Becoming a substantial holder
Released
Released
Announcement PDF
Form 603
Corporations Act 2001
Section 671B
Notice of initial substantial holder
To Company Name/Scheme
Alterity Therapeutics ltd (ATH)
ACN/ARSN
080 699 065
1. Details of substantial holder (1)
Name
Regal Funds Management Pty Ltd and its associates (see Annexure 1)
ACN/ARSN (if applicable)
-
8/01/2024
The holder became a substantial holder on
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:
Class of securities (4)
Number of securities
Person's votes (5)
Voting power (6)
ORDINARY
199,870,294
199,870,294
*5.24%
*The % substantial is based on the shares on issue of 3,811,326,185 as disclosed by the Company on 08-01-2024.
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
REGAL FUNDS MANAGEMENT PTY LIMITED
REGAL FUNDS MANAGEMENT PTY LIMITED HAS A
RELEVANT INTEREST IN ITS CAPACITY AS INVESTMENT
MANAGER AND/OR TRUSTEE
199,870,294 ORDINARY
REGAL PARTNERS LIMITED
CONTROLLER OF REGAL FUNDS MANAGEMENT PTY
LIMITED
199,870,294 ORDINARY
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
Regal Funds Management Pty Ltd
and its associates
MERRILL LYNCH (AUS)
NOMINEES PTY LTD
Person entitled to be registered as
holder (8)
Nature of
relevant interest
(6)
Power to control
MERRILL LYNCH INTERNATIONAL the exercise of a
LIMITED
power to dispose
of securities
Class and
number of
securities
Person's
votes
199,870,294
ORDINARY
199,870,294
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
See Annexure 2
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
REGAL PARTNERS LIMITED
100% OWNER OF REGAL FUNDS MANAGEMENT PTY
LIMITED
7. Addresses
The addresses of persons named in this form are as follows:
Name
Address
REGAL FUNDS MANAGEMENT PTY LIMITED
REGAL PARTNERS LIMITED
LEVEL 47, GATEWAY, 1 MACQUARIE PLACE, SYDNEY
NSW 2000
LEVEL 47, GATEWAY, 1 MACQUARIE PLACE, SYDNEY
NSW 2000
Signature
print name
Kenny Ho
sign here
Annexure 1
Details of Substantial Holders
ACN
Name
107 576 821
REGAL FUNDS MANAGEMENT PTY LIMITED
129 188 450
REGAL PARTNERS LIMITED
capacity
Company Secretary
date
10/01/2024
Annexure 2
Consideration
Date
Person whose relevant interest changed
Nature of
Change
Consideration
given in
relation to
change
Number of
securities
affected
Class of
securities
Persons
votes
affected
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
29/11/2023
Buy
Management Pty Limited)
290301.98
82943423
Ordinary
82943423
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
8/01/2024
Buy
Management Pty Limited)
709698.02
202770863
Ordinary
202770863
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