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Amended Notices in relation to substantial shareholding
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”)
Amended notice in relation to substantial shareholdings
Please find attached AMENDED notices in relation to our substantial shareholdings in
Tawana Resources NL (TAW) which contains more details required under these forms:
- Form 604 for change of interests of substantial shareholder on 17 May 2017; and
- Form 604 for change of interests of substantial shareholder on 31 August 2017.
Regards,
Diana Shang-Knudsen
Joint Company Secretary
9 November 2017
Sponsor
PricewaterhouseCoopers Corporate Finance (Pty) Limited
Form 604
Corporations Act 2001
Section 671B
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)
Name Tribeca Investment Partners Pty Ltd
ACN/ARSN (if applicable) 64 080 430 100
There was a change in the interests of the
substantial holder on 17/052017
The previous notice was given to the
company on 01/05/2017
The previous notice was dated 27/04/2017
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
follows:
Class of securities (4) Previous notice Present notice
Person’s votes Voting power (5) Person’s votes Voting power (5)
Ordinary 20,038,000 5.24% 27,034,374 6.47%
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 Consideration given Class and number of Person’s votes
relevant interest in relation to change securities affected affected
changed
Annexure A
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
interest securities
Annexure B
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
6. Addresses
The addresses of persons named in this form are:
Name Address
Tribeca Investment Partners Pty Ltd Level 23, 1 O’ Connell St SYDNEY NSW 2000
Signature
print name Diana Shang-Knudsen capacity Joint Company Secretary
sign here
date 9/11/17
DIRECTIONS
(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
“unknown”.
(9) Give details, if appropriate, of the present association and any change in that association since the last substantial holding notice.
This annexure A of 1 page referred to in form 604 Notice of change of interests of substantial
shareholder.
Authorised signatory 09-November-2017
Diana Shang-Knudsen Date
PWR HOLDINGS LIMITED (PWH)
Date of Person whose Nature of change/consideration given in Class and number of Persons votes
change relevant relation to change securities affected affected
interest change
08-May-17 Tribeca Placement AUD 1,495,833 Ord 5,983,333 5,983,333
09-May-17 Investment On market buy AUD 3,066 Ord 13,041 13,041
17-May-17 Partners Pty Ltd On market buy AUD 245,844 Ord 1,000,000 1,000,000
This annexure B of 1 page referred to in form 604 Notice of change of interests of substantial
shareholder.
Authorised signatory 09-November-2017
Diana Shang-Knudsen Date
PWR Holdings Limited (PWH)
Holder of Registered Holder of Person Nature of Relevant Class and number Person’s votes
Relevant Securities entitled Interest of securities
interest to be
registered
as holder
Tribeca UBS AG (Sydney Branch) Power to control Ord 13,588,106 13,588,106
Investment UBS AG (Sydney Branch) the exercise of the Ord 13,408,268 13,408,268
Partners Pty One Fund Management right to vote Ord 38,000 38,000
Ltd Limited attached to
securities and/or
the power to
dispose of
securities as
investment
manager
Form 604
Corporations Act 2001
Section 671B
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)
Name Tribeca Investment Partners Pty Ltd
ACN/ARSN (if applicable) 64 080 430 100
There was a change in the interests of the
substantial holder on 31/08/2017
The previous notice was given to the
company on 19/05/2017
The previous notice was dated 17/05/2017
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
follows:
Class of securities (4) Previous notice Present notice
Person’s votes Voting power (5) Person’s votes Voting power (5)
Ordinary 27,035,374 6.47% 33,125,954 7.49%
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 Consideration given Class and number of Person’s votes
relevant interest in relation to change securities affected affected
changed
Annexure A
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
interest securities
Annexure B
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
6. Addresses
The addresses of persons named in this form are:
Name Address
Tribeca Investment Partners Pty Ltd Level 23, 1 O’ Connell St SYDNEY NSW 2000
Signature
print name Diana Shang-Knudsen capacity Joint Company Secretary
sign here
date 9/11/17
DIRECTIONS
(7) 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.
(8) See the definition of “associate” in section 9 of the Corporations Act 2001.
(9) See the definition of “relevant interest” in sections 608 and 671B(7) of the Corporations Act 2001.
(10) The voting shares of a company constitute one class unless divided into separate classes.
(11) The person’s votes divided by the total votes in the body corporate or scheme multiplied by 100.
(12) 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.
(10) 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.
(11) 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”.
(12) Give details, if appropriate, of the present association and any change in that association since the last substantial holding notice.
This annexure A of 1 page referred to in form 604 Notice of change of interests of substantial
shareholder.
Authorised signatory 09-November-2017
Diana Shang-Knudsen
Date
PWR HOLDINGS LIMITED (PWH)
Date of Person whose Nature of change/consideration given in Class and number of Persons votes
change relevant relation to change securities affected affected
interest change
29-May-17 On Market buy AUD 853 Ord 3,626 3,626
31-May-17 On Market buy AUD 92,897 Ord 383,647 383,647
09-Jun-17 Placement AUD 1,004,167 Ord 4,016,667 4,016,667
06-JuL-17 On Market buy AUD 120,114 Ord 500,000 500,000
19-JuL-17 Tribeca On Market buy AUD 97,803 Ord 500,000 500,000
31-Jul-17 Investment On Market buy AUD 49,811 Ord 277,785 277,785
16-Aug-17 Partners Pty Ltd On Market buy AUD 23,058 Ord 100,000 100,000
18-Aug-17 On Market buy AUD 22,937 Ord 100,000 100,000
31-Aug-17 On Market buy AUD 56,715 Ord 259,855 259,855
This annexure B of 1 page referred to in form 604 Notice of change of interests of substantial
shareholder.
Authorised signatory 09-November-2017
Diana Shang-Knudsen Date
PWR Holdings Limited (PWH)
Holder of Registered Holder of Person Nature of Relevant Class and number Person’s votes
Relevant Securities entitled Interest of securities
interest to be
registered
as holder
Tribeca UBS AG (Sydney Branch) Power to control Ord 17,158,602 17,158,602
Investment UBS AG (Sydney Branch) the exercise of the Ord 15,929,352 15,929,352
Partners Pty One Fund Management right to vote Ord 38,000 38,000
Ltd Limited attached to
securities and/or
the power to
dispose of
securities as
investment
manager
Date: 09/11/2017 09:42:00 Produced by the JSE SENS Department. The SENS service is an information dissemination service administered by the JSE Limited ('JSE').
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