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Form 604 -Notice of change of interests of 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 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 16/07/2017
The previous notice was given to the
company on 05/09/2017
The previous notice was dated 31/08/2017
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 33,125,954 7.49% 31,192,795 6.20%
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
changed (7)
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, O’Connell St SYDNEY NSW 2000
Signature
print name Diana Shang-Knudsen capacity Joint Company Secretary
sign here
date 20/11/2017
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 is Annexure A referred to in Form 604 Notice of change of interests of substantial shareholder.
Annexure A
Person whose Persons votes
relevant Nature of change/Consideration given in Class and number of affected
interest relation to change securities affected
Date of Change changed
18-Sep-17 Tribeca On market Buy AUD 50,907 Ord 200,262 200,262
Investment On market Buy AUD 6,212 Ord 27,018 27,018
Partners Pty Ltd On market Buy AUD 104,310 Ord 450,000 450,000
On market Buy AUD 185,219 Ord 539,823 539,823
On market sell AUD 72,094.32 Ord 200,262 200,262
On market Buy AUD 70,860 Ord 200,000 200,000
On market sell AUD 1,181,880 Ord 3,150,000 3,150,000
This is Annexure B referred to in Form 604 Notice of change of interests of substantial shareholder.
Annexure B
TAWANA RESOURCES NL (TAW)
Holder of Registered Holder Persons entitled Nature of Relevant Class and number of securities Person’s Votes
Relevant of Securities to holder Interest
Interest
Tribeca UBS Nominees Power to control Ord 15,821,472 15,821,472
Investment PtyLtd the exercise of a
Partners Pty Ltd Citicorp Nominees right attached to Ord 15,333,323 15,333,323
Pty Ltd securities and/ or
One Funs the power to Ord 38,000 38,000
Management dispose of
Limited securities
20 November 2017
Sponsor
PricewaterhouseCoopers Corporate Finance (Pty) Limited
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