Form 603
Corporations Act 2001
Section 671B
Notice of initial substantial holder ToCompany Name/Scheme Sundance Resources Limited ACN/ARSN 055 719 394
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 12 December 2014
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
|
165,940,681
|
165,940,681
|
5.38%
|
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 dispose of, or control the exercise of a
power to dispose of, the securities held in capacity as principal
|
110,624,961
|
|
Deutsche Bank AG, London
Branch
|
Prime Broker that has exercised its rehypothecation
right in respect of shares pursuant to a Prime
Brokerage Agreement
Refer to Schedule 2
|
55,315,720
|
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)
|
|
Deutsche Bank AG, Sydney
Branch
|
Bainpro Nominees
Pty Ltd
|
Deutsche Bank AG,
Sydney Branch
|
273,957
|
|
Deutsche Bank AG, Sydney
Branch
|
Unknown
|
Deutsche Bank AG,
Sydney Branch
|
110,351,004
|
|
Deutsche Bank AG, London
Branch
|
Unknown
|
Deutsche Bank AG, London Branch
|
55,315,720
|
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 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
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,
United Kingdom EC2N 2DB
|
|
Bainpro Nominees Pty Ltd
|
Level 16, Deutsche Bank Place, Corner Hunter and Philip
Street, Sydney, NSW, Australia 2000
|
Signature
Name Fiona Cheng
Deutsche Bank AG, Hong Kong Branch 16 December 2014
Schedule l
Schedule l
Consideration Class and number of
|
givenin relation
|
securities affected
|
Person's votes
|
|
Date of
|
of relevant interest
|
Nature of chanoe
|
to chanoe
|
(Ordinarv Shares)
|
affected
|
|
AG.Svdnevbranch
|
Buv
|
I.OS
|
S5
|
S5
|
|
15/0S/2014 Deutsche BankAG,Sydnev branch
|
Buy
|
O.OS
|
406
|
406
|
1S/OS/201· Bank AG )vdnev branch
1S/OS/201· Bank AG )vdnev branch
19/0S/2C • Bank AG >vdnev branch
20l08720f AG.Svdnev branch
21/0Bi2oT n;.,-,,.,,;., 13-ankAG, Sydney branch
2210S/201 ' Bank AG )vdnev branch
27/0S/201 Deutsche Bank AG )vdnev branch
Buv
Buv
Buv
Buv
Bl.ly
Buv
Buv
I.OS 100, )00
I.OS 143
I.OS 50 )00
o.os 390
0.08 25,382
O.OS 634
1.08 29.51'
100,000
243
50 000
39C
25,382
634
29.51'
27/0S/20' Deutsche Bank AG >vdnev branch Buv 0.08 61 61
28708l20f4 AG.Svdnev branch 131.1v 0.09 ,206 ,206
9/( leutsehe !an : A ìydney branch Buy 0.08 892 892
leutse 1e !an lnev >rane leutse 1e !an lnev >rane leutse 1e !an lnev >rane leutse 1e !an lnev >rane
1/2 leutse 1e !ar lnev >rane
A ìydnev branch Deuische Bank AG ìvdnev branch Deutsche Bank AG >vdnev branch
OS/09/2014 Deutsche Bank AG >vdnev branch
uv uv uv uv luv Buv Buv Buv
Buv
0.09
0.08
O.OS O.OS
S20
1
515.00C
1,S32
.4 .ooe
116
11,150
65
3,35e
S20
13
515,000
1,S32
1,410 000
116
11.150
65
3,35e
OS/09/2014 Deutsche Bank AG òydney branch Buv
o.os 46'
46'
09/09/2014 Deutsche Bank Af-. )vdnev branch
Deutsche Bank A( òvdnev branch
Buv
Buv
0.08
O.OS
36,265 se
36,265 se
0/09/2014 Deutsche Bank AC; )vdnev branch
Buv
o.os I,S74
1.S74
1170972014 Deutsche Bank AC >vdnev branch Buv
11/09120141Deutsche Bank AG, Sydney branch Buy
O.OS 46,2 '
o.os 525
46
525
12109/2014 Deutsche Bank AG. )vdnev branch Buv
12109/2014 Deutsche Bank AC . >vdnev branch Buv
Buv
1570972014 A• , )vdnev branch 3uy
1610912014 Deutsche Bank A• )vdnev branch :uv
16/09/2014 Deutsche Bank A· , >vdnev branch •UV
o.os 223.26S
0.08 14' o.os 154.750 o.os 175
0.08 4 1,000
o.os 435
223.268
14'
154,75(
175
4 ,00(
435
17/0912014 Deutsche Bank A· )vdnev branch
7/09/2014 Deutsche Bank A , )vdnev branch
:uv
:uv
0.08 120,000
0.08 164
12( .ooc
164
19109/2014 Deutsche Bank A , )vdnev branch :uv
22/09/2014 Deutsche Bank A , )vdnev branch :uv
23/09/2014 Deutsche Bank A . >vdnev branch :uv
2:3/09/2014 Deutsche 13ank AC • Sydney branch Buy
.08 1.936
o. 17
0.07 600,000
0.07
1,936
,171
600,00C
44.491
2./0!1/2014 Deutsche Banl:A Jnev brane
2!>/0!1/2014 Deutsche Banl:A Jnev brane
2Ei/09/2014 Dectsche Bank A Jnev branc
21i/O!I/2014 Dectsche Bank A Jnev brane
2!1/09/2014 Dee tsche Bank A Jnev brane
luv luv luv lUV luv
535,
34,
36,
535,
34,
3070972014 DeUiScheBiiii )ydney branch Buy 0.07 10!
10!
01/10/2014 )eutsche Ban:A )vdnev brane
luv 0.06 564,06C
564,060
02/10/201 )eutsche Ban;A )vdnev brane Buv .06 22.567
22.56
02/10/ )eutsche Ban;A >vdnev brane Buv .06 504 504
03/1O!Jeutsche Ban ;A )ydnev branc Buv .06 350.000
O:lml 14 JeUiSche !aiik òydney branch Buy 0.06 61
350.000
6'
6/1O )eutsche lank )ydney branch
Buy 0.05 150,000
150,000
7/1 )eutsche lank >vdnev branch Buv .05 50. 100
50,00(
7110. Jeutsche lank >vdnev branch Buv .05 342 34
1O Jeutsche lank >vdnev branch
Buv 1.05 200.000
200.000
08710720T4 DeUiScheBiiiikAl :ydney branch Buy 0.05 209
09110/201· Deutsche Bank AG ivdnev branch Buv 1.05 124.960
20
124,960
09110/2e Deutsche Bank AG ivdnev branch Buv .05 78 7S
1011012e Deutsche Bank AG ivdnev branch Buv 1.05 200,000 200,000
13/10/201 Deutsche Bank AG iydnev branch Buv 0.05 352,000
13/10)201· Deuische Bank AG )vdnev branch Buv 1.05 42.999
352,000
42,999
15/10/201· Deutsche Bank AG )vdnev branch Buv 1.05 00. 00 100.000
1511012e Deutsche Bank AG )vdnev branch Buv 1.05 348 34S
Schedule l
|
Date ofchan
|
Holder of relevant interest
|
Nature of chanae
|
Consideration given inrelation to chanae
|
Class and number of securiUes affected
!Ordinarv Sharesl
|
Person's votes affected
|
|
t2/1212014
|
Deutsche Bank AG. Svdnev branch
|
Buv
|
0.03
|
109.366.421
|
109.366 421
|
Schedule 2
|
Type of Agreement:
|
Prime Brokerage Agreement
|
|
Parties to Agreement:
|
(1) Deutsche Bank AG, London Branch
(2) Senrigan Master Fund
|
|
Transfer date:
|
2 December 2014
3 December 2014
4 December 2014
|
|
Holder of voting rights:
|
Deutsche Bank AG
|
|
Are there any restrictions on
voting rights:
|
Yes
|
|
If yes, detail:
|
The exercise of voting rights shall be in accordance with
the instructions of the Client provided that such instructions are received to allow Deutsche Bank AG, London Branch to act on its best efforts. If no instructions are received from the Client, Deutsche Bank AG, London Branch shall not exercise such voting rights.
|
|
Scheduled return date (if
any):
|
None
|
|
Does the borrower have the
right to return early:
|
Yes
|
|
If yes, detail:
|
The borrower has the right to return at any time
|
|
Does the lender have the
right to recall early:
|
Yes
|
|
If yes, detail:
|
The lender has the right to recall at its request subject to compliance with margin requirements
|
|
Will the securities be returned on settlement:
|
Yes
|
|
If yes, detail any exceptions:
|
N/A
|