Form 604
Corporations Act 2001
Section 6718
Notice of change of interests of substantial holder
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To.. Company Name/Scheme ACN/ARSN
1. Details or substantial holder(1)
Name
ACN/ARSN (if applicable)
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Aura Energy limited
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62115927681
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Pre-Emptive Trading Pty Ltd
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47111r\ A n A te A
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There was a change in the interests of the
substantial holder on 2&,09,2016
The previous notice was given to the company on 20,oa,201s
The previous notice was dated 20108,Q015
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Previous and present voting power
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Changes In relevant interests
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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 invoting securities of the company or scheme. since the substantial holder was last required to give a substantial holding notice to the company or scheme are as follows:
Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows:
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Class of securities (4)
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Previous notice
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Present notice
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Person's votes
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Votinn nower (5
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Person's votes
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Votino oower 15)
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Full paid ordinary shares
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23,950,000
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7.15%
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35,700,000
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5.02%
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/
Date of change
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Person whose relevant interest changed
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Nature of change (6)
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Consideration Class and
given in relation number of
to change (7) securities affected
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Person's votes affected
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28/09/16
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Pre-Emptive Trading
' Ptv IM
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On market + 3B
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see attached 11,750,000
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11,750,000
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Holder of relevant interest
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Registered holder of securities
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Person entitled to be registered as holder (B)
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Nature of relevant interest (6)
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Class and number of securities
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Person's votes
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Pre-Emptive Trading
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as previous
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Pre-Emptive
Trading Ply Ltd
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buy on market + 3B
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35,700,000
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5.02%
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Pfy Ltd
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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)
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Nature of associat ion
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6. Addresses
The addresses of persons named in this form are as follows :
Name
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Address
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Pre-Emptive Trading Pty Ltd
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345 Gorge Road Athelstane SA 5076
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Signature
print name capacity Director
sign here
date 08 I 10 115
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.
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See the definition of "relevant interest" in sections 608 and 6718(7) of the Corporations Act 2001.
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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.
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Include details of:
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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
(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. becom·e 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.
604 GUIDE page 1/1 13 March 2000
GUIDE This guide does not form part of the prescribed form and is included by ASIC to assist you in completing and lodging form 604.
Signature This form must be signed by either a director or a secretary of the substantial holder.
Lodging period Nil
Lodging Fee Nil
Other forms to be Ni.I
completed
Additional information
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Ifadditional space is required to complete a question, the information may be included on a separate piece of paper annexed to the form.
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This notice must be given to a listed company, or the responsible entity for a listed managed investment scheme. A copy of this notice must also be given to each relevant securities exchange.
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The person must give a copy of this notice:
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within 2 business days after they become aware of the information; or
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by 9.30 am on the next trading day of the relevant securities exchange after they become aware of the infonnation if:
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a takeover bid is made for voting shares in the company or voting interests in the scheme; and
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the person becomes aware of the information during the bid period.
Annexures
To make any annexure conform to the regulations, you must
use A4 size paper of white or light pastel colour with a margin of at least 1Omm on all sides
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show the corporation name and ACN or ARBN
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number the pages consecutively
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print or type in BLOCK letters in dark blue or black ink so that the document is clearly legible when photocopied
5 identify the annexure with a mark such as A, B, C, etc
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endorse the annexure with the words:
This is annexure (mark) of (number) pages referred to inform (form number and title)
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sign and date the annexure
The annexure must be signed by the same person(s) who signed the form.
Information in thisguide isintended asa guideonly. Please consult your accountant orsolicitor forfurther advice.
3. Change in relevant interest
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 or scheme are as follows:
Date of change
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Person whose relevant interest changed
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Nature of change (6)
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Consideration in relation to change (7)
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Class and number of securities effected
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Personal votes effected
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25/08/ 15
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Pre-Emptive Trading Pty Ltd
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Buy on market
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$900.00
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50000
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50000
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08/10/ 15
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Pre-Emptive Trading Pty Ltd
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Buy on market
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$570.00
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30000
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30000
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20/10/15
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Pre-Emptive Trading Pty Ltd
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Buy on market
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$513.50
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28000
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28000
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09/11/15
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Pre-Emptive Trading Pty Ltd
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Sell on market
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$986.00
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58000
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58000
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15/ 12/15
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Pre-Emptive Trading Pty Ltd
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Buy on market
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$2,800.00
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200000
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200000
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15/ 12/15
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Pre-Emptive Trading Pty Ltd
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Buy on market
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$525.00
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35000
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35000
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21/ 12/ 15
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Pre-Emptive Trading Pty Ltd
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Buy on market
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$536.79
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35000
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35000
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22/12/15
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Pre-Emptive Trading Pty Ltd
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Buy on market
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$563.45
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35000
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35000
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25/01/16
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Pre-Emptive Trading Pty Ltd
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Buy on market
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$2,072.18
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148013
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148013
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28/01/ 16
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Pre-Emptive Trading Pty Ltd
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Buy on market
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$657.82
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46987
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46987
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18/02/ 16
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Pre-Emptive Trading Pty Ltd
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Buy on market
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$2,100.00
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100000
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100000
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25/02/16
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Pre-Emptive Trading Pty Ltd
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Buy on market
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$1,650.00
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100000
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100000
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02/03/ 16
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Pre-Emptive Trading Pty Ltd
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Buy on market
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$1,550.00
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100000
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100000
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09/03/16
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Pre-Emptive Trading Pty Ltd
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Buy on market
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$2,800.00
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200000
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200000
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18/04/16
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Pre-Emptive Trading Pty Ltd
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Sell on market
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$36,130.83
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2400000
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2400000
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19/04/16
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Pre-Emptive Trading Pty Ltd
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Sell on market
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$15,000.00
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1000000
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1000000
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20/04/16
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Pre-Emptive Trading Pty Ltd
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Sell on market
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$5,442.40
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340150
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340150
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