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ST BARBARA LIMITED Major Shareholding Notification 2020

Apr 2, 2020

65749_rns_2020-04-02_868186e6-b142-4380-95d0-48871e26a4e1.pdf

Major Shareholding Notification

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page 1/3 15 July 2001

604

Form 604 Corporations Act 2001 Section 671B

Notice of change of interests of substantial holder

To Company Name/Scheme St Barbara Limited

ACN/ARSN 009 165 066

1. Details of substantial holder (1)

1. Details of substantial holder (1) 1. Details of substantial holder (1) 1. Details of substantial holder (1) 1. Details of substantial holder (1)
Name
Van Eck Associates Corporation (and its associates referred to in paragraph 6).
ACN/ARSN (if applicable)
N/A
There was a change in the interests of the
substantial holder on 31/03/2020
The previous notice was given to the company on 25/06/2019
The previous notice was dated 24/06/2019
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:
Cl f ii 4 Previous notice Present notice
Cl f ii 4 Previous notice Previous notice Present notice Present notice
ass o securtes () Person’s votes Voting power(5) Person’s votes Voting power(5)
Ordinaryshares 85,033,166
 12.22% 78,139,440 11.11%

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
Van Eck Associates
Corporation(VEAC)
See Annexure A

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
VEAC Bank of New York
Mellon as custodian
for VanEck Vectors
Gold Miners ETF		 VanEck Vectors Gold
Miners ETF (GDX)
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 the relevant
interest relates in the
ordinary course of
investment management
business.		 Ordinary shares
41,801,397		 5.95%

ME_170378147_1

VEAC Bank of New York
Mellon as custodian
for VanEck Vectors
Junior Gold Miners
ETF		 VanEck Vectors
Junior Gold Miners
ETF (GDXJ)		 Same as above. Ordinary shares
33,168,045		 4.72%
VEAC State Street Bank as
custodian for VanEck
Vectors MSCI
Australian Sustainable
Equity ETF		 VanEck Vectors
MSCI `Australian
Sustainable Equity
ETF (GRNVAU)		 Same as above. Ordinary shares
86,318		 0.01%
VEAC Bank of New York
Mellon as custodian
for VanEck Vectors
Australian Resources
ETF		 VanEck Vectors
Australian Resources
ETF (MVR.AU)		 Same as above. Ordinary shares
316,614		 0.05%
VEAC Bank of New York
Mellon as custodian
for VanEck Vectors
Small Cap Dividend
Payers ETF		 VanEck Vectors
Small Cap Dividend
Payers ETF
(MVS.AU)		 Same as above. Ordinary shares
458,948		 0.07%
VEAC Bank of New York
Mellon as
custodian for VanEck
Vectors Global Mining
UCITS ETF		 VacEck Vectors
Global Mining UCITS
ETF (UCTGDIG)		 Same as above. Ordinary shares
6,654		 0.00%
VEAC Bank of New York
Mellon as custodian
for VanEck Vectors
Gold Miners UCITS
ETF		 VanEck Vectors Gold
Miners UCITS ETF
(UCTGDX)		 Same as above. Ordinary shares
1,056,858		 0.15%
VEAC Bank of New York
Mellon as custodian
for VanEck Vectors
Junior Gold Miners
UCITS ETF		 VanEck Vectors
Junior Gold Miners
UCITS ETF
(UCTGDXJ)		 Same as above. Ordinary shares
1,244,606		 0.18%

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

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 PtyLtd Level 4 Aurora Place, 88 Phillip Street, Sydney NSW 2000
VanEck Investments Limited Level 4 Aurora Place, 88 Phillip Street, Sydney NSW 2000

Signature

print name
sign here		 ANDREW TILZER
capacity
AVP
date
02/04/2020

ME_170378147_1

DIRECTIONS

  • (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.

ME_170378147_1

This is Annexure A of 4 pages referred to in Form 604 - Notice of change of interests of substantial holder.

Holder of relevant
interest		 Date of Acquisition B/S Consideration
Cash		 Consideration
Non-Cash		 Number of Securities
GDX 06/21/2019 S - In-Kind 40,320
GDX 06/21/2019 S 2,928,937.35 - 990,199
GDX 06/24/2019 S - In-Kind 24,630
GDX 06/25/2019 B - In-Kind 128,076
GDX 06/26/2019 B - In-Kind 192,114
GDX 06/27/2019 S - In-Kind 9,852
GDX 06/28/2019 S - In-Kind 118,224
GDX 07/01/2019 S - In-Kind 137,928
GDX 07/02/2019 S - In-Kind 472,896
GDX 07/05/2019 S - In-Kind 68,964
GDX 07/09/2019 S - In-Kind 29,556
GDX 07/10/2019 S - In-Kind 261,078
GDX 07/12/2019 S - In-Kind 113,298
GDX 07/15/2019 S - In-Kind 19,700
GDX 07/16/2019 S - In-Kind 118,200
GDX 07/17/2019 S - In-Kind 103,425
GDX 07/18/2019 B - In-Kind 49,250
GDX 07/19/2019 B - In-Kind 305,350
GDX 07/22/2019 B - In-Kind 280,725
GDX 07/23/2019 B - In-Kind 132,975
GDX 07/25/2019 B - In-Kind 29,550
GDX 07/26/2019 B - In-Kind 128,024
GDX 08/02/2019 S - In-Kind 73,860
GDX 08/06/2019 B - In-Kind 142,796
GDX 08/07/2019 B - In-Kind 260,972
GDX 08/12/2019 S - In-Kind 49,230
GDX 08/13/2019 S - In-Kind 162,459
GDX 08/14/2019 S - In-Kind 403,686
GDX 08/15/2019 S - In-Kind 24,615
GDX 08/16/2019 S - In-Kind 275,688
GDX 08/19/2019 S - In-Kind 206,766
GDX 08/20/2019 S - In-Kind 221,535
GDX 08/21/2019 S - In-Kind 59,076
GDX 08/26/2019 B - In-Kind 4,925
GDX 08/27/2019 B - In-Kind 39,416
GDX 08/28/2019 B - In-Kind 9,854
GDX 09/04/2019 B - In-Kind 1,099,390
GDX 09/06/2019 B - In-Kind 374,680
GDX 09/09/2019 S - In-Kind 24,655
GDX 09/10/2019 B - In-Kind 779,098
GDX 09/11/2019 S - In-Kind 9,862
GDX 09/12/2019 S - In-Kind 9,866
GDX 09/13/2019 B - In-Kind 241,766
1 of
Page
11

This is Annexure A of 4 pages referred to in Form 604 - Notice of change of interests of substantial holder.

Holder of relevant
interest		 Date of Acquisition B/S Consideration
Cash		 Consideration
Non-Cash		 Number of Securities
GDX 09/16/2019 S - In-Kind 828,912
GDX 09/17/2019 S - In-Kind 64,142
GDX 09/18/2019 S - In-Kind 123,325
GDX 09/19/2019 B - In-Kind 838,610
GDX 09/20/2019 S - In-Kind 14,799
GDX 09/20/2019 B 7,117,632.58 - 2,295,367
GDX 09/23/2019 B - In-Kind 25,990
GDX 09/27/2019 S - In-Kind 25,985
GDX 10/01/2019 S - In-Kind 10,396
GDX 10/02/2019 S - In-Kind 20,788
GDX 10/04/2019 S - In-Kind 51,980
GDX 10/08/2019 S - In-Kind 228,712
GDX 10/16/2019 S - In-Kind 176,698
GDX 10/17/2019 B - In-Kind 5,197
GDX 10/23/2019 S - In-Kind 114,312
GDX 10/24/2019 B - In-Kind 20,784
GDX 10/29/2019 B - In-Kind 15,588
GDX 10/30/2019 B - In-Kind 150,713
GDX 10/31/2019 B - In-Kind 285,835
GDX 11/01/2019 B - In-Kind 576,867
GDX 11/04/2019 B - In-Kind 103,940
GDX 11/05/2019 B - In-Kind 239,062
GDX 11/06/2019 B - In-Kind 441,660
GDX 11/07/2019 B - In-Kind 83,136
GDX 11/08/2019 B - In-Kind 566,364
GDX 11/11/2019 B - In-Kind 228,624
GDX 11/12/2019 B - In-Kind 145,488
GDX 11/13/2019 B - In-Kind 197,448
GDX 11/18/2019 S - In-Kind 337,740
GDX 11/19/2019 S - In-Kind 155,880
GDX 11/26/2019 B - In-Kind 15,561
GDX 11/27/2019 B - In-Kind 243,836
GDX 12/05/2019 S - In-Kind 25,960
GDX 12/06/2019 S 189,031.39 - 75,065
GDX 12/09/2019 B - In-Kind 150,568
GDX 12/11/2019 S - In-Kind 726,880
GDX 12/13/2019 S - In-Kind 41,536
GDX 12/16/2019 S - In-Kind 103,840
GDX 12/19/2019 B - In-Kind 10,382
GDX 12/20/2019 B - In-Kind 181,720
GDX 12/20/2019 S 4,987,871.16 - 1,949,752
GDX 12/23/2019 S - In-Kind 200,040
GDX 12/24/2019 B - In-Kind 168,810
2 of
Page
11

This is Annexure A of 4 pages referred to in Form 604 - Notice of change of interests of substantial holder.

Holder of relevant
interest		 Date of Acquisition B/S Consideration
Cash		 Consideration
Non-Cash		 Number of Securities
GDX 12/27/2019 B - In-Kind 173,775
GDX 12/30/2019 B - In-Kind 372,375
GDX 12/31/2019 B - In-Kind 203,565
GDX 01/02/2020 B - In-Kind 233,355
GDX 01/06/2020 S - In-Kind 19,860
GDX 01/07/2020 B - In-Kind 134,055
GDX 01/08/2020 B - In-Kind 417,060
GDX 01/09/2020 B - In-Kind 134,055
GDX 01/10/2020 B - In-Kind 109,230
GDX 01/14/2020 B - In-Kind 124,125
GDX 01/15/2020 B - In-Kind 188,670
GDX 01/16/2020 B - In-Kind 99,300
GDX 01/22/2020 S - In-Kind 74,460
GDX 01/24/2020 S - In-Kind 99,280
GDX 01/27/2020 S - In-Kind 59,568
GDX 01/28/2020 S - In-Kind 104,244
GDX 02/03/2020 S - In-Kind 84,388
GDX 02/07/2020 S - In-Kind 99,260
GDX 02/11/2020 S - In-Kind 99,260
GDX 02/14/2020 S - In-Kind 99,260
GDX 02/19/2020 B - In-Kind 486,276
GDX 02/20/2020 S - In-Kind 158,784
GDX 02/21/2020 S - In-Kind 297,780
GDX 02/24/2020 S - In-Kind 347,410
GDX 02/25/2020 S - In-Kind 198,600
GDX 02/26/2020 S - In-Kind 168,810
GDX 02/27/2020 S - In-Kind 302,804
GDX 02/28/2020 B - In-Kind 89,406
GDX 03/02/2020 S - In-Kind 49,670
GDX 03/03/2020 B - In-Kind 24,840
GDX 03/05/2020 S - In-Kind 4,970
GDX 03/09/2020 S - In-Kind 39,768
GDX 03/10/2020 S - In-Kind 124,275
GDX 03/11/2020 S - In-Kind 9,942
GDX 03/12/2020 S - In-Kind 387,816
GDX 03/13/2020 S - In-Kind 487,550
GDX 03/16/2020 S - In-Kind 54,736
GDX 03/17/2020 S - In-Kind 169,150
GDX 03/18/2020 B - In-Kind 890,346
GDX 03/19/2020 B - In-Kind 422,875
GDX 03/20/2020 S - In-Kind 671,625
GDX 03/23/2020 S - In-Kind 497,500
GDX 03/26/2020 B - In-Kind 29,844
3 of
Page
11

This is Annexure A of 4 pages referred to in Form 604 - Notice of change of interests of substantial holder.

Holder of relevant
interest		 Date of Acquisition B/S Consideration
Cash		 Consideration
Non-Cash		 Number of Securities
GDX 03/27/2020 B - In-Kind 198,960
GDX 03/30/2020 S - In-Kind 646,620
GDX 03/31/2020 S - In-Kind 417,984
GDXJ 06/21/2019 S - In-Kind 17,208
GDXJ 06/21/2019 B 462,370.55 - 156,097
GDXJ 06/24/2019 S 338,559.05 - 116,265
GDXJ 06/24/2019 S - In-Kind 52,401
GDXJ 06/26/2019 S - In-Kind 17,466
GDXJ 07/01/2019 S - In-Kind 122,269
GDXJ 07/02/2019 S - In-Kind 384,296
GDXJ 07/03/2019 S - In-Kind 69,872
GDXJ 07/08/2019 S - In-Kind 104,808
GDXJ 07/09/2019 S - In-Kind 104,802
GDXJ 07/11/2019 S - In-Kind 261,975
GDXJ 07/12/2019 S - In-Kind 244,510
GDXJ 07/15/2019 S - In-Kind 209,580
GDXJ 07/16/2019 S - In-Kind 174,640
GDXJ 07/18/2019 B - In-Kind 52,392
GDXJ 07/19/2019 B - In-Kind 69,848
GDXJ 07/22/2019 B - In-Kind 174,610
GDXJ 07/23/2019 B - In-Kind 244,454
GDXJ 07/24/2019 S - In-Kind 34,924
GDXJ 07/25/2019 B - In-Kind 209,532
GDXJ 07/31/2019 B - In-Kind 139,712
GDXJ 08/02/2019 S - In-Kind 34,930
GDXJ 08/05/2019 S - In-Kind 314,334
GDXJ 08/07/2019 B - In-Kind 69,844
GDXJ 08/13/2019 S - In-Kind 34,920
GDXJ 08/14/2019 S - In-Kind 558,720
GDXJ 08/15/2019 S - In-Kind 104,766
GDXJ 08/19/2019 S - In-Kind 419,088
GDXJ 08/20/2019 S - In-Kind 384,164
GDXJ 08/23/2019 S - In-Kind 139,432
GDXJ 08/29/2019 S - In-Kind 34,876
GDXJ 09/03/2019 S - In-Kind 436,375
GDXJ 09/09/2019 S - In-Kind 17,467
GDXJ 09/10/2019 B - In-Kind 34,940
GDXJ 09/13/2019 S - In-Kind 122,318
GDXJ 09/13/2019 B 353,034.79 - 122,203
GDXJ 09/16/2019 B - In-Kind 1,774,873
GDXJ 09/17/2019 S - In-Kind 140,552
GDXJ 09/18/2019 S - In-Kind 193,226
GDXJ 09/19/2019 B - In-Kind 333,792
4 of
Page
11

This is Annexure A of 3 pages referred to in Form 604 - Notice of change of interests of substantial holder.

Holder of relevant
interest		 Date of Acquisition B/S Consideration
Cash		 Consideration
Non-Cash		 Number of Securities
GDXJ 09/20/2019 S - In-Kind 17,566
GDXJ 09/20/2019 S 5,333,044.45 - 1,721,542
GDXJ 09/24/2019 B - In-Kind 201,060
GDXJ 09/25/2019 B - In-Kind 50,262
GDXJ 10/15/2019 B - In-Kind 50,259
GDXJ 10/22/2019 B - In-Kind 134,008
GDXJ 10/28/2019 B - In-Kind 134,000
GDXJ 10/30/2019 B - In-Kind 100,524
GDXJ 10/31/2019 B - In-Kind 100,524
GDXJ 11/01/2019 B - In-Kind 1,172,710
GDXJ 11/06/2019 B - In-Kind 402,048
GDXJ 11/07/2019 B - In-Kind 67,008
GDXJ 11/08/2019 B - In-Kind 251,310
GDXJ 11/11/2019 B - In-Kind 871,312
GDXJ 11/12/2019 B - In-Kind 418,925
GDXJ 11/13/2019 B - In-Kind 234,584
GDXJ 11/15/2019 B - In-Kind 167,550
GDXJ 11/18/2019 B - In-Kind 268,096
GDXJ 11/19/2019 B - In-Kind 134,048
GDXJ 12/11/2019 S - In-Kind 2,333,380
GDXJ 12/18/2019 S - In-Kind 16,668
GDXJ 12/20/2019 S 9,415,678.97 - 3,680,576
GDXJ 12/23/2019 B - In-Kind 122,296
GDXJ 12/24/2019 B - In-Kind 91,320
GDXJ 12/27/2019 B - In-Kind 228,300
GDXJ 12/31/2019 B - In-Kind 319,599
GDXJ 01/02/2020 B - In-Kind 243,504
GDXJ 01/03/2020 S - In-Kind 15,219
GDXJ 01/06/2020 S - In-Kind 15,218
GDXJ 01/08/2020 S - In-Kind 304,340
GDXJ 01/08/2020 S 805,492.48 - 280,856
GDXJ 01/09/2020 S - In-Kind 151,130
GDXJ 01/10/2020 S - In-Kind 151,130
GDXJ 01/13/2020 S - In-Kind 241,808
GDXJ 01/14/2020 S - In-Kind 302,260
GDXJ 01/16/2020 S - In-Kind 604,480
GDXJ 01/29/2020 S - In-Kind 120,904
GDXJ 01/30/2020 B 3,804,970.10 - 1,377,648
GDXJ 01/31/2020 S - In-Kind 109,277
GDXJ 02/04/2020 S - In-Kind 202,943
GDXJ 02/12/2020 B - In-Kind 311,880
GDXJ 02/19/2020 B - In-Kind 1,122,912
GDXJ 02/25/2020 S - In-Kind 124,864

This is Annexure A of 3 pages referred to in Form 604 - Notice of change of interests of substantial holder.

Holder of relevant
interest		 Date of Acquisition B/S Consideration
Cash		 Consideration
Non-Cash		 Number of Securities
GDXJ 02/26/2020 S - In-Kind 343,332
GDXJ 02/27/2020 S - In-Kind 124,856
GDXJ 02/28/2020 B - In-Kind 748,944
GDXJ 03/02/2020 B - In-Kind 717,692
GDXJ 03/03/2020 S - In-Kind 124,840
GDXJ 03/05/2020 S - In-Kind 15,730
GDXJ 03/06/2020 S - In-Kind 408,928
GDXJ 03/10/2020 S - In-Kind 125,920
GDXJ 03/11/2020 B - In-Kind 629,600
GDXJ 03/12/2020 S - In-Kind 566,856
GDXJ 03/13/2020 S - In-Kind 1,529,108
GDXJ 03/16/2020 B - In-Kind 1,578,400
GDXJ 03/17/2020 S - In-Kind 2,081,376
GDXJ 03/18/2020 B - In-Kind 1,575,600
GDXJ 03/19/2020 B - In-Kind 2,397,496
GDXJ 03/20/2020 S 7,234,988.14 - 3,740,134
GDXJ 03/23/2020 S 395,490.19 - 213,628
GDXJ 03/23/2020 S - In-Kind 1,910,655
GDXJ 03/24/2020 S - In-Kind 42,489
GDXJ 03/31/2020 S - In-Kind 1,076,008
HAP 06/21/2019 S 13,840.15 - 4,679
HAP 08/23/2019 S - In-Kind 487
HAP 09/03/2019 S - In-Kind 487
HAP 09/16/2019 S - In-Kind 488
HAP 09/20/2019 S 7,760.06 - 2,505
HAP 11/25/2019 S - In-Kind 419
HAP 12/16/2019 B - In-Kind 840
HAP 12/20/2019 S 40,708.76 - 15,913
MVRAU 06/21/2019 B 20,177.94 - 6,815
MVRAU 06/28/2019 S 10,266.59 - 3,493
MVRAU 08/07/2019 B 2,599.23 - 668
MVRAU 08/13/2019 B - In-Kind 15,008
MVRAU 08/23/2019 B 3,726.94 - 1,168
MVRAU 08/27/2019 B 2,132.02 - 664
MVRAU 08/30/2019 B 3,430.25 - 1,065
MVRAU 09/04/2019 B 4,510.56 - 1,427
MVRAU 09/11/2019 B 1,420.98 - 511
MVRAU 09/20/2019 B 18,348.20 - 5,917
MVRAU 11/14/2019 B 645.30 - 252
MVRAU 12/18/2019 B - In-Kind 7,759
MVRAU 12/20/2019 S 17,707.77 - 6,919
MVRAU 12/31/2019 S 18,284.25 - 6,724
MVRAU 01/08/2020 S 6,269.22 - 2,185
6 of
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11

This is Annexure A of 1 page referred to in Form 604 - Notice of change of interests of substantial holder.

Holder of relevant
interest		 Date of Acquisition B/S Consideration
Cash		 Consideration
Non-Cash		 Number of Securities
MVRAU 01/20/2020 B - In-Kind 125,715
MVRAU 02/05/2020 B - In-Kind 7,393
MVRAU 02/21/2020 B 5,309.62 - 1,856
MVRAU 02/27/2020 B 2,618.85 - 1,039
MVRAU 02/28/2020 B 5,683.86 - 2,418
MVRAU 03/04/2020 B 8,326.36 - 3,343
MVRAU 03/10/2020 B 1,359.73 - 576
MVRAU 03/17/2020 S - In-Kind 30,172
MVRAU 03/23/2020 S - In-Kind 143,317
MVRAU 03/27/2020 B 46,364.43 - 21,864
UCTGDX 06/21/2019 S 48,566.22 - 16,419
UCTGDX 06/27/2019 B 15,537.11 - 5,178
UCTGDX 07/09/2019 B 32,540.60 - 10,356
UCTGDX 07/10/2019 B 16,210.38 - 5,178
UCTGDX 07/16/2019 B 16,995.73 - 5,178
UCTGDX 07/23/2019 B 1,257.56 - 353
UCTGDX 07/24/2019 B 53,726.88 - 15,528
UCTGDX 07/25/2019 B 18,284.07 - 5,176
UCTGDX 08/01/2019 B 18,284.07 - 5,176
UCTGDX 08/16/2019 B 38,943.24 - 10,350
UCTGDX 08/26/2019 B 35,331.85 - 10,354
UCTGDX 09/09/2019 S 60,306.42 - 20,728
UCTGDX 09/11/2019 S 86,431.44 - 31,092
UCTGDX 09/13/2019 B 90,548.21 - 31,110
UCTGDX 09/17/2019 S 31,218.16 - 10,372
UCTGDX 09/18/2019 B 31,517.05 - 10,370
UCTGDX 09/18/2019 S 78,537.04 - 25,925
UCTGDX 09/20/2019 B 128,820.71 - 41,526
UCTGDX 10/03/2019 B 3,703.11 - 1,303
UCTGDX 10/04/2019 B 165,264.01 - 60,093
UCTGDX 10/17/2019 B 75,988.85 - 27,315
UCTGDX 11/05/2019 B 14,599.65 - 5,248
UCTGDX 11/11/2019 B 27,529.86 - 10,924
UCTGDX 11/11/2019 B 27,529.86 - 10,924
UCTGDX 11/19/2019 S 2,528.00 - 999
UCTGDX 11/25/2019 B 39,569.55 - 15,920
UCTGDX 12/05/2019 B 28,061.14 - 10,908
UCTGDX 12/10/2019 S 27,065.37 - 10,914
UCTGDX 12/13/2019 B 13,758.74 - 5,456
UCTGDX 12/18/2019 S 13,639.32 - 5,456
UCTGDX 12/20/2019 S 89,194.48 - 34,866
UCTGDX 01/03/2020 B 57,820.01 - 21,016
UCTGDX 01/08/2020 B 45,245.99 - 15,762
7 of
Page
11

This is Annexure A of 2 pages referred to in Form 604 - Notice of change of interests of substantial holder.

Holder of relevant
interest		 Date of Acquisition B/S Consideration
Cash		 Consideration
Non-Cash		 Number of Securities
UCTGDX 01/09/2020 B 14,563.77 - 5,254
UCTGDX 01/13/2020 B 28,601.77 - 10,508
UCTGDX 01/21/2020 S 47,410.41 - 15,762
UCTGDX 01/31/2020 B 14,350.73 - 5,253
UCTGDX 02/04/2020 B 28,701.46 - 10,506
UCTGDX 02/13/2020 B 43,359.33 - 15,756
UCTGDX 02/18/2020 B 14,292.72 - 5,251
UCTGDX 02/20/2020 B 46,661.52 - 15,753
UCTGDX 02/25/2020 B 42,700.89 - 15,756
UCTGDX 02/27/2020 B 66,072.31 - 26,265
UCTGDX 02/28/2020 B 12,378.02 - 5,253
UCTGDX 02/28/2020 B 37,059.57 - 15,759
UCTGDX 02/28/2020 B 24,690.33 - 10,506
UCTGDX 03/02/2020 B 12,728.42 - 5,256
UCTGDX 03/02/2020 B 38,185.27 - 15,768
UCTGDX 03/09/2020 S 50,780.02 - 21,032
UCTGDX 03/11/2020 S 36,279.84 - 15,777
UCTGDX 03/13/2020 S 19,461.81 - 10,522
UCTGDX 03/17/2020 S 20,585.94 - 10,532
UCTGDX 03/18/2020 S 9,700.21 - 4,555
UCTGDX 03/20/2020 B 20,375.75 - 10,528
UCTGDX 03/20/2020 S 18,903.32 - 9,776
UCTGDX 03/25/2020 B 46,964.27 - 21,056
UCTGDX 03/27/2020 B 11,167.49 - 5,264
UCTGDXJ 06/21/2019 B 48,032.96 - 16,216
UCTGDXJ 06/24/2019 B 38,167.74 - 13,062
UCTGDXJ 06/25/2019 B 45,027.22 - 14,609
UCTGDXJ 06/27/2019 B 43,832.76 - 14,608
UCTGDXJ 07/10/2019 B 45,729.05 - 14,607
UCTGDXJ 07/16/2019 B 45,640.49 - 13,912
UCTGDXJ 07/17/2019 B 95,875.87 - 29,210
UCTGDXJ 07/25/2019 B 103,117.80 - 29,206
UCTGDXJ 08/06/2019 B 377,193.42 - 102,200
UCTGDXJ 08/09/2019 B 57,823.60 - 14,599
UCTGDXJ 08/14/2019 B 107,170.75 - 29,196
UCTGDXJ 08/20/2019 S 9,610.88 - 2,679
UCTGDXJ 08/29/2019 B 94,167.42 - 29,154
UCTGDXJ 09/05/2019 B 45,094.62 - 14,593
UCTGDXJ 09/12/2019 S 83,215.84 - 29,200
UCTGDXJ 09/16/2019 B 174,707.34 - 58,412
UCTGDXJ 09/16/2019 B 23,926.34 - 7,865
UCTGDXJ 09/19/2019 B 44,057.81 - 14,683
UCTGDXJ 09/20/2019 S 198,326.17 - 64,021
8 of
Page
11

This is Annexure A of 2 pages referred to in Form 604 - Notice of change of interests of substantial holder.

Holder of relevant
interest		 Date of Acquisition B/S Consideration
Cash		 Consideration
Non-Cash		 Number of Securities
UCTGDXJ 09/23/2019 B 45,108.36 - 14,683
UCTGDXJ 09/23/2019 B 2,817.89 - 891
UCTGDXJ 09/26/2019 B 42,300.23 - 14,006
UCTGDXJ 10/17/2019 B 38,961.15 - 14,005
UCTGDXJ 11/07/2019 B 38,117.54 - 14,004
UCTGDXJ 11/11/2019 S 211,729.89 - 84,024
UCTGDXJ 11/12/2019 B 72,030.95 - 28,008
UCTGDXJ 11/19/2019 S 6,462.15 - 2,556
UCTGDXJ 12/04/2019 S 9,467.77 - 3,644
UCTGDXJ 12/10/2019 S 34,537.23 - 13,927
UCTGDXJ 12/17/2019 B 68,859.15 - 27,852
UCTGDXJ 12/17/2019 S 68,791.00 - 27,852
UCTGDXJ 12/19/2019 B 35,648.89 - 13,925
UCTGDXJ 12/20/2019 S 278,028.60 - 108,681
UCTGDXJ 12/24/2019 B 33,594.45 - 12,771
UCTGDXJ 12/24/2019 B 33,589.41 - 12,771
UCTGDXJ 01/06/2020 B 36,264.87 - 12,769
UCTGDXJ 01/08/2020 S 24,575.81 - 8,569
UCTGDXJ 01/10/2020 S 103,075.12 - 38,037
UCTGDXJ 01/30/2020 B 110,579.47 - 40,037
UCTGDXJ 01/31/2020 B 107,487.04 - 39,345
UCTGDXJ 02/05/2020 S 5,029.43 - 1,885
UCTGDXJ 02/10/2020 S 108,685.15 - 39,264
UCTGDXJ 02/25/2020 B 70,929.67 - 26,172
UCTGDXJ 02/25/2020 B 35,470.15 - 13,086
UCTGDXJ 02/26/2020 B 33,549.61 - 13,094
UCTGDXJ 02/26/2020 B 65,777.89 - 26,188
UCTGDXJ 03/04/2020 B 27,586.09 - 11,071
UCTGDXJ 03/05/2020 B 65,014.08 - 26,410
UCTGDXJ 03/10/2020 S 29,992.01 - 13,208
UCTGDXJ 03/16/2020 S 44,010.47 - 26,438
UCTGDXJ 03/20/2020 S 76,604.95 - 39,601
UCTGDXJ 03/20/2020 S 51,117.85 - 26,436
UCTGDXJ 03/23/2020 S 127,735.04 - 68,124
UCTGDXJ 03/24/2020 B 65,401.24 - 31,745
UCTGDXJ 03/30/2020 B 10,998.68 - 5,330
UCTGDXJ 03/30/2020 B 26,952.40 - 11,865
UCTGDXJ 03/31/2020 B 50,576.31 - 23,740
MVSAU 06/21/2019 B 12,764.80 - 4,312
MVSAU 06/26/2019 B 4,612.95 - 1,517
MVSAU 06/28/2019 S 31,120.16 - 10,588
MVSAU 07/09/2019 S 8,020.49 - 2,555
MVSAU 07/17/2019 S 1,596.92 - 487
9 of
Page
11

This is Annexure A of 2 pages referred to in Form 604 - Notice of change of interests of substantial holder.

Holder of relevant
interest		 Date of Acquisition B/S Consideration
Cash		 Consideration
Non-Cash		 Number of Securities
MVSAU 08/05/2019 S 3,792.28 - 1,028
MVSAU 08/14/2019 B 2,246.66 - 612
MVSAU 08/15/2019 B - In-Kind 19,413
MVSAU 08/19/2019 S 1,962.91 - 535
MVSAU 08/20/2019 S 3,682.33 - 1,026
MVSAU 08/22/2019 B 2,577.46 - 788
MVSAU 08/29/2019 B 3,292.27 - 1,019
MVSAU 09/03/2019 B 3,001.07 - 926
MVSAU 09/11/2019 B 3,142.27 - 1,130
MVSAU 09/20/2019 S 53,793.66 - 17,358
MVSAU 09/26/2019 B 1,909.17 - 632
MVSAU 10/03/2019 S 871.64 - 307
MVSAU 10/17/2019 B - In-Kind 18,830
MVSAU 10/28/2019 S 704.50 - 261
MVSAU 10/29/2019 S 2,245.53 - 835
MVSAU 10/31/2019 S 3,076.52 - 1,103
MVSAU 11/04/2019 S 1,386.72 - 485
MVSAU 11/12/2019 B 1,917.75 - 746
MVSAU 11/13/2019 B 12,769.89 - 5,046
MVSAU 12/11/2019 B - In-Kind 18,954
MVSAU 12/12/2019 S 953.21 - 371
MVSAU 12/20/2019 S 14,698.03 - 5,743
MVSAU 12/20/2019 S 129,231.36 - 50,481
MVSAU 12/27/2019 B 4,358.64 - 1,602
MVSAU 12/31/2019 S 22,588.83 - 8,307
MVSAU 01/08/2020 S 2,080.18 - 725
MVSAU 02/05/2020 S 1,542.83 - 578
MVSAU 02/19/2020 B 1,336.20 - 484
MVSAU 02/25/2020 B 1,458.38 - 538
MVSAU 02/28/2020 B 2,197.85 - 935
MVSAU 03/03/2020 B 2,306.25 - 926
MVSAU 03/04/2020 B 1,726.04 - 693
MVSAU 03/10/2020 B 1,310.16 - 555
MVSAU 03/12/2020 B - In-Kind 33,406
MVSAU 03/24/2020 B 875.74 - 425
MVSAU 03/27/2020 S 17,176.70 - 8,104
MVSAU 03/27/2020 S 2,214.79 - 1,045
MVSAU 03/30/2020 S 2,975.16 - 1,311
MVSAU 03/30/2020 S - In-Kind 16,383
GRNVAU 08/27/2019 B 182,268.97 - 56,766
GRNVAU 09/02/2019 B 532.87 - 167
GRNVAU 09/10/2019 B 555.36 - 199
GRNVAU 09/23/2019 S 352.95 - 115
10 of
Page
11

This is Annexure A of 1 page referred to in Form 604 - Notice of change of interests of substantial holder.

Holder of relevant
interest		 Date of Acquisition B/S Consideration
Cash		 Consideration
Non-Cash		 Number of Securities
GRNVAU 09/30/2019 S 1,240.86 - 428
GRNVAU 10/01/2019 B - In-Kind 2,968
GRNVAU 11/11/2019 B - In-Kind 11,892
GRNVAU 11/11/2019 B 315.09 - 125
GRNVAU 11/13/2019 B 283.44 - 112
GRNVAU 11/19/2019 B - In-Kind 5,958
GRNVAU 11/25/2019 B - In-Kind 2,979
GRNVAU 11/26/2019 S 10,702.05 - 4,282
GRNVAU 12/30/2019 B 1,032.80 - 381
GRNVAU 12/31/2019 S 2,537.07 - 933
GRNVAU 01/02/2020 S 463.97 - 170
GRNVAU 01/14/2020 B - In-Kind 5,586
GRNVAU 01/31/2020 B 789.19 - 289
GRNVAU 02/19/2020 B 450.00 - 163
GRNVAU 02/26/2020 B 311.33 - 124
GRNVAU 02/28/2020 B 12,644.26 - 5,380
GRNVAU 03/02/2020 B 593.06 - 245
GRNVAU 03/05/2020 B 551.16 - 224
GRNVAU 03/13/2020 B 183.20 - 99
GRNVAU 03/31/2020 S 3,004.60 - 1,411
UCTHAP 12/20/2019 S 1,353.63 - 529
UCTGDIG 06/21/2019 B 497.50 - 168
UCTGDIG 07/10/2019 B 3,219.09 - 1,028
UCTGDIG 09/20/2019 S 384.23 - 124
UCTGDIG 01/30/2020 B 3,200.28 - 1,159
In-Kind transactions result from UCTGDIG receiving a basket of securities (including ST BARBARA
LTD) in exchange for securities in UCTGDIG.

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Page 11 of 11

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