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Resolute Mining Limited Major Shareholding Notification 2019
10548_rns_2019-08-07_0c9edc40-56ec-4445-b9a0-c97d1715ccf1.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 | Resolute Mining Limited | |||
|---|---|---|---|---|
| ACN/ARSN | 097 088 689 | |||
| Details of substantial holder (1)1.NameACN/ARSN (if applicable) | N/A | Van Eck Associates Corporation (and its associates referred to in paragraph 6). | ||
| There was a change in the interests of thesubstantial holder onThe previous notice was given to the company onThe previous notice was dated | 05/08/201919/03/201918/03/2019 |
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:
| Class of securities (4) | Previous notice | Present notice | ||||
|---|---|---|---|---|---|---|
| Person's votes | Voting power (5) | Person's votes | Voting power (5) | |||
| Ordinary shares | 83,454,810 | $11.01%$ | 80.870.820 | $ 9.10%$ | ||
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 ofchange (6) | Considerationgiven in relationto change (7) | Class andnumber ofsecuritiesaffected | Person's votesaffected |
|---|---|---|---|---|---|
| [Van Eck Associates]See Annexure ACorporation (VEAC) | |||||
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 | IBank of New YorkMellon as custodianlfor VanEck VectorsIGold Miners ETF | Miners ETF (GDX) | VanEck Vectors Gold VEAC holds its relevantlinterest by having thepower to exercise, controlthe exercise of, orlinfluence the exercise of.the voting powers ordisposal of the securities. | Ordinary shares46,668,749 | 5.25% |
| VEAC | Bank of New YorkIMellon as custodianfor VanEck VectorsUunior Gold MinersETF | VanEck VectorsJunior Gold MinersETF (GDXJ) | Same as above. | Ordinary shares31,980,576 | 3.60% |
|---|---|---|---|---|---|
| VEAC | Bank of New YorklMellon as custodianlfor VanEck VectorsSmall Cap DividendPayers ETF | VanEck VectorsSmall Cap DividendPayers ETF(MVSAU) | Same as above. | Ordinary shares373,772 | 10.04% |
| VEAC | Bank of New YorkMellon as custodianlfor VanEck VectorsGlobal Mining UCITSETF | VanEck VectorsGlobal Mining UCITSETF (UCTGDIG) | Same as above. | Ordinary shares6.081 | 0.00% |
| VEAC | Bank of New YorkMellon as custodianfor VanEck VectorsGold Miners UCITSETF | VanEck Vectors Gold lSame as above.Miners UCITS ETF(UCTGDX) | Ordinary shares929,127 | 0.10% | |
| VEAC | Bank of New YorkMellon as custodianfor VanEck VectorsJunior Gold MinersIUCITS ETF | VanEck VectorsJunior Gold MinersUCITS ETF(UCTGDXJ) | Same as above. | Ordinary shares912,515 | 0.10% |
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:
| ACN/ARSN(ifNameandapolicable) | _________Nature of association |
|---|---|
| _____ | the control of the con- |
| ______and the control of the control of | the control of the control of the control of the control of the control of the control of |
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 | Level 4 Aurora Place, 88 Phillip Street, Sydney NSW 2000 |
| VanEck Investments Limited | Level 4 Aurora Place, 88 Phillip Street, Sydney NSW 2000 |
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 andtrustee of an equity trust), the names could be included in an ann $(1)$ 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 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.
-
Include details of: $(6)$
- any relevant agreement or other circumstances because of which the change in relevant interest occurred. If subsection 671B(4) applies, a copy $(a)$ 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
- 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 $(b)$ 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 has, or may, become entitled to receive in relation to that acquisition. Details m $(7)$ 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.
- 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". $(8)$
- $(9)$ Give details, if appropriate, of the present association and any change in that association since the last substantial holding notice.
| Holder of relevant | Consideration | Consideration | |||
|---|---|---|---|---|---|
| interest | Date of Acquisition | B/S | Cash | Non-Cash | Number of Securities |
| GDX | 03/15/2019 B | 1,196,622.18 | 1,026,425 | ||
| GDX | 03/19/2019 S | In-Kind | 275,050 | ||
| GDX | 03/20/2019 S | In-Kind | 82,515 | ||
| GDX | 03/22/2019 S | In-Kind | 44,016 | ||
| GDX | 03/29/2019 S | In-Kind | 379,569 | ||
| GDX | 04/01/2019 S | In-Kind | 379,569 | ||
| GDX | 04/02/2019 S | In-Kind | 220,040 | ||
| GDX | 04/03/2019 S | In-Kind | 330,060 | ||
| GDX | 04/05/2019 S | In-Kind | 137,550 | ||
| GDX | 04/09/2019 S | In-Kind | 297,108 | ||
| GDX | 04/10/2019 S | In-Kind | 137,550 | ||
| GDX | 04/11/2019 S | In-Kind | 137,550 | ||
| GDX | 04/12/2019 S | In-Kind | 137,550 | ||
| GDX | 04/15/2019 S | In-Kind | 297,108 | ||
| GDX | 04/15/2019B | 102,785.56 | 86,314 | ||
| GDX | 04/16/2019 S | In-Kind | 110,040 | ||
| GDX | 05/02/2019 S | In-Kind | 275,750 | ||
| GDX | 05/03/2019 S | In-Kind | 496,350 | ||
| GDX | 05/10/2019 S | In-Kind | 55,150 | ||
| GDX | 05/13/2019 S | In-Kind | 165,450 | ||
| GDX | 05/13/2019 B | 17,118.52 | 15,134 | ||
| GDX | 05/22/2019 S | In-Kind | 82,515 | ||
| GDX | 05/31/2019 B | In-Kind | 269,843 | ||
| GDX | 06/03/2019 S | In-Kind | 242,308 | ||
| GDX | 06/04/2019 S | In-Kind | 99,126 | ||
| GDX | 06/05/2019 S | In-Kind | 655,333 | ||
| GDX | 06/06/2019 S | In-Kind | 88,160 | ||
| GDX | 06/11/2019 S | In-Kind | 82,635 | ||
| GDX | 06/12/2019 S | In-Kind | 137,725 | ||
| GDX | 06/13/2019 S | In-Kind | 66,120 | ||
| GDX | 06/14/2019 S | In-Kind | 16,530 | ||
| GDX | 06/17/2019 S | In-Kind | 110,200 | ||
| GDX | 06/18/2019 S | In-Kind | 143,260 | ||
| GDX | 06/20/2019 S | In-Kind | 776,910 | ||
| GDX | 06/21/2019 S | In-Kind | 44,080 | ||
| GDX | 06/21/2019 B | 2,240,944.81 | 1,850,725 | ||
| GDX | 06/24/2019 S | In-Kind | 28,720 | ||
| GDX | 06/25/2019 B | In-Kind | 149,318 | ||
| GDX | 06/26/2019 B | In-Kind | 223,977 | ||
| GDX | 06/27/2019 S | In-Kind | 11,486 | ||
| GDX | 06/28/2019 S | In-Kind | 137,832 | ||
| GDX | 07/01/2019 S | In-Kind | 160,804 | ||
| GDX | 07/02/2019 S | In-Kind | 551,328 |
This is Annexure A of 2 pages referred to in Form 604 - Notice of change of interests of substantial holder.
Page 1 of 4
| Holder of relevant | Consideration | Consideration | |||
|---|---|---|---|---|---|
| interest | Date of Acquisition | B/S | Cash | Non-Cash | Number of Securities |
| GDX | 07/05/2019 S | In-Kind | 80,416 | ||
| GDX | 07/09/2019 S | In-Kind | 34,458 | ||
| GDX | 07/10/2019 S | In-Kind | 304,379 | ||
| GDX | 07/12/2019 S | In-Kind | 132,089 | ||
| GDX | 07/15/2019 S | In-Kind | 22,972 | ||
| GDX | 07/16/2019 S | In-Kind | 137,832 | ||
| GDX | 07/17/2019 S | In-Kind | 120,582 | ||
| GDX | 07/18/2019 B | In-Kind | 57,420 | ||
| GDX | 07/19/2019 B | In-Kind | 356,004 | ||
| GDX | 07/22/2019 B | In-Kind | 327,294 | ||
| GDX | 07/23/2019 B | In-Kind | 155,034 | ||
| GDX | 07/25/2019 B | In-Kind | 34,452 | ||
| GDX | 07/26/2019 B | In-Kind | 149,292 | ||
| GDX | 08/02/2019 S | In-Kind | 86,115 | ||
| GDXJ | 03/15/2019 B | 2,787,052.16 | 2,390,646 | ||
| GDXJ | 03/18/2019 B | 57,433.24 | 48,560 | ||
| GDXJ | 03/19/2019 S | In-Kind | 298,936 | ||
| GDXJ | 03/25/2019B | In-Kind | 40,755 | ||
| GDXJ | 03/26/2019 B | In-Kind | 108,672 | ||
| GDXJ | 03/28/2019 S | In-Kind | 353,184 | ||
| GDXJ | 04/05/2019 B | In-Kind | 135,860 | ||
| GDXJ | 04/09/2019 S | In-Kind | 516,230 | ||
| GDXJ | 04/10/2019B | In-Kind | 122,256 | ||
| GDXJ | 04/11/2019B | In-Kind | 135,870 | ||
| GDXJ | 04/23/2019 B | In-Kind | 136,030 | ||
| GDXJ | 04/26/2019 B | In-Kind | 136,050 | ||
| GDXJ | 04/29/2019 B | In-Kind | 108,824 | ||
| GDXJ | 05/07/2019 B | In-Kind | 204,060 | ||
| GDXJ | 05/08/2019B | In-Kind | 489,600 | ||
| GDXJ | 05/09/2019 B | In-Kind | 203,925 | ||
| GDXJ | 05/10/2019B | In-Kind | 203,925 | ||
| GDXJ | 05/13/2019 B | In-Kind | 81,564 | ||
| GDXJ | 05/14/2019 B | In-Kind | 339,800 | ||
| GDXJ | 05/15/2019 S | In-Kind | 543,640 | ||
| GDXJ | 05/16/2019 B | In-Kind | 297,264 | ||
| GDXJ | 05/16/2019 S | 80,393.41 | 69,509 | ||
| GDXJ | 05/20/2019 B | In-Kind | 135,120 | ||
| GDXJ | 06/03/2019 S | In-Kind | 675,600 | ||
| GDXJ | 06/05/2019 S | In-Kind | 135,120 | ||
| GDXJ | 06/10/2019 S | In-Kind | 214,528 | ||
| GDXJ | 06/11/2019 S | In-Kind | 294,976 | ||
| GDXJ | 06/13/2019 S | In-Kind | 107,216 | ||
| GDXJ | 06/17/2019 S | In-Kind | 589,820 |
This is Annexure A of 2 pages referred to in Form 604 - Notice of change of interests of substantial holder,
$AT$
Page
$2$ of 4
| Holder of relevant | Consideration | Consideration | |||
|---|---|---|---|---|---|
| interest | Date of Acquisition | B/S | Cash | Non-Cash | Number of Securities |
| GDXJ | 06/18/2019 S | In-Kind | 428,960 | ||
| GDXJ | 06/19/2019 S | In-Kind | 388,774 | ||
| GDXJ | 06/20/2019 S | In-Kind | 40,224 | ||
| GDXJ | 06/21/2019 S | In-Kind | 13,407 | ||
| GDXJ | 06/21/2019 B | 1,357,993.97 | 1,121,524 | ||
| GDXJ | 06/24/2019 S | In-Kind | 42,009 | ||
| GDXJ | 06/24/2019 S | 113,215.02 | 93,593 | ||
| GDXJ | 06/26/2019 S | In-Kind | 14,002 | ||
| GDXJ | 07/01/2019 S | In-Kind | 98,014 | ||
| GDXJ | 07/02/2019 S | In-Kind | 308,088 | ||
| GDXJ | 07/03/2019 S | In-Kind | 56,012 | ||
| GDXJ | 07/08/2019 S | In-Kind | 84,018 | ||
| GDXJ | 07/09/2019 S | In-Kind | 84,018 | ||
| GDXJ | 07/11/2019 S | In-Kind | 210,015 | ||
| GDXJ | 07/12/2019 S | In-Kind | 196,014 | ||
| GDXJ | 07/15/2019 S | In-Kind | 168,012 | ||
| GDXJ | 07/16/2019 S | In-Kind | 140,000 | ||
| GDXJ | 07/18/2019 B | In-Kind | 42,000 | ||
| GDXJ | 07/19/2019 B | In-Kind | 55,992 | ||
| GDXJ | 07/22/2019 B | In-Kind | 139,970 | ||
| GDXJ | 07/23/2019 B | In-Kind | 195,972 | ||
| GDXJ | 07/24/2019 S | In-Kind | 27,996 | ||
| GDXJ | 07/25/2019 B | In-Kind | 167,976 | ||
| GDXJ | 07/31/2019 B | In-Kind | 112,000 | ||
| GDXJ | 08/02/2019 S | In-Kind | 28,002 | ||
| GDXJ | 08/05/2019 S | In-Kind | 252,000 | ||
| UCTGDX | 03/15/2019 B | 19,245.28 | 16,508 | ||
| UCTGDX | 03/18/2019 S | 809.01 | 689 | ||
| UCTGDX | 04/11/2019 B | 7,003.83 | 5,788 | ||
| UCTGDX | 04/15/2019 B | 1,020.54 | 857 | ||
| UCTGDX | 05/08/2019 B | 1,489.52 | 1,329 | ||
| UCTGDX | 05/17/2019 B | 4,778.14 | 4,152 | ||
| UCTGDX | 06/04/2019 B | 6,718.90 | 5,791 | ||
| UCTGDX | 06/14/2019 S | 13,083.02 | 11,586 | ||
| UCTGDX | 06/21/2019 B | 42,562.48 | 35,151 | ||
| UCTGDX | 06/27/2019 B | 7,759.10 | 6,037 | ||
| UCTGDX | 07/09/2019B | 16,552.96 | 12,074 | ||
| UCTGDX | 07/10/2019 B | 8,362.92 | 6,037 | ||
| UCTGDX | 07/16/2019B | 9,303.49 | 6,037 | ||
| UCTGDX | 07/23/2019 B | 731.81 | 412 | ||
| UCTGDX | 07/24/2019 B | 32,226.90 | 18,105 | ||
| UCTGDX | 07/25/2019 B | 10,659.24 | 6,035 | ||
| UCTGDX | 08/01/2019 B | 10,145.90 | 6,035 |
This is Annexure A of 2 pages referred to in Form 604 - Notice of change of interests of substantial holder,
Page 3 of 4
AV
| Holder of relevant | Consideration | Consideration | |||
|---|---|---|---|---|---|
| interest | Date of Acquisition | B/S | Cash | Non-Cash | Number of Securities |
| UCTGDXJ | 03/15/2019 B | 61,757.91 | 52,974 | ||
| UCTGDXJ | 03/18/2019 B | 2,847.84 | 2,422 | ||
| UCTGDXJ | 05/03/2019B | 12,514.98 | 11,376 | ||
| UCTGDXJ | 05/06/2019 B | 12,523.46 | 11,377 | ||
| UCTGDXJ | 05/15/2019B | 13,188.33 | 11,368 | ||
| UCTGDXJ | 05/16/2019 S | 4,704.25 | 4,067 | ||
| UCTGDXJ | 06/07/2019 S | 6,181.08 | 6,094 | ||
| UCTGDXJ | 06/21/2019 B | 42,845.82 | 35,385 | ||
| UCTGDXJ | 06/24/2019 B | 12,678.78 | 10,471 | ||
| UCTGDXJ | 06/25/2019 B | 14,708.85 | 11,712 | ||
| UCTGDXJ | 06/27/2019 B | 15,051.65 | 11,711 | ||
| UCTGDXJ | 07/10/2019B | 16,221.59 | 11,710 | ||
| UCTGDXJ | 07/16/2019 B | 17,177.51 | 11,152 | ||
| UCTGDXJ | 07/17/2019 B | 36,554.53 | 23,416 | ||
| UCTGDXJ | 07/25/2019 B | 41,330.44 | 23,412 | ||
| MVSAU | 03/15/2019 B | 2,507.77 | 2,152 | ||
| MVSAU | 03/15/2019 B | 22,569.48 | 19,371 | ||
| MVSAU | 03/27/2019 S | 1,104.64 | 902 | ||
| MVSAU | 04/01/2019 S | 461.25 | 391 | ||
| MVSAU | 04/08/2019 S | In-Kind | 15,519 | ||
| MVSAU | 04/17/2019 S | 508.97 | 437 | ||
| MVSAU | 05/14/2019 S | 753.79 | 650 | ||
| MVSAU | 05/16/2019 S | 2,455.16 | 2,099 | ||
| MVSAU | 05/29/2019 B | 463.63 | 412 | ||
| MVSAU | 06/21/2019 B | 1,228.49 | 1,015 | ||
| MVSAU | 06/21/2019 B | 15,848.95 | 13,097 | ||
| MVSAU | 06/26/2019B | 1,564.99 | 1,272 | ||
| MVSAU | 06/28/2019 S | 11,328.37 | 8,488 | ||
| MVSAU | 07/09/2019S | 2,804.99 | 2,048 | ||
| MVSAU | 07/17/2019 S | 609.79 | 391 | ||
| MVSAU | 08/05/2019 S | 1,596.18 | 823 | ||
| UCTGDIG | 04/26/2019 B | 1,311.22 | 1,125 | ||
| UCTGDIG | 07/10/2019B | 1,768.06 | 1,276 |
This is Annexure A of 1 page referred to in Form 604 - Notice of change of interests of substantial holder.
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