Form 603
Corporations Law
Section 671B
Notice of initial substantial holder
To: Company Name/Scheme | ARISTOCRAT LEISURE LIMITED |
ACN/ARSN | 002 818 368 |
1. Details of substantial holder (1)
Name: | UBS Group AG and its related bodies corporate | |
ACN/ARSN (if applicable) | ||
The holder became a substantial holder on: | 23 December 2020 |
2. Details of 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 on the date the substantial holder became a substantial holder are as follows:
Class of securities (4) | Number of securities | Persons' votes (5) | Voting power (6) |
Ordinary | 34,244,268 | 34,244,268 | 5.36% |
3. Details of relevant interests
The nature of the relevant interest the substantial holder or an associate had in the following voting securities on the date the substantial holder became a substantial holder are as follows:
Holder of relevant interest | Nature of relevant interest (7) | Class and number of securities | |
UBS Switzerland AG | Broker with power to exercise discretion over account | 18,293 | Ordinary |
UBS Financial Services Inc. | Broker with power to exercise discretion over account | 1,000 | Ordinary |
UBS AG Hong Kong Branch | Fund Manager with power to exercise control over | 240,623 | Ordinary |
voting shares | |||
UBS Asset Management | Fund Manager with power to exercise control over | 66,522 | Ordinary |
(Americas) Inc. | voting shares | ||
UBS Asset Management | Fund Manager with power to exercise control over | 2,952,386 | Ordinary |
(Australia) Ltd | voting shares | ||
UBS Asset Management | Fund Manager with power to exercise control over | 22,957 | Ordinary |
(Deutschland) GmbH | voting shares | ||
UBS Asset Management | Fund Manager with power to exercise control over | 2,528 | Ordinary |
(Singapore) Ltd | voting shares | ||
UBS Asset Management (UK) | Fund Manager with power to exercise control over | 1,125,648 | Ordinary |
Limited | voting shares | ||
UBS Asset Management Life | Fund Manager with power to exercise control over | 157,373 | Ordinary |
Limited | voting shares | ||
UBS Asset Management | Fund Manager with power to exercise control over | 167,240 | Ordinary |
Switzerland AG | voting shares | ||
UBS Asset Management Trust | Fund Manager with power to exercise control over | 39,645 | Ordinary |
Company | voting shares | ||
UBS Fund Management | Fund Manager with power to exercise control over | 133,093 | Ordinary |
(Luxembourg) S.A. | voting shares | ||
UBS Fund Management | Fund Manager with power to exercise control over | 673,186 | Ordinary |
(Switzerland) AG | voting shares | ||
UBS AG London Branch | Prime Broker that has exercised its borrowing right in | 1,546,590 | Ordinary |
respect of shares pursuant to a Prime Broking | |||
Agreement | |||
UBS Securities Australia Ltd | Beneficial Owner | 1,840,134 | Ordinary |
Power to control disposal over shares pursuant to stock | 13,547,963 | Ordinary | |
borrowing and lending activities | |||
Beneficial Owner | 585,291 | Options | |
UBS AG, Australia Branch | Prime Broker that has exercised its borrowing right in | 11,122,475 | Ordinary |
respect of shares pursuant to a Prime Broking | |||
Agreement | |||
UBS Trustees (Bahamas) | Trustee with power to exercise discretion over account | 1,321 | Ordinary |
Limited | |||
4. Details of present registered holders
The persons registered as holders of the securities referred to in paragraph 3 above are as follows:
Holder of relevant | Registered holder of | Person entitled to be | Class and number of | |
Interest | Securities | registered as holder (8) | securities | |
UBS Switzerland AG | Various Custodians | UBS Switzerland AG | 18,293 | Ordinary |
UBS Financial Services Inc. | Various Custodians | UBS Financial Services Inc. | 1,000 | Ordinary |
UBS AG Hong Kong Branch | Various Custodians | UBS AG Hong Kong Branch | 240,623 | Ordinary |
UBS Asset Management | Various Custodians | UBS Asset Management | 66,522 | Ordinary |
(Americas) Inc. | (Americas) Inc. | |||
UBS Asset Management | Various Custodians | UBS Asset Management | 2,952,386 | Ordinary |
(Australia) Ltd | (Australia) Ltd | |||
UBS Asset Management | Various Custodians | UBS Asset Management | 22,957 | Ordinary |
(Deutschland) GmbH | (Deutschland) GmbH | |||
UBS Asset Management | Various Custodians | UBS Asset Management | 2,528 | Ordinary |
(Singapore) Ltd | (Singapore) Ltd | |||
UBS Asset Management (UK) | Various Custodians | UBS Asset Management | 1,125,648 | Ordinary |
Limited | (UK) Limited | |||
UBS Asset Management Life | Various Custodians | UBS Asset Management Life | 157,373 | Ordinary |
Limited | Limited | |||
UBS Asset Management | Various Custodians | UBS Asset Management | 167,240 | Ordinary |
Switzerland AG | Switzerland AG | |||
UBS Asset Management Trust | Various Custodians | UBS Asset Management | 39,645 | Ordinary |
Company | Trust Company | |||
UBS Fund Management | Various Custodians | UBS Fund Management | 133,093 | Ordinary |
(Luxembourg) S.A. | (Luxembourg) S.A. | |||
UBS Fund Management | Various Custodians | UBS Fund Management | 673,186 | Ordinary |
(Switzerland) AG | (Switzerland) AG | |||
UBS AG London Branch | Citicorp Nominees Pty Ltd | UBS AG London Branch | 1,546,590 | Ordinary |
UBS Securities Australia Ltd | Brispot Nominees Pty Ltd | UBS Securities Australia Ltd | 1,840,134 | Ordinary |
Warbont Nominees Pty Ltd | UBS Securities Australia Ltd | 13,547,963 | Ordinary | |
N/A | UBS Securities Australia Ltd | 585,291 | Options | |
UBS AG, Australia Branch | UBS Nominees Pty Ltd | UBS AG, Australia Branch | 11,122,475 | Ordinary |
UBS Trustees (Bahamas) | Various Custodians | UBS Trustees (Bahamas) | 1,321 | Ordinary |
Limited | Limited |
5. Consideration
The consideration paid for each relevant interest referred to in paragraph 3 above, and acquired in the four months prior to the day that the substantial holder became a substantial holder is as follows:
Holder of relevant interest | Date of acquisition | Consideration (9) | Class and number | |
of securities | ||||
Cash | Non-cash | |||
Please see Appendix B. | ||||
6. Associates
The reasons the persons named in paragraph 3 above are associates of the substantial holder are as follows:
Name and ACN/ ARSN (if applicable) | Nature of association |
UBS Switzerland AG | Related body corporate |
UBS Financial Services Inc. | Related body corporate |
UBS AG Hong Kong Branch | Related body corporate |
UBS Asset Management (Americas) Inc. | Related body corporate |
UBS Asset Management (Australia) Ltd | Related body corporate |
UBS Asset Management (Deutschland) GmbH | Related body corporate |
UBS Asset Management (Singapore) Ltd | Related body corporate |
UBS Asset Management (UK) Limited | Related body corporate |
UBS Asset Management Life Limited | Related body corporate |
UBS Asset Management Switzerland AG | Related body corporate |
UBS Asset Management Trust Company | Related body corporate |
UBS Fund Management (Luxembourg) S.A. | Related body corporate |
UBS Fund Management (Switzerland) AG | Related body corporate |
UBS AG London Branch | Related body corporate |
UBS Securities Australia Ltd | Related body corporate |
Brispot Nominees Pty Ltd | Related body corporate |
Warbont Nominees Pty Ltd | Related body corporate |
UBS AG, Australia Branch | Related body corporate |
UBS Nominees Pty Ltd | Related body corporate |
UBS Trustees (Bahamas) Limited | Related body corporate |
7. Addresses
The addresses of persons named in this form are as follows:
Name | Addresses |
UBS Switzerland AG | Bahnhofstrasse 45, Zürich, Switzerland |
UBS Financial Services Inc. | Corporation Service Company 251 Little Falls Drive, |
Wilmington, New Castle / DE , USA | |
UBS AG Hong Kong Branch | 52 Floor Two International Finance Centre 8 Finance Street |
Central, Hong Kong | |
UBS Asset Management (Americas) Inc. | Corporation Service Company, 251 Little Falls Drive, |
Wilmington, Delaware, USA | |
UBS Asset Management (Australia) Ltd | Level 16, Chifley Tower, 2 Chifley Square, Sydney, Australia |
UBS Asset Management (Deutschland) GmbH | Bockenheimer Landstrasse 2-4, Frankfurt am Main, Germany |
UBS Asset Management (Singapore) Ltd | One Raffles Quay #50-01 North Tower, Singapore Singapore |
UBS Asset Management (UK) Limited | 5 Broadgate, London, United Kingdom |
UBS Asset Management Life Limited | 5 Broadgate, London, United Kingdom |
UBS Asset Management Switzerland AG | Bahnhofstrasse 45, Zürich, Switzerland |
UBS Asset Management Trust Company | Illinois Corporation Service Company 801 Adlai Stevenson |
Drive, Springfield, IL, USA | |
UBS Fund Management (Luxembourg) S.A. | 33A avenue J.F. Kennedy, Luxembourg |
UBS Fund Management (Switzerland) AG | Aeschenplatz 6, Basel, Switzerland |
UBS AG London Branch | 5 Broadgate, London, United Kingdom |
UBS Securities Australia Ltd | Level 16, Chifley Tower, 2 Chifley Square, Sydney, Australia |
Brispot Nominees Pty Ltd | Level 16, Chifley Tower, 2 Chifley Square, Sydney, Australia |
Warbont Nominees Pty Ltd | Level 16, Chifley Tower, 2 Chifley Square, Sydney, Australia |
UBS AG, Australia Branch | Level 16, Chifley Tower, 2 Chifley Square, Sydney, Australia |
UBS Nominees Pty Ltd | Level 16, Chifley Tower, 2 Chifley Square, Sydney, Australia |
UBS Trustees (Bahamas) Limited | PO Box N-7757UBS Annex, East Bay St. Nassau New |
Providence The Bahamas | |
SIGNATURE
Print Name: | Andrew Costley | Capacity: | Authorised signatory | |
Sign Here: | Date: | 29 December 2020 | ||
Print Name: | Joanne Chan | Capacity: | Authorised signatory | |
Sign Here: | Date: | 29 December 2020 | ||
Contact details for this notice:
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Andrew Costley
Group Compliance, Regulatory & Governance
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+ 852 3712 3707
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Aristocrat Leisure Ltd. published this content on 30 December 2020 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 29 December 2020 21:56:01 UTC