Energy Resources of Australia : Appendix 3Y - P Arnold
08/20/2020 | 03:16am EST
Appendix 3Y
Change of Director's Interest Notice
23 Rule 3.19A.2
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 30/09/01 Amended 01/01/11
Name of entityEnergy Resources of Australia Ltd
ABN
71 008 550 865
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
Paul ARNOLD
Date of last notice
27 July 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
Note: In the case of a company, interests which come within paragraph (i) of the definition of "notifiable interest of a director" should be disclosed in this part.
Direct or indirect interest
Indirect
Nature of indirect interest
Rio Tinto Limited ordinary shares ("RT Shares")
(including registered holder)
held by Computershare Company Nominees
Note: Provide details of the circumstances giving rise to the relevant
Limited (as nominee for the Vested Share
interest.
Account on behalf of Paul Arnold)
Date of change
13 August 2020
No. of securities held prior to change
3,855 RT Shares
Class
RT Shares
Number acquired
N/A
Number disposed
100 RT Shares
Value/Consideration
N/A.
Note: If consideration is non-cash, provide details and estimated valuation
No. of securities held after change
3,755 RT Shares
Nature of change
Transfer to direct holding account.
Example: on-market trade, off-market trade, exercise of options, issue of
securities under dividend reinvestment plan, participation in buy-back
See chapter 19 for defined terms. 01/01/2011 Appendix 3Y Page 1
Appendix 3Y
Change of Director's Interest Notice
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
13 August 2020
No. of securities held prior to change
Nil.
Class
RT Shares
Number acquired
100 RT Shares
Number disposed
N/A.
Value/Consideration
N/A.
Note: If consideration is non-cash, provide details and estimated valuation
No. of securities held after change
100 RT Shares
Nature of change
Transfer from Vested Share Account.
Example: on-market trade, off-market trade, exercise of options, issue of
securities under dividend reinvestment plan, participation in buy-back
Direct or indirect interest
Indirect
Nature of indirect interest
RT Shares held by Computershare Company
(including registered holder)
Nominees Limited (as nominee for the Vested
Note: Provide details of the circumstances giving rise to the relevant
Share Account on behalf of Paul Arnold)
interest.
Date of change
17 August 2020
No. of securities held prior to change
3,755 RT Shares
Class
RT Shares
Number acquired
N/A
Number disposed
1,500 RT Shares
Value/Consideration
On market trade at $100.64 per RT Share.
Note: If consideration is non-cash, provide details and estimated valuation
No. of securities held after change
2,255 RT Shares
Nature of change
On market trade.
Example: on-market trade, off-market trade, exercise of options, issue of
securities under dividend reinvestment plan, participation in buy-back
Direct or indirect interest
Indirect
Nature of indirect interest
Indirect interest in RT Shares acquired under
(including registered holder)
myShare, the Rio Tinto Limited Global Employee
Note: Provide details of the circumstances giving rise to the relevant
Share Plan ("myShare"), held by Computershare
interest.
Trustees (Jersey) Limited on behalf of Mr Arnold,
and a conditional right to additional matching RT
Shares ("Matching RT Share Rights")
Date of change
N/A
See chapter 19 for defined terms. 01/01/2011 Appendix 3Y Page 2
Appendix 3Y
Change of Director's Interest Notice
No. of securities held prior to change
411
RT Shares
192
Matching RT Share Rights
Class
RT Shares and Matching RT Share Rights
Number acquired
N/A
Number disposed
N/A
Value/Consideration
N/A
Note: If consideration is non-cash, provide details and estimated valuation
No. of securities held after change
411
RT Shares
192
Matching RT Share Rights
Nature of change
N/A
Example: on-market trade, off-market trade, exercise of options, issue of
securities under dividend reinvestment plan, participation in buy-back
In accordance with the rules of myShare, upon vesting Mr Arnold may receive additional RT Shares in lieu of dividends that would have been paid to him in the period from grant on the base number of RT Shares, the subject of the Rights that vest.
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
N/A
No. of securities held prior to change
12,092 rights ("Rights")* to be granted RT
Shares under the Rio Tinto 2018 Equity Incentive
Program ("EIP"), being:
• 6,722 Rights as Performance Share Awards
("PSAs");
•3,360 Rights as Management Share Awards
("MSAs"); and
•
2,010 Rights as Bonus Deferral Awards
("BDAs").
Class
PSAs, MSAs and BDAs under the EIP.
Number acquired
N/A
Number disposed
N/A
Value/Consideration
N/A
Note: If consideration is non-cash, provide details and estimated valuation
No. of securities held after change
12,092 Rights, being:
•
6,722 PSAs;
•
3,360 MSAs; and
•
2,010 BDAs.
Nature of change
N/A
Example: on-market trade, off-market trade, exercise of options, issue of
securities under dividend reinvestment plan, participation in buy-back
In accordance with the rules of the EIP, upon vesting Mr Arnold may receive additional RT Shares in lieu of dividends that would have been paid to him in the period from grant on the base number of RT Shares, the subject of the Rights that vest.
See chapter 19 for defined terms. 01/01/2011 Appendix 3Y Page 3
Appendix 3Y
Change of Director's Interest Notice
Part 2 - Change of director's interests in contracts
Note: In the case of a company, interests which come within paragraph (ii) of the definition of "notifiable interest of a director" should be disclosed in this part.
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 to which interest
N/A
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 securities or contracts
N/A
detailed above traded during a +closed period
where prior written clearance was required?
If so, was prior written clearance provided to
N/A
allow the trade to proceed during this period?
If prior written clearance was provided, on what
N/A
date was this provided?
See chapter 19 for defined terms. 01/01/2011 Appendix 3Y Page 4
Energy Resources of Australia Limited published this content on 20 August 2020 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 20 August 2020 07:16:10 UTC
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