Appendix 3Y Change of Director's Interest Notice
Appendix 3Y
Change of Director's Interest Notice
Rule 3.19A.2
Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX's property and may be made public.
Introduced 30/09/01 Amended 01/01/11
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Name of entity
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CAPRICORN METALS LTD
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ABN
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84 121 700 105
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We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.
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Name of Director
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PETER R THOMPSON
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Date of last notice
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12 OCTOBER 2016
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Part 1 - Change of director's relevant interests in securities
In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust
Note: In the case of a company, interests which come within paragraph (i) of the definition of "notifiable interest of a director" should be disclosed in this part.
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Direct or indirect interest
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INDIRECT
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Nature of indirect interest (including registered holder)
Note: Provide details of the circumstances giving rise to the relevant interest.
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PETER ROBERT THOMPSON & FIONA JANE THOMPSON
Trustee and Beneficiary
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Date of change
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14 NOVEMBER 2016
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No. of securities held prior to change
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INDIRECT
PETER ROBERT THOMPSON
5,522,398 ORDINARY SHARES ESCROWED TO
03/02/2017
6,000,000 UNLISTED OPTIONS EXERCISABLE AT
$0.10 EXPIRING 31 MAY 2020
PETER ROBERT THOMPSON & FIONA JANE THOMPSON
995,676 ORDINARY SHARES
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Class
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ORDINARY SHARES
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Number acquired
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150,000
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Number disposed
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NIL
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Value/Consideration
Note: If consideration is non‐cash, provide details and estimated valuation
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$15,000
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No. of securities held after change
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INDIRECT
PETER ROBERT THOMPSON
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+ See chapter 19 for defined terms.
01/01/2011 Appendix 3Y Page 1
Appendix 3Y
Change of Director's Interest Notice
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5,522,398 ORDINARY SHARES ESCROWED TO
03/02/2017
6,000,000 UNLISTED OPTIONS EXERCISABLE AT
$0.10 EXPIRING 31 MAY 2020
PETER ROBERT THOMPSON & FIONA JANE THOMPSON
1,145,676 ORDINARY SHARES
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Nature of change
Example: on‐market trade, off‐market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy‐back
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ON MARKET
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Part 2 - Change of director's interests in contracts
Note: In the case of a company, interests which come within paragraph (ii) of the definition of "notifiable interest of a director" should be disclosed in this part.
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Detail of contract
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Nature of interest
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Name of registered holder (if issued securities)
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Date of change
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No. and class of securities to which interest related prior to change
Note: Details are only required for a contract in relation to which the interest has changed
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Interest acquired
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Interest disposed
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Value/Consideration
Note: If consideration is non‐cash, provide details and an estimated valuation
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Interest after change
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Part 3 - +Closed period
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Were the interests in the securities or contracts detailed above traded during a +closed period where prior written clearance was required?
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NO
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If so, was prior written clearance provided to allow the trade to proceed during this period?
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N/A
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If prior written clearance was provided, on what date was this provided?
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N/A
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+ See chapter 19 for defined terms.
Appendix 3Y Page 2 01/01/2011