Notice of initial substantial holder
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”)
Form 603
Corporations Act 2001
Section 671B
NOTICE OF INITIAL SUBSTANTIAL HOLDER
To Company Name/Scheme Tawana Resources NL
ACN/ARSN 085 166 721
1. Details of substantial holder (1)
Name Tribeca Investment PA
ACN/ARSN 080 430 100
The holder became a substantial holder 27/04/2017
2. Details of 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) has a relevant interest (3) in on the date
the substantial holder became a substantial holder are as follows:
Class of securities (4) Number of Person’s votes (5) Voting power (6)
securities
Ordinary 20 038 000 20 038 000 5.24%
3. Details of relevant interests
The nature of the relevant interest the substantial holder or an associate had in the following
voting securities on the date the substantial holder became a substantial holder are as follows:
Holder of relevant interest Nature of relevant interest(7) Class and number of
securities
Tribeca Investment Partners Pty Ltd Investment Manager Ordinary 20 038 000
managing equities on behalf
of individually managed
clients
4. Details of present registered holders
The person registered as holders of the securities referred to in paragraph 3 above are as follows:
Holder of relevant Registered Person entitled to be Class and number of
interest holder of registered holder (8) securities
securities
Tribeca Investment Various Various clients investment Ordinary 20 038 000
Partners Pty Ltd custodian Manager
nominee
companies
5. Consideration
The consideration paid for each relevant interest referred to in paragraph 3 above, and acquired
in the four months prior to the day that the substantial holder became a substantial holder is as
follows:
Holder of relevant Date of acquisition Consideration (9) Class and number of
interest securities
Cash Non-Cash
Tribeca Investment 27 Dec 2016 – 27 April AUD Ordinary 20 038 000
Partners Pty Ltd 2017 2 507 160
6. Associates
The reasons the persons named in paragraph 3 above are associates of the substantial holder are
as follows:
Name and ACN/ARSN ( if applicable) Nature of association
- -
7.Addresses
The addresses of persons named in this form are as follows:
Name Address
Tribeca Investment Partners Pty Ltd Level 23, 1 O’Connell Street, Sydney, NSW 2000
Signature
Print name Diana Shang-Knudsen Capacity Joint Company Secretary
Date 1/05/2017
DIRECTIONS
1. If there are a number of substantial holders with similar or related 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 7 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 total number of votes attaches to all the voting shares in the company or voting
interests in the scheme (if any) that the person or an associate has a relevant interest in.
6. The person’s votes divided by the total votes in the body corporate or scheme multiplied by
100.
7. Include details of:
(a) Any relevant agreement or other circumstances by which the relevant interest was
acquired. 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 of arrangement, must accompany this from, 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 (indicting clearly the particular securities to which the
qualification applies).
See the definition of “relevant agreement” in section 9 of the Corporations Act 2001.
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 “unknown”.
9. 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.
02 May 2017
Sponsor
PricewaterhouseCoopers Corporate Finance (Pty) Ltd
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