SCY
24/01/2014 16:06
SSH
REL: 1606 HRS Smiths City Group Limited
SSH: SCY: SSH Notice - Guaranty Finance Investors, LLC
Disclosure of movement of 1% or more in substantial holding or change in
nature of relevant interest or both
Sections 23 and 24, Securities Markets Act 1988
Relevant event being disclosed: disclosure of Movement of 1% or more
Date of relevant event: 21 January 2014
To: NZX Ltd
And: Smiths City Group Ltd
Date this disclosure made: 23 January 2014
Date last disclosure made: 12 July 2013
Substantial security holder(s) giving disclosure
Name(s): Guaranty Finance Investors, LLC; Campbell Associates; and LLS
Charitable Remainder Unitrust dated 12/28/89
Contact details:
Guaranty Finance Investors, LLC 150 Pacific Avenue, San Francisco
California USA 94111 phone +1 415 912-5890 [email protected]
Campbell Associates Unit 25 550 Davis St, San Francisco California USA
94111 phone +1 415 912-5890 [email protected]
LLS Charitable Remainder Unitrust dated 12/28/89, c/o DCI Consultants, LLC
150 Pacific Avenue, San Francisco, California USA 94111
phone +1 415 912-5890 [email protected]
Summary of substantial holding to which disclosure relates
Class of listed voting securities: Ordinary shares SCY
Summary for: Guaranty Finance Investors, LLC; Campbell Associates; and LLS
Charitable Remainder Unitrust dated 12/28/89.
For this disclosure,--
(a) total number held in class: (a) Guaranty Finance Investors, LLC
5,808,355 Campbell Associates 820,333; and LLS Charitable Remainder Unitrust
dated 12/28/89 3,031,614
(b) total in class: 52,688,153
(c) total percentage held in class: [18.33%]
For last disclosure,--
(a) total number held in class: 9,125,379
(b) total in class: 52,688,153
(c) total percentage held in class: [17.32%]
Details of transactions and events giving rise to relevant event
Details of the transactions or other events requiring disclosure under the
instructions to this form: Numerous On-Market Purchases, and One Off-Market
Purchase of 100,000 shares.
Details of relevant interests in substantial holding after relevant event
Details for: Guaranty Finance Investors,LLC; Campbell Associates; and LLS
Charitable Remainder Unitrust dated 12/28/89.
Nature of relevant interest(s): N/A
For that relevant interest,--
(a) number held in class: 9,660,302
(b) percentage held in class: 18.33%
(c) current registered holder(s) of securities: no change since last
disclosure.
(d) registered holder(s) of securities once transfers registered:
Custodial Services Limited and Guaranty Finance Investors, LLC
Additional information
Nature of connection between substantial security holders:
There are no agreements relating to the holdings of Campbell Associates,
Guaranty Finance Investors, and LLS Charitable Remainder Unitrust dated
12/28/89; neither between them nor with any third party.
The only connection between their holdings, which requires them to be
aggregated for reporting purposes, is that I am the Managing General Partner
of Campbell Associates; the Manager of Guaranty Finance Management, LLC,
which serves as the manager of Guaranty Finance Investors; and the Manager
of DCI Consultants, LLC, which serves as the manager of certain assets of
the LLS Charitable Remainder Trust dated 12/28/89. I do have authority in
those capacities to make decisions regarding the holdings of the three
entities.
I am a 56% beneficial owner of securities held by Campbell Associates, and
have a 33.7% beneficial interest in Guaranty Finance Investors. I have no
beneficial interest in the LLS Charitable Remainder Unitrust dated 12/28/89.
Address(es) of substantial security holder(s): as above
Name of any other person believed to have given, or believed to be required
to give, a disclosure under the Act in relation to the securities to which
this disclosure relates: none
Declaration
I, Donald M Campbell, declare that, to the best of my knowledge and belief,
the information contained in this disclosure is correct and that I am duly
authorised to make this disclosure by all persons for whom it is made.
End CA:00246375 For:SCY Type:SSH Time:2014-01-24 16:06:39