ToCompany Name/Sc:he:me
Form 603
corporatlons Açt 2001
Soctlon 671!1
lillotice of initial substantial holder
PROTO RESOURCES & INVESTME!NTS LIMITED
603 15 JUiy 2001
ACN/ARSN 108 51)7 517
1. Oatalls of substantlal holdor (1ì
N•m• Bergen Global Opp?rtunity Fund Il, LLC, Bergen Global Opportunity Fund, LP, SerQan Asset M•nagement, I.I.C
and Elll_ene Tablls 1tooether, "Beroen")
ACN l ARSN (ifapplioable) ...t!L--------------------------------1
Thlil holder becarn1:1 a substantial halder on 07/0112014
2. OataUs of voting powor
The total numbet of votee. attt ched to ali the' voting shates in the campany or voting •nterests in the $Cheme thlilt thG substantial holder or an ,ç .::.::;:ocìate
(2) had a relevant interest (3) in on tM date the substantii:ll holder bec rna substantial holdt'f!r are as follows:
l Class of securitles (4) J Number of securlties 1 ersons' voto• (5)
Votinq power 6
l Ordinorv $hares 53,493,833 l 63,493 aaa l 9.79% l
3. Detalls of releva.nt intenustto
The nature of the ralevant interest the substantial holder or an a $oclate had in the- following voting securlties on the date tM substantia.l holder became a eubatantial holdar are as follow9:
Hold1U of relerv nt lnterest | d | Nature of 11o11avant lntereli-t 7 | CIS$& and numbaof securitiàS |
Sergen Global Opportunity un Il, LI.C | d | Registerad holder of haros | 53,493,833 |
Sergen Global Opportl..mity Fund, LP | Deemed ralevant interest as controllet of Elero•n Global Opponunity Fund Il, I.I.C | 53,493,833 | |
6orgen Asset Mooagemen, LI.C | Power to control voting ami disposal of share oii ii!S Manager of Bafgen Globiill Oooorlu111tv Fund, LP | 53,493,833 | |
Eugenfot lablis | P ; ; med releviilnt lnterest f;f c;:Ot'ltroller of Bemal"' Asset Manat ement, LLC | 53,493,633 |
4, Dotail• of pro•onlroglsterod holdoro
Tha plilrsons fjiji!Qiliitlilred aiholders of the !iiiE cu itles referred to in paragriilph above are as follow,.,:
l
Tha considerç.tlon paid f(leach relevant lnterest reterred to in paragraph 3 above, and acqulred in tha four months prior to the day that the subijtantlal holder bec;:ame a oub$tantlal hoh;h;n· is as fc llow6:
Holder o·f relevlilnt intemst | Dateof acqulsition | Consideration (9) | ChiiOij and numbiillof securltles | |
Holder o·f relevlilnt intemst | Dateof acqulsition | cash | NM·cash | |
Bergen | 27112113 | Balance $hares acqulrd as per Proto Reaources & lnveijtme'llts Lirnlted's ASX announcement dated 27 Doc<.mber 2013 | 16,456,796 | |
B rgen | 07101114 | Conversioli of $30,000 of t:onvertible security | 37,037,037 |
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6. A5sociato:s
The reasons the pa $onnamed in para{Jr ph 3 above are assodata$ of the substantial holdar if:ll'fii çfoUow :
Name and. (lf; or
7. Addri' liielii
The addresses of parsons named in thls ft'Jrm are as follows:
Name l
l 400 Madlson Avonuo, Suite 16A. New York. NY 001" USA
Signature
printname Co B, ur n •-------------------------- C ao •• o iittv C F O I C O O ----------------------
dato
o o V
DIRECTIONS
(l) lf there arGl a number of :i:iub oiitanflal holders wllh sirnllar or related relevant interests (eg. a corpotat!on and lt:,; r'él.:tt!i!d c:orpor:atiomi, or the manager and trustee of an equlty tn.1 t), the names could be lncludtd in an :annexure to the form. lt the relevant lnterests ot a gtoup ot pe11;>ons ate assiilntially sirnilar, thlo'Y may be refemild to throughout the form as a specifically named group 1r· tM miòlmbatship of ; eh group, with the names and addresses of memtu.:m;; iloii clearly set aut in paragraph 7 of thlil t'onn.
(2) See th :J dQfinitJon af "iiJ oii ociate" in s.ectlon 9 ot' tha Corporatiomii A et 2001,
(3) See the definitian of "relavaot (ntereot" in sections 608 and 67"11:'3(7) ot the Corporations A.
(<1·) The votina shares of a company c<:mstitute one clas unless divided into separal :J classas.
(5) The total number of votes attaohod lo ali the voting shares In tha eomponY or voting interesto in the scheme (if any) that the person or an as5ociate has a relevant interest In.
(6) 1'he person's votes dlvlded Y tho !<>tal votes in the body corporale or >
(b)
any qualification of the power of a pereon to exercise, control the exercise of. or lnfluence tha axarei$Gl o'f, tha voUng powars or die:po5al of
the 9ecuritietio which the reki:vant lntéi'EIIiiit rel te9 (indica:ting clearly the particular securitles to whlch the quallflcatlon applles).
See the deflnitlon of "relevant aaree ment" in section 9 of the Corporatialiii;i Act 2001.
(8) lf thfa $Ub:;;tanti'lll holder i:;; unable to determina tha identity ot' the pena.on (eg. lf the relevant interest arises because of an option) write "unknown". (9) Oetails of the consideration must indudiòl ;;.ny a nd ii111 benefits., money and other, that any person from whom a relevant interest was acqulred has,
or may, become antltlad to receive in relation to that acqulsltlon. oatailrnw$t be included even ifthe benefit ie; conditional on the happening or
not of a contingency. Details must tJ4t included of any benefit paid on behalf of the substanllal holdar or lts a$&Qclate In ralation to tha
acquisitions. even if they are not pald dlièctly to the pen;on frum whom the relevant intorest was acqulred.
0850 3:JI.:J.:JO X3Q3.:J 9 :81 P10 /80/10
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