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DOTZ NANO LIMITED Major Shareholding Notification 2018

Mar 5, 2018

64794_rns_2018-03-05_e5f82f14-9593-43a1-904e-37dfcca64074.pdf

Major Shareholding Notification

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ASX ANNOUNCEMENT 6 March 2018

NOTICE OF CHANGE OF INTERESTS OF SUBSTANTIAL HOLDER X2

Dotz Nano Limited ("Dotz Nano" or the "Company") (ASX: DTZ), advises that the changes to substantial holders are in relation to the capital raisings between August 2017 and February 2018. The decreases in voting rights is due to the issue of shares and not the sale of shares.

Details in relation to the Notice of change of interests of substantial holders ("Notices") are contained in the attached Notices.

FOR FURTHER INFORMATION:

Company Secretary Ian Pamensky Company Secretary [email protected] +61 414 864 746

About Dotz Nano

Dotz Nano Limited (ASX: DTZ) is a nano-technology company focusing on the development, manufacture and commercialization of GQDs. Its vision is to be the premier producer of GQDs by producing and supplying high quality GQDs for use in various applications including medical imaging, sensing, consumer electronics, energy storage, solar cells and computer storage.

To learn more about Dotz Nano please view the website and our corporate video via the following link: www.dotznano.com

Form $604$

Corporations Act 2001

Section 671B

Notice of change of interests of substantial holder

To: Company Name/Scheme DOTZ NANO LIMITED
ACN/ARSN 125 264 575
1. Details of substantial holder (1)
Name Ariel Malik
ACN (if applicable)
There was a change in the interests of the substantial
holder on:
Various (See 2 Below)
The previous notice was given to the company on 31/10/2016
The previous notice was dated 13/11/2016

$2.$ Previous and present voting power

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:

Class of Securities (4) Previous notice Present notice
Person's votes Voting power $(5)$ Person's votes Voting power $(5)$
Ordinary Shares 11,746,611 10.68 % 11,746,611 8.15%*

* Changes in voting power as a result of share issues/ plavements by the Company between August 2017 and January 2018. This includes the following issues:

Date of Issue Number of
Shares
Issue
Price
8/8/2017 12,500,000 \$0.12
5/12/17 18,333,333 \$0.18
5/2/18 2,777,778 \$0.18
5/2/18 500,000 nil
Total 34,111,111

Changes in relevant interests 3.

Particulars of each change in, or change in the nature of, a relevant interest or 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 Person whose relevant
interest changed
Nature of
change $(6)$
Consideration given
in relation to change
(7)
Class and number
of securities
affected
Person's votes
affected

4. Present relevant interests

Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows:

Holder of relevant
interest
Registered
holder of
securities
Person entitled to
be registered as
holder $(8)$
Nature of relevant interest (6) Class and
number of
securities
Person's votes
Ariel Malik 102 Capital
Management
<ariel malikA/C
102 Capital
Management
<ariel malikA/C
Relevant interest under
section $608(1)(b)$ and
$608(1)(c)$ of the Corporations
Act 2001 (Cth) being a
relevant interest arising
through having the power to
exercise a right to vote and a
power to dispose of the
shares held under 102
Capital Management <ariel
Malik A/C</ariel
11,746,611
fully paid
ordinary
shares
11,746,611
fully paid
ordinary shares

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 (if applicable) Nature of association
N/A

6. Addresses

5.

The addresses of persons named in this form are as follows:

Name Address
Ariel Malik Hameyasdim 18, Hod Hasharon, Israel
Signature
print name Ariel Malik Capacity Personally
sign here date 02 / 03 / 2018
Directions
  • $1.$ If there are a number of substantial shareholders 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.
  • $\mathcal{L}$ See the definition of "associate" in section 9 of the Corporations Act 2001.
  • $\overline{3}$ . See the definition of "relevant interest" in sections 608 and 671B(7) of the Corporations Act 2001.
  • The voting shares of a company constitute one class unless divided into separate classes. $\overline{4}$
  • The person's votes divided by the total votes in the body corporate or scheme multiplied by 100.

  • $(a)$ any relevant agreement or other circumstances by which the change in relevant interest occurred. If subsection 671B(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 $(b)$ 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.

  • $\overline{7}$ . 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, 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 identity of the person (eg. if the relevant interest arises because of an option) write 8 "unknown".

Give details, if appropriate, of the present association and any change in that association since the last substantial holding notice. $\overline{9}$

6.

Form 604

Corporations Act 2001

Section 671B

Notice of change of interests of substantial holder

To: Company Name/Scheme DOTZ NANO LIMITED
ACN/ARSN 125 264 575
1. Details of substantial holder (1)
Name Amiram Bornstein
ACN (if applicable)
There was a change in the interests of the substantial
holder on:
Various (See 2 Below)
The previous notice was given to the company on 31/10/2016
The previous notice was dated 13/11/2016

$2.$ Previous and present voting power

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:

Person's votes Voting power $(5)$ Person's votes Voting power $(5)$
11,988,809 $10.90\%$ 11,988,809 $8.32\%*$

* Changes in voting power as a result of share issues/ plavements by the Company between August 2017 and January 2018. This includes the following issues:

Date of Issue Number of
Shares
Issue
Price
8/8/2017 12,500,000 \$0.12
5/12/17 18,333,333 \$0.18
5/2/18 2,777,778 \$0.18
5/2/18 500,000 nil
Total 34, 111, 111

$3.$ Changes in relevant interests

Particulars of each change in, or change in the nature of, a relevant interest or 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 Person whose relevant
interest changed
Nature of
change $(6)$
Consideration given
in relation to change
Class and number
of securities
affected
Person's votes
affected

4. Present relevant interests

Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows

Holder of relevant
interest
Registered
holder of
securities
Person entitled to
be registered as
holder (8)
Nature of relevant interest (6) Class and
number of
securities
Person's votes
Amiram Bornstein 102 Capital
Management
<dr bornsteinI td A C
102 Capital
Management Dr
Bornstein Ind
$\sqrt{1}$
Relevant interest under
section 608(1)(b) and
608(1)(c) of the Corporations
Act 2001 (Cth) being a
relevant interest arising
through having the power to
exercise a right to vote and a
power to dispose of the
shares held under 102 Capital
Management (Dr Bornstein)
IdA
11,988,800
fully paid
ordinary
shares
11.988,809
fully paid
ordinary shares.

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 (if applicable) CONTRACTOR CONTRACTOR CON CONTRACTOR CONTRACTOR CONTRACTOR O MANUFACTOR CONTRACTOR ENTERTAINMENT CONTRACTOR CONTRACTOR CONTRACTOR CONTRACTOR
Nature of association
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. On conservation to the real and an experimental and an experimental and an experimental and an experimental in
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And also a services

6. Addresses

The addresses of persons named in this form are as follows:

same.
MARKAWAYAY BY ALL
COLORADO ALEGANDERECECCIONES EN ESTATISTICAS
The committee of the committee consideration of the series of the committee of the committee of the committee of the common the series of the committee of the committee of the committee of the committee of the committee
Address
Amiram Bornstein
--------------------------------------
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18 Raines St. Tel-Aviv, Israel
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STEEL STATES CONTINUES AND A CONTINUES OF A REPORT OF A STATES OF A STATES OF A STATES OF A STATES OF A STATES OF A STATES OF A STATES OF A STATES OF A STATES OF A STATES OF A STATES OF A STATES OF A STATES OF A STATES OF

Signature

T.

print name
sign here
Amiram Bornstein Capacity Personally
date $02 \times 03 \times 2018$
Wirections

If there are a mamber of substantial shareholders with similar or related relevant interests (eg. a cooporation and its related corporations, or the manager and trustee of an equity trust), the names could be included in a

$\mathbf{1}$ See the definition of "associate" in section 9 of the Corporations Act 2001.

See the definition of "relevant interest" in sections 608 and 671B(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.

1

Include details of:

tai

any relevant agreement or other circumstances by which the change in relevant interest occurred. If subsection 671B(4) any relevant agreement of oner customstances by value on visings in reasons inverse occurred. It subsection to their

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 $(b)$ 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 $\overline{3}$ . 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 identity of the person (eg. if the relevant interest arises because of an option) write $\overline{4}$ "unknown".
  • Give details, if appropriate, of the present association and any change in that association since the last substantial holding notice. 5.