CAPRICORN METALS LTD — Director's Dealing 2016

Nov 29, 2016

Appendix 3Y Change of Director’s Interest Notice

Rule 3.19A.2

Appendix 3Y

Change of Director’s Interest Notice

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

Name of entity	CAPRICORN METALS LTD
ABN	84 121 700 105

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.

Name of Director	PETER R THOMPSON
Date of last notice	14 NOVEMBER 2016

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.

Direct or indirect interest	INDIRECT
Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest.	PETER ROBERT THOMPSON & FIONA JANE THOMPSON Trustee and Beneficiary
**Date of change **	29NOVEMBER 2016
No. of securities held prior to change	DIRECT 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 INDIRECT PETER ROBERT THOMPSON & FIONA JANE THOMPSON 1,145,676 ORDINARY SHARES
Class	UNLISTED OPTIONS
Number acquired	2,500,000
Number disposed	NIL
Value/Consideration Note: If consideration is non‐cash, provide details and estimated valuation	ISSUED FREE

• See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 1

Appendix 3Y Change of Director’s Interest Notice

No. of securities held after change	DIRECT 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 2,500,000 UNLISTED OPTIONS EXERCISABLE AT $0.20 EXPIRING 31 MAY 2020 INDIRECT PETER ROBERT THOMPSON & FIONA JANE THOMPSON 1,145,676 ORDINARY SHARES
Nature of change Example: on‐market trade, off‐market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy‐back	ISSUED SUBSEQUENT TO SHAREHOLDER APPROVAL RECEIVED 25 NOVEMBER 2016

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.

Detail of contract Nature of interest Name of registered holder (if issued securities) Date of change 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 Interest acquired Interest disposed Value/Consideration Note: If consideration is non‐cash, provide details and an estimated valuation Interest after change

Part 3 –[+] Closed period

Part 3 –+Closed period
Were the interests in the securities or contracts detailed above traded during a+closed period where prior written clearance was required?	NO
If so, was prior written clearance provided to allow the trade to proceed during this period?	N/A
If prior written clearance was provided, on what date was this provided?	N/A

• See chapter 19 for defined terms.

Appendix 3Y Page 2

01/01/2011

Appendix 3Y Change of Director’s Interest Notice

Rule 3.19A.2

Appendix 3Y

Change of Director’s Interest Notice

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

Name of entity	CAPRICORN METALS LTD
ABN	84 121 700 105

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.

Name of Director	PETER J LANGWORTHY
Date of last notice	3 December 2015

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.

Direct or indirect interest	INDIRECT
Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest.	JERICHO EXPLORATION PTY LTD Director of Trustee & Beneficiary of Trust
**Date of change **	20 APRIL 2016
No. of securities held prior to change	INDIRECT OMNI GEOX PTY LTD Director & Substantial Shareholder 5,104,903 SHARES JERICHO EXPLORATION PTY LTD Director of Trustee & Beneficiary of Trust 4,800,000 UNLISTED OPTIONS EXERCISABLE AT $0.10 EXPIRING 31 MAY 2020
Class	UNLISTED OPTIONS
Number acquired	2,500,000
Number disposed	NIL
Value/Consideration Note: If consideration is non‐cash, provide details and estimated valuation	ISSUED FREE

• See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 1

Appendix 3Y Change of Director’s Interest Notice

No. of securities held after change	INDIRECT OMNI GEOX PTY LTD Director & Substantial Shareholder 5,104,903 SHARES JERICHO EXPLORATION PTY LTD Director of Trustee & Beneficiary of Trust 4,800,000 UNLISTED OPTIONS EXERCISABLE AT $0.10 EXPIRING 31 MAY 2020 2,500,000 UNLISTED OPTIONS EXERCISABLE AT $0.20 EXPIRING 31 MAY 2020
Nature of change Example: on‐market trade, off‐market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy‐back	ISSUED PURSUANT TO SHAREHOLDER APPROVAL RECEIVED 25 NOVEMBER 2016

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.

Detail of contract Nature of interest Name of registered holder (if issued securities) Date of change 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 Interest acquired Interest disposed Value/Consideration Note: If consideration is non‐cash, provide details and an estimated valuation Interest after change

Part 3 –[+] Closed period

Were the interests in the securities or contracts detailed above traded during a+closed period where prior written clearance was required?	N/A
If so, was prior written clearance provided to allow the trade to proceed during this period?	N/A
If prior written clearance was provided, on what date was this provided?	N/A

• See chapter 19 for defined terms.

Appendix 3Y Page 2

01/01/2011

Appendix 3Y Change of Director’s Interest Notice

Rule 3.19A.2

Appendix 3Y

Change of Director’s Interest Notice

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

Name of entity	CAPRICORN METALS LTD
ABN	84 121 700 105

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.

Name of Director	HEATH A HELLEWELL
Date of last notice	3 FEBRUARY 2016

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.

Direct or indirect interest	INDIRECT
Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest.	NEDLANDS NOMINEES PTY LTD <WINDANDSEA INVESTMENTS A/C< Director & Shareholder
Date of change	29 NOVEMBER 2016
No. of securities held prior to change	INDIRECT CENTREPEAK RESOURCES GROUP PTY LTD Director & Shareholder 74,221,378 ORDINARY SHARES(Escrowed to 03/02/17) NEDLANDS NOMINEES PTY LTD <WINDANDSEA INVESTMENTS A/C< Director & Shareholder 28,536,277 ORDINARY SHARES (Escrowed to 03/02/17)
Class	UNLISTED OPTIONS
Number acquired	1,000,000
Number disposed	NIL
Value/Consideration Note: If consideration is non‐cash, provide details and estimated valuation	ISSUED FREE
No. of securities held after change	INDIRECT CENTREPEAK RESOURCES GROUP PTY LTD Director & Shareholder 74,221,378 ORDINARY SHARES(Escrowed to 03/02/17)

• See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 1

Appendix 3Y Change of Director’s Interest Notice

	NEDLANDS NOMINEES PTY LTD <WINDANDSEA INVESTMENTS A/C< Director & Shareholder 28,536,277 ORDINARY SHARES (Escrowed to 03/02/2017) 1,000,000 UNLISTED OPTIONS $0.20 EXPIRY 31/05/2020)
Nature of change Example: on‐market trade, off‐market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy‐back	ISSUED PURSUANT TO SHAREHOLDER APPROVAL RECEIVED 25 NOVEMBER 2016

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.

Detail of contract Nature of interest Name of registered holder (if issued securities) Date of change 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 Interest acquired Interest disposed Value/Consideration Note: If consideration is non‐cash, provide details and an estimated valuation Interest after change

Part 3 –[+] Closed period

Part 3 –+Closed period
Were the interests in the securities or contracts detailed above traded during a+closed period where prior written clearance was required?	NO
If so, was prior written clearance provided to allow the trade to proceed during this period?	N/A
If prior written clearance was provided, on what date was this provided?	N/A

• See chapter 19 for defined terms.

Appendix 3Y Page 2

01/01/2011

Appendix 3Y Change of Director’s Interest Notice

Rule 3.19A.2

Appendix 3Y

Change of Director’s Interest Notice

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

Name of entity CAPRICORN METALS LTD ABN 84 121 700 105

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.

Name of Director	GUY F.M LECLEZIO
Date of last notice	19 SEPTEMBER 2015

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.

Direct or indirect interest	DIRECT
Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest.	GUY FRANCOIS LECLEZIO Trustee & Beneficiary RUNNING WATER LTD Director & Shareholder
**Date of change **	29NOVEMBER 2016
No. of securities held prior to change	DIRECT 4,741,903 ORDINARY SHARES 1,000,000 15c OPTIONS EXPIRE 30/11/2016 INDIRECT 12,702,373ORDINARY SHARES
Class	UNLISTED OPTIONS
Number acquired	1,000,000
Number disposed	NIL
Value/Consideration Note: If consideration is non‐cash, provide details and estimated valuation	ISSUED FREE
No. of securities held after change	DIRECT 4,741,903 ORDINARY SHARES 1,000,000 $0.15 OPTIONS EXPIRE 30/11/2016 1,000,000 $0.20 OPTIONS EXPIRE 31/05/2020 INDIRECT 12,702,373ORDINARY SHARES

• See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 1

Appendix 3Y Change of Director’s Interest Notice

Nature of change ISSUED PURSUANT TO SHAREHOLDER APPROVAL Example: on‐market trade, off‐market trade, RECEIVED 25 NOVEMBER 2016 exercise of options, issue of securities under dividend reinvestment plan, participation in buy‐ back

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.

Detail of contract Nature of interest Name of registered holder (if issued securities) Date of change 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 Interest acquired Interest disposed Value/Consideration Note: If consideration is non‐cash, provide details and an estimated valuation Interest after change

Part 3 –[+] Closed period

Were the interests in the securities or contracts detailed above traded during a+closed period where prior written clearance was required?	N/A
If so, was prior written clearance provided to allow the trade to proceed during this period?	N/A
If prior written clearance was provided, on what date was this provided?	N/A

• See chapter 19 for defined terms.

Appendix 3Y Page 2

01/01/2011