1. Substantial Holding Notice — Form 604Under Corporations Act –...

1. Substantial Holding Notice — Form 604

Under Corporations Act – s671B

• Required when a person (including a director) acquires or disposes of a substantial holding (≥5%) and the change is ≥1%.

• Must be lodged within 2 business days.

• This applies regardless of whether the person is a director.

2. Director’s Interest Notice — Form 3Y (or 3X/3Z)

Under ASX Listing Rule 3.19A

• Required when a director of a listed entity changes their relevant interest in securities.

• Must be lodged within 5 business days of the change.

• This is in addition to, not instead of, a substantial holding notice.

So in short:

• If Simon is a director and has increased his holding by 1.2%, he must:

  • Lodge a Form 604 (Change in Substantial Holding); and

  • Lodge a Form 3Y (Director’s Change of Interest).