Transfer of shares within St Baker family

Transcription

1 28 March 2013 Transfer of shares within St Baker family Please find attached two Change in Director s Interest Notices (Appendix 3Y) for Trevor and Philip St Baker, which reflect the transfer of 670,000 shares from Trevor St Baker to other St Baker family members. Peter Jans Group General Counsel & Company Secretary ERM Power Limited About ERM Power ERM Power (ASX code: EPW) is a diversified energy company which operates electricity sales, generation and gas exploration and procurement businesses in Australia. Founded in 1980 as a specialist energy advisory firm, the company grew through deregulation and privatisation to become one of Australia s largest private energy sector companies before listing on the Australian Securities Exchange (ASX) in December ERM Power sells electricity to business customers across Australia, owns 442 megawatts (equity interests) of low emission gas-fired generation assets, and has a successful gas exploration business with operations in Western Australia and New South Wales.

2 Appendix 3Y Rule 3.19A.2 Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX s property and may be made public. Introduced 30/09/01 Amended 01/01/11 Name of entity ERM Power Limited ABN We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act. Name of Director Trevor Charles St Baker Date of last notice 16 November 2012 Part 1 - Change of director s relevant interests in securities In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust Note: In the case of a company, interests which come within paragraph (i) of the definition of notifiable interest of a director should be disclosed in this part. Direct or indirect interest Indirect 01/01/2011 Appendix 3Y Page 1

3 Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest. Baygrove Pty Ltd as trustee for ERM Consultants STF S/F A/C (director of trustee and beneficiary of super fund) Sunset Power Holdings Pty Ltd (director & spouse of sole shareholder) Energy Resource Managers Holdings Pty Ltd as trustee for the Energy Resource Managers Trust (director of trustee and ultimate beneficiary of trust) Sunset Power Pty Ltd as trustee for the St Baker Family Trust (director of trustee and beneficiary of trust) Sunset Power A Pty Ltd as trustee for the Sunset Power Trust A (director of trustee and beneficiary of trust) Sunset Power B Pty Ltd as trustee for the Sunset Power Trust B (director of trustee and beneficiary of trust) Sunset Power C Pty Ltd as trustee for the Sunset Power Trust C (director of trustee and beneficiary of trust) Sunset Power D Pty Ltd as trustee for the Sunset Power Trust D (director of trustee and beneficiary of trust) Trevor & Judith St Baker Family Philanthropic Pty Ltd as trustee for The Trevor & Judith St Baker Family Foundation (director of trustee) Mr T C & Mrs J K St Baker as trustee for each of Amelia St Baker, Charlotte St Baker, Elizabeth St Baker, Felicity St Baker, Harrison St Baker, Penelope St Baker and William St Baker (joint registered holder as trustee) Date of change 22 March 2013 Appendix 3Y Page 2 01/01/2011

4 No. of securities held prior to change Baygrove Pty Ltd as trustee for ERM Consultants STF S/F A/C Sunset Power Holdings Pty Ltd 127,434 Ordinary fully paid shares 157,604 Ordinary fully paid shares Energy Resource Managers Holdings Pty Ltd as trustee for the Energy Resource Managers Trust Sunset Power Pty Ltd as trustee for the St Baker Family Trust Sunset Power A Pty Ltd as trustee for the Sunset Power Trust A Sunset Power B Pty Ltd as trustee for the Sunset Power Trust B Sunset Power C Pty Ltd as trustee for the Sunset Power Trust C Sunset Power D Pty Ltd as trustee for the Sunset Power Trust D Trevor & Judith St Baker Family Philanthropic Pty Ltd as trustee for The Trevor & Judith St Baker Family Foundation Mr T C & Mrs J K St Baker as trustee for each of Amelia St Baker, Charlotte St Baker, Elizabeth St Baker, Felicity St Baker, Harrison St Baker, Penelope St Baker and William St Baker 43,549,489 Ordinary fully paid shares 20,284,642 Ordinary fully paid shares 1,025,242 Ordinary fully paid shares 70,000 Ordinary fully paid shares Class Number acquired Ordinary fully paid shares (ORD) Number disposed 670,000 Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation $1,648, /01/2011 Appendix 3Y Page 3

5 No. of securities held after change Baygrove Pty Ltd as trustee for ERM Consultants STF S/F A/C Sunset Power Holdings Pty Ltd 127,434 Ordinary fully paid shares 157,604 Ordinary fully paid shares Energy Resource Managers Holdings Pty Ltd as trustee for the Energy Resource Managers Trust Sunset Power Pty Ltd as trustee for the St Baker Family Trust Sunset Power A Pty Ltd as trustee for the Sunset Power Trust A Sunset Power B Pty Ltd as trustee for the Sunset Power Trust B Sunset Power C Pty Ltd as trustee for the Sunset Power Trust C Sunset Power D Pty Ltd as trustee for the Sunset Power Trust D Trevor & Judith St Baker Family Philanthropic Pty Ltd as trustee for The Trevor & Judith St Baker Family Foundation Mr T C & Mrs J K St Baker as trustee for each of Amelia St Baker, Charlotte St Baker, Elizabeth St Baker, Felicity St Baker, Harrison St Baker, Penelope St Baker and William St Baker Nature of change Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back 43,549,489 Ordinary fully paid shares 19,614,642 Ordinary fully paid shares 1,025,242 Ordinary fully paid shares 70,000 Ordinary fully paid shares Off-market trade. Part 2 Change of director s interests in contracts Note: In the case of a company, interests which come within paragraph (ii) of the definition of notifiable interest of a director should be disclosed in this part. Detail of contract Nature of interest Appendix 3Y Page 4 01/01/2011

6 Name of registered holder (if issued securities) Date of change No. and class of securities to which interest related prior to change Note: Details are only required for a contract in relation to which the interest has changed Interest acquired Interest disposed Value/Consideration Note: If consideration is non-cash, provide details and an estimated valuation Interest after change Part 3 + Closed period Were the interests in the securities or contracts detailed above traded during a + closed period where prior written clearance was required? If so, was prior written clearance provided to allow the trade to proceed during this period? If prior written clearance was provided, on what date was this provided? No 01/01/2011 Appendix 3Y Page 5

7 Appendix 3Y Rule 3.19A.2 Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX s property and may be made public. Introduced 30/09/01 Amended 01/01/11 Name of entity ERM Power Limited ABN We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act. Name of Director Philip Matthew St Baker Date of last notice 13 November 2012 Part 1 - Change of director s relevant interests in securities In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust Note: In the case of a company, interests which come within paragraph (i) of the definition of notifiable interest of a director should be disclosed in this part. Direct or indirect interest Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest. Direct & Indirect Philip & Peta St Baker as trustees for the P&P St Baker Family Trust (trustee of family trust) Monte Vista Holdings Pty Ltd as trustee for the Ouray Super Fund (director and beneficiary of super fund) Trinity Management Pty Ltd (beneficiary of employee share plan) Date of change 22 March /01/2011 Appendix 3Y Page 1

8 No. of securities held prior to change Philip Matthew St Baker Philip & Peta St Baker as trustees for the P&P St Baker Family Trust 4,105 Ordinary fully paid shares 3,310,159 Ordinary fully paid shares 833,870 options over ordinary fully paid shares which lapse on 6 June 2013 with an exercise price of $0.806 per option Monte Vista Holdings Pty Ltd as trustee for the Ouray Super Fund Trinity Management Pty Ltd Class 636,458 Ordinary fully paid shares 800,024 Ordinary fully paid shares 242,706 options over ordinary fully paid shares which lapse on 8 November 2017 with an exercise price of $2.75 per option. Ordinary Fully Paid Shares (ORD) Number acquired 371,053 Number disposed Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation Nil $912, No. of securities held after change Philip Matthew St Baker Philip & Peta St Baker as trustees for the P&P St Baker Family Trust 375,158 Ordinary fully paid shares 3,310,159 Ordinary fully paid shares 833,870 options over ordinary fully paid shares which lapse on 6 June 2013 with an exercise price of $0.806 per option Monte Vista Holdings Pty Ltd as trustee for the Ouray Super Fund Trinity Management Pty Ltd Nature of change Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back 636,458 Ordinary fully paid shares 800,024 Ordinary fully paid shares 242,706 options over ordinary fully paid shares which lapse on 8 November 2017 with an exercise price of $2.75 per option. Off-market transfer Appendix 3Y Page 2 01/01/2011

9 Part 2 Change of director s interests in contracts Note: In the case of a company, interests which come within paragraph (ii) of the definition of notifiable interest of a director should be disclosed in this part. Detail of contract Nature of interest Name of registered holder (if issued securities) Date of change No. and class of securities to which interest related prior to change Note: Details are only required for a contract in relation to which the interest has changed Interest acquired Interest disposed Value/Consideration Note: If consideration is non-cash, provide details and an estimated valuation Interest after change Part 3 + Closed period Were the interests in the securities or contracts detailed above traded during a + closed period where prior written clearance was required? If so, was prior written clearance provided to allow the trade to proceed during this period? If prior written clearance was provided, on what date was this provided? No 01/01/2011 Appendix 3Y Page 3