Griffin Mining Ld Holding(s) in Company (8148M)
25 Januar 2021 - 5:18PM
UK Regulatory
TIDMGFM
RNS Number : 8148M
Griffin Mining Ld
25 January 2021
TR-1: S tandard form for notification of major holdings
NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer and
to the FCA in Microsoft Word format if possible) (i)
1a. Identity of the issuer or the Griffin Mining Limited
underlying issuer of existing shares
to which voting rights are attached
(ii) :
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1b. Please indicate if the issuer is a non-UK issuer (please mark with
an "X" if appropriate)
Non-UK issuer X
------------------
2. Reason for the notification (please mark the appropriate box or boxes
with an "X")
An acquisition or disposal of voting rights
------------------
An acquisition or disposal of financial instruments
------------------
An event changing the breakdown of voting rights
------------------
Other (please specify)(iii) : -- Initial Notification X
------------------
3. Details of person subject to the notification obligation (iv)
Name Andrew Goffe and Controlled Undertakings
City and country of registered office NY, NY
(if applicable)
4. Full name of shareholder(s) (if different from 3.) (v)
Name Overbrook Select Master Fund, L.P
Overbrook Opportunity Fund I LP
Overbrook Opportunity Fund II LP
Levin-Goffe Family Foundation
Article Seventh UWO MAE GOFFE
Andrew Jason Goffe IRA
Justin George Levin-Goffe 2015 Trust
Zachary Ethan-Levin Goffe 2015 Trust
Andrew J Goffe
Andrew J Goffe SEP IRA
Andrew Goffe GSt Exempt 2012 Trust
-------------------------------------------------------------
City and country of registered office
(if applicable)
-------------------------------------------------------------
5. Date on which the threshold was 1/25/21
crossed or reached (vi) :
-------------------------------------------------------------
6. Date on which issuer notified (DD/MM/YYYY): 1/25/21
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7. Total positions of person(s) subject to the notification obligation
% of voting % of voting rights Total of both Total number
rights attached through financial in % (8.A + of voting rights
to shares (total instruments 8.B) held in issuer
of 8. A) (total of 8.B (vii)
1 + 8.B 2)
----------------------- ---------------------- ----------------- ------------------
Resulting situation
on the date
on which threshold
was crossed
or reached 15.227% 0 15.227% 174,117,894
----------------------- ---------------------- ----------------- ------------------
Position of
previous notification
(if
applicable)
----------------------- ---------------------- ----------------- ------------------
8. Notified details of the resulting situation on the date on which
the threshold was crossed or reached (viii)
A: Voting rights attached to shares
Class/type of Number of voting rights % of voting rights
shares (ix)
BMG319201049 ISIN
Direct Indirect Direct Indirect
(DTR5.1) (DTR5.2.1) (DTR5.1) (DTR5.2.1)
-----------------------
Overbrook Select Master 6,863,925 3.942%
Fund, L.P 625,799 0.359%
Overbrook Opportunity 2,166,445 1.244%
Fund I LP 399,000 0.229%
Overbrook Opportunity 30,000 0.017%
Fund II LP 1,285,000 0.738%
Levin-Goffe Family 83,000 0.048%
Foundation 83,000 0.048%
Article Seventh UWO 13,617,489 7.821%
MAE GOFFE 380,000 0.218%
Andrew Jason Goffe 980,000 0.563%
IRA
Justin George Levin-Goffe
2015 Trust
Zachary Ethan-Levin
Goffe 2015 Trust
Andrew J Goffe
Andrew J Goffe SEP
IRA
Andrew Goffe GSt Exempt
2012 Trust
-------------------------------- ----------------------- ----------------- --------------
SUBTOTAL 8. A Direct 26,513,658 Direct 15.227%
--------------------------------------------------------- ---------------------------------
B 1: Financial Instruments according to DTR5.3.1R (1) (a)
Type of financial instrument Expiration Exercise/ Number of voting % of voting
date (x) Conversion rights that may rights
Period be acquired if
(xi) the instrument
is
exercised/converted.
----------------- --------------- ------------------------- -------------------------------
SUBTOTAL 8. B 1
-------------------------------- ------------------------- -------------------------------
B 2: Financial Instruments with similar economic effect according to
DTR5.3.1R (1) (b)
Type of Expiration Exercise/ Physical or Number of % of voting
financial date Conversion cash voting rights rights
instrument (x) Period settlement
(xi) (xii)
------------- ----------------- --------------- -------------------------
SUBTOTAL 8.B.2
--------------- -------------------------
9. Information in relation to the person subject to the notification
obligation (please mark the
applicable box with an "X")
Person subject to the notification obligation is not controlled by
any natural person or legal entity and does not control any other
undertaking(s) holding directly or indirectly an interest in the (underlying)
issuer (xiii)
Full chain of controlled undertakings through which the voting rights x
and/or the
financial instruments are effectively held starting with the ultimate
controlling natural person or legal entity (xiv) (please add additional
rows as necessary)
Name % of voting rights % of voting Total of both
if it equals or rights through if it equals
is higher than financial instruments or is higher
the notifiable if it equals than the notifiable
threshold or is higher threshold
than the notifiable
threshold
--------------------- --------------------------- -----------------------
OVERBROOK SELECT MASTER FUND, 3.942%
L.P. 0.359%
OVERBROOK OPPORTUNITY FUND 1.244%
I LP 0.229%
OVERBROOK OPPORTUNITY FUND 0.017%
II LP 0.738%
LEVIN-GOFFE FAMILY FOUNDATION 0.048%
ARTICLE SEVENTH TRUST UWO 0.048%
MAE GOFFE 7.821%
ANDREW JASON GOFFE IRA 0.218%
JUSTIN GEORGE LEVIN-GOFFE 0.563%
2015 TRUST
ZACHARY ETHAN-LEVIN GOFFE
2015 TRUST
ANDREW J. GOFFE
ANDREW J. GOFFE SEP IRA
ANDREW GOFFE GST EXEMPT 2012
TRUST
--------------------- --------------------------- -----------------------
10. In case of proxy voting, please identify:
Name of the proxy holder
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The number and % of voting rights held
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The date until which the voting rights
will
be held
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11. Additional information (xvi)
Place of completion New York, NY
Date of completion 1/25/21
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END
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