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TAWANA RESOURCES NL - Form 604 - Notice of change of interests of substantial holder

Release Date: 04/01/2017 11:35:00      Code(s): TAW       PDF(s):  
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
 Share code on the Australian Securities Exchange Limited: TAW
 (“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)
                                                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
                        changed                                                                   (7)
     See Annexure
      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
             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
      6. Addresses
      The addresses of persons named in this form are:

             Name                                                        Address
             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

                                       sign here
                                                                                               date     4/1/2017


(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.

 Annexure A
                      Person whose
                      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

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