SPH Notice – Commonwealth Bank of Australia
Disclosure of beginning to have substantial holding
Section 276, Financial Markets Conduct Act 2013
To NZX LIMITED
and
To SKY NETWORK TELEVISION LIMITED
Date this disclosure made: 19-Apr-2018
Date on which substantial holding began: 17-Apr-2018
Substantial product holder(s) giving disclosure
Full name(s): Commonwealth Bank of Australia
Summary of substantial holding
Class of quoted voting products: Ordinary shares
Summary for Commonwealth Bank of Australia
For this disclosure,—
(a) total number held in class: 20,047,078
(b) total in class: 389,139,785
(c) total percentage held in class: 5.152%
100080615/3821102.1 1
Details of relevant interests
Details for ASB Bank Limited ACN 398445
(a) Nature of relevant interest(s):
Relevant interest as a result of having the power to control the voting and disposal of the securities in its capacity as the provider of a discretionary investment management
service.
(b) number held in class: 989
(c) percentage held in class: 0.000%
Custodian Name
Custodian Total Holding
Custodian Total Holding(%)
Investment Custodial Services Limited
989
0.000%
Details for CBA Markets Limited ACN 003 485 952
(a) Nature of relevant interest(s):
Relevant interest arising as a result of 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
securities in a proprietary capacity (including as a result of underwriting activities).
(b) number held in class: 819,528
(c) percentage held in class: 0.211%
Custodian Name
Custodian Total Holding
Custodian Total Holding(%)
Share Direct Nominees Pty Limited
819,528
0.211%
Details for Commonwealth Bank Officers Superannuation Corporation Pty Limited ACN 074 519 798
(a) Nature of relevant interest(s):
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 trustee for the Officers' Superannuation Fund.
(b) number held in class: 1,903,640
(c) percentage held in class: 0.489%
Custodian Name
Custodian Total Holding
Custodian Total Holding(%)
Citicorp Nominees Pty Limited (Australia)
1,903,640
0.489%
Details for Colonial First State Asset Management (Australia) Limited ACN 114 194 311
(a) Nature of relevant interest(s):
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 under its investment mandates).
(b) number held in class: 7,543,779
(c) percentage held in class: 1.939%
Custodian Name
Custodian Total Holding
Custodian Total Holding(%)
Citibank N A Hong Kong
6,851,130
1.761%
Citicorp Nominees Pty Limited (New Zealand)
692,649
0.178%
Details for Colonial First State Investments Limited ACN 002 348 352
(a) Nature of relevant interest(s):
100080615/3821102.1 2
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 a responsible entity of a managed investment scheme (which managed investment scheme is not managed by Colonial First State Investments
Limited or a related body corporate).
(b) number held in class: 5,992,859
(c) percentage held in class: 1.540%
Custodian Name
Custodian Total Holding
Custodian Total Holding(%)
Citibank N A Hong Kong
881,508
0.227%
Citicorp Nominees Pty Limited (Australia)
4,290,680
1.103%
UBS Nominees Pty Ltd
820,671
0.211%
Details for Realindex Investments Pty Limited ACN 133 312 017
(a) Nature of relevant interest(s):
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 under its investment mandates).
(b) number held in class: 3,786,283
(c) percentage held in class: 0.973%
Custodian Name
Custodian Total Holding
Custodian Total Holding(%)
Citibank N A Hong Kong
2,938,462
0.755%
HSBC Bank Australia Limited
639,523
0.164%
National Bank Nominees Pty Limited
208,298
0.054%
Grand Total
20,047,078
5.152%
Details of transactions and events giving rise to substantial holding
Details of transactions or other events requiring disclosure:
See Appendix A
Additional information
Address(es) of substantial product holder(s):
* ASB Bank Limited ACN 398445, Level 2, ASB North Wharf, 12 Jellicoe Street, Auckland, 1010 , New Zealand
* CBA Markets Limited ACN 003 485 952, Ground Floor Tower 1, 201 Sussex Street, Sydney, NSW, 2000, Australia
* Commonwealth Bank Officers Superannuation Corporation Pty Limited ACN 074 519 798, Level 11 Tower 1, 201 Sussex St Sydney NSW 2001
* Colonial First State Asset Management (Australia) Limited ACN 114 194 311, Ground Floor Tower 1, 201 Sussex Street, Sydney, NSW, 2000, Australia
* Colonial First State Investments Limited ACN 002 348 352, Ground Floor Tower 1, 201 Sussex Street, Sydney, NSW, 2000, Australia
* Realindex Investments Pty Limited ACN 133 312 017, Ground Floor Tower 1, 201 Sussex Street, Sydney, NSW, 2000, Australia
* Commonwealth Bank of Australia, Ground Floor Tower 1, 201 Sussex Street, Sydney, NSW, 2000, Australia
100080615/3821102.1 3
Contact details:
Anitha Subramanian, +61 (0) 457 529 297, AUSR_SM02041@cba.com.au
*Nature of connection between substantial product holders:
Commonwealth Bank of Australia is a related body corporate of
ASB Bank Limited ACN 398445
CBA Markets Limited ACN 003 485 952
Commonwealth Bank Officers Superannuation Corporation Pty Limited ACN 074 519 798
Colonial First State Asset Management (Australia) Limited ACN 114 194 311
Colonial First State Investments Limited ACN 002 348 352
Realindex Investments Pty Limited ACN 133 312 017
Name of any other person believed to have given, or believed to be required to give, a disclosure under the Financial Markets Conduct Act 2013 in relation to the financial
[this disclosure relates:
[Not Applicable]
Certification
I, Clare McManus, certify that, to the best of my knowledge and belief, the information contained in this disclosure is correct and that I am duly authorized to make this disclosure
by all persons for whom it is made.
100080615/3821102.1 4
Appendix A
Details of the transactions or other events requiring disclosure:
Date of Transaction Registered Company Nature of Change Class Number
of
Securities
Cash
Consideration
Currency
Friday, 15 December 2017 Citibank N A Hong Kong Sale Ordinary shares 1,221 2,964.83 AUD
Friday, 15 December 2017 Citibank N A Hong Kong Sale Ordinary shares 21,503 52,213.58 AUD
Friday, 15 December 2017 Citicorp Nominees Pty Limited
(New Zealand)
Purchase Ordinary shares 14,530 38,619.29 NZD
Friday, 15 December 2017 Citibank N A Hong Kong Purchase Ordinary shares 129,836 345,091.10 NZD
Monday, 18 December 2017 Citibank N A Hong Kong Sale Ordinary shares 68,366 166,341.31 AUD
Monday, 18 December 2017 Citicorp Nominees Pty Limited
(Australia)
Purchase Ordinary shares 180,374 445,379.48 AUD
Monday, 18 December 2017 Citibank N A Hong Kong Sale Ordinary shares 68,366 166,341.31 AUD
Monday, 18 December 2017 Citibank N A Hong Kong Sale Ordinary shares 4,424 10,764.03 AUD
Monday, 18 December 2017 Citibank N A Hong Kong Sale Ordinary shares 4,424 10,764.03 AUD
Tuesday, 19 December 2017 Citibank N A Hong Kong Borrow Decrease, Citigroup Global Markets Limited (Agreement 1),
See Appendix B
Ordinary shares 861 N/A AUD
Tuesday, 19 December 2017 Citibank N A Hong Kong Borrow Decrease, Citigroup Global Markets Limited (Agreement 1),
See Appendix B
Ordinary shares 383 N/A AUD
Tuesday, 19 December 2017 HSBC Bank Australia Limited Purchase Ordinary shares 466,754 1,171,552.54 AUD
Tuesday, 19 December 2017 HSBC Bank Australia Limited Purchase Ordinary shares 230,008 577,320.08 AUD
Wednesday, 20 December 2017 Citibank N A Hong Kong Sale Ordinary shares 3,802 9,566.21 AUD
Wednesday, 20 December 2017 UBS Nominees Pty Ltd Borrow Increase, UBS AG (Agreement 1), See Appendix B Ordinary shares 28,670 N/A AUD
Thursday, 21 December 2017 UBS Nominees Pty Ltd Borrow Increase, UBS AG (Agreement 3), See Appendix B Ordinary shares 12,771 N/A AUD
Thursday, 21 December 2017 Citibank N A Hong Kong Borrow Decrease, Citigroup Global Markets Limited (Agreement 1),
See Appendix B
Ordinary shares 8,974 N/A AUD
Thursday, 21 December 2017 Citicorp Nominees Pty Limited
(New Zealand)
Sale Ordinary shares 20,246 56,680.70 NZD
Tuesday, 26 December 2017 Share Direct Nominees Pty
Limited
Borrow Increase, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 35,628 N/A NZD
Wednesday, 27 December 2017 Share Direct Nominees Pty
Limited
Borrow Decrease, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 35,628 N/A NZD
Wednesday, 27 December 2017 Citibank N A Hong Kong Sale Ordinary shares 60,304 168,242.13 NZD
Friday, 29 December 2017 Citibank N A Hong Kong Sale Ordinary shares 9,153 25,709.86 NZD
Tuesday, 2 January 2018 Share Direct Nominees Pty
Limited
Borrow Increase, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 43,262 N/A NZD
Wednesday, 3 January 2018 Share Direct Nominees Pty
Limited
Borrow Decrease, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 43,262 N/A NZD
Friday, 5 January 2018 Share Direct Nominees Pty
Limited
Borrow Increase, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 43,262 N/A NZD
Monday, 8 January 2018 Share Direct Nominees Pty
Limited
Borrow Decrease, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 43,262 N/A NZD
Monday, 8 January 2018 Share Direct Nominees Pty
Limited
Borrow Increase, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 12,662 N/A NZD
Tuesday, 9 January 2018 Share Direct Nominees Pty
Limited
Borrow Increase, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 87,456 N/A NZD
Tuesday, 9 January 2018 Share Direct Nominees Pty
Limited
Borrow Decrease, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 12,662 N/A NZD
Wednesday, 10 January 2018 Share Direct Nominees Pty
Limited
Borrow Decrease, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 87,456 N/A NZD
Wednesday, 10 January 2018 Citibank N A Hong Kong Purchase Ordinary shares 327 835.63 AUD
Thursday, 11 January 2018 Citibank N A Hong Kong Purchase Ordinary shares 17,905 45,618.36 AUD
Thursday, 11 January 2018 Citibank N A Hong Kong Purchase Ordinary shares 1,031 2,645.10 AUD
Tuesday, 16 January 2018 UBS Nominees Pty Ltd Borrow Decrease, UBS AG (Agreement 2), See Appendix B Ordinary shares 13,077 N/A AUD
Tuesday, 16 January 2018 Share Direct Nominees Pty
Limited
Borrow Increase, Goldman Sachs International, See Appendix B Ordinary shares 426,726 N/A NZD
Wednesday, 17 January 2018 Share Direct Nominees Pty
Limited
Borrow Decrease, Goldman Sachs International, See Appendix B Ordinary shares 426,726 N/A NZD
Tuesday, 30 January 2018 Citibank N A Hong Kong Purchase Ordinary shares 31,119 79,474.81 AUD
Tuesday, 30 January 2018 Citibank N A Hong Kong Purchase Ordinary shares 17,438 49,000.78 NZD
Wednesday, 31 January 2018 Citibank N A Hong Kong Purchase Ordinary shares 161,282 461,976.16 NZD
Thursday, 1 February 2018 UBS Nominees Pty Ltd Borrow Increase, UBS AG (Agreement 3), See Appendix B Ordinary shares 14,518 N/A AUD
Wednesday, 7 February 2018 Share Direct Nominees Pty
Limited
Borrow Increase, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 29,200 N/A NZD
Thursday, 8 February 2018 Share Direct Nominees Pty
Limited
Borrow Decrease, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 29,200 N/A NZD
Thursday, 8 February 2018 Citibank N A Hong Kong Borrow Decrease, Citigroup Global Markets Limited (Agreement 1),
See Appendix B
Ordinary shares 7,542 N/A AUD
Friday, 9 February 2018 Citicorp Nominees Pty Limited
(Australia)
Sale Ordinary shares 10,807 28,244.09 AUD
Friday, 9 February 2018 Citibank N A Hong Kong Sale Ordinary shares 11,551 30,459.99 AUD
Friday, 9 February 2018 Citibank N A Hong Kong Sale Ordinary shares 174,516 460,198.69 AUD
100080615/3821102.1 5
Monday, 12 February 2018 Citibank N A Hong Kong Borrow Decrease, Citigroup Global Markets Limited (Agreement 1),
See Appendix B
Ordinary shares 775 N/A AUD
Tuesday, 13 February 2018 Citibank N A Hong Kong Purchase Ordinary shares 13,291 34,503.44 AUD
Tuesday, 13 February 2018 UBS Nominees Pty Ltd Borrow Increase, UBS AG (Agreement 3), See Appendix B Ordinary shares 9,177 N/A AUD
Tuesday, 13 February 2018 Citicorp Nominees Pty Limited
(Australia)
Sale Ordinary shares 7,791 20,334.51 AUD
Tuesday, 13 February 2018 Share Direct Nominees Pty
Limited
Borrow Increase, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 77,257 N/A NZD
Wednesday, 14 February 2018 Share Direct Nominees Pty
Limited
Borrow Decrease, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 77,257 N/A NZD
Wednesday, 14 February 2018 Citicorp Nominees Pty Limited
(Australia)
Sale Ordinary shares 2,293 5,984.73 AUD
Wednesday, 14 February 2018 Citicorp Nominees Pty Limited
(Australia)
Sale Ordinary shares 12,839 33,381.40 AUD
Wednesday, 14 February 2018 UBS Nominees Pty Ltd Borrow Decrease, UBS AG (Agreement 1), See Appendix B Ordinary shares 16,440 N/A AUD
Wednesday, 14 February 2018 Citicorp Nominees Pty Limited
(Australia)
Sale Ordinary shares 33,787 87,846.20 AUD
Thursday, 15 February 2018 Citicorp Nominees Pty Limited
(Australia)
Sale Ordinary shares 224 583.23 AUD
Friday, 16 February 2018 Citicorp Nominees Pty Limited
(Australia)
Sale Ordinary shares 15,900 41,340.00 AUD
Friday, 16 February 2018 Citicorp Nominees Pty Limited
(Australia)
Sale Ordinary shares 4,505 11,713.00 AUD
Friday, 16 February 2018 Share Direct Nominees Pty
Limited
Borrow Increase, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 131,538 N/A NZD
Monday, 19 February 2018 Share Direct Nominees Pty
Limited
Borrow Decrease, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 131,538 N/A NZD
Monday, 19 February 2018 Share Direct Nominees Pty
Limited
Borrow Increase, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 100,977 N/A NZD
Monday, 19 February 2018 Citicorp Nominees Pty Limited
(Australia)
Sale Ordinary shares 894 2,324.40 AUD
Monday, 19 February 2018 Citicorp Nominees Pty Limited
(Australia)
Sale Ordinary shares 4,825 12,545.00 AUD
Tuesday, 20 February 2018 Citibank N A Hong Kong Borrow Decrease, Citigroup Global Markets Limited (Agreement 1),
See Appendix B
Ordinary shares 1,532 N/A AUD
Tuesday, 20 February 2018 Citicorp Nominees Pty Limited
(Australia)
Sale Ordinary shares 3,958 10,290.80 AUD
Tuesday, 20 February 2018 Citicorp Nominees Pty Limited
(Australia)
Sale Ordinary shares 6,757 17,568.20 AUD
Tuesday, 20 February 2018 Share Direct Nominees Pty
Limited
Borrow Decrease, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 100,977 N/A NZD
Wednesday, 21 February 2018 Share Direct Nominees Pty
Limited
Borrow Increase, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 151,009 N/A NZD
Wednesday, 21 February 2018 Citicorp Nominees Pty Limited
(Australia)
Sale Ordinary shares 11,463 29,910.41 AUD
Wednesday, 21 February 2018 Citicorp Nominees Pty Limited
(Australia)
Sale Ordinary shares 1,572 4,114.08 AUD
Thursday, 22 February 2018 Citicorp Nominees Pty Limited
(Australia)
Sale Ordinary shares 18,301 47,778.42 AUD
Thursday, 22 February 2018 Share Direct Nominees Pty
Limited
Borrow Decrease, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 151,009 N/A NZD
Thursday, 22 February 2018 Share Direct Nominees Pty
Limited
Borrow Increase, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 238,809 N/A NZD
Friday, 23 February 2018 Share Direct Nominees Pty
Limited
Borrow Decrease, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 238,809 N/A NZD
Friday, 23 February 2018 Citicorp Nominees Pty Limited
(Australia)
Sale Ordinary shares 2,941 7,680.13 AUD
Monday, 26 February 2018 Citicorp Nominees Pty Limited
(Australia)
Sale Ordinary shares 72,079 187,650.47 AUD
Monday, 26 February 2018 Citicorp Nominees Pty Limited
(Australia)
Sale Ordinary shares 17,824 46,342.40 AUD
Monday, 26 February 2018 Citicorp Nominees Pty Limited
(New Zealand)
Sale Ordinary shares 10,735 30,058.00 NZD
Tuesday, 27 February 2018 Citicorp Nominees Pty Limited
(Australia)
Sale Ordinary shares 14,627 38,044.83 AUD
Tuesday, 27 February 2018 Citibank N A Hong Kong Borrow Decrease, Citigroup Global Markets Limited (Agreement 1),
See Appendix B
Ordinary shares 7,134 N/A AUD
Wednesday, 28 February 2018 Citibank N A Hong Kong Purchase Ordinary shares 9,971 25,226.63 NZD
Friday, 2 March 2018 Citibank N A Hong Kong Purchase Ordinary shares 9,995 23,988.00 NZD
Friday, 2 March 2018 Share Direct Nominees Pty
Limited
Borrow Increase, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 430,580 N/A NZD
Monday, 5 March 2018 Share Direct Nominees Pty
Limited
Borrow Decrease, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 430,580 N/A NZD
Monday, 5 March 2018 Share Direct Nominees Pty
Limited
Borrow Increase, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 430,580 N/A NZD
Tuesday, 6 March 2018 Share Direct Nominees Pty
Limited
Borrow Increase, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 430,580 N/A NZD
Tuesday, 6 March 2018 Share Direct Nominees Pty
Limited
Borrow Decrease, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 430,580 N/A NZD
Wednesday, 7 March 2018 Share Direct Nominees Pty
Limited
Borrow Decrease, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 430,580 N/A NZD
Wednesday, 7 March 2018 Citibank N A Hong Kong Purchase Ordinary shares 13,227 30,422.10 NZD
Wednesday, 14 March 2018 UBS Nominees Pty Ltd Borrow Increase, UBS AG (Agreement 3), See Appendix B Ordinary shares 30,456 N/A AUD
Thursday, 15 March 2018 UBS Nominees Pty Ltd Borrow Increase, UBS AG (Agreement 1), See Appendix B Ordinary shares 25,033 N/A AUD
Thursday, 15 March 2018 Citicorp Nominees Pty Limited
(Australia)
Purchase Ordinary shares 11,303 24,111.34 NZD
Thursday, 15 March 2018 Citicorp Nominees Pty Limited
(Australia)
Purchase Ordinary shares 37,089 78,938.97 NZD
Friday, 16 March 2018 UBS Nominees Pty Ltd Borrow Decrease, UBS AG (Agreement 2), See Appendix B Ordinary shares 60,642 N/A AUD
Friday, 16 March 2018 Citicorp Nominees Pty Limited
(New Zealand)
Sale Ordinary shares 2,298 5,262.42 NZD
Friday, 16 March 2018 Citibank N A Hong Kong Purchase Ordinary shares 23,288 53,329.52 NZD
100080615/3821102.1 6
Monday, 19 March 2018 Citicorp Nominees Pty Limited
(Australia)
Sale Ordinary shares 48,392 111,575.61 NZD
Tuesday, 20 March 2018 Share Direct Nominees Pty
Limited
Borrow Increase, Goldman Sachs International, See Appendix B Ordinary shares 193,057 N/A NZD
Wednesday, 21 March 2018 Share Direct Nominees Pty
Limited
Borrow Decrease, Goldman Sachs International, See Appendix B Ordinary shares 193,057 N/A NZD
Wednesday, 21 March 2018 HSBC Bank Australia Limited Sale Ordinary shares 39,547 88,332.18 AUD
Thursday, 22 March 2018 HSBC Bank Australia Limited Sale Ordinary shares 19,106 42,415.32 AUD
Thursday, 22 March 2018 HSBC Bank Australia Limited Sale Ordinary shares 18,386 40,816.92 AUD
Thursday, 22 March 2018 National Bank Nominees Pty
Limited
Sale Ordinary shares 16,408 36,425.76 AUD
Thursday, 22 March 2018 Citibank N A Hong Kong Sale Ordinary shares 232,148 515,600.71 AUD
Thursday, 22 March 2018 Citibank N A Hong Kong Sale Ordinary shares 5,815 12,909.30 AUD
Monday, 26 March 2018 Share Direct Nominees Pty
Limited
Borrow Increase, Citigroup Global Markets Limited (Agreement 13),
See Appendix B
Ordinary shares 261,438 N/A NZD
Tuesday, 27 March 2018 Share Direct Nominees Pty
Limited
Borrow Decrease, Citigroup Global Markets Limited (Agreement
13), See Appendix B
Ordinary shares 261,438 N/A NZD
Tuesday, 27 March 2018 Share Direct Nominees Pty
Limited
Borrow Increase, Goldman Sachs International, See Appendix B Ordinary shares 146,354 N/A NZD
Tuesday, 27 March 2018 Citicorp Nominees Pty Limited
(New Zealand)
Sale Ordinary shares 24,234 58,646.28 NZD
Tuesday, 27 March 2018 HSBC Bank Australia Limited Purchase Ordinary shares 18,891 43,037.48 AUD
Wednesday, 28 March 2018 HSBC Bank Australia Limited Sale Ordinary shares 4,229 8,945.60 AUD
Wednesday, 28 March 2018 Share Direct Nominees Pty
Limited
Borrow Increase, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 213,748 N/A NZD
Wednesday, 28 March 2018 Share Direct Nominees Pty
Limited
Borrow Decrease, Goldman Sachs International, See Appendix B Ordinary shares 146,354 N/A NZD
Wednesday, 28 March 2018 Share Direct Nominees Pty
Limited
Borrow Increase, Goldman Sachs International, See Appendix B Ordinary shares 263,712 N/A NZD
Thursday, 29 March 2018 Share Direct Nominees Pty
Limited
Borrow Decrease, Goldman Sachs International, See Appendix B Ordinary shares 263,712 N/A NZD
Thursday, 29 March 2018 Share Direct Nominees Pty
Limited
Borrow Decrease, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 213,748 N/A NZD
Thursday, 29 March 2018 Citibank N A Hong Kong Sale Ordinary shares 131,404 301,059.70 NZD
Monday, 2 April 2018 Share Direct Nominees Pty
Limited
Borrow Increase, Goldman Sachs International, See Appendix B Ordinary shares 263,713 N/A NZD
Tuesday, 3 April 2018 Share Direct Nominees Pty
Limited
Borrow Decrease, Goldman Sachs International, See Appendix B Ordinary shares 263,713 N/A NZD
Tuesday, 3 April 2018 Share Direct Nominees Pty
Limited
Borrow Increase, Goldman Sachs International, See Appendix B Ordinary shares 14,077 N/A NZD
Wednesday, 4 April 2018 Share Direct Nominees Pty
Limited
Borrow Increase, Goldman Sachs International, See Appendix B Ordinary shares 2,677 N/A NZD
Wednesday, 4 April 2018 Share Direct Nominees Pty
Limited
Borrow Decrease, Goldman Sachs International, See Appendix B Ordinary shares 14,077 N/A NZD
Wednesday, 4 April 2018 Citicorp Nominees Pty Limited
(New Zealand)
Purchase Ordinary shares 12,001 28,161.55 NZD
Wednesday, 4 April 2018 Citibank N A Hong Kong Purchase Ordinary shares 112,004 262,828.59 NZD
Wednesday, 4 April 2018 Citibank N A Hong Kong Purchase Ordinary shares 23,805 52,371.00 AUD
Thursday, 5 April 2018 Citibank N A Hong Kong Purchase Ordinary shares 32,584 70,723.57 AUD
Thursday, 5 April 2018 Share Direct Nominees Pty
Limited
Borrow Decrease, Goldman Sachs International, See Appendix B Ordinary shares 2,677 N/A NZD
Monday, 9 April 2018 Citicorp Nominees Pty Limited
(New Zealand)
Purchase Ordinary shares 4,093 10,027.85 NZD
Tuesday, 10 April 2018 National Bank Nominees Pty
Limited
Purchase Ordinary shares 2,246 5,143.34 AUD
Tuesday, 10 April 2018 HSBC Bank Australia Limited Purchase Ordinary shares 5,138 11,766.02 AUD
Wednesday, 11 April 2018 Share Direct Nominees Pty
Limited
Borrow Increase, Goldman Sachs International, See Appendix B Ordinary shares 2,673 N/A NZD
Wednesday, 11 April 2018 Share Direct Nominees Pty
Limited
Borrow Increase, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 128,321 N/A NZD
Thursday, 12 April 2018 Share Direct Nominees Pty
Limited
Borrow Decrease, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 128,321 N/A NZD
Thursday, 12 April 2018 Share Direct Nominees Pty
Limited
Borrow Decrease, Goldman Sachs International, See Appendix B Ordinary shares 2,673 N/A NZD
Friday, 13 April 2018 Share Direct Nominees Pty
Limited
Borrow Increase, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 40,555 N/A NZD
Monday, 16 April 2018 Share Direct Nominees Pty
Limited
Borrow Decrease, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 40,555 N/A NZD
Monday, 16 April 2018 Citicorp Nominees Pty Limited
(Australia)
Sale Ordinary shares 18,014 40,237.87 AUD
Monday, 16 April 2018 Citicorp Nominees Pty Limited
(Australia)
Sale Ordinary shares 1,295 2,903.39 AUD
Tuesday, 17 April 2018 Citicorp Nominees Pty Limited
(Australia)
Sale Ordinary shares 397 894.00 AUD
Tuesday, 17 April 2018 Share Direct Nominees Pty
Limited
Borrow Increase, Barclays Capital Securities Ltd, See Appendix B Ordinary shares 819,528 N/A NZD
100080615/3821102.1 7
Appendix B
Type of agreement: Global Master Securities Lending Agreement
Parties to agreement:
(1) Commonwealth Bank of Australia and (2)
Barclays Capital Securities Ltd
Can the parties exercise voting rights attaching to the securities? No
If yes, in what circumstances? N/A
Date on which the securities were (or are) expected to be delivered to the
borrower or its nominee (ie borrow date):
The dates indicated in Annexure B on which
securities were borrowed.
Scheduled date (if any) when the securities are expected to be returned to the
borrower or its nominee (ie return date):
Any particular day.
Does the borrower have the right to return the securities early? [Yes/No] Yes
If yes, in which circumstances? At any time subject to giving notice.
Does the lender have the right to recall the securities early (ie before the
scheduled return date)? [Yes/No]
Yes
If yes, in which circumstances? At any time subject to giving notice.
Are there circumstances in which the borrower will not be required to return the
securities on settlement? [Yes/No]
No
If yes, in which circumstances? N/A
Type of agreement: Australian Master Securities Lending Agreement
Parties to agreement:
(1) Citigroup Global Markets Limited; and (2)
Colonial First State Investments Limited
Can the parties exercise voting rights attaching to the securities? No
If yes, in what circumstances? N/A
Date on which the securities were (or are) expected to be delivered to the
borrower or its nominee (ie borrow date):
The dates indicated in Annexure B on which
securities were borrowed.
Scheduled date (if any) when the securities are expected to be returned to the
borrower or its nominee (ie return date):
Any particular day.
Does the borrower have the right to return the securities early? [Yes/No] Yes
If yes, in which circumstances? At any time subject to giving notice.
Does the lender have the right to recall the securities early (ie before the
scheduled return date)? [Yes/No]
Yes
If yes, in which circumstances? At any time subject to giving notice.
Are there circumstances in which the borrower will not be required to return the
securities on settlement? [Yes/No]
No
If yes, in which circumstances? N/A
Type of agreement: Global Master Securities Lending Agreement
Parties to agreement:
(1) Commonwealth Bank of Australia and (2)
Citigroup Global Markets Limited
Can the parties exercise voting rights attaching to the securities? No
If yes, in what circumstances? N/A
Date on which the securities were (or are) expected to be delivered to the
borrower or its nominee (ie borrow date):
The dates indicated in Annexure B on which
securities were borrowed.
Scheduled date (if any) when the securities are expected to be returned to the
borrower or its nominee (ie return date):
Any particular day.
Does the borrower have the right to return the securities early? [Yes/No] Yes
If yes, in which circumstances? At any time subject to giving notice.
Does the lender have the right to recall the securities early (ie before the
scheduled return date)? [Yes/No]
Yes
If yes, in which circumstances? At any time subject to giving notice.
Are there circumstances in which the borrower will not be required to return the
securities on settlement? [Yes/No]
No
If yes, in which circumstances? N/A
Type of agreement: Global Master Securities Lending Agreement
Parties to agreement:
(1) Commonwealth Bank of Australia and (2)
Goldman Sachs International
Can the parties exercise voting rights attaching to the securities? No
If yes, in what circumstances? N/A
Date on which the securities were (or are) expected to be delivered to the
borrower or its nominee (ie borrow date):
The dates indicated in Annexure B on which
securities were borrowed.
Scheduled date (if any) when the securities are expected to be returned to the
borrower or its nominee (ie return date):
Any particular day.
Does the borrower have the right to return the securities early? [Yes/No] Yes
If yes, in which circumstances? At any time subject to giving notice.
Goldman Sachs International
Citigroup Global Markets Limited (Agreement 13)
Citigroup Global Markets Limited (Agreement 1)
Barclays Capital Securities Ltd
100080615/3821102.1 8
Does the lender have the right to recall the securities early (ie before the
scheduled return date)? [Yes/No]
Yes
If yes, in which circumstances? At any time subject to giving notice.
Are there circumstances in which the borrower will not be required to return the
securities on settlement? [Yes/No]
No
If yes, in which circumstances? N/A
Type of agreement: Australian Master Securities Lending Agreement
Parties to agreement:
(1) UBS AG; and (2) Colonial First State
Investments Limited
Can the parties exercise voting rights attaching to the securities? No
If yes, in what circumstances? N/A
Date on which the securities were (or are) expected to be delivered to the
borrower or its nominee (ie borrow date):
The dates indicated in Annexure B on which
securities were borrowed.
Scheduled date (if any) when the securities are expected to be returned to the
borrower or its nominee (ie return date):
Any particular day.
Does the borrower have the right to return the securities early? [Yes/No] Yes
If yes, in which circumstances? At any time subject to giving notice.
Does the lender have the right to recall the securities early (ie before the
scheduled return date)? [Yes/No]
Yes
If yes, in which circumstances? At any time subject to giving notice.
Are there circumstances in which the borrower will not be required to return the
securities on settlement? [Yes/No]
No
If yes, in which circumstances? N/A
Type of agreement: Australian Master Securities Lending Agreement
Parties to agreement:
(1) UBS AG; and (2) Colonial First State
Investments Limited
Can the parties exercise voting rights attaching to the securities? No
If yes, in what circumstances? N/A
Date on which the securities were (or are) expected to be delivered to the
borrower or its nominee (ie borrow date):
The dates indicated in Annexure B on which
securities were borrowed.
Scheduled date (if any) when the securities are expected to be returned to the
borrower or its nominee (ie return date):
Any particular day.
Does the borrower have the right to return the securities early? [Yes/No] Yes
If yes, in which circumstances? At any time subject to giving notice.
Does the lender have the right to recall the securities early (ie before the
scheduled return date)? [Yes/No]
Yes
If yes, in which circumstances? At any time subject to giving notice.
Are there circumstances in which the borrower will not be required to return the
securities on settlement? [Yes/No]
No
If yes, in which circumstances? N/A
Type of agreement: Australian Master Securities Lending Agreement
Parties to agreement:
(1) UBS AG; and (2) Colonial First State
Investments Limited
Can the parties exercise voting rights attaching to the securities? No
If yes, in what circumstances? N/A
Date on which the securities were (or are) expected to be delivered to the
borrower or its nominee (ie borrow date):
The dates indicated in Annexure B on which
securities were borrowed.
Scheduled date (if any) when the securities are expected to be returned to the
borrower or its nominee (ie return date):
Any particular day.
Does the borrower have the right to return the securities early? [Yes/No] Yes
If yes, in which circumstances? At any time subject to giving notice.
Does the lender have the right to recall the securities early (ie before the
scheduled return date)? [Yes/No]
Yes
If yes, in which circumstances? At any time subject to giving notice.
Are there circumstances in which the borrower will not be required to return the
securities on settlement? [Yes/No]
No
If yes, in which circumstances? N/A
UBS AG (Agreement 3)
UBS AG (Agreement 2)
UBS AG (Agreement 1)
100080615/3821102.1 9
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.
Other issuers discussed similar conditions around this time
Matched by meaning across NZX announcement text, not keywords — based on our semantic index of announcement bodies.
- KMD — KMD Brands Limited: SPH Notice – Commonwealth Bank of Australia2018-05-01
“Disclosure of beginning to have substantial holding Section 276, Financial Markets Conduct Act 2013 To NZX LIMITED and To KATHMANDU HOLDINGS LIMITED Date this disclosure made: 30-Apr-2018 Date on which substantial holding began: 26-Apr-2018 Substantial product…”
- SKC — SkyCity Entertainment Group Limited: SPH Notice – Sumitomo Mitsui Trust Holdings2018-05-11
“100080615/3821102.1 1 Disclosure of beginning to have substantial holding Section 276, Financial Markets Conduct Act 2013 Note: This form must be completed in accordance with the instructions at the end of the form. To NZX And To SKY City Entertainment Date this dis…”
- KMD — KMD Brands Limited: SPH Notice – Commonwealth Bank of Australia2018-04-24
“100080615/3821102.1 1 Disclosure of beginning to have substantial holding Section 276, Financial Markets Conduct Act 2013 To NZX LIMITED and To KATHMANDU HOLDINGS LIMITED Date this disclosure made: 23-Apr-2018 Date on which substantial holding began: 20-Apr-201…”