13 May

Change in substantial holding

Form 604 Corporations Law Section 671B Notice of change of interests of substantial holder To: Company Name/Scheme 0B BWX LIMITED ACN/ARSN 1B 163 488 631 1. Details of substantial holder Name UBS Group AG and its related bodies corporate A CN/ARSN (if applicable): There was a change in the interest s of the substantial holder on 11 May 202 2 The previous notice was given to the company on 5B 10 May 202 2 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 11,972,040 7.42% 9,703,461 6.01% 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 Please see Appendix B. 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 holder (8) Nature of relevant interest (6) Class and number of securities Person’s votes UBS AG London Branch Various Custodians UBS AG London Branch Power to control disposal over shares pursuant to stock borrowing and lending activities 3,630,000 Ordinary 3,630,000 Various Custodians UBS AG London Branch Beneficial Owner 13,946 Ordinary 13,946 UBS Asset Management (Australia) Ltd Various Custodians UBS Asset Management (Australia) Ltd Fund Manager with power to exercise control over voting shares 682,936 Ordinary 682,936 UBS Asset Management (Deutschland) GmbH Various Custodians UBS Asset Management (Deutschland) GmbH Fund Manager with power to exercise control over voting shares 45,093 Ordinary 45,093 UBS Asset Management (UK) Limited Various Custodians UBS Asset Management (UK) Limited Fund Manager with power to exercise control over voting shares 41,613 Ordinary 41,613 UBS Fund Management (Luxembourg) S.A. Various Custodians UBS Fund Management (Luxembourg) S.A. Fund Manager with power to exercise control over voting shares 11,040 Ordinary 11,040 UBS Fund Management (Switzerland) AG Various Custodians UBS Fund Management (Switzerland) AG Fund Manager with power to exercise control over voting shares 88,338 Ordinary 88,338 UBS AG Australia Branch UBS Nominees Pty Ltd UBS AG Australia Branch Prime Broker that has exercised its borrowing right in respect of shares pursuant to a Prime Broking Agreement 1,576,772 Ordinary 1,576,772 UBS Securities Australia Ltd Brispot Nominees Pty Ltd UBS Securities Australia Ltd Beneficial Owner 3,613,723 Ordinary 3,613,723 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) 2B Nature of association N/A N/A 6. Addresses The addresses of persons named in this form are as follows: Name 3B Address UBS AG London Branch 5 Broadgate, London, United Kingdom 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 (UK) Limited 5 Broadgate, London, United Kingdom UBS Fund Management (Luxembourg) S.A. 33A avenue J.F. Kennedy, Luxembourg UBS Fund Ma nagement (Switzerland) AG Aeschenplatz 6, Basel, Switzerland U BS Securities Au stralia Ltd Le vel 16, Chifley Tower , 2 C hifley Square, Sydney, Aus trali a Brispot Nominees Pty Ltd Le vel 16, C hifley Tower, 2 Chifley Square, Sydney, Aus tralia UBS AG Australia Branch Level 16, Chifley Tower, 2 C hifle y Square, Sydney, Australia UBS Nominees Pty Ltd Level 16, Chifley Tower, 2 Chifley Squar e, Sydney, Australia SIGNATURE Print Name: Andrew Costley Capacity: Authorised signatory Sign Here: Date: 13 May 2022 Print Name: Florian Naef Capacity: Authorised signatory Sign Here: Date: 13 May 2022 Contact details for this notice: --------------------------------------------------------------- Andrew Costley Group Compliance, Regulatory & Governance (T) + 852 3712 3707 --------------------------------------------------------------- Appendix A The information in this appendix is based on the relevant standard UBS agreement. A copy of the agreement is available to the company, or responsible entity to whom the prescribed form must be given, or to ASIC, upon request. Holder of relevant interest UBS AG, Australia Branch Type of agreement Prime Brokerage Agreement Parties to agreement (i) UBS AG, Australia Branch (“UBS AG”) (ii) Client (Please refer to Appendix A-1.) Transfer date Please refer to Appendix A-1. Holder of voting rights UBS AG Are there any restrictions on voting rights? Please refer to the details below. If yes, detail Since all right and title in the securities passes to the transferee (i.e. UBS AG), the transferee has the right to vote. However, in certain circumstances, the transferee may seek to arrange for voting rights to be exercised in accordance with the instructions of the transferor (i.e. Client). Scheduled return date (if any) None, subject to the terms of the relevant loan. Does the borrower have the right to return early? Yes. If yes, detail The borrower (i.e. UBS AG) has the right to return at its discretion. Does the lender have the right to recall early? Yes. If yes, detail The lender (i.e. Client) can recall at its request subject to compliance with margin requirements and the terms of the relevant loan. Will the securities be returned on settlement? Yes. If yes, detail any exceptions None. Appendix A-1 Prime Brokerage Agreement - UBS AG, Australia Branch Parties to agreement Transfer date Regal Funds Management Pty Limited as trustee and manager of Tasman Market Neutral Fund (i) 15 February 2022 Regal Funds Management Pty Limited as trustee for Regal Australian Long Short Geared Equity Fund (i) 15 February 2022 (ii) 11 March 2022 Regal Funds Management Pty Limited as Trustee of the Regal Australian Small Companies Fund (i) 07 February 2022 (ii) 15 February 2022 Regal Funds Management Pty Limited as trustee for the Regal Tactical Opportunities Fund (i) 15 February 2022 (ii) 11 March 2022 BWX - Appendix B Date of change Person whose relevant interest changed Nature of Change Consideration given in relation to change Number of securities Class 09-May-22 UBS Securities Australia Ltd Buy 205,791 158,167 Ordinary 09-May-22 UBS Securities Australia Ltd Sell 180,678 (136,722) Ordinary 09-May-22 UBS Securities Australia Ltd Sell 23,364 (17,505) Ordinary 09-May-22 UBS Securities Australia Ltd Buy 11,463 8,856 Ordinary 09-May-22 UBS Securities Australia Ltd Buy 186,485 141,416 Ordinary 09-May-22 UBS Securities Australia Ltd Sell 44,739 (34,486) Ordinary 09-May-22 UBS Securities Australia Ltd Sell 104,462 (78,851) Ordinary 09-May-22 UBS Securities Australia Ltd Buy 67,136 50,934 Ordinary 09-May-22 UBS Securities Australia Ltd Sell 205,729 (154,870) Ordinary 09-May-22 UBS Securities Australia Ltd Buy 72,173 55,590 Ordinary 09-May-22 UBS Securities Australia Ltd Sell 670 (509) Ordinary 09-May-22 UBS Securities Australia Ltd Sell 62,210 (47,301) Ordinary 09-May-22 UBS Securities Australia Ltd Buy 22,832 17,317 Ordinary 09-May-22 UBS Securities Australia Ltd Sell 38,801 (29,080) Ordinary 09-May-22 UBS Securities Australia Ltd Buy 57,329 43,438 Ordinary 09-May-22 UBS Securities Australia Ltd Sell 725 (562) Ordinary 09-May-22 UBS Securities Australia Ltd Sell 35,418 (26,578) Ordinary 09-May-22 UBS Securities Australia Ltd Buy 36,080 27,140 Ordinary 09-May-22 UBS Securities Australia Ltd Sell 27,056 (19,900) Ordinary 09-May-22 UBS Securities Australia Ltd Buy 92,666 71,041 Ordinary 09-May-22 UBS Securities Australia Ltd Buy 6,995 5,423 Ordinary 09-May-22 UBS Securities Australia Ltd Buy 437,186 330,151 Ordinary 09-May-22 UBS Securities Australia Ltd Sell 469,118 (352,614) Ordinary 09-May-22 UBS Securities Australia Ltd Sell 218,628 (167,943) Ordinary 09-May-22 UBS Securities Australia Ltd Buy 44,496 33,827 Ordinary 09-May-22 UBS Securities Australia Ltd Sell 5,989 (4,584) Ordinary 09-May-22 UBS Securities Australia Ltd Buy 16,981 13,176 Ordinary 09-May-22 UBS Securities Australia Ltd Buy 15,869 12,313 Ordinary 09-May-22 UBS Securities Australia Ltd Buy 1,929 1,497 Ordinary 10-May-22 UBS Securities Australia Ltd Buy 538,445 398,996 Ordinary 10-May-22 UBS Securities Australia Ltd Sell 46,856 (33,831) Ordinary 10-May-22 UBS Securities Australia Ltd Sell 64,971 (48,950) Ordinary 10-May-22 UBS Securities Australia Ltd Sell 2,682 (2,087) Ordinary 10-May-22 UBS Securities Australia Ltd Buy 180,833 135,903 Ordinary 10-May-22 UBS Securities Australia Ltd Sell 99,520 (73,555) Ordinary 10-May-22 UBS Securities Australia Ltd Sell 64,158 (49,383) Ordinary 10-May-22 UBS Securities Australia Ltd Buy 67,587 49,931 Ordinary 10-May-22 UBS Securities Australia Ltd Sell 178,548 (132,346) Ordinary 10-May-22 UBS Securities Australia Ltd Buy 22,120 16,975 Ordinary 10-May-22 UBS Securities Australia Ltd Sell 44,470 (32,018) Ordinary 10-May-22 UBS Securities Australia Ltd Buy 692 512 Ordinary 10-May-22 UBS Securities Australia Ltd Buy 23,255 17,317 Ordinary 10-May-22 UBS Securities Australia Ltd Buy 194,530 144,214 Ordinary 10-May-22 UBS Securities Australia Ltd Sell 13,678 (9,908) Ordinary 10-May-22 UBS Securities Australia Ltd Sell 10,161 (7,842) Ordinary 10-May-22 UBS Securities Australia Ltd Sell 1,137 (888) Ordinary 10-May-22 UBS Securities Australia Ltd Buy 52,027 38,881 Ordinary 10-May-22 UBS Securities Australia Ltd Sell 51,933 (38,881) Ordinary 10-May-22 UBS Securities Australia Ltd Sell 399,234 (302,817) Ordinary 10-May-22 UBS Securities Australia Ltd Buy 14,147 10,994 Ordinary 10-May-22 UBS Securities Australia Ltd Sell 63,856 (46,072) Ordinary 10-May-22 UBS Securities Australia Ltd Sell 7,483 (5,402) Ordinary 10-May-22 UBS Securities Australia Ltd Buy 546,918 408,636 Ordinary 10-May-22 UBS Securities Australia Ltd Sell 621,261 (465,713) Ordinary 10-May-22 UBS Securities Australia Ltd Buy 1,162 883 Ordinary 10-May-22 UBS Securities Australia Ltd Buy 138,977 101,480 Ordinary 10-May-22 UBS Securities Australia Ltd Sell 240,520 (176,879) Ordinary 10-May-22 UBS Securities Australia Ltd Sell 15,697 (11,853) Ordinary 11-May-22 UBS AG, Australia Branch Return of Rehypothecated position N/A (804,300) Ordinary 11-May-22 UBS AG, Australia Branch Return of Rehypothecated position N/A (315,118) Ordinary 11-May-22 UBS AG, Australia Branch Return of Rehypothecated position N/A (926,874) Ordinary 11-May-22 UBS Securities Australia Ltd Buy 214,801 155,664 Ordinary 11-May-22 UBS Securities Australia Ltd Sell 259,263 (187,790) Ordinary 11-May-22 UBS Securities Australia Ltd Buy 38,685 28,258 Ordinary 11-May-22 UBS Securities Australia Ltd Sell 12,633 (9,064) Ordinary 11-May-22 UBS Securities Australia Ltd Buy 148,265 106,078 Ordinary 11-May-22 UBS Securities Australia Ltd Sell 129,882 (93,717) Ordinary 11-May-22 UBS Securities Australia Ltd Sell 2,229 (1,537) Ordinary 11-May-22 UBS Securities Australia Ltd Buy 183,218 132,517 Ordinary 11-May-22 UBS Securities Australia Ltd Sell 3,375 (2,334) Ordinary 11-May-22 UBS Securities Australia Ltd Sell 268,297 (193,968) Ordinary 11-May-22 UBS Securities Australia Ltd Buy 113,061 82,202 Ordinary 11-May-22 UBS Securities Australia Ltd Sell 19,261 (14,042) Ordinary 11-May-22 UBS Securities Australia Ltd Sell 221 (158) Ordinary 11-May-22 UBS Securities Australia Ltd Buy 10,267 7,426 Ordinary 11-May-22 UBS Securities Australia Ltd Sell 13,373 (9,743) Ordinary 11-May-22 UBS Securities Australia Ltd Buy 37,560 27,539 Ordinary 11-May-22 UBS Securities Australia Ltd Sell 3 (2) Ordinary 11-May-22 UBS Securities Australia Ltd Buy 41,671 30,087 Ordinary 11-May-22 UBS Securities Australia Ltd Sell 40,656 (29,291) Ordinary 11-May-22 UBS Securities Australia Ltd Sell 1,185 (871) Ordinary 11-May-22 UBS Securities Australia Ltd Buy 73,873 53,922 Ordinary 11-May-22 UBS Securities Australia Ltd Buy 12,598 9,233 Ordinary 11-May-22 UBS Securities Australia Ltd Buy 467,660 337,417 Ordinary 11-May-22 UBS Securities Australia Ltd Sell 328,987 (236,409) Ordinary 11-May-22 UBS Securities Australia Ltd Sell 7,042 (4,910) Ordinary 11-May-22 UBS Securities Australia Ltd Sell 265,682 (193,872) Ordinary

More from BWX Limited


Join Listcorp to create a personalised news feed, follow your favourite companies, save useful news, and more.

By joining Listcorp you agree to our Terms & Conditions and Privacy Policy

Information on this Website is provided for general information purposes only and is not a substitute for professional advice. ASX Information (including company announcements and prices) is delayed by at least 20 minutes. JSE Information (including company announcements and prices) is delayed by at least 15 minutes. Reliance on the information you access on or from this Website is solely at your own risk. We make no representation or warranty in relation to the future performance of the companies that appear on this Website. Investment in securities involves risk and you should obtain independent professional legal, financial, investment or company advice before acting on any of the information you access on this Website. Using, browsing or otherwise accessing this Website is subject to our Terms and Conditions and our Privacy Policy.

© 2022 Listcorp. ABN 60 166 140 307

Never miss news from BWX Limited (ASX:BWX) when you join Listcorp.