HAWTHORN RESOURCES LIMITED — Director's Dealing 2020

Sep 24, 2020

Appendix 3Y Change of Director’s Interest Notice

Appendix 3Y

Change of Director’s Interest Notice

Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX’s property and may be made public.

Introduced 30/09/01 Amended 01/01/11

Name of entity	HAWTHORN RESOURCESLIMITED
ABN	44 009 157 439

We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.

Name of Director	LI, YI JIE
Date of last notice	16 October 2018 (Appendix 3X)

Part 1 - Change of director’s relevant interests in securities

In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust

Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part

“Refer Annexure “A”

	Direct or indirect interest	Direct or indirect interest	Direct or indirect interest	Direct or indirect interest	Direct or indirect interest	Direct or indirect interest	Refer Annexure “A”	Refer Annexure “A”	Refer Annexure “A”	Refer Annexure “A”	Refer Annexure “A”
	Nature of indirect interest(including registered holder)Note: Provide details of the circumstances giving rise to the relevantinterest.						Refer Annexure “A”
	Date	of change					Refer Annexure “A”
	No. o	f securities	held prio	r to cha	nge		Refer Anne	xure “A”
	Clas	s					Refer Anne	xure “A”
								“”
	Num	ber acquired					Refer Anne	xure A
	Num	ber disposed					Refer Anne	xure “A”
	Valu	e/Considerati	on				Refer Anne	xure “A”
	Note: Ifvaluatio	consideration is non	n-cash, prov	de details a	nd estimated
	No. o	f securities	held afte	r chang	e		Refer Anne	xure “A”
	Natu	re of chang	e				Refer Anne	xure “A”
	Example: on-market trade, off-market trade, exercise of options, issueof securities under dividend reinvestment plan, participation in buy-back

Appendix 3Y Change of Director’s Interest Notice

Part 2 – Change of director’s interests in contracts

Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part.

Detail of contract	Refer Annexure “A”
Nature of interest	Refer Annexure “A”
Name of registered holder	Refer Annexure “A”
(if issued securities)
Date of change	Refer Annexure“A”
No. and class of securities to which	Refer Annexure “A”
interest related prior to change
Note: Details are only required for a contract in relation to which the
interest has changed
Interest acquired	Refer Annexure “A”
Interest disposed	Not applicable
Value/Consideration	Refer Annexure “A”
Note: If consideration is non-cash, provide details and an estimated
valuation
Interest after change	Refer Annexure “A”

Part 3 –[+] Closed period

Part 3 –+Closed period
Were the interests in the securities or contracts	No
detailed above traded during a+closed period
whereprior written clearance was required?
If so, was prior written clearance provided to
allow the trade to proceed during this period?
If prior written clearance was provided, on what
date was this provided?

h\asx\3y mk 250920

Appendix 3Y Change of Director’s Interest Notice

Schedule of Director’s InterestDIRECTOR: Li, Yi Jie3601, No.713 Jinsui Road, TianheDistrictGuangzhou CityGuangzhou ProvinceChinaDirector’s interest in issued securities of Hawthorn Resources Limited held inname of:		ANNEXURE “A”[1 of 3 pages]25 September 2020PREVIOUSAPPENDIX 3X01 11 12ASX Code: HAWPRESENTAPPENDIX3Y 25 09 20ASX Code: HAWCHANGESnilnilnilnil120,788,101120,788,101nil2,458,057,100122,902,8550.%120,788,101Not applicable333,515,61336.216%120,788,101Not applicable210,612,75836.216%	ANNEXURE “A”[1 of 3 pages]25 September 2020PREVIOUSAPPENDIX 3X01 11 12ASX Code: HAWPRESENTAPPENDIX3Y 25 09 20ASX Code: HAWCHANGESnilnilnilnil120,788,101120,788,101nil2,458,057,100122,902,8550.%120,788,101Not applicable333,515,61336.216%120,788,101Not applicable210,612,75836.216%
Quoted Securities - Ordinary Fully Paid Shares
1DIRECT2INDIRECT(i)Lite Smooth Investment Limited (refer Comments below)See COMMENTS – Indirect3TOTAL DIRECTOR’S INTERESTHawthorn Resources Limited – Number of Shares on Issue Pre ConsolidationHawthorn Resources Limited – Number of Shares on Issue Post Consolidation4TOTAL DIRECTORS INTEREST IN SHARES AS A PERCENTAGE
			120,788,101
			Not applicable210,612,758
			36.216%

Appendix 3Y Change of Director’s Interest Notice

ANNEXURE “A”

[2 of 3 pages] 25 September 2020

COMMENTS:

Mr Li has an interest in the Hawthorn Resources Limited issued securities for the following reasons:

1 DIRECT

Mr Li has no direct entitlement to the above noted securities of Hawthorn Resources Limited

2 INDIRECT

Mr Li owns and controls Lite Smooth Investment Limited which, in turn, holds a 28.57 per cent voting interest in the issued capital of Feng Hua Mining Investment Holding (HK) Limited (“Feng Hua”) – refer to the Company’s 2012 market releases to the ASX in on August 24; 28 and 31 wherein the market was advised of the application to and approval of the Australian Foreign Investment Review Board (“FRIB”) for a substantial shareholding investment in to Hawthorn Resources Limited (“Hawthorn”) by a Consortium of Chinese Investors thorough the Hong Kong based Feng Hua.

Arising from the 2012 FIRB approvals Feng Hua subscribed A$15 million in new equity in to Hawthorn and was issued with 1,287,827,657 new fully paid shares being the equivalent of a 37.60 percentage interest in the issued, voting shares in Hawthorn. Following the 1:20 consolidation of shares by Hawthorn in 2013 the number of shares held by Feng Hua was consolidated to 64,391,383 shares still being 37.60 per cent of the consolidated number of Hawthorn shares on issue.

Currently, following its full participation in the 2017 Hawthorn NRRI of shares to members, and as declared, Feng Hua holds 120,798,101 ordinary fully paid voting shares in the issued capital of Hawthorn Resources Limited being the equivalent of a 36.22 percentage voting interest.

As declared to the Australian FIRB in 2012 Mr Li, through Lite Smooth Investment Limited, was the holder of a 28.57 per cent interest in Feng Hua Mining Investment Holding (HK) Limited. As such, Mr Li through the greater than 20 per cent interest declared and held in Feng Hua Mining Investment Holding (HK) Limited, is deemed to hold a relevant interest of 36.22 per cent in the issued, voting shares of Hawthorn.

On Tuesday 15 September 2020 Mr Li lodged directly with the ASX an amended Form 604 amending, as highlighted, the Form 604 as lodged by Feng Hua on 26 May 2016 together with a covering letter noting and declaring that the mark-ups as underlined in the amending Form 604 address certain technical and inadvertent disclosure omissions in Annexure B in relation to Mr Li as well as the companies which he controlled. The declaration added that none of those omissions alter the previously disclosed voting power of Feng Hua.

In addition to Lite Smooth Investment Limited, the amending Form 604 included the following related entities which Mr Li has declared he controls:

Guangdong Jia Run Industrial Co., and Tackwin Development Limited

The address for each of the entities listed above being:

Feng Hua Mining Holding Investment (HK) Limited is recorded in the Register of Members with an address at: Room 1606, Westley Square, 48 Hoi Yuen Road, Kwun Tong, Hong Kong.

Lite Smooth Investment Limited is Flat/RM G, 10/F MG Tower, 133 Hoi Bun Road, Kwun Tong, KL, Hong Kong;

Guangdong Jia Run Industrial Co., Ltd is4001-3, No.17, Zhu Jiang West Road, Tianhe District, Guangzhou, Guangdong Province, China; and

Tackwin Development Limited is Flat /RM G, 10/F MG Tower, 133 Hoi Bun Road, Kwun Tong KL, Hong Kong

Appendix 3Y Change of Director’s Interest Notice

[3 of 3 pages] 25 September 2020

MOVEMENTS IN ENTITLEMENTS

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----- Start of picture text ----- Quoted Securities - Ordinary fully paid shares----- End of picture text -----

2	INDIRECT
	Lite Smooth Investment Limited
	Balance, per Appendix 3X, 1 November 2012Movement –As noted above - as a member of the Consortium of Chinese Investors Mr Li,through his ownership/ control of Lite Smooth Investment Limited1, has adeemed relevant interest greater than 20 per cent in the voting power of Feng HuaMining Investment Holdings (HK) Limited Appendix 3Y, 25 September 2020	nil 120,788,101120,788,101