For Personal Use Only Use Personal For
22 May 2012 Norton Rose Australia ABN 32 720 868 049 Level 15, RACV Tower 485 Bourke Street Attention: The Manager MELBOURNE VIC 3000 AUSTRALIA
Tel +61 3 8686 6000 Company Announcements Office Fax +61 3 8686 6505 Australian Securities Exchange GPO Box 4592, Melbourne VIC 3001 20 Bridge Street DX 445 Melbourne SYDNEY NSW 2000 nortonrose.com
Direct line +61 3 8686 6710
Our reference Email 2781952 [email protected]
Dear Sir/Madam
Notice of initial substantial holder
We act for Linyi Mining Group Co., Ltd. (Linyi), a wholly-owned subsidiary of Shandong Energy Group Co., Ltd. (Shandong Energy).
On behalf of Linyi and Shandong Energy, and in accordance with section 671B of the Corporations Act 2001 (Cth), we attach a Notice of Initial Substantial Holder (Form 603) in respect of Rocklands Richfield Limited ACN 057 121 749 (RCI).
A copy of the attached notice is being provided to RCI.
Yours faithfully
James Stewart Partner Norton Rose Australia
For personal use only use personal For
APAC-#14474732-v1
Norton Rose Australia is a law firm as defined in the Legal Profession Acts of the Australian states and territory in which it practises. Norton Rose Australia together with Norton Rose LLP, Norton Rose Canada LLP, Norton Rose South Africa (incorporated as Deneys Reitz Inc) and their respective affiliates constitute Norton Rose Group, an international legal practice with offices worldwide, details of which, with certain regulatory information, are at nortonrose.com
Form 603 Corporations Act 2001 Section 671B
Notice of initial substantial holder
To Company Name/Scheme Rocklands Richfield Limited
ACN/ARSN ACN 057 121 749
1. Details of substantial holder (1)
Shandong Energy Group Co., Ltd. (Shandong Energy) and Linyi Mining Group Co., Ltd. (Linyi); and their related bodies Name corporate listed in Annexure A (Other Shandong Energy Group Companies)
ACN/ARSN (if applicable) N/A
The holder became a substantial holder on 19/05/2012
2. Details of voting power The total number of votes attached to all the voting shares in the company or voting interests in the scheme that the substantial holder or an associate (2) had a relevant interest (3) in on the date the substantial holder became a substantial holder are as follows: Class of securities (4) Number of securities Person’s votes (5) Voting power (6) 19.99% (based on 368,203,917 Fully paid ordinary shares 73,640,783 shares 73,640,783 ordinary shares on issue)
3. Details of relevant interests The nature of the relevant interest the substantial holder or an associate had in the following voting securities on the date the substantial holder became a substantial holder are as follows: Holder of relevant interest Nature of relevant interest (7) Class and number of securities
Taken under section 608(8) of the Corporations Act to have a relevant Linyi interest by reason of the agreement to purchase the shares, attached as Annexure B. 73,640,783 fully paid ordinary shares
Taken under section 608(3) of the Shandong Energy Corporations Act to have a relevant interest by reason of controlling Linyi.
4. Details of present registered holders The persons registered as holders of the securities referred to in paragraph 3 above are as follows: Holder of relevant Registered holder of Person entitled to be Class and number
interest securities registered as holder (8) of securities Linyi 73,640,783 fully paid Wu Pun Yan Wu Pun Yan Shandong Energy ordinary shares
5. Consideration The consideration paid for each relevant interest referred to in paragraph 3 above, and acquired in the four months prior to the day that the substantial holder became a substantial holder is as follows: Holder of relevant Class and number Date of acquisition Consideration (9) interest of securities Cash Non-cash
Linyi
For personal use only use personal For 73,640,783 fully paid 19 May 2012 $0.52 per share ordinary shares Shandong Energy
APAC-#14426143-v1 Page 1 of 23
6. Associates The reasons the persons named in paragraph 3 above are associates of the substantial holder are as follows:
Name and ACN/ARSN (if applicable) Nature of association
Other Shandong Energy Group related bodies corporate of Shandong Energy and Linyi Companies
7. Addresses The addresses of persons named in this form are as follows:
Name Address
Linyi No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Shandong Energy No. 10777 Jingshi Road, Jinan City, Shandong Province, China 250014 Other Shandong Energy Group See Annexure A Companies
Signature
print name James Stewart capacity Authorised signatory
sign here date 22 May 2012
DIRECTIONS (1) If there are a number of substantial holders with similar or related relevant interests (eg. a corporation and its related corporations, or the manager and trustee of an equity trust), the names could be included in an annexure to the form. If the relevant interests of a group of persons are essentially similar, they may be referred to throughout the form as a specifically named group if the membership of each group, with the names and addresses of members is clearly set out in paragraph 7 of the form.
(2) See the definition of "associate" in section 9 of the Corporations Act 2001.
(3) See the definition of "relevant interest" in sections 608 and 671B(7) of the Corporations Act 2001.
(4) The voting shares of a company constitute one class unless divided into separate classes.
(5) The total number of votes attached to all the voting shares in the company or voting interests in the scheme (if any) that the person or an associate has a relevant interest in.
(6) The person’s votes divided by the total votes in the body corporate or scheme multiplied by 100.
(7) Include details of: (a) any relevant agreement or other circumstances by which the relevant interest was acquired. If subsection 671B(4) applies, a copy of any document setting out the terms of any relevant agreement, and a statement by the person giving full and accurate details of any contract, scheme or arrangement, must accompany this form, together with a written statement certifying this contract, scheme or arrangement; and (b) any qualification of the power of a person to exercise, control the exercise of, or influence the exercise of, the voting powers or disposal of the securities to which the relevant interest relates (indicating clearly the particular securities to which the qualification applies).
See the definition of "relevant agreement" in section 9 of the Corporations Act 2001.
(8) only use personal For If the substantial holder is unable to determine the identity of the person (eg. if the relevant interest arises because of an option) write “unknown.’”
(9) Details of the consideration must include any and all benefits, moneys and other, that any person from whom a relevant interest was acquired has, or may, become entitled to receive in relation to that acquisition. Details must be included even if the benefit is conditional on the happening or not of a contingency. Details must be included of any benefit paid on behalf of the substantial holder or its associate in relation to the acquisitions, even if they are not paid directly to the person from whom the relevant interest was acquired.
APAC-#14426143-v1 Page 2 of 23
Annexure A – Related bodies Corporate
Rocklands Richfield Limited ACN 057 121 749
This is Annexure A of 2 pages referred to in form 603 Notice of initial substantial holder
Signature
print name James Stewart capacity Authorised signatory
sign here date 22 May 2012
Entity Address
Linyi Mining Group Co., Ltd. No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Shandong Energy Group Co., Ltd. No. 10777 Jingshi Road, Jinan City, Shandong Province, China 250014
Xinwen Mining Group Co., Ltd. Xintai City, Shandong Province, China 271233
Guotai Leasing Co. Xintai City, Shandong Province, China 271233
Shandong Taiwan Mining Co. Xintai City, Shandong Province, China 271233
Xunwei Huhao Heigou Coal Industry Co. Xintai City, Shandong Province, China 271233
Shandong Taijie Clean Coal Co. Xintai City, Shandong Province, China 271233
Shandong Mining Technology Management and Service Co. Xintai City, Shandong Province, China 271233
Ningxia Taishan Yangguang Energy Development Co. Xintai City, Shandong Province, China 271233
Tai’an Luyuan Salt Rock Co. Xintai City, Shandong Province, China 271233
Xinwen Mining Group (Yili) Energy Development Co. Xintai City, Shandong Province, China 271233
Shandong Huaxin Real Estate Development Co. Xintai City, Shandong Province, China 271233
Shandong Xinjulong Energy Co. Xintai City, Shandong Province, China 271233
Xinwen Mining Group Materials Supply Co. Xintai City, Shandong Province, China 271233
Shandong Xinyang Energy Co. Xintai City, Shandong Province, China 271233
Shandong Xinkuang Zhaogong Energy Co. Xintai City, Shandong Province, China 271233
Xinkuang Inner Mongolia Energy Co. Xintai City, Shandong Province, China 271233
Shandong Energy Machinery Group Co. Xintai City, Shandong Province, China 271233
Xinkuang Guizhou Energy Co. Xintai City, Shandong Province, China 271233
Inner Mongolia Luxin Energy Development Co. Xintai City, Shandong Province, China 271233
Binxian Shuiliandong Coal Co. Xintai City, Shandong Province, China 271233
Shandong Tai’an Tianyu Tourism and Culture Business Co. Xintai City, Shandong Province, China 271233 For personal use only use personal For
Tai’an Baichuan Paper Industry Co. Xintai City, Shandong Province, China 271233
Xinkuang International Trade Co. Xintai City, Shandong Province, China 271233
Anhui Jinhuangzhuang Mining Co. Xintai City, Shandong Province, China 271233
Guizhou Taishan Yangguang Energy Development Co. Xintai City, Shandong Province, China 271233
Guizhou Shentian Mining Development Co. Xintai City, Shandong Province, China 271233
APAC-#14426143-v1 Page 3 of 23
Liaocheng Xinkuang Commerce and Trade Co. Xintai City, Shandong Province, China 271233
Shandong Changda Energy Co. Xintai City, Shandong Province, China 271233
Tai’an Huaxin Plaster Co. Xintai City, Shandong Province, China 271233
Xinwen Mining Group (Hong Kong) International Co. Xintai City, Shandong Province, China 271233
Shijiazhuang Tianhengtai Industry and Trade Co. Xintai City, Shandong Province, China 271233
Xinwen Mining Group Xinjian Cement Co. Xintai City, Shandong Province, China 271233
No.118 Taishan South Road, Xuecheng District, Zaozhuang City, Shandong Zaozhuang Mining (Group) Co., Ltd. Province, China 277100
Zaozhuang Mining Group Fuchun Gangue Power Co., Ltd No.118 Taishan South Road, Xuecheng District, Zaozhuang City, Shandong Province, China 277100
Shandong Tengzhou Shengyuan Thermal Power Co., Ltd No.118 Taishan South Road, Xuecheng District, Zaozhuang City, Shandong Province, China 277100
Zaozhuang Mining Group Jiangzhuang Gangue Power Co., Ltd No.118 Taishan South Road, Xuecheng District, Zaozhuang City, Shandong Province, China 277100
Zaozhuang Mining Group (Weishan) Fulong Trade Co., Ltd No.118 Taishan South Road, Xuecheng District, Zaozhuang City, Shandong Province, China 277100
Zaozhuang Mining Group Non-Coal Business Co., Ltd No.118 Taishan South Road, Xuecheng District, Zaozhuang City, Shandong Province, China 277100
Zaozhuang Mining Group Xin’an Coal Industry Co., Ltd No.118 Taishan South Road, Xuecheng District, Zaozhuang City, Shandong Province, China 277100
Zaozhuang Mining Group Jinyuan Co., Ltd No.118 Taishan South Road, Xuecheng District, Zaozhuang City, Shandong Province, China 277100
Tengzhou Fuyuan Low Heat Value Fuel Power Co., Ltd No.118 Taishan South Road, Xuecheng District, Zaozhuang City, Shandong Province, China 277100
Zaozhuang Mining Group Coal Chemical Research Institution Co., No.118 Taishan South Road, Xuecheng District, Zaozhuang City, Shandong Ltd Province, China 277100
Shandong Zhongxin Energy Co., Ltd No.118 Taishan South Road, Xuecheng District, Zaozhuang City, Shandong Province, China 277100
Guizhou Zaokuang Energy Co., Ltd No.118 Taishan South Road, Xuecheng District, Zaozhuang City, Shandong Province, China 277100
Canada Zhongxin Development Inc. No.118 Taishan South Road, Xuecheng District, Zaozhuang City, Shandong Province, China 277100
Rizhao Zhongxin Forest Industry Co., Ltd No.118 Taishan South Road, Xuecheng District, Zaozhuang City, Shandong Province, China 277100
Yunnan Zaokuang Energy Co., Ltd No.118 Taishan South Road, Xuecheng District, Zaozhuang City, Shandong Province, China 277100
Shandong Bayi Tire Manufacturing Co., Ltd No.118 Taishan South Road, Xuecheng District, Zaozhuang City, Shandong Province, China 277100
Longkou Liuhai Mining Co., Ltd No.118 Taishan South Road, Xuecheng District, Zaozhuang City, Shandong Province, China 277100
Jinfeng Hanbao Co., Ltd No.118 Taishan South Road, Xuecheng District, Zaozhuang City, Shandong
Province, China 277100 For personal use only use personal For
Beijing Lucai Investment Management Co., Ltd No.118 Taishan South Road, Xuecheng District, Zaozhuang City, Shandong Province, China 277100
Shengyuan Hongda Chemical Co., Ltd No.118 Taishan South Road, Xuecheng District, Zaozhuang City, Shandong Province, China 277100
Xinjiang Yili Zaokuang Energy Chemical Co., Ltd No.118 Taishan South Road, Xuecheng District, Zaozhuang City, Shandong Province, China 277100
Page 4 of 23
No. 215 Banyang East Road, Hongshan Town, Zichuan District, Zibo City, Zibo Mining Group Co., Ltd. Shandong Province, China 255120
Shandong Donghua Energy Co. No. 215 Banyang East Road, Hongshan Town, Zichuan District, Zibo City, Shandong Province, China 255120
Shandong Xinhe Mining Co. No. 215 Banyang East Road, Hongshan Town, Zichuan District, Zibo City, Shandong Province, China 255120
Shannxi Changwu Tingnan Coal Industry Co. No. 215 Banyang East Road, Hongshan Town, Zichuan District, Zibo City, Shandong Province, China 255120
Shannxi Zhengtong Coal Industry Co. No. 215 Banyang East Road, Hongshan Town, Zichuan District, Zibo City, Shandong Province, China 255120
Inner Mongolia Shuangxin Mining Co. No. 215 Banyang East Road, Hongshan Town, Zichuan District, Zibo City, Shandong Province, China 255120
Hangjin Banner Juneng Energy Co. No. 215 Banyang East Road, Hongshan Town, Zichuan District, Zibo City, Shandong Province, China 255120
Inner Mongolia Huangtaolegai Coal Co. No. 215 Banyang East Road, Hongshan Town, Zichuan District, Zibo City, Shandong Province, China 255120
Shandong Fangda Engineer Co. No. 215 Banyang East Road, Hongshan Town, Zichuan District, Zibo City, Shandong Province, China 255120
Zibo Haitian Hotel Co. No. 215 Banyang East Road, Hongshan Town, Zichuan District, Zibo City, Shandong Province, China 255120
Shandong Tian’an Safety Testing Service Co. No. 215 Banyang East Road, Hongshan Town, Zichuan District, Zibo City, Shandong Province, China 255120
Zibo Mining Group Design Institution Co. No. 215 Banyang East Road, Hongshan Town, Zichuan District, Zibo City, Shandong Province, China 255120
Zibo Zikuang Coal Transportation Co. No. 215 Banyang East Road, Hongshan Town, Zichuan District, Zibo City, Shandong Province, China 255120
Zibo Mining Group Material Supply Co. No. 215 Banyang East Road, Hongshan Town, Zichuan District, Zibo City, Shandong Province, China 255120
Jinan Wanhua Cement Co. No. 215 Banyang East Road, Hongshan Town, Zichuan District, Zibo City, Shandong Province, China 255120
Shandong Donghua Cement Co. No. 215 Banyang East Road, Hongshan Town, Zichuan District, Zibo City, Shandong Province, China 255120
Zibo Lingzi Thermal Power Co. No. 215 Banyang East Road, Hongshan Town, Zichuan District, Zibo City, Shandong Province, China 255120
Shandong Luzhong Coal Exchange Co. No. 215 Banyang East Road, Hongshan Town, Zichuan District, Zibo City, Shandong Province, China 255120
Ordos Uxin Banner Shilin Chemical Co. No. 215 Banyang East Road, Hongshan Town, Zichuan District, Zibo City, Shandong Province, China 255120
Feicheng Mining Group Co., Ltd. No. 10777 Jingshi Road, Jinan City, Shandong Province, China 250014
Shandong Dongyue Energy Co. Mining Street, Hi-tech Development Zone，Feicheng City, Shandong Province, China 271608
Feicheng Mining Group Shanxian Energy Co. Mining Street, Hi-tech Development Zone，Feicheng City, Shandong Province, China 271608
Feichengonly use personal For Mining Group Zhangjiakou Energy Co. Mining Street, Hi-tech Development Zone，Feicheng City, Shandong Province, China 271608
Guizhou Feikuang Energy Co. Mining Street, Hi-tech Development Zone，Feicheng City, Shandong Province, China 271608
Feicheng Mining Group Yangying Energy Co. Mining Street, Hi-tech Development Zone，Feicheng City, Shandong Province, China 271608
Page 5 of 23
Heze Julong Energy Co. Mining Street, Hi-tech Development Zone，Feicheng City, Shandong Province, China 271608
Hulunbuir Dazheng Energy Development Co. Mining Street, Hi-tech Development Zone，Feicheng City, Shandong Province, China 271608
Shandong Shenneng Coal Power Investment Co. Mining Street, Hi-tech Development Zone，Feicheng City, Shandong Province, China 271608
Longkou Mining Group Co., Ltd. No. 10777 Jingshi Road, Jinan City, Shandong Province, China 250014
Longkou Coal Power Co. No. 249, Zhenxing Road，Longkou, Yantai City, Shandong Province, China 265700
Shandong Longfu Shale Development Co. No. 249, Zhenxing Road，Longkou, Yantai City, Shandong Province, China 265700
Longkou Haiyuan Tourism Agency Co. No. 249, Zhenxing Road，Longkou, Yantai City, Shandong Province, China 265700
Shandong Longxin Investment Management Co. No. 249, Zhenxing Road，Longkou, Yantai City, Shandong Province, China 265700
Longkou Mining Group Engineer and Construction Co. No. 249, Zhenxing Road，Longkou, Yantai City, Shandong Province, China 265700
Longkou Mining Group Thermal Power Co. No. 249, Zhenxing Road，Longkou, Yantai City, Shandong Province, China 265700
Haiyang Longfeng Thermal Power Co. No. 249, Zhenxing Road，Longkou, Yantai City, Shandong Province, China 265700
Shanxi Longkuang Energy Investment and Development Co. No. 249, Zhenxing Road，Longkou, Yantai City, Shandong Province, China 265700
Longkou Mining Group Real Propery Co. No. 249, Zhenxing Road，Longkou, Yantai City, Shandong Province, China 265700
Longkou Trade Co. No. 249, Zhenxing Road，Longkou, Yantai City, Shandong Province, China 265700
Longkou Longhai Testing Co. No. 249, Zhenxing Road，Longkou, Yantai City, Shandong Province, China 265700
Shandong Longhai Coal Transportation Co. No. 249, Zhenxing Road，Longkou, Yantai City, Shandong Province, China 265700
Longkou Longhua Design Co. No. 249, Zhenxing Road，Longkou, Yantai City, Shandong Province, China 265700
Shanxi Xinzhou Shenda Wangtian Coal Industry Co. No. 249, Zhenxing Road，Longkou, Yantai City, Shandong Province, China 265700
Shandong Energy International Trade Co.
Shandong Energy International Logistics Co.
Shandong Energy Inner Mongolia Shenglu Energy Chemical Co.
Shandong Energy Guizhou Mining Group Co.
Shandong Dongshan Mining Co. Ltd. No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Shandong Tian Village Coal mine No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017 For personal use only use personal For Shandong Qiu Ji Coal Mine No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Ma Fang Coal Mine Co., Ltd. of Linyi Mining Group No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Jinan Machinery Factory of Shandong Coal Mine No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Shandong Coal Feeder Equipment Group Co., Ltd. No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Coal transportation and distribution company of Linyi Mining Group No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Page 6 of 23
Shandong Lubei Coal Distribution Co., Ltd. No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Shandong Fibreglass Composite Material Co., Ltd. No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Linyi Xingyu Engineering Design Co., Ltd. No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Shandong Linkuang Real Estate Co., Ltd. No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Linyi Yijin Materials Co., Ltd. No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Inner Mongolia Lumeng Energy Development Co., Ltd. No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Linyi Huibaoling Iron Ore Co., Ltd. No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Inner Mongolia Shanghai Temple Mining Co., Ltd. No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Luozhuang Technology Middle School No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Shandong Laiwu Coal Mine Machinery Co., Ltd. No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Shandong Tai’an Mine Machinery Co., Ltd. No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Shandong Yanzhou Coal Mine Machinery Co., Ltd No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Yanzhou Dongshan Real Estate Development Company No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Etuokeqian Real Estate Ltd. No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Yanzhou Linkuang Management Ltd. No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Shandong Dongshan Gucheng Coal Mine Co. Ltd No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Shandong Dongshan XinyiCoal Mine Co. Ltd No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Shandong Dongshan Wanglou Coal Mine Co. Ltd No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Shandong Dongshan Juncheng Energy Development Co. Ltd No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Zibp Fireglass Material Co., Ltd No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Yishui Thermal Power Co., Ltd No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Yanzhou Yijin Materials Co., Ltd No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Tai’an Yijin Materials Co., Ltd No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Ordos Yijin Materials Co., Ltd No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
Rizhao Meilian International Trade Co., Ltd No.69 Shangye Street, Luozhuang District, Linyi, Shandong 276017
For personal use only use personal For
Page 7 of 23
Annexure B – Pre-bid share agreement
Rocklands Richfield Limited ACN 057 121 749
This is Annexure B of 16 pages referred to in form 603 Notice of initial substantial holder
Signature
print name James Stewart capacity Authorised signatory
sign here date 22 May 2012
For personal use only use personal For
Page 8 of 23 For personal use only use personal For
Page 9 of 23 For personal use only use personal For
Page 10 of 23 For personal use only use personal For
Page 11 of 23 For personal use only use personal For
Page 12 of 23 For personal use only use personal For
Page 13 of 23 For personal use only use personal For
Page 14 of 23 For personal use only use personal For
Page 15 of 23 For personal use only use personal For
Page 16 of 23 For personal use only use personal For
Page 17 of 23 For personal use only use personal For
Page 18 of 23 For personal use only use personal For
Page 19 of 23 For personal use only use personal For
Page 20 of 23 For personal use only use personal For
Page 21 of 23 For personal use only use personal For
Page 22 of 23 For personal use only use personal For
Page 23 of 23