SPH Notice – J.P. Morgan Chase & Co. and its affiliates
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 New Zealand Stock Exchange
and
To ARBORGEN HOLDINGS LTD
Date this disclosure made: 11 March 2022
Date on which substantial holding began: 9 March 2022
Substantial product holder(s) giving disclosure
Full name(s): J.P. Morgan Chase & Co. and its affiliates
Summary of substantial holding
Class of quoted voting products: Ordinary Shares
Summary for J.P. MORGAN SECURITIES LLC, JPMORGAN CHASE BANK, N.A.
For this disclosure, —
(a) total number held in class: 61,937,657
(b) total in class: 501,486,758
(c) total percentage held in class: 12.35%
Details of relevant interests
Details for substantial product holder(s)]: Please refer to table below
Nature of relevant interest(s): Please refer to table below
For that relevant interest, —
(a) number held in class: 61,937,657
(b) percentage held in class: 12.35%
(c) current registered holder(s): Please refer to table below
(d) registered holder(s) once transfers are registered: unknown
Legal entity Nature of relevant interest(s)
Number held
in class
Percentage
held in class
Current registered
holder(s)
JPMORGAN CHASE
BANK, N.A.
Purchase and sales of shares in its capacity as
Principal/Proprietary
55
0.00% JPMORGAN CHASE
BANK, N. A
J.P. MORGAN
SECURITIES LLC
Re-hypothecation of client securities under a
Prime Brokerage Agreement
61,937,602
12.35%
Citibank NZ
100080615/3821102.1
2
For a derivative relevant interest, also—
(a) type of derivative: N/A
(b) details of derivative: N/A
(c) parties to the derivative: N/A
(d) if the substantial product holder is not a party to the derivative, the nature of the relevant interest in
the derivative: N/A
Details of transactions and events giving rise to substantial holding
Details of the transactions or other events requiring disclosure: Refer to Appendix attached
Additional information
Address(es) of substantial product holder(s):
Name Address
JPMorgan Chase & Co. 383 Madison Avenue, New York, New York, NY, 10179, United States
J.P. MORGAN SECURITIES LLC 383 Madison Ave., New York, New York, NY, 10179, United States
JPMORGAN CHASE BANK, N.A. 1111 Polaris Parkway, Columbus, Delaware, OH, 43240, United States
Contact details: Jignesh Gandhi (Ph# : +914068521543), APAC_Compliance_DOI_India@jpmorgan.com
*Nature of connection between substantial product holders:
Substantial security holders Nature of association
J.P. MORGAN SECURITIES LLC Subsidiary of JPMorgan Chase & Co.
JPMORGAN CHASE BANK, N.A. Subsidiary of JPMorgan Chase & Co.
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 products to which this disclosure relates: N/A
Certification
I, Zohra Mistry, 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.
TRADES FOR RELEVANT PERIODAppendix
Transaction DateEntityProduct TypeType of TransactionQuantityPrice (NZD)Consideration (in NZD)
Balance at start of relevant period55
9-Mar-22
J.P. MORGAN SECURITIES LLC
EquityShares available for rehypothecation 61,937,602
-
-$
Balance at end of relevant period61,937,657
1/1
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.
- MFB — My Food Bag Group Limited: SPH Notice – Harbour Asset Mgmt Ltd & Jarden Securities Ltd2022-03-30
“041898866/4160982.2 Disclosure of movement of 1% or more in substantial holding or change in nature of relevant interest, or both Sections 277 and 278, Financial Markets Conduct Act 2013 To NZX Limited and To My Food Bag Group Limited (MFB) Relevant event being disclos…”
- NZL — New Zealand Rural Land Company Limited: SPH Notice – Harbour Asset Mgmt Ltd & Jarden Securities Ltd2022-04-08
“041898866/4160982.2 Disclosure of movement of 1% or more in substantial holding or change in nature of relevant interest, or both for related bodies corporate - Harbour Asset Management Limited and Jarden Securities Limited, and Disclosure of beginning to have substantial…”
- PEB — Pacific Edge Limited: SPH Notice – Harbour Asset Management and Jarden2022-03-09
“041898866/4160982.2 Disclosure of movement of 1% or more in substantial holding or change in nature of relevant interest, or both Sections 277 and 278, Financial Markets Conduct Act 2013 To NZX Limited and To Pacific Edge Limited (“PEB”) Relevant event being disclosed:…”