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112<br />
NORTHERN MINERALS _ ANNUAL REPORT 2021<br />
2. Substantial Holders of Equity Securities<br />
The names of substantial shareholders (NTU) are as follows:<br />
Holder<br />
Number of shares<br />
Vastness Investment Group Limited 375,000,000<br />
Yongquan He 250,000,000<br />
Yuzhen Ma 225,000,000<br />
3. Voting Rights<br />
The voting rights attaching to each class of equity securities are set out below:<br />
a) Ordinary shares<br />
On a show of hands every member present at a meeting in person or by proxy shall have one vote and<br />
upon a poll each share shall have one vote.<br />
b) Options<br />
No voting rights<br />
4. Stock Exchange Listing<br />
Listing has been granted for ordinary shares (NTU) of the company on all Member Exchanges of the<br />
Australian Stock Exchange Limited.<br />
5. Unquoted Securities<br />
Number<br />
Number of holders<br />
Options expiring 20 December 2021<br />
at $0.1225 to Lind Asset Management X LLC 10,000,000 1<br />
Options expiring 2 March 2024<br />
at $0.045 to Lind Global Macro Fund, LP 34,000,000 1<br />
Options expiring 22 February 2021<br />
at $0.074. 153,061,226 23<br />
Options expiring 27 July 2024<br />
at $0.074. 51,020,408 23<br />
The following persons hold 20% or more of the equity securities in these unquoted classes.<br />
Name of holder Number of securities<br />
Options expiring 22 February 2021 at $0.074 Africa Changcheng 38,265,307<br />
Mining Holdings Ltd<br />
Options expiring 27 July 2024 at $0.074 Africa Changcheng 12,755,102<br />
Mining Holdings Ltd<br />
6. Restricted Securities<br />
As at 20 September 2021 there were 4,353,400 restricted securities on issue.<br />
7. On-Market Buyback<br />
The Company is not performing an on-market buyback at the time of this report.
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