Form 604
Corporations Act 2001
Section 6718
Notico of change of interests of substantial holder
I9 Company N me/Schemo
ACN/ARSN
1'1<01'0RESOURCES & INVESTMENl'$I.IMITEI:l
.J08 5o7 o17
1. Details olsubstantlal holdor(1)
Name
Hemen Global O ortunity Fund Il, LLC, Bergen Global Opportunity Fwnd. LP, Bergen Aeset Management.
l.LC-and E oer'Tabli$ ltooether. "Beraen"l
ACN/ARSN (ilapplicable) N/A
lhére was a change in the interests of the
substantlal hOide< on .JlZ{Ot/14
The previous notice was given to tht;:qmpany
on 09/01/14
The previous notlce was datéd 09/01114
2. Previous and present votlng power
The total numbar of votes attaohed to a1ll tha voting shares in the company or voting intere ts in the scheme that the substantial holdar or iiit'l associata (2) had a relevant interest (3) Jn when last required, and whan now !'fi:lquired, to give a substantial holding notlce to tha cotl'lpany or schema, are e:follow ;
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3. Changos In rolOVC&nt intareGti
Partl!:::ul<;m,ot e:G ch change in, or chang.e in the nature of, a relevant ll"'lér"Bliit of the e.ube.tantial holder or an associate In votlng secu itifJof the company or scheme. since tht;::.ub5tall'llal holder w;;.$ l.ç,t required to give a substantlal hOlding notice to the company are as follows:
D•te of Person who!.iie Nature of Cont.:iideration Class and chang.:: ralevant i1nterest oh•ngo(6) given In mlatlon to number of | ParsOr"l'$ voti;;!$ affected 16,456.796 | |
changiild change (7) :EiéCU(itii;:l affected Sergen Seli $16,382 16.456.796 | ParsOr"l'$ voti;;!$ affected 16,456.796 | |
07/01/14 | changiild change (7) :EiéCU(itii;:l affected Sergen Seli $16,382 16.456.796 | ParsOr"l'$ voti;;!$ affected 16,456.796 |
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4. Prasant relevant intora$"WHold•r of relevant intere5t | Registered holdaQf eecurith s | Person entill ;d 1o be registefed holder (8) | Nature of relev nt interest (6) | Class and numbar· Of securities | Person's votes |
6ergen Global Opportunity Fund Il. LLC | Bergan Giobal Opportunlty F"nd Il, LLC | Bergen Global Opportunity F"nd Il, LLC | Reglstare holder of sh rei | 37,037,037 ordinai)' sharf:!s | 37,037,03"1 |
Sergon Global Opportunity Fund, LP | Sergen Glob;>l Opportunity FuOd Il, LLC | 6ergen Globai Opportunity Fund Il, I.I.C | Oeemed ralevant interest a$ controUer of Sergen Global Opportunity l'unIl, LLC | :n,os7,037 ol'dlnary t;;ihares | 37,037,037 |
Bergen Asset Manaaement. LLC | Berglltn Global Opporlunìty l'und Il, LLC | Bergen Global OpportUillty F'und Il. LLC | Power to control voting and dlsposal of shç .11;19 as Ma.nagf:.l'r of 6ergen Global Opportunity Fund, LP | 37,037,037 ordimuy 5hares | 37,037,037 |
Eugene Tabllo | Bergen Global Opportunity Fund Il, LLC | Bergen Global Opportunity Fund IL LLC | Daemed relevant interest as CMtroller of Sergiòln A iet Management. LI.C | 37,037,037 ordinary sha.fè$ | 37,037,037 |
00 39ld 0850 3:JU.:JO X3Q3.:J
ti. Changos In 650Ciatlon
The par ons who have: becomi':l r. socJate(2) ot, ceased to blil associata!$ of, or hava changed tha nature of thair assoclatlon (9) with, the iubstantlal holder in relatlon to voting interests it1 the cornpany or sch1;1me area. follows:
Name and ACN/AF• IS,_N:uJJ(ifwa!;p,p,lic,.•,b"loul+------'N!!a!ltu"'-""-'o"-f"a o• , o!.>cl!'la,_..ti"on"-------------1
N/A
6. AddroS.!:ialii
The addra6oe:es of petson6o named in this t'orm are:
Name Bergen | Address | |
Name Bergen | 400 Madison Avonuo, Suit• "16A, New York, NY 10017 USA |
Slgnature
print namà
Cory Burns capacity CFO/COO
sign here
dato cYI t U
DIRECTIONS
( 1) lf there are a r"'Ymber of sub tantial holders wlth ::.ìmilar or n:;plated relevanlintereets (eg. a corporatian al'ld it6o related CO(porations, O( lh
mana.gvr and trusteiil c;f an equlty trust), thnames could be included in an anne}(uta to the form. Jt' the relevant int ree.ts of a group of persons
are S$1i!ntially similar, they may be referred to throughout the form as ;;,gpecificaUy named group lt the membershlp of each group, with the
names and addresses of rnembflrs i:;; clearly sat ot in paragta.ph 6 of the forrn.
(2) S!lt:the definltion of " ,g;.ociata" ·1n sect!on a ofthe Corpot tions Act 2001.
(3) See the datinition of "relav;; nt interesr in sectlons 6013 and 671 8(7) ofthe Corpor.; tions Act 2001.
(4) The votlng ,>hares of a cornpany con;.titute ona Cli!i5 unless divided into s parate classes.
(S) TM pan;.;on'e votes divided by th:;total votiilin the body cotporate or schf;;lme multiplle:d by 100.
(6) Includa details of:
(a.) any relevant agreement or other drcurnl;itances beca ,.e ofwhlch thfi' change In I'Cili$Vilnt interest occurred. lf subst!lc!ion 6718(4) applie!oi, a oopy of any document settln9 out the tflrms of any relevant agreement. nd a statement by the person glvlng full and accurata details of any contract. schema !)f anrar1gament, lllUSt accompany this t'orm, together with i; written statemant certifying thls contract, schema or arrangement: md
(b) any quallflcation of the power of a pàr!iion to exerciM, oontrol the flx ; rcise of, or lnfii,Jènce the exerclsB of, the voting powfilrQ or disposaJ ot' thiil ecuritiee to Whlch the reJevant interest télatee: (indlcaling clearly the piitrticular securltlas to which the quaMication applies).
See the definition of ''relevant agreeme1mt" in section 9 of the Corpor tlons Act 2001.
(7} Du:r tii otìhe consìde:r tlon must include any a.nd aU benefits, money and other, that any p t$on trom whom a "Glf,,want interest w;;.:;; acquired has, or may, become entitled to receiv1in relation to that acquisition. Oetails must be included ev :n lf the benefit is conditlonal on the happening or not of a çontingency. ùf;lt;; iiJ,;; mu:st be rncluded or any benefit paid on behalf of the subetantial holdGll' or its associate In ( l tion to the
;; cquisitions, ev€1n it' they are not paid directly to the person •ftom whom the tal : vant interest was iitcquired.
(8) lf the sub iihmtial holder ls l,..lllilble to df;itermine the ldantify of the pGif!l.on (eg. '1f the relevant interest ariS!il$ because of an optlon) write "unkMwn". (9) Give Qetails, if appropfii!te, of th0 pre eent associ dion and any Chiinge in that aS$QOiation since the Jat ubstantial holding notice.
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