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FOCUS MINERALS LTD Major Shareholding Notification 2020

Jun 24, 2020

64932_rns_2020-06-24_aff27a27-7600-4dc5-b518-01e4656eff3b.pdf

Major Shareholding Notification

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$\frac{1}{2}$

Form 604: Notice of change of interests of substantial holder
in Focus Minerals Limited (ACN 005 470 799)

From Rebecca Maslen-Stannage 25 June 2020
Phone +61 2 9225 5500
Fax +61 2 9322 4000
[email protected]
Pages 8 including cover sheet
To ASX Limited ASX Market Announcements Office
Phone 1800 021 965
$\mathbf{r}$ Fax 1300 135 638

Please see attached.

Herbert Smith Freehills LLP and its subsidiaries and Herbert Smith Freehills, an Australian Partnership ABN 98 773 882 646,
are separate member firms of the International legal practice known as Herbert Smith Freehills,

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Form 604 Corporations Act 2001 Notice of change of interests of substantial holder To Company Name/Scheme Focus Minorals Ltd ACN/ARSN ACN 005 470 799 1. Details of substantial holder (1) Neil S, Subin, Estate of Lloyd I. Miller, III and each of the entities listed as holders of relevant interest in Annexure B Name ACN/ARSN (If applicable) NA There was a change in the interests of the 23/06/2020 substantial holder on The previous notice was given to the company on 23/09/2019 The previous notice was dated 23/09/2019

2. Previous and present voting power

The total number of votes attached to all the voting shards 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:

Provious notico Present notice
Class of securities (4)
.		 Person's votes Voting power (5) Parson's votes Voting power (5)
Croinary shares 23 708 290 112.97% (based on
182,748,565 ordinary shares 21,726,846
lon issue)		 l11.89% (based on
182,748,565
lordinary shares on
lissue)

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
rolovant
interest
changed		 Nature of
change (6)
.		 Consideration
given in relation
to change (7)		 Class and
number of
securities
affoctod		 Person's votes
affected
____
Sea Annexure A

4. Prosont 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
---
See Annexure B

j

5. Changes In association

The persons who have become associates (2) of, coased 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
soplicable)		 Naturo of association
$\sim$ $ -$
----
IN/A lN/A

6. Addresses

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

Name Address
Milfam II L.P. 2336 S.E. Ocean Boulevard, Suite 400
IStuart, FL 34996
MBM Trust A-4 2336 S.E. Ocean Boulevard, Suite 400
Stuart, FL 34996
Lloyd I. Miller, III Trust A-4 2336 S.E. Ocean Boulevard, Suite 400
Stuart, FL 34996
Lloyd I. Miller, III Revocable Trust 2336 S.E. Ocean Boulevard, Suite 400
Stuart, FL 34996
LIMPAM LLC [2336 S.E. Ocean Boulevard, Suite 400
Stuart, FL 34996

Signature

DIRECTIONS

  • 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 ann $(1)$ 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.
  • See the definition of "associate" in section 9 of the Corporations Act 2001. $(2)$
  • $(3)$ See the definition of "relevant interest" in soctions 608 and 671B(7) of the Corporations Act 2001.
  • $(4)$ 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 10\$0. $(5)$
  • $(6)$ include details of:
  • any relevant agreement or other circumstances because of which the change in relevant interest occurred. If subsection 671B(4) applies, a copy $\left( n\right)$ 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,
    schome or arrangement, must accompany this form, together with a written stat
  • 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 $(b)$

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 has, or may,
    become entitled to receive in relation to that acquisition. Details m $(7)$ 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 "unknown". $(8)$

86532913

M----00----4-------m

Annexure A

This is Annexure A of 2 pages referred to in Form 604

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Date of change Person whose relevant interest changed Nature of
chango
(6)		 Consideration given in Class and number of
relation to change (7)		 securities affected Person's votes
affected
20/09/2010 Milfam II L.P. Sell 50.3 per share 28,834 ordinary shares 28,834
20/09/2019 MBM Trust A-4 Sell 50.3 per share 28,834 ordinary shares 28,834
23/09/2019 Milfam II L.P. Sel 50.3 per share 60,541 ordinary shares 60,541
23/09/2019 MBM Trust A-4 Sell 50.3 per share 60,540 ordinary shares 60,540
10/10/2019 Miliam II L.P. Soll 50.28 per sharo 35,000 ordinary shares 35,000
10/10/2019 MBM Trust A-4 Sell 50.28 per share 35,000 ordinary shares 35,000
21/10/2019 Milfam II L.P. Sell \$0,3022 per share 80,538 ordinary shares 80,538
21/10/2019 MBM Trust A-4 Sell \$0.3022 por sharo 80,539 ordinary shares 80,539
22/10/2019 Milfam II L.P. Sell \$0.2987 per share 79,462 ordinary shares 79,462
22/10/2019 MBM Trust A-4 Sell S0 2987 per share 79,463 ordinary shares 79,463
23/10/2019 Milfam II L.P. Sell 50.2919 per share 27.915 ordinary sharos 27,915
23/10/2019 MBM Trust A -4 Sell S0.2919 per share 27.914 ordinary shares 27,914
24/10/2019 MBM Trust A-4 Sell 50.29 per share 4,720 ordinary shares 4,720
25/10/2019 Milfam II L.P. Seil (\$0.19713 per share 69,034 ordinary shares 69,034
25/10/2019 MBM Trust A-4 Seil (\$0.19713 per share 64,313 ordinary shares 64,313
29/10/2019 Milfam II L.P. Sell (50.29 per share 8,445 ordinary shares 8,445
29/10/2019 MBM Trust A-4 Sell 50,29 per share 8,445 ordinary shares 8,445
30/10/2019 Milfam II L.P. Sell (\$0.19835 per share 11,755 ordinary shares 11,755
30/10/2019 MBM Trust A-4 Sell \$0,19835 par share 11,756 ordinary shares 11,756
31/10/2019 Milfam II L.P. Sell \$0.1966 per share 10,087 ordinary shares 10,087
31/10/2019 MBM Trust A-4 Sell \$0.1966 per share 10,087 ordinary shares 10,087
31/10/2019 Milfam II L.P. Sell (50.285 per share 10,607 ordinary shares 10,607
31/10/2019 MBM Trust A-4 Sell \$0.285 per share 10,607 ordinary shares 10,607
05/11/2019 Milfam II L.P. Sell (30.19264 per share 10,167 ordinary shares 10,167
05/11/2019 MBM Trust A-4 Sell \$0,19254 per share 10,166 ordinary shares 10,166
06/11/2019 Milfam II L.P. Sell 50.19241 per share 9,000 ordinary shares 9,000
06/11/2019 MBM Trust A–4 Sell 30,19241 per ahare 9,000 ordinary shares 9,000

$\frac{1}{2}$

Seil
11,588
MBM Trust A-4
\$0,19215 per share
11,888 ordinary shares
07/11/2019
MBM Trust A-4
Sell
1,285 ordinary shares
1,285
15/04/2020
\$0.28 per sharo
Milfam II L.P.
Sep
1,807 ordinary shares
1,807
22/04/2020
\$0,2695 per share
Sell
22/04/2020
MBM Trust A-4
25,744 ordinary shares
25,744
\$0.2695 per share
21,565 ordinary shares
23/04/2020
Milfam II L.P.
Sell
S0.27 per share
21,565
Sell
36,962
MBM Trust A-4
\$0,27 per share
36,962 ordinary shares
23/04/2020
MBM Trust A-4
10,658 ordinary shares
10,658
Səll
(\$0,2721 per share
Milfam II L.P.
Sell
6.218 ordinary shares
6,218
\$0,2721 per share
Səll
1,941
Lloyd I. Miller, III Revocable Trust
\$0.2721 per share
1,941 ordinary shares
LIMFAM LLC
Sell
\$0.2721 per share
326 ordinary shares
326
Lloyd I Miller, III Trust A-4
Soll
\$0.2721 per share
12,539 ordinary shares
12.539
Sell
28.782
28/04/2020
Lloyd I Miller, III Trust A-4
\$0.2464 per share
28,782 ordinary shares
Lloyd I, Miller, III Revocable Trust
Sall
\$0,2464 per share
4.454
4,454 ordinary shares
28/04/2020
747
LIMFAM LLC
Sell
\$0.2464 per share
747 ordinary shares
Miliam II L.P.
14.272
iSell
\$0,2464 per share
14,272 ordinary shares
28/04/2020
MBM Trust A-4
Soll
\$0.2464 por sharo
24,462 ordinary shares
24.462
Sell
Lloyd I Miller, Ill Trust A-4
33,095 ordinary shares
20/05/2020
\$0,2818 per share
33,098
MBM Trust A-4
Sell
\$0.2818 per share
28,130 ordinary shares
28.130
Sell
20/05/2020
Milfam I I L. P.
\$0.2818 per share
16,411 ordinary shares
16,411
Lloyd I, Miller, III Revocable Trust
\$0,2818 per share
5,122
20/05/2020
Sell
5.122 ordinary sharos
LIMFAM LLC
Sell
50.2818 per share
B59
859 ordinary shares
48,351
Lloyd I Miller, Ill Trust A-4
Sell
\$0,2701 per share
48,351 ordinary shares
MBM Trust A-4
21/05/2020
Soll
\$0.2701 per share
41,096 ordinary shares.
41,096
Sell
23.977
Milfam II L.P.
\$0,2701 per share
23,977 ordinary shares
Lloyd I. Miller, III Revocable Trust
Soll
\$0.2701 per share
7,483 ordinary shares
7,483
Sell
LIMFAM LLC
\$0,2701 per share
1,256 ordinary shares
1,256
21/05/2020
Sell
36.517
Lloyd I Miller, Ill Trust A-4
\$0,2554 per share
36,517 ordinary shares
22/05/2020
Sell
80.2554 per share
31,037 ordinary shares
31.037
MBM Trust A-4
Sell
18,108
Milfam II L.P.
\$0,2554 per share
18,108 ordinary shares
Sell
\$0.2554 por share
5,651 ordinary shares
5,651
22/05/2020
Lloyd I. Millor, III Revocable Trust
Sall
948 ordinary shares
948
LIMFAM LLC
50,2554 per share
22/05/2020
Sall
26/05/2020
Lloyd I Miller, III Trust A-4
(\$0.253 per share
50,352 ordinary shares
50,352
7,793
Lloyd 1. Miller, III Revocable Trust
Sell
\$0,253 per share
7.793 ordinary shares
LIMFAM LLC
1,300
Sell
\$0.253 per share
1,308 ordinary shares		 07/11/2019 Milfam II L.P. Sell \$0.19215 per sharo 11,887 ordinary shares 11.867
24/04/2020
24/04/2020
24/04/2020
24/04/2020
24/04/2020
28/04/2020
28/04/2020
20/05/2020
20/05/2020
21/05/2020
21/05/2020
21/05/2020
22/05/2020
22/05/2020
26/05/2020
26/05/2020

$\mathcal{L}^{\mathcal{L}}$

26/05/2020 Milfam II L.P. Sell \$0.253 por share 24,969 ordinary shares 24,969
25/05/2020 MBM Trust A-4 Sell 50.253 per share 42,798 ordinary shares 42,798
27/05/2020 Lloyd I Miller, III Trust A-4 Sell 50.25 per share 16,623 ordinary shares 15,623
27/05/2020 Lloyd I. Miller, III Revocable Trust Self \$0.25 per share 2,573 ordinary shares 2,573
27/05/2020 LIMFAM LLC Sell \$0.25 por share 432 ordinary shares 432
27/05/2020 Milfam II L.P. Sell \$0,25 per share 8,243 ordinary shares 13, 243
27/05/2020 MBM Trust A-4 Sell \$0.25 per share 14,129 ordinary shares 14,129
28/05/2020 Lloyd I Miller, III Trust A-4 Sell \$0,25 par share 4,203 ordinary shares 4,203
28/05/2020 Lloyd I. Miller, III Revocable Trust Sell \$0.25 per share 651 ordinary shares 651
28/05/2020 LIMFAM LLC Sell SD 25 per share 109 ordinary shares 109
28/05/2020 Milfam II L.P. Seil \$0.25 per share 2,085 ordinary shares 2,085
28/05/2020 MBM Trust A-4 Sell 30.25 per share 3,573 ordinary shares 3,573
29/05/2020 Lloyd I Miller, III Trust A-4 Sell 30.25 per share 3,326 ordinary shares 3,326
29/05/2020 Lloyd I. Miller, III Revocable Trust Sell \$0.25 per share 515 ordinary shares 515
29/05/2020 LIMFAM LLC Sell \$0.25 per share 86 ordinary shares 6G
29/05/2020 Milfam II L.P. Sell \$0,25 per share 1,649 ordinary shares 1.649
29/05/2020 MBM Trust A-4 Sell 50.25 por sharo 2,826 ordinary shares 2,826
05/06/2020 Lloyd I Miller, III Trust A-4 Sell \$0,246 per share 56,202 ordinary shares 56,202
05/06/2020 Lloyd I. Miller, Ill Revocable Trust Sell \$0.246 por sharo 8,898 ordinary shares 8,696
05/08/2020 LIMFAM LLC Sell 50.246 per share 1,459 ordinary shares 1459
05/06/2020 Milfam II L.P. Sell \$0.246 per share 27,870 ordinary shares 27,870
05/06/2020 MBM Trust A-4 Sell 50.246 per share 47,769 ordinary shares 47,769
18/06/2020 Lioyd I Miller, III Trust A-4 Sell 50.2602 per share 23,966 ordinary shares 23,966
18/06/2020 Lloyd I. Miller, III Revocablo Trust Sell \$0.2602 per share 13,709 ordinary shares 3.7CJ
8/06/2020 LIMFAM LLC Sell 50.2602 per share 622 ordinary shares 622
18/06/2020 Milfam II L.P. Sell \$0,2602 per share 11,884 ordinary shares 11,884
18/06/2020 MBM Trust A-4 Sell 30.2602 per share 20,369 ordinary shares 20,369
23/06/2020 Lloyd I Miller, III Trust A-4 Sell \$0,2435 per share 76,904 ordinary shares 76,904
23/06/2020 Lloyd I. Miller, III Revocable Trust Sell \$0.2435 por sharo 11,902 ordinary shares 11,902
23/06/2020 LIMFAM LLC Sell (\$0.2435 per share 1,997 ordinary shares 1,957
23/06/2020 Milfam II L.P. Sell \$0.2435 per share 38,136 ordinary shares 38,136
23/06/2020 MBM Trust A-4 Sell \$0,2435 per share 65,366 ordinary shares 65,366

$\hat{\boldsymbol{\beta}}$

Annexure B

This is Annexure B of 1 page referred to in Form 604

$\frac{1}{\ell}$

Holder of
relevant
interest		 Registered
holder of
securities		 Person entitled
to be registered
as holder (8)		 Nature of
rolevant
interest (6)		 Class and
number of
securities		 Person's votes
Lloyd I Millor, III Trust A-
14		 lAustralia Ltd JPMorgan Nominees JPMorgan Nominees
lAustralia Ltd		 Relevant interest under
section 608(1)(b) or 608(1)(c) 8,599,319 ordinary
lof the Corporations Act 2001 Ishares
(Corporations Act)		 8.599.319
ILIMFAM LLC lAustralia Ltd JPMorgan Nominees IJPMorgan Nominees
Australia Ltd		 Relevant Interest under
Corporations Act section
(608(1)(b) or 608(1)(c)		 223,313 ordinary
Ishares		 223.313
Miller.
Llovd
Revocable Trust		 IIIIJPMorgan Nominees JJPMorgan Nominoes
Australia Ltd		 Australia Ltd Relevant interest under i
Corporations Act section
608(1)(b) or 608(1)(c)		 1,330,682 ordinary
Ishares		 1,330,862
Miltam II L.P. Australia
lLtd		 JPMorgan Nominees JPMorgan Nominoos
Australia
Ltd		 lRelevant interest under
Corporations Act section
608(1)(b) or 608(1)(c)		 4.264.271 ordinary
lshares		 14,264,271
MBM Trust A-4 HSBC Custody
Nominees (Australia)
lLtd		 HSBC Custody
Nominees (Australia)
Ltd		 lRelevant interest under
Corporations Act section
608(1)(b) or 608(1)(c)		 7.309,061 ordinary
lshares		 17.309.061

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