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Change in Substantial Shareholding 20 September 2016.pdf

Publié le 20 septembre 2016

Class of securities (4)

Previous notice

Present notice

Person's votes

Voting power (5)

Person's votes

Voting power (5)

Ordinary shares

52,518,650

11.49%

63,064 ,268

8.87%

Date of

Person whose

Nature of change

Consideration

Class and

Person's votes

change

relevant interest

(6)

given in relation to

number of

affected

changed

change (7)

securities

affected

SEE

ATTACHED

APPENDIX

Holder of

Registered

Person entitled to be

Nature ofrelevant

Class and

Person's

relevant

holder of

registered as holder

interest (6)

number of

votes

interest

securities

(8)

securities

BNP Paribas

Holder of Shares

Ordinary 63,064,268

63 ,064,268

ASOF

Securities

Services

The Lind

BNP Paribas

Manager of the ASOF

Ordinary 63,064,268

63 ,064,268

Partners

Securities

Australia LLC

Services

604 oaae 1/2 15 Julv 2001

Form 604

Corporations Act 2001 Section 671B

Notice of change of interests of substantial holder

To Company Name/Scheme ACN/ARSN

1. Details of substantial holder(1)

Name

ACN/ARSN (if applicable)

Aura Energy Ltd

1415 927 681

The Australian Special Opportunity Fund LP ("ASOF")

n/a

There was a change in the interests of the

substantial holder on 16/9/2016

The previous notice was given to the company

on 11/5/2016

The previous notice was dated 11/5/2016

  1. Previous and present voting power

  2. Changes in relevant interests

  3. Present relevant interests

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 :

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:

Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows :

604 a e 212 15 Jul 2001

  1. 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

  2. Addresses

The addresses of persons named in this form are as follows:

Name

Address

ASOF

370 Lexington Ave, #1900 New York. NY 10017, USA

The Lind Partners Australia LLC

370 Lexington Ave, #1900 New York, NY 10017, USA

Signature

print name

sign here

capacity director of operations date / l.ot

DIRECTIONS

(I) 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.

  1. See the definition of "associate" in section 9 of the Corporations Act 2001 .

  2. See the definition of "relevant interest" in sections 608 and 6718(7) of the Corporations Act 2001.

  3. The voting shares of a company constitute one class unless divided into separate classes.

  4. The person's votes divided by the total votes in the body corporate or scheme multiplied by 100.

  5. Include details of:

  6. any relevant agreement or other circumstances because of which the change in relevant interest occurred. If subsection 6718(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

  7. 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 .

  8. 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.

  9. If the substantial holder is unable to determine the identify of the person (eg. if the relevant interest arises because of an option) write "unknown" .

  10. Give details, if appropriate, of the present association and any change in that association since the last substantial holding notice.

  11. Appendix 1

    Date of Change

    Person whose relevant interest changed

    Nature of change (6)

    Consideration given in relation to change (7)

    Class and number of sercurities affected

    Person's votes affected

    12/2/2016

    ASOF

    shares issued per the Appendix 3B dated 12 February 2016

    $50,000

    ordinary 4,081,633

    4,081,633

    6/4/2016

    ASOF

    on market sale

    $5,600

    ordinary 350,000

    350,000

    23/5/2016

    ASOF

    on market sale

    $10,150

    ordinary 700,000

    700,000

    26/5/2016

    ASOF

    on market sale

    $3,480

    ordinary 232,003

    232,003

    30/5/2016

    ASOF

    on market sale

    $750

    ordinary 50,000

    50,000

    1/6/2016

    ASOF

    on market sale

    $741

    ordinary 49,400

    49,400

    30/6/2016

    ASOF

    on market purchase

    $1,088

    ordinary 67,987

    67,987

    4/7/2016

    ASOF

    on market purchase

    $6,000

    ordinary 300,000

    300,000

    14/7/2016

    ASOF

    on market purchase

    $8,527

    ordinary 474,715

    474,715

    15/7/2016

    ASOF

    on market purchase

    $9,500

    ordinary 500,000

    500,000

    8/8/2016

    ASOF

    on market purchase

    $935

    ordinary 44,500

    44,500

    30/8/2016

    ASOF

    on market purchase

    $6,900

    ordinary 300,000

    300,000

    31/8/2016

    ASOF

    on market purchase

    $3,450

    ordinary 150,000

    150,000

    2/9/2016

    ASOF

    on market purchase

    $21,500

    ordinary 950,000

    950,000

    13/9/2016

    ASOF

    shares issued per the Appendix 3B dated 13 September 2016

    $175,000

    ordinary 8,750,000

    8,750,000

    13/9/2016

    ASOF

    dilution of interest due to issuance of further shares

    nil

    ordinary shares

    n/a

    16/9/2016

    ASOF

    dilution of interest due to issuance of further shares

    nil

    ordinary shares

    n/a

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