,806,065

Limited ACN 114 194 311

addition, if any OTC derivatives,

ordinary shares

warrants or other securities (other than

ordinary shares or ordinary units (as

applicable)) are referred to below in this

row, the relevant interest in respect of

those securities arises under subsection

608(8) being an accelerated relevant

interest held in the same capacity.

Relevant interest under paragraph

608(1)(b) and/or 608(1)(c) of the

Corporations Act 2001 (Cth), being a

relevant interest arising from having the

power to control the exercise of the right

to vote attached to securities and/or to

control the exercise of the power to

dispose of securities in its capacity as

Colonial First State Asset

State Street Global

investment manager (as provided for

Fully paid

Management (Australia)

under its investment mandates). In

1,292,068

1,292,068

Limited ACN 114 194 311

Advisors (Australia) Limited

addition, if any OTC derivatives,

ordinary shares

warrants or other securities (other than

ordinary shares or ordinary units (as

applicable)) are referred to below in this

row, the relevant interest in respect of

those securities arises under subsection

608(8) being an accelerated relevant

interest held in the same capacity.

MUFJ owns 100% of Carol (indirectly)

and has informed Carol that it has a

relevant interest in the shares noted in

this column. Accordingly, Carol has a

relevant interest or voting power in

those shares pursuant to section 608(3)

Mitsubishi UFJ Financial

or section 12(2)(a) of the Corporations

Fully paid

Unknown

Act (as relevant). MUFJ has not

1,129,888

Group, Inc.

1,129,888 ordinary shares

provided any further details of that

relevant interest - accordingly no

transaction information is recorded in

Appendix B. Reference is made to any

subsequent filing of MUFJ which will

reflects this interest.

Relevant interest under paragraph

608(1)(b) and/or 608(1)(c) of the

Corporations Act 2001 (Cth), being a

relevant interest arising from having the

power to control the exercise of the right

to vote attached to securities and/or to

control the exercise of the power to

dispose of securities in its capacity as

Realindex Investments Pty

investment manager, as provided for

Fully paid

Citibank N A Hong Kong

under its investment mandates. In

2,586,754

2,586,754

Limited ACN 133 312 017

addition, if any OTC derivatives,

ordinary shares

warrants or other securities (other than

ordinary shares or ordinary units (as

applicable)) are referred to below in this

row, the relevant interest in respect of

those securities arises under subsection

608(8) being an accelerated relevant

interest held in the same capacity.

Page 2

Holder of

Registered holder

Person entitled to be

Nature of relevant

Class and number

Person's votes

relevant

of securities

registered as holder

interest

of securities

interest

Relevant interest under paragraph

608(1)(b) and/or 608(1)(c) of the

Corporations Act 2001 (Cth), being a

relevant interest arising from having the

power to control the exercise of the right

to vote attached to securities and/or to

control the exercise of the power to

dispose of securities in its capacity as

investment manager, as provided for

Realindex Investments Pty

under its investment mandates. In

Fully paid

JPMorgan (UK)

addition, if any OTC derivatives,

707,699

707,699

Limited ACN 133 312 017

warrants or other securities (other than

ordinary shares

ordinary shares or ordinary units (as

applicable)) are referred to below in this

row, the relevant interest in respect of

those securities arises under subsection

608(8) being an accelerated relevant

interest held in the same capacity.

Relevant interest under paragraph

608(1)(b) and/or 608(1)(c) of the

Corporations Act 2001 (Cth), being a

relevant interest arising from having the

power to control the exercise of the right

to vote attached to securities and/or to

control the exercise of the power to

dispose of securities in its capacity as

investment manager, as provided for

Realindex Investments Pty

National Custodian

under its investment mandates. In

1,050,711

Fully paid

1,050,711

addition, if any OTC derivatives,

Limited ACN 133 312 017

Services

warrants or other securities (other than

ordinary shares

ordinary shares or ordinary units (as

applicable)) are referred to below in this

row, the relevant interest in respect of

those securities arises under subsection

608(8) being an accelerated relevant

interest held in the same capacity.

5. Changes in association

The persons who have become associates of, ceased to be associates of, or have changed the nature of their association 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

6. Addresses

The addresses of persons named in this form are as follows:

Name

Address

Colonial First State Asset Management (Australia) Limited

ACN 114 194 311

Ground Floor Tower 1, 201 Sussex Street, Sydney, NSW, 2000, Australia

Mitsubishi UFJ Financial Group, Inc. Not Applicable

2-7-1, Marunouchi, Chiyoda-ku, Tokyo 100-8330, Japan

Realindex Investments Pty Limited

ACN 133 312 017

Ground Floor Tower 1, 201 Sussex Street, Sydney, NSW, 2000, Australia

Signature

Dated the 14 day of August 2019

Elizabeth Hastilow - Company Secretary

Page 3

Annexure A

This is annexure A referred to in Form 604, Notice of change of interest of substantial holder dated 12/08/2019

Elizabeth Hastilow

Company Secretary

Dated the 14/08/2019

SCHEDULE

CFSGAM IP HOLDINGS PTY LIMITED (ACN 625 765 399) CFSGAM SERVICES PTY LTD (ACN 624 305 595)

CFSPAI EUROPE CO LIMITED (COMPANY CODE C41267) CFSPAI EUROPE HOLDCO LIMITED (COMPANY CODE C41260)

COLONIAL FIRST STATE ASSET MANAGEMENT (AUSTRALIA) LIMITED (ACN 114 194 311)

COLONIAL FIRST STATE INFRASTRUCTURE HOLDINGS LIMITED (ACN 085 313 926)

COLONIAL FIRST STATE INFRASTRUCTURE MANAGERS (AUSTRALIA) PTY LTD (ACN 101 384 294) COLONIAL FIRST STATE INVESTMENT MANAGERS (UK) LIMITED (COMPANY NO. 00153197)

COLONIAL FIRST STATE MANAGED INFRASTRUCTURE LIMITED (ACN 006 464 428) EDIF II GP S.A.R.L. (COMPANY NO. B204413)

FIRST STATE EUROPEAN DIVERSIFIED INFRASTRUCTURE S.A.R.L. (COMPANY NO. B134314) FIRST STATE INFRASTRUCTURE MANAGERS (INTERNATIONAL) LIMITED (COMPANY NO. 298444) FIRST STATE INVESTMENT MANAGEMENT (UK) LIMITED (COMPANY NO. SC047708)

FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED (ACN 054 571 701) FIRST STATE INVESTMENT SERVICES (UK) LIMITED (COMPANY NO. 03904320) FIRST STATE INVESTMENTS (HONG KONG) LIMITED (CR NO. 0206616)

FIRST STATE INVESTMENTS (IRELAND) LIMITED (COMPANY NO. 629188)

FIRST STATE INVESTMENTS (JAPAN) LIMITED (COMPANY NUMBER 0104-01-093090) FIRST STATE INVESTMENTS (SINGAPORE) (COMPANY NO. 02294743)

FIRST STATE INVESTMENTS (UK HOLDINGS) LIMITED (COMPANY NO. 03904310) FIRST STATE INVESTMENTS (UK) LIMITED (COMPANY NO. 02294743)

FIRST STATE INVESTMENTS (US) LLC (FILE NUMBER 546 9442)

FIRST STATE INVESTMENTS FUND MANAGEMENT S.A.R.L (COMPANY NO. B128117)

FIRST STATE INVESTMENTS HOLDINGS (SINGAPORE) LIMITED (REGISTRATION NO. 199901706Z) FIRST STATE INVESTMENTS INTERNATIONAL LIMITED (COMPANY NO. SC079063)

FIRST STATE NOMINEES (HONG KONG) LIMITED (CR NO. 0206615)

FSIB LTD

MITSUBISHI UFJ FINANCIAL GROUP, INC

MITSUBISHI UFJ TRUST AND BANKING CORPORATION REALINDEX INVESTMENTS PTY LIMITED (ACN 133 312 017) SI HOLDINGS LIMITED (COMPANY NO. SC109439)

TOTAL KEEN INVESTMENT LIMITED (CR NO. 0580652)

Page 4

Annexure B

This is annexure B referred to in Form 604, Notice of change of interest of substantial holder dated 12/08/2019

Elizabeth Hastilow

Company Secretary

Dated the 14/08/2019

Person's

Person whose relevant interest

Consideration given in

Class and number of

votes

Date of change

changed

Nature of change

relation to change

securities affected

affected

Colonial First State Asset

Management (Australia) Limited

12,107 Ordinary shares

Monday, 12 August 2019

ACN 114 194 311

Sale

24,232.16

12,107

Colonial First State Asset

Management (Australia) Limited

462,772 Ordinary shares

Monday, 12 August 2019

ACN 114 194 311

Sale

925,544.00

462,772

Colonial First State Asset

Management (Australia) Limited

612 Ordinary shares

Monday, 12 August 2019

ACN 114 194 311

Sale

1,224.00

612

Colonial First State Asset

Management (Australia) Limited

1,096 Ordinary shares

Monday, 12 August 2019

ACN 114 194 311

Sale

2,192.66

1,096

Colonial First State Asset

Management (Australia) Limited

16,962 Ordinary shares

Monday, 12 August 2019

ACN 114 194 311

Sale

33,949.44

16,962

Colonial First State Asset

Management (Australia) Limited

490 Ordinary shares

Monday, 12 August 2019

ACN 114 194 311

Sale

980.29

490

Colonial First State Asset

Management (Australia) Limited

1,126,383 Ordinary shares

Monday, 12 August 2019

ACN 114 194 311

Sale

2,252,766.00

1,126,383

Colonial First State Asset

Management (Australia) Limited

216 Ordinary shares

Monday, 12 August 2019

ACN 114 194 311

Sale

432.13

216

Colonial First State Asset

Management (Australia) Limited

402 Ordinary shares

Monday, 12 August 2019

ACN 114 194 311

Sale

804.00

402

Colonial First State Asset

Management (Australia) Limited

61,562 Ordinary shares

Monday, 12 August 2019

ACN 114 194 311

Sale

123,216.34

61,562

Colonial First State Asset

Management (Australia) Limited

19,739 Ordinary shares

Monday, 12 August 2019

ACN 114 194 311

Sale

39,507.61

19,739

Colonial First State Asset

Management (Australia) Limited

562 Ordinary shares

Monday, 12 August 2019

ACN 114 194 311

Sale

1,124.00

562

Colonial First State Asset

Management (Australia) Limited

1,253 Ordinary shares

Monday, 12 August 2019

ACN 114 194 311

Sale

2,506.00

1,253

Colonial First State Asset

Management (Australia) Limited

534 Ordinary shares

Monday, 12 August 2019

ACN 114 194 311

Sale

1,068.32

534

Colonial First State Asset

Management (Australia) Limited

345 Ordinary shares

Monday, 12 August 2019

ACN 114 194 311

Sale

690.00

345

Colonial First State Asset

Management (Australia) Limited

246 Ordinary shares

Monday, 12 August 2019

ACN 114 194 311

Sale

492.00

246

Colonial First State Asset

Management (Australia) Limited

351 Ordinary shares

Monday, 12 August 2019

ACN 114 194 311

Sale

702.21

351

Colonial First State Asset

Management (Australia) Limited

30,042 Ordinary shares

Monday, 12 August 2019

ACN 114 194 311

Sale

60,129.06

30,042

Colonial First State Asset

Management (Australia) Limited

302 Ordinary shares

Monday, 12 August 2019

ACN 114 194 311

Sale

604.18

302

Colonial First State Asset

Management (Australia) Limited

27,588 Ordinary shares

Monday, 12 August 2019

ACN 114 194 311

Sale

55,217.38

27,588

Page 5

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

Disclaimer

AFG - Australian Finance Group Ltd. published this content on 14 August 2019 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 14 August 2019 09:31:09 UTC

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