Griffin Mining Ld Holding(s) in Company (3111G)
04 August 2016 - 4:33PM
UK Regulatory
TIDMGFM
RNS Number : 3111G
Griffin Mining Ld
04 August 2016
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARES(i)
--------------------------------------------------
1. Identity of the issuer or Griffin Mining Limited
the underlying issuer
of existing shares to which
voting rights are
attached: (ii)
--------------------------------------------------------------- ------------------------------------
2 Reason for the notification (please tick the appropriate
box or boxes):
-----------------------------------------------------------------------------------------------------
An acquisition or disposal of voting rights X
------------------------------------------------------------------ ---------------------------------
An acquisition or disposal of qualifying financial
instruments which may result in the acquisition
of shares already issued to which voting rights
are attached
------------------------------------------------------------------ ---------------------------------
An acquisition or disposal of instruments with
similar economic effect to qualifying financial
instruments
------------------------------------------------------------------ ---------------------------------
An event changing the breakdown of voting rights
------------------------------------------------------------------ ---------------------------------
Other (please
specify):
--------------------------------------------------------- ------- ---------------------------------
3. Full name of person(s) Overbrook Management Corporation
subject to the
notification obligation:
(iii)
----------------------------------------------------------- ----------------------------------------
4. Full name of shareholder(s) Andrew J Goffe
(if different from 3.):(iv) Overbrook Select Master Fund
Overbrook Opportunity Fund
I LP
Overbrook Opportunity Fund
II LP
----------------------------------------------------------- ----------------------------------------
5. Date of the transaction 3 August 2016
and date on
which the threshold is
crossed or
reached: (v)
----------------------------------------------------------- ----------------------------------------
6. Date on which issuer 4 August 2016
notified:
----------------------------------------------------------- ----------------------------------------
7. Threshold(s) that is/are From below 5% to above 5%
crossed or
reached: (vi, vii)
----------------------------------------------------------- ----------------------------------------
8. Notified details:
----------------------------------------------------------------------------------------------------------------------
A: Voting rights attached to shares (viii, ix)
----------------------------------------------------------------------------------------------------------------------
Class/type Situation previous Resulting situation after the
of to the triggering triggering transaction
shares transaction
if possible
using
the ISIN
CODE
------------- -------------------------------- ---------------------------------------------------------------------
Number Number Number Number of voting % of voting
of of of rights rights (x)
Shares Voting shares
Rights
------------- --------------- --------------- -------------- -------------------------- -------------------------
Direct Direct Indirect Direct Indirect
(xi) (xii)
------------- ----------- ----------- -------------- ------------ ------------ ------------ -----------
Ordinary
Shares 8,936,137 8,936,137 9,186,137 9,186,137 5.13%
--------------- --------------- -------------- ------------ ------------ ------------ -----------
BMG319201049
------------- ----------- ----------- ------------ ---------- ------------ -------- ---------
B: Qualifying Financial Instruments
----------------------------------------------------------------------------------------------------------------------
Resulting situation after the triggering transaction
----------------------------------------------------------------------------------------------------------------------
Type of Expiration Exercise/ Number of voting % of voting
financial date Conversion rights that rights
instrument (xiii) Period (xiv) may be
acquired if
the
instrument
is
exercised/
converted.
----------------- ------------- ------------------------------- ---------------------------- ---------------------
- - - - -
----------------- ------------- ------------------------------- ---------------------------- ---------------------
C: Financial Instruments with similar economic effect
to Qualifying Financial Instruments (xv, xvi)
----------------------------------------------------------------------------------------------------------------------
Resulting situation after the triggering transaction
----------------------------------------------------------------------------------------------------------------------
Type of Exercise Expiration Exercise/ Number of voting % of voting
financial price date Conversion rights instrument rights (xix,
instrument (xvii) period refers to xx)
(xviii)
--------------- ------------- ------------- ---------------- ---------------------------- -----------------------
- - - - - Nominal Delta
--------------- ------------- ------------- ---------------- ---------------------------- ------------ ---------
- -
------------- ----------- ----------- ------------ ---------- ------------ ------------ ---------
Total (A+B+C)
----------------------------------------------------------------------------------------------------------------------
Number of voting rights Percentage of voting rights
------------------------------------------------- -------------------------------------------------------------------
9,186,137 5.13%
------------------------------------------------- -------------------------------------------------------------------
9. Chain of controlled undertakings through which the
voting rights and/or the
financial instruments are effectively held, if applicable:
(xxi)
----------------------------------------------------------------------------
Andrew Goffe is the majority shareholder of Overbrook
Management Corporation and each of the other shareholders
listed in Section 4 is an investment vehicle which is
managed by Overbrook Management Corporation.
As an SEC Registered Investment Advisor, Overbrook Management
Corporation is consequently subject to the shareholder
disclosure thresholds prescribed by DTR 5.1.5.
Proxy Voting:
----------------------------------------------------------------------------
10. Name of the proxy holder: N/A
---------------------------------------------------------- ----------------
11. Number of voting rights proxy N/A
holder will cease
to hold:
---------------------------------------------------------- ----------------
12. Date on which proxy holder will N/A
cease to hold
voting rights:
---------------------------------------------------------- ----------------
None.
13. Additional information:
---------------------------------------------------------- ----------------
14. Contact name: Lloyd Moskowitz
---------------------------------------------------------- ----------------
15. Contact telephone number: +1 6463159714
---------------------------------------------------------- ----------------
Note: Annex should only be submitted to the FCA not
the issuer
Annex: Notification of major interests in share
A: Identity of the persons or legal entity subject to
the notification obligation
--------------------------------------------------------
Full name N/A
(including legal form of
legal entities)
------------------------------------------------- -----
Contact address N/A
(registered office for legal
entities)
------------------------------------------------- -----
Phone number & email N/A
------------------------------------------------- -----
Other useful information N/A
(at least legal representative
for legal persons)
------------------------------------------------- -----
B: Identity of the notifier, if applicable
--------------------------------------------------------
Full name N/A
------------------------------------------------- -----
Contact address N/A
------------------------------------------------- -----
Phone number & email N/A
------------------------------------------------- -----
Other useful information N/A
(e.g. functional relationship
with the person or legal
entity subject to the notification
obligation)
------------------------------------------------- -----
C: Additional information
--------------------------------------------------------
N/A
--------------------------------------------------------
For notes on how to complete form TR-1 please see the
FCA website.
This information is provided by RNS
The company news service from the London Stock Exchange
END
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