Section 671B SIRTEX MEDICAL LTD 078 166 122 Deutsche Bank ... · 4-Oct-17 Deutsche Bank AG, Sydney...

Form 603 Corporations Act 2001 Section 671B Notice of initial substantial holder

To Company Name/Scheme SIRTEX MEDICAL LTD

ACN/ARSN 078 166 122 1. Details of substantial shareholder Name Deutsche Bank AG and its related bodies corporate (together the “Deutsche Bank Group”)

ACN/ARSN (if applicable) 064 165 162 The holder became a substantial holder on 1 February 2018 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 of the substantial holder became a substantial holder are as follows:

Class of securities (4) Number of securities Person’s votes (5) Voting power (6)

Ordinary shares 2,865,331 2,865,331 5.14%

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 (Ordinary shares)

Deutsche Bank AG, Sydney Branch

Power to exercise, or control the exercise of, the voting rights and/or disposal of the securities held in capacity as principal

2,268,848

Deutsche Bank AG, Sydney Branch has a deemed relevant interest under s608(3)(a) of the Corporations Act 2001 through its 49.9% shareholding in Craigs Investment Partners Ltd. Craigs Investment Partners Ltd has a deemed relevant interest under s608(3)(a) of the Corporations Act 2001 through its 50% shareholding in Wilsons Holding Company Pty Ltd. Wilsons Holding Company Pty Ltd. has the power to dispose of or control the exercise of a power to dispose of, the securities held in the capacity as investment manager.

3,590

Deutsche Bank AG, London Branch

Power to exercise, or control the exercise of, the voting rights and/or disposal of the securities held in capacity as principal

2,917

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Power to dispose of, or control the exercise of a power to dispose of, the securities held pursuant to securities lending agreements Refer to Schedule 2

185,959

Deutsche Securities Australia Limited

Power to dispose of, or control the exercise of a power to dispose of, the securities held pursuant to securities lending agreements Refer to Schedule 2

397,486

Deutsche Asset Management (UK) Limited

Power to dispose of, or control the exercise of a power to dispose of, the securities held in capacity as investment manager

6,422

Deutsche Asset Management S.A.

Power to exercise, or control the exercise of, the voting rights of the securities held in capacity as investment manager

DBX Advisors LLC Power to dispose of or control the exercise of a power to dispose of, the securities held in the capacity as investment manager

109

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 interest Registered holder of securities

Person entitled to be registered as holder (8)

Class and number of securities (Ordinary shares)


Bainpro Nominees Pty Ltd


65

Unknown Deutsche Bank AG, Sydney Branch

2,268,783

Unknown Unknown 3,590


Unknown Deutsche Bank AG, London Branch

188,876

Deutsche Securities Australia Limited

Unknown Deutsche Securities Australia Limited

397,486


State Street Bank Luxembourg


6,422



DBX Advisors LLC Unknown

DBX Advisors LLC 109

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) (AUD)

Class and number of securities (Ordinary shares)

Refer to Schedule 1.

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

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N/A

7. Addresses The addresses of persons named in this form are as follows:

Name Address

Deutsche Bank AG, Sydney Branch Level 16, Deutsche Bank Place, Corner Hunter and Philip Street, Sydney, NSW, Australia 2000

Deutsche Bank AG, London Branch Winchester House, 1 Great Winchester Street, London, Great Britain EC2N 2DB

Bainpro Nominees Pty Ltd Level 16, Deutsche Bank Place, Corner Hunter and Philip Street, Sydney, NSW, Australia 2000

Deutsche Asset Management (UK) Limited Winchester House, 1 Great Winchester Street, London, Great Britain EC2N 2DB

Deutsche Asset Management S.A. 2, boulevard Konrad Adenauer, Luxembourg 1115

Deutsche Securities Australia Limited Level 16, Deutsche Bank Place, Corner Hunter and Philip Street, Sydney, NSW, Australia 2000

DBX Advisors LLC Corporation Trust Center,1209 Orange Street, Wilmington, USA 19801

Signature Name Harsha Narashimha Deutsche Bank AG, Hong Kong Branch 5 February 2018

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Schedule 1

Date of change Holder of relevant interest Nature of change

Consideration given

in relation to change

Number of

securities affected

(Ordinary Shares)

Person's votes

affected

2-Oct-17 Deutsche Bank AG, London Branch Buy 13.72 63 63

2-Oct-17 Deutsche Bank AG, Sydney Branch Sell 13.73 -11,572 -11,572

2-Oct-17 Deutsche Bank AG, Sydney Branch Buy 13.71 228 228


2-Oct-17 Deutsche Bank AG, Sydney Branch Buy 13.76 23,971 23,971



2-Oct-17 Deutsche Bank AG, Sydney Branch Sell 13.69 -500 -500















3-Oct-17 Deutsche Bank AG, London Branch Stock borrow from JP Morgan Chase

(Refer to Schedule 2)

N/A 3,000 3,000

3-Oct-17 Deutsche Bank AG, London Branch Stock borrow from Bank of New York Mellon


N/A 25,000 25,000
























4-Oct-17 Deutsche Bank AG, London Branch Return of stock borrow to JP Morgan Chase


N/A -9,600 -9,600

4-Oct-17 Deutsche Securities Australia Limited Return of stock borrow to National Australia Bank


N/A -69,000 -69,000



















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Schedule 1


Consideration given


Number of

securities affected

(Ordinary Shares)

Person's votes

affected

























6-Oct-17 Deutsche Bank AG, London Branch Stock borrow from STASOV


N/A 25,000 25,000

6-Oct-17 Deutsche Securities Australia Limited Stock borrow from JP Morgan Chase Bank, N.A. (Sydney Branch)


N/A 25,000 25,000



























9-Oct-17 Deutsche Bank AG, London Branch Stock borrow from Citi Bank


N/A 10,000 10,000
















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Schedule 1


Consideration given


Number of

securities affected

(Ordinary Shares)

Person's votes

affected



































N/A -23,000 -23,000





































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Consideration given


Number of

securities affected

(Ordinary Shares)

Person's votes

affected










13-Oct-17 Deutsche Securities Australia Limited Return of stock borrow to JP Morgan Chase Bank, N.A. (Sydney Branch)


N/A -24,300 -24,300























16-Oct-17 Deutsche Bank AG, London Branch Stock borrow from Bank of New York Mellon


N/A 4,200 4,200



N/A -29,200 -29,200



N/A -3,000 -3,000

16-Oct-17 Deutsche Bank AG, London Branch Return of stock borrow to Bank of New York Mellon


N/A -25,000 -25,000

16-Oct-17 Deutsche Bank AG, London Branch Return of stock borrow to STASOV


N/A -25,000 -25,000

16-Oct-17 Deutsche Securities Australia Limited Return of stock borrow to JP Morgan Chase Bank, N.A. (Sydney Branch)


N/A -700 -700




























N/A 11,590 11,590

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Schedule 1


Consideration given


Number of

securities affected

(Ordinary Shares)

Person's votes

affected



N/A 3,200 3,200



N/A 5,000 5,000

























18-Oct-17 Deutsche Asset Management (UK) Limited Sell 14.02 -279 -279

18-Oct-17 Deutsche Securities Australia Limited Stock borrow from Citi Bank N.A., Sydney Branch


N/A 100,000 100,000































N/A -82,000 -82,000











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Schedule 1


Consideration given


Number of

securities affected

(Ordinary Shares)

Person's votes

affected













N/A 95,369 95,369



























































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Schedule 1


Consideration given


Number of

securities affected

(Ordinary Shares)

Person's votes

affected























N/A 45,000 45,000



N/A -45,000 -45,000

24-Oct-17 Deutsche Securities Australia Limited Stock borrow from Citi Bank N.A., Sydney Branch


N/A 77,200 77,200

























N/A -2,400 -2,400

25-Oct-17 Deutsche Securities Australia Limited Return of stock borrow to Citi Bank N.A., Sydney Branch


N/A -77,200 -77,200


















26-Oct-17 Deutsche Securities Australia Limited Stock borrow from BNP Paribas Securities Services


N/A 20,000 20,000

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Consideration given


Number of

securities affected

(Ordinary Shares)

Person's votes

affected

26-Oct-17 Deutsche Securities Australia Limited Return of stock borrow to Citi Bank N.A., Sydney Branch


N/A -100,000 -100,000




































































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Schedule 1


Consideration given


Number of

securities affected

(Ordinary Shares)

Person's votes

affected



N/A -25,000 -25,000

31-Oct-17 Deutsche Securities Australia Limited Stock borrow from BNP Paribas Securities Services


N/A 35,000 35,000




















1-Nov-17 Deutsche Bank AG, Sydney Branch Sell 13.80 -3,029 -3,029

1-Nov-17 Deutsche Bank AG, Sydney Branch Sell 13.91 -426 -426

1-Nov-17 Deutsche Bank AG, Sydney Branch Buy 13.78 223 223





1-Nov-17 Deutsche Bank AG, Sydney Branch Buy 13.79 6,217 6,217










2-Nov-17 Deutsche Securities Australia Limited Stock borrow from BNP Paribas Securities Services


N/A 25,000 25,000






























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Consideration given


Number of

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(Ordinary Shares)

Person's votes

affected






6-Nov-17 Deutsche Securities Australia Limited Return of stock borrow to BNP Paribas Securities Services


N/A -3,300 -3,300





















7-Nov-17 Deutsche Bank AG, London Branch Return of stock borrow to JP Morgan Chase


N/A -7,000 -7,000

























N/A -13,500 -13,500



N/A -2,000 -2,000

















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Schedule 1


Consideration given


Number of

securities affected

(Ordinary Shares)

Person's votes

affected








N/A -10,700 -10,700



N/A 25,000 25,000























N/A -21,800 -21,800





















N/A -2,800 -2,800



N/A -4,300 -4,300



















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Schedule 1


Consideration given


Number of

securities affected

(Ordinary Shares)

Person's votes

affected



N/A -5,000 -5,000

























N/A -7,700 -7,700



N/A 50,000 50,000






















N/A 49,000 49,000























N/A -1,000 -1,000

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Schedule 1


Consideration given


Number of

securities affected

(Ordinary Shares)

Person's votes

affected










































N/A 3,200 3,200






























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Schedule 1


Consideration given


Number of

securities affected

(Ordinary Shares)

Person's votes

affected

































N/A -5,000 -5,000



N/A -2,600 -2,600





































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Schedule 1


Consideration given


Number of

securities affected

(Ordinary Shares)

Person's votes

affected




N/A -1,300 -1,300





















N/A -33,000 -33,000
























N/A -12,000 -12,000






















1-Dec-17 Deutsche Bank AG, London Branch Sell 13.80 -341 -341

1-Dec-17 Deutsche Bank AG, London Branch Buy 15.09 385 385

1-Dec-17 Deutsche Bank AG, Sydney Branch Buy 14.87 1 1


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Consideration given


Number of

securities affected

(Ordinary Shares)

Person's votes

affected

1-Dec-17 Deutsche Bank AG, Sydney Branch Sell 14.91 -13 -13



1-Dec-17 Deutsche Bank AG, Sydney Branch Buy 14.99 10,764 10,764



1-Dec-17 Deutsche Bank AG, Sydney Branch Sell 15.01 -5,443 -5,443

















4-Dec-17 Deutsche Securities Australia Limited Return of stock borrow to BNP Paribas Securities Services


N/A -9,000 -9,000



















5-Dec-17 Deutsche Asset Management (UK) Limited Buy 15.30 470 470

5-Dec-17 Deutsche Securities Australia Limited Return of stock borrow to BNP Paribas Securities Services


N/A -11,000 -11,000
























6-Dec-17 Deutsche Securities Australia Limited Stock borrow from BNP Paribas Securities Services


N/A 35,000 35,000

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Schedule 1


Consideration given


Number of

securities affected

(Ordinary Shares)

Person's votes

affected























N/A 20,000 20,000






















N/A 7,000 7,000




















N/A 10,000 10,000










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Schedule 1


Consideration given


Number of

securities affected

(Ordinary Shares)

Person's votes

affected











N/A 75,000 75,000




























N/A 25,000 25,000




















N/A 69,300 69,300
















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Schedule 1


Consideration given


Number of

securities affected

(Ordinary Shares)

Person's votes

affected


















































N/A 65,600 65,600






















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securities affected

(Ordinary Shares)

Person's votes

affected
























21-Dec-17 Deutsche Bank AG, London Branch Sell 16.38 -1,364 -1,364

21-Dec-17 Deutsche Bank AG, London Branch Buy 16.38 1,364 1,364























N/A 68,200 68,200





















N/A 25,000 25,000

27-Dec-17 Deutsche Bank AG, London Branch Sell 16.52 -2,553 -2,553

27-Dec-17 Deutsche Bank AG, London Branch Buy 16.52 2,553 2,553


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Consideration given


Number of

securities affected

(Ordinary Shares)

Person's votes

affected
























N/A 50,000 50,000





































2-Jan-18 Deutsche Bank AG, Sydney Branch Buy 16.57 1,791 1,791

2-Jan-18 Deutsche Bank AG, Sydney Branch Sell 16.57 -1,126 -1,126


2-Jan-18 Deutsche Bank AG, Sydney Branch Buy 16.55 285 285




2-Jan-18 Deutsche Bank AG, Sydney Branch Sell 16.53 -524 -524




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(Ordinary Shares)

Person's votes

affected





3-Jan-18 Deutsche Asset Management (UK) Limited Sell 16.72 -186 -186

3-Jan-18 Deutsche Securities Australia Limited Return of stock borrow to BNP Paribas Securities Services


N/A -2,700 -2,700

3-Jan-18 Deutsche Bank AG, London Branch Buy 16.72 1,107 1,107


















4-Jan-18 Deutsche Securities Australia Limited Stock borrow from BNP Paribas Securities Services


N/A 50,000 50,000




















5-Jan-18 Deutsche Asset Management (UK) Limited Sell 16.45 -93 -93



N/A -1,100 -1,100





















N/A 50,000 50,000



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Schedule 1


Consideration given


Number of

securities affected

(Ordinary Shares)

Person's votes

affected




















N/A 8,400 8,400























N/A 125,000 125,000


10-Jan-18 Deutsche Bank AG, London Branch Sell 15.65 -1,706 -1,706






















N/A -50,000 -50,000








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Consideration given


Number of

securities affected

(Ordinary Shares)

Person's votes

affected













N/A 10,000 10,000
























































N/A 20,000 20,000

17-Jan-18 Deutsche Bank AG, London Branch Sell 17.83 -1,584 -1,584



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Consideration given


Number of

securities affected

(Ordinary Shares)

Person's votes

affected

























N/A -13,000 -13,000





















N/A -24,400 -24,400




























N/A -208,100 -208,100

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Consideration given


Number of

securities affected

(Ordinary Shares)

Person's votes

affected






























N/A -12,100 -12,100

























N/A -24,000 -24,000


















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Consideration given


Number of

securities affected

(Ordinary Shares)

Person's votes

affected





N/A -58,000 -58,000




















N/A -38,300 -38,300



















30-Jan-18 Deutsche Bank AG, London Branch Return of stock borrow to JP Morgan Chase


N/A -1,000 -1,000



N/A -26,600 -26,600




N/A 15,300 15,300





31-Jan-18 Deutsche Bank AG, Sydney Branch Buy 27.48 2,108,376 2,108,376



















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Consideration given


Number of

securities affected

(Ordinary Shares)

Person's votes

affected



1-Feb-18 Deutsche Asset Management (UK) Limited Sell 27.50 -186 -186

1-Feb-18 Deutsche Securities Australia Limited Return of stock borrow to BNP Paribas Securities Services


N/A -6,014 -6,014

1-Feb-18 Deutsche Bank AG, London Branch Buy 27.50 697 697

1-Feb-18 Deutsche Bank AG, London Branch Buy 27.52 686 686

1-Feb-18 Deutsche Bank AG, London Branch Sell 27.52 -686 -686

1-Feb-18 Deutsche Bank AG, London Branch Buy 27.55 7,730 7,730

1-Feb-18 Deutsche Bank AG, London Branch Sell 27.55 -50,000 -50,000



1-Feb-18 Deutsche Bank AG, Sydney Branch Sell 27.51 -4,653 -4,653

1-Feb-18 Deutsche Bank AG, Sydney Branch Buy 27.53 2,423 2,423


1-Feb-18 Deutsche Bank AG, Sydney Branch Sell 27.53 -425 -425










1-Feb-18 Deutsche Bank AG, Sydney Branch Buy 27.50 80 80









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Schedule 2

Type of Agreement: Securities Lending Agreement Securities Lending Agreement

Parties to Agreement: (1) Deutsche Bank AG, London Branch (2) JP Morgan Chase

(1) Deutsche Bank AG, London Branch (2) Bank of New York Mellon

Transfer date: From 2 October 2017 to 1 February 2018 From 2 October 2017 to 1 February 2018

Holder of voting rights: Registered holder Registered holder

Are there any restrictions on voting rights:

No No

If yes, detail: N/A N/A

Scheduled return date (if any): None (subject to the terms of the relevant loan)

None (subject to the terms of the relevant loan)

Does the borrower have the right to return early:

Yes Yes

If yes, detail:

The borrower has the right to return at any time (subject to the terms of the relevant loan)


Does the lender have the right to recall early:

Yes Yes

If yes, detail: The lender has the right to recall at any time (subject to the terms of the relevant loan)

The lender has the right to recall at any time (subject to the terms of the relevant loan)

Will the securities be returned on settlement:

Yes Yes

If yes, detail any exceptions: N/A N/A

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Schedule 2


Parties to Agreement: (1) Deutsche Bank AG, London Branch (2) STASOV

(1) Deutsche Bank AG, London Branch (2) Citi Bank




No No





Yes Yes

If yes, detail:




Yes Yes




Yes Yes


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Schedule 2


Parties to Agreement: (1) Deutsche Securities AUS Ltd (2) National Australia Bank

(1) Deutsche Securities AUS Ltd (2) JP Morgan Chase Bank




No No





Yes Yes

If yes, detail:




Yes Yes




Yes Yes


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Schedule 2


Parties to Agreement: (1) Deutsche Securities AUS Ltd (2) Citi Bank

(1) Deutsche Securities AUS Ltd (2) BNP Paribas Securities Services




No No





Yes Yes

If yes, detail:




Yes Yes




Yes Yes


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Section 671B SIRTEX MEDICAL LTD 078 166 122 Deutsche Bank ... · 4-Oct-17 Deutsche Bank AG, Sydney...

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Transcript of Section 671B SIRTEX MEDICAL LTD 078 166 122 Deutsche Bank ... · 4-Oct-17 Deutsche Bank AG, Sydney...