Form 603
Corporations Act 2001
Section 671B
Notice of initial substantial holder
ToCompany Name/Scheme | NEW CENTURY RESOURCES LIMITED | |||||
ACN/ARSN | … | |||||
142 165 080 | ||||||
1. Details of substantial holder (1) | ||||||
Name | Morgan Stanley and its subsidiaries listed in Annexure A | |||||
ACN/ARSN (if applicable) | Not Applicable | |||||
only | ||||||
December 22, 2021 | ||||||
The holder became a substantial holder on | ||||||
The holder became aware on | December 24, 2021 | |||||
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: | ||||
use | ||||
Class of securities (4) | Number of securities | Person's votes (5) | Voting power (6) | |
Ordinary Shares | 9,890,619 | 9,890,619 | 7.55% | |
Based on 130,990,713 Ordinary | ||||
Shares Outstanding | ||||
3. Details of relevant interests
The ature 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:
For personal
Holder of relevant interest | Nature of relevant interest (7) | Class and number |
of securities | ||
Morgan Stanley & Co. | Holder of securities subject to an obligation to return under a securities | 190,284 Ordinary |
International plc | lending agreement. | Shares |
Morgan Stanley & Co. | Shares held or in respect of which the holder may exercise control over | 10,898 Ordinary |
International plc | ||
disposal in the ordinary course of sales and trading businesses. | Shares | |
Morgan Stanley & Co. LLC | Holder of securities subject to an obligation to return under a prime brokerage | 4,254,940 Ordinary |
agreement. | Shares | |
Morgan Stanley Australia | Shares held or in respect of which the holder may exercise control over | 5,434,497 Ordinary |
Securities Limited | disposal in the ordinary course of sales and trading businesses. | Shares |
Each of the entities (as listed in | Each of the above entities is a body corporate that each upstream entity | 9,890,619 Ordinary |
Annexure A) in the Morgan | Shares(N.B.: Total of | |
controls and therefore has the relevant interests that the above entities | ||
Stanley group upstream of the | the above direct | |
collectively have. | ||
above entities | interest) | |
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 | Class and number of |
registered as holder (8) | securities | ||
Morgan Stanley & Co. International plc | HSBC Custody Nominees (Australia) | Not Applicable | 201,182 Ordinary |
Limited | Shares | ||
1 |
Morgan Stanley & Co. LLC | HSBC Custody Nominees (Australia) | Not Applicable | 4,254,940 Ordinary |
Limited | Shares | ||
Morgan Stanley Australia Securities | Morgan Stanley Australia Securities | Not Applicable | 5,434,497 Ordinary |
Limited | (Nominee) Pty Limited | Shares | |
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:
only | Holder of relevant interest | Date of acquisition | Consideration (9) | Class and number | ||||
interest of securities | ||||||||
Cash | Non-cash | |||||||
Morgan Stanley Australia Securities Limited | 8/23/2021 | 8,175.98 | Buy | 48,094 Ordinary Shares | ||||
Morgan Stanley Australia Securities Limited | 8/25/2021 | 5,627.30 | Buy | 32,156 Ordinary Shares | ||||
Morgan Stanley Australia Securities Limited | 8/26/2021 | 19,118.05 | Buy | 109,246 Ordinary Shares | ||||
Morgan Stanley Australia Securities Limited | 8/27/2021 | 24,859.45 | Buy | 142,054 Ordinary Shares | ||||
Morgan Stanley Australia Securities Limited | 8/27/2021 | 32,910.30 | Buy | 182,835 Ordinary Shares | ||||
Morgan Stanley Australia Securities Limited | 8/30/2021 | 575.28 | Buy | 3,196 Ordinary Shares | ||||
Morgan Stanley Australia Securities Limited | 8/30/2021 | 8,651.53 | Buy | 46,765 Ordinary Shares | ||||
use | ||||||||
Morgan Stanley Australia Securities Limited | 9/2/2021 | 411.84 | Buy | 2,496 Ordinary Shares | ||||
Morgan Stanley Australia Securities Limited | 9/2/2021 | 762.62 | Buy | 4,486 Ordinary Shares | ||||
Morgan Stanley Australia Securities Limited | 9/2/2021 | 1,260.00 | Buy | 7,200 Ordinary Shares | ||||
Morgan Stanley Australia Securities Limited | 9/3/2021 | 9,517.45 | Buy | 55,985 Ordinary Shares | ||||
Morgan Stanley Australia Securities Limited | 9/9/2021 | 5,663.46 | Buy | 34,324 Ordinary Shares | ||||
Morgan Stanley Australia Securities Limited | 9/10/2021 | 3,096.56 | Buy | 18,767 Ordinary Shares | ||||
M | rgan Stanley Australia Securities Limited | 9/13/2021 | 283.24 | Buy | 1,743 Ordinary Shares | |||
M | rgan Stanley Australia Securities Limited | 9/13/2021 | 2,948.88 | Buy | 17,872 Ordinary Shares | |||
Morgan Stanley Australia Securities Limited | 9/14/2021 | 3,041.28 | Buy | 18,432 Ordinary Shares | ||||
Morgan Stanley Australia Securities Limited | 9/15/2021 | 2,909.45 | Buy | 17,633 Ordinary Shares | ||||
Morgan Stanley Australia Securities Limited | 9/15/2021 | 3,575.00 | Buy | 22,000 Ordinary Shares | ||||
Morgan Stanley Australia Securities Limited | 9/17/2021 | 3,134.56 | Buy | 19,591 Ordinary Shares | ||||
Morgan Stanley Australia Securities Limited | 10/29/2021 | 55.49 | Buy | 358 Ordinary Shares | ||||
Morgan Stanley Australia Securities Limited | 10/29/2021 | 4,575.00 | Buy | 30,000 Ordinary Shares | ||||
Morgan Stanley Australia Securities Limited | 10/29/2021 | 11,952.83 | Buy | 77,115 Ordinary Shares | ||||
personal | ||||||||
Morgan Stanley Australia Securities Limited | 11/1/2021 | 24,200.85 | Buy | 161,339 Ordinary Shares | ||||
Morgan Stanley Australia Securities Limited | 11/2/2021 | 1,143.75 | Buy | 7,500 Ordinary Shares | ||||
M | rgan Stanley Australia Securities Limited | 11/2/2021 | 2,574.00 | Buy | 17,160 Ordinary Shares | |||
M | rgan Stanley Australia Securities Limited | 11/2/2021 | 17,314.74 | Buy | 111,708 Ordinary Shares | |||
Morgan Stanley Australia Securities Limited | 11/4/2021 | 21,259.18 | Buy | 137,156 Ordinary Shares | ||||
Morgan Stanley Australia Securities Limited | 11/5/2021 | 1,342.00 | Buy | 8,800 Ordinary Shares | ||||
For | ||||||||
Morgan Stanley Australia Securities Limited | 11/5/2021 | 14,071.99 | Buy | 90,787 Ordinary Shares | ||||
Morgan Stanley Australia Securities Limited | 11/8/2021 | 6,711.66 | Buy | 43,301 Ordinary Shares | ||||
Morgan Stanley Australia Securities Limited | 11/8/2021 | 6,870.75 | Buy | 45,805 Ordinary Shares | ||||
Morgan Stanley Australia Securities Limited | 11/9/2021 | 11,843.25 | Buy | 78,955 Ordinary Shares | ||||
Morgan Stanley Australia Securities Limited | 11/10/2021 | 11,201.70 | Buy | 74,678 Ordinary Shares | ||||
Morgan Stanley Australia Securities Limited | 11/11/2021 | 8,435.55 | Buy | 56,237 Ordinary Shares | ||||
Morgan Stanley Australia Securities Limited | 11/12/2021 | 923.35 | Buy | 6,260 Ordinary Shares | ||||
Morgan Stanley Australia Securities Limited | 11/12/2021 | 8,080.80 | Buy | 53,872 Ordinary Shares | ||||
2 |
Morgan Stanley & Co. International plc | 11/24/2021 | N/A | Borrow | 15,354 Ordinary Shares | |||||||||
Morgan Stanley & Co. International plc | 11/26/2021 | N/A | Collateral Received | 24,000 Ordinary Shares | |||||||||
Morgan Stanley Australia Securities Limited | 11/30/2021 | 4,511.24 | Buy | 31,112 Ordinary Shares | |||||||||
Morgan Stanley Australia Securities Limited | 11/30/2021 | 7,380.90 | Buy | 49,206 Ordinary Shares | |||||||||
Morgan Stanley Australia Securities Limited | 12/1/2021 | 3,114.75 | Buy | 20,765 Ordinary Shares | |||||||||
Morgan Stanley Australia Securities Limited | 12/10/2021 | 2,736.36 | Buy | 1,382 Ordinary Shares | |||||||||
Morgan Stanley Australia Securities Limited | 12/13/2021 | 2,324.00 | Buy | 1,162 Ordinary Shares | |||||||||
Morgan Stanley & Co. International plc | 12/14/2021 | N/A | Borrow | 1,023 Ordinary Shares | |||||||||
Morgan Stanley & Co. International plc | 12/16/2021 | N/A | Borrow | 223,624 Ordinary Shares | |||||||||
Morgan Stanley Australia Securities Limited | 12/16/2021 | N/A | Borrow | 5 Ordinary Shares | |||||||||
Morgan Stanley & Co. International plc | 12/17/2021 | 249,767.70 | Buy | 128,086 Ordinary Shares | |||||||||
Morgan Stanley & Co. International plc | 12/20/2021 | N/A | Collateral Received | 1,600 Ordinary Shares | |||||||||
only | |||||||||||||
M rgan Stanley Australia Securities Limited | 12/20/2021 | 1.91 | Buy | 1 Ordinary Share | |||||||||
Morgan Stanley Australia Securities Limited | 12/20/2021 | 13.97 | Buy | 7 Ordinary Shares | |||||||||
use | Morgan Stanley & Co. LLC | 12/22/2021 | N/A | Borrow | 4,254,940 Ordinary Shares | ||||||||
personal | |||||||||||||
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 | ||||||||||||
Morgan Stanley & Co. LLC | Is a body corporate controlled by each upstream entity as listed in Annexure A | ||||||||||||
Morgan Stanley & Co. International plc | Is a body corporate controlled by each upstream entity as listed in Annexure A | ||||||||||||
Morgan Stanley Australia Securities Limited | Is a body corporate controlled by each upstream entity as listed in Annexure A | ||||||||||||
7. | Addresses | ||||||||||||
The addresses of persons named in this form are as follows: | |||||||||||||
For | |||||||||||||
Name | Address | ||||||||||||
Morgan Stanley | 1585 Broadway, New York, New York, 10036, USA. | ||||||||||||
Morgan Stanley & Co. LLC | 1585 Broadway, New York, 10036, USA. | ||||||||||||
Morgan Stanley & Co. International plc | Legal & Compliance Department, 25 Cabot Square, Canary Wharf, London, E14 4QA, | ||||||||||||
UNITED KINGDOM. | |||||||||||||
Morgan Stanley Australia Securities Limited | Level 39, Chifley Tower, 2 Chifley Square, Sydney, 2000, AUSTRALIA. | ||||||||||||
Signature
print name Tony Chen | capacity | Executive Director |
3
sign here | date | December 28, 2021 |
For personal use only
4
Annexure A
List of Morgan Stanley and its subsidiaries that have a relevant interest or deemed to have a relevant interest in the shares or units stated in Section 3.
only | Name | |||||||
└─┬─Morgan Stanley | ||||||||
├─┬─Morgan Stanley International Holdings Inc. | ||||||||
│ ├─┬─Morgan Stanley (Australia) Securities Holdings Pty Limited | ||||||||
│ │ └───Morgan Stanley Australia Securities Limited | ||||||||
│ └─┬─Morgan Stanley International Limited | ||||||||
│ | └─┬─Morgan Stanley Investments (UK) | |||||||
│ | └───Morgan Stanley & Co. International plc | |||||||
└─┬─Morgan Stanley Capital Management, LLC | ||||||||
└─┬─Morgan Stanley Domestic Holdings, Inc. | ||||||||
└───Morgan Stanley & Co. LLC | ||||||||
Signature | ||||||||
use | ||||||||
For personal | print name | Tony Chen | capacity | Executive Director | ||||
sign here | date | December 28, 2021 | ||||||
5
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New Century Resources Limited published this content on 28 December 2021 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 28 December 2021 21:26:04 UTC.