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HopgoodGanim
For personal use only
22 October 2014
Austral n Securltes Bochange
Compeny Announcement Platiorm
Lml g Waterfront Place
1 E Shit
By facelmile: 1300 136 638
Brl,hi„I gil 4000 AL*rik
PO Boil 7822. Witartront Placi
Ou Rlf:
1488646 - KEith,rh» Hmnond
Brlibln e Qld 4001 Aulnlia
ABN: 54105489661
™sele©tronIGtrm=-lon li h*Ind,d 01*lorthl umofthl lidli/1:111* grir tontilall Illi
adchiled Ind m co„Mil Worniallon tlt h /1. lood. consdarAW =1 r =n* from Idoln
111<* 0ppitle *v. 0 yul m, nd h W.#d li*Ill, my d„„Ii,Illai, dlit,ili,illain or Gop*g of
th cormn„,lillo,11, 011* prolill,d. Ir you hava mcalied 0 coml lotlon &1 mu, plem not*
us Ills<*Illy by Ilphona, r,am: the 0,10/ els-,110 W lo ul i thi ,dch- bilos by
potmd dollardistioy =11 *Ictroit oroth,rcopl=. Th=*)UL
Dear SMladam
1
IletroCod Lhnited - Off-miket takeover bid for Capi Alumina Umited
(Cape) - Appendix 38
We refer to MetroCoal Ummed'B (Company or MetroCoal) Off-Ing,ket takeover bid
forall of the fully paid ordliary shares h Cape Alunina Urnlld ACN 107817694
(Capo or Ta,get) which an not akeady held by the Compeny, under Pst 6.6 of the
Comorations Act 2001 (Cth) (Corporatio,» Act), (Tak,ovor Bid).
Forthe purpoies of the ASX Usang Rules, Corporalons Act and for all other
purpoees h relation b the Takeover Bid, please Thd attached an Appendbc 38 for
the Issue of MetroCoal shares h consider*flon of MetroCoars acquisition of Cape
',: ·. received as aithe close of Made on 20
8hares forthe Takeover Bid
October 2014.
A further Appendbc 38 wil be lodged m and when requked for the h;sue of shares
in respectof any subsequent acceptances received, b, accnrdaiice with
MetroCoers Bidders S tement and the Corporauons Act
Yours fal»tfully
mp'*AL
HopgdodGI"In
Cont ct
Kath r[n,1·1=INTIond
A=oclate
1
T 07 3024 0343
1
F 07 3024 0343
E k.h nmond@hopgoodganhn. com. au
Parbw responsmle: 11 ha,1 Hiniel
Bm
T +61 7 30240000
F +61 7 3024 0300
T +61 8 9211 0111
F +61 8 92261696
vmw.hopgoodgilm.corn.au
9627584-1
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Rth 1.7.3.10.3.3.10.4.3.10.3
For personal use only
Appendix 3B
New issue announcement
application for quotation of additional securities
and agreement
h*,mation or doc imi,* not avi,dbk no# mit be s*'m 10 ASIC al m al avi,dbk h*,mation and
doc,=00,gh,1 *AATbacm„i.Aher'/p/op,W*1=45, maipaiblk
illrodled 01 7/96 ChiblE Applill 5 Aild'd 01/074 0)0*99,01,07,00,38§01,11/01401,01,131 34/1 15,01,0& 12,04,03/13
Narr» Of«Ifity
MdroCoal Limited
AEN
117763443
We (tho entity) give ASX the following information.
Part 1 - All issues
Y=m.compl ,brel„=ud=(-ch,11-91,el:no:,1,0 04.4.
1
+Cli„ af +seolibbm i=ued or to Fally Paid Ordinafy Shares
be i=ued
2
Number af +securiues i=ued or to 36,725,630
be i.sued (]f kIx,Te) or nmin=n
number whioh tray be sued
3
PI:no pal te:ni of the +0eouriti(e.g. if 00014 excroise price and Fully paid *inary share, ranking oqully in
exphy
date;
if p:rtly
pdd all rospoot, wia cxiang ordinary fully paid
+seouritie< the a=unt out*andim
and due dates fix paymmt if
tie
+oonvertible
wairitic<
oonvenion price and dates for
ordinary shares.
oonvellion)
+ See ch.f 19 for 81£ned tct=
04/08/2013
Appendix 38 P* 1
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4
3 of 12
Do the +securitio rink equally in
an re,peou from the +i=, date Yes
with m coriting +ola= af quoted
For personal use only
+Ieouriti-?
If the addibonal +,eouritii do not
rank equally, please state:
•
the date Sam which they do
• the
extent
to
whioh acy
partioipate for the neod
dividend, (in the cue af a tnK
di ibution)
or
interest
payment
• thee,[imt to tioh bey do not
rank equally, other th=n in
relation to the neo[t dividend
disaibution or inisest pay=t*
5
I=ue prioe oroo deration
1 MetroCoal Limitod (MTED sharo issucd for
cvcry 1.3 Cape Atomina Limitd (CBX) share
of CBX sharcholden who have accepted
MIE's off-m,rkct takeover offer for all of the
mh:rcs in CRX thst MIE docs not alremby hold
par,nant to MIE)
Biddmr's
Statement
(Bidder's Stat nent) d=ted 19 ATMVul 2014
(m subsc cntly .:2'-11 -,0-' and varied from
time to time) (Offer).
6
Puipoee ofthe issue
(If i=ued = 00„Iideratian for the
pur,n,nt to the Of r, in order to acquire CBX
acquisition
Ihires.
af
a=cti.
clearly
As
i. ., I t. r. ,
ide Or thooe,Ixtz)
6a
Is ftie entig an +eNgible entig diat
h.
obtained seouray
under rule 7.lA?
Ycs
holds
If Yea, 004 Fte sectiom 6b 81
1,1 7,latio,1 to thi +,scu,m= th,
:ubject (4 thix Appencix 38. sl
oomply with =*ion 6i
6b
The date the seourig holder 29/11/2013
resohition under rule 7.lA was
p."Id
60
Mmiber of +,enxittim issued Nil
wiEhoi* 0eourig holds
under rule 7.1
for acc*ances
received
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6d
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bamiber of +secizdtio i=ued with Nil
seouxig holder
7.lA
For personal use only
4 of 12
under rule
60
Number of +seoidtim i=ued with Nil
seourity holder
under rule
7.3, cr nofber fpeoifio ieouday
holder
(,pec fy da cf
meeting)
Gf
baimber 0£1-,eclidtim sued under
Nil
m emoeption in rule 7.2
69
If' +seci es i=ued inder rule N/A
ah
If +sec,idti= were i=ued under N/A
7.14 w= b,= pfioe atle=t 75%
0£ 15 dgy VWAP u calculated
under rule 7.1A3? holude the
+i,mie date and both values
Ino ude be sofime of be VWAP
calculation.
rule
7.lA
for
nono=h
031.ideration, state date on which
valuation 0£ oo ideration was
releued
to
ASX
Ma t
6i
nalal] the c:*ity*s reaming
i=ue orpaoi4, under rule 7.1 „d
rule 7.lA - complete Annexure 1
and releue to ASX Marid
7
+E,mu dsbos
Rnle 7.1 - 36,841,394
Rnle 7.lA - 24,560,929
22 Odobs 2014
N * 71I lii dti Il bi p ,*0 by AZIX
*Ir lo b d/In 41„I dbir,1, 121
./1./.. ........ 4...././1.
/"Ibbi Al/Ek'A
ch= r-,/9/ R= 31 CA,p,=/, IR
Numbs
8
Number and +ola= 0£ all
+ieouriLes quoted on ASX 245,809,293
011,08,81 the +,eourities in,eotion
2 ifapplicable)
+Clms
Ordinary fully paid
Ilu,zo.
+ See ch.f 19 for 81£ned tct=
04/08/2013
Appendix 38 P* 3
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Nuttlbs
9
Number and +ola= af all 2,000,000
+securiti= not quoted on ASX
For personal use only
(11:chidig the +seoliIfues in seouon
2 ifapplioable)
10
Dhvidend policy (in the case of a
tuit distzibutim policy) an be
irx:reased capital C=eresti)
Part 2 - Pro rata issue
11
Is
securig
holder
12
8 the sue renounomble or ™1,1renounoeable?
13
R•tin in whiah the +0eouriti- will
be aimed
14
+Cl= of +Ieouriba. to whi# the
offer relates
15
+Reoord
date
to
detecmine
F,ilitll
16
Will holdings on difrerent resi,ten
(or subregisten) be aggregated for
calculatiog Mutleci:ents?
17
Polic, fix decidig Mltlenimts in
relation to fractions
18
Nan= of oounizies in which the
01% has nourig holden who will
not be ,=iknew 055 doam=Its
Natz licd/ imidii 1/ bi Id liaw lidr
/ili.,Ilimbbe dd *A
0- th.*- 7.7.
19
Closing date for reodpt
acoeptanoes or r=noiatiom
0£
Unchanged
5 of 12
+Clms
Unlisted oftio
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How do =04 holden dispooe of
t
xtilen=S (acept by sale
thro* a bro er)?
For personal use only
33
Part 3 - Quotation of securities
1- nod only Implile9,11 =dion tfyo• .appl*<*rliolilion 4Iia„vi=
(tick ons)
(a)
+Seouri es desoribed in Part 1
(b)
All other +seourities
Bllk rhud-/17....dill-<.dp.Apl.pal././th=-*1 p,1 -02.
Entities th=t h=ve ticked box 34(a)
Additional securities forming a new da= of securiti=
rick 80 hilc ,1 *m are providhlg #le *r=¤lion or
35
If the +,enxittii Ere +eql 13' •eairitia•, the „,un- 0£ the 20 lary•* holds, 0£ the
additional +seozidtie< md fhe Mumbi gad per=*age 0£ additional +seozium held by
thooe holders
If the +seouriti- are +equity Ieouriti#,- a fli iblitinr! 0.Jh,1, of the m,trlitir.-1
36
+scouribes settiog out the number ofholders in the categories
1 -1,000
1,001-5,000
5,001-10,000
10,001 - 100,000
100,001 and cvs
37
-
A oopy af any tr* deed fix the additional +Ieourities
+ See ch.f 19 for 81£ned tct=
04/08/2013
Appendix 38 P* 5
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For personal use only
Entities that have ticked box 34(b)
38
Number of +Iecur es for which
+quotation issol:*
39
+Cl=s of' +scodi for whioil
Fiatti- 6 =Sh
40
Do the +0eouritim rank equally in all
re,peou from be +i=ue dabe with m
3,"Ing +Cla= af quoted +Ieouritia•?
If the additional +,colidtim do not
rank equIlly, ple state
•
the date from which they do
•be Bil,nt to whicil bey
puticipate for the nsit dividend
On
the
cue
O£
a
#u<
distzib,ition) or interest paymmt
• the extent to which th:y do tiot
rank equally, oths an in
relation to the net vidend.
distzibution or intereit psynmt
41
Reion ix request ix quotation
11h
af r,- d 9014 d af
1,"lillk= *od
Of i=ued upon oomrmion of
anotber +scouxig, olmily id=Eify
that ofher +0eourig)
knlbs
42
+Clms
Number and +cla= af all +securi#es
quoted on ASX (iligh,Glig the
+Ieourities in olm,Ie 38)
+ See ch.f 19 for 81£ned tct=
Appendix 38 Pge 6
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For personal use only
Quotation .greetnent
1
+Olotton af our additional +securities is in ASX's absolutc discretion. ASX may
quote the +securities on any conditions it docidcs.
2
We wasant the following to ASX
•
Tho issuo of th© +Bocuribcs to bo quotod complies with th© liw and is not
foran illogal purposo.
•
Thoro is no romon why 11'n o +Socuritia should not bo grm,tp,1 +quo,mtirv,
•
An offer of *c +sccuritics for sale within 12 months :incr thcir issue will
not rcifirc di clog[Irc undcr sectrn 707(3) or section 10120(6) of thc
Act
Notz AI Iti, mi, Id to dih <11191* wirti Ic= digete *r hi =a ki li
•
- to be dib 10 Il
Soction 724 or soc,Hon 10168 of th© Corporations Ad docs not apply to any
'Pplicatk,ns roocivod by us in rel.tion to any +80(ouriti to bo quotod -,1
that no»«ono hm any right to return any +Boouritics to bo Womd unds
sootions 737, 738 or 1016F of tho Corporations Act at th© tgoo that wo
request diat #10 +Bocuritics bo quotod
•
If wo 50 a trust, wo warrant 11 Mt no person h= tho right to r,dnrn tho
+securities to be quoted undcr section 10198 offhc Co,porations Act atthc
time that worcqicst that th© +sccuritics bc quoted.
3
Wc will indcmnify ASX to the fullest extcni permitted by liw in respect of any
cld,4 action or Dpcnic arising from or conncdod with any breach of th©
warr,ntics in this agreement
4
We give ASX the information and documents reifired by this form. If any
information or document is not available now, 14, will give it to ASX before
+.
of the +securities begir=. We z:knowledge that ASX is relying on the
bio,mation Ed documents. We wimmt that they are (willbe) true and ccynpletel
Sign hcre:
Datc: 22/10/2014
Bany Sc ct y)
Print ns,Ir:
Scott Waddell
+ See ch.f 19 for 81£ned tct=
04/08/2013
Appendix 38 Pge 7
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Appendix 3B - Annexure 1
For personal use only
Calcullation of placement capacity under rule 7.1 and rule
7.lA for eligible entities
odigid Olmlll A,„did OUDVll
Part 1
liulo 7.1 - buu oxo=ding 18% of oapital
S:,p 1.' Cdoule, A", tho bas, 11$,m hm whioh th, 0,oommt
capactty la cdculated
hen nimberof My pa +ordl,sy
208,883,663
securRIes on leslie 12 months before the
+Issue date or date of agreement to Issue
Addthefolow :
·
imber of fuly paid +ord#sy BecurRIes
lesued h that 12 nionth period underan
. - In nile 7.2
·
Nuniber of fuly paid +ordhay securRIes
Issued *that 12 nior h period with
sh elloldi apIMIlld
·
n*er of pa p d +ord*
secur es #1/ became ml paid h #iat
12 morth period
36,725,630
. Inck,de only o Ny securmes here
alherdess=of 4-* secicaillies caniid
beadjed
· Inch,de hem 81 appicable) te securmes
the su4iact Of the Appen* 38 10 45
fhis R,m is amie,oad
· It may be useful to set out Issues of
securmes on.sentckates as sepe,*
h sms
Subhdthe nlmber of fuly pal +ordhq
...es cance i dl, that 12 month
petod
.A"
245,609,293
+ See ch.f 19 for 81£ned tct=
Appendix 38 Pge 8
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Stip 2: Caloulats 15% of A"
For personal use only
B"
0.15
/AUB: #is Ek,e carina¢be chang04
al/*4'A' by 0.15
36,841,394
8*p 3: Ciloulati «C ,the amount d plieement eapoolty undor rule
7.1 thath= dready bon ueed
hd nimber of +efly secur208 keued
bil
or Eveed b be lesued h that 12 n,onth
pe od nof coc/]thg those Issued:
· Under m e,[ce.otion h rule 7-2
· Under rule 7.lA
• Vah seasly holderapproval -der rule
7.1 or rule 7.4
·
77,#s *b e * sacu#88 un%3ss
Viedicaly e):A,ded - nofAm# arliay
Milillylies
· Inch,de here (Nappicable) the securiles
the su4iact Ofthe Appen* 38 10 45
fhis R,m is amie,oad
· It may be usefulto setout Issues of
securmes on.sentckates as sepe,*
h*sms
U=
Step 4: Subtraot =C" from rA" x =B"] to o,loulato rem,Ining
plaooment capacity unhrn,le 7.1
'A'x 0.15
36,841,394
A r n£,nbermust be-ne as sholin
5*2
Sub:rad 'Cr
NI
Not ni ber mudbe m assho#m in
543
ToW rA' x 0.151 - -C
36,841,394 LA 09: this h ths,emahhg
placementcapacRy under rule 7.1]
+ See ch.f 19 for 81£ned tct=
04/08/2013
Appendix 38 Pge 9
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Part 2
For personal use only
Rul07.1A- Addllonal piaoomint oapaoity for,Ilglbli inntles
St p 1: Cilouhao A", tho bui ngur from whkh thi pia=m,nt
oapaolty Is oalilitd
.A"
245,609,293
ible: nimbermust be=ne as shovi in
Step l ofPart 1
St,p 2: Cdou//0 10% of UA"
.D"
0.10
Aob: #ws wave camot be changed
211*ly 'A' by 0.10
24,580,929
Stip 3: Calculate 921, the amount of plaoement oap,014 undirnie
7.lA * t h=,Iready boon uied
h# nlinber of +nfily -Irmi=:,1=
MI
or agreed b be 166ued h thi 12 morth
period under rule 7.lA
At*s ·
. 77,#s am,as 00 4* sacu#Sss - nof
As# anb"Wyss(Untes
· Inck,de hem -li*picable- te
securmes the sublectofthe Appen*
38 00,%*doh #}ds *,mis anneN,d
.Do =*Ab.*y =, R slon
undarrub 7.1 (#,ey must be deat v h
in Part 1), or forwhich spect securRy
holderapprval has been obtained
- It may be useR,1 to setout Issues of
securmes on dlerent dek as sepE,am
./.ms
NI
+ See ch.f 19 for 81£ned tct=
Appendix 38 P.se 10
04/08/2013
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St,p 4: Subhot -E" from rA" x iD"J co o•louku. r,maining
For personal use only
plient eapaolly undw nle 7.fA
'A'x 0.10
24,580,929
Aola-nimbermust be=ne as shown /n
542
Sube»d 'E'
NI
ible: nimbermust be=ne as shovi in
Sisp 3
ToW rA' x 0.101 -'2
24,560,929
Note: 0,#s M #ieremahlig place,ne,1
capacity underrule7.lA
+ See ch.f 19 for 81£ned tct=
04/08/2013
Appemdix 38 Pise 11