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| Share Name | Share Symbol | Market | Type | Share ISIN | Share Description |
|---|---|---|---|---|---|
| Resolute Mining Limited | LSE:RSG | London | Ordinary Share | AU000000RSG6 | ORD NPV (DI) |
| Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
|---|---|---|---|---|---|---|---|---|---|---|
| -1.90 | -8.37% | 20.80 | 20.60 | 21.00 | 21.90 | 20.50 | 21.60 | 376,225 | 16:35:17 |
| Industry Sector | Turnover | Profit | EPS - Basic | PE Ratio | Market Cap |
|---|---|---|---|---|---|
| Gold Ores | 800.97M | -28.3M | -0.0133 | -33.08 | 483.29M |
From Apr 2020 to Apr 2025
TIDMRSG
RNS Number : 7984X
Resolute Mining Limited
02 September 2020
2 September 2020
Resolute Mining Limited
(Resolute or the Company)
Appendix 2A and Appendix 3Y
Application for quotation of +securities
Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX's property and may be made public.
If you are an entity incorporated outside Australia and you are seeking quotation of a new class of +securities other than CDIs, you will need to obtain and provide an International Securities Identification Number (ISIN) for that class. Further information on the requirement for the notification of an ISIN is available from the Create Online Forms page. ASX is unable to create the new ISIN for non-Australian issuers.
*Denotes minimum information required for first lodgement of this form, with exceptions provided in specific notes for certain questions. The balance of the information, where applicable, must be provided as soon as reasonably practicable by the entity.
Part 1 - Entity and announcement details
Hot Features
Premium
Question Question Answer
no
1.1 *Name of entity Resolute Mining Limited
We (the entity here named)
apply for +quotation of the
following +securities and
agree to the matters set
out in Appendix 2A of the
ASX Listing Rules. ([1])
-------------------------------------- -------------------------------
1.2 *Registration type and number ACN 097 088 689
Please supply your ABN, ARSN,
ARBN, ACN or another registration
type and number (if you supply
another registration type,
please specify both the type
of registration and the registration
number).
-------------------------------------- -------------------------------
1.3 *ASX issuer code RSG
-------------------------------------- -------------------------------
1.4 *This announcement is A new announcement
Tick whichever is applicable. An update/amendment to a
previous announcement
A cancellation of a previous
announcement
-------------------------------------- -------------------------------
1.4a *Reason for update N/A
Mandatory only if "Update"
ticked in Q1.4 above. A reason
must be provided for an update.
-------------------------------------- -------------------------------
1.4b *Date of previous announcement N/A
to this update
Mandatory only if "Update"
ticked in Q1.4 above.
-------------------------------------- -------------------------------
1.4c *Reason for cancellation N/A
Mandatory only if "Cancellation"
ticked in Q1.4 above.
-------------------------------------- -------------------------------
1.4d *Date of previous announcement N/A
to this cancellation
Mandatory only if "Cancellation"
ticked in Q1.4 above.
-------------------------------------- -------------------------------
1.5 *Date of this announcement 2 September 2020
-------------------------------------- -------------------------------
Part 2 - Type of issue
Question Question Answer
No.
2.1 *The + securities to be quoted Being issued as part of
are: a transaction or transactions
Select whichever item is applicable. previously announced to the
If you wish to apply for quotation market in an Appendix 3B
of different types of issues Being issued under a +dividend
of securities, please complete or distribution plan
a separate Appendix 2A for Being issued as a result
each type of issue. of options being exercised
or other +convertible securities
being converted
Unquoted partly paid +securities
that have been paid up and
are now quoted fully paid
+securities
+Restricted securities where
the escrow period has expired
or is about to expire
+Securities previously issued
under an +employee incentive
scheme where the restrictions
on transfer have ceased or
are about to cease
+Securities issued under
an +employee incentive scheme
that are not subject to a
restriction on transfer or
that are to be quoted notwithstanding
there is a restriction on
transfer
Other
------------------------------------------ ---------------------------------------------------------------
2.2a.1 *Date of Appendix 3B notifying N/A
the market of the proposed
issue of +securities for which
quotation is now being sought
Answer this question if your
response to Q2.1 is "Being
issued as part of a transaction
or transactions previously
announced to the market in
an Appendix 3B"
------------------------------------------ ---------------------------------------------------------------
2.2a.2 *Are there any further issues N/A
of +securities yet to take
place to complete the transaction(s)
referred to in the Appendix
3B?
Answer this question if your
response to Q2.1 is "Being
issued as part of a transaction
or transactions previously
announced to the market in
an Appendix 3B".
------------------------------------------ ---------------------------------------------------------------
2.2a.2.1 *Please provide details of N/A
the further issues of +securities
yet to take place to complete
the transaction(s) referred
to in the Appendix 3B
Answer this question if your
response to Q2.1 is "Being
issued as part of a transaction
or transactions previously
announced to the market in
an Appendix 3B" and your response
to Q2.2a.2 is "Yes".
Please provide details of
the proposed dates and number
of securities for the further
issues. This may be the case,
for example, if the Appendix
3B related to an accelerated
pro rata offer with an institutional
component being quoted on
one date and a retail component
being quoted on a later date.
------------------------------------------ ---------------------------------------------------------------
2.2b.1 *Date of Appendix 3A.1 lodged N/A
with ASX in relation to the
underlying +dividend or distribution
Answer this question if your
response to Q2.1 is "Being
issued under a dividend or
distribution plan".
------------------------------------------ ---------------------------------------------------------------
2.2b.2 *Does the +dividend or distribution N/A
plan meet the requirement
of listing rule 7.2 exception
4 that it does not impose
a limit on participation?
Answer this question if your
response to Q2.1 is "Being
issued under a dividend or
distribution plan".
Note: Exception 4 only applies
where security holders are
able to elect to receive all
of their dividend or distribution
as securities. For example,
Exception 4 would not apply
in the following circumstances:
1) The entity has specified
a dollar limit on the level
of participation e.g. security
holders can only participate
to a maximum value of $x in
respect of their entitlement,
or 2) The entity has specified
a maximum number of securities
that can participate in the
plan e.g. security holders
can only receive securities
in lieu of dividend payable
for x number of securities.
------------------------------------------ ---------------------------------------------------------------
2.2c.1 Please state the number and N/A
type of options that were
exercised or other +convertible
securities that were converted
(including their ASX security
code)
Answer this question if your
response to Q2.1 is "Being
issued as a result of options
being exercised or other convertible
securities being converted".
------------------------------------------ ---------------------------------------------------------------
2.2c.2 And the date the options were N/A
exercised or other +convertible
securities were converted
Answer this question if your
response to Q2.1 is "Being
issued as a result of options
being exercised or other convertible
securities being converted".
Note: If this occurred over
a range of dates, enter the
date the last of the options
was exercised or convertible
securities was converted.
------------------------------------------ ---------------------------------------------------------------
2.2d.1 Please state the number and N/A
type of partly paid +securities
(including their ASX security
code) that were fully paid
up
Answer this question if your
response to Q2.1 is "Unquoted
partly paid securities that
have been paid up and are
now quoted fully paid securities".
------------------------------------------ ---------------------------------------------------------------
2.2d.2 And the date the + securities N/A
were fully paid up
Answer this question if your
response to Q2.1 is "Unquoted
partly paid securities that
have been paid up and are
now quoted fully paid securities".
Note: If this occurred over
a range of dates, enter the
date the last of the securities
was fully paid up.
------------------------------------------ ---------------------------------------------------------------
2.2e.1 Please state the number and N/A
type of +restricted securities
(including their ASX security
code) where the escrow period
has expired or is about to
expire
Answer this question if your
response to Q2.1 is "Restricted
securities where the escrow
period has expired or is about
to expire".
------------------------------------------ ---------------------------------------------------------------
2.2e.2 And the date the escrow restrictions N/A
have ceased or will cease
Answer this question if your
response to Q2.1 is "Restricted
securities where the escrow
period has expired or is about
to expire".
Note: If this occurred over
a range of dates, enter the
date the last of the escrow
restrictions has ceased or
will cease.
------------------------------------------ ---------------------------------------------------------------
2.2f.1 Please state the number and N/A
type of +securities (including
their ASX security code) previously
issued under the +employee
incentive scheme where the
restrictions on transfer have
ceased or are about to cease
Answer this question if your
response to Q2.1 is "Securities
previously issued under an
employee incentive scheme
where the restrictions on
transfer have ceased or are
about to cease".
------------------------------------------ ---------------------------------------------------------------
2.2f.2 And the date the restrictions N/A
on transfer have ceased or
will cease:
Answer this question if your
response to Q2.1 is "Securities
previously issued under an
employee incentive scheme
where the restrictions on
transfer have ceased or are
about to cease".
Note: If this occurred over
a range of dates, enter the
date the last of the restrictions
on transfer has ceased or
will cease.
------------------------------------------ ---------------------------------------------------------------
2.2g.1 Please state the number and 1,065,767 ordinary shares
type of +securities (including issued pursuant to exercise
their ASX security code) issued of vested performance rights
under an +employee incentive
scheme that are not subject
to a restriction on transfer
or that are to be quoted notwithstanding
there is a restriction on
transfer
Answer this question if your
response to Q2.1 is "Securities
issued under an employee incentive
scheme that are not subject
to a restriction on transfer
or that are to be quoted notwithstanding
there is a restriction on
transfer".
------------------------------------------ ---------------------------------------------------------------
2.2g.2 *Please attach a document https://www.asx.com.au/asx/statistics/displayAnnouncement.do?d
or provide details of a URL isplay=pdf&idsId=01913306
link for a document lodged
with ASX detailing the terms https://www.asx.com.au/asx/statistics/displayAnnouncement.do?d
of the + employee incentive isplay=pdf&idsId=01795074
scheme or a summary of the
terms.
Answer this question if your
response to Q2.1 is "Securities
issued under an employee incentive
scheme that are not subject
to a restriction on transfer
or that are to be quoted notwithstanding
there is a restriction on
transfer".
------------------------------------------ ---------------------------------------------------------------
2.2g.3 *Are any of these +securities Yes
being issued to +key management
personnel (KMP) or an +associate
Answer this question if your
response to Q2.1 is "Securities
issued under an employee incentive
scheme that are not subject
to a restriction on transfer
or that are to be quoted notwithstanding
there is a restriction on
transfer".
------------------------------------------ ---------------------------------------------------------------
2.2g.3.a *Provide details of the recipients and the number of
+securities issued to each of them.
Answer this question if your response to Q2.1 is "Securities
issued under an employee incentive scheme that are not
subject to a restriction on transfer or that are to be
quoted notwithstanding there is a restriction on transfer"
and your response to Q2.2g.3 is "Yes". Repeat the detail
in the table below for each KMP involved in the issue.
If the securities are being issued to the KMP, repeat
the name of the KMP or insert "Same" in "Name of registered
holder". If the securities are being issued to an associate
of a KMP, insert the name of the associate in "Name of
registered holder".
Name of KMP Name of registered Number of +securities
holder
John Welborn John Welborn 496,875
-------------------- ----------------------
David Kelly David Kelly 32,172
-------------------- ----------------------
-----------------------------------------------------------------------------------------------------------
2.2h.1 * The purpose(s) for which To raise additional working
the entity is issuing the capital
+securities is: To fund the retirement of
Answer this question if your debt
response to Q2.1 is "Other". To pay for the acquisition
You may select one or more of an asset [provide details
of the items in the list. below]
To pay for services rendered
[provide details below]
Other [provide details below]
Additional details :
------------------------------------------ ---------------------------------------------------------------
2.2h.2 *Please provide any further N/A
information needed to understand
the circumstances in which
you are applying to have these
+securities quoted on ASX,
including (if applicable)
why the issue of the +securities
has not been previously announced
to the market in an Appendix
3B
You must answer this question
if your response to Q2.1 is
"Other". If there is no other
information to provide, please
answer "Not applicable" or
"N/A".
------------------------------------------ ---------------------------------------------------------------
2.2i *Are these +securities being N/A
offered under a +disclosure
document or +PDS?
Answer this question if your
response to Q2.1 is any option
other than "Being issued as
part of a transaction or transactions
previously announced to the
market in an Appendix 3B".
------------------------------------------ ---------------------------------------------------------------
2.2i.1 *Date of +disclosure document N/A
or +PDS?
Answer this question if your
response to Q2.1 is any option
other than "Being issued as
part of a transaction or transactions
previously announced to the
market in an Appendix 3B"
and your response to Q2.2i
is "Yes".
Under the Corporations Act,
the entity must apply for
quotation of the securities
within 7 days of the date
of the disclosure document
or PDS.
------------------------------------------ ---------------------------------------------------------------
2.3 *The +securities to be quoted Additional +securities in
are: a class that is already quoted
Tick whichever is applicable on ASX ("existing class")
New +securities in a class
that is not yet quoted on
ASX ("new class")
------------------------------------------ ---------------------------------------------------------------
Part 3A - number and type of +securities to be quoted (existing class or new class) where issue has previously been notified to ASX in an Appendix 3B
Answer the questions in this Part if your response to Q2.1 is "Being issued as part of a transaction or transactions previously announced to the market in an Appendix 3B" and your response to Q2.3 is "existing class" or "new class".
Question Question Answer
No.
3A.1 *ASX security code & description N/A
--------------------------------- -------
3A.2 *Number of +securities to N/A
be quoted
--------------------------------- -------
Part 3B - number and type of +securities to be quoted (existing class) where issue has not previously been notified to ASX in an Appendix 3B
Answer the questions in this Part if your response to Q2.1 is anything other than "Being issued as part of a transaction or transactions previously announced to the market in an Appendix 3B" and your response to Q2.3 is "existing class".
Question Question Answer
No.
3B.1 *ASX security code & description RSG ordinary fully paid shares
--------------------------------------------------------- -------------------------------
*Number of +securities to
3B.2 be quoted 1,065,767
--------------------------------------------------------- -------------------------------
3B.3a *Will the +securities to be Yes
quoted rank equally in all
respects from their issue
date with the existing issued
+securities in that class?
--------------------------------------------------------- -------------------------------
3B.3b *Is the actual date from which N/A
the +securities will rank
equally (non-ranking end date)
known?
Answer this question if your
response to Q3B.3a is "No".
--------------------------------------------------------- -------------------------------
3B.3c *Provide the actual non-ranking N/A
end date
Answer this question if your
response to Q3B.3a is "No"
and your response to Q3B.3b
is "Yes".
--------------------------------------------------------- -------------------------------
3B.3d *Provide the estimated non-ranking N/A
end period
Answer this question if your
response to Q3B.3a is "No"
and your response to Q3B.3b
is "No".
--------------------------------------------------------- -------------------------------
3B.3e *Please state the extent to N/A
which the +securities do not
rank equally:
* in relation to the next dividend, distribution or
interest payment; or
* for any other reason
Answer this question if your
response to Q3B.3a is "No".
For example, the securities
may not rank at all, or may
rank proportionately based
on the percentage of the period
in question they have been
on issue, for the next dividend,
distribution or interest payment;
or they may not be entitled
to participate in some other
event, such as an entitlement
issue.
--------------------------------------------------------- -------------------------------
Part 3C - number and type of +securities to be quoted (new class) where issue has not previously been notified to ASX in an Appendix 3B
Answer the questions in this Part if your response to Q2.1 is anything other than "Being issued as part of a transaction or transactions previously announced to the market in an Appendix 3B" and your response to Q2.3 is "new class".
Question Question Answer
No.
3C.1 *Security description
-------------------------------------------------------------- -------------------------------------
3C.2 *Security type Ordinary fully or partly
Select one item from the list paid shares/units
that best describes the securities Options
the subject of this form. +Convertible debt securities
This will determine more detailed Non-convertible +debt securities
questions to be asked about Redeemable preference shares/units
the security later in this Other
section. Select "ordinary
fully or partly paid shares/units"
for stapled securities or
CDIs. For interest rate securities,
please select the appropriate
choice from either "Convertible
debt securities" or "Non-convertible
debt securities". Select "Other"
for performance shares/units
and performance options/rights
or if the selections available
in the list do not appropriately
describe the security being
issued.
-------------------------------------------------------------- -------------------------------------
3C.3 ISIN code
Answer this question if you
are an entity incorporated
outside Australia and you
are seeking quotation of a
new class of securities other
than CDIs. See also the note
at the top of this form.
-------------------------------------------------------------- -------------------------------------
3C.4 *Number of +securities to
be quoted
-------------------------------------------------------------- -------------------------------------
3C.5a *Will all the +securities Yes or No
issued in this class rank
equally in all respects from
the issue date?
-------------------------------------------------------------- -------------------------------------
3C.5b *Is the actual date from which Yes or No
the +securities will rank
equally (non-ranking end date)
known?
Answer this question if your
response to Q3C.5a is "No".
-------------------------------------------------------------- -------------------------------------
3C.5c *Provide the actual non-ranking
end date
Answer this question if your
response to Q3C.5a is "No"
and your response to Q3C.5b
is "Yes".
-------------------------------------------------------------- -------------------------------------
3C.5d *Provide the estimated non-ranking
end period
Answer this question if your
response to Q3C.5a is "No"
and your response to Q3C.5b
is "No".
-------------------------------------------------------------- -------------------------------------
3C.5e *Please state the extent to
which the +securities do not
rank equally:
* in relation to the next dividend, distribution or
interest payment; or
* for any other reason
Answer this question if your
response to Q3C.5a is "No".
For example, the securities
may not rank at all, or may
rank proportionately based
on the percentage of the period
in question they have been
on issue, for the next dividend,
distribution or interest payment;
or they may not be entitled
to participate in some other
event, such as an entitlement
issue.
-------------------------------------------------------------- -------------------------------------
3C.6 Please attach a document or
provide a URL link for a document
lodged with ASX setting out
the material terms of the
+securities to be quoted
You may cross-reference a
disclosure document, PDS,
information memorandum, investor
presentation or other announcement
with this information provided
it has been released to the
ASX Market Announcements Platform.
-------------------------------------------------------------- -------------------------------------
3C.7 *Have you received confirmation Yes or No
from ASX that the terms of
the +securities are appropriate
and equitable under listing
rule 6.1?
Answer this question only
if you are an ASX Listing.
(ASX Foreign Exempt Listings
and ASX Debt Listings do not
have to answer this question).
If your response is "No" and
the securities have any unusual
terms, you should approach
ASX as soon as possible for
confirmation under listing
rule 6.1 that the terms are
appropriate and equitable.
-------------------------------------------------------------- -------------------------------------
3C.8 *Provide a distribution schedule for the new +securities
according to the categories set out in the left hand
column - including the number of recipients and the total
percentage of the new +securities held by the recipients
in each category. Number of +securities Number of holders Total percentage
held of +securities held
1 - 1,000
------------------ ---------------------
1,001 - 5,000
------------------ ---------------------
5,001 - 10,000
------------------ ---------------------
10,001 - 100,000
------------------ ---------------------
100,001 and over
------------------ ---------------------
Answer this question only if you are an ASX Listing (ASX
Foreign Exempt Listings and ASX Debt Listings do not
have to answer this question) and the securities to be
quoted have already been issued.
Note: if the securities to be quoted have not yet been
issued, under listing rule 3.10.5, you will need to provide
to ASX a list of the 20 largest recipients of the new
+securities, and the number and percentage of the new
+securities received by each of those recipients, and
a distribution schedule for the securities when they
are issued.
-----------------------------------------------------------------------------------------------------
3C.9a Ordinary fully or partly paid shares/units details
Answer the questions in this section if you selected
this security type in your response to Question 3C.2.
-----------------------------------------------------------------------------------------------------
* + Security currency
This is the currency in which
the face amount of an issue
is denominated. It will also
typically be the currency
in which distributions are
declared.
------------------------------------------------------------ ---------------------------------------
*Will there be CDIs issued Yes or No
over the + securities?
------------------------------------------------------------ ---------------------------------------
*CDI ratio X:Y
Answer this question if you
answered "Yes" to the previous
question. This is the ratio
at which CDIs can be transmuted
into the underlying security
(e.g. 4:1 means 4 CDIs represent
1 underlying security whereas
1:4 means 1 CDI represents
4 underlying securities).
------------------------------------------------------------ ---------------------------------------
*Is it a partly paid class Yes or No
of + security?
------------------------------------------------------------ ---------------------------------------
*Paid up amount: unpaid amount X:Y
Answer this question if answered
"Yes" to the previous question.
The paid up amount represents
the amount of application
money and/or calls which
have been paid on any security
considered 'partly paid'
The unpaid amount represents
the unpaid or yet to be called
amount on any security considered
'partly paid'.
The amounts should be provided
per the security currency
(e.g. if the security currency
is AUD, then the paid up
and unpaid amount per security
in AUD).
------------------------------------------------------------ ---------------------------------------
*Is it a stapled + security? Yes or No
This is a security class
that comprises a number of
ordinary shares and/or ordinary
units issued by separate
entities that are stapled
together for the purposes
of trading.
------------------------------------------------------------ ---------------------------------------
3C.9b Option details
Answer the questions in this section if you selected
this security type in your response to Question 3C.2.
-----------------------------------------------------------------------------------------------------
* + Security currency
This is the currency in which
the exercise price is payable.
------------------------------------------------------------ ---------------------------------------
*Exercise price
The price at which each option
can be exercised and convert
into the underlying security.
The exercise price should
be provided per the security
currency (i.e. if the security
currency is AUD, the exercise
price should be expressed
in AUD).
------------------------------------------------------------ ---------------------------------------
*Expiry date
The date on which the options
expire or terminate.
------------------------------------------------------------ ---------------------------------------
*Details of the number and
type of + security (including
its ASX security code if
the + security is quoted
on ASX) that will be issued
if an option is exercised
For example, if the option
can be exercised to receive
one fully paid ordinary share
with ASX security code ABC,
please insert "One fully
paid ordinary share (ASX:ABC)".
------------------------------------------------------------ ---------------------------------------
3C.9c Details of non-convertible +debt securities, +convertible
debt securities, or redeemable preference shares/units
Answer the questions in this section if you selected
one of these security types in your response to Question
3C.2.
Refer to Guidance Note 34 and the "Guide to the Naming
Conventions and Security Descriptions for ASX Quoted
Debt and Hybrid Securities" for further information on
certain terms used in this section
-----------------------------------------------------------------------------------------------------
*Type of + security Simple corporate bond
Select one item from the Non-convertible note or bond
list Convertible note or bond
Preference share/unit
Capital note
Hybrid security
Other
------------------------------------------------------------ ---------------------------------------
* + Security currency
This is the currency in which
the face value of the security
is denominated. It will also
typically be the currency
in which interest or distributions
are paid.
------------------------------------------------------------ ---------------------------------------
Face value
This is the principal amount
of each security.
The face value should be
provided per the security
currency (i.e. if security
currency is AUD, then the
face value per security in
AUD).
------------------------------------------------------------ ---------------------------------------
*Interest rate type Fixed rate
Select one item from the Floating rate
list Indexed rate
Select the appropriate interest Variable rate
rate type per the terms of Zero coupon/no interest
the security. Definitions Other
for each type are provided
in the Guide to the Naming
Conventions and Security
Descriptions for ASX Quoted
Debt and Hybrid Securities
------------------------------------------------------------ ---------------------------------------
Frequency of coupon/interest Monthly
payments per year Quarterly
Select one item from the Semi-annual
list. Annual
No coupon/interest payments
Other
------------------------------------------------------------ ---------------------------------------
First interest payment date
A response is not required
if you have selected "No
coupon/interest payments"
in response to the question
above on the frequency of
coupon/interest payments
------------------------------------------------------------ ---------------------------------------
Interest rate per annum % p.a.
Answer this question if the
interest rate type is fixed.
------------------------------------------------------------ ---------------------------------------
*Is the interest rate per Yes or No
annum estimated at this time?
Answer this question if the
interest rate type is fixed.
------------------------------------------------------------ ---------------------------------------
If the interest rate per
annum is estimated, then
what is the date for this
information to be announced
to the market (if known)
Answer this question if the
interest rate type is fixed
and your response to the
previous question is "Yes".
Answer "Unknown" if the date
is not known at this time.
------------------------------------------------------------ ---------------------------------------
*Does the interest rate include Yes or No
a reference rate, base rate
or market rate (e.g. BBSW
or CPI)?
Answer this question if the
interest rate type is floating
or indexed.
------------------------------------------------------------ ---------------------------------------
*What is the reference rate,
base rate or market rate?
Answer this question if the
interest rate type is floating
or indexed and your response
to the previous question
is "Yes".
------------------------------------------------------------ ---------------------------------------
*Does the interest rate include Yes or No
a margin above the reference
rate, base rate or market
rate?
Answer this question if the
interest rate type is floating
or indexed.
------------------------------------------------------------ ---------------------------------------
*What is the margin above % p.a.
the reference rate, base
rate or market rate (expressed
as a percent per annum)
Answer this question if
the interest rate type is
floating or indexed and your
response to the previous
question is "Yes" .
------------------------------------------------------------ ---------------------------------------
*S128F of the Income Tax s128F exempt
Assessment Act status applicable Not s128F exempt
to the + security s128F exemption status unknown
Select one item from the Not applicable
list
For financial products which
are likely to give rise to
a payment to which s128F
of the Income Tax Assessment
Act applies, ASX requests
issuers to confirm the s128F
status of the security:
* "s128F exempt" means interest payments are not
taxable to non-residents;
* "Not s128F exempt" means interest payments are
taxable to non-residents;
* "s128F exemption status unknown" means the issuer is
unable to advise the status;
* "Not applicable" means s128F is not applicable to
this security
------------------------------------------------------------ ---------------------------------------
*Is the + security perpetual Yes or No
(i.e. no maturity date)?
------------------------------------------------------------ ---------------------------------------
*Maturity date
Answer this question if the
security is not perpetual
------------------------------------------------------------ ---------------------------------------
*Select other features applicable Simple
to the + security Subordinated
Up to 4 features can be selected. Secured
Further information is available Converting
in the Guide to the Naming Convertible
Conventions and Security Transformable
Descriptions for ASX Quoted Exchangeable
Debt and Hybrid Securities. Cumulative
Non-Cumulative
Redeemable
Extendable
Reset
Step-Down
Step-Up
Stapled
None of the above
------------------------------------------------------------ ---------------------------------------
*Is there a first trigger Yes or No
date on which a right of
conversion, redemption, call
or put can be exercised (whichever
is first)?
------------------------------------------------------------ ---------------------------------------
*If yes, what is the first
trigger date
Answer this question if
your response to the previous
question is "Yes" .
------------------------------------------------------------ ---------------------------------------
Details of the number and
type of + security (including
its ASX security code if
the + security is quoted
on ASX) that will be issued
if the +securities to be
quoted are converted, transformed
or exchanged
Answer this question if the
security features include
"converting", "convertible",
"transformable" or "exchangeable".
For example, if the security
can be converted into 1,000
fully paid ordinary shares
with ASX security code ABC,
please insert "1,000 fully
paid ordinary shares (ASX:ABC)".
------------------------------------------------------------ ---------------------------------------
Part 4 - Issue details
Question Question Answer
No.
4.1 *Have the +securities to Yes
be quoted been issued yet?
------------------------------------ -----------------------------
4.1a *What was their date of issue? 2 September 2020
Answer this question if your
response to Q4.1 is "Yes".
------------------------------------ -----------------------------
4.1b *What is their proposed date N/A
of issue?
Answer this question if your
response to Q4.1 is "No".
------------------------------------ -----------------------------
4.2 *Are the +securities to be No
quoted being issued for a
cash consideration?
If the securities are being
issued for nil cash consideration,
answer this question "No".
------------------------------------ -----------------------------
4.2a *In what currency is the N/A
cash consideration being
paid
For example, if the consideration
is being paid in Australian
Dollars, state AUD.
Answer this question if your
response to Q4.2 is "Yes".
------------------------------------ -----------------------------
4.2b * What is the issue price N/A
per +security
Answer this question if your
response to Q4.2 is "Yes"
and by reference to the issue
currency provided in your
response to Q4.2a.
Note: you cannot enter a
nil amount here. If the securities
are being issued for nil
cash consideration, answer
Q4.2 as "No" and complete
Q4.2c and Q4.2d.
------------------------------------ -----------------------------
4.2c Please describe the consideration Shares in accordance with
being provided for the +securities the vesting outcomes of the
to be quoted Performance Rights for no
Answer this question if your cash consideration.
response to Q4.2 is "No".
------------------------------------ -----------------------------
4.2d Please provide an estimate N/A
(in AUD) of the value of
the consideration being provided
per +security for the +securities
to be quoted
Answer this question if your
response to Q4.2 is "No".
------------------------------------ -----------------------------
4.3 Any other information the No
entity wishes to provide
about the issue
------------------------------------ -----------------------------
Part 5 - Issued capital following quotation
Following the quotation of the +securities the subject of this
application, the issued capital of the entity will comprise:
Note: the figures provided in the tables in sections 5.1 and
5.2 below are used to calculate the total market capitalisation
of the entity published by ASX from time to time. Please make
sure you include in the relevant table each class of securities
issued by the entity.
If you have quoted CHESS Depository Interests (CDIs) issued
over your securities, include them in the table in section 5.1
and include in the table in section 5.2 any securities that
do not have CDIs issued over them (and therefore are not quoted
on ASX).
Restricted securities should only be included in the table in
section 5.1 if you are applying to have them quoted because
the escrow period for the securities has expired or is about
to expire. Otherwise include them in the table in section 5.2.
5.1 *Quoted +securities (total number of each +class of +securities
quoted on ASX following the +quotation of the +securities
the subject of this application) ASX security code and description Total number of +securities
on issue
RSG ordinary shares 1,103,892,706
----------------------------
--------------------------------------------------------------------------------------------------------------
5.2 *Unquoted +securities (total number of each +class of
+securities issued but not quoted on ASX): ASX security code and description Total number of +securities
on issue
Performance Rights with a vesting
period ending on 30 June 2021
Performance Rights with a vesting
period ending on 31 December 1,692,445
2021
Performance Rights with a vesting 2,156,094
period ending on 30 June 2022
Performance Rights with a vesting 1,000,000
period ending on 31 December
2022 2,431,458
Performance Rights with a vesting
period ending on 30 June 2023 1,000,000
----------------------------
--------------------------------------------------------------------------------------------------------------
Part 6 - Other Listing Rule requirements
The questions in this Part should only be answered if you are an ASX Listing (ASX Foreign Exempt Listings and ASX Debt Listings do not need to complete this Part) and:
- your response to Q2.1 is "Being issued under a dividend/distribution plan" and the response to Q2.2b.2 is "No"; or
- your response to Q2.1 is "Other".
Note that if your response to Q2.1 is "Being issued as part of a transaction or transactions previously announced to the market in an Appendix 3B", it is assumed that you will have provided the information referred to in this Part in the Appendix 3B.
Question Question Answer
No.
6.1 *Has the entity obtained, No
or is it obtaining, +security
holder approval for the issue
under listing rule 7.1?
----------------------------------- -------
6.1a *Date of meeting or proposed N/A
meeting to approve the issue
under listing rule 7.1
Answer this question if the
response to Q6.1 is "Yes".
----------------------------------- -------
6.1b *Are any of the +securities No
being issued without +security
holder approval using the
entity's 15% placement capacity
under listing rule 7.1?
Answer this question if the
response to Q6.1 is "No".
----------------------------------- -------
6.1b.1 *How many +securities are N/A
being issued without +security
holder approval using the
entity's 15% placement capacity
under listing rule 7.1?
Answer this question if the
response to Q6.1 is "No" and
the response to Q6.1b is "Yes".
Please complete and separately
send by email to your ASX
listings adviser a work sheet
in the form of Annexure B
to Guidance Note 21 confirming
the entity has the available
capacity under listing rule
7.1 to issue that number of
securities.
----------------------------------- -------
6.1c *Are any of the +securities N/A
being issued without +security
holder approval using the
entity's additional 10% placement
capacity under listing rule
7.1A (if applicable)?
Answer this question if the
response to Q6.1 is "No".
----------------------------------- -------
6.1c.1 *How many +securities are N/A
being issued without +security
holder approval using the
entity's additional 10% placement
capacity under listing rule
7.1A?
Answer this question if the
response to Q6.1 is "No" and
the response to Q6.1c is "Yes".
Please complete and separately
send by email to your ASX
listings adviser a work sheet
in the form of Annexure C
to Guidance Note 21 confirming
the entity has the available
capacity under listing rule
7.1A to issue that number
of securities.
Introduced 01/12/19, amended 31/01/20
Appendix 3Y
Change of Director's Interest Notice
Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX's property and may be made public.
Introduced 30/9/2001.
Name of entity RESOLUTE MINING LIMITED ABN 39 097 088 689
We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.
Name of Director Mr John Paul Welborn
Date of last notice 4 June 2020
---------------------
Part 1 - Change of director's relevant interests in securities
In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust
Direct or indirect interest Direct
Nature of indirect interest N/A
(including registered holder)
Note: Provide details of
the circumstances giving
rise to the relevant interest
.
--------------------------------------
Date of change 2 September 2020
--------------------------------------
No. of securities held prior 3,600,000 fully paid ordinary shares
to change 1,587,500 Performance Rights vesting
30 June 2020
1,277,559 Performance Rights vesting
30 June 2021
698,690 Performance Rights vesting
31 December 2021
1,000,000 Performance Rights vesting
30 June 2022
699,688 Performance Rights vesting
31 December 2022
1,000,000 Performance Rights vesting
30 June 2023
--------------------------------------
Class Fully paid ordinary shares
Performance rights
--------------------------------------
Number acquired 496,875 fully paid ordinary shares
--------------------------------------
Number disposed 1,587,500 Performance Rights vesting
30 June 2020
--------------------------------------
Value/Consideration N/A
Note: If consideration is
non-cash, provide details
and estimated valuation
--------------------------------------
No. of securities held after 4,096,875 fully paid ordinary shares
change 1,277,559 Performance Rights vesting
30 June 2021
698,690 Performance Rights vesting
31 December 2021
1,000,000 Performance Rights vesting
30 June 2022
699,688 Performance Rights vesting
31 December 2022
1,000,000 Performance Rights vesting
30 June 2023
--------------------------------------
Nature of change Vesting of Performance Rights
Example: on-market trade, Cancellation of Performance Rights
off-market trade, exercise
of options, issue of securities
under dividend reinvestment
plan, participation in buy-back
--------------------------------------
Part 2 - Change of director's interests in contracts
Detail of contract N/A
Nature of interest N/A
----
Name of registered holder N/A
(if issued securities)
----
Date of change N/A
----
No. and class of securities N/A
to which interest related
prior to change
Note: Details are only required
for a contract in relation
to which the interest has
changed
----
Interest acquired N/A
----
Interest disposed N/A
----
Value/Consideration N/A
Note: If consideration is
non-cash, provide details
and an estimated valuation
----
Interest after change N/A
----
Part 3 - Closed Period
Were the interests in the No
securities or contracts detailed
above traded during a closed
period where prior written
clearance was required?
If so, was prior written N/A
clearance provided to allow
the trade to proceed during
this period?
----
If prior written clearance N/A
was provided, on what date
was this provided?
----
[1] Appendix 2A of the Listing Rules includes a warranty that an offer of the securities for sale within 12 months after their issue will not require disclosure under section 707(3) or 1012C(6) of the Corporations Act. If the securities to be quoted have been issued by way of a pro rata offer, to give this warranty, you will generally need to have lodged a cleansing notice with ASX under section 708AA(2)(f) or 1012DAA(2)(f) of the Corporations Act within 24 hours before the securities are offered (see ASIC Regulatory Guide 189 Disclosure relief for rights issues). If in doubt, please consult your legal adviser.
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END
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