CRP
13/08/2015 17:20
RELINT
NOT PRICE SENSITIVE
REL: 1720 HRS Chatham Rock Phosphate Limited
RELINT: CRP: D&O Disclosure: Falconer
Ongoing Disclosure Notice
Disclosure of Directors and Senior Managers Relevant Interests
Sections 297(2) and 298(2), Financial Markets Conduct Act 2013
To NZX Limited; and
Name of listed issuer: Chatham Rock Phosphate Limited
Date this disclosure made: 13-Aug-15
Date of last disclosure: 13-May-15
Director or senior manager giving disclosure
Full name: Robin Keith Halcro Falconer
Name of listed issuer: Chatham Rock Phosphate Limited
Name of related body corporate (if applicable): N/A
Position held in listed issuer: Director
Summary of acquisition or disposal of relevant interest (excluding specified
derivatives)
Class of affected quoted financial products: (a) Acquisition: ordinary
shares in Chatham Rock Phosphate Limited; (b) Disposal: CRPOB options Chatham
Rock Phosphate Limited; (c) Disposal: unlisted options.
Nature of the affected relevant interests: (a) Joint legal and beneficial
interest (joint holding); (b) joint legal and beneficial interest (joint
holding through company); and (c) joint legal and beneficial interest (joint
holding).
For that relevant interest-
Number held in class before acquisition or disposal: (a) Robin Falconer
Associates Limited: 588 CRPOB options and 948,676 ordinary shares; and (b)
Robin Falconer and Rosemary Falconer: 101,248 CRPOB options, 2,345,600
ordinary shares, and 500,000 unlisted options
Number held in class after acquisition or disposal: (a) Robin Falconer
Associates Limited: zero CRPOB options and 948,760 ordinary shares; and (b)
Robin Falconer and Rosemary Falconer: zero CRPOB options, 2,460,064 ordinary
shares and zero unlisted options
Current registered holder(s): (a) Robin Falconer Associates Limited; and (b)
Robin Falconer and Rosemary Falconer
Registered holder(s) once transfers are registered: (a) Robin Falconer
Associates Limited; and (b) Robin Falconer and Rosemary Falconer
Summary of acquisition or disposal of specified derivatives relevant interest
(if applicable)
Type of affected derivative: N/A
Class of underlying financial products: N/A
Details of affected derivative-
The notional value of the derivative (if any) or the notional amount of
underlying financial products (if any): N/A
A statement as to whether the derivative is cash settled or physically
settled: N/A
Maturity date of the derivative (if any): N/A
Expiry date of the derivative(if any): N/A
The price specified in the terms of the derivative (if any): N/A
Any other details needed to understand how the amount of the consideration
payable under the derivative or the value of the derivative is affected by
the value of the underlying financial products: N/A
For that derivative,-
Parties to the derivative: N/A
If the director or senior manager is not a party to the derivative, the
nature of the relevant interest in the derivative: N/A
Details of transactions giving rise to acquisition or disposal
Total number of transactions to which notice relates: Three (3)
Details of transactions requiring disclosure-
Date of transaction: (a) and (b) 10 August 2015 and (c) 12 August 2015
Nature of transaction: (a) Robin Falconer Associates Limited - 588 CRPOB
options were cancelled in consideration for the issue of 84 ordinary shares;
(b) Robin Falconer and Rosemary Falconer - 101,248 CRPOB options were
cancelled in consideration for the issue of 14,464 ordinary shares; and (c)
Robin Falconer and Rosemary Falconer - 500,000 unlisted options were
cancelled in consideration for the issue of 100,000 ordinary shares.
Name of any other party or parties to the transaction (if known): N/A
The consideration, expressed in New Zealand dollars, paid or received for the
acquisition or disposal. If the consideration was not in cash and cannot be
readily by converted into a cash value, describe the consideration: (a) and
(b) shares were issued on the basis of 1 new share for every 7 CRPOB options
that were cancelled. (c) shares were issued on the basis of 1 new share for
every 5 unlisted options that were cancelled.
Number of financial products to which the transaction related: (a) Robin
Falconer Associates Limited - 588 CRPOB options and 84 ordinary shares; (b)
Robin Falconer and Rosemary Falconer - 101,248 CRPOB options and 14,464
ordinary shares; and (c) Robin Falconer and Rosemary Falconer - 500,000
unlisted options and 100,000 ordinary shares.
If the issuer has a financial products trading policy that prohibits
directors or senior managers from trading during any period without written
clearance (a closed period) include the following details--
Whether relevant interests were acquired or disposed of during a closed
period: N/A
Whether prior written clearance was provided to allow the acquisition or
disposal to proceed during the closed period: N/A
Date of the prior written clearance (if any): N/A
Summary of other relevant interests after acquisition or disposal:
Class of quoted financial products: Ordinary shares
Nature of relevant interest: (a) and (c) joint legal and beneficial interest
(joint holding); and (b) joint legal and beneficial interest (joint holding
through company)
For that relevant interest,-
Number held in class: (a) Robin Falconer Associates Limited: 948,760
ordinary shares; (b) Robin Falconer and Rosemary Falconer: 2,360,064 ordinary
shares; and (c) Robin Falconer and Rosemary Falconer: 100,000 ordinary shares
Current registered holder(s): (a) Robin Falconer Associates Limited; and (b)
and (c) Robin Falconer and Rosemary Falconer
For a derivative relevant interest,-
Type of derivative: N/A
Details of derivative,-
The notional value of the derivative (if any) or the notional amount of
underlying financial products (if any): N/A
A statement as to whether the derivative is cash settled or physically
settled: N/A
Maturity date of the derivative (if any): N/A
Expiry date of the derivative (if any): N/A
The price's specified terms (if any): N/A
Any other details needed to understand how the amount of the consideration
payable under the derivative or the value of the derivative is affected by
the value of the underlying financial products: N/A
For that derivative relevant interest,-
Parties to the derivative: N/A
If the director or senior manager is not a party to the derivative, the
nature of the relevant interest in the derivative: N/A
Certification
I certify that, to the best of my knowledge and belief, the information
contained in this disclosure is correct and that I am duly authorised to make
this disclosure by all persons for whom it is made.
Signature of director or officer: N/A
Date of signature: N/A
or
Signature of person authorised to sign on behalf of director or officer:
Date of signature:
Name and title of authorised person: Matthew Yates, Lawyer
Notes
Use this form to disclose all the acquisitions and disposals by a director
or senior manager of a listed issuer, or of a related body corporate, or in
specified derivatives. The disclosure must be made within--
(a) 20 working days after the first acquisition or disposal
disclosed in this notice if the acquisitions or disposals are of a kind
referred to in section 297(2)(a) of the Financial Markets Conduct Act 2013;
or
(b) in any other case, 5 trading days after the first
acquisition or disposal disclosed in this notice.
End CA:00268389 For:CRP Type:RELINT Time:2015-08-13 17:20:51
