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
-
Previous and present voting power
-
Changes in relevant interests
-
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
-
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
|
|
|
-
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.
-
See the definition of "associate" in section 9 of the Corporations Act 2001 .
-
See the definition of "relevant interest" in sections 608 and 6718(7) of the Corporations Act 2001.
-
The voting shares of a company constitute one class unless divided into separate classes.
-
The person's votes divided by the total votes in the body corporate or scheme multiplied by 100.
-
Include details of:
-
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
-
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 .
-
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.
-
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" .
-
Give details, if appropriate, of the present association and any change in that association since the last substantial holding notice.
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
|