07-1 1 -16; 14 : 19 ;SG H i scock ;+61 3 9642 4430 # 1/ 4
SG HISCOCK & COMPANY
FACSIMILE TRANSMl'rTAl.. SHEET
TO;
Company Announcements Dept.
FROM:
Sue Theckston
COMPANY:
Carpentaria Exploration Limited
FAX NUMBER:
(07) 3220 1291
DATE.:
07.11.16
TO'fAL NO. Of l'AOllS INCLUDIN G COVllll:
4
RE:
Initial Substantial Shareholder Notification
O URGENT O FOR REVIEW O PLEASE COM MENT O PLEASE REPLY O PLEASE RECYCLE
NOTES/COMMENTS;
Please find attached form 603 - Initial Substantial holder notice for Carpentaria Exploration Limited (CAP).
Kind Regardss
Sue Theckston
Portfolio Administrator
07-1 1 -16; 14:19 ;SG H i scock ;+613 9642 4430 # 2/ 4
SG HISCOCK & COMPANY
FACSIMILE TRANSMITTAL SHEET
TO;
Company Announcements Dept.
FROM:
Sue Theckston
COMPANY:
Australian Stock Exchange
FAX NUMBER:
1300 135 638
0A1'J;:
07.11.16
1'0'l"AL NO, OF PAGE !NCI..UD!NG COVER.:
4
Initial Substantial Shareholder Notification
O URGENT O FOR REVIEW O PLEASE COM M ENl O PLEASE REPLY O PLEASE! RECYCLE NOTES/COMMENTS:
Please find attached form 603 - Initial Substantial holder notice for Carpentaria Exploration Limited (CAP).
Kind Regards,
Sue Theckston
Portfolio Administrator
07-1 1 -16; 14:1 9 ;SG H i scock ;+ 613 9642 4430
# 3/ 4
&03 p ge 1/2 15 July 2001
Form 603
Corporations Act 2001
Section 6716
Notice of initial substantial holder
Il!..:Company Nllmc/Schcmc
IICN/ARSN
Ca%pentaria Exploration Limited
095 117 981
-
Dotalls of substantial hohlet (1)
Name SG HISCOCK & COMPANY LIMITED
ACNf/\RSN (If appllcablo) 097 263 62B
-1
The hOICfer became a substantial holder on 04 / ll /2 016
-
Details of voting powor
The total number of votes attached to oll thc voting shares Inthe company or voling lntornsts In the scM,MLh.'.lt lhe subsll!nti Iholder 01 .inassocl te (i) h.ill.i rICvMl inlC est (3) inon the dote the 5\lbstantlol holder become a substontlal holder ore as follows:
|
Classofsccu1ltlcs (4)
|
Number of socu1ltlos
|
Voting power (u)
|
|
FULuY PAID ORDINARY
|
8,477,237
|
6,477,237
|
S.42%
|
|
|
-
Dotalls al relevant intetests
The nature of the relevantInterest the subst:inti:11 holdOf or an assoclalO had In LM following voling ecuti i\!$ on \he dte \he,ub,t.1ntinl holder be ame a substantial hOlder ore as follows:
|
|
No\Ulc of relevant interest (7)
|
Class and number of sccuJitlcs
|
|
SG HISCOCK & COMPANY
|
POWER TO VOTE ANO/OR
|
8,477,237
|
|
EXECUTE SECURITIES
|
4, DeUlil5 of pre5ellt regi5tered holders
Tno pcrsons roglstQraI\Oldet'S or the securities referred to in paragraph 3 above are as follows:
|
Holder orrelevant ln\l.llasl
|
Registered holder of
$CCUrities
|
PC!rson !!ntltlod to bo registered as holder [8)
|
Class and numbof scwrl
|
tlcs
SG HISCOCK & CO
HSBC CUSTODY
81 4771 237
NOMINEES
S. C011$idetation
The consideration paid for each relevant Interest roforrcd to In piirag,aph 3 ilhove.ijnd .icquiredin the four months prior to the day that the substantial holder became a substantial holder isas follows:
|
HoldQI of t!!lovant Interest '
|
|
Consideration (9)
|
Class and number of sei;ulities
|
|
l.Sn
|
NOn·CilSll
|
|
RIGHTS ISSUE
|
|
|
07-1 1 -16;14:19 ;SG H i scock ;+61 3 9642 4430 # 4 / 4
603 page 212 15 July 2001
6. Assoclatos
The reasons the persons named Inparagraph 3 above arc assoclotcs of the substontlal hc,klcr arn as follows:
|
Namo and ACN/ARSN (Ir appllc:iblo)
|
Nmura or association
|
|
|
|
|
7, Addre:;:;e:;
ttie addresses of persons named inthis form are asfollows:
|
Nome
|
Addross
|
|
HSBC CUSTODY NOMINEES
|
GPO BOX 5302
|
|
(AUSTRALIA)·LIMITED
|
SYDNEY NSW 2001
|
Signature
cnpaPORTFOLIO MANAGER
sign here
date 07 I ll / 2016
DIRECTIONS
} If 1ne1e urea number or suostanuu1 hOldel:i witti similar or related relevant interests (eg. a corporationond its related corporntiorn;, or the maooger and trustee or an
Iha n.'.ll!U!S eould
bO lneludein
an annexure to the rorm.
If ttie relev.u\tinterests or a group of
perrlliore essentt.i
lly sim
ilill',
\lley may l)e
rfon'ed to ttroughout the form as a specifically namod group
If tho momborshlp or each group. with tho namas and addresses o
r mambots Is cloa
rly
sot out
In paragrnph
7 or tho
fotm.
(2} Soc lhO definition of'associate' In scellon 9 or the CorporaUons Ac( 2001.
(3} See ttie dennition or "relevant interest" in sections 608 and 671B(7) or the Corporations /\ct 2001.
(4) The volingshllrcs o/' a company constitute one class unless dividedInto saparnto classos.
-
Tho total numb or voles ii\\aCl\()d to ull the votjng sh.ires in\he compny Or votinginterests inttie stherne lir ny) \hat \he petliOn 01 n 5$0Ci te h.is ij relev n\ InterestIn.
-
TMpmson's voU!S dividl!d by lho total votes In\M l)Ody eo1por.ite or $Cherne multiplied by 100.
(71 Include details of:
(.i) anyteleWlnt agtm 'l'lt OI' other eircumsumees by wtii ti the relevant interest was acquired. If subsion 671e(4) npplies.acopy or nny doo;ument selling out tho lllrms or any roloant agroonland a st..1tc100nt by the person giving full iind accu1udeUiils or any contrncl schama 01 atrangomant must accompany this form, together with a written statement ccrtllylng this contlact, sr.hemo or arrnngomant; and
(b) any qtJallfic.itio nor U'le power or a per$OO to exercise. ontrol \tie e>(m ise or. or influen,e the ecr ise or.the voting powers or dispos.il or the securities to which the rclovantlnlcrost relates (Indicating clearly tho panicular scturlUt!S towhichlMqualiflcallon appllos).
Sec the dennition of "relevant agreement" in section 9 of the Corporollons /\ct 2001.
-
If tho subst..lntlal holder Is unablo to dotermlno thoIdentity or ha Jl(!rson ( cg. I( lhO 1elev:inl interest u1ises bacausc or an opUon) write •unl
-
Detail of the cidertion mus\ include any and all benents. money and other,that any person fromwhom a relev,mt interest was acquired t.Js. or may, bme ontltlad to rccoivo Inrolatlon to lhat acqoisitlon. Oatalls muslhe included ovC!IIIf the bl!neti1 i conditionu1on the happeningor not o! a contlngoncy. Details must be Included orony benefit paid on behalf orthe substantfal holder or Its associate In relation to tho acqulslOons, evenIf they arc not paiddirectly to the person from whom the relevant interest was acquired.