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Shareholder Information

Securities Listed and Traded

Date this page last updated:  March 25, 2019

Shares listed on the Toronto Stock Exchange - Symbol "CAL"

Shares listed on the NYSE American - Symbol "CMCL"

Depositary interests in the shares admitted to trading on AIM of the London Stock Exchange plc - Symbol "CMCL" 

Authorised Share Capital: Unlimited


Shares, Warrants and Options Issued

Common Shares: 10,749,904

Warrants: Nil

Options: 38,000

 

Statement

Caledonia Mining Corporation Plc ("Caledonia") is incorporated in Jersey. The rights of the shareholders of Caledonia may be different in certain respects from the rights of shareholders of a company incorporated in the United Kingdom or other jurisdictions (e.g. Canada or the US).  It should be noted that significant shareholders (which under the AIM Rules are any persons with holdings of 3% or more of Caledonia’s securities) are required to notify their holdings in the Company as is similarly required under the United Kingdom’s Disclosure and Transparency Rules. Under the securities laws in Canada, an “insider” of Caledonia (which would include a shareholder who beneficially owns, controls or has direction over more than 10% of Caledonia’s common shares) is required to report their holdings in accordance with the applicable regulations.  There are also reporting obligations that apply to holders of Caledonia’s shares under US law, in particular Schedule 13 of the Securities Exchange Act of 1934 which requires a person or group of persons who acquire more than 5% of Caledonia’s shares to file a report with the SEC.

Caledonia has 10,749,904 common shares issued. The Directors and management own or have an interest in 434,650 common shares representing 4.04% of Caledonia’s issued capital as of April 5, 2019.

Allan Gray Investment Management, a South African fund manager, is the largest holder of Caledonia’s securities and has disclosed to Caledonia that it holds through two of its funds, Allan Gray Africa ex-SA Equity Fund Limited and Allan Gray Africa Equity Fund Limited.

Caledonia ascertained that as at 25 August, 2017 Sales Promotion Services S.A. held an interest through various intermediaries in 938,773 common shares of the Company.  Caledonia was informed on November 2, 2017 that the beneficial owner of Sales Promotion Services S.A. is Heinrich Auwärter and was further informed on November 14, 2018 that the shareholding had decreased to 918,773 common shares of the Company.

 As at 31 December 2018, or as subsequently disclosed or ascertained, to the knowledge of Caledonia the significant shareholders of Caledonia are:

Name

Shares / Depositary interests

% of share capital

Allan Gray Investment Management

2,070,348

19.26

Sales Promotion Services SA / Heinrich Auwärter 918,773 8.55

TD Ameritrade stockbrokers

884,647

8.23

UBS, New York

572,280

5.32

Charles Schwab, San Francisco

405,415

3.77

National Financial Services

402,040 3.74

ETrade

393,182

3.66

Royal Bank of Canada

371,245

3.45

TD Waterhouse Canada

338,039

3.14

According to the above information, 23.30% of Caledonia's securities are held "not in public hands" in terms of the AIM Rules.

There are no restrictions on the transfer of Caledonia’s issued shares.

Registrar & Transfer Agent

Computershare Investor Services Inc. 
100 University Ave, 8th Floor 
Toronto, Ontario 
M5J 2Y1 Canada 

Tel: (416) 263-9483 
Fax: (416) 981-9800

Nominated Advisor

WH Ireland
24 Martin Lane
London 
EC4R ODR 

 

Solicitors

Media and Investor Relations

Blytheweigh Communications 
4-5 Castle Court 
London EC3V 9DL 
Tel: +44 20 7138 3204