Change in substantial holding
604 Page 1 of 2 15 July 2001
Form 604
Corporations Act 2001
Section 671B
Notice of change of interests of substantial holder
To Company Name/Scheme
ANZ GROUP HOLDINGS LIMITED
ACN/ARSN
659 510 791
1. Details of substantial holder (1)
Name
State Street Corporation and subsidiaries named in Annexures to
this form
ACN/ARSN (if applicable)
There was a change in the interests of the
substantial holder on
15/05/2024
The previous notice was given to the company on
16/05/2023
The previous notice was dated
14/05/2023
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 (2) had a relevant interest (3) 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 (4) Previous notice Present notice
Person’s votes Voting power (5) Person’s votes Voting power (5)
Ordinary 241,514,104 8.03% 184,009,611 6.12%
3. Changes in relevant interests
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
change
Person whose
relevant interest
changed
Nature of change (6) Consideration given in
relation to change (7)
Class and number
of securities
affected
Person's votes
affected
Annexure
B, D & E
4. Present relevant interests
Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows:
Holder of
relevant
interest
Registered holder
of securities
Person entitled to be
registered as holder
(8)
Nature of relevant
interest (6)
Class and number
of securities
Person's votes
Annexure
A
604 Page 2 of 2 15 July 2001
5. Changes in association
The persons who have become associates (2) of, ceased to be associates of, or have changed the nature of their association (9) 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
Annexure C
Signature
print name
Alok Maheshwary
capacity
Authorised signatory
sign here
date
17/05/2024
DIRECTIONS
(1) If there are a number of substantial holders with similar or related relevant interests (eg. a corporation and its related corporations, or the
manager and trustee of an equity trust), the names could be included in an annexure to the form. If the relevant interests of a group of
persons are essentially similar, they may be referred to throughout the form as a specifically named group if the membership of each group,
with the names and addresses of members is clearly set out in paragraph 6 of the form.
(2) See the definition of "associate" in section 9 of the Corporations Act 2001.
(3) See the definition of "relevant interest" in sections 608 and 671B(7) of the Corporations Act 2001.
(4) The voting shares of a company constitute one class unless divided into separate classes.
(5) The person's votes divided by the total votes in the body corporate or scheme multiplied by 100.
(6) Include details of:
(a)
any relevant agreement or other circumstances because of which the change in relevant interest occurred. If subsection 671B(4)
applies, a copy of any document setting out the terms of any relevant agreement, and a statement by the person giving full and
accurate details of any contract, scheme or arrangement, must accompany this form, together with a written statement certifying this
contract, scheme or arrangement; and
(b)
any qualification of the power of a person to exercise, control the exercise of, or influence the exercise of, the voting powers or
disposal of the securities to which the relevant interest relates (indicating clearly the particular securities to which the qualification
applies).
See the definition of "relevant agreement" in section 9 of the Corporations Act 2001.
(7)
Details of the consideration must include any and all benefits, money and other, that any person from whom a relevant interest was acquired
has, or may, become entitled to receive in relation to that acquisition. Details must be included even if the benefit is conditional on the
happening or not of a contingency. Details must be included of any benefit paid on behalf of the substantial holder or its associate in relation
to the acquisitions, even if they are not paid directly to the person from whom the relevant interest was acquired.
(8) If the substantial holder is unable to determine the identity of the person (eg. if the relevant interest arises because of an option) write
"unknown".
(9) Give details, if appropriate, of the present association and any change in that association since the last substantial holding notice.
Holder of relevant interestNature of Relevant InterestRegistered Holder of securitiesPerson Entitled to be registered as holderPerson's votes
SSGA FUNDS MANAGEMENT, INC.Power to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
Bank of New York Mellonn/aOrdinary 14,650 14,650
SSGA FUNDS MANAGEMENT, INC.Power to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
Brown Brothers Harriman and Con/aOrdinary 72,054 72,054
SSGA FUNDS MANAGEMENT, INC.Power to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
Citibank NAn/aOrdinary 103,645 103,645
SSGA FUNDS MANAGEMENT, INC.Power to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
State Street Bank and Trust Con/aOrdinary 4,629,726 4,629,726
STATE STREET GLOBAL ADVISORS (JAPAN) CO., LTD.Power to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
Brown Brothers Harriman and Con/aOrdinary 805,413 805,413
STATE STREET GLOBAL ADVISORS (JAPAN) CO., LTD.Power to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
JPMorgan AGn/aOrdinary 227,136 227,136
STATE STREET GLOBAL ADVISORS (JAPAN) CO., LTD.Power to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
State Street Bank and Trust Con/aOrdinary 4,121,933 4,121,933
STATE STREET GLOBAL ADVISORS (JAPAN) CO., LTD.Power to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
Sumitomo Trust and Banking Co USAn/aOrdinary 270,278 270,278
STATE STREET GLOBAL ADVISORS ASIA LIMITEDPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
Bank of New York Mellonn/aOrdinary 50,335 50,335
STATE STREET GLOBAL ADVISORS ASIA LIMITEDPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
Citibank NAn/aOrdinary 61,703 61,703
STATE STREET GLOBAL ADVISORS ASIA LIMITEDPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
JPMorgan AGn/aOrdinary 149,480 149,480
STATE STREET GLOBAL ADVISORS ASIA LIMITEDPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
Northern Trust Companyn/aOrdinary 292,684 292,684
STATE STREET GLOBAL ADVISORS ASIA LIMITEDPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
State Street Bank and Trust Con/aOrdinary 184,253 184,253
STATE STREET GLOBAL ADVISORS EUROPE LIMITEDPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
Bank of New York Mellonn/aOrdinary 1,216,674 1,216,674
STATE STREET GLOBAL ADVISORS EUROPE LIMITEDPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
BNP Paribasn/aOrdinary 46,691 46,691
STATE STREET GLOBAL ADVISORS EUROPE LIMITEDPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
Caceis Bank Luxembourgn/aOrdinary 142,149 142,149
STATE STREET GLOBAL ADVISORS EUROPE LIMITEDPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
Citibank NAn/aOrdinary 44,606 44,606
STATE STREET GLOBAL ADVISORS EUROPE LIMITEDPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
JPMorgan AGn/aOrdinary 441,432 441,432
STATE STREET GLOBAL ADVISORS EUROPE LIMITEDPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
Northern Trust Companyn/aOrdinary 1,288,884 1,288,884
STATE STREET GLOBAL ADVISORS EUROPE LIMITEDPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
Nykredit Bank A.Sn/aOrdinary 391,371 391,371
STATE STREET GLOBAL ADVISORS EUROPE LIMITEDPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
State Street Bank and Trust Con/aOrdinary 1,664,150 1,664,150
STATE STREET GLOBAL ADVISORS LIMITEDPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
Bank of New York Mellonn/aOrdinary 141,937 141,937
STATE STREET GLOBAL ADVISORS LIMITEDPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
BFF Bank S.p.A.n/aOrdinary 41,403 41,403
STATE STREET GLOBAL ADVISORS LIMITEDPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
BNP Paribasn/aOrdinary 8,679 8,679
STATE STREET GLOBAL ADVISORS LIMITEDPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
Citibank NAn/aOrdinary 144,422 144,422
STATE STREET GLOBAL ADVISORS LIMITEDPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
JPMorgan AGn/aOrdinary 251,231 251,231
STATE STREET GLOBAL ADVISORS LIMITEDPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
Northern Trust Companyn/aOrdinary 221,244 221,244
STATE STREET GLOBAL ADVISORS LIMITEDPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
Pictet and Cien/aOrdinary 73,165 73,165
STATE STREET GLOBAL ADVISORS LIMITEDPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
State Street Bank and Trust Con/aOrdinary 8,820,801 8,820,801
STATE STREET GLOBAL ADVISORS LIMITEDPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
UBS AGn/aOrdinary 725,504 725,504
STATE STREET GLOBAL ADVISORS LIMITEDPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
Vorarlberger Landes Und Hypothekenbank
Aktiengesellschaft
n/aOrdinary 14,598 14,598
STATE STREET GLOBAL ADVISORS SINGAPORE LIMITEDPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
State Street Bank and Trust Con/aOrdinary 21,932 21,932
STATE STREET GLOBAL ADVISORS TRUST COMPANYPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
Bank of New York Mellonn/aOrdinary 2,268,291 2,268,291
This is Annexure A referred to in Form 604 Notice of change of interests of substantial holder
____________________________________ 17 May 2024
Alok Maheshwary
Authorised Signatory
4. Present relevant interests
Annexure A
Class and number of Securities
STATE STREET GLOBAL ADVISORS TRUST COMPANYPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
Brown Brothers Harriman and Con/aOrdinary 24,956 24,956
STATE STREET GLOBAL ADVISORS TRUST COMPANYPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
Fiduciary Trustn/aOrdinary 280 280
STATE STREET GLOBAL ADVISORS TRUST COMPANYPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
JPMorgan AGn/aOrdinary 353,459 353,459
STATE STREET GLOBAL ADVISORS TRUST COMPANYPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
Northern Trust Companyn/aOrdinary 2,041,429 2,041,429
STATE STREET GLOBAL ADVISORS TRUST COMPANYPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
State Street Bank and Trust Con/aOrdinary 28,442,409 28,442,409
STATE STREET GLOBAL ADVISORS TRUST COMPANYPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
US Bank Trustn/aOrdinary 12,513 12,513
STATE STREET GLOBAL ADVISORS TRUST COMPANYPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
Wilmington Trust Con/aOrdinary 4,119 4,119
STATE STREET GLOBAL ADVISORS, AUSTRALIA, LIMITEDPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
BNP Paribasn/aOrdinary 1,565,981 1,565,981
STATE STREET GLOBAL ADVISORS, AUSTRALIA, LIMITEDPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
Citibank NAn/aOrdinary 19,376 19,376
STATE STREET GLOBAL ADVISORS, AUSTRALIA, LIMITEDPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
JPMorgan AGn/aOrdinary 12,392,750 12,392,750
STATE STREET GLOBAL ADVISORS, AUSTRALIA, LIMITEDPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
National Australian Bank LTDn/aOrdinary 461,781 461,781
STATE STREET GLOBAL ADVISORS, AUSTRALIA, LIMITEDPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
Northern Trust Companyn/aOrdinary 30,780,800 30,780,800
STATE STREET GLOBAL ADVISORS, AUSTRALIA, LIMITEDPower to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
State Street Bank and Trust Con/aOrdinary 78,245,870 78,245,870
STATE STREET GLOBAL ADVISORS, LTD.Power to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
CIBC Mellonn/aOrdinary 84,411 84,411
STATE STREET GLOBAL ADVISORS, LTD.Power to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
NULLn/aOrdinary 146,764 146,764
STATE STREET GLOBAL ADVISORS, LTD.Power to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
State Street Bank and Trust Con/aOrdinary 62,981 62,981
STATE STREET SAUDI ARABIA FINANCIAL SOLUTIONS
COMPANY
Power to control the exercise of a right to vote
attached to securities and/or the power to dispose of
securities as investment manager or trustee
Northern Trust Companyn/aOrdinary 2,793 2,793
STATE STREET BANK AND TRUST COMPANYFor memo pledge securities:
Relevant interest under section 608(8) being the
right, as lender, to dispose of shares pledged to
secure a securities loan
AQR FUNDS AQR ALTERNATIVE RISK PREMIA FUNDSTATE STREET BANK AND TRUST COMPANYOrdinary 38,337 38,337
STATE STREET BANK AND TRUST COMPANYFor memo pledge securities:
Relevant interest under section 608(8) being the
right, as lender, to dispose of shares pledged to
secure a securities loan
AQR Funds AQR Style Premia Alternative FundSTATE STREET BANK AND TRUST COMPANYOrdinary 26,148 26,148
STATE STREET BANK AND TRUST COMPANYFor Lent securities:
Relevant interest under section 608(8A) being the
holder of securities subject to an obligation to return
under a securities lending agreement. State Street
Bank and Trust Company has lent the securities and
retains a relevant interest
CALSTRSCALSTRSOrdinary 350,000 350,000
Annexure B
Date of ChangePerson whose relevant interest changed Nature of Change Consideration given in relation to ChangePerson's Votes affected
15-May-2024STATE STREET GLOBAL ADVISORS, AUSTRALIA, LIMITEDIn specie applicationn/aOrdinary 486,815 486,815
15-May-2024STATE STREET GLOBAL ADVISORS, AUSTRALIA, LIMITEDIn specie redemptionn/aOrdinary (5,252) (5,252)
15-May-2024STATE STREET GLOBAL ADVISORS, INC.Purchase27.68Ordinary 15,249 15,249
15-May-2024STATE STREET GLOBAL ADVISORS, INC.Purchase28.00Ordinary 1,195 1,195
15-May-2024STATE STREET GLOBAL ADVISORS, INC.Sale27.68Ordinary (423) (423)
15-May-2024STATE STREET GLOBAL ADVISORS, INC.In specie applicationn/aOrdinary 6,272 6,272
15-May-2024STATE STREET BANK AND TRUST COMPANYTaking a pledge over securities to secure a securities loan from AQR Funds AQR Style
Premia Alternative Fund - Refer Part C of Annexure E
n/aOrdinary 26,148 26,148
15-May-2024STATE STREET BANK AND TRUST COMPANYReturn of securities provided to secure a securities loan to UBS SECURITIES
AUSTRALIA LTD - Refer Part B of Annexure D
n/aOrdinary (16,315,868) (16,315,868)
15-May-2024STATE STREET BANK AND TRUST COMPANYReturn of securities provided to secure a securities loan to UBS SECURITIES
AUSTRALIA LTD - Refer Part B of Annexure D
n/aOrdinary (3,669,660) (3,669,660)
15-May-2024STATE STREET BANK AND TRUST COMPANYReturn of securities under a securities loan by UBS SECURITIES AUSTRALIA LTD - Refer
Part A of Annexure D
n/aOrdinary (30,000,000) (30,000,000)
15-May-2024STATE STREET BANK AND TRUST COMPANYReturn of securities under a securities loan by THE MORGAN STANLEY GROUP - Refer
Part A of Annexure D
n/aOrdinary (50,256) (50,256)
15-May-2024STATE STREET BANK AND TRUST COMPANYReturn of securities under a securities loan by UBS SECURITIES AUSTRALIA LTD - Refer
Part A of Annexure D
n/aOrdinary (8,000,000) (8,000,000)
15-May-2024STATE STREET BANK AND TRUST COMPANYReturn of securities under a securities loan by THE MORGAN STANLEY GROUP - Refer
Part A of Annexure D
n/aOrdinary (11,506) (11,506)
This is Annexure B referred to in Form 604 Notice of change of interests of substantial holder
____________________________________ 17 May 2024
Alok Maheshwary
Authorised Signatory
3. Changes in relevant interests
Class and number of Securities affected
This is Annexure C referred to in Form 604 Notice of change of interests of substantial holder
____________________________________ 17 May 2024
Alok Maheshwary
Authorised Signatory
6. Addresses
Annexure C
NameAddress
SSGA FUNDS MANAGEMENT, INC.Channel Center, 1 Iron Street, Boston MA 02210, United States
STATE STREET GLOBAL ADVISORS (JAPAN) CO., LTD.Toranomon Hills Mori Tower 25F, 1-23-1 Toranomon, Minato-ku, Tokyo, 105-6325, Japan
STATE STREET GLOBAL ADVISORS ASIA LIMITED68th Floor, Two International Finance Centre, 8 Finance Street, Central, Hong Kong, China
STATE STREET GLOBAL ADVISORS EUROPE LIMITED78 Sir John Rogerson’s Quay, Dublin 2, Ireland
STATE STREET GLOBAL ADVISORS LIMITED20 Churchill Place, London, England, E14 5HJ, United Kingdom
STATE STREET GLOBAL ADVISORS SINGAPORE LIMITED168 Robinson Road #33-01 Capital Tower, Singapore, 068912, Singapore
STATE STREET GLOBAL ADVISORS TRUST COMPANY1 Iron Street, Boston MA 02210, United States
STATE STREET GLOBAL ADVISORS, AUSTRALIA, LIMITEDLevel 15, 420 George Street, Sydney NSW 2000, Australia
STATE STREET GLOBAL ADVISORS, LTD.1981 McGill College Avenue, Suite 500, Montreal Québec H3A 3A8, Canada
STATE STREET SAUDI ARABIA FINANCIAL SOLUTIONS COMPANYking Fahad , AlOlaya , 7277, Riyadh, Riyadh, 12212, Saudi Arabia
STATE STREET GLOBAL ADVISORS, INC.1 Iron Street, Boston MA 02210, United States
STATE STREET BANK AND TRUST COMPANYOne Congress Street, Suite 1, Boston MA 02114, United States
This is Annexure D referred to in Form 604 Notice of change of interests of substantial holder
____________________________________ 17 May 2024
Alok Maheshwary
Authorised Signatory
3. Changes in relevant interests
Annexure D
Type of agreement
Securities Lending Authorisation Agreement/ Global Master Securities Lending Agreement/ Securities
Loan Agreement
Parties to agreement
(1) State Street Bank and Trust Company
(2) The entity referred to in the relevant part of Annexure B to this notice
Can the parties exercise voting rights attaching to the securities?
(1) No
(2) Yes. (Borrower has the right to vote, but may on-lend securities)
If yes, in what circumstances
(1) Only if instructed to by the borrower
(2) As determined by the owner of the securities
Transfer date
The dates on which the securities were delivered by State Street Bank and Trust Company as lender are
set out in Annexure B to this notice
Scheduled return date
No scheduled return date
Does the borrower have the right to return the securities early?
No scheduled return date. Borrower can return securities or equivalent securities at any time subject to
giving notice
If yes, in what circumstancesBorrower can return securities or equivalent securities at any time subject to giving notice
Does the lender have the right to recall the securities early (ie before the scheduled return date)?
No scheduled return date. Lender can require return of securities or equivalent securities at any time
subject to giving notice
If yes, in what circumstancesLender can require return of securities or equivalent securities at any time subject to giving notice
Are there any circumstances in which the borrower is not required to return securities or equivalent
securities on settlement?
No
If yes, detail any exceptionsn/a
Type of agreement
Global Master Securities Lending Agreement
Securities Lending Authorisation Agreement
Parties to agreement
(1) State Street Bank and Trust Company
(2) The entity referred to in the relevant part of Annexure B to this notice
Can the parties exercise voting rights attaching to the securities?
(1) Yes, but only if the borrower defaults and ownership is enforced
(2) Yes
If yes, in what circumstances
(1) Only if the borrower defaults and ownership is enforced
(2) In accordance with ordinary rights as registered holder, either directly or through nominee holder
Transfer date
The dates on which the securities were transferred, as indicated in Annexure B to this notice
Scheduled return date
No scheduled return date. Securities collateral is returned on termination of related securities loan
Does the borrower have the right to have the securities returned early?
No scheduled return date. Securities collateral is returned on termination of related securities loan or
the provision of alternative collateral
If yes, in what circumstances
At any time subject to returning the borrowed securities or equivalent securities or providing alternative
collateral
Are there any circumstances in which the lender is not required to return securities collateral on
settlement?
No, assuming the borrower returns the borrowed securities or equivalent securities
If yes, detail any exceptions
n/a (lender must return securities collateral if the borrower returns the borrowed securities or
equivalent securities)
State Street Bank and Trust Company will, if requested by the company or responsible entity to whom this form must be given under the Corporations Act 2001 (Cth) or if requested by the Australian
Securities and Investment Commission (ASIC), provide a copy of the master securities lending agreement/s and security agreement/s referred to below to the company, responsible entity or ASIC.
Part A: For relevant interests arising out of lending securities - State Street Bank and Trust Company acquires relevant interest as lender of the securities under securities lending authorisation agreement,
subject to obligation to return under the agreement. (State Street Bank and Trust Company has lent the securities and retains relevant interest as per Part B of this Annexure.)
Part B: For relevant interests arising out of lending securities - State Street Bank and Trust Company acquires a relevant interest in securities through taking a security interest (“title transfer”) over the
securities as collateral to secure a securities loan. (See Part A of this Annexure for securities loan details.)
This is Annexure E referred to in Form 604 Notice of change of interests of substantial holder
____________________________________ 17 May 2024
Alok Maheshwary
Authorised Signatory
3. Changes in relevant interests
Annexure E
Type of agreement
Global Master Securities Lending Agreement/Master Securities Loan Agreement/Securities Loan Agreement
Parties to agreement
(1) STATE STREET BANK AND TRUST COMPANY
(2) The entity referred to in the relevant part of Annexure B to this notice
Can the parties exercise voting rights attaching to the securities?
(1) Yes (if the borrower is the registered holder. However the securities are on-lent by the borrower as per Part B of this
Annexure)
(2) No, not during term of securities loan
If yes, in what circumstances
(1) Only if the borrower is the registered holder. However the securities are on-lent by the borrower as per Part B of this
Annexure
(2) n/a
Transfer date
The dates on which the securities were delivered to State Street Bank and Trust Company as borrower are set out in
Annexure B to this notice
Scheduled return dateNo scheduled return date
Does the borrower have the right to return the securities early?No scheduled return date. Borrower can return securities or equivalent securities at any time subject to giving notice
If yes, in what circumstancesBorrower can return securities or equivalent securities at any time subject to giving notice
Does the lender have the right to recall the securities early (ie before the scheduled return date)?
No scheduled return date. Lender can require return of securities or equivalent securities at any time subject to giving
notice
If yes, in what circumstancesLender can require return of securities or equivalent securities at any time subject to giving notice
Are there any circumstances in which the borrower is not required to return securities or equivalent
securities on settlement?
No
If yes, detail any exceptionsn/a
Type of agreementGlobal Master Securities Lending Agreement/Master Securities Loan Agreement
Parties to agreement
(1) STATE STREET BANK AND TRUST COMPANY
(2) The entity referred to in the relevant part of Annexure B to this notice
Can the parties exercise voting rights attaching to the securities?
(1) Yes, but only if the lender recalls the loan and exercises its right to become the registered holder
(2) Yes (while registered holder)
If yes, in what circumstances
(1) Only if the lender recalls the loan and exercises its right to become the registered holder
(2) Borrower may exercise voting rights (while registered holder)
Transfer dateThe dates on which the securities were delivered to the borrower are set out in Annexure B to this notice
Scheduled return dateNo scheduled return date
Does the borrower have the right to return the securities early?No scheduled return date. Borrower can return securities or equivalent securities at any time subject to giving notice
If yes, in what circumstancesBorrower can return securities or equivalent securities at any time subject to giving notice
Does the lender have the right to recall the securities early (ie before the scheduled return date)?
No scheduled return date. Lender can require return of securities or equivalent securities at any time subject to giving
notice
If yes, in what circumstancesLender can require return of securities or equivalent securities at any time subject to giving notice
Are there any circumstances in which the borrower is not required to return securities or equivalent
securities on settlement?
No
If yes, detail any exceptionsn/a
Type of agreement
Global Master Securities Lending Agreement
Security Agreement: the pro forma security agreement governing the pledge is attached to this notice
Parties to agreement
(1) STATE STREET BANK AND TRUST COMPANY
(2) The entity referred to in the relevant part of Annexure B to this notice
Can the parties exercise voting rights attaching to the securities?
(1) Yes, but only if the borrower defaults and pledge is enforced
(2) Yes
If yes, in what circumstances
(1) Only if the borrower defaults and pledge is enforced
(2) In accordance with ordinary rights as registered holder, either directly or through nominee holder
Pledge dateThe dates on which the securities were pledged, as indicated in Annexure B to this notice
Scheduled release dateNo scheduled release date. Securities are released from pledge on termination of related securities loan
Does the borrower have the right to have the securities released early?
No scheduled release date. Securities are released from pledge on termination of related securities loan or the provision
of alternative collateral
If yes, in what circumstancesAt any time subject to returning the borrowed securities or equivalent securities or providing alternative collateral
Are there any circumstances in which the lender is not required to release the pledged securities on
settlement?
No, assuming the borrower returns the borrowed securities or equivalent securities
If yes, detail any exceptionsn/a (lender must release pledged securities if the borrower returns the borrowed securities or equivalent securities)
State Street Bank and Trust Company will, if requested by the company or responsible entity to whom this form must be given under the Corporations Act 2001 (Cth) or if requested by the Australian Securities and
Investment Commission (ASIC), provide a copy of the master securities lending agreement/s and security agreement/s referred to below to the company, responsible entity or ASIC.
Part A: For relevant interests arising out of lending securities - State Street Bank and Trust Company acquires relevant interest as borrower of the securities under securities lending agreement, subject to obligation to
return under the agreement. (State Street Bank and Trust Company has on-lent the securities and retains relevant interest as per Part B of this Annexure.)
Part B: For relevant interests arising out of lending securities - State Street Bank and Trust Company lends the securities under securities lending agreement, and retains relevant interest through the right to recall the
securities or equivalent securities.
Part C: For relevant interests arising out of lending securities - State Street Bank and Trust Company acquires a relevant interest in securities through taking a security interest (“pledge”) over the securities as collateral to
secure a securities loan. (See Part B of this Annexure for securities loan details.)
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
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