SPH Notice – Bell Potter Securities Limited
1
Disclosure of ceasing to have substantial holding
Section 279, Financial Markets Conduct Act 2013
To NZX Limited
and
To ASX Limited
and
To AFT Pharmaceuticals Limited ("AFT")
Date this disclosure made: 22 September 2020
Date last disclosure made: 15 June 2020
Date on which substantial holding ceased: 15 September 2020
Substantial product holder(s) giving disclosure
Full name(s): Bell Potter Securities Limited ("Bell Potter")
Summary of previous substantial holding
Class of quoted voting products: Ordinary shares in AFT
Summary for Bell Potter
For last disclosure,—
(a) total number held in class: 72,031,609
(b) total in class: 103,167,716
(c) total percentage held in class: 69.820%
For current holding after ceasing to have substantial holding,—
(a) total number held in class: 0
(b) total in class: 104,578,875
(c) total percentage held in class: 0%
Details of transactions and events giving rise to ceasing of substantial holding
Details of the transactions or other events requiring disclosure:
As recorded in the SPH notice disclosed by Bell Potter on 10 June 2020, on that date, Bell
Potter entered into a Placement and Sell Down Agreement with AFT, Forsyth Barr Group
Limited and others, under which Bell Potter and Forsyth Barr Group Limited agreed to
underwrite the placement and sell down, as further described in and attached to the SPH
notice disclosed by Bell Potter on 10 June 2020 ("Agreement").
Pursuant to the Agreement, Hartley Atkinson and Colin McKay undertook in favour of Bell
Potter, Forsyth Barr Limited and Forsyth Barr Group Limited certain restrictions in relation
to ordinary shares in AFT held by them (the "Shares"), including not to deal in the Shares
for a period of 3 months, beginning on 15 June 2020 and expiring on 15 September 2020.
2
Those restrictions have now lapsed and as a result Bell Potter no longer has a relevant
interest in those shares.
Additional information
Address(es) of substantial product holder(s): Bell Potter Securities Limited, Level 29, 101
Collins Street, Melbourne, Australia
Contact details:
Name: James Unger
Email: junger@bellpotter.com.au
Certification
I, James Unger, certify that, to the best of my knowledge and belief, the information
contained in this disclosure is correct and that I am duly authorised to make this disclosure
by all persons for whom it is made.
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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