Form 603
Corporations Act 2001
Notice of initial substantial holder Section 671B To:Company Name/Scheme ACN-
Details of substantial shareholder
Name
ACN (if applicable)
The Secretary Sims Metal Management Limited Level 2, Suite 3 32-34 Lord Street Botany NSW 2019 PH: (02) 8113 1600 Fax: (02) 8113 1622 114 838 630National Australia Bank Limited and its associated entities listed in Annexure A (ACN 004 044 937)
SGMThe holder became a substantial holder on 03/01/2017
-
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 had a relevant interest in on the date the substantial holder became a substantial holder are as follows:
Class of securities
Number of securities
Persons' votes
Voting power
Fully paid ordinary shares
9,980,340
9,980,340
5.055%
-
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
Class and number of securities
MLC Investments Limited
Power to control the voting and /or disposal of securities pursuant to its position as the responsible entity or trustee of various managed investment schemes and trusts
Fully paid ordinary shares
3,438,623
Antares Capital Partners Limited
Power to control the voting and /or disposal of securities pursuant to its position as the responsible entity, investment manager or trustee of various managed investment schemes or trusts.
Fully paid ordinary shares
25,514
MLC Wealth Management Limited
Power to exercise voting rights pursuant to position held as the Registrable Superannuation Entity licensee for the superannuation products it issues.
Fully paid ordinary shares
47,307
NULIS Nominees (Australia) Limited
Power to control the voting and /or disposal of securities pursuant to position held as manager under investment mandate.
Fully paid ordinary shares
201
National Australia Bank Limited
Power to control the voting and /or disposal of securities pursuant to securities lending agreements.
Fully paid ordinary shares
772,000
National Australia Bank Limited
Relevant interest arising as a result of National Australia Bank Limited having voting power above 20% in Pengana Holdings Pty Limited who controls Pengana Capital Limited, an investment manager of various unit trusts.
Fully paid ordinary shares
1,500,000
Antares Capital Partners Limited
Power to control the voting and /or disposal of securities pursuant to its position as the responsible entity or trustee of various managed investment schemes or trusts.
Fully paid ordinary shares
2,939,872
Antares Capital Partners Limited
Power to control the voting and /or disposal of securities pursuant to its position as an investment manager in accordance with investment mandates and as an investment manager of Antares Capital Partners Limited trusts.
Fully paid ordinary shares
1,006,823
National Australia Bank Limited
Power to control the voting and /or disposal of securities pursuant to securities lending agreements.
Fully paid ordinary shares
250,000
TOTAL
9,980,340
-
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 interest
Registered holder of securities
Person entitled to be registered as holder
Class and number of securities
MLC Investments Limited
National Nominees Limited (ACN 004 278 899)
Fully paid ordinary shares 3,438,623
Antares Capital Partners Limited
National Nominees Limited (ACN 004 278 899)
Fully paid ordinary shares 25,514
MLC Wealth Management Limited
Navigator Australia Limited (ACN 006 302 987)
Fully paid ordinary shares 47,307
NULIS Nominees (Australia) Limited
National Nominees Limited (ACN 004 278 899)
Fully paid ordinary shares 201
National Australia Bank Limited
National Nominees Limited (ACN 004 278 899)
Fully paid ordinary shares 772,000
National Australia Bank Limited
BNP Paribas Nominees Pty Limited (ACN 084 150 023)
Fully paid ordinary shares 1,500,000
Antares Capital Partners Limited
National Nominees Limited (ACN 004 278 899)
Fully paid ordinary shares 2,939,872
Antares Capital Partners
JP Morgan Nominees Australia
Fully paid ordinary shares
Limited
Limited
624,194
(ACN 002 899 961)
Citicorp Nominees Pty Limited
Fully paid ordinary shares
(ACN 000 809 030)
82,629
UBS Nominees Pty Limited
Fully paid ordinary shares
(ACN 001 450 522)
300,000
National Australia Bank Limited
National Nominees Limited (ACN 004 278 899)
Fully paid ordinary shares 250,000
TOTAL
9,980,340
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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
Class and number of securities
Cash
Non-cash
Fully paid ordinary shares
Antares Capital Partners Limited
30/12/2016
$963.21
75
National Australia Bank Limited
30/12/2016 to 03/01/2017
- Securities Lending
No consideration directly referable to the securities provided by NAB
Refer to Appendix 1 Table
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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
MLC Investments Limited
MLC Investments Limited is a wholly owned subsidiary of MLC Holdings Limited whose ultimate parent is National Australia Bank Limited.
MLC Wealth Management Limited
MLC Wealth Management Limited is a wholly owned subsidiary of National Wealth Management Holdings Limited whose ultimate parent is National Australia Bank Limited.
Antares Capital Partners Limited
Antares Capital Partners Limited is a wholly owned subsidiary of National Wealth Management Holdings Limited whose ultimate parent is National Australia Bank Limited.
NULIS Nominees (Australia) Limited
NULIS Nominees (Australia) Limited is a wholly owned subsidiary of National Wealth Management Holdings Limited whose ultimate parent is National Australia Bank Limited.
- Addresses
The addresses of persons named in this form are as follows:
Name | Address |
National Australia Bank Limited | Level 1 800 Bourke Street DOCKLANDS VIC 3008 |
MLC Investments Limited | Ground Floor 105-153 Miller Street NORTH SYDNEY NSW 2060 |
National Nominees Limited | Level 1 800 Bourke Street DOCKLANDS VIC 3008 |
MLC Wealth Management Limited | Ground Floor 105-153 Miller Street NORTH SYDNEY NSW 2060 |
Navigator Australia Limited | Ground Floor 105-153 Miller Street NORTH SYDNEY NSW 2060 |
Antares Capital Partners Limited | Ground Floor 105-153 Miller Street NORTH SYDNEY NSW 2060 |
NULIS Nominees (Australia) Limited | Ground Floor 105-153 Miller Street NORTH SYDNEY NSW 2060 |
JP Morgan Nominees Australia Limited | Level 37 259 George Street SYDNEY NSW 2000 |
Citicorp Nominees Pty Limited | 2 Park Street SYDNEY NSW 2000 |
BNP Paribas Nominees Pty Limited | Level 6 60 Castlereagh Street SYDNEY NSW 2000 |
UBS Nominees Pty Limited | Level 16 2 Chifley Square Sydney NSW 2000 |
Louise Thomson | Capacity Company Secretary for and on behalf of National Australia Bank Limited |
Date 06/01/2017 |
Name
Signature
Sims Metal Management Limited published this content on 06 January 2017 and is solely responsible for the information contained herein.
Distributed by Public, unedited and unaltered, on 06 January 2017 02:57:13 UTC.
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