UXA RESOURCES LTD 
By Appendix 3B New issue announcement
Appendix 3B
Rule 2.7, 3.10.3, 3.10.4, 3.10.5
New issue announcement,
application for quotation of additional securities and agreement
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 01/07/96 Origin: Appendix 5 Amended 01/07/98, 01/09/99, 01/07/00, 30/09/01, 11/03/02, 01/01/03, 24/10/05, 01/08/12
Name of entity
UXA RESOURCES LIMITED
ABN
65 112 714 397
We (the entity) give ASX the following information.
Part 1 - All issues
You must complete the relevant sections (attach sheets if there is not enough space).
1 +Class of +securities issued or to be issued
ORDINARY SHARES
2 Number of +securities issued or to be issued (if known) or maximum number which may be issued
(a) Up to 886,744,785 (b) 100,000
3 Principal terms of the +securities (eg, if options, exercise price and expiry date; if partly paid
+securities, the amount outstanding
and due dates for payment; if
+convertible securities, the conversion price and dates for conversion)
(a) Pro-rata Non-renounceable Rights issue to eligible shareholders on the basis of
1 shares for every 1 shares held at the Record Date (13 December 2012) at a price of $0.0015 per share
(b) Cleansing shares to facilitate secondary trading at a price of $0.0015 per share
+ See chapter 19 for defined terms.
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4 Do the +securities rank equally in all respects from the date of allotment with an existing +class of quoted +securities?
If the additional securities do not rank equally, please state:
• the date from which they do
• the extent to which they participate for the next dividend, (in the case of a trust, distribution) or interest payment
• the extent to which they do not rank equally, other than in relation to the next dividend, distribution or interest payment
Yes
5 Issue price or consideration $0.0015
6 Purpose of the issue
(If issued as consideration for the acquisition of assets, clearly identify those assets)
To advance exploration on the Company's exploration leases in NSW, SA and NT and for working capital purposes
6a Is the entity an +eligible entity that No has obtained security holder approval under rule 7.1A?
If Yes, complete sections 6b - 6h in relation to the +securities the subject of this Appendix 3B, and comply with section 6i
6b The date the security holder resolution under rule 7.1A was passed
N/A
6c Number of +securities issued without security holder approval under rule 7.1
100,000
6d Number of +securities issued with security holder approval under rule
7.1A
N/A
+ See chapter 19 for defined terms.
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Appendix 3B New issue announcement
6e Number of +securities issued with security holder approval under rule
7.3, or another specific security holder approval (specify date of meeting)
N/A
6f Number of securities issued under an exception in rule 7.2
Up to 886,744,785
6g If securities issued under rule
7.1A, was issue price at least 75% of 15 day VWAP as calculated under rule 7.1A.3? Include the issue date and both values. Include the source of the VWAP calculation.
N/A
6h If securities were issued under rule
7.1A for non-cash consideration, state date on which valuation of consideration was released to ASX Market Announcements
N/A
6i Calculate the entity's remaining issue capacity under rule 7.1 and rule 7.1A - complete Annexure 1 and release to ASX Market Announcements
61,839,642
7 Dates of entering +securities into uncertificated holdings or despatch of certificates
5 December 2012
8 Number and +class of all
+securities quoted on ASX (including the securities in section
2 if applicable)
+ See chapter 19 for defined terms.
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9 Number and +class of all
+securities not quoted on ASX (including the securities in section
2 if applicable)
10 Dividend policy (in the case of a trust, distribution policy) on the increased capital (interests)
N/A
Part 2 - Bonus issue or pro rata issue
11 Is security holder approval No
required?
12 Is the issue renounceable or non- renounceable?
Non-Renounceable
13 Ratio in which the +securities will be offered
1share for every 1 share held at the record date
14 +Class of +securities to which the offer relates
Ordinary
15 +Record date to determine
entitlements 13 December 2012
+ See chapter 19 for defined terms.
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Appendix 3B New issue announcement
16 Will holdings on different registers (or subregisters) be aggregated for calculating entitlements?
N/A
17 Policy for deciding entitlements in relation to fractions
Rounding up
18 Names of countries in which the entity has +security holders who will not be sent new issue documents
Note: Security holders must be told how their entitlements are to be dealt with.
Cross reference: rule 7.7.
Only residents of Australia and New Zealand will be sent Entitlement and Application Forms with the Offer Document. The Offer Document will be sent to all shareholders for information. No acceptances will be permitted from shareholders who are not residents in Australia and New Zealand.
19 Closing date for receipt of acceptances or renunciations
2 January 2013
20 Names of any underwriters N/A
21 Amount of any underwriting fee or commission
N/A
22 Names of any brokers to the issue N/A
23 Fee or commission payable to the broker to the issue
N/A
24 Amount of any handling fee payable to brokers who lodge acceptances or renunciations on behalf of
+security holders
N/A
25 If the issue is contingent on
+security holders' approval, the date of the meeting
N/A
26 Date entitlement and acceptance form and prospectus or Product Disclosure Statement will be sent to persons entitled
14 December 2012
27 If the entity has issued options, and the terms entitle option holders to participate on exercise, the date on which notices will be sent to option holders
6 December 2012
28 Date rights trading will begin (if N/A
+ See chapter 19 for defined terms.
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applicable)
29 Date rights trading will end (if applicable)
N/A
30 How do +security holders sell their entitlements in full through a broker?
N/A
31 How do +security holders sell part of their entitlements through a broker and accept for the balance?
N/A
32 How do +security holders dispose of their entitlements (except by sale through a broker)?
N/A
33 +Despatch date 10 January 2013
Part 3 - Quotation of securities
You need only complete this section if you are applying for quotation of securities
34 Type of securities
(tick one)
(a) ffi Securities described in Part 1
(b) All other securities
Example: restricted securities at the end of the escrowed period, partly paid securities that become fully paid, employee
incentive share securities when restriction ends, securities issued on expiry or conversion of convertible securities
Entities that have ticked box 34(a)
Additional securities forming a new class of securities
Tick to indicate you are providing the information or documents
35 If the +securities are +equity securities, the names of the 20 largest holders of the additional +securities, and the number and percentage of additional +securities held by
those holders
36 If the +securities are +equity securities, a distribution schedule of the additional
+securities setting out the number of holders in the categories
+ See chapter 19 for defined terms.
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1 - 1,000
1,001 - 5,000
5,001 - 10,000
10,001 - 100,000
100,001 and over
37 A copy of any trust deed for the additional +securities
Entities that have ticked box 34(b)
38 Number of securities for which
+quotation is sought
Appendix 3B New issue announcement
39 Class of +securities for which quotation is sought
40 Do the +securities rank equally in all respects from the date of allotment with an existing +class of quoted
+securities?
If the additional securities do not rank equally, please state:
• the date from which they do
• the extent to which they participate for the next dividend, (in the case of a trust, distribution) or interest payment
• the extent to which they do not rank equally, other than in relation to the next dividend, distribution or interest payment
41 Reason for request for quotation now
Example: In the case of restricted securities, end of restriction period
(if issued upon conversion of another security, clearly identify that other security)
42 Number and +class of all +securities quoted on ASX (including the securities in clause 38)
+ See chapter 19 for defined terms.
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Quotation agreement
1 +Quotation of our additional +securities is in ASX's absolute discretion. ASX may quote the +securities on any conditions it decides.
2 We warrant the following to ASX.
• The issue of the +securities to be quoted complies with the law and is not for an illegal purpose.
• There is no reason why those +securities should not be granted +quotation.
• An offer of the +securities for sale within 12 months after their issue will not require disclosure under section 707(3) or section 1012C(6) of the Corporations Act.
Note: An entity may need to obtain appropriate warranties from subscribers for the securities in order to be able to give this warranty
• Section 724 or section 1016E of the Corporations Act does not apply to any applications received by us in relation to any +securities to be quoted and that no-one has any right to return any +securities to be quoted under sections 737, 738 or 1016F of the Corporations Act at the time that we request that the +securities be quoted.
• If we are a trust, we warrant that no person has the right to return the
+securities to be quoted under section 1019B of the Corporations Act at the time that we request that the +securities be quoted.
3 We will indemnify ASX to the fullest extent permitted by law in respect of any claim, action or expense arising from or connected with any breach of the warranties in this agreement.
4 We give ASX the information and documents required by this form. If any information or document not available now, will give it to ASX before +quotation of the +securities begins. We acknowledge that ASX is relying on the information and documents. We warrant that they are (will be) true and complete.
Sign here: ............................................................ Date:4 December 2012
Company secretary
Print name: Graham Seppelt
== == == == ==
+ See chapter 19 for defined terms.
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Appendix 3B New issue announcement
Appendix 3B - Annexure 1
Calculation of placement capacity under rule 7.1 and rule 7.1A for
+eligible entities
Introduced 01/08/12
Part 1
Rule 7.1 - Issues exceeding 15% of capital | |
Step 1: Calculate "A", the base figure from which the placement capacity is calculated | |
Insert number of fully paid ordinary securities on issue 12 months before date of issue or agreement to issue | 383,964,334 |
Add the following: • Number of fully paid ordinary securities issued in that 12 month period under an exception in rule 7.2 • Number of fully paid ordinary securities issued in that 12 month period with shareholder approval • Number of partly paid ordinary securities that became fully paid in that 12 month period Note: • Include only ordinary securities here - other classes of equity securities cannot be added • Include here (if applicable) the securities the subject of the Appendix 3B to which this form is annexed • It may be useful to set out issues of securities on different dates as separate line items | Conversion Convertible Note 387,282,132 Share Purchase Plan 20 April 2012 27,739,757 Shareholder approve 30 March 2012 737,255 Shareholder approve 27 June 2012 25,219,502 |
Subtract the number of fully paid ordinary securities cancelled during that 12 month period | Nil |
"A" | 824,942,980 |
+ See chapter 19 for defined terms.
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Step 2: Calculate 15% of "A" | |
"B" | 0.15 [Note: this value cannot be changed] |
Multiply "A" by 0.15 | 123,741,447 |
Step 3: Calculate "C", the amount of placement capacity under rule 7.1 that has already been used | |
Insert number of equity securities issued or agreed to be issued in that 12 month period not counting those issued: • Under an exception in rule 7.2 • Under rule 7.1A • With security holder approval under rule 7.1 or rule 7.4 Note: • This applies to equity securities, unless specifically excluded - not just ordinary securities • Include here (if applicable ) the securities the subject of the Appendix 3B to which this form is annexed • It may be useful to set out issues of securities on different dates as separate line items | App 3B 28 April 2012 2,739,726 App 3B 26 May 2012 2,540,429 App 3B 25 July 2012 3,721,650 App 3B 21 Nov 2012 52,800,000 This App 3B 100,000 |
"C" | 61,901,805 |
Step 4: Subtract "C" from ["A" x "B"] to calculate remaining placement capacity under rule 7.1 | |
"A" x 0.15 Note: number must be same as shown in Step 2 | 123,741,447 |
Subtract "C" Note: number must be same as shown in Step 3 | 61,901,805 |
Total ["A" x 0.15] - "C" | 61,839,642 [Note: this is the remaining placement capacity under rule 7.1] |
+ See chapter 19 for defined terms.
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Part 2
Appendix 3B New issue announcement
Rule 7.1A - Additional placement capacity for eligible entities | |
Step 1: Calculate "A", the base figure from which the placement capacity is calculated | |
"A"Note: number must be same as shown in Step 1 of Part 1 | N/A |
Step 2: Calculate 10% of "A" | |
"D" | 0.10 Note: this value cannot be changed |
Multiply "A" by 0.10 | |
Step 3: Calculate "E", the amount of placement capacity under rule 7.1A that has already been used | |
Insert number of equity securities issued or agreed to be issued in that 12 month period under rule 7.1A Notes: • This applies to equity securities - not just ordinary securities • Include here - if applicable - the securities the subject of the Appendix 3B to which this form is annexed • Do not include equity securities issued under rule 7.1 (they must be dealt with in Part 1), or for which specific security holder approval has been obtained • It may be useful to set out issues of securities on different dates as separate line items | N/A |
"E" | N/A |
Step 4: Subtract "E" from ["A" x "D"] to calculate remaining placement capacity under rule 7.1A | |
"A" x 0.10 Note: number must be same as shown in Step 2 | N/A |
Subtract "E" Note: number must be same as shown in Step 3 | N/E |
Total ["A" x 0.10] - "E" | N/A Note: this is the remaining placement capacity under rule 7.1A |
+ See chapter 19 for defined terms.
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