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EVOLUTION MINING LIMITED Major Shareholding Notification 2016
64885_rns_2016-06-21_7816211a-466e-4aec-a036-e766c3331e40.pdf
Major Shareholding Notification
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Form 604 Corporations Act 2001
Section 671B
Notice of change of interests of substantial holder
| To Company Name/Scheme | Evolution Mining Limited | |||
|---|---|---|---|---|
| ACN/ARSN | 084 669 036 | |||
| Details of substantial holder (1) 1. Name |
Van Eck Associates Corporation (and its associates referred to in paragraph 6). | |||
| ACN/ARSN (if applicable) | N/A | |||
| There was a change in the interests of the | ||||
| substantial holder on | 17/06/2016 | |||
| The previous notice was given to the company on | 23/03/2016 | |||
| The previous notice was dated | 22/03/2016 | |||
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:
| Previous notice | Present notice | |||
|---|---|---|---|---|
| Class of securities (4) | Person's votes | Voting power (5) | Person's votes | Voting power (5) |
| Ordinary shares | 105.528.823 | 7.20% | 88.195.142 | 6.01% |
3. Changes in relevant interests
Particulars of each change in, or change in the nature of, a relevant interest of 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 |
|---|---|---|---|---|---|
| Van Eck Associates Corporation (VEAC) See Annexure A |
|||||
4. Present relevant interests
Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows:
| Holder of | Registered | Person entitled | Nature of | Class and | Person's votes |
|---|---|---|---|---|---|
| relevant | holder of | to be registered | relevant | number of | |
| interest | securities | as holder (8) | interest (6) | securities | |
| VEAC | Bank of New York Mellon as custodian. lfor VanEck Vectors IGold Miners ETF |
Miners ETF ( GDX ) | VanEck Vectors Gold VEAC holds its relevant linterest by having the power to exercise, control the exercise of, or linfluence the exercise of, the voting powers or disposal of the securities to which the relevant interest relates in the ordinary course of investment management lbusiness. |
Ordinary shares 66,969,468 |
4.56% |
| VEAC | State Street Bank as custodian for VanEck International Investors (IIG) Gold Fund |
VanEck International Investors Gold Fund |
Same as above. | Ordinary shares 14,680,587 |
1.00% |
|---|---|---|---|---|---|
| VEAC | JPMorgan as custodian for Jackson Eck International National |
Jackson National/Van Same as above. Fund (JLGOLD) |
Ordinary shares 1,342,062 |
0.09% | |
| VEAC | Northern Trust as custodian for Lockheed Martin Corporation Master Retirement Trust |
Lockheed Martin Junior Gold (LM) |
Same as above. | Ordinary shares 756,144 |
0.05% |
| VEAC | Credit Agricole as custodian for LODH llnvest - The World Gold Expertise Fund |
LODH Invest - The World Gold Expertise Fund (LODH) |
Same as above. | Ordinary shares 2,280,695 |
0.16% |
| VEAC | Bank of New York Mellon as custodian for VanEck Vectors Australian Emerging Resources ETF |
VanEck Vectors Australian Emerging Resources ETF (MVE.AU) |
Same as above. | Ordinary shares 22,427 |
0.002% |
| VEAC | Bank of New York Mellon as custodian for VanEck Vectors Australian Resources ETF |
VanEck Vectors Australian Resources ETF (MVR.AU) |
Same as above. | Ordinary shares 39,390 |
0.003% |
| VEAC | Bank of New York Mellon as custodian for VanEck Vectors Australian Equal Weight ETF |
VanEck Vectors Australian Equal Weight ETF (MVW.AU) |
Same as above. | Ordinary shares 727,834 |
0.05% |
| VEAC | Bank of New York Mellon as custodian for VanEck Vectors Gold Miners UCITS ETF |
VanEck Vectors Gold Same as above. Miners UCITS ETF (UCTGDX) |
Ordinary shares 1,010,943 |
0.07% | |
| VEAC | State Street Bank as custodian for Van Eck WIP Global Gold VIP Trust - VIP Global ((VGOLD) Gold |
Van Eck VIP Trust – | Same as above. | Ordinary shares 365,592 |
0.02% |
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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/ARSN (if applicable) | Nature of association |
|---|---|
6. Addresses
The addresses of persons named in this form are as follows:
| Name | Address |
|---|---|
| VEAC | 666 Third Avenue, New York, NY 10017 |
| Van Eck Securities Corporation | 666 Third Avenue, New York, NY 10017 |
| Van Eck Absolute Return Advisers, Inc. | 666 Third Avenue, New York, NY 10017 |
| VanEck Australia Pty Ltd | Gold Fields House, Level 3, 1 Alfred Street, Sydney NSW 2000 |
| VanEck Investments Limited | Gold Fields House, Level 3, 1 Alfred Street, Sydney NSW 2000 |
Signature
| print name Andrew Tilzer | capacity | Assistant Vice President | ||||
|---|---|---|---|---|---|---|
| sign here | date | 21/06/2016 | ||||
| DIRECTIONS | ||||||
| (1) | is clearly set out in paragraph 6 of the form. | If there are a number of substantial holders 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 |
||||
| (2) | See the definition of "associate" in section 9 of the Corporations Act 2001. | |||||
| (3) | See the definition of "relevant interest" in sections 608 and 671B(7) of the Corporations Act 2001. | |||||
| (4) | The voting shares of a company constitute one class unless divided into separate classes. | |||||
| (5) | The person's votes divided by the total votes in the body corporate or scheme multiplied by 100. | |||||
| (6) | Include details of: | |||||
| (a) | any relevant agreement or other circumstances because of 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 |
|||||
| (b) | any qualification of the power of a person to exercise, control the exercise of, or influence the exercise of, the voting powers 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. | ||||||
| (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 on 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. |
|||||
| (8) | If the substantial holder is unable to determine the identity of the person (eg. if the relevant interest arises because of an option) write "unknown". | |||||
| (9) | Give details, if appropriate, of the present association and any change in that association since the last substantial holding notice. |
604 GUIDE page 1/1 13 March 2000
GUIDE
This guide does not form part of the prescribed form and is included by ASIC to assist you in completing and lodging form 604.
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| Signature | This form must be signed by either a director or a secretary of the substantial holder. | |||
|---|---|---|---|---|
| Lodging period | Nil | |||
| Lodging Fee | NII | |||
| Other forms to be completed |
Nil | |||
| Additional information | (a) | If additional space is required to complete a question, the information may be included on a separate piece of paper annexed to the form. |
||
| (b) | This notice must be given to a listed company, or the responsible entity for a listed managed investment scheme. A copy of this notice must also be given to each relevant securities exchange. |
|||
| (c) | The person must give a copy of this notice: | |||
| (i) | within 2 business days after they become aware of the information; or | |||
| (ii) | by 9.30 am on the next trading day of the relevant securities exchange after they become aware of the information if: |
|||
| (A) | a takeover bid is made for voting shares in the company or voting interests in the scheme; and | |||
| (B) | the person becomes aware of the information during the bid period. | |||
| Annexures | To make any annexure conform to the regulations, you must | |||
| 1 | use A4 size paper of white or light pastel colour with a margin of at least 10mm on all sides | |||
| 2 | show the corporation name and A.C.N or ARBN | |||
| З | number the pages consecutively | |||
| 4 | print or type in BLOCK letters in dark blue or black ink so that the document is clearly legible when photocopied | |||
| 5 6 |
identify the annexure with a mark such as A, B, C, etc. | |||
| endorse the annexure with the words: This is annexure (mark) of (number) pages referred to in form (form number and title) |
||||
| 7 | sign and date the annexure. | |||
| The annexure must be signed by the same person(s) who signed the form. |
Information in this guide is intended as a guide only. Please consult your accountant or solicitor for further advice.
| Holder of relevant | Consideration | Consideration | |||
|---|---|---|---|---|---|
| interest | Date of Acquisition | B/S | Cash | Non-Cash | Number of Securities |
| GDX | 02/17/2016 S | In-Kind | 1,055,180 | ||
| GDX | 02/18/2016 S | In-Kind | 30,148 | ||
| GDX | 02/19/2016 B | In-Kind | 361,776 | ||
| GDX | 02/22/2016 S | In-Kind | 15,074 | ||
| GDX | 02/23/2016 B | In-Kind | 1,160,621 | ||
| GDX | 02/24/2016 S | In-Kind | 60,292 | ||
| GDX | 02/25/2016 B | In-Kind | 723,504 | ||
| GDX | 02/26/2016 S | In-Kind | 301,520 | ||
| GDX | 03/01/2016 S | In-Kind | 1,311,960 | ||
| GDX | 03/02/2016 S | In-Kind | 226,200 | ||
| GDX | 03/04/2016 S | In-Kind | 1,507,900 | ||
| GDX | 03/08/2016 B | In-Kind | 30,156 | ||
| GDX | 03/09/2016 S | In-Kind | 829,400 | ||
| GDX | 03/10/2016 S | In-Kind | 1,116,068 | ||
| GDX | 03/11/2016 S | In-Kind | 2,247,069 | ||
| GDX | 03/14/2016 S | In-Kind | 769,131 | ||
| GDX | 03/17/2016 B | In-Kind | 5,734,200 | ||
| GDX | 03/18/2016 S | In-Kind | 845,320 | ||
| GDX | 03/18/2016 S | 22,515,331.55 | 13,056,283 | ||
| GDX | 03/24/2016 S | In-Kind | 651,800 | ||
| GDX | 03/28/2016 S | In-Kind | 782,100 | ||
| GDX | 03/29/2016 B | In-Kind | 521,400 | ||
| GDX | 04/05/2016 S | In-Kind | 1,681,773 | ||
| GDX | 04/06/2016 S | In-Kind | 26,070 | ||
| GDX | 04/07/2016 S | In-Kind | 443,190 | ||
| GDX | 04/08/2016 S | In-Kind | 391,050 | ||
| GDX | 04/11/2016 S | In-Kind | 1,564,080 | ||
| GDX | 04/14/2016 S | In-Kind | 781,920 | ||
| GDX | 04/15/2016 S | In-Kind | 156,396 | ||
| GDX GDX |
04/19/2016 B 04/26/2016 B |
339,682.41 | In-Kind | 192,320 977,400 |
|
| GDX | 04/27/2016 S | In-Kind | 2,606,200 | ||
| GDX | 04/29/2016 B | In-Kind | 1,602,813 | ||
| GDX GDX |
05/03/2016 B 05/04/2016B |
In-Kind In-Kind |
573,320 52,120 |
||
| GDX | 05/05/2016 B | In-Kind | 1,107,550 | ||
| GDX | 05/06/2016 B | In-Kind | 690,590 | ||
| GDX | 05/09/2016 B | In-Kind | 1,589,660 | ||
| GDX | 05/11/2016 B | In-Kind | 1,302,900 | ||
| GDX | 05/12/2016 B | In-Kind | 65,145 | ||
| GDX | 05/18/2016 B | In-Kind | 65,150 | ||
| GDX | 05/23/2016 B | In-Kind | 65,145 | ||
| GDX | 05/26/2016B | In-Kind | 1.042.320 |
This is Annexure A of 2 pages referred to in Form 604 - Notice of change of interests of substantial holder.
Page $1$ of $3$
$\tilde{\boldsymbol{\gamma}}$
| Holder of relevant | Consideration | Consideration | |||
|---|---|---|---|---|---|
| interest | Date of Acquisition | B/S | Cash | Non-Cash | Number of Securities |
| GDX | 06/06/2016 B | In-Kind | 1,433,190 | ||
| GDX | 06/07/2016 B | In-Kind | 104,224 | ||
| GDX | 06/08/2016 B | In-Kind | 612,363 | ||
| GDX | 06/09/2016B | In-Kind | 78,168 | ||
| GDX | 06/10/2016B | In-Kind | 1,537,304 | ||
| GDX | 06/13/2016B | In-Kind | 208,448 | ||
| GDX | 06/14/2016B | In-Kind | 1,602,444 | ||
| GDX | 06/14/2016 S | 17,677,077.41 | 7,524,228 | ||
| GDX | 06/15/2016 B | In-Kind | 1,459,360 | ||
| GDX | 06/16/2016 S | In-Kind | 65,150 | ||
| GDX | 06/17/2016 S | 35,280,835.95 | 14,970,440 | ||
| GDXJ | 02/17/2016S | In-Kind | 459,660 | ||
| GDXJ | 03/02/2016 S | In-Kind | 782,238 | ||
| GDXJ | 03/04/2016 S | In-Kind | 184,112 | ||
| GDXJ | 03/04/2016 S | 605,179.95 | 328,205 | ||
| GDXJ | 03/09/2016 S | 356,285.07 | 212,223 | ||
| GDXJ | 03/14/2016 S | In-Kind | 774,333 | ||
| GDXJ | 03/17/2016S | In-Kind | 227,710 | ||
| GDXJ | 03/18/2016 S | 100,779,052. 28 |
58,422,639 | ||
| IIG | 05/10/2016 S | 433,485.40 | 213,000 | ||
| IIG | 06/03/2016 S | 939,315.71 | 468,000 | ||
| LM | 03/17/2016B | 40,863.58 | 25,000 | ||
| LODH | 03/02/2016 B | 666,196.01 | 390,000 | ||
| LODH | 03/11/2016 B | 729,225.00 | 433,000 | ||
| LODH | 03/24/2016 S | 854,987.19 | 570,999 | ||
| LODH | 04/14/2016S | 165,837.03 | 98,000 | ||
| LODH | 04/22/2016 S | 246,836.59 | 135,000 | ||
| LODH | 04/29/2016B | 353,791.89 | 182,000 | ||
| LODH | 05/02/2016 S | 383,244.07 | 182,000 | ||
| LODH | 05/25/2016 S | 344,612.90 | 165,999 | ||
| LODH | 05/27/2016 S | 108,266.16 | 51,999 | ||
| LODH | 05/31/2016 S | 307,156.17 | 152,000 | ||
| JLGOLD | 02/17/2016 B | 258,025.49 | 139,000 | ||
| JLGOLD | 04/12/2016 B | 70,457.29 | 40,000 | ||
| JLGOLD | 05/04/2016 B | 204,314.42 | 101,000 | ||
| JLGOLD | 05/24/2016 B | 89,842.36 | 42,000 | ||
| VGOLD | 02/17/2016B | 55,688.96 | 30,000 | ||
| VGOLD VGOLD |
04/21/2016 B 05/09/2016 B |
59,732.18 | 33,000 | ||
| VGOLD | 05/24/2016 B | 112,947.27 27,808.35 |
52,200 13,000 |
||
| VGOLD | 05/31/2016 S | 113,162.80 | 56,000 | ||
| VGOLD | 06/10/2016 B | 54,566.57 | 23,000 |
This is Annexure A of 2 pages referred to in Form 604 - Notice of change of interests of substantial holder.
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Page 2 of 3
| Holder of relevant | Consideration | Consideration | |||
|---|---|---|---|---|---|
| interest | Date of Acquisition | B/S | Cash | Non-Cash | Number of Securities |
| MVRAU | 03/18/2016 B | 68,100.19 | 39,448 | ||
| MVRAU | 03/21/2016 S | 113.10 | 66 | ||
| MVRAU | 05/18/2016 B | 76.90 | 34 | ||
| MVRAU | 06/17/2016 S | 61.32 | 26 | ||
| MVEAU | 02/18/2016 B | 391.26 | 216 | ||
| MVEAU | 02/24/2016 B | 297.71 | 163 | ||
| MVEAU | 03/01/2016 B | 276.54 | 151 | ||
| MVEAU | 03/08/2016 B | 455.01 | 254 | ||
| MVEAU | 03/18/2016 S | 536.06 | 311 | ||
| MVEAU | 05/11/2016 S | 994.33 | 465 | ||
| MVEAU | 05/16/2016 S | In-Kind | 49,132 | ||
| MVEAU | 06/17/2016 S | 1,829.95 | 776 | ||
| MVWAU | 06/17/2016B | 1,718,444.03 | 727,834 | ||
| UCTGDX | 03/18/2016 S | 374,169.85 | 217,062 | ||
| UCTGDX | 04/11/2016 S | 87,185.98 | 50,578 | ||
| UCTGDX | 04/22/2016 B | 24,261.22 | 13,105 | ||
| UCTGDX | 04/26/2016 B | 77,066.01 | 40,557 | ||
| UCTGDX | 04/28/2016 S | 25,260.96 | 13,518 | ||
| UCTGDX | 06/17/2016 S | 803,044.28 | 340,273 | ||
| UCTGDXJ | 03/04/2016 S | 3,112.18 | 1,688 | ||
| UCTGDXJ | 03/09/2016 B | 119,953.59 | 71,351 | ||
| UCTGDXJ | 03/18/2016 S | 826,539.55 | 479,489 | ||
| MVSAU | 02/18/2016 S | 390.66 | 216 | ||
| MVSAU | 02/25/2016 B | In-Kind | 20,898 | ||
| MVSAU | 02/29/2016 B | 2,275.00 | 1,299 | ||
| MVSAU | 03/08/2016 B | 1,680.32 | 938 | ||
| MVSAU | 03/16/2016 S | 1,373.02 | 904 | ||
| MVSAU | 03/18/2016B | 84,538.29 | 48,970 | ||
| MVSAU | 04/05/2016 B | 2,165.46 | 1,396 | ||
| MVSAU | 04/21/2016B | 17, 163. 11 | 9,346 | ||
| MVSAU | 05/11/2016S | 1,573.83 | 736 | ||
| MVSAU | 05/23/2016 B | 1,154.35 | 539 | ||
| MVSAU | 06/01/2016 B | 449.42 | 218 | ||
| MVSAU | 06/17/2016 S | 1,080,778.52 | 457,957 |
This is Annexure A of 1 page referred to in Form 604 - Notice of change of interests of substantial holder.
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