Form 604
Corporatlons Act 2001
Sectlon 671B
Notice of change of interests of substantial holder
ToCompany Name/Scheme Peninsula Energy Limited (PEN) ACN/ARSN 062 409 303
1. Detalls of substantlal holder (1) Name
ACN/ARSN (if applicable)
Pala lnvestments Limited (Pala lnvestments) and its associate named below (collectively PALA) N/A
There was a change in the interests of the substantial holder on
The previous notice was given lo the company on
The previous notice was dated
03/12/2013
16/07/2013
13/07/2013
2. Prevlous and present votlng power
The total number of votes attached lo ali the voting shares in the company or voting interests in the scheme !haithe substantial holder or an associate (2) had a relevant interest (3) in when las!required, and when now required, lo give a substantial holding notice lo the company or scheme, are as follows:
Class of securities (4)
|
Previous notice
|
Present notice
|
Class of securities (4)
|
Person's votes
|
Voting power (5)
|
Person's votes
|
Voting power (5)
|
ORD
|
505,448,678
|
19.75%
|
563,644,069
|
18.50%
|
3. Changes In relevant lnterests
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 las!required lo give a substantial holding notice lo the company or scheme are as follows:
Date of change
|
Person whose relevant interest changed
|
Nature of change (6)
|
Consideration given in relation lo change (7)
|
Class and number of securities affected
|
Person's votes affected
|
See Annexure
A.
|
|
|
|
|
|
4. Present relevant lnterests
Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows:
· : fully
s. Changes In assoclatlon
The persons who have become associates (2) of, ceased lo be associates of, or have changed the nature of their association (9) with, the substantial holder in
relation lo voting inlerests in the company or scheme are as follows:
Name and ACN/ARSN (if applicable)
|
Nature of association
|
N/A
|
|
ME_110336408_1 (W2003x)
6. Addresses
The addresses of persons named in this form are as follows:
Name
|
Address
|
Pala Group Holdings Limited
|
12 Castle SI, SIHelier Jersey
JE2 3RT, Channellslands
|
Pala lnvestments Holdings Limited
|
12 Castle SI, SIHelier Jersey
JE2 3RT, Channellslands
|
Citicorp Nominees Pty Limited
|
Level15, 120 Collins Street
Melbourne VIC 3000
|
Signature
print name Jan Castro capacity Director
DIRECTIONS
(1) lf 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 lo the form. lf 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 seclion 9 of the Corporations Acl2001.
(3) See the definition of "relevant interest" in sections 608 and 6718(7) of the Corporations Acl 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 corporale 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. lf subsection 6718(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 contraci, scheme or arrangement, musiaccompany this form, together with a written statement certifying this contraci, scheme or arrangement; and
(b) any qualification of the power of a person to exercise, contrai the exercise of, or influence the exercise of, the voting powers or disposai of the securities to which the relevant interest relates (indicating clearly the particular securities lo which the qualification applies).
See the definition of "relevant agreement" in section 9 of the Corporations Acl 2001.
(7) Details ofthe consideration musiinclude any andali 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 musibe lncluded even if the benefit is conditional on the happening or noiof a contingency. Details musibe included on any benefit paid on behalf of the substantial holder or its associate in relation lo the acquisitions, even if they are noipaid directly to the person from whom the relevant interest was acquired.
(8) lfthe 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_110336408_1 (W2003x)
ANNEXURE "A" TO FORM 604
THIS IS ANNEXURE "A" OF 1 PAGE REFERRED TO IN THE FORM 604 PREPARED BY PALA INVESTMENTS LIMITED AND PALA GROUP HOLDINGS LIMITED IN RESPECT OF PENINSULA ENERGY LIMITED ACN 062 409 303
SIGNED BY ME AND DATED 12 DECEMBER 2013.
Signature
print name Jan Castro capacity Director
sign here date 12/12/2013
3. Changes in relevant lnterests
Date of change
|
Person whose
relevan! interesi changed
|
Nature of change (6)
|
Consideration given in relation lo change (7)
|
Class and number of securities affected
|
Person's votes affected
|
17 December 2012
|
PALA
|
lssue of new shares as announced by PEN lo ASX on
1O December 2013
|
$2,240,000.00
|
71,888,075 fully paid ordinary shares
|
71,888,075
|
16 January 2013
|
PALA
|
Buy- On market
|
$19,500.00
|
500,000 fully paid ordinary shares
|
500,000
|
25 November 2013
|
PALA
|
Sale - On market
|
$83,380.00
|
3,790,000 fully paid ordinary shares
|
3,790,000
|
26 November 2013
|
PALA
|
Sale - On market
|
$11,000.00
|
500,000 fully paid ordinary shares
|
500,000
|
28 November 2013
|
PALA
|
Sale- On market
|
$13,200.00
|
600,000 fully paid ordinary shares
|
600,000
|
2 December 2013
|
PALA
|
Sale- On market
|
$47,168.00
|
2,144,000 fully paid ordinary shares
|
2,144,000
|
3 December 2013
|
PALA
|
Sale- On market
|
$32,695.87
|
1,485,145 fully paid ordinary shares
|
1,485,145
|
4 December 2013
|
PALA
|
Sale - On market
|
$2,497.86
|
113,539 fully paid ordinary shares
|
113,539
|
6 December 2013
|
PALA
|
Sale- On market
|
$11,000.00
|
500,000 fully paid ordinary shares
|
500,000
|
9 December 2013
|
PALA
|
Sale - On market
|
$28,243.86
|
1,283,812 fully paid ordinary shares
|
1,283,812
|
11 December 2013
|
PALA
|
Sale- On market
|
$356.14
|
16,188 fully paid ordinary shares
|
16,188
|
12 December2013
|
PALA
|
Sale- On market
|
$82,720.00
|
3,760,000 fully paid ordinary shares
|
3,760,000
|
ME_110336406_1 (W2003x)