For Main Board and GEM lis ted is s uers
∙ Monthly Re turn of Equity Is s uer on Movements in Se curities For the month e nde d (dd/mm/yyyy) : 31/03/2015
To : Hong Kong Exchanges and Clearing Limited
Name of Issuer SouthGobi Resources Ltd. Date Submitted April 9, 2015
1. Movements in Authorised Share Capital
1. Ordinary Shares
1878.HK (S)
(1) Stock code :
SGQ.TO Description : Common Shares
No. of ordinary shares
Par value
(HK$)
No par
Authorised share capital (HK$)
Balance at close of preceding month Unlimited
value Unlimited
Increase/(decrease)
Balance at close of the month
(2) Stock code : Description :
No. of ordinary shares
Par value (State currency)
Authorised share capital
(State currency)
Balance at close of preceding month
Increase/(decrease)
Balance at close of the month
2. Preference Shares
Stock code : Description :
For Main Board and GEM lis ted is s uers
No. of preference shares
Par value (State currency)
Authorised share capital
(State currency)
Balance at close of preceding month
Increase/(decrease)
Balance at close of the month
3. Other Classes of Shares
Stock code : Description :
No. of other classes of shares
Par value (State currency)
Authorised share capital
(State currency)
Balance at close of preceding month
Increase/(decrease)
Balance at close of the month
Total authorised share capital at the end of the month (HK$) : N/A
II. Movements in Issued Share Capital
For Main Board and GEM lis ted is s uers
No. of ordinary shares No of preference
No. of other classes
(1) (2)
shares
of shares
Balance at close of preceding month | 218,753,970 | |
Increase/ (decrease) during the month | 0 | |
Balance at close of the month | 218,753,9 7 0 |
III. Details of Movements in Issued Share Capital
Share Options (under Share Option Schemes of the Is s uer)
Particulars of s hare No. of new s hares of No. of new s hares of option s cheme is s uer is s ued during is s uer which may be including EGM the month purs uant is s ued purs uant thereto approval date Movement during the month thereto as at clos e of the month (dd/mm/yyyy) and clas s of s hares is s uable Granted Exercis ed Cancelled Laps ed | |
1 Equity Incentive Plan (08/05/2013) Common Shares 0 0 32,972 0 0 (Note 1) 2. ( / / ) shares (Note 1) 3. ( / / ) shares (Note 1) Total A. (Ordinary shares) 0 (Preference shares) (Other class) Total funds rais ed during the month from exercis e of Cdn $ 0 options (State currency) | 3,005,973 |
1 Equity Incentive Plan (08/05/2013) Common Shares 0 0 32,972 0 0 (Note 1) 2. ( / / ) shares (Note 1) 3. ( / / ) shares (Note 1) Total A. (Ordinary shares) 0 (Preference shares) (Other class) Total funds rais ed during the month from exercis e of Cdn $ 0 options (State currency) | |
1 Equity Incentive Plan (08/05/2013) Common Shares 0 0 32,972 0 0 (Note 1) 2. ( / / ) shares (Note 1) 3. ( / / ) shares (Note 1) Total A. (Ordinary shares) 0 (Preference shares) (Other class) Total funds rais ed during the month from exercis e of Cdn $ 0 options (State currency) | |
1 Equity Incentive Plan (08/05/2013) Common Shares 0 0 32,972 0 0 (Note 1) 2. ( / / ) shares (Note 1) 3. ( / / ) shares (Note 1) Total A. (Ordinary shares) 0 (Preference shares) (Other class) Total funds rais ed during the month from exercis e of Cdn $ 0 options (State currency) |
Warrants to Is s ue Shares of the Is s uer which are to be Lis ted
For Main Board and GEM lis ted is s uers
No. of new No. of new s hares of s hares of is s uer is s ued is s uer which during the may be is s ued month purs uant purs uant thereto as at Currency of Nominal value at Exercis ed Nominal value thereto clos e of the Des cription of warrants nominal clos e of during the at clos e of the month (Date of expiry - dd/mm/yyyy) value preceding month month month |
1. ( / / ) Stock code (if lis ted) Clas s of s hares is s uable (Note 1) Subs cription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 2. ( / / ) Stock code (if lis ted) Clas s of s hares is s uable (Note 1) Subs cription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 3. ( / / ) Stock code (if lis ted) Clas s of s hares is s uable (Note 1) Subs cription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 4. ( / / ) Stock code (if lis ted) Clas s of s hares is s uable (Note 1) Subs cription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) Total B. (Ordinary shares) (Preference shares) (Other class) |
1. ( / / ) Stock code (if lis ted) Clas s of s hares is s uable (Note 1) Subs cription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 2. ( / / ) Stock code (if lis ted) Clas s of s hares is s uable (Note 1) Subs cription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 3. ( / / ) Stock code (if lis ted) Clas s of s hares is s uable (Note 1) Subs cription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 4. ( / / ) Stock code (if lis ted) Clas s of s hares is s uable (Note 1) Subs cription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) Total B. (Ordinary shares) (Preference shares) (Other class) |
1. ( / / ) Stock code (if lis ted) Clas s of s hares is s uable (Note 1) Subs cription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 2. ( / / ) Stock code (if lis ted) Clas s of s hares is s uable (Note 1) Subs cription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 3. ( / / ) Stock code (if lis ted) Clas s of s hares is s uable (Note 1) Subs cription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 4. ( / / ) Stock code (if lis ted) Clas s of s hares is s uable (Note 1) Subs cription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) Total B. (Ordinary shares) (Preference shares) (Other class) |
1. ( / / ) Stock code (if lis ted) Clas s of s hares is s uable (Note 1) Subs cription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 2. ( / / ) Stock code (if lis ted) Clas s of s hares is s uable (Note 1) Subs cription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 3. ( / / ) Stock code (if lis ted) Clas s of s hares is s uable (Note 1) Subs cription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 4. ( / / ) Stock code (if lis ted) Clas s of s hares is s uable (Note 1) Subs cription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) Total B. (Ordinary shares) (Preference shares) (Other class) |
1. ( / / ) Stock code (if lis ted) Clas s of s hares is s uable (Note 1) Subs cription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 2. ( / / ) Stock code (if lis ted) Clas s of s hares is s uable (Note 1) Subs cription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 3. ( / / ) Stock code (if lis ted) Clas s of s hares is s uable (Note 1) Subs cription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 4. ( / / ) Stock code (if lis ted) Clas s of s hares is s uable (Note 1) Subs cription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) Total B. (Ordinary shares) (Preference shares) (Other class) |
Convertibles (i.e. Convertible into Shares of the Is s uer which are to be Lis ted)
For Main Board and GEM lis ted is s uers
No. of new No. of new s hares of s hares of is s uer is s ued is s uer which during the may be is s ued month purs uant Currency of Amount at clos e Converted Amount at purs uant thereto as at amount of preceding during the clos e of the thereto clos e of the Clas s and des cription outs tanding month month month month | |
1. CIC Co n v e rt ib le De b e n t u re US$ $250,000,000 $0 $250,000,000 0 1878.HK (S) Stock code (if lis ted) SGQ.TO Clas s of s hares is s uable (Note 1) Ord in a ry Sh a re s Subs cription price Cdn $8.88 EGM approval date (if applicable) (dd/mm/yyyy)) N/ A 2. No v e l Su n ris e In v e s t me n t s US$ $0 $3,500,000 0 Limit e d M a n d it o rily Co n v e rt ib le Un it s 1878.HK (S) Stock code (if lis ted) SGQ.T O Clas s of s hares is s uable (Note 1) Ordinary Shares Subs cription price CAD$0.432 EGM approval date (if applicable) (dd/mm/yyyy) N/ A 3. Stock code (if lis ted) Clas s of s hares is s uable (Note 1) Subs cription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 4. Stock code (if lis ted) Clas s of s hares is s uable (Note 1) Subs cription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) Total C. (Ordinary s hares ) 0 (Preference s hares ) (Other clas s ) | 37,908,544 |
1. CIC Co n v e rt ib le De b e n t u re US$ $250,000,000 $0 $250,000,000 0 1878.HK (S) Stock code (if lis ted) SGQ.TO Clas s of s hares is s uable (Note 1) Ord in a ry Sh a re s Subs cription price Cdn $8.88 EGM approval date (if applicable) (dd/mm/yyyy)) N/ A 2. No v e l Su n ris e In v e s t me n t s US$ $0 $3,500,000 0 Limit e d M a n d it o rily Co n v e rt ib le Un it s 1878.HK (S) Stock code (if lis ted) SGQ.T O Clas s of s hares is s uable (Note 1) Ordinary Shares Subs cription price CAD$0.432 EGM approval date (if applicable) (dd/mm/yyyy) N/ A 3. Stock code (if lis ted) Clas s of s hares is s uable (Note 1) Subs cription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 4. Stock code (if lis ted) Clas s of s hares is s uable (Note 1) Subs cription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) Total C. (Ordinary s hares ) 0 (Preference s hares ) (Other clas s ) | 10,131,113 |
1. CIC Co n v e rt ib le De b e n t u re US$ $250,000,000 $0 $250,000,000 0 1878.HK (S) Stock code (if lis ted) SGQ.TO Clas s of s hares is s uable (Note 1) Ord in a ry Sh a re s Subs cription price Cdn $8.88 EGM approval date (if applicable) (dd/mm/yyyy)) N/ A 2. No v e l Su n ris e In v e s t me n t s US$ $0 $3,500,000 0 Limit e d M a n d it o rily Co n v e rt ib le Un it s 1878.HK (S) Stock code (if lis ted) SGQ.T O Clas s of s hares is s uable (Note 1) Ordinary Shares Subs cription price CAD$0.432 EGM approval date (if applicable) (dd/mm/yyyy) N/ A 3. Stock code (if lis ted) Clas s of s hares is s uable (Note 1) Subs cription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 4. Stock code (if lis ted) Clas s of s hares is s uable (Note 1) Subs cription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) Total C. (Ordinary s hares ) 0 (Preference s hares ) (Other clas s ) | |
1. CIC Co n v e rt ib le De b e n t u re US$ $250,000,000 $0 $250,000,000 0 1878.HK (S) Stock code (if lis ted) SGQ.TO Clas s of s hares is s uable (Note 1) Ord in a ry Sh a re s Subs cription price Cdn $8.88 EGM approval date (if applicable) (dd/mm/yyyy)) N/ A 2. No v e l Su n ris e In v e s t me n t s US$ $0 $3,500,000 0 Limit e d M a n d it o rily Co n v e rt ib le Un it s 1878.HK (S) Stock code (if lis ted) SGQ.T O Clas s of s hares is s uable (Note 1) Ordinary Shares Subs cription price CAD$0.432 EGM approval date (if applicable) (dd/mm/yyyy) N/ A 3. Stock code (if lis ted) Clas s of s hares is s uable (Note 1) Subs cription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 4. Stock code (if lis ted) Clas s of s hares is s uable (Note 1) Subs cription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) Total C. (Ordinary s hares ) 0 (Preference s hares ) (Other clas s ) | |
1. CIC Co n v e rt ib le De b e n t u re US$ $250,000,000 $0 $250,000,000 0 1878.HK (S) Stock code (if lis ted) SGQ.TO Clas s of s hares is s uable (Note 1) Ord in a ry Sh a re s Subs cription price Cdn $8.88 EGM approval date (if applicable) (dd/mm/yyyy)) N/ A 2. No v e l Su n ris e In v e s t me n t s US$ $0 $3,500,000 0 Limit e d M a n d it o rily Co n v e rt ib le Un it s 1878.HK (S) Stock code (if lis ted) SGQ.T O Clas s of s hares is s uable (Note 1) Ordinary Shares Subs cription price CAD$0.432 EGM approval date (if applicable) (dd/mm/yyyy) N/ A 3. Stock code (if lis ted) Clas s of s hares is s uable (Note 1) Subs cription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 4. Stock code (if lis ted) Clas s of s hares is s uable (Note 1) Subs cription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) Total C. (Ordinary s hares ) 0 (Preference s hares ) (Other clas s ) |
For Main Board and GEM lis ted is s uers
Any other Agreements or Arrangements to Is s ue Shares of the Is s uer which are to be Lis ted, including Options (other than under Share Option Schemes )
Full particulars including EGM approval date (dd/mm/yyyy), if applicable, and clas s of s hares is s uable: | No. of new s hares of No. of new s hares of is s uer is s ued during is s uer which may be the month purs uant is s ued purs uant thereto thereto as at clos e of the month | ||
1. 2. 3. | Employee Share Purchas e Plan | 0 | 323,851 |
1. 2. 3. | 0 | 323,851 | |
1. 2. 3. | 0 | 323,851 | |
1. 2. 3. | ( 08/05/2013 ) | 0 | 323,851 |
1. 2. 3. | s hares (Note 1) | 0 | 323,851 |
1. 2. 3. | |||
1. 2. 3. | |||
1. 2. 3. | |||
1. 2. 3. | ( / / ) | ||
1. 2. 3. | s hares (Note 1) | ||
1. 2. 3. | |||
1. 2. 3. | |||
1. 2. 3. | |||
1. 2. 3. | ( / / ) | ||
1. 2. 3. | s hares (Note 1) | ||
1. 2. 3. | 0 | ||
1. 2. 3. | Total D. (Ordinary s hares ) | 0 | |
1. 2. 3. | (Preference s hares ) | ||
1. 2. 3. | (Other clas s ) | ||
1. 2. 3. | (Other clas s ) |
Other Movements in Is s ued Share Capital
For Main Board and GEM lis ted is s uers
No. of new No. of new s hares of s hares of is s uer is s ued is s uer which during the may be month is s ued purs uant purs uant thereto thereto as at clos e of the Type of Is s ue month |
Clas s of s hares iss uable ________ (Note 1) 1. Rights is s ue At price : State Is s ue and allotment ( / / ) currency date : (dd/mm/yyyy) EGM approval date: ( / / ) (dd/mm/yyyy) |
Clas s of s hares iss uable ________ (Note 1) 1. Rights is s ue At price : State Is s ue and allotment ( / / ) currency date : (dd/mm/yyyy) EGM approval date: ( / / ) (dd/mm/yyyy) |
Clas s of s hares iss uable ________ (Note 1) 2. Open offer At price : State Is s ue and allotment ( / / ) currency date : (dd/mm/yyyy) EGM approval date: ( / / ) (dd/mm/yyyy) |
Clas s of s hares iss uable ________ (Note 1) 2. Open offer At price : State Is s ue and allotment ( / / ) currency date : (dd/mm/yyyy) EGM approval date: ( / / ) (dd/mm/yyyy) |
Clas s of s hares iss uable Ordinary (Note 1) Shares State 3. Placing At price : currency: Is s ue and allotment ( / / ) Cdn date : (dd/mm/yyyy) EGM approval date: (dd/mm/yyyy) ( / / ) |
Clas s of s hares iss uable Ordinary (Note 1) Shares State 3. Placing At price : currency: Is s ue and allotment ( / / ) Cdn date : (dd/mm/yyyy) EGM approval date: (dd/mm/yyyy) ( / / ) |
Clas s of s hares iss uable ________ (Note 1) 4. Bonus is s ue Is s ue and allotment ( / / ) date : (dd/mm/yyyy) EGM approval date: ( / / ) (dd/mm/yyyy) |
Clas s of s hares iss uable ________ (Note 1) 4. Bonus is s ue Is s ue and allotment ( / / ) date : (dd/mm/yyyy) EGM approval date: ( / / ) (dd/mm/yyyy) |
For Main Board and GEM lis ted is s uers
No. of new No. of new s hares of s hares of is s uer is s ued is s uer which during the may be month is s ued purs uant purs uant thereto thereto as at clos e of the Type of Is s ue month |
Clas s of s hares iss uable ________ (Note 1) 5. Scrip dividend At price : State Is s ue and allotment ( / / ) currency date : (dd/mm/yyyy) EGM approval date: ( / / ) (dd/mm/yyyy) |
Clas s of s hares iss uable ________ (Note 1) 5. Scrip dividend At price : State Is s ue and allotment ( / / ) currency date : (dd/mm/yyyy) EGM approval date: ( / / ) (dd/mm/yyyy) |
Clas s of s hares ________ repurchas ed (Note 1) 6. Repurchas e of Cancellation date : ( / / ) s hares (dd/mm/yyyy) EGM approval date: ( / / ) (dd/mm/yyyy) |
Clas s of s hares ________ repurchas ed (Note 1) 6. Repurchas e of Cancellation date : ( / / ) s hares (dd/mm/yyyy) EGM approval date: ( / / ) (dd/mm/yyyy) |
Clas s of s hares ________ redeemed (Note 1) 7. Redemption of Redemption date : ( / / ) s hares (dd/mm/yyyy) EGM approval date: ( / / ) (dd/mm/yyyy) |
Clas s of s hares ________ redeemed (Note 1) 7. Redemption of Redemption date : ( / / ) s hares (dd/mm/yyyy) EGM approval date: ( / / ) (dd/mm/yyyy) |
Clas s of s hares iss uable ________ (Note 1) 8. Cons ideration is s ue At price : State Is s ue and allotment ( / / ) currency date : (dd/mm/yyyy) EGM approval date: ( / / ) (dd/mm/yyyy) |
Clas s of s hares iss uable ________ (Note 1) 8. Cons ideration is s ue At price : State Is s ue and allotment ( / / ) currency date : (dd/mm/yyyy) EGM approval date: ( / / ) (dd/mm/yyyy) |
For Main Board and GEM lis ted is s uers
No. of new No. of new s hares of s hares of is s uer is s ued is s uer which during the may be month is s ued purs uant purs uant thereto thereto as at clos e of the Type of Is s ue month |
Clas s of s hares iss uable ________ (Note 1) 9. Capital Is s ue and allotment ( / / ) reorganis ation date : (dd/mm/yyyy) EGM approval date: ( / / ) (dd/mm/yyyy) |
Clas s of s hares iss uable ________ (Note 1) 9. Capital Is s ue and allotment ( / / ) reorganis ation date : (dd/mm/yyyy) EGM approval date: ( / / ) (dd/mm/yyyy) |
Clas s of s hares iss uable ________ (Note 1) 10. Other: At price : State ( / / ) currency: Is s ue and allotment date : (dd/mm/yyyy) EGM approval date: ( / / ) (dd/mm/yyyy) |
Clas s of s hares iss uable ________ (Note 1) 10. Other: At price : State ( / / ) currency: Is s ue and allotment date : (dd/mm/yyyy) EGM approval date: ( / / ) (dd/mm/yyyy) |
Total E. (Ordinary s hares ) (Preference s hares ) (Other clas s ) |
Total increas e / (decreas e) in ordinary s hares during the month (i.e. Total of A to E): (1) (2) Total increas e / (decreas e) in preference s hares during the month (i.e. Total of A to E): Total increas e / (decreas e) in other clas s es of s hares during the month (i.e. Total of A to E): (These figures should be the same as the relevant figures under II above ("Movements in Issued Sh | 0 |
Total increas e / (decreas e) in ordinary s hares during the month (i.e. Total of A to E): (1) (2) Total increas e / (decreas e) in preference s hares during the month (i.e. Total of A to E): Total increas e / (decreas e) in other clas s es of s hares during the month (i.e. Total of A to E): (These figures should be the same as the relevant figures under II above ("Movements in Issued Sh | |
Total increas e / (decreas e) in ordinary s hares during the month (i.e. Total of A to E): (1) (2) Total increas e / (decreas e) in preference s hares during the month (i.e. Total of A to E): Total increas e / (decreas e) in other clas s es of s hares during the month (i.e. Total of A to E): (These figures should be the same as the relevant figures under II above ("Movements in Issued Sh | |
Total increas e / (decreas e) in ordinary s hares during the month (i.e. Total of A to E): (1) (2) Total increas e / (decreas e) in preference s hares during the month (i.e. Total of A to E): Total increas e / (decreas e) in other clas s es of s hares during the month (i.e. Total of A to E): (These figures should be the same as the relevant figures under II above ("Movements in Issued Sh | |
Total increas e / (decreas e) in ordinary s hares during the month (i.e. Total of A to E): (1) (2) Total increas e / (decreas e) in preference s hares during the month (i.e. Total of A to E): Total increas e / (decreas e) in other clas s es of s hares during the month (i.e. Total of A to E): (These figures should be the same as the relevant figures under II above ("Movements in Issued Sh | are Capital").) |
Remarks (if any):
For Main Board and GEM lis ted is s uers
(Director, Secretary or other duly authorised officer)
Notes :
1. State the class of shares (e.g. ordinary, preference or other).
2. If there is insufficient space, please append the prescribed continuation sheet.
distributed by |