Caledonia Mining Corp Plc 6-K, filed Dec 17, 2021
Caledonia Mining Corp Plc (CMCL)
About this 6-K
Caledonia Mining Corp Plc filed this 6-K on December 17, 2021.
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 6-K
Report of Foreign Private Issuer
Pursuant to Rule 13a-16 or 15d-16
Of the Securities Exchange Act of 1934
For the month of December 2021
Commission File Number: 001-38164
CALEDONIA MINING CORPORATION PLC
(Translation of registrant's name into English)
B006 Millais House
Castle Quay
St Helier
Jersey JE2 3EF
(Address of principal executive office)
Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F.
Form 20-F [ X ] Form 40-F [ ]
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(1):
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(7):
INCORPORATION BY REFERENCE
Exhibit 99.1 included with this report on Form 6-K is expressly incorporated by reference into this report and is hereby incorporated by reference as exhibit to the Registration Statement on Form F-3 of Caledonia Mining Corporation Plc (File No. 333-255500), as amended or supplemented.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| CALEDONIA MINING CORPORATION PLC | ||
| (Registrant) | ||
| Date: December 17, 2021 | /s/ STEVE CURTIS | |
| Steve Curtis | ||
| CEO and Director | ||
EXHIBIT INDEX
| Exhibit Number | Description | |
| 99.1 | Caledonia Mining Corporation Plc Notification of relevant change to significant shareholder |
Exhibit 99.1
 |
Caledonia Mining Corporation Plc
Notification of relevant change to significant shareholder
(NYSE AMERICAN: CMCL; AIM: CMCL; VEFX: CMCL)
December 17, 2021: Caledonia Mining Corporation Plc ("Caledonia" or the "Company") announces that it received notification on December 15, 2021 from Van Eck Associates Corporation, which is a "significant shareholder" of the Company as defined by the AIM Rules for Companies, that it has increased its interest in the Company and on December 13, 2021 crossed a particular threshold for notification of its holdings in the Company. A copy of the notification is below.
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Caledonia Mining Corporation Plc Mark Learmonth Camilla Horsfall |
Tel: +44 1534 679 802 Tel: +44 7817 841793 |
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WH Ireland Adrian Hadden/ Andrew De Andrade |
Tel: +44 20 7220 1751 |
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Blytheweigh Financial PR Tim Blythe/Megan Ray |
Tel: +44 207 138 3204 |
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3PPB Patrick Chidley Paul Durham |
Tel: +1 917 991 7701 Tel: +1 203 940 2538 |
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Curate Public Relations (Zimbabwe) Debra Tatenda |
Tel: +263 77802131
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Note: The information contained within this announcement is deemed by the Company to constitute inside information under the Market Abuse Regulation (EU) No. 596/2014 (“MAR”) as it forms part of UK domestic law by virtue of the European Union (Withdrawal) Act 2018 and is disclosed in accordance with the Company's obligations under Article 17 of MAR.
Head and Registered Office: Caledonia Mining Corporation Plc
Unit B006, Millais House, Castle Quay, St Helier, Jersey, Channel Islands, JE2 3EF
info@caledoniamining.com | | www.caledoniamining.com
TR-1: Standard form for notification of major holdings
| NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer and to the FCA in Microsoft Word format if possible)i | ||||||
| 1a. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attachedii: | Caledonia Mining Corp PLC | |||||
| 1b. Please indicate if the issuer is a non-UK issuer (please mark with an “X” if appropriate) | ||||||
| Non-UK issuer | X | |||||
| 2. Reason for the notification (please mark the appropriate box or boxes with an “X”) | ||||||
| An acquisition or disposal of voting rights | X | |||||
| An acquisition or disposal of financial instruments | ||||||
| An event changing the breakdown of voting rights | ||||||
| Other (please specify)iii: | ||||||
| 3. Details of person subject to the notification obligationiv | ||||||
| Name | Van Eck Associates Corporation | |||||
| City and country of registered office (if applicable) | New York, NY USA | |||||
| 4. Full name of shareholder(s) (if different from 3.)v | ||||||
| Name |
VanEck Junior Gold Miners ETF VanEck Vectors Junior Gold Miners UCITS ETF | |||||
| City and country of registered office (if applicable) | ||||||
| 5. Date on which the threshold was crossed or reachedvi: | 13 December 2021 | |||||
| 6. Date on which issuer notified (DD/MM/YYYY): | 15 December 2021 | |||||
| 7. Total positions of person(s) subject to the notification obligation | ||||||
| % of voting rights attached to shares (total of 8. A) | % of voting rights through financial instruments (total of 8.B 1 + 8.B 2) |
Total of both in % (8.A + 8.B) | Total number of voting rights of issuervii | |||
| Resulting situation on the date on which threshold was crossed or reached | 4.2361% | 4.2361% | 540,381 | |||
|
Position of previous notification (if applicable) |
462,374 | 3.8153% | ||||
| 8. Notified details of the resulting situation on the date on which the threshold was crossed or reachedviii | ||||||||||
| A: Voting rights attached to shares | ||||||||||
|
Class/type of shares ISIN code (if possible) |
Number of voting rightsix | % of voting rights | ||||||||
|
Direct (Art 9 of Directive 2004/109/EC) (DTR5.1) |
Indirect (Art 10 of Directive 2004/109/EC) (DTR5.2.1) |
Direct (Art 9 of Directive 2004/109/EC) (DTR5.1) |
Indirect (Art 10 of Directive 2004/109/EC) (DTR5.2.1) | |||||||
| JE00BF0XVB15 | 540,381 | 4.2361% | ||||||||
| SUBTOTAL 8. A | 540,381 | 4.2361% | ||||||||
|
| ||||||||||
| B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC (DTR5.3.1.1 (a)) | ||||||||||
| Type of financial instrument | Expiration datex | Exercise/ Conversion Periodxi |
Number of voting rights that may be acquired if the instrument is exercised/converted. |
% of voting rights | ||||||
| SUBTOTAL 8. B 1 | ||||||||||
| ||||||||||
| B 2: Financial Instruments with similar economic effect according to Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (b)) | |||||
| Type of financial instrument | Expiration datex | Exercise/ Conversion Period xi |
Physical or cash settlementxii |
Number of voting rights | % of voting rights |
| SUBTOTAL 8.B.2 | |||||
|
9. Information in relation to the person subject to the notification obligation (please mark the applicable box with an “X”) | ||||||||||||||||||||
| Person subject to the notification obligation is not controlled by any natural person or legal entity and does not control any other undertaking(s) holding directly or indirectly an interest in the (underlying) issuerxiii | ||||||||||||||||||||
| Full chain of controlled undertakings through which the voting rights and/or the financial instruments are effectively held starting with the ultimate controlling natural person or legal entityxiv (please add additional rows as necessary) | ||||||||||||||||||||
| Namexv | % of voting rights if it equals or is higher than the notifiable threshold |
% of voting rights through financial instruments if it equals or is higher than the notifiable threshold |
Total of both if it equals or is higher than the notifiable threshold | |||||||||||||||||
| VanEck Junior Gold Miners ETF | 3.8245% | 3.8245% | ||||||||||||||||||
| VanEck Vectors Junior Gold Miners UCITS ETF | 0.4116% | 0.4116% | ||||||||||||||||||
| 10. In case of proxy voting, please identify: | |
| Name of the proxy holder | Glass Lewis |
| The number and % of voting rights held | 540,381 shares and 4.2361% voting right |
| The date until which the voting rights will be held | Open |
| 11. Additional informationxvi |
| Place of completion | Tampa, FL |
| Date of completion | 15 December 2021 |