For Main Board and GEM listed issuers
Monthly Return of Equity Issuer on Movements in Securities For the month ended (dd/mm/yyyy) : 31/03/2014
To : Hong Kong Exchanges and Clearing Limit ed
Name of Issuer SouthGobi Resources Ltd. Date Submitted April 23, 2014
I. Movements in Authorised Share Capital
1. Ordinary Shares
1878.HK (S)
(1) 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 Unlimited
value Unlimited
Increase/(decrease)
Balance at close of the month
(2) 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
2. Preference Shares
For Main Board and GEM listed issuers
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
II. Movements in Issued Share Capital
For Main Board and GEM listed issuers
No. of ordinary shares No of preference
No. of other classes
(1) (2)
shares
of shares
Balance at close of preceding month | 187,312,588 | |
Increase/ (decrease) during the month | 0 | |
Balance at close of the month | 187,312,588 |
III. Details of Movements in Issued Share Capital
Share Options (under Share Option Schemes of the Issuer)
Particulars of share No. of new shares of No. of new shares of option scheme issuer issued during issuer which may be including EGM the month pursuant issued pursuant thereto approval date Movement during the month thereto as at close of the month (dd/mm/yyyy) and class of shares issuable Granted Exercised Cancelled Lapsed | |
1 Equity Incentive Plan (08/05/2013) Common Shares 411,540 0 0 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 Cdn $ 0 options (State currency) | 2,367,040 |
1 Equity Incentive Plan (08/05/2013) Common Shares 411,540 0 0 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 Cdn $ 0 options (State currency) | |
1 Equity Incentive Plan (08/05/2013) Common Shares 411,540 0 0 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 Cdn $ 0 options (State currency) | |
1 Equity Incentive Plan (08/05/2013) Common Shares 411,540 0 0 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 Cdn $ 0 options (State currency) |
Warrants to Issue Shares of the Issuer which are to be Listed
For Main Board and GEM listed issuers
No. of new No. of new shares of shares of issuer issued issuer which during the may be issued month pursuant pursuant thereto as at Currency of Nominal value at Exercised Nominal value thereto close of the Description of warrants nominal close of during the at close of the month (Date of expiry - dd/mm/yyyy) value preceding month month month |
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) |
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) |
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) |
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) |
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)
For Main Board and GEM listed issuers
No. of new No. of new shares of shares of issuer issued issuer which during the may be issued month pursuant Currency of Amount at close Converted Amount at pursuant thereto as at amount of preceding during the close of the thereto close of the Class and description outstanding month month month month | |
1. CIC Convertible Debenture US$ $250,000,000 $0 $250,000,000 0 1878.HK (S) Stock code (if listed) SGQ.TO Class of shares issuable (Note 1) Ordinary Shares Subscription price Cdn $8.88 EGM approval date (if applicable) (dd/mm/yyyy)) N/A 2. Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 3. Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 4. Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) Total C. (Ordinary shares) 0 (Preference shares) (Other class) | 33,294,031 |
1. CIC Convertible Debenture US$ $250,000,000 $0 $250,000,000 0 1878.HK (S) Stock code (if listed) SGQ.TO Class of shares issuable (Note 1) Ordinary Shares Subscription price Cdn $8.88 EGM approval date (if applicable) (dd/mm/yyyy)) N/A 2. Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 3. Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 4. Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) Total C. (Ordinary shares) 0 (Preference shares) (Other class) | |
1. CIC Convertible Debenture US$ $250,000,000 $0 $250,000,000 0 1878.HK (S) Stock code (if listed) SGQ.TO Class of shares issuable (Note 1) Ordinary Shares Subscription price Cdn $8.88 EGM approval date (if applicable) (dd/mm/yyyy)) N/A 2. Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 3. Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 4. Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) Total C. (Ordinary shares) 0 (Preference shares) (Other class) | |
1. CIC Convertible Debenture US$ $250,000,000 $0 $250,000,000 0 1878.HK (S) Stock code (if listed) SGQ.TO Class of shares issuable (Note 1) Ordinary Shares Subscription price Cdn $8.88 EGM approval date (if applicable) (dd/mm/yyyy)) N/A 2. Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 3. Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 4. Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) Total C. (Ordinary shares) 0 (Preference shares) (Other class) | |
1. CIC Convertible Debenture US$ $250,000,000 $0 $250,000,000 0 1878.HK (S) Stock code (if listed) SGQ.TO Class of shares issuable (Note 1) Ordinary Shares Subscription price Cdn $8.88 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) |
For Main Board and GEM listed issuers
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 No. of new shares of issuer issued during issuer which may be the month pursuant issued pursuant thereto thereto as at close of the month | ||
1. 2. 3. | Employee Share Purchase Plan | 0 | 336,612 |
1. 2. 3. | 0 | 336,612 | |
1. 2. 3. | 0 | 336,612 | |
1. 2. 3. | ( 08/05/2013 ) | 0 | 336,612 |
1. 2. 3. | shares (Note 1) | 0 | 336,612 |
1. 2. 3. | |||
1. 2. 3. | |||
1. 2. 3. | |||
1. 2. 3. | ( / / ) | ||
1. 2. 3. | shares (Note 1) | ||
1. 2. 3. | |||
1. 2. 3. | |||
1. 2. 3. | |||
1. 2. 3. | ( / / ) | ||
1. 2. 3. | shares (Note 1) | ||
1. 2. 3. | 0 | ||
1. 2. 3. | Total D. (Ordinary shares) | 0 | |
1. 2. 3. | (Preference shares) | ||
1. 2. 3. | (Other class) | ||
1. 2. 3. | (Other class) |
Other Movements in Issued Share Capital
For Main Board and GEM listed issuers
No. of new No. of new shares of shares of issuer issued issuer which during the may be month issued pursuant pursuant thereto thereto as at close of the Type of Issue month |
Class of shares issuable (Note 1) 1. Rights issue At price : State Issue and allotment ( / / ) currency date : (dd/mm/yyyy) EGM appr oval date: ( / / ) (dd/mm/yyyy) |
Class of shares issuable (Note 1) 1. Rights issue At price : State Issue and allotment ( / / ) currency date : (dd/mm/yyyy) EGM appr oval date: ( / / ) (dd/mm/yyyy) |
Class of shares issuable (Note 1) 2. Open offer At price : State Issue and allotment ( / / ) currency date : (dd/mm/yyyy) EGM appr oval date: ( / / ) (dd/mm/yyyy) |
Class of shares issuable (Note 1) 2. Open offer At price : State Issue and allotment ( / / ) currency date : (dd/mm/yyyy) EGM appr oval date: ( / / ) (dd/mm/yyyy) |
Class of shares issuable (Note 1) 3. Placing At price : State Issue and allotment ( / / ) currency date : (dd/mm/yyyy) EGM appr oval date: ( / / ) (dd/mm/yyyy) |
Class of shares issuable (Note 1) 3. Placing At price : State Issue and allotment ( / / ) currency date : (dd/mm/yyyy) EGM appr oval date: ( / / ) (dd/mm/yyyy) |
Class of shares issuable (Note 1) 4. Bonus issue Issue and allotment ( / / ) date : (dd/mm/yyyy) EGM appr oval date: ( / / ) (dd/mm/yyyy) |
Class of shares issuable (Note 1) 4. Bonus issue Issue and allotment ( / / ) date : (dd/mm/yyyy) EGM appr oval date: ( / / ) (dd/mm/yyyy) |
For Main Board and GEM listed issuers
No. of new No. of new shares of shares of issuer issued issuer which during the may be month issued pursuant pursuant thereto thereto as at close of the Type of Issue month |
Class of shares issuable (Note 1) 5. Scrip dividend At price : State Issue and allotment ( / / ) currency date : (dd/mm/yyyy) EGM appr oval date: ( / / ) (dd/mm/yyyy) |
Class of shares issuable (Note 1) 5. Scrip dividend At price : State Issue and allotment ( / / ) currency date : (dd/mm/yyyy) EGM appr oval date: ( / / ) (dd/mm/yyyy) |
Class of shares Ordinary repurchased (Note 1) Shares 6. Repurchase of Cancellation date : ( / / ) shares (dd/mm/yyyy) EGM appr oval date: ( / / ) (dd/mm/yyyy) |
Class of shares Ordinary repurchased (Note 1) Shares 6. Repurchase of Cancellation date : ( / / ) shares (dd/mm/yyyy) EGM appr oval date: ( / / ) (dd/mm/yyyy) |
Class of shares redeemed (Note 1) 7. Redemption of Redemption date : ( / / ) shares (dd/mm/yyyy) EGM appr oval date: ( / / ) (dd/mm/yyyy) |
Class of shares redeemed (Note 1) 7. Redemption of Redemption date : ( / / ) shares (dd/mm/yyyy) EGM appr oval date: ( / / ) (dd/mm/yyyy) |
Class of shares issuable (Note 1) 8. Consideration issue At price : State Issue and allotment ( / / ) currency date : (dd/mm/yyyy) EGM appr oval date: ( / / ) (dd/mm/yyyy) |
Class of shares issuable (Note 1) 8. Consideration issue At price : State Issue and allotment ( / / ) currency date : (dd/mm/yyyy) EGM appr oval date: ( / / ) (dd/mm/yyyy) |
For Main Board and GEM listed issuers
No. of new No. of new shares of shares of issuer issued issuer which during the may be month issued pursuant pursuant thereto thereto as at close of the Type of Issue month |
Class of shares issuable (Note 1) 9. Capital Issue and allotment ( / / ) reorganisation date : (dd/mm/yyyy) EGM appr oval date: ( / / ) (dd/mm/yyyy) |
Class of shares issuable (Note 1) 9. Capital Issue and allotment ( / / ) reorganisation date : (dd/mm/yyyy) EGM appr oval date: ( / / ) (dd/mm/yyyy) |
Class of shares issuable _Ordinary (Note 1) Shares 10. Other: At price : State ( / / ) currency: Issue and allotment Cdn. date : (dd/mm/yyyy) EGM appr oval date: (dd/mm/yyyy) ( / / ) |
Class of shares issuable _Ordinary (Note 1) Shares 10. Other: At price : State ( / / ) currency: Issue and allotment Cdn. date : (dd/mm/yyyy) EGM appr oval 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) (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 Sh | 0 |
Total increase / (decrease) in ordinary shares during the month (i.e. Total of A to E): (1) (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 Sh | |
Total increase / (decrease) in ordinary shares during the month (i.e. Total of A to E): (1) (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 Sh | |
Total increase / (decrease) in ordinary shares during the month (i.e. Total of A to E): (1) (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 Sh | |
Total increase / (decrease) in ordinary shares during the month (i.e. Total of A to E): (1) (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 Sh | are Capital").) |
Remarks (if any):
For Main Board and GEM listed issuers
Erik Cheng
HK Company Secretary__
(Director, Secretary or other duly authorised officer)
Notes :
1. State the class of shares (e.g. ordinary, preference or other).
2. If there is insufficient space, please append the prescribed continuation sheet.
distributed by
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