ROX RESOURCES LIMITED — Major Shareholding Notification 2023

Jul 9, 2023

Form 604 Corporations Act 2001 Section 671B

Notice of change of interests of substantial holder

To Company Name/Scheme Rox Resources Limited ( Rox )

ACN/ARSN 107 202 602

1. Details of substantial holder (1)

Name Hawke’s Point Holdings (RRL) L.P. ( Hawke’s Point ) and each of the entities listed in Annexure “A” ( Hawke’s Point Group Entity ). ACN/ARSN (if applicable) Not applicable

There was a change in the interests of the substantial holder on 07/07/2023 The previous notice was given to the company on 20/02/2023 The previous notice was dated 20/02/2023

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	Previous notice	Present notice	Present notice
	Person’s votes	Voting power(5)	Person’s votes	Voting power(5)
Ordinary shares	29,426,292	13.12%	29,426,292	8.80% (based on 334,354,260 shares on issue) Hawke’s Point’s voting power has decreased by more than 1% (since its last substantial holding notice) following the issue of 110,000,000 fully paid ordinary shares by Rox on 7 July 2023.

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 relevant interest changed	Nature of change (6)	Consideration given in relation to change (7)	Class and number of securities affected	Person’s votes affected
Not Applicable	Not Applicable	Not Applicable	Not Applicable	Not Applicable	Not Applicable

4. Present 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
Hawke’s Point	Citicorp Nominees Pty Limited	Hawke’s Point	Relevant interest under s 608(1)(b) and (c) of the Corporations Act 2001(Cth), being a relevant interest arising through Hawke’s Point having the right to control the voting or disposal of the shares.	29,426,292 fully paid ordinary shares	29,426,292

Each Hawke’s Point Group Entity	Citicorp Nominees Pty Limited	Hawke’s Point	Relevant interest under s 608(3)(a) and/or s 608(3)(b) of the_Corporations Act 2001_(Cth), being a relevant interest held through a body corporate (Hawke’s Point) in which the voting power of the relevant Hawke’s Point Group Entity is more than 20% or which the relevant Hawke’s Point Group Entity controls.	29,426,292 fully paid ordinary shares	29,426,292

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
Not Applicable	Not Applicable

6. Addresses

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

Name	Address
Hawke’s Point and each Hawke’s Point Group Entity	Ugland House, Grand Cayman, KY-1104, Cayman Islands

Signature

print name Erik Caspersen capacity	Authorised Signatory
sign here date	7 July 2023
DIRECTIONS
umber of substantial holders with similar or related relevant interests (eg. a corporation and its related corporations, or the manager and
quity trust), the names could be included in an annexure to the form. If the relevant interests of a group of persons are essentially similar,
ferred to throughout the form as a specifically named group if the membership of each group, with the names and addresses of members
ut in paragraph 6 of the form.
ion of "associate" in section 9 of the Corporations Act 2001.
ion of "relevant interest" in sections 608 and 671B(7) of the Corporations Act 2001.
res of a company constitute one class unless divided into separate classes.
otes divided by the total votes in the body corporate or scheme multiplied by 100.
of:

• (1) 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 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.

• (5) The person’s votes divided by the total votes in the body corporate or scheme multiplied by 100.

• (6) Include details of:

• (a) any relevant agreement or other circumstances because of which the change in relevant interest occurred. If subsection 671B(4) 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.

• (7) 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 must be included even if the benefit is conditional on the happening or not of a 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.

• (8) 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’”.

• (9) Give details, if appropriate, of the present association and any change in that association since the last substantial holding notice.

Annexure “A” – Hawke’s Point Group Entities

This is Annexure “A” of 1 page referred to in the Form 604 (Notice of change of interests of Substantial Holder), signed by me and dated 7 July 2023

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………………… Erik Caspersen Authorised Signatory, Hawke’s Point (RRL) L.P.

Hawke’s Point Group Entities

Group Entities
Entity	ACN/ARSN
Hawke’s Point GP Limited	Not applicable
Hawke’s Point Manager L.P.	Not applicable
TFG Asset Management UK LLP	Not applicable
TFG Asset Management US LP	Not applicable
Tetragon Financial Group Limited and each of its related bodies corporate	Not applicable