Shareholder Information

Securities Listed and Traded

Date this page last updated:  January 14, 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: 10,696,817

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 10,696,817 common shares issued. The Directors and management own or have an interest in 358,563 common shares representing 3.35% of Caledonia’s issued capital as of January 14, 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	19.53
Sales Promotion Services SA / Heinrich Auwärter	918,773	8.59
TD Ameritrade stockbrokers	884,647	8.34
UBS, New York	572,280	5.40
Charles Schwab, San Francisco	405,415	3.82
National Financial Services	402,040	3.79
ETrade	393,182	3.71
Royal Bank of Canada	371,245	3.50
TD Waterhouse Canada	338,039	3.19

According to the above information, 22.88% 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.

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