Griffin Mining Limited — Major Shareholding Notification 2021

Jan 25, 2021

National Storage Mechanism | Additional information

RNS Number : 8148M

Griffin Mining Ld

25 January 2021

TR-1: Standard form for notification of major holdings

NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer and to the FCA in Microsoft Word format if possible)i
1a. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attachedii:			Griffin Mining Limited
1b. Please indicate if the issuer is a non-UK issuer  (please mark with an "X" if appropriate)
Non-UK issuer						X
2. Reason for the notification (please mark the appropriate box or boxes with an "X")
An acquisition or disposal of voting rights
An acquisition or disposal of financial instruments
An event changing the breakdown of voting rights
Other (please specify)iii:  -- Initial Notification						X
3. Details of person subject to the notification obligationiv
Name			Andrew Goffe and Controlled Undertakings
City and country of registered office (if applicable)			NY, NY
4. Full name of shareholder(s) (if different from 3.)v
Name			Overbrook Select Master Fund, L.P Overbrook Opportunity Fund I LP Overbrook Opportunity Fund II LP Levin-Goffe Family Foundation Article Seventh UWO MAE GOFFE Andrew Jason Goffe IRA Justin George Levin-Goffe 2015 Trust Zachary Ethan-Levin Goffe 2015 Trust Andrew J Goffe Andrew J Goffe SEP IRA Andrew Goffe GSt Exempt 2012 Trust
City and country of registered office (if applicable)
5. Date on which the threshold was crossed or reachedvi:			1/25/21
6. Date on which issuer notified (DD/MM/YYYY):			1/25/21
7. Total positions of person(s) subject to the notification obligation
	% of voting rights attached to shares (total of 8. A)	% of voting rights through financial instruments (total of 8.B 1 + 8.B 2)		Total of both in % (8.A + 8.B)	Total number of voting rights held in issuervii
Resulting situation on the date on which threshold was crossed or reached	15.227%	0		15.227%	174,117,894
Position of previous notification (if applicable)

8. Notified details of the resulting situation on the date on which the threshold was crossed or reachedviii

A: Voting rights attached to shares

Class/type of

shares

BMG319201049 ISIN

Number of voting rightsix

% of voting rights

Direct

(DTR5.1)

Indirect

(DTR5.2.1)

Direct

(DTR5.1)

Indirect

(DTR5.2.1)

Overbrook Select Master Fund, L.P

Overbrook Opportunity Fund I LP

Overbrook Opportunity Fund II LP

Levin-Goffe Family Foundation

Article Seventh UWO MAE GOFFE

Andrew Jason Goffe IRA

Justin George Levin-Goffe 2015 Trust

Zachary Ethan-Levin Goffe 2015 Trust

Andrew J Goffe

Andrew J Goffe SEP IRA

Andrew Goffe GSt Exempt 2012 Trust

6,863,925
625,799
2,166,445
399,000
30,000
1,285,000
83,000
83,000
13,617,489
380,000
980,000

3.942%
0.359%
1.244%
0.229%
0.017%
0.738%
0.048%
0.048%
7.821%
0.218%
0.563%

SUBTOTAL 8. A

Direct 26,513,658

Direct 15.227%

B 1: Financial Instruments according to DTR5.3.1R (1) (a)

Type of financial instrument

Expiration

datex

Exercise/

Conversion Periodxi

Number of voting rights that may be acquired if the instrument is

exercised/converted.

% of voting rights

SUBTOTAL 8. B 1

B 2: Financial Instruments with similar economic effect according to DTR5.3.1R (1) (b)

Type of financial instrument

Expiration

datex

Exercise/

Conversion Period xi

Physical or cash

settlementxii

Number of voting rights

% of voting rights

SUBTOTAL 8.B.2

9. Information in relation to the person subject to the notification obligation (please mark the

applicable box with an "X")

Person subject to the notification obligation is not controlled by any natural person or legal entity and does not control any other undertaking(s) holding directly or indirectly an interest in the (underlying) issuerxiii

Full chain of controlled undertakings through which the voting rights and/or the

financial instruments are effectively held starting with the ultimate controlling natural person or legal entityxiv (please add additional rows as necessary)

x

Name

% of voting rights if it equals or is higher than the notifiable threshold

% of voting rights through financial instruments if it equals or is higher than the notifiable threshold

Total of both if it equals or is higher than the notifiable threshold

OVERBROOK SELECT MASTER FUND, L.P.
OVERBROOK OPPORTUNITY FUND I LP
OVERBROOK OPPORTUNITY FUND II LP
LEVIN-GOFFE FAMILY FOUNDATION
ARTICLE SEVENTH TRUST UWO MAE GOFFE
ANDREW JASON GOFFE IRA
JUSTIN GEORGE LEVIN-GOFFE 2015 TRUST
ZACHARY ETHAN-LEVIN GOFFE 2015 TRUST
ANDREW J. GOFFE
ANDREW J. GOFFE SEP IRA
ANDREW GOFFE GST EXEMPT 2012 TRUST

3.942%
0.359%
1.244%
0.229%
0.017%
0.738%
0.048%
0.048%
7.821%
0.218%
0.563%

10. In case of proxy voting, please identify:

Name of the proxy holder

The number and % of voting rights held

The date until which the voting rights will be held

11. Additional informationxvi

Place of completion	New York, NY
Date of completion	1/25/21

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