TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARESi | |
1. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attached: ii | Griffin Mining Limited |
2 Reason for the notification (please tick the appropriate box or boxes): | |
An acquisition or disposal of voting rights | X |
An acquisition or disposal of qualifying financial instruments which may result in the acquisition of shares already issued to which voting rights are attached | |
An acquisition or disposal of instruments with similar economic effect to qualifying financial instruments | |
An event changing the breakdown of voting rights | |
Other (please specify): | |
3. Full name of person(s) subject to the notification obligation: iii | Overbrook Management Corporation |
4. Full name of shareholder(s) (if different from 3.):iv | Andrew J Goffe
Overbrook Select Master Fund Overbrook Opportunity Fund I LP Overbrook Opportunity Fund II LP |
5. Date of the transaction and date on which the threshold is crossed or reached: v | 3 August 2016 |
6. Date on which issuer notified: | 4 August 2016 |
7. Threshold(s) that is/are crossed or reached: vi, vii | From below 5% to above 5% |
8. Notified details: | |||||||
A: Voting rights attached to shares viii, ix | |||||||
Class/type of shares
if possible using the ISIN CODE |
Situation previous to the triggering transaction | Resulting situation after the triggering transaction | |||||
Number of Shares | Number of Voting Rights | Number of shares | Number of voting rights | % of voting rights x | |||
Direct | Direct xi | Indirectxii | Direct | Indirect | |||
Ordinary Shares
BMG319201049 |
8,936,137 |
8,936,137 |
9,186,137 |
9,186,137 |
|
5.13% |
|
B: Qualifying Financial Instruments | ||||
Resulting situation after the triggering transaction | ||||
Type of financial instrument | Expiration date xiii | Exercise/Conversion Period xiv | Number of voting rights that may be acquired if the instrument is exercised/converted. | % of voting rights |
– | – | – | – | – |
C: Financial Instruments with similar economic effect to Qualifying Financial Instruments xv, xvi | ||||||
Resulting situation after the triggering transaction | ||||||
Type of financial instrument | Exercise price | Expiration date xvii | Exercise/Conversion period xviii | Number of voting rights instrument refers to
|
% of voting rights xix, xx
|
|
– | – | – | – | –
|
Nominal | Delta |
– | – |
Total (A+B+C) | |
Number of voting rights | Percentage of voting rights |
9,186,137 |
5.13% |
9. Chain of controlled undertakings through which the voting rights and/or the financial instruments are effectively held, if applicable: xxi |
Andrew Goffe is the majority shareholder of Overbrook Management Corporation and each of the other shareholders listed in Section 4 is an investment vehicle which is managed by Overbrook Management Corporation.
As an SEC Registered Investment Advisor, Overbrook Management Corporation is consequently subject to the shareholder disclosure thresholds prescribed by DTR 5.1.5.
|
Proxy Voting: | |
10. Name of the proxy holder: | N/A |
11. Number of voting rights proxy holder will cease to hold: | N/A |
12. Date on which proxy holder will cease to hold voting rights: | N/A |
13. Additional information: | None. |
14. Contact name: | Lloyd Moskowitz |
15. Contact telephone number: | +1 6463159714 |