UBS Group AG Registers as Substantial Shareholder in Artrya Limited with 5.04% Stake

UBS Group AG Surpasses 5% Substantial Holding Threshold in Artrya as of 26 June 2026

Australian corporations law mandates that any party acquiring a relevant interest of 5% or more in a listed entity must lodge a Form 603 Notice of Initial Substantial Holder. UBS Group AG and its affiliates met this requirement after their combined interest in Artrya Limited reached 5.04% voting power on 26 June 2026. The notice, signed by Ruby Ko and Dominic Eichrodt, was dated 30 June 2026.

This development is significant for Artrya shareholders, as it records one of the world’s largest financial institutions as a disclosed substantial holder. UBS’s interest spans multiple holding structures—including prime broking, lending, and asset management—with a consolidated total of 8,212,647 ordinary shares. Public information did not reveal an immediate impact on Artrya’s share price.

Distribution of UBS Group AG’s 8.2 Million Artrya Shares Across Multiple Entities

The 8,212,647 ordinary shares held by UBS Group AG are spread across four separate UBS-related entities, each holding shares under different legal arrangements. UBS AG Australia Branch holds 495,463 shares as a prime broker exercising borrowing rights under a Prime Broking Agreement. UBS AG London Branch holds the largest stake with 3,478,582 shares—3,063,000 shares controlled through stock borrowing and lending activities, plus 415,582 shares via prime broking.

UBS Asset Management (Australia) Ltd holds 1,592,543 shares as a Fund Manager with voting control. UBS Securities Australia Ltd holds 2,646,059 shares, including 919,929 shares controlled through stock borrowing and lending and 1,726,130 shares as beneficial owner. This multi-entity structure reflects typical institutional arrangements where asset management, securities lending, and prime broking operate distinctly with listed equity securities.

Prime Broking Agreements With Regal Funds, Cowen International, and Tribeca Nuclear Energy Underpin UBS’s Position

Appendix A-1 of the notice identifies clients linked to UBS’s prime brokerage agreements that contribute to its relevant interest in Artrya. Under UBS AG London Branch’s Prime Brokerage Agreement, clients include Australia Absolute Return Fund (Sub-Fund registration T22VC0246C-SF002) with a transfer date of 26 June 2026, and Cowen International Limited with transfer dates on 1 and 26 June 2026.

Under UBS AG Australia Branch’s Prime Brokerage Agreement, clients include Equity Trustees Limited (ACN 0047 031 298) as Responsible Entity for Regal Investment Fund (transfers from 10 to 26 March 2026), Equity Trustees Limited as Trustee for Tribeca Nuclear Energy Opportunities Fund (transfers between 16 and 27 March 2026), and Regal Funds Management Pty Ltd (transfers on 10 and 12 March 2026). These agreements illustrate UBS’s extensive prime broking network facilitating securities flow among institutional clients.

Stock Borrowing and Lending Activities Constitute a Large Part of UBS’s Relevant Interest in Artrya

A significant portion of UBS’s relevant interest derives from stock borrowing and lending (SBL) rather than direct ownership. Under SBL, legal title passes to the borrower, who controls disposal of shares, broadening the relevant interest beyond traditional holdings.

Specifically, UBS AG London Branch controls 3,063,000 shares via SBL, and UBS Securities Australia Ltd controls 919,929 shares similarly. Together, these 3,982,929 shares represent about 48% of the total 8,212,647 shares disclosed. Investors should note that SBL holdings can be more transient due to recall rights and return obligations under lending agreements.

UBS Asset Management (Australia) Ltd Exercises Voting Control Over 1.59 Million Artrya Shares

UBS Asset Management (Australia) Ltd holds 1,592,543 shares as a fund manager with voting control, reflecting discretionary investment management rather than mechanical financial market arrangements. Shares are registered through various custodians on its behalf, a common managed fund structure in Australia. The notice did not specify which funds hold these shares.

Registered Holders Include UBS Nominees, Brispot Nominees, Warbont Nominees, and Citicorp Nominees

The Form 603 details registered holders separately from entities with relevant interests. UBS AG Australia Branch’s shares are registered under UBS Nominees Pty Ltd. The 3,063,000 shares linked to UBS AG London Branch are held via various custodians, while 415,582 shares are registered to Citicorp Nominees Pty Ltd. UBS Asset Management (Australia) Ltd’s shares are held through multiple custodians.

UBS Securities Australia Ltd’s 919,929 and 1,726,130 share parcels are registered through Warbont Nominees Pty Ltd and Brispot Nominees Pty Ltd, respectively. Use of nominee companies is standard in Australian markets and does not affect beneficial or relevant interests. UBS’s Australian entities are headquartered at Level 16, Chifley Tower, 2 Chifley Square, Sydney; UBS AG London Branch operates from 5 Broadgate, London, UK.

Voting Rights Under Prime Brokerage Agreements and Their Impact on Artrya Shareholder Meetings

Appendix A outlines voting rights under prime brokerage agreements. Under UBS AG London Branch’s agreement, UBS AG holds unrestricted voting rights, as all title passes to UBS AG as transferee. However, UBS AG may arrange voting per transferor client instructions in certain cases.

Under UBS AG Australia Branch’s agreement, UBS AG also holds voting rights, but borrowers may return securities early, and lenders can recall securities subject to Margin Requirements and loan terms. These nuances mean UBS’s practical voting power at Artrya meetings may vary depending on client instructions. Investors should consider these factors when assessing UBS’s influence on governance.

Implications of UBS Becoming a Substantial Holder for Artrya’s Institutional Profile

UBS Group AG’s emergence as a substantial holder reflects increased institutional activity in Artrya’s shareholder register. While much of UBS’s position stems from prime broking and lending mechanisms, UBS Asset Management (Australia) Ltd’s fund manager holding indicates genuine investment interest. The combined holdings surpass the 5% threshold triggering formal disclosure under Australian law.

For Artrya, operating in medical technology and AI cardiac imaging, UBS’s presence may attract further institutional and retail investor attention. UBS-affiliated entities accumulated or facilitated share transfers across multiple dates from March 2026, suggesting a gradual build-up rather than a single transaction. Whether this signals a long-term investment or short-term lending flows will become clearer with future disclosures.

Consideration Paid and Acquisition Details Referenced in Appendix B

The Form 603 states that consideration paid for acquisitions in the four months before 26 June 2026 is detailed in Appendix B, which was not included in the public notice. Thus, specific cash or non-cash amounts paid for each share parcel are undisclosed here.

The company has not released this information. Investors seeking average acquisition prices or total consideration paid by UBS entities during this period should consult the full Appendix B filed with the ASX or contact UBS directly. The nominated contact is Ruby Ko of UBS Group Compliance and Operational Risk Control, reachable at +852 3712 2802.

Next Steps for Investors Tracking UBS Group AG’s Position in Artrya

Australian law requires UBS Group AG to lodge a Form 604 Change of Substantial Holder notice if its relevant interest in Artrya changes by 1% or more or falls below 5%. Investors should watch for such filings to gauge whether UBS is increasing, maintaining, or reducing its stake.

Given the dynamic nature of prime broking and securities lending, UBS’s holdings may fluctuate even if the overall percentage remains stable. Future substantial holder notices or company updates will be key indicators of institutional interest shifts. No immediate share price impact was evident from publicly available data.