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Resolute Mining Limited Major Shareholding Notification 2010
10548_rns_2010-10-07_d9f1ac2c-f57f-4287-9be6-50dee4a86f53.pdf
Major Shareholding Notification
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ASX ANNOUNCEMENT 8 OCTOBER 2010
SUBSTANTIAL SHAREHOLDER NOTICE
Please find attached a copy of a substantial shareholder notice received by the Company.
4th Floor, The BGC Centre 28 The Esplanade Perth, Western Australia 6000 P.O. Box 7232 Cloisters Square, Perth Western Australia 6850 Tel: 61 8 9261 6100 Fax: 61 8 9322 7597 E‐mail: [email protected] www.rml.com.au
Form 604
Corporations Act 2001 Section 671B
Notice of change of interests of substantial holder
| To Company Name/Scheme | Resolute Mining Limited | ||
|---|---|---|---|
| ACN/ARSN | 097 088 689 | ||
| 1. Details of substantial holder (1) | |||
| Name | Alliance Life Common Fund Limited | ||
| ACN/ARSN (if applicable) | |||
| There was a change in the interests of thesubstantial holder on | 06/10/2010 | ||
| The previous notice was given to the company on | 13/05/2010 | ||
| The previous notice was dated | 13/05/2010 |
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 | |||
|---|---|---|---|---|
| Person's votes | Voting power (5) | Person's votes | Voting power (5) | |
| 77,691,224 | 19.8% | 97, 318, 975 | 21.6% | |
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 ofchange | Person whoserelevant interestchanged | Nature of change (6) | Consideration given inrelation to change (7) | Class and numberof securitiesaffected | Person's votesaffected |
|---|---|---|---|---|---|
| See Appendix"A" | |||||
4. Present relevant interests
Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows:
| Holder ofrelevantinterest | Registered holderof securities | Person entitled to beregistered as holder(8) | Nature of relevantinterest (6) | Class and numberof securities | Person's votes |
|---|---|---|---|---|---|
| See Appendix"A" | |||||
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 |
|---|---|
| See Appendix "A" | |
6. Addresses
The addresses of persons named in this form are as follows:
| CARLO BARROOMName | the property of the control of the control of---------Addressthe company of the company of the company of the company of the company of the company of the company of the company of |
|---|---|
| See Appendix $"A"$ | the property of the control of the control of |
| _______________________________________ | the property of the control of the control of the control of the control of the control ofthe contract of the contract of the contract of the contract of the contract of the contract of the contract of____________ |
Signature
| print name | Brad Goddard | capacity | Director |
|---|---|---|---|
| sign here-53 | date | ||
DIRECTIONS
- If there are a number of substantial holders with similar or related relevant interests (eg. a corporation and its related corporations, or the $(1)$ 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 is clearly set out in paragraph 6 of the form.
- (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.
- The person's votes divided by the total votes in the body corporate or scheme multiplied by 100. $(5)$
- Include details of: $(6)$
- any relevant agreement or other circumstances because of which the change in relevant interest occurred. If subsection 671B(4) $(a)$ 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.
- Details of the consideration must include any and all benefits, money and other, that any person from whom a relevant interest was acquired $(7)$ 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 of 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.
- If the substantial holder is unable to determine the identity of the person (eq. if the relevant interest arises because of an option) write $(8)$ "unknown"
- Give details, if appropriate, of the present association and any change in that association since the last substantial holding notice. $(9)$
This is Appendix A of 2 pages referred to in form 604 - Notice of change of interests of substantial holder
Resolute Mining Ltd - ACN 097 088 689
Changes in relevant interests $3.$
| Date of | Person whose | Consideration | Class and | Person's | |
|---|---|---|---|---|---|
| change | relevant interest | Nature ofchange | given in relation | number of | votes |
| changes | to change | securities | affected | ||
| 03-May-10 | Alliance Life Common Fund Ltd | On Market Sale | 430,869 | 380,000 | 380,000 |
| 13-May-10 | Custodial Capital Management Pty Ltd | On Market Sale | 345,517 | 270,000 | 270,000 |
| 13-May-10 | Alliance Life Common Fund Ltd | On Market Sale | 638,211 | 500,000 | 500,000 |
| 14-May-10 | Alliance Life Common Fund Ltd | On Market Sale | 32,744 | 26,117 | 26,117 |
| 17-May-10 | Alliance Life Common Fund Ltd | On Market Sale | 459,491 | 373,883 | 373,883 |
| 07-Jun-10 | Custodial Capital Management Pty Ltd | On Market Sale | 52,270 | 50,000 | 50,000 |
| 08-Jun-10 | Custodial Capital Management Pty Ltd | On Market Sale | 59,626 | 55,000 | 55,000 |
| 09-Jun-10 | Alliance Life Common Fund Ltd | On Market Sale | 478,677 | 445,000 | 445,000 |
| 10-Jun-10 | Alliance Life Common Fund Ltd | On Market Sale | 85,721 | 81,000 | 81,000 |
| $11$ -Jun- $10$ | Alliance Life Common Fund Ltd | On Market Sale | 10,118 | 9,666 | 9,666 |
| $18 - Jun-10$ | Alliance Life Common Fund Ltd | On Market Sale | 310,998 | 464,334 | 464,334 |
| 28-Jun-10 | Alliance Life Common Fund Ltd | On Market Sale | 111,389 | 100,000 | 100,000 |
| 30-Jun-10 | Utilico Ltd | Share Issue | 1,800,355 | 1,770,261 | 1,770,261 |
| 30-Jun-10 | Custodial Capital Management Pty Ltd | Share Issue | 10,200 | 10,029 | 10,029 |
| 30-Jun-10 | Alliance Life Common Fund Ltd | Share Issue | 928,780 | 913,255 | 913,255 |
| 30-Jun-10 | Alliance Life Common Fund Ltd | Share Issue | 87,113 | 85,657 | 85,657 |
| 01-Jul-10 | Eclectic Investment Company plc | Stock Issue | 45,000 | 44,247 | 44,247 |
| 16-Aug-10 | Eclectic Investment Company plc | On MarketPurchase | 118,733 | 152,700 | 152,700 |
| 17-Aug-10 | Eclectic Investment Company plc | On Market Sale | 22,177 | 25,000 | 25,000 |
| 30-Aug-10 | Eclectic Investment Company plc | On Market Sale | 40,491 | 50,000 | 50,000 |
| 31-Aug-10 | Eclectic Investment Company plc | On Market Sale | 40,616 | 50,000 | 50,000 |
| 01-Sep-10 | Alliance Life Common Fund Ltd | On Market Sale | 1,124,477 | 1,275,000 | 1,275,000 |
| 03-Sep-10 | Alliance Life Common Fund Ltd | On Market Sale | 386,526 | 393,500 | 393,500 |
| 08-Sep-10 | Alliance Life Common Fund Ltd | On Market Sale | 99,385 | 90,000 | 90,000 |
| 09-Sep-10 | Alliance Life Common Fund Ltd | On Market Sale | 108,861 | 89,444 | 89,444 |
| 14-Sep-10 | Alliance Life Common Fund Ltd | On Market Sale | 32,152 | 26,950 | 26,950 |
| 14-Sep-10 | Alliance Life Common Fund Ltd | On Market Sale | 435,316 | 363,964 | 363,964 |
| 15-Sep-10 | Alliance Life Common Fund Ltd | On Market Sale | 98,905 | 78,142 | 78,142 |
| 15-Sep-10 | Alliance Life Common Fund Ltd | On Market Sale | 170,528 | 136,036 | 136,036 |
| 17-Sep-10 | Alliance Life Common Fund Ltd | On Market Sale | 55,501 | 41,333 | 41,333 |
| 20-Sep-10 | Alliance Life Common Fund Ltd | On Market Sale | 206,287 | 149,082 | 149,082 |
| 22-Sep-10 | Alliance Life Common Fund Ltd | On Market Sale | 175,486 | 131,549 | 131,549 |
| 28-Sep-10 | Alliance Life Common Fund Ltd | On Market Sale | 60,737 | 46,500 | 46,500 |
| 29-Sep-10 | Utilico Ltd | On Market Sale | 3,033,081 | 2,244,951 | 2,244,951 |
| 30-Sep-10 | Alliance Life Common Fund Ltd | On Market Sale | 388,412 | 285,000 | 285,000 |
| 06-Oct-10 | Utilico Ltd | Optionsexercised | 15,000,000 | 25,000,000 | 25,000,000 |
| 06-Oct-10 | Ingot Capital Investments Pty Ltd | On Market Sale | 62,775 | 45,000 | 45,000 |
| 06-Oct-10 | Eclectic Investment Company plc | On Market Sale | 100,035 | 71,947 | 71,947 |
This is Appendix A of 2 pages referred to in form 604 - Notice of change of interests of substantial holder Resolute Mining Ltd - ACN 097 088 689
$\overline{4}$ . Present relevant interests
| Holderof relevant interest | Registered holder ofsecurities | Person entitled to beregistered as holder | Nature ofrelevantinterest | Class andnumber ofsecurities | Person'svotes |
|---|---|---|---|---|---|
| Alliance Life CommonFund Ltd | HSBC Custody Nominees | Alliance Life Common FundLtd | Beneficialowner | 67,460,533 | 67,745,533 |
| Custodial CapitalManagement Pty Ltd | Custodial CapitalManagement Pty Ltd | Custodial CapitalManagement Pty Ltd | Beneficialowner | 2,879,957 | 2,879,957 |
| Alliance Life CommonFund Ltd | Newport Black TrustCompany | Alliance Life Common FundLtd | Beneficialowner | 1,978,485 | 1,978,485 |
| Utilico Ltd | JP Morgan | Utilico Ltd | Beneficialowner | 25,000,000 | 25,000,000 |
5. Changes in association
Name and ACN
Ingot Capital Investments Pty Ltd 006 538 147 Custodial Capital Management Pty Ltd 086 198 656 Utilico Ltd Eclectic Investment Company PLC
Nature of association
Common directors and fund manager
6. Addresses
Name
Alliance Life Common Fund Ltd Custodial Capital Management Pty Ltd Ingot Capital Investments Pty Ltd Eclectic Investment Trust PLC
Utilico Ltd
Address
1/12 Via San Simpliciano, Milan, Italy PO Box 2073, Rose Bay North, NSW, 2030 PO Box 2073, Rose Bay North, NSW, 2030 Springfield Lodge, Colchester Road, Chelmsford Essex CM2 5PW, United Kingdom Exchange House, Primrose Street, London EC2A 2NY, United Kingdom
Director
Date
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