AI assistant
EV RESOURCES LTD — Major Shareholding Notification 2013
Oct 10, 2013
64887_rns_2013-10-10_3b9151e9-a263-42e1-8310-63ccd5cd98af.pdf
Major Shareholding Notification
Open in viewerOpens in your device viewer
ASX Form 603
Form 603 Corporations Act 2001 Section 671B
Notice of initial substantial shareholder
To Company Name/Scheme SOUTH EAST ASIA RESOURCES LIMITED
ACN
009 144 503
1. Details of substantial holder (1)
Name The Goldman Sachs Group, Inc. (“GSGI”) on behalf of itself and its subsidiaries (“Goldman Sachs Group”) including its significant subsidiaries listed in Annexure A (“Significant Subsidiaries”) and Goldman Sachs Holdings ANZ Pty Limited and its subsidiaries (“Goldman Sachs Australia Group”).
ACN/ARSN (if applicable) Not applicable
The holder became a 8 October 2013 substantial holder on
2. Details of 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 on the date the substantial holder became a substantial holder are as follows:
| Class of securities | Number of securities | Persons’ votes | Voting power5.75% |
|---|---|---|---|
| Ordinary Fully Paid Shares | 13,700,000 | 13,700,000 |
3. Details of relevant interests The nature of the relevant interest the substantial holder had in the following voting securities on the date the substantial holder became a substantial holder are as follows:
| Holder of relevant interest | Nature of relevant interest | Class and number of securities | Class and number of securities |
|---|---|---|---|
| GSGI | GSGI has a relevant interest in these ordinary | 13,700,000 | Ordinary Fully Paid Shares |
| fully paid shares by virtue of section 608(3) of the | |||
| Corporations Act 2001. | |||
| Goldman Sachs International | Prime Brokerage with power to control the | 13,700,000 | Ordinary Fully Paid Shares |
| (“GSI”) | exercise of the power to dispose of shares | ||
| pursuant to a Prime Brokerage Agreement (See | |||
| Annexure B) |
4. Details of present registered holders
The persons registered as holders of the securities referred to in paragraph 3 above are as follows:
| Holder of relevantinterest | Registered holder of securities | Person entitled to beregistered as holder | Class | and number of securities | |
|---|---|---|---|---|---|
| GSI | HSBC Custody NomineesAustralia Limited | GSI | 13,700,000 | Ordinary Fully Paid Shares |
ASX Form 603
5. Consideration
The consideration paid for each relevant interest referred to in paragraph 3 above, and acquired in the four months prior to the day that the substantial holder became a substantial holder is as follows:
| Holder of relevantInterest | Date of Acquisition | Number of Securities | Total Consideration |
|---|---|---|---|
| GSI | 30/9/2013 | 13,700,000 | Prime Brokerage Agreement |
| GSI | 8/10/2013 | 7,136,210 | Prime Brokerage Agreement |
6. Associates
The reasons the persons named in paragraph 3 above are associates of the substantial holder are as follows:
| Name and ACN (if applicable) | Nature of association |
|---|---|
| N/A | N/A |
7. Addresses
The addresses of persons named in this form are as follows:
| Name | Address |
|---|---|
| GSGI | Corporation Trust Center, 1209 Orange Street, Wilmington DE 19801,U.S.A. |
| GSI | Peterborough Court, 133 Fleet Street, London EC4A 2BB, United Kingdom |
| HSBC Custody Nominees Australia Limited | GPO Box 5302, Sydney NSW 2001 |
Signature
Print name Michael Corwin Capacity Authorised Person (signing under power of attorney in accordance with section 52 of the Corporations Act) Sign here Date 10 October 2013
ASX Form 603
Annexure A
Significant Subsidiaries of The Goldman Sachs Group, Inc.
The following are significant subsidiaries of The Goldman Sachs Group, Inc. as of December 31, 2012 and the states or jurisdictions in which they are organized. Indentation indicates the principal parent of each subsidiary. The Goldman Sachs Group, Inc. owns, directly or indirectly, at least 99% of the voting securities of substantially all of the subsidiaries included below. The names of particular subsidiaries have been omitted because, considered in the aggregate as a single subsidiary, they would not constitute, as of the end of the year covered by this report, a “significant subsidiary” as that term is defined in Rule 1-02(w) of Regulation S-X under the Securities Exchange Act of 1934.
==> picture [503 x 462] intentionally omitted <==
ASX Form 603
==> picture [503 x 412] intentionally omitted <==
THE GOLDMAN SACHS GROUP, INC AND ITS SUBSIDIARIES
Signature
print name Michael Corwin capacity Authorised Person (signing under power of attorney in accordance with section 52 of the Corporations Act) sign here date 10 October 2013
ASX Form 603
Annexure B
This is Annexure B referred to in the Form 603: Notice of Initial Substantial Holder issued by The Goldman Sachs Group, Inc. and its subsidiaries.
The following is description of the Prime Brokerage Agreement referenced in the accompanying Form 603:
| Type ofagreement | PrimeBrokerageAgreement (“PBA”) |
|---|---|
| Parties to agreement | Goldman Sachs International (“GSI”); Pacific Alliance InvestmentManagement Limited; Pacific Alliance Asia Opportunity FundL.P.(together,the “Lender”) |
| Transfer date | 8 October 2013 |
| Holder of voting rights | The current registered legal owner of the referenced voting shares isGSI. |
| Are there any restrictions onvoting rights? Yes/noIfyes, detail | Not to our knowledge |
| Scheduled return date (if any) | N/A |
| Does the borrower have theright to return early? Yes/noIfyes, detail | No |
| Does the lender have the rightto recall early? Yes/noIfyes, detail | Yes, Clause 4.6 of the PBA allow the Lender to call for the redeliveryof the Equivalent Collateral (as defined in the PBA) upon request. |
| Will the securities be returnedon settlement? Yes/noIfyes,detail anyexceptions | Yes, the PBA allows the Lender to return Equivalent Collateral (asthat term is defined in the PBA) rather than the relevant securities. |
A copy of the agreements will be provided to South East Asia Resources Limited or the Australian Securities and Investments Commission upon request.
Signature
| print namesign here | Michael Corwin(signing under power of attorneyin accordance with section 52 ofthe Corporations Act)capacityAuthorised Person |
|---|---|
| date10 October 2013 |