Form 604
Corporations Act 2001
Section 671B
Notice of change of interests of substantial holder
For personal use only
To Company Name/Scheme | Focus Minerals Ltd |
ACN/ARSN | ACN 005 470 799 |
1. Details of substantial holder (1)
Name | Neil S. Subin, Estate of Lloyd I. Miller, III and each of the entities listed as holders of relevant interests in Annexure B | ||
ACN/ARSN (if applicable) | N/A | ||
There was a change in the interests of the | |||
substantial holder on | 24/12/2021 | ||
The previous notice was given to the company on | 22/10/2021 | ||
The previous notice was dated | 21/10/2021 |
2. Previous and present voting power
The total number of votes attached to all the voting shares in the company or voting interests in the scheme that the substantial holder or an associate (2) had a relevant interest (3) in when last required, and when now required, to give a substantial holding notice to the company or scheme, are as follows:
Class of securities (4) | Previous notice | Present notice | ||
Person's votes | Voting power (5) | Person's votes | Voting power (5) | |
9.87% (based on | 8.45% (based on | |||
182,748,565 | ||||
Ordinary shares | 18,041,960 | 182,748,565 ordinary shares | 15,451,009 | |
ordinary shares on | ||||
on issue) | ||||
issue) | ||||
3. Changes in relevant interests
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 last required to give a substantial holding notice to the company or scheme are as follows:
Person whose | Consideration | Class and | ||||
Date of | relevant | Nature of | number of | Person's votes | ||
given in relation | ||||||
change | interest | change (6) | securities | affected | ||
to change (7) | ||||||
changed | affected | |||||
See Annexure A | ||||||
4. Present relevant interests |
Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows:
Holder of | Registered | Person entitled | Nature of | Class and | |
relevant | holder of | to be registered | relevant | number of | Person's votes |
interest | securities | as holder (8) | interest (6) | securities | |
See Annexure B |
5. Changes in association
The persons who have become associates (2) of, ceased to be associates of, or have changed the nature of their association (9) with, the substantial holder in relation to voting interests in the company or scheme are as follows:
For personal use only
Name and ACN/ARSN (if applicable) | Nature of association |
N/A | N/A |
6. Addresses
The addresses of persons named in this form are as follows:
Name | Address | ||
Lloyd I. Miller, III Revocable Trust | 2336 S.E. Ocean Boulevard, Suite 400 Stuart, FL 34996 | ||
LIMFAM LLC | 2336 S.E. Ocean Boulevard, Suite 400 Stuart, FL 34996 | ||
Milfam II L.P. | 2336 S.E. Ocean Boulevard, Suite 400 Stuart, FL 34996 | ||
MBM Trust A-4 | 2336 S.E. Ocean Boulevard, Suite 400 Stuart, FL 34996 | ||
Miller Family Education and Medical | 2336 S.E. Ocean Boulevard, Suite 400 Stuart, FL 34996 | ||
T | |||
Susan F. Miller Spousal Trust A-4 | 2336 S.E. Ocean Boulevard, Suite 400 Stuart, FL 34996 | ||
Signature
print name | Neil S. Subin (in the applicable capacity) | capacity | General Partner / |
Manager / Trustee / | |||
Advisor | |||
sign here | date | 28/12/21 |
DIRECTIONS
For personal use only
- If 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 to the form. If 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.
- See the definition of "associate" in section 9 of the Corporations Act 2001.
- See the definition of "relevant interest" in sections 608 and 671B(7) of the Corporations Act 2001.
- The voting shares of a company constitute one class unless divided into separate classes.
- The person's votes divided by the total votes in the body corporate or scheme multiplied by 100.
- Include details of:
- any relevant agreement or other circumstances because of which the change in relevant interest occurred. If subsection 671B(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 contract, scheme or arrangement, must accompany this form, together with a written statement certifying this contract, scheme or arrangement; and
- any qualification of the power of a person to exercise, control the exercise of, or influence the exercise of, the voting powers or disposal of the securities to which the relevant interest relates (indicating clearly the particular securities to which the qualification applies).
See the definition of "relevant agreement" in section 9 of the Corporations Act 2001.
- Details of the consideration must include any and all 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 must be included even if the benefit is conditional on the happening or not of a contingency. Details must be included on any benefit paid on behalf of the substantial holder or its associate in relation to the acquisitions, even if they are not paid directly to the person from whom the relevant interest was acquired.
- If the substantial holder is unable to determine the identity of the person (eg. if the relevant interest arises because of an option) write "unknown'".
- Give details, if appropriate, of the present association and any change in that association since the last substantial holding notice.
This is Annexure A of 5 pages referred to in Form 604
print name Neil S. Subin (in the applicable capacity) | capacity | General Partner / | |||||||
Manager / Trustee / | |||||||||
Advisor | |||||||||
only | ign here | date | 28/12/2021 | ||||||
Date of change | Person whose relevant interest changed | Nature of | Consideration given in | Class and number of | Person's votes | ||||
change | relation to change (7)] | securities affected | affected | ||||||
(6) | |||||||||
21/10/2021 | Marli B. Miller Trust A-4 | 0.285 | 70,544 | ||||||
Sell | 70544 ordinary share | ||||||||
21/10/2021 | Miller Family Education and Medical Trust | 0.285 | 41,499 | ||||||
Sell | 41499 ordinary shares | ||||||||
21/10/2021 | Susan F. Miller Spousal Trust A-4 | 0.285 | 41,499 | ||||||
use | Sell | 41499 ordinary shares | |||||||
21/10/2021 | Milfam II L.P. | 0.285 | 41,157 | ||||||
Sell | 41157 ordinary shares | ||||||||
21/10/2021 | Lloyd I. Miller, III Revocable Trust | 0.285 | 12,845 | ||||||
Sell | 12845 ordinary shares | ||||||||
LIMFAM LLC | 0.285 | 2,155 | |||||||
21/10/2021 | Sell | 2155 ordinary shares | |||||||
28/10/2021 | Marli B. Miller Trust A-4 | Sell | 0.285 | ||||||
2825 ordinary shares | 2,825 | ||||||||
28/10/2021 | Miller Family Education and Medical Trust | Sell | 0.285 | ||||||
personal | 1663 ordinary shares | 1,663 | |||||||
28/10/2021 | Susan F. Miller Spousal Trust A-4 | Sell | 0.285 | ||||||
1663 ordinary shares | 1,663 | ||||||||
28/10/2021 | Milfam II L.P. | Sell | 0.285 | ||||||
1649 ordinary shares | 1,649 | ||||||||
28/10/2021 | Lloyd I. Miller, III Revocable Trust | Sell | 0.285 | ||||||
515 ordinary shares | 515 | ||||||||
LIMFAM LLC | Sell | 0.285 | |||||||
28/10/2021 | 86 ordinary shares | 86 | |||||||
10/11/2021 | Marli B. Miller Trust A-4 | 0.285 | 29,874 | ||||||
Sell | 29874 ordinary shares | ||||||||
10/11/2021 | Miller Family Education and Medical Trust | 0.285 | 17,574 | ||||||
Sell | 17574 ordinary shares | ||||||||
10/11/2021 | Susan F. Miller Spousal Trust A-4 | 0.285 | 17,574 | ||||||
Sell | 17574 ordinary shares | ||||||||
10/11/2021 | Milfam II L.P. | 0.285 | 17,429 | ||||||
Sell | 17429 ordinary shares | ||||||||
10/11/2021 | Lloyd I. Miller, III Revocable Trust | 0.285 | 5,440 | ||||||
Sell | 5440 ordinary shares | ||||||||
LIMFAM LLC | 0.285 | 912 | |||||||
10/11/2021 | Sell | 912 ordinary shares | |||||||
11/11/2021 | Marli B. Miller Trust A-4 | 0.285 | 16,888 | ||||||
Sell | 16888 ordinary shares | ||||||||
11/11/2021 | Miller Family Education and Medical Trust | 0.285 | 9,934 | ||||||
For | Sell | 9934 ordinary shares | |||||||
11/11/2021 | Susan F. Miller Spousal Trust A-4 | 0.285 | 9,934 | ||||||
Sell | 9934 ordinary shares | ||||||||
11/11/2021 | Milfam II L.P. | 0.285 | 9,853 | ||||||
Sell | 9853 ordinary shares | ||||||||
11/11/2021 | Lloyd I. Miller, III Revocable Trust | 0.285 | 3,075 | ||||||
Sell | 3075 ordinary shares | ||||||||
LIMFAM LLC | 0.285 | 516 | |||||||
11/11/2021 | Sell | 516 ordinary shares | |||||||
Marli B. Miller Trust A-4 | 0.285 | 16,820 | |||||||
12/11/2021 | Sell | 16820 ordinary shares | |||||||
Miller Family Education and Medical Trust | 0.285 | 9,895 | |||||||
12/11/2021 | Sell | 9895 ordinary shares | |||||||
Susan F. Miller Spousal Trust A-4 | 0.285 | 9,895 | |||||||
12/11/2021 | Sell | 9895 ordinary shares | |||||||
Milfam II L.P. | 0.285 | 9,813 | |||||||
12/11/2021 | Sell | 9813 ordinary shares |
96494026
Lloyd I. Miller, III Revocable Trust | 0.285 | 3,063 | ||||
12/11/2021 | Sell | 3063 ordinary shares | ||||
LIMFAM LLC | 0.285 | 514 | ||||
12/11/2021 | Sell | 514 ordinary shares | ||||
18/11/2021 | Marli B. Miller Trust A-4 | 0.2978 | 185,818 | |||
Sell | 185818 ordinary shares | |||||
18/11/2021 | Miller Family Education and Medical Trust | 0.2978 | 109,310 | |||
only | Sell | 109310 ordinary shares | ||||
18/11/2021 | Susan F. Miller Spousal Trust A-4 | 0.2978 | 109,310 | |||
Sell | 109310 ordinary shares | |||||
18/11/2021 | Milfam II L.P. | 0.2978 | 108,410 | |||
Sell | 108410 ordinary shares | |||||
18/11/2021 | Lloyd I. Miller, III Revocable Trust | 0.2978 | 33,835 | |||
Sell | 33835 ordinary shares | |||||
LIMFAM LLC | 0.2978 | 5,677 | ||||
18/11/2021 | Sell | 5677 ordinary shares | ||||
19/11/2021 | Marli B. Miller Trust A-4 | 0.31 | 72,068 | |||
Sell | 72068 ordinary shares | |||||
19/11/2021 | Miller Family Education and Medical Trust | 0.31 | 42,395 | |||
use | Sell | 42395 ordinary shares | ||||
19/11/2021 | Susan F. Miller Spousal Trust A-4 | 0.31 | 42,395 | |||
Sell | 42395 ordinary shares | |||||
19/11/2021 | Milfam II L.P. | 0.31 | 42,046 | |||
Sell | 42046 ordinary shares | |||||
19/11/2021 | Lloyd I. Miller, III Revocable Trust | 0.31 | 13,123 | |||
Sell | 13123 ordinary shares | |||||
LIMFAM LLC | 0.31 | 2,202 | ||||
19/11/2021 | Sell | 2202 ordinary shares | ||||
22/11/2021 | Marli B. Miller Trust A-4 | 0.31 | 8,127 | |||
Sell | 8127 ordinary shares | |||||
personal | 22/11/2021 | Miller Family Education and Medical Trust | 0.31 | 4,781 | ||
Sell | 4781 ordinary shares | |||||
22/11/2021 | Susan F. Miller Spousal Trust A-4 | 0.31 | 4,781 | |||
Sell | 4781 ordinary shares | |||||
22/11/2021 | Milfam II L.P. | 0.31 | 4,741 | |||
Sell | 4741 ordinary shares | |||||
22/11/2021 | Lloyd I. Miller, III Revocable Trust | 0.31 | 1,480 | |||
Sell | 1480 ordinary shares | |||||
LIMFAM LLC | 0.31 | 248 | ||||
22/11/2021 | Sell | 248 ordinary shares | ||||
23/11/2021 | Marli B. Miller Trust A-4 | 0.3 | 33,641 | |||
Sell | 33641 ordinary shares | |||||
23/11/2021 | Miller Family Education and Medical Trust | 0.3 | 19,790 | |||
Sell | 19790 ordinary shares | |||||
23/11/2021 | Susan F. Miller Spousal Trust A-4 | 0.3 | 19,790 | |||
Sell | 19790 ordinary shares | |||||
23/11/2021 | Milfam II L.P. | 0.3 | 19,627 | |||
Sell | 19627 ordinary shares | |||||
23/11/2021 | Lloyd I. Miller, III Revocable Trust | 0.3 | 6,125 | |||
Sell | 6125 ordinary shares | |||||
23/11/2021 | LIMFAM LLC | 1,027 | ||||
Sell | 0.3 | 1027 ordinary shares | ||||
03/12/2021 | Marli B. Miller Trust A-4 | 0.31 | 5,241 | |||
For | Sell | 5241 ordinary shares | ||||
03/12/2021 | Miller Family Education and Medical Trust | 0.31 | 3,083 | |||
Sell | 3083 ordinary shares | |||||
03/12/2021 | Susan F. Miller Spousal Trust A-4 | 0.31 | 3,083 | |||
Sell | 3083 ordinary shares | |||||
03/12/2021 | Milfam II L.P. | 0.31 | 3,057 | |||
Sell | 3057 ordinary shares | |||||
03/12/2021 | Lloyd I. Miller, III Revocable Trust | 0.31 | 954 | |||
Sell | 954 ordinary shares | |||||
LIMFAM LLC | 0.31 | 160 | ||||
03/12/2021 | Sell | 160 ordinary shares | ||||
24/12/2021 | Marli B. Miller Trust A-4 | 429,767 | ||||
Sell | 0.30990 | 429767 ordinary shares | ||||
24/12/2021 | Miller Family Education and Medical Trust | 252,817 | ||||
Sell | 0.30990 | 252817 ordinary shares | ||||
24/12/2021 | Susan F. Miller Spousal Trust A-4 | 252,817 | ||||
Sell | 0.30990 | 252817 ordinary shares |
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Focus Minerals Ltd. published this content on 29 December 2021 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 29 December 2021 02:46:02 UTC.