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

Release Date: 20/11/2017 09:20:00      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)

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

    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

                                       print name     Diana Shang-Knudsen                      capacity Joint Company Secretary

                                       sign here
                                                                                                date    20/11/2017


(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.

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
 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
 PricewaterhouseCoopers Corporate Finance (Pty) Limited

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