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ST BARBARA LIMITED Major Shareholding Notification 2011
65749_rns_2011-09-13_e34abfd0-9018-4787-8213-94f7a1389b51.pdf
Major Shareholding Notification
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MinterEllison
$YERS$ $\mathbf{L}$ $\overline{A}$ W
AURORA PLACE, 88 PHILLIP STREET, SYDNEY NSW 2000, DX 117 SYDNEY
| To | Company announcements office ASX |
Facsimile | 1300 135 638 |
|---|---|---|---|
| Company Secretary St Barbara Limited |
Facsimile | $+61386601999$ | |
| From | Henry Wong Email: [email protected] |
Facsimile Direct line Our Ref |
$+61$ 2 9921 8058 +61 2 9921 8536 SSE:HLW:20-6818439 |
| Date | 14 September 2011 | Number of pages (including this one): 6 | |
| Subject | Notice of initial substantial holder |
Please find attached a notice of initial substantial holder in relation to shares in St Barbara Limited.
Regards MINTER ELLISON
If you do not receive all pages please telephone +61 2 9921 8536
ME_93680771_1 (W2003)
IMPORTANT - The contents of this facsimile may be privileged and confidential. Any unauthorised use of the contents is expressly prohibited. If you have received the document in error, please advise us by telephone (reverse charges) immediately and then shred the document. Thank you.
Form 603 Corporations Act 2001
Section 671B
Notice of initial substantial holder
| To Company Name/Scheme | Si Barbara Limilad |
|---|---|
| ACN/ARSN | 009 165 066 |
| 1. Details of substantial holder (1) Namo |
Van Eck Associates Corporation (and its associates as referred to in paragraph 6). |
| ACN/ARSN (Tapplicable) | NA |
| The holder became a substantial holder on | 8/9/2011 _________ |
2. Details of voting power
The total number of votes attached to all the voting chares in the company or volling interests in the scheme that the substantial holder or an associate (2) had a relevant interest (3) in on the date the substantial holder became a substantial holder are as follows:
| Class of securities (4) ------------ |
--------------------------------------- Number of securities |
______ Person's votes (6) ______ |
Voting power (0) ------ |
|---|---|---|---|
| Ordnary shares _ |
16,331,008 _________ ----- |
16.331.008 . |
5.02% |
| ------------------------ | ______ -- |
3. Details of relevant interests
$\bar{z}$
The nature of the relevant interest the substantial holder or an associate had in the following voting securities on the dete the substantial holder became a substantial holder are as follows:
| Holder of relevant interest | Nature of relevant interest (7) | Class and number of securities |
|---|---|---|
| Associates Corporation Nan Edr KYEAC) |
VEAC holds its relevant interest by having the power to exercise, control the exercise of, or influence the exercise of, the voting powers or disposal of the securities to which 16,331,008 ine relevant interest retates in the ordinary course of investment management business. |
|
4. Details of present registered holders
The persons registered as holders of the securities referred to in paragraph 3 above are as follows:
| 121.448 Holder of relevant interest |
Registered holder of securities |
Person entitled to be registered as holder (8) |
Class and number of securities |
|---|---|---|---|
| NEAC | Bank of New York Mellon as custodian for Market Vectors Truet - Junior Gold Miners ETF |
Market Vectors Trust - Junior [Gold Miners ETF (GDXJ) |
Ordinary shares 19,331,008 |
5. Consideration
The consideration paid for each relevant interest referred to in paragraph 3 shove, and acquired in the four months prior to the day that the substantial holder became a substantial holder is as follows:
| Holder of relevent interest |
Date of acquisition | Consideration (9) | Cless and number of accurities |
||
|---|---|---|---|---|---|
| NEAC Property |
ISee Annexure A | Cash | Non-cash | ||
| -------------------------------------- | |||||
| ___ . |
6. Associates
The reasons the persons named in paragraph 3 above are associates of the aubstantial holder are as follows:
| -------------- Name and ACN/ARSN (if applicable) |
. --------- Nature of association |
|---|---|
| -------- | _________ |
| VEAC | Associate under section 12(2) of the Corporations Act. |
ME_03837812_1 (W2003)
l,
| . | ||
|---|---|---|
| Man Eck Securities Corporation | Associate under section 12(2) of the Corporations Act. | |
| . | ||
| Man Eck Absolute Return Advisers, Inc. | Associate under section 12(2) of the Corporations Act. | |
| _________ |
- Addresses
The addresses of persons named in this form are as follows:
| Name | _________ Address |
|---|---|
| VEAC | [335 Madison Avenue, New York, NY 10017 |
| Van Eck Securities Corporation | 335 Madison Avenue, New York, NY 10017 |
| Van Eck Absolute Return Advisers, Inc. --------------------------------------- |
--- 1335 Madison Avenue, New York, NY 10017 med een stermoorden van die Constant en monarchalis in de eerste van die van die Soos-Afrikaanse kolonie van d |
Signature
| print name | Thomas K Lynch | capacity | Chief Compliance Office |
|---|---|---|---|
| sign here | -------------------------------------- __ r. ---- - 아이가 아이가 아이가 있는 그 사람들은 아이가 아니라 아이가 아니라 아니다. 그 사람들은 아이가 아니라 아니라 아니라 아니라 아니라 아니라 아니라 아니라 아니라 아니라 |
---------- data 7/277-277-1-12 01:07:04:07:00 12:04:07:07:07:07:07:07:07:07:07:07 |
---------- |
DIRECTIONS
- If there are a momber of substantial holders with similar or related relevant interests (eg. a corporation and its related corporations, or the manager and
Inusted of an equity that), the names could be included in an anne $(1)$ is clearly set out in paragraph 7 of the form. - $(2)$ See the definition of "associate" in section 9 of the Corporations Act 2001.
- $(3)$ See the definition of "relevent interest" in sections 608 and 871B(7) of the Corporations Act 2001.
- $(4)$ The voting shares of a company constitute one plass unless divided into separate classes.
- $(5)$ The total number of votes attached to all the voting shares in the company or voting interests in the scheme (if any) that the person or an associate has a relevant interest in
- $(6)$ The person's votes divided by the total votes in the body corporate or scheme multiplied by 100.
- $(7)$ ktelude dabala or
- any relevant agreement or other circumstances by which the relevant interest was acquired. If subsection 671B(4) applies, a copy of any
document setting out the terms of any relevant agreement, and a sistement by the perso $(a)$ - (b) any qualification of the power of a person to exercise, control the exercise of, or trifluence 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 8 of the Corporations Act 2001.
- $\langle \theta \rangle$ 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,"
- Details of the consideration must include any and all benefits, moneys and other, that any person from whom a relovant interast was acquired has, or
may, become entited to recolve in relation to that acquisition. Details m $(9)$
This guide does not form part of the prescribed form and is included by ASIC to assist you in completing and lodging form 603.
ME_92037012 1 (V22003)
| Signature | This form must be signed by efther a director or a secretary of the substantial holder. |
|---|---|
| Lodging period | NI. |
| Lodging Fee | NI |
| Other forms to be completed |
МI |
| Additional information | (a) If additional space is required to complete a question, the information may be included on a separate piece of paper annexed to the form. |
| (b) This notice must be given to a listed company, or the responsible entity for a listed managed investment scheme, A copy of this notice must also be given to each relevant securities exchange. |
|
| The person must give a copy of this notice: (C) |
|
| O) within 2 business days after they become aware of the information; or |
|
| (II) by 9.30 am on the next trading day of the relevant securities exchange after they become aware of the Information if: |
|
| (A) a lakeover bid is made for voling shares in the company or voting interests in the scheme; and |
|
| (B) the parson becomes aware of the information during the bid period. |
|
| Annexures | To make any annexura conform to the regulations, you must |
| use A4 size paper of white or light pastel colour with a margin of at least 10mm on all sides 1 |
|
| 2 show the corporation name and ACN or ARBN |
|
| number the pages consecutively э |
|
| print or type in BLOCK letters in dark blue or black ink so that the document is clearly legible when photocopied 4 |
|
| identify the ennexure with a mark such as A, B, C, etc. 5 в |
|
| endorse the ennexure with the words: This is annexure (mark) of (number) pegas referred to in form (form number and title) |
|
| sign and date the annexure. 7. |
|
| The annexure must be signed by the seme person(a) who signed the form. | |
Information in this guide is intended as a guide only. Please consult your accountant or solicitor for further advice.
ME_93637612_1 (W2003)
$\hat{\boldsymbol{\theta}}$
| Holder of relevant | Consideration | Consideration Non- | ||||
|---|---|---|---|---|---|---|
| Interest | Date of Acquisition | B/S | Cash · | cash | Number of Securities | |
| GDXJ | 5/9/2011B | इ | In-Kind | 23,992 | ||
| GDXJ | 5/10/2011B | $\overline{\mathsf{s}}$ | In-Kind | 83,972 | ||
| GDXJ | 5/18/20118 | \$ | In-Kind | 23,990 | ||
| GDXJ | 5/20/2011 B | 5 | In-Kind | 239,880 | ||
| GDXJ | 5/23/2011 B | 5 | In-Kind | 143,928 | ||
| GDXJ | 5/24/2011 B | 5 | In-Kind | 35,982 | ||
| GDXJ | 5/25/2011 B | 3 | In-Kind | 23,988 | ||
| GDXJ | 5/27/2011 B | इ | In-Kind | 59,970 | ||
| GDXJ | 6/9/2011B | $\overline{s}$ | In-Kind | 11,991 | ||
| GDXJ | $6/10/2011$ B | 3 | In-Kind | 131,901 | ||
| GDXJ | 6/13/2011 B | $\overline{\mathfrak{s}}$ | In-Kind | 47,964 | ||
| GDXJ | 6/14/2011B | Ξ | In-Kind | 119,900 | ||
| GDXJ | 6/15/2011 B | Ş | ă | In-Kind | 36,006 | |
| GDXJ | 6/16/2011 B | \$ | In-Kind | 60,060 | ||
| GDXJ | $6/17/2011$ B | \$ | u | In-Kind | 36,036 | |
| GDXJ | 6/21/2011B | 3 | á. | In-Kind | 113,400 | |
| GDXJ | 6/22/2011 B | \$ | In-Kind | 113,390 | ||
| GDXJ | 6/29/2011 B | \$ | ۰ | In-Kind | 90,728 | |
| GDXJ | 6/30/2011 B | š | ė | In-Kind | 113,400 | |
| GDXJ GDXJ |
7/5/2011 B 7/6/2011 B |
$\overline{\mathbf{s}}$ 3 |
4 | In-Kind | 158,760 | |
| GDXJ | 7/7/2011 B | \$ | In-Kind in-Kind |
124,718 102,042 |
||
| GDXJ | 7/8/2011 B | ţ | In-Kind | 102,042 | ||
| GDXJ | 7/11/2011 B | ζ | In-Kind | 22,676 | ||
| GDXJ | 7/12/2011 B | \$ | In-Kind | 170,055 | ||
| GDXJ | 7/13/2011 B | $\overline{\phantom{a}}$ | In-Kind | 192,712 | ||
| GDXJ | 7/14/2011 B | \$ | In-Kind | 181,392 | ||
| GDXJ | 7/15/2011 B | \$ | tn-Kind | 90,696 | ||
| GDXJ | 7/18/2011 B | \$ | 121,525 | Ś | 64,254 | |
| GDXJ | 7/18/2011 8 | \$ | In-Kind | 45.348 | ||
| GDXJ | 7/19/2011 B | \$ | In-Kind | 34.134 | ||
| GDXJ | 7/21/2011 B | \$ | In-Kind | 34,143 | ||
| GDXJ | 7/25/2011 B | \$ | a. | in-Kind | 11,381 | |
| GDXJ | 7/26/2011 B | \$ | In-Kind | 45,524 | ||
| GDXJ | $8/2/2011$ B | \$ | In-Kind | 34,131 | ||
| GDXJ | $8/4/2011$ B | $\overline{\mathsf{s}}$ | In-Kind | 102,393 | ||
| GDXJ | $8/8/2011$ B | \$ | In-Kind | 136,476 | ||
| GDXJ | 8/9/2011B | \$ | ٠ | in-Kind | 216,049 | |
| GDXJ | 8/10/2011 B | 5 | In-Kind | 159,194 | ||
| GDXJ | $8/11/2011$ B | $\overline{\mathbf{s}}$ | In-Kind | 238,812 | ||
| GDXJ | $8/12/2011$ B | \$ | In-Kind | 102,348 | ||
| GDXJ | 8/15/2011 B | ξ | In-Kind | 102,339 | ||
| GDXJ | $8/16/2011$ B | 3 | In-Kind | 45,480 | ||
| GDXJ | 8/17/2011 B | 3 | In-Kind | 136,440 | ||
| GDXI | 8/18/2011 8 | 5 | In-Kind | 34,110 | ||
| GDXJ | $8/19/2011$ $B$ | 3 | in-Kind | 79,576 | ||
| GDXJ | 8/22/2011 8 | 5 | In-Kind | 102,303 |
This is Annexure A of 2 pages referred to In Form 603 - Notice of Initial substantial holder
$7614 - 9/13/11$
Page 1 of 2
| Holder of relevant | Consideration | Consideration Non- | ||||
|---|---|---|---|---|---|---|
| Interest | Date of Acquisition | B/S | Cash | cash. | Number of Securities | |
| GDXJ | 8/30/2011B | \$ | In-Kind | 45,464 | ||
| GDXJ | 8/31/2011 B | \$ | In-Kind | 22,728 | ||
| GDXJ | 9/1/2011B | 3 | á, | In-Kind | 79,548 | |
| GDXI | $9/2/2011$ B | \$ | $\blacksquare$ | In-Kind | 204,552 | |
| GDXJ | 9/6/2011 B | \$ | $\blacksquare$ | In-Kind | 193,222 | |
| GDXI | $9/8/2011$ B | \$ | In-Kind | 124,982 | ||
| GDXI | 9/9/2011 B | $\overline{\mathbf{5}}$ | In-Kind | 147,732 | ||
| GDXJ | $5/11/2011$ S | 5 | Jn-Kind | 23,992 | ||
| GDXJ | $5/12/2011$ s | š | In-Kind | 155,948 | ||
| GDXJ | $5/13/2011$ s | 5 | In-Kind | 59,975 | ||
| GDXJ | $5/16/2011$ s | Ş | ₩ | In-Kind | 11,995 | |
| GDXJ | $5/17/2011$ S | 7 | $\blacksquare$ | In-Kind | 23,990 | |
| GDXJ | $5/26/2011$ 5 | ţ | In-Kind | 11,994 | ||
| GDXJ | $5/31/2011$ S | \$ | ۰ | In-Kind | 35,982 | |
| GDXJ | 6/2/2011 5 | $\overline{\boldsymbol{s}}$ | - | In-Kind | 83,951 | |
| GDXJ | $6/3/2011$ s | $\overline{\boldsymbol{\varsigma}}$ | ă. | In-Kind | 59,965 | |
| GDXI | 6/6/2011 5 | Ţ | In-Kind | 71,952 | ||
| GDXJ | $6/7/2011$ s | S | e | In-Kind | 47,968 | |
| GDXJ | $6/8/2011$ S | Ţ | In-Kind | 143,904 | ||
| GDXJ | $6/14/2011$ s | ζ | 31,495 | $\overline{\boldsymbol{\mathfrak{s}}}$ | 17,333 | |
| GDXJ | 6/15/2011 5 | \$ | 88,854 | 5 | 46,914 | |
| GDXJ | 6/16/2011 5 | \$ | 102,642 | \$ $\ddot{ }$ |
55,030 | |
| GDXJ | $6/17/2011$ S | Ş | 1,030,897 | ţ | 551,668 | |
| GDXJ | 6/20/2011 5 | 5 | 195,026 | 3 $\blacksquare$ $\mathbf{r}$ |
107,056 | |
| GDXJ | $6/27/2011$ S | 3 | In-Kind | 45,352 | ||
| GDXJ | $7/27/2011$ S | \$ | In-Kind | 102,411 | ||
| GOXI | 7/28/2011 5 | $\overline{\boldsymbol{\mathsf{s}}}$ | In-Kind | 147,901 | ||
| GDXJ | 8/5/20115 | ξ | In-Kind | 22,748 | ||
| GDXJ | $8/23/2011$ S | Ţ | In-Kind | 56,835 | ||
| GDXI | 8/24/2011 5 | \$ | In-Kind | 45,468 | ||
| GDXJ | 8/25/2011 5 | \$ | In-Kind | 227,320 | ||
| GDXJ | 8/26/2011 S | Τ | 66,153 | Ś | 33,858 | |
| GDXJ | 8/26/20115 | \$ | In-Kind | 102,303 | ||
| GDXJ | 8/29/2011 S | \$ | In-Kind | 68,196 | ||
| GDXJ | $9/7/2011$ s | 3 | In-Kind | 11,363 | ||
This is Annexure A of 2 pages referred to in Form 603 - Notice of initial substantial holder
In-Kind transactions result from GDXJ receiving a basket of securities (including St Barbara Ltd) in exchange for securities in GDXJ.
The King 9/13/11
Page 2 of 2