SOUTHGOBI RESOURCES LTD. For Main Board and GEM listed issuers
∙For the month ended (dd/mm/yyyy) : | 30/09/2015 |
To : Hong Kong Exchanges and Clearing Limited
Name of Issuer | SouthGobi Resources Ltd . |
Date Submitted | October 7, 2015 |
1. Movements in Authorised Share Capital
1. Ordinary Shares
1878.HK (S)
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 Unli mited
value Unli mited
Increase/(decrease)
Balance at close of the month
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
Stock code : | Description : | ||||
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 |
Balance at close of preceding month | No. of ordinary shares | No of preference shares | No. of other classes of shares | ||
(1) | (2) | ||||
2 4 5 ,72 0 ,3 3 3 | |||||
Increase/ (decrease) during the month | 0 | ||||
Balance at close of the month | 2 4 5 ,72 0 ,3 3 3 | ||||
Details of Movements in Issued Share Capital
Share Options (under Share Option Schemes of the Issuer)
Particulars of share option scheme including EGM approval date
(dd/mm/yyyy) and class of shares issuable
Mo ve me nt d uri ng t he mo nt h
No. of new shares of issuer issued during the month pursuant thereto
No. of new shares of issuer which may be issued pursuant thereto as at close of the month
Granted
Exercised
Cancelled La
psed
1 Equity
In cen tive Plan
1,913,590
(06/08/2015)
Common Shares
0
0
36,011
0
0
(Note 1)
2.
( / / )
shares
(Note 1)
3.
( / / )
shares
(Note 1)
Total A. (Ordinary shares)
0
(Preference shares)
(Other class)
Total funds raised during the month from exercise of options (State currency)
0
Warrants to Issue Shares of the Issuer which are to be Listed
Currency of Nominal nominal close
value preceding
No. of new shares of issuer issued during the month pursuant thereto
No. of new shares of issuer which may be issued pursuant thereto as at close of the month
Description of warrants
(Date of expiry - dd/mm/yyyy)
1.
( / / )
Stock code (if listed)
Class of shares
issuable (Note 1)
Subscription price
EGM approval date (if applicable)
(dd/mm/yyyy)
( / / )
2.
( / / )
Stock code (if listed)
Class of shares
issuable (Note 1)
Subscription price
EGM approval date (if applicable)
(dd/mm/yyyy)
( / / )
3.
( / / )
Stock code (if listed)
Class of shares
issuable (Note 1)
Subscription price
EGM approval date (if applicable)
(dd/mm/yyyy)
( / / )
4.
( / / )
Stock code (if listed)
Class of shares
issuable (Note 1)
Subscription 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 Issuer which are to be Listed)
Currency of amount outstanding
Amount at close of preceding month
Converted Amount at during the close of the month month
No. of new shares of issuer issued during the month pursuant thereto
No. of new shares of issuer which may be issued pursuant thereto as at close of the month
Class and description
1. CIC Co nver tible Deb e nture
48,719,716
US$
$250,000,000
$0
$250,000,000
0
Stock code (if listed)
1878.HK (S)
SGQ.TO
Class of shares issuable (Note 1)
Or d inar y S har es
Subscription price
Cd n $ 8 .8 8
EGM approval date (if applicable) (dd/mm/yyyy))
N/ A
2.
Stock code (if listed)
Class of shares
issuable (Note 1)
Subscription price
EGM approval date (if applicable)
(dd/mm/yyyy)
3.
Stock code (if listed)
Class of shares
issuable (Note 1)
Subscription price
EGM approval date (if applicable) (dd/mm/yyyy)
( / / )
4.
Stock code (if listed)
Class of shares
issuable (Note 1)
Subscription price
EGM approval date (if applicable) (dd/mm/yyyy)
( / / )
Total C. (Ordinary shares)
0
(Preference shares)
(Other class)
Any other Agreements or Arrangements to Issue Shares of the Issuer which are to be Listed, including Options (other than under Share Option Schemes)
Full particulars including EGM approval date (dd/mm/yyyy), if applicable, and class of shares issuable:
No. of new shares of issuer issued during the month pursuant thereto
No. of new shares of issuer which may be issued pursuant thereto as at close of the month
1.
Employee Share Purchase Plan
0
319,591
2.
(06/08/2015)
shares (Note 1)
Employee Bonus Plan
0
1,800,000
3.
(06/08/2015)
shares (Note 1)
( / / )
shares (Note 1)
0
Total D. (Ordinary shares)
(Preference shares)
(Other class)
Other Movements in Issued Share Capital
No. of new shares of issuer issued during the month pursuant thereto
No. of new shares of issuer which may be issued pursuant thereto as at close of the month
Type of Issue
1. Rights issue
At price :
State currency
Class of shares issuable
(Note 1)
Issue and allotment date : (dd/mm/yyyy)
EGM approval date: (dd/mm/yyyy)
( / / )
( / / )
2. Open offer
At price :
State currency
Class of shares issuable
(Note 1)
Issue and allotment date : (dd/mm/yyyy)
EGM approval date: (dd/mm/yyyy)
( / / )
( / / )
3. Placing
At price :
State currency: Cdn
Class of shares issuable (Note 1)
Issue and allotment date : (dd/mm/yyyy)
EGM approval date: (dd/mm/yyyy)
( / / )
( / / )
4. Bonus issue
Class of shares issuable (Note 1)
Issue and allotment date : (dd/mm/yyyy)
EGM approval date: (dd/mm/yyyy)
Ordinary Shares
( / / )
( / / )
No. of new shares of issuer issued during the month pursuant thereto
No. of new shares of issuer which may be issued pursuant thereto as at close of the month
Type of Issue
5. Scrip dividend
At price :
State currency
Class of shares issuable (Note 1)
Issue and allotment date : (dd/mm/yyyy)
EGM approval date: (dd/mm/yyyy)
( / / )
( / / )
6. Repurchase of shares
Class of shares repurchased (Note 1)
Cancellation date : (dd/mm/yyyy)
EGM approval date: (dd/mm/yyyy)
( / / )
( / / )
7. Redemption of shares
Class of shares redeemed (Note 1)
Redemption date : (dd/mm/yyyy)
EGM approval date: (dd/mm/yyyy)
( / / )
( / / )
8. Consideration issue
At price :
State currency
Class of shares issuable (Note 1)
Issue and allotment date : (dd/mm/yyyy)
EGM approval date: (dd/mm/yyyy)
( / / )
( / / )
No. of new shares of issuer issued during the month pursuant thereto
No. of new shares of issuer which may be issued pursuant thereto as at close of the month
Type of Issue
9. Capital reorganisation
Class of shares issuable (Note 1)
Issue and allotment date : (dd/mm/yyyy)
EGM approval date: (dd/mm/yyyy)
( / / )
( / / )
10. Other:
At price :
State currency:
Class of shares issuable (Note 1)
Issue and allotment date : (dd/mm/yyyy)
EGM approval date: (dd/mm/yyyy)
( / / )
( / / )
Total E. (Ordinary shares)
(Preference shares)
(Other class)
Total increase / (decrease) in ordinary shares during the month (i.e. Total of A to E): (1)
0
(2)
Total increase / (decrease) in preference shares during the month (i.e. Total of A to E):
Total increase / (decrease) in other classes of shares 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 Share Capital').)
Remarks (if any):
Submitted by: Erik Cheng
Title:HK Company Secretary (Director, Secretary or other duly authorised officer)
Notes :
State the class of shares (e.g. ordinary, preference or other).
If there is insufficient space, please append the prescribed continuation sheet.
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