Notice Corporations Act Subsection 259C(2)
Notice given in accordance with Corporations Act Subsection 259C(2) Exemption
To Market Announcements Office
Australian Securities Exchange
Level 4
20 Bridge Street
SYDNEY NSW 2000
1. Name of Company
Australia and New Zealand Banking Group Limited ABN 11 005 357 522 (“ANZ”) gives
notice of the aggregated percentage of voting shares in ANZ, in respect of which its
associated entities have (1) the power to control voting or disposal and voting shares
underlying derivatives and (2) a net economic exposure, in accordance with the terms
of an exemption granted by the Australian Securities and Investments Commission
pursuant to subsection 259C(2) of the Corporations Act.
Date of present notice: 11 January 2017
The previous notice was given to the ASX on: 28 December 2016
The previous notice was dated: 28 December 2016
2. Issued Share Capital
2,936,037,009 fully paid Ordinary Shares in the capital of ANZ have been issued as at
10 January 2017.
3(a). Previous and
present aggregated %
of Voting Shares
The aggregated number and percentage of shares in each class of voting shares in ANZ
in respect of which its controlled entities have power to control voting or disposal and
voting shares underlying derivatives, when last required, and when now required, to
give a notice to the ASX are:
Class of Shares
Previous Notice Present Notice
Total Number % of Total Shares Total Number % of Total Shares
Ordinary Fully Paid
23,375,459 0.80%
23,393,151 0.80%
3(b). Previous and
present net economic
exposure % of Voting
Shares
The aggregated number and percentage of shares in each class of voting shares in ANZ
in respect of which its controlled entities have a net economic exposure, when last
required, and when now required, to give a notice to the ASX are:
Class of Shares
Previous Notice Present Notice
Total Number % of Total Shares Total Number % of Total Shares
Ordinary Fully Paid
23,375,459 0.80%
23,393,151 0.80%
4. Details of Controlled
Entity Holdings
The following controlled entities are the holders in the Voting Shares referred to in
paragraph 3 above.
Registered Holder Controlled Entity entitled to be
registered
Number of Shares % of Total Shares
ANZEST Pty Ltd as Trustee for
ANZ Employee Share
Acquisition Plan
ANZEST Pty Ltd as Trustee for ANZ
Employee Share Acquisition Plan
58,706 0.00%
Reserve Bank of NZ
ANZ New Zealand Investments
Limited on behalf of various
investment funds and client
portfolios 36,180 0.00%
Registered Holder Controlled Entity entitled to be
registered
Number of Shares % of Total Shares
ANZ NZ Investments Nominees
/ Reserve Bank of NZ /
Citicorp Nominees
ANZ New Zealand Investments
Limited on behalf of various
investment funds and client
portfolios 3,959 0.00%
JP Morgan Chase Bank
ANZ New Zealand Investments
Limited on behalf of various
investment funds and client
portfolios 1,415,416 0.05%
JP Morgan Chase Bank /
Reserve Bank of NZ
ANZ New Zealand Investments
Limited on behalf of various
investment funds and client
portfolios 69,363 0.00%
ANZ Custodial Services New
Zealand Limited
ANZ Custodial Services New
Zealand Limited as trustee for
various private clients 1,006,139 0.04%
JP Morgan Chase Bank
OnePath Funds Management Ltd as
responsible entity for OnePath
Wholesale Protected Aus 50 Trust 24,330 0.00%
ANZ Nominees Limited
OnePath Funds Management Ltd as
responsible entity for
ANZ Australian Industrial Equities
Fund 1,247,023 0.04%
ANZ Nominees Limited
OnePath Funds Management Ltd as
responsible entity for ANZ Select
Leaders Pool 746,010 0.03%
JP Morgan Chase Bank
OnePath Funds Management Ltd as
responsible entity for Tax
Effective Income Trust 355,784 0.01%
JP Morgan Chase Bank
OnePath Funds Management Ltd as
responsible entity for
OnePath Sustainable Investments -
Wholesale Australian Share Trust 54,222 0.00%
JP Morgan Chase Bank
OnePath Funds Management Ltd as
responsible entity for
Blue Chip Pool 1,210,089 0.04%
JP Morgan Chase Bank
OnePath Funds Management Ltd as
responsible entity for
OPTIMIX WHOLESALE AUSTRALIAN
SHARES TRUST ARNHEM 130/30 824,481 0.03%
JP Morgan Chase Bank
OnePath Funds Management Ltd as
responsible entity for OPTIMIX
WHOLESALE AUSTRALIAN SHARES
TRUST - VINVA 647,464 0.02%
JP Morgan Chase Bank
OnePath Funds Management Ltd as
responsible entity for Optimix
Wholesale Australian Share Trust 1,145,274 0.04%
JP Morgan Chase Bank
OnePath Funds Management Ltd as
responsible entity for
OnePath Australian Shares Index
Pool 6,374,907 0.22%
JP Morgan Chase Bank
OnePath Funds Management Ltd as
responsible entity OnePath
Australian Shares – Imputation
Index Pool 6,903,287 0.24%
Registered Holder Controlled Entity entitled to be
registered
Number of Shares % of Total Shares
JP Morgan Chase Bank
OnePath Funds Management Ltd as
responsible entity for OnePath
Passive Defensive Pool 0 0.00%
HSBC Custody Nominees ACF
OASIS
Oasis Fund Management Limited as
responsible entity for Oasis Asset
Management Ltd 0 0.00%
OnePath Custodians Pty Ltd
OnePath Custodians Pty Ltd as
responsible entity for Grow Wrap
ADG 7,070 0.00%
OnePath Custodians Pty Ltd
OnePath Custodians Pty Ltd as
responsible entity for Dominion
16,758 0.00%
OnePath Custodians Pty Ltd
OnePath Custodians Pty Ltd as
responsible entity for FSP
57,958 0.00%
OnePath Custodians Pty Ltd
OnePath Custodians Pty Ltd as
responsible entity for Mentor
10,065 0.00%
OnePath Custodians Pty Ltd
OnePath Custodians Pty Ltd as
responsible entity for Matrix
28,090 0.00%
OnePath Custodians Pty Ltd
OnePath Custodians Pty Ltd as
responsible entity for Voyage
428,590 0.02%
OnePath Custodians Pty Ltd
OnePath Custodians Pty Ltd as
responsible entity for Wealthtrac
125,905 0.00%
OnePath Custodians Pty Ltd
OnePath Custodians Pty Ltd as
responsible entity for Portfolio
One 596,081 0.02%
Aggregation
23,393,151 0.80%
5. Changes in Voting
Shares
Particulars of change in voting shares in ANZ in respect of which its controlled entities
are or were entitled since ANZ was last required to give a notice to the ASX are:
Date of
Change
Controlled
Entity entitled
whose
shareholding
changed
Nature of Change
Consideration
given in relation
to change
Class of Share
Number of
Shares
28/12/2016
ANZEST Pty Ltd
as Trustee for
ANZ Employee
Share
Acquisition Plan
(the “Plan”)
The change in
holding occurred as
a result of shares
under the Plan
being forfeited due
to cessation of an
individual’s
employment or
vesting conditions
not being met and /
or shares being
allocated under the
Plan
Not applicable
Ordinary fully
paid
8
29/12/2016
ANZEST Pty Ltd
as Trustee for
ANZ Employee
Share
Acquisition Plan
(the “Plan”)
The change in
holding occurred as
a result of shares
under the Plan
being forfeited due
to cessation of an
individual’s
employment or
vesting conditions
not being met and /
or shares being
allocated under the
Plan
Not applicable
Ordinary fully
paid
14
29/12/2016
ANZ Custodial
Services New
Zealand
Limited as
trustee for
various private
clients
On-market purchase 192.97
Ordinary fully
paid
6
29/12/2016
ANZ Custodial
Services New
Zealand
Limited as
trustee for
various private
clients
On-market purchase 737.12
Ordinary fully
paid
23
29/12/2016
ANZ Custodial
Services New
Zealand
Limited as
trustee for
various private
clients
On-market purchase 10,259.38
Ordinary fully
paid
319
29/12/2016
ANZ Custodial
Services New
Zealand
Limited as
trustee for
various private
clients
On-market purchase 32.05
Ordinary fully
paid
1
29/12/2016
ANZ Custodial
Services New
Zealand
Limited as
trustee for
various private
clients
On-market purchase 546.73
Ordinary fully
paid
17
29/12/2016
ANZ Custodial
Services New
Zealand
Limited as
trustee for
various private
clients
On-market purchase 673.03
Ordinary fully
paid
21
29/12/2016
ANZ Custodial
Services New
Zealand
Limited as
trustee for
various private
clients
On-market purchase 9,391.02
Ordinary fully
paid
292
29/12/2016
ANZ Custodial
Services New
Zealand
Limited as
trustee for
various private
clients
On-market sale 929.42
Ordinary fully
paid
-29
29/12/2016
ANZ Custodial
Services New
Zealand
Limited as
trustee for
various private
clients
On-market purchase 64.10
Ordinary fully
paid
2
29/12/2016
ANZ Custodial
Services New
Zealand
Limited as
trustee for
various private
clients
On-market purchase 1,318.60
Ordinary fully
paid
41
29/12/2016
ANZ Custodial
Services New
Zealand
Limited as
trustee for
various private
clients
On-market sale 1,730.64
Ordinary fully
paid
-54
29/12/2016
ANZ Custodial
Services New
Zealand
Limited as
trustee for
various private
clients
On-market purchase 256.39
Ordinary fully
paid
8
29/12/2016
ANZ Custodial
Services New
Zealand
Limited as
trustee for
various private
clients
On-market purchase 3,762.84
Ordinary fully
paid
117
29/12/2016
ANZ Custodial
Services New
Zealand
Limited as
trustee for
various private
clients
On-market purchase 576.88
Ordinary fully
paid
18
29/12/2016
ANZ Custodial
Services New
Zealand
Limited as
trustee for
various private
clients
On-market purchase 7,847.30
Ordinary fully
paid
244
29/12/2016
ANZ Custodial
Services New
Zealand
Limited as
trustee for
various private
clients
On-market purchase 320.49
Ordinary fully
paid
10
29/12/2016
ANZ Custodial
Services New
Zealand
Limited as
trustee for
various private
clients
On-market purchase 4,759.83
Ordinary fully
paid
148
29/12/2016
OnePath Funds
Management
Ltd as
responsible
entity for
OnePath
Wholesale
Protected Aus
50 Trust
On-market purchase 1,791.63
Ordinary fully
paid
58
29/12/2016
OnePath
Custodians Pty
Ltd as
responsible
entity for
Wealthtrac
On-market sale 12,934.96
Ordinary fully
paid
-423
29/12/2016
OnePath
Custodians Pty
Ltd as
responsible
entity for
Wealthtrac
On-market sale 8,454.52
Ordinary fully
paid
-277
30/12/2016
ANZEST Pty Ltd
as Trustee for
ANZ Employee
Share
Acquisition Plan
(the “Plan”)
The change in
holding occurred as
a result of shares
under the Plan
being forfeited due
to cessation of an
individual’s
employment or
vesting conditions
not being met and /
or shares being
allocated under the
Plan
Not applicable
Ordinary fully
paid
13,175
30/12/2016
OnePath Funds
Management
Ltd as
responsible
entity for
OnePath
Wholesale
Protected Aus
50 Trust
On-market purchase 13,450.07
Ordinary fully
paid
442
30/12/2016
OnePath
Custodians Pty
Ltd as
responsible
entity for
Wealthtrac
On-market sale 7,314.01
Ordinary fully
paid
-240
3/01/2017
ANZEST Pty Ltd
as Trustee for
ANZ Employee
Share
Acquisition Plan
(the “Plan”)
The change in
holding occurred as
a result of shares
under the Plan
being forfeited due
to cessation of an
individual’s
employment or
vesting conditions
not being met and /
or shares being
allocated under the
Plan
Not applicable
Ordinary fully
paid
2
3/01/2017
OnePath Funds
Management
Ltd as
responsible
entity for
OnePath
Wholesale
Protected Aus
50 Trust
On-market sale 20,661.10
Ordinary fully
paid
-668
3/01/2017
OnePath
Custodians Pty
Ltd as
responsible
entity for
Voyage
On-market sale 14,678.41
Ordinary fully
paid
-476
3/01/2017
OnePath
Custodians Pty
Ltd as
responsible
entity for
Voyage
On-market sale 9,666.33
Ordinary fully
paid
-314
3/01/2017
OnePath
Custodians Pty
Ltd as
responsible
entity for
Voyage
On-market sale 9,187.15
Ordinary fully
paid
-298
3/01/2017
OnePath
Custodians Pty
Ltd as
responsible
entity for
Voyage
On-market sale 14,166.88
Ordinary fully
paid
-459
4/01/2017
ANZEST Pty Ltd
as Trustee for
ANZ Employee
Share
Acquisition Plan
(the “Plan”)
The change in
holding occurred as
a result of shares
under the Plan
being forfeited due
to cessation of an
individual’s
employment or
vesting conditions
not being met and /
or shares being
allocated under the
Plan
Not applicable
Ordinary fully
paid
4,791
4/01/2017
OnePath Funds
Management
Ltd as
responsible
entity for
OnePath
Wholesale
Protected Aus
50 Trust
On-market purchase 12,773.19
Ordinary fully
paid
409
4/01/2017
OnePath
Custodians Pty
Ltd as
responsible
entity for
Voyage
On-market sale 4,173.91
Ordinary fully
paid
-135
4/01/2017
OnePath
Custodians Pty
Ltd as
responsible
entity for
Voyage
On-market sale 10,907.17
Ordinary fully
paid
-351
5/01/2017
ANZ Custodial
Services New
Zealand
Limited as
trustee for
various private
clients
On-market purchase 2,450.59
Ordinary fully
paid
75
5/01/2017
ANZ Custodial
Services New
Zealand
Limited as
trustee for
various private
clients
On-market purchase 3,561.52
Ordinary fully
paid
109
5/01/2017
ANZ Custodial
Services New
Zealand
Limited as
trustee for
various private
clients
On-market purchase 4,116.99
Ordinary fully
paid
126
5/01/2017
ANZ Custodial
Services New
Zealand
Limited as
trustee for
various private
clients
On-market purchase 4,116.99
Ordinary fully
paid
126
5/01/2017
ANZ Custodial
Services New
Zealand
Limited as
trustee for
various private
clients
On-market purchase 12,122.25
Ordinary fully
paid
371
6/01/2017
ANZEST Pty Ltd
as Trustee for
ANZ Employee
Share
Acquisition Plan
(the “Plan”)
The change in
holding occurred as
a result of shares
under the Plan
being forfeited due
to cessation of an
individual’s
employment or
vesting conditions
not being met and /
or shares being
allocated under the
Plan
Not applicable
Ordinary fully
paid
3,462
6/01/2017
OnePath
Custodians Pty
Ltd as
responsible
entity for
Wealthtrac
On-market sale 11,354.36
Ordinary fully
paid
-365
9/01/2017
ANZEST Pty Ltd
as Trustee for
ANZ Employee
Share
Acquisition Plan
(the “Plan”)
The change in
holding occurred as
a result of shares
under the Plan
being forfeited due
to cessation of an
individual’s
employment or
vesting conditions
not being met and /
or shares being
allocated under the
Plan
Not applicable
Ordinary fully
paid
74
9/01/2017
OnePath
Custodians Pty
Ltd as
responsible
entity for Grow
Wrap – Aligned
Dealer Group
On-market purchase 16,730.49
Ordinary fully
paid
526
9/01/2017
OnePath
Custodians Pty
Ltd as
responsible
entity for Grow
Wrap – Aligned
Dealer Group
On-market purchase 10,829.46
Ordinary fully
paid
341
9/01/2017
OnePath
Custodians Pty
Ltd as
responsible
entity for Grow
Wrap – Aligned
Dealer Group
On-market purchase 9,983.79
Ordinary fully
paid
314
9/01/2017
OnePath
Custodians Pty
Ltd as
responsible
entity for
Wealthtrac
On-market sale 1,875.61
Ordinary fully
paid
-60
9/01/2017
OnePath
Custodians Pty
Ltd as
responsible
entity for
PortfolioOne
On-market sale 49,301.26
Ordinary fully
paid
-1,567
9/01/2017
OnePath
Custodians Pty
Ltd as
responsible
entity for
Voyage
On-market sale 49,520.42
Ordinary fully
paid
-1,567
9/01/2017
OnePath
Custodians Pty
Ltd as
responsible
entity for
Voyage
On-market sale 4,426.21
Ordinary fully
paid
-140
9/01/2017
OnePath
Custodians Pty
Ltd as
responsible
entity for
Voyage
On-market sale 3,945.01
Ordinary fully
paid
-125
9/01/2017
OnePath
Custodians Pty
Ltd as
responsible
entity for
Matrix
On-market sale 2,749.93
Ordinary fully
paid
-88
10/01/2017
ANZEST Pty Ltd
as Trustee for
ANZ Employee
Share
Acquisition Plan
(the “Plan”)
The change in
holding occurred as
a result of shares
under the Plan
being forfeited due
to cessation of an
individual’s
employment or
vesting conditions
not being met and /
or shares being
allocated under the
Plan
Not applicable
Ordinary fully
paid
14
10/01/2017
OnePath Funds
Management
Ltd as
responsible
entity for
OnePath
Wholesale
Protected Aus
50 Trust
On-market purchase 16,208.39
Ordinary fully
paid
518
10/01/2017
OnePath
Custodians Pty
Ltd as
responsible
entity for Grow
Wrap – Aligned
Dealer Group
On-market purchase 9,972.76
Ordinary fully
paid
311
10/01/2017
OnePath
Custodians Pty
Ltd as
responsible
entity for
Voyage
On-market sale 21,473.11
Ordinary fully
paid
-687
10/01/2017
OnePath
Custodians Pty
Ltd as
responsible
entity for
PortfolioOne
On-market sale 1,123.66
Ordinary fully
paid
-37
10/01/2017
OnePath
Custodians Pty
Ltd as
responsible
entity for
Wealthtrac
On-market sale 14,948.35
Ordinary fully
paid
-481
Addresses The addresses of entities named in this form are as follows:
Name Address
ANZ Level 9A, ANZ Centre Melbourne, 833 Collins Street, Docklands Vic 3008
ANZ Nominees
Limited
Level 9A, ANZ Centre Melbourne, 833 Collins Street, Docklands Vic 3008
ANZEST Pty Ltd Level 9A, ANZ Centre Melbourne, 833 Collins Street, Docklands Vic 3008
ANZ New Zealand
Investments
Limited
ANZ Centre, 23-29 Albert Street, Auckland, New Zealand
HSBC Custody
Nominees
PO Box 8522, Perth WA 6849
Citicorp Nominees
Pty Limited
Level 15, 120 Collins Street, Melbourne VIC 3000
OnePath Funds
Management Ltd
Level 23, 242 Pitt Street, Sydney NSW 2000
OnePath
Custodians Pty Ltd
Level 23, 242 Pitt Street, Sydney NSW 2000
Oasis Asset
Management Ltd
Level 23, 242 Pitt Street, Sydney NSW 2000
Oasis Fund
Management Ltd
Level 23, 242 Pitt Street, Sydney NSW 2000
JP Morgan Chase
Bank
85 Castlereagh Street, Sydney NSW 2000
ANZ NZ
Investments
Nominees Limited
ANZ Centre, 23-29 Albert Street, Auckland, New Zealand
Reserve Bank of NZ 2 The Terrace, PO Box 2498 Wellington 6011, New Zealand
ANZ Custodial
Services New
Zealand Limited
ANZ Centre, 23-29 Albert Street, Auckland, New Zealand
print name
Simon Pordage
Capacity
Company Secretary
Sign here
Date
11 January 2017
Data sourced from publicly available filings. Our datasets may not be complete. Automated analysis can produce errors. If you believe any data on this page is incorrect, please contact us at hello@nzxplorer.co.nz. For informational purposes only. Not investment advice.
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