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Griffin Mining Ld (GFM)

  Print          Annual reports

Monday 25 January, 2021

Griffin Mining Ld

Holding(s) in Company

RNS Number : 8148M
Griffin Mining Ld
25 January 2021
 

TR-1: S tandard form for 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 underlying issuer of existing shares to which voting rights are attached ii

Griffin Mining Limited

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 (if applicable)

NY, NY

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 crossed or reached vi :

1/25/21

6. Date on which issuer notified (DD/MM/YYYY):

1/25/21

7. Total positions of person(s) subject to the notification obligation

 

% of voting rights attached to shares (total of 8. A)

% of voting rights through financial instruments
(total of 8.B 1 + 8.B 2)

Total of both in % (8.A + 8.B)

Total number of voting rights held in issuer vii

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
shares

BMG319201049 ISIN

Number of voting rights ix

% of voting rights

 

Direct

(DTR5.1)

Indirect

 (DTR5.2.1)

Direct

(DTR5.1)

Indirect

(DTR5.2.1)

 

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

6,863,925

625,799

2,166,445

399,000

30,000

1,285,000

83,000

83,000

13,617,489

380,000

980,000

 

 

3.942%

0.359%

1.244%

0.229%

0.017%

0.738%

0.048%

0.048%

7.821%

0.218%

0.563%

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

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
date
x

Exercise/
Conversion Period
xi

Number of voting rights that may be acquired if the instrument is

exercised/converted.

% of voting rights

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

SUBTOTAL 8. B 1

 

 

 

 

 

B 2: Financial Instruments with similar economic effect according to DTR5.3.1R (1) (b)

 

Type of financial instrument

Expiration
date
x

Exercise/
Conversion Period
xi

Physical or cash

settlement xii

Number of voting rights

% of voting rights

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

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 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)

x

Name

% of voting rights if it equals or is higher than the notifiable threshold

% of voting rights through financial instruments if it equals or is higher than the notifiable threshold

Total of both if it equals or is higher than the notifiable threshold

OVERBROOK SELECT MASTER FUND, L.P.

OVERBROOK OPPORTUNITY FUND I LP

OVERBROOK OPPORTUNITY FUND II LP

LEVIN-GOFFE FAMILY FOUNDATION

ARTICLE SEVENTH TRUST 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

 

3.942%

0.359%

1.244%

0.229%

0.017%

0.738%

0.048%

0.048%

7.821%

0.218%

0.563%

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

In case of proxy voting, please identify:

Name of the proxy holder

 

The number and % of voting rights held

 

The date until which the voting rights will be held

 

 

11. Additional information xvi

 

           

 

Place of completion

New York, NY

Date of completion

1/25/21

 

 

 

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