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Sunshine Oilsands Ltd. Major Shareholding Notification 2014

Sep 5, 2014

50340_rns_2014-09-04_5c02879e-22f8-47f4-ad55-f5be3a5be98b.pdf

Major Shareholding Notification

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For Main Board and GEM listed issuers

==> picture [140 x 68] intentionally omitted <==

Monthly Return of Equity Issuer on Movements in Securities

For the month ended (dd/mm/yyyy) : 31/08/2014

To : Hong Kong Exchanges and Clearing Limited

Name of Issuer Sunshine Oilsands Ltd. Date Submitted 05/09/2014

I. Movements in Authorised Share Capital

1. Ordinary Shares

1. Ordinary Shares 1. Ordinary Shares 1. Ordinary Shares 1. Ordinary Shares 1. Ordinary Shares
(1) Stock code :
2012
Description :
Class“A”
No. of ordinary
shares
Balance at close of preceding month
3,891,198,365
Increase/(decrease)
422,677
Balance at close of the month
3,891,621,042		 Class“A” Common Shares
Par value
(State
currency)
Authorised share
capital
(State currency)
No par
value
CAD$ Unlimited
CAD$ No par
value
CAD$ Unlimited
CAD$ No par
value
CAD$ Unlimited
CAD$
Par value
(State
currency)
No par
value
CAD$ No par
value
CAD$ No par
value
CAD$
(2) Stock code :
N/A
Description :
N/A
No. of ordinary
shares
Balance at close of preceding month
N/A

Increase/(decrease)
N/A

Balance at close of the month
N/A
 N/A Authorised share
capital
(State currency)
N/A
N/A
N/A
Par value
(State
currency)
N/A

N/A

N/A

For Main Board and GEM listed issuers

  1. Preference Shares
2.PreferenceShares 2.PreferenceShares
Stock code :
N/A
Description :
Class “G”
No. of preference
shares
Balance at close of preceding month
0
Increase/(decrease)
0
Balance at close of the month
0		 Class “G” Preferred Shares
Par value
(State
currency)
Authorised share
capital
(State currency)
No par
value
CAD$ Unlimited
CAD$ No par
value
CAD$ N/A
No par
value
CAD$ Unlimited
CAD$ PreferredShares
Par value
(State
currency)
Authorised share
capital
(State currency)
No par
value
CAD$ Unlimited
CAD$ No par
value
CAD$ N/A
No par
value
CAD$ Unlimited
CAD$
Par value
(State
currency)
No par
value
CAD$ No par
value
CAD$ No par
value
CAD$
Stock code :
N/A
Description :
Class “H”
No. of preference
shares
Balance at close of preceding month
0
Increase/(decrease)
0
Balance at close of the month
0		 Class “H”
Par value
(State
currency)
No par
value
CAD$ No par
value
CAD$ No par
value
CAD$
N/A
Unlimited
CAD$
3. Other Classes of Shares
Stock code :
N/A
Description :
N/A
No. of other
classes of shares
Balance at close of preceding month
N/A

Increase/(decrease)
N/A

Balance at close of the month
N/A
 N/A Authorised share
capital
(State currency)
N/A
N/A
N/A
Par value
(State
currency)
N/A

N/A

N/A

Total authorised share capital at the end of the month (State currency) :

Unlimited CAD$

For Main Board and GEM listed issuers

II. Movements in Issued Share Capital

Balance at close of
preceding month
Increase/ (decrease)
during the month
Balance at close of the
month		 No. of ordinary shares
(1) – Class “A”
common shares
(2)		 No. of ordinary shares
(1) – Class “A”
common shares
(2)		 No. of preferred
shares
Class “G” and
“H” preferred
shares
No. of other classes
of shares		 No. of preferred
shares
Class “G” and
“H” preferred
shares
No. of other classes
of shares
3,891,198,365
422,677
3,891,621,042
N/A

N/A

N/A
0

0

0
N/A

N/A

N/A

III. Details of Movements in Issued Share Capital

Share Options (under Share Option Schemes of the Issuer)

Particulars of No. of new shares No. of new shares of issuer share option of issuer issued which may be issued scheme during the month pursuant thereto as at close including EGM pursuant thereto of the month approval date Movement during the month (dd/mm/yyyy) and class of Cancelled/ shares issuable Granted Exercised Forfeited Lapsed 1.Pre-IPO Share Option Scheme

(09/09/2010) Class “A” common 0 0 0 0 0[72,825,686 (Remarks: See ] Note A) shares (Note 1) 2. Post-IPO Share Option Scheme

(26/01/2012) Class “A” common 0 0 150,000 0 0[53,054,131 ] (Remarks: See Note B) shares (Note 1) 3. N/A

For Main Board and GEM listed issuers

( / / ) shares N/A N/A N/A N/A N/A N/A (Note 1) Total A. (Ordinary shares) N/A (Preferred shares) N/A (Other class) N/A Total funds raised during the month from exercise of options (State currency) N/A

Warrants to Issue Shares of the Issuer which are to be Listed

Warrants to Issue Shares of the Issuer which are to be Listed Warrants to Issue Shares of the Issuer which are to be Listed Warrants to Issue Shares of the Issuer which are to be Listed Warrants to Issue Shares of the Issuer which are to be Listed Warrants to Issue Shares of the Issuer which are to be Listed
Description of warrants
(Date of expiry- dd/mm/yyyy)
Currency
of nominal
value
Nominal value
at close of
preceding
month
Exercised
during the
month		 Nominal
value at close
of the month

No. of new
shares of
issuer
issued
during the
month
pursuant
thereto
No. of new shares
of issuer which may
be issued pursuant
thereto as at close of
the month
1. Warrants
(09/12/2015 to
28/02/2016 )
Stock code (if
listed)
Class of shares
issuable_(Note D)
Subscription price
EGM approval
date
(if applicable)
(dd/mm/yyyy)
2. N/A
( / / )
Stock code (if
listed)
Class of shares
issuable(Note 1)
Subscription price
EGM approval
date
(if applicable)
(dd/mm/yyyy)
3. N/A
( / / )
Stock code (if
listed)
Class of shares
issuable(Note 1)_
Subscription price
EGM approval
date
(if applicable)
(dd/mm/yyyy)
4. N/A
( / / )		 HKD
N/A		 N/A

 0

N/A

N/A

N/A
 N/A

N/A

N/A

N/A
 0

N/A

N/A

N/A
 211,230,941
N/A
Class “A” Common Shares
HKD 1.88
(/ / )N/A
N/A
N/A		 N/A
N/A
N/A
N/A
(/ / )N/A
N/A
N/A		 N/A
N/A
N/A
N/A
(/ / )N/A
N/A N/A

For Main Board and GEM listed issuers

For Main Board and GEM listed issuers For Main Board and GEM listed issuers
Description of warrants
(Date of expiry- dd/mm/yyyy)
Currency
of nominal
value
Nominal value
at close of
preceding
month
Exercised
during the
month
Nominal
value at close
of the month
No. of new
shares of
issuer
issued
during the
month
pursuant
thereto
No. of new shares
of issuer which may
be issued pursuant
thereto as at close of
the month
Stock code (if
listed)		 N/A
N/A
N/A
(/ /)N/A
Total B.(Ordinary shares)N/A
(Preferred shares)N/A
(Other class) N/A
Class of shares
issuable_(Note 1)_
Subscription price
EGM approval
date
(if applicable)
(dd/mm/yyyy)

Convertibles (i.e. Convertible into Shares of the Issuer which are to be Listed)

Class and description Class and description Currency
of amount
outstanding
Amount at
close of
preceding
month		 Currency
of amount
outstanding
Amount at
close of
preceding
month		 Currency
of amount
outstanding
Amount at
close of
preceding
month		 Converted/
Forfeited
during the
month		 Amount at
close of the
month
No. of new
shares of
issuer
issued
during the
month
pursuant
thereto
No. of new shares of
issuer which may be
issued pursuant
thereto as at close of
the month
No. of new
shares of
issuer
issued
during the
month
pursuant
thereto
No. of new shares of
issuer which may be
issued pursuant
thereto as at close of
the month
1. Class “G” preferred
shares
N/A

N/A		 0
 0
 0

0



0

0
Stock code (if
listed)
Class of shares
issuable_(Note 1)_
Subscription price
EGM approval
date
(if applicable)
(dd/mm/yyyy))
2. Class “H” preferred
shares		 0
 0

0
N/A
N/A
(

N/A

N/A
Stock code (if
listed)
Class of shares
issuable_(Note 1)_
Subscription price
EGM approval
date
(if applicable)
(dd/mm/yyyy)
3. N/A
N/A
N/A
(

For Main Board and GEM listed issuers

Class and description Class and description Currency
of amount
outstanding
Amount at
close of
preceding
month		 Currency
of amount
outstanding
Amount at
close of
preceding
month		 Currency
of amount
outstanding
Amount at
close of
preceding
month		 Converted/
Forfeited
during the
month		 Amount at
close of the
month
No. of new
shares of
issuer
issued
during the
month
pursuant
thereto
No. of new shares of
issuer which may be
issued pursuant
thereto as at close of
the month
No. of new
shares of
issuer
issued
during the
month
pursuant
thereto
No. of new shares of
issuer which may be
issued pursuant
thereto as at close of
the month
N/A

N/A		 N/A
 N/A
 N/A

N/A
Stock code (if
listed)
Class of shares
issuable_(Note 1)_
Subscription price
EGM approval
date
(if applicable)
(dd/mm/yyyy)
4. N/A		 N/A
 N/A


N/A
N/A
N/A
(
N/A

N/A
Stock code (if
listed)
Class of shares
issuable_(Note 1)_
Subscription price
EGM approval
date
(if applicable)
(dd/mm/yyyy)
N/A
N/A
(

Any other Agreements or Arrangements to Issue Shares of the Issuer which are to be Listed, including Options (other than under Share Option Schemes)


Options (other than under Share Option Schemes)
Options (other than under Share Option Schemes)
Full particulars including EGM approval date (dd/mm/yyyy),
if applicable, and class of shares issuable:		 No. of new shares
of issuer issued
during the month
pursuant thereto
No. of new shares of issuer
which may be issued
pursuant thereto as at close of
the month
1.
2.
3.		 Employee Share Savings Plan 422,677
N/A
N/A		 N/A
(07 /05 /2013 )
shares_(Note C)_
N/A N/A
( / / )
shares_(Note 1)_
N/A N/A
( / / )
shares_(Note 1)_
For Main Board and GEM listed issuers For Main Board and GEM listed issuers
Total D. (Ordinary shares) 422,677
(Preferred shares) N/A
(Other class) N/A
Other Movements in Issued Share Capital
No. of new No. of new shares
shares of of issuer which
issuer issued may be issued
during the pursuant thereto as
month at close of the
pursuant month
thereto
Type of Issue
Class
of		 shares
__
issuable_(Note 1)_
Issue and allotment ( / / )
For Main Board and GEM listed issuers
422,677
N/A
N/A		 For Main Board and GEM listed issuers
422,677
N/A
N/A		 For Main Board and GEM listed issuers
422,677
N/A
N/A
Total D. (Ordinary shares) 422,677
N/A
N/A
(Preferred shares)
(Other class)
Other Movements in Issued Share Capital
Type of Issue No. of new
shares of
issuer issued
during the
month
pursuant
thereto		 No. of new shares
of issuer which
may be issued
pursuant thereto as
at close of the
month

Class
of
shares
issuable_(Note 1)
Issue and allotment
_
( / / )
1. Rights issue
At
price :
State
currency
date :
(dd/mm/yyyy)
EGM approval
date:
(dd/mm/yyyy)
( / / )
 N/A N/A
2. Open offer
At
price :
State
currency
Class
of
shares
issuable_(Note 1)
Issue and allotment
date :
(dd/mm/yyyy)
EGM approval
date:
(dd/mm/yyyy)
_
( / / )
( / / )
 N/A N/A
3. Placing
At
price :
State
currency
HKD
Class
of
shares
issuable
Issue and allotment
date :
(dd/mm/yyyy)
EGM approval
date:
(dd/mm/yyyy)
Class
“A”Common
Shares__
( / / )
( / / )
 N/A N/A
4. Bonus issue
Class
of
shares
issuable_(Note 1)
_
 N/A N/A

For Main Board and GEM listed issuers

Type of Issue No. of new
shares of
issuer issued
during the
month
pursuant
thereto		 No. of new
shares of
issuer issued
during the
month
pursuant
thereto		 No. of new shares
of issuer which
may be issued
pursuant thereto as
at close of the
month
Issue and allotment
date :
(dd/mm/yyyy)
EGM approval
date:
(dd/mm/yyyy)
( / / )
( / / )
5. Scrip dividendAt
price :
State
currency		 Class
of
shares
issuable_(Note 1)
Issue and allotment
date :
(dd/mm/yyyy)
EGM approval
date:
(dd/mm/yyyy)
_
( / / )
( / / )
 N/A N/A
6. Repurchase of
shares		 Class of shares
Class “A” common
repurchased_(Note_
D)
Cancellation dates :
(dd/mm/yyyy)
EGM approval
date:
(dd/mm/yyyy)
 N/A N/A
7. Redemption of
shares		 Class
of
shares
redeemed_(Note 1)
Redemption date :
(dd/mm/yyyy)
EGM approval
date:
(dd/mm/yyyy)
_
( / / )
( / / )
 N/A N/A
For Main Board and GEM listed issuers For Main Board and GEM listed issuers For Main Board and GEM listed issuers For Main Board and GEM listed issuers For Main Board and GEM listed issuers
Type of Issue No. of new
shares of
issuer issued
during the
month
pursuant
thereto		 No. of new shares
of issuer which
may be issued
pursuant thereto as
at close of the
month
8. Consideration
issue
At
price :
State
currency
Class
of
shares
issuable_(Note 1)
Issue and allotment
date :
(dd/mm/yyyy)
EGM approval
date:
(dd/mm/yyyy)
_
( / / )
( / / )
 N/A N/A
9. Capital
reorganisation		 Class
of
shares
issuable_(Note 1)
Issue and allotment
date :
(dd/mm/yyyy)
EGM approval
date:
(dd/mm/yyyy)
_
( / / )
( / / )
 N/A N/A
10. Other
(Please
specify)
At
price :
State
currency
Class
of
shares
issuable_(Note 1)_
Issue and allotment
date :
(dd/mm/yyyy)
EGM approval
date:
(dd/mm/yyyy)
___
( / / )
( / / )
 N/A N/A
Total E. (Ordinary shares)N/A
(Preferred shares)N/A
(Other class)N/A
N/A
N/A
Total increase / (decrease) in ordinary shares during the month (i.e. Total of A to E):
(1)
422,677
(2)
N/A
Total increase / (decrease) in preferred shares during the month (i.e. Total of A to E):
0
Total increase / (decrease) in other classes of shares during the month (i.e. Total of A to E):
N/A
(Thesefigures should be the same as the relevantfigures under II above(“Movements in Issued Share Capital”).)		 422,677
N/A
0
N/A

For Main Board and GEM listed issuers

Remarks (if any):

Note A: As at 1 August 2014, our Pre-IPO Share Option Scheme had 72,825,686 stock options outstanding. During the month of August 2014, Nil stock options were exercised and Nil stock options were forfeited. As at 31 August 2014, our Pre-IPO Share Option Scheme had 72,825,686 stock options outstanding, of which 72,825,686 stock options were vested (Nil stock options vested in the month of August 2014) and available for exercise into Class “A” common shares on a 1 for 1 basis.

Note B: As at 1 August 2014, our Post-IPO Share Option Scheme had 53,204,131 stock options outstanding. During the month of August 2014, Nil stock options were granted and 150,000 stock options were forfeited. As at 31 August 2014, our Post-IPO Share Option Scheme had 53,054,131 stock options outstanding, of which 37,593,577 stock options were vested (Nil stock options were vested in the month of August 2014) and available for exercise into Class “A” common shares on a 1 for 1 basis. Note C: The purpose of the Employee Share Savings Plan (the “Plan”) approved at the Company’s Annual General Meeting on 7 May 2013, is to provide an opportunity for employees of the Company to purchase Class “A” Common Shares (“Shares”) from the Company’s treasury at the Market Price (as defined by the Plan) through voluntary automatic payroll deductions, thereby attracting, retaining, encouraging and rewarding employees to use their combined best efforts on behalf of the Company and to ensure that employees have a share in the increased profitability and value of the Company. The Company will support the acquisition of Shares by employees pursuant to the Plan through matching employee contributions to the Plan within certain limits defined by the Plan. Contributions by employees and the Company will be made for the purchase of Shares on a regular basis. On 29 August 2014, 422,677 new Shares were issued pursuant to the Plan.

Note D: Each whole warrant entitles the subscriber to acquire one Class “A” Common Share at an exercise price of HKD 1.88 per Class “A” Common Share, for a period of 24 months following the closing date of the Unit offering which included one Class “A” Common Share and one third of one warrant per Unit. As at 1 August 2014, the Company had 211,230,941 warrants outstanding. During the month of August 2014, there were Nil warrants issued. At 31 August 2014 there were 211,230,941 warrants outstanding.

Submitted by: _Al Stark_______

Title: __Treasurer____ (Director, Secretary or other duly authorised officer)

Notes :

1. State the class of shares (e.g. ordinary, preference or other).

2. If there is insufficient space, please append the prescribed continuation sheet.

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