Prepare and lodge substantial holding notices for a stake in a listed entity
Key facts
- Human involvement
- GreenLawyer review
- How AI is used
- From the client's trade records and the relevant interests of the client and its associates, calculate the voting power before and after each acquisition or disposal, and complete the applicable substantial holding notice on the firm's validated templates, attaching the documents that gave rise to the relevant interests.
- What the lawyer must review
- Approve the templates once at setup, then for each notice confirm the relevant interests and associates counted, the voting power calculation and which form applies on the date of lodgement, including during the changeover to the new form.
- Written for / version
- US
Open a jurisdiction version of this task to see which instruments apply: US
Who does what
| Role | What they do |
|---|---|
| Assistance | From the client's trade records and the relevant interests of the client and its associates, calculate the voting power before and after each acquisition or disposal, and complete the applicable substantial holding notice on the firm's validated templates, attaching the documents that gave rise to the relevant interests. |
| Lawyer | Approve the templates once at setup, then for each notice confirm the relevant interests and associates counted, the voting power calculation and which form applies on the date of lodgement, including during the changeover to the new form. |
Checklist
- Confirm the instructions, the jurisdiction and the complete relevant material before starting.
- Confirm which form applies on the lodgement date: forms 603, 604 and 605 until 4 December 2026, then the Substantial holding notice, with transitional forms allowed until 3 June 2027.
- Recalculate voting power from the trade records, including associates.
- Check that every document required to be attached is attached.
- Check the output against the source documents named in it before it is relied on.
Forms and precedents for this task
| Form or precedent | Kind | AI use | Summary |
|---|---|---|---|
| Substantial holding notice checklist for a stake in a listed entity | Checklist | AI use Yellow | A checklist for giving notice when a person begins or ceases to have a substantial holding in a listed body, or moves by 1% or more, including which form to use before and after 4 December 2026. |
Signed-in accounts can read the full text of each one. All precedents.
Sources
- ASIC: Substantial holding notice · 2026-10-18
These are suggested working checks. Confirm the required checking with the responsible lawyer before work starts; the checking approach does not establish permission to use AI.