11/Oct/2016 10:23:41 AM CITI 0 1/22
TO: ASX Company AnnoMoerner Plitform FE
&
Mrs Cami Campbell Flc
NZME UMITED [NZMI
From: Jade Hoam Fic
Clt*oup Global Markets Aus *8* Pty Umlbod
..: 11 October 2016
1300135838
+64 9 373 6408
(02) 8225 5114
Cltl
Pagem 23 ( K|N coverSh.80
Sub»ct Submission of Foin 603 re: NZME UMITED rNZMAX']
#you do not, cli al /94 plameledlphonlon 81 282254816....conid, Imdrn,ybep,M L "you-"0*0»W.0.-f# ple- noem'-1,rk,m,c *yby pl n&
Cmgroup Giobd Mari*, Ausbnk Pty Umned ('Cltr) acted m sole mderwrIN on a Bale of29,381,521 ordhary fuly pald - 4 h NZM (the 'Sale Seourltier) by Ne Urriltsd Nie'Seler'). In connection wl# the sale, Cltl enter,d hbo a block tade ggreement with theSeller on 7 Ootober 2018 (tie 'Agreemerrr).
Purilmnt to the · · 7, of section 808(1), 808(8) and 606 of the Corporatione Act anddause 11 of the Agreement CHI gahied a relevant Intereet of 14.99% of NZM's ordinary Mlyp• Id Icuritlee upon emartion of the Aoreement, Pleaee find enclosed Clrs nc*Ice of In10alsubstantlal shareholder hclu(Eng detah of Its relevant #lter=t, and m copy oftheAor••mert
Cm wil fle a cea,Ing to be sub-ntlal shar•holder ndice fodow# setlement of the SaleSecurities.
Yours sbloar*,
Jadi HosngCompliance OmoerCingmup G.bal lim,ket Aullial. Ply L nleed
CrrIGROUP GLOBAL MARKETS AUSTRALIA PTY UMrrEDAaN 84 003 114 832 AFSL 240GmAP***=liet'MIQI"dChl*A**1.ovt 22, CRvoup Ca,4 2 P=* atmaE, 8$»y NEEW 2000 TELEPHONE' 61 2 82264009
FACSIMILE: 61 2 8228 5114
For
per
sona
l use
onl
y
11/Oct/2016 10:23:41 AM CITI 0 322
Nonce of Inltial substantial shar,holder
TO: NZME UMrTED ('NZ< Orirery Fully Paid)
1. Details of 'u//MW,n,reaold
Fonn 603Corpolmoll'*8/0"on 6718
Clt roup Global Mafi lAL!*ailm Pty Umhd (ACN 003 114 832) and ichof thi retated bodbi . , , · 1-h the Cl*cup group of compmles worldwide(for more detals please visit, i .lr ·, i...., i, .
The holder becarile a sube: tial holder on 07 October 2016.
Dedvo poser
The total nlmib.r of vo . attiched to al the voung shar*s In the company orvoting Intsre®:* 4 the 'chem' th*t the ,/, ', '/ holder or an =8001 hadI Novint Intenld h on the d-the substantial hold•r bic I I subltarihholder are as foflows:
C •• Of.CUM.
NZM, Odnly Fullyp'dd
Number of
29,381,521
Ditalls of r,livint Inel,=ts
Mold,r of *12...
Clgroup Globtl MarketzAustraBI Pty Urnlt,d
PN.04.Ve,
29,381,621
Na of 4.Int In*,84
CIOgroup Globel Markat, Ause i PW1.Inllbad eli*ed Into a block tr,deIgivernent on 7 0*ber 2016rA re•m,nri plame "0 -ed).
Plnuant b lection/ 808(1), 806(8)and 608 of as · · ·,'· Act andclause 2.1 of the Agreerner,t CR roupGlobal M=ka Austriille Pty Lhnnldob¢» d I f,IOVEit re uponaxacuton of the Agreemarrt
De 1 of preeene r d he.-
VO Ag PO,Ir
14.99%
Class and mal,berof-eu..
29,381,521NZM, Or-wy Fuly
Paid
The persons reglsi,Md ia holdir• of the Ieouiles referred to in par raph 3above se as folkmE
Held•r of *Iv,4 Int,Illt
CRIgroup Global Wic*Aud,Ili Pty*1
RegbO,red holder of„curIS-
Cl group (Nobel Mal1*Al'yal' PN Ummad
Clais and niber of..Cudual20,381,521
NZM, Ordl=y Fdy Paid
For
per
sona
l use
onl
y
11/Oct/2016 10:23:41 AM CITI 0 4122
The conelderstion peld for eaoh reievant ht,reet Mfirrid to in per raph 3.bovi, and acquired h the fow mor,ths prlor to the day that the Bub**1holder became a Subst tial holder Is m folowk
Hold•r of 4,1Ildin'.rest
Cmgroup Global MarkstsAu * Pty Unlmd
Dat, Of1.-Mon
7 0 ber 2018
Comldiralon
A$0,04
Cim. Ind n-/,r0-Cul
29,381,621led, 0,*gy Fully
pwad
The /gions the perBons named In pm,aph 3 above are*01 thelubet tial holder are as folli„I:
Nam, Ind ACN/ARBN (ll * DUcibli)CRIgrma Global Marketm A traa PtyLknited, ACN 003114 832
NAn of ae.ocianonEach of the related bedlw corporate In theCIHgroup group of.- : .-worl*vide (for mc.detal. please vieltEd*MA).
Ad*Hee.
Th, addresa,s of persons named h this form are as foiows:
NI'llCmgroup Globd Markets Auetala PtyUmlmd
[*.d this day, 11 October 2016,
Jade HogigComplanci Omc,rClelgroup G bal ..rl t, Auehila Pm Lhn/4
AddiLevel 21, Cltlgroup Cent,2 Park StSydney NSW 2000
7
For
per
sona
l use
onl
y
CC
fp
:1
1S
iti
rEilqi{ H
i[!i27
7mli
M"
wilil
iilit
litii
ili
liii:,i
4ll4:,1
i,1*„
f
pilf
idi
ilill
ililli
11/Oct/2016 10:23:41 AM CITI 0
For
per
sona
l use
onl
y
11/Oct/2016 10:23:41 AM CITI 0 8122
02)
) Al*00*Ipllmll imilrol ,iI 4 000•thir*4GETpl lll on
by**loIhoVandon,ooourt*r*I Qn dlilld hmdQBilli livq dth,9*I....#.Id#*.Ve r.
C n™collit.al.m ' , thelatkn 18=to<haoh,**allCf ible) Om'll, e» Vendor=,ma hw*I, to • wl/=4
A.01=t0"dil
: orb*mthe ™dB D.C. orIncI.U.... .n..Mq.mm=*h m, Mm d-Wr orha=1 0*h-dFacic /*dod m#.....0.-.R....8 *-b ..· r · lihm.,tn..".2/
--0.I ..
dan d rody*Per,QI
®
I.Aul 118,¥,hom./..4./.Milm#.D=ofe»Co,por/ ne Al 2001 (CUI) (Co,po! om Ac
iloillalAtall* lo liall<*lonml Id · - -· Almh th•P,m,11 ' .-· ,", (asdilil,db*,4 bt ntaili#*le•19 Iomd.....d....mg v.Im'.*mire,*Nth,/Ip//14dalq, beglre·* orila d II¥ /1*Ic*/0glt,r.domn....=.9--Wn*..IN..1/4=.RIM.iby, ago¥*!m,nt.emo,(aul<.In.ny,uoh '.0/In.*wah wll oh Ihe Vondm h1/Ill Ildd, dil, diolllill, I*IU oon#.-dby,08,md-- 8 Vendor.00" In
Il m,0,111:1 v#Ih lh• fat*1 omr <Illzl*k= pmdd,1 10 011 b-rethi Iial*dth Agii,meit,
PIn,I liWl/lolIQ*, D,rmit R=* Nmlv,Ho 06 I,WIn I*, Lmmbla N,ll,Ill,Idl, NavZ K Nlwq, 8*glpoll,8*,d, h*..NI--4-1 m-Fh,na C/*re) md Unled KNdan
....Ilac./.,mil--up--8• m..m·*m-4-*d,mi1--slim.*
Ild./.17;ofthll cim- 18
Mit#s,m abl 10 mhthe r-/Impl,*- h =r®limul,1r,Il// I #m ild regt on, (*ok, IhiWala r ld In,Id,rlil,0-14. CotpoldrmM./m.F4 r*IAo »*1 InTiloicia,i,M1976 (ah) and ral-d polt •11
th#*bl.con, .-*=apt•=04*»Vendc •0008bIi-St.*corgmer 0*on=er#/cam.*dmers, 2*Cmme»Wndorl*„ clk,h/// 2/M*mi Iigibliu.1*bihg fom»d ilim md hh p•o• IlimMVen OrleCll Il ** Call,11,1,1#al).
14
18
For
per
sona
l use
onl
y
i N
iiliN'1:1i#
11 11 hill I'llill 1,411
1n
1,,;,1:
1111!
a
4*mm44 Billiti jli
11 9I
'i i ililii litili i i1.ar
=101
g*,1
dn
s'ImI11
1 iliil
Ifil
eE
7/22CITI 011/Oct/2016 10:23:41 AM
For
per
sona
l use
onl
y
11/Oct/2016 10:23:41 AM CITI 0 8122
Fe-'ll., . a m i ip•R:rn#'ob on"*I.....Cal•hib•
.........40.-Ill
The pil= gl labl I)* In 1 00* QI IM md 94/ alhwoadp cat,Ben,181*h ocm,olhn wih Oll Illons,t ind elM=*lomOS*¤10#1
esT
A..../....I#bap b k,C..R .VIrm...0/4.tmdirth./.1*AW......,p,cm,di 'be,04.0.k./0 be../.h.41... HI...4/=I".1,0 p".bla.Clumd,re'll..../...*.04..........pil#.0*.1-no..0.IMUdi
, hyaw,Am,8 «F, * ma....k.**h CRl n....byd-m/'. /COMhe .......bl "/"8.7/0. /.n' Grr,oupdfMCRI..mi »1) Is ./.trm =plitkn " coMIc[Ionv,Ehth/.tor
T= holl
1.¥=pp f Dlmd/m.4.......././.*,1 a ty,f.*0....../4...../1,1.....Xha.k,m.*M-*I.......0-.4.4/4 ...XM..4#*.4*.*.44.AOST *wId R •hiuld 0/ 011 h dill 4* not be lid,/ lo) Ihi *49*limi, IMI1»comid.* .*,t.*I thi.....Hil.no ofG./ .0/ b,1.4/Al=Imell.t=bl,Hmp..my#..*rmot#..MIihiRidild TI»OUT,:1¤*rn hiblm•Mife4,0» nol,RiGaTR,r.Noh m. 8.4...."m**me-- ..4(.....4
71.*,0 *pl"ll'."t814* lo zi*0• ildhhol=, th* Roc*le *muatpiye• GST Amot,!th
0. ic®ls,2rm*..comkilr on. -lest /-4.../4*.th. p.m.4 ©ri.*.thh Ob m.'2"9"®Imtreo,MilI.-les/0,at.*aul.
/0...0......
ret, GET .0/ by t» BLI -In=,1 clion Im mit= 1,49 /1.km em GSTAmol*"Mby#..®10-/Ul.Im.**"mi...'...Im.Rm®....Re'llntmt*poly...9.....pIK.......AS--eld'.4*1,4*. IM.X.th ...1/.kmmp'.9./*will'G'Tp*** M-th'imm,Ine'GEIT""*'Ilmmi1/.#MA#'M"/*m-*dby-St®pl,rimd,r-.- rmmtmciudl m •**=*n* ar#h#03Im*Ii* by the GST .
D#TI.
TI dir«melo 'Ger Id othi lirms ,=d h thl, Agreement (lootpt Rlalplell Ind GSTAmols®hmi*1•!n,INOMnk,thole:Imisbythi A NmvT=Win(Goed, Ild8,nbil</41ND //ed///H/knm# Hom,r, Iv ©fai"*m//M..e... **,4*Ill, ce.M.**/dm p'thb./...MI.be...4.....11.*Im......c,#I.U.1
u
U
UFor
per
sona
l use
onl
y
11/Oct/2016 10:23:41 AM CITI 0 9/22
U
00
C')
(4
A...I. Im.INg'lloha....Wm.b,by. pmt, ohd....Incah-**do.hy,9.4* *v chm'p.a
I.pre er/*%2. and WarranS=*--on,I.1--h4 V,ndor
A.*0...de...MIZ#m.*HUU....#al".al.....4.V.414........00/8/.0*.W.**Im./.*4.=m'..nx..di
m... Of/4./d -7 " ..-MI".mi*A-*..pmarb-hbm.9-mlt.deIi))On„kil# =Bilil®Ill=i-_ -:......1....4.......49»e....4/=...hmmt.nIC-q=...mallho¢...4"m-Im..4.ainkgold......*bl,him. 4 , . '·.. r ........)-,0„mIntoom t sh g .Id"/»4/4//0/non,.MON./.0.gall/"AM/14'll•bumt/.WimE.-
Comi,-Ip enc iblmo••) il bth• i•Emi•red hold,rind Ilill* amli/thi./*M......Wm......b,n,8 Imm,m».em,8.......W/-4/ 18 --a -4.-40 4 ././0Blll,Imilly* *Al#Iallgi ulll| d the Illit,fall*) hbl ! h-/ 1 a-4.Com, ;
(8•11 Ih 8,) *lov#N Idi by 4 thi8*#Ii=imi*4*h *reall*4*.ol ,4-hq...d...94-*-I'll,"In10 #d"*
dlolomnb A l=l ind= 002 4th• Nt md nallore» Wndor nor II¥p,mon "to oore* or 1, cor rolld by, 4/ Vend, b a =*01,r dthi Com" VI....44.000.6 md707 *th..F.-Ai
....81® R h.m.=p..*914=-m..4.8,1-Ill, 9*9.Ii.*Ind no pivion hi I-#**iwlit=gallk,gllt,...48"..........pm".1.".S..<
DID-r./4.c ,0/Wndordommi.val¥nt//rh0-/0./.0-a..M...All."m./.a...in.........1....4.44.".tm."."..hs,vi,1*wl not cor,thili I vidieon by li, Vandu d mppigible li# Foh*:N#mk*de-4 in Illlld /•adimiI, hh*# ba Mt Balid4 0* n 8 (* Pld7,100, th• comor/bl ktBl...1."I.R.slull.of./O/Z Rbl.kly.Nvappa........1Mlult #=I Im I11Ilt plopollito ripill Il I liuills dIlinKal4 t hm.-to/#Imiado***m,.2/ht
(bre'ld..R".B.Im bob 10."*WIN.ml.....4%%*h /appl a h= hh/4M*h Mik*rU»ColporallnM md
U
(d)
(DFor
per
sona
l use
onl
y
Sa
g5
23
illiilol
lfiilil
illiiwili
ilit'1
11'lil
li
1!It 111111
1111 111lill
i 111' "*
i19
,11;[1
3#5;
iIi
11!10
6";
- ailil
itiliv
iit
:ill
Hm
4**'ilif!
1'!
i
CITI 0 10122
For
per
sona
l use
onl
y
.
C
82
6 3*
g*
2E
:- 18
E
84
Aliil
fli :
:-iti
11
Ri
jIilli
t%* 4
E i
ill4
1I
j
ilitii
liil
litii
lizii
iliii
iIiil
i]ii
!1iii
litilli
liil
Mi,
Iiiti
ji4
11 '
1' il
Illii'
i 2!
85/2
i),
2.
pS
1@
11/Oct/2016 10:23:41 AM CITI 0 11/22
For
per
sona
l use
onl
y
11/Oct/2016 10:23:41 AM CITI 0 12/22
0,
n,ah,rinor.44.M.....mar...4 ...Al=*.Wtuort ..M# or0* rn** : ybe/'P/</1//0, O/U/ear""R/ mih.*..Mun,*/*14/0.4".Ul"/.'%40/**myIigibli lv.
.a.*44... . "· il,1 V'Ing'nzy ::i.. ' ; thill" 0|'Irpitall h.v'-· Id,m, har#IMIm#*Ill#Idd
cor'.0 r*on B./ .-0*-In .mal h .*mb, 0 7.-1/'1'"'gn....'"&Th. above 2 1 '' 'mBW....."H..CR'V'"" "n, c,ce md.M.*n- ts mil.*4- .gle,Irlit
./Ilk8*/4...FIR...#I'll"mul*Imb=00.-mi.WiA,Mont ocoulte *#h-tipliadi dWi.* dh8*8 IN<
...bil'.--•*-Iwilair:ill"lididang.nlyvilsili.-gafgA'lik//I-k-,16*a;hi,illif .-
p, ..00...060 r,pl...mw.m#'hid'rti*"*u,ormm#.'yine,41.b
7.
7.1 R..blelld Activltles
11,8 V.dor./#*.b C. WnotMorm........an.HY. .MIAor•aq.-b.vi*.M..1
the Go,pol/IiM•,d liyalli IIal*Il al h AA•*-: Ihi....crm. m-Mul.
th. ASX Ullo F .11,1 or
m Am.*A'Cor..ASK=..0/
...4.*MCIdIy..#0.WV/*Orlmd= » g nb,i1.m. V=r=t
/Chof#mUMd 1*/bINm-1,1:,mic¢thl,Iit
Ind.mi,14n,Wndor-IM-*"/W--cn*-101. 11 ..4demm grl,bmI•s (ora /' r, t#:"/46'**AC" mgb•=n• 11*110&' eol=mul ..4..VA...m....WI.M.Imm..4*-0...I=.....IM./Willdb,=*dth.Im.*0 4=na/M..re.#of-4..rl.*-..ml.d-v.41.4 orbaN.*IN .m.=Alumb my,=p torcth=, b//Im or/»h**BIB,k Thh./.*.1 1 IX .-1..¥,00....B.R......E.M.H.luch.m,.........1--ImmCRI.MA..W.
00
U
U
..
0
For
per
sona
l use
onl
y
Cp
C1
0
2z i f i
lili
t!]!iii
i
!jilililli
iillti
,1111401
11iii{1
!il!!i{i
lii ilit
liiti
iii
ja'
14'i
12
14.
„,18'i
li!!!ill
Ili'!141'
ii!
tli 11111$
isili
t
:
11/Oct/2016 10:23:41 AM CITI 0 1322
For
per
sona
l use
onl
y
-hg
C:
lili
9,1
0,1 1
*,,
11"1
4RE
,0
1111'11
{i p./
.: it1
laifil
ll4
i'1
11
: * ,
ii
!1!0##
14
Q'q,
Ei
11/Oct/2016 10:23:41 AM CITI 0 14122
For
per
sona
l use
onl
y
5E
ifiltili
iiii.:.
ifita
llii1
2*1iill
ii{aiii
1h
111,
"pi!
i*5,
9%
i
1
1
r"
1146
11J
ill
11/Oct/2016 10:23:41 AM CITI 0 15122
For
per
sona
l use
onl
y
:i
. -..
13
5
111]j111
i!{ii
.ill<i©
La„
'1ili
liiii
,
ill*i
liii
R
E
pu
p-"
MI
iN
ui
Hip
>/
ii
:iin
8lit!
iliil 1
iii
I I
StlR
i
11.11
11.10
11/Oct/2016 10:23:41 AM CITI 0 18122
For
per
sona
l use
onl
y
11/Oct/2016 10:23:41 AM CITI 0 17/22
BY
0
(g)
Yone ,c,r,4,
Cll fliqpidinl ili=vk- , · - : -r , by 811 ABI!=:t in =*Inion v,m-ep---In.VA *18-*..moll..4-#0....dand..m*.0u..mlof'.N..4.I0/ I.W.Wk......ingn.*M/7.mlix. re.thh
Al!=4 0 h-0.vat =*. • ra e,T € •a• 1-/-1... bld/,6 /'p.Iq"'g ' L . Rn.nollg ma vul..2..i ..1 M0.0, y=-0.-./. Cm, IM..4-smdomoertmW be 'M/# /mqh h 0/Aihn,0%4/Ilk/,0/ orce r-nbmk,alli0 I#m =:moe o kiliI,Ill 10 I Vondor md mg res-I I., IMI=d-t= .Rmw."*.do#• ht,nd, y....M....... '7. )'MhoRn=mt*.0/th..=44./.-1Ind mi / I¥Iluii hold long lid,ho pc/*I h IBh eecidil&
0'abal ..r'l. Ail.lia. Pv Lbill.
4,
For
per
sona
l use
onl
y
11/Oct/2016 10:23:41 AM CITI 0 18122
N..U....larlm'.....1
MU**06*All)*IL1*1014bil-4///...U Rn.JOGU.'R,1
For
per
sona
l use
onl
y
11/Oct/2016 10:23:41 AM CITI 0 19/22
80.010,8
Boh,dul. 1
.
.Im,oh
0,9 6.nmiD-(11 (8p1c#-0.
I.*Man.0+Z)
i. ' tiq' i
7 0ok*,r2010r
70*ber*)167 0*ber9010
11 0 b8r2016
For
per
sona
l use
onl
y
11/Oct/2016 10:23:41 AM CITI 0
PRNATE AFO 00*RDENTW.
.
2 H*Blwtam1- NS/11 2010
7 0*ber2018
AU#.....-Gen= M----a 4--*8 1100-F hIrd, .
0./m........al.All,Il PIUlild
A.N.008114-AFS Uig NA »40112Ip.-F.F."=00Gpo B= 857F.W.NxolAtETRAL/4
Cltl
Wa*.h...11*da* ...v•mM....WIN..ML n.r.4N-Wilid flimde,7 re m,m a Wo,el of,him h Nall Liallid Be*; ling C4mmm,4Rm.........9--ekul--Bh.......m.Mul./.AU,1.*
C I4 0mi A,Im,mlf/d tth o -lidillion dal pm*h,r* b elgllail indw*l*1 0/*11 .Inmild.,uoh fal,=UNdht,r!* 1%-,»p,- Rrm'moN8 Of
F"Mk.*. I.F. e»V« ria lo Clah*12016
4.........../.epmom-2....di."Ill
me..Ah/IT=MA".845".pVNG.9....0.Ms•04-*
1.R.4--I..ml4 8,11,#8 ofN.B.W...0-'IMM./4d40*./. *Imnon-400*...iMM de» guldkVs Sm*v./4
Til Fl *91,Imilt .Vb,Ii. ilidblvicr mommill/4=chofvah, bed.Im•, 19 Mm4.blidcf"Nah, 1./..............i
Pl,moor*mhte»*Imbl b h ogoiINI)Idhe»*cks' md Ch :*m*.cop,4-Igi.,Init
by /4-
For
per
sona
l use
onl
y
11/Oct/2016 10:23:41 AM CITI 0 21/22
*Ir*,
L M e,L-Dheek,rl
400.-.C.*d.liN #h-ndCIT[OR-i.AL MA-IT, A TRAIJA PTY t Irm,
....d-*
,m .. .11- ..........r-
'4081**- Gmmt1/I'll//9 ii'fo//*filitox/*li2,/,1//Ii 'lili/'Il
2
For
per
sona
l use
onl
y