TAWANA RESOURCES NL - Form 604 - Notice of change of interests of substantial holderRelease Date: 04/01/2017 11:35:00 Code(s): TAW
Tawana Resources NL
(Incorporated in Australia)
(Registration number ACN 085 166 721)
Share code on the JSE Limited: TAW
JSE ISIN: AU0000TAWDA9
Share code on the Australian Securities Exchange Limited: TAW
ASX ISIN: AU000000TAW7
(?the Company? or ?Tawana?)
Corporations Act 2001
Notice of change of interests of substantial holder
To Company Name/Scheme Tawana Resources NL
ACN/ARSN ACN 085 166 721
1. Details of substantial holder(1)
CANACCORD FINANCIAL GROUP (AUSTRALIA) PTY LTD AND ITS
Name ASSOCIATES (?CFGA?)
ACN/ARSN (if applicable) 128 279 336
There was a change in the interests of the
substantial holder on 30/12/2016
The previous notice was given to the
company on 29/8/2016
The previous notice was dated 24/8/2016
2. Previous and present 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 when last required, and when now required, to give a substantial holding notice to the company or scheme, are as
Class of securities (4) Previous notice Present notice
Person?s votes Voting power (5) Person?s votes Voting power (5)
Fully paid ordinary shares (FPO) 17,300,000 6.68% 34,550,000 9.29%
3. Changes in relevant interests
Particulars of each change in, or change in the nature of, a relevant interest of the substantial holder or an associate in voting securities of the company
or scheme, since the substantial holder was last required to give a substantial holding notice to the company are as follows:
Date of change Person whose Nature of change (6) Consideration given Class and number of Person?s votes
relevant interest in relation to change securities affected affected
4. Present relevant interests
Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows:
Holder of Registered holder of Person entitled to be Nature of relevant interest (6) Class and Person?s
relevant securities registered as holder (8) number of votes
CFGA Chalmsbury Nominees Canaccord Genuity Power to dispose of, or control the 33,750,000 33,750,000
Pty Ltd (Australia) Limited exercise of a power to dispose of, the FPO shares
CFGA CG Nominees Canaccord Genuity Power to dispose of, or control the 800,000 FPO 800,000
(Australia) Pty Ltd (Australia) Limited exercise of a power to dispose of, the shares
5. Changes in association
The persons who have become associates (2) of, ceased to be associates of, or have changed the nature of their association (9) with, the substantial
holder in relation to voting interests in the company or scheme are as follows:
Name and ACN/ARSN (if applicable) Nature of association
The addresses of persons named in this form are:
Canaccord Financial Group (Australia) Pty Ltd Level 4, 60 Collins St , Melbourne VIC 3000
Chalmsbury Nominees Pty Ltd Level 4, 60 Collins St , Melbourne VIC 3000
CG Nominees (Australia) Pty Ltd Level 4, 60 Collins St , Melbourne VIC 3000
Canaccord Genuity (Australia) Limited Level 4, 60 Collins St , Melbourne VIC 3000
print name David Barlow capacity Director
(1) If there are a number of substantial holders with similar or related relevant interests (eg. a corporation and its related corporations, or the
manager and trustee of an equity trust), the names could be included in an annexure to the form. If the relevant interests of a group of persons
are essentially similar, they may be referred to throughout the form as a specifically named group if the membership of each group, with the
names and addresses of members is clearly set out in paragraph 6 of the form.
(2) See the definition of ?associate? in section 9 of the Corporations Act 2001.
(3) See the definition of ?relevant interest? in sections 608 and 671B(7) of the Corporations Act 2001.
(4) The voting shares of a company constitute one class unless divided into separate classes.
(5) The person?s votes divided by the total votes in the body corporate or scheme multiplied by 100.
(6) Include details of:
(a) any relevant agreement or other circumstances because of which the change in relevant interest occurred. If subsection 671B(4)
applies, a copy of any document setting out the terms of any relevant agreement, and a statement by the person giving full and
accurate details of any contract, scheme or arrangement, must accompany this form, together with a written statement certifying this
contract, scheme or arrangement; and
(b) any qualification of the power of a person to exercise, control the exercise of, or influence the exercise of, the voting powers or disposal
of the securities to which the relevant interest relates (indicating clearly the particular securities to which the qualification applies).
See the definition of ?relevant agreement? in section 9 of the Corporations Act 2001.
(7) Details of the consideration must include any and all benefits, money and other, that any person from whom a relevant interest was acquired
has, or may, become entitled to receive in relation to that acquisition. Details must be included even if the benefit is conditional on the
happening or not of a contingency. Details must be included of any benefit paid on behalf of the substantial holder or its associate in relation
to the acquisitions, even if they are not paid directly to the person from whom the relevant interest was acquired.
(8) If the substantial holder is unable to determine the identity of the person (eg. if the relevant interest arises because of an option) write
(9) Give details, if appropriate, of the present association and any change in that association since the last substantial holding notice.
relevant Consideration Class and
interest given in number of Person's votes
Date of Change changed Nature of change relation to securities affected
change affected Balance
6/09/2016 CFGA Off-market sale 28,000.00 1,120,000 1,120,000 16,180,000
6/09/2016 CFGA Off-market sale 2,000.00 80,000 80,000 16,100,000
8/09/2016 CFGA Off-market sale 7,500.00 300,000 300,000 15,800,000
23/12/2016 CFGA Consideration shares Non-cash 18,750,000 18,750,000 34,550,000
4 January 2017
PricewaterhouseCoopers Corporate Finance (Pty) Limited
Date: 04/01/2017 11:35:00 Supplied by www.sharenet.co.za
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