Information Disclosure
Each research analyst of this material certifies that the views expressed in this research material accurately reflect the analyst’s personal views about the subject securities and listed corporations. None of the listed corporations reviewed or any third party has provided or agreed to provide any compensation or other benefits in connection with this material to any of the analyst(s).
| Company | Code | Disclosure |
| Agrimin Limited | AMN | Argonaut acts as Financial Adviser to AMN and receives fees commensurate with that service. |
| Apollo Consolidated Ltd | AOP | Argonaut holds or controls 1,000,000 AOP Shares and 1M AOP Options exercisable at $0.25 & 1M options exercisable at $0.30 on or before 30 June 2021, and 1M AOP Options exercisable at $0.2625 & 1M options exercisable at $0.315 on or before 31 Dec. 2022. |
| Botanix Pharmaceuticals Ltd
|
BOT | Argonaut holds or controls 1,400,000 BOT shares. |
| Capricorn Metals Limited | CMM | Argonaut acted as Joint Lead Manager to the placement that raised $32.3M and selldown of 20.2M shares totalling $38.38M for a Substantial Holder in July 2020 and received fees commensurate with this service. |
| ClearVue Technologies Limited | CPV | Argonaut acted as Lead Manager to the Placement to raise $3.0M in August 2020 and received fees commensurate with this service. Argonaut holds or controls 2M CPV Options exercisable at $0.1425 on or before 11 Jul 2024. Argonaut continues to act as Financial Adviser to CPV and receives fees commensurate with that service. |
| De Grey Mining Ltd | DEG | Argonaut acted as Joint Lead Manager in respect of the Placement to raise up to $103.2M and the Senior Management Sell Down in September 2020 and received fees commensurate with this service.
|
| Family Zone Cyber Safety Limited |
FZO | Argonaut acted as Joint Lead Manager to the Placement that raised $20M in October 2020 and received fees commensurate with this service. |
| Genesis Minerals Limited | GMD | Argonaut acted as Lead Manager in respect of the Placement that raised $10M in April 2021 and Underwriter to the $9.5M Entitlement Offer in June 2020 and received fees commensurate with these services. Argonaut holds or controls 1M GMD shares. |
| Good Drinks Australia Limited | GDA | Argonaut acted as Joint Lead Manager in respect of the Placement that raised $5.2M in July 2020 and received fees commensurate with this service. |
| Hot Chili Limited |
HCH | Argonaut participated in the Placement & Rights Issue to raise $8.9M in May 2020 and received fees commensurate with this service. Argonaut participated in the Placement to raise $25.6M in November 2020 and received fees commensurate with this service. Argonaut holds or controls 4,675,000 HCH HCH Options exercisable at $0.025 on or before 20 May 2022.
|
| K2Fly Ltd | K2F | Argonaut acted as Lead manager to the Placement that raised $7.25M in April 2021 and received fees commensurate with this service. |
| Myanmar Metals Limited | MYL | Argonaut acted as Joint Lead Manager to the Placement that raised $7.0M in October 2020 and received fees commensurate with this service. Argonaut acts as Financial Adviser to MYL and will receive fees commensurate with this service. Argonaut holds or controls 976,923 MYL shares and 37M MYL Options exercisable at $0.078 on or before 15 June 2022. |
| Pantoro Limited | PNR | Argonaut acted as Sole Lead Manager in respect of the Placement that raised $55M in August 2020 and received fees commensurate with this service. Argonaut acts as Corporate Adviser to PNR and will receive ongoing advisory fees for the provision of services. Argonaut holds or controls 416,667 PNR Shares, 5M PNR Options exercisable at $0.15 and 5M Options exercisable at $0.20 with both tranches set to expire on or before 31 March 2022. Argonaut continues to act as Financial Adviser to PNR and receives fees commensurate with that service. |
| Stealth Global Holdings Limited | SGI | Argonaut holds or controls 450,000 SGI Shares and 2,497,369 SGI Options exercisable at $0.25 on or before 27 Sept. 2022. |
| St George Mining Ltd | SGQ | Argonaut acted as Joint Lead Manager to the Placement that raised $7M in April 2021 and a prior raising of $3.6M in May 2020 and received fees commensurate with this service. Argonaut holds or controls 1,149,651 SGQ shares and 2.5M Options exercisable at $0.15 on or before 31 July 2022.
|
| Salt Lake Potash Limited | SO4 | Argonaut acted as Financial Advisor to the Placement of Convertible Notes that raised $15M in July 2020 and received fees commensurate with this service. Argonaut acted as Co-Manager in respect of the Fully Underwritten $98.5M Institutional Placement and Entitlement Offer in August 2020 and received fees commensurate with this service. Argonaut acted as Co-Manager in respect of the $52M Institutional Placement in December 2020 and received fees commensurate with this service. Argonaut acts as Financial Adviser to SO4 and will receive fees commensurate with this service. Argonaut currently owns and/or controls 604,418 SO4 shares and 1M SO4 Options exercisable at $0.702 on or before 30 June 2023. |
| Tietto Minerals Limited | TIE | Argonaut participated in the Placement to raise $57.5M in August 2020 and will receive fees commensurate with this service.
|
| VRX Silica Limited |
VRX | Argonaut holds or controls 2M VRX Options exercisable at $0.15 on or before 22 October 2023. Argonaut participated in the Placement to raise $7M in November 2020 and received fees commensurate with this service. Argonaut continues to act as Financial Adviser to VRX and receives fees commensurate with that service. |
| Xanadu Mines Limited | XAM | Argonaut acted as Joint Lead Manager in respect of the Placement that raised $12M in August 2020 and a further Placement that raised $10.2M in April 2021 and received fees commensurate with this service. |
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This research has been prepared by Argonaut Securities Pty Limited (ABN 72 108 330 650) (“ASPL”) or by Argonaut Securities (Asia) Limited (“ASAL”) for the use of the clients of ASPL, ASAL and other related bodies corporate (the “Argonaut Group”) and must not be copied, either in whole or in part, or distributed to any other person. If you are not the intended recipient you must not use or disclose the information in this report in any way. ASPL is a holder of an Australian Financial Services License No. 274099 and is a Market Participant of the Australian Stock Exchange Limited. ASAL has a licence (AXO 052) to Deal and Advise in Securities and Advise on Corporate Finance in Hong Kong with its activities regulated by the Securities and Futures Ordinance (“SFO”) administered by the Securities and Futures Commission (“SFC”) of Hong Kong.
Nothing in this report should be construed as personal financial product advice for the purposes of Section 766B of the Corporations Act 2001 (Cth). This report does not consider any of your objectives, financial situation or needs. The report may contain general financial product advice and you should therefore consider the appropriateness of the advice having regard to your situation. We recommend you obtain financial, legal and taxation advice before making any financial investment decision.
This research is based on information obtained from sources believed to be reliable and ASPL and ASAL have made every effort to ensure the information in this report is accurate, but we do not make any representation or warranty that it is accurate, reliable, complete or up to date. The Argonaut Group accepts no obligation to correct or update the information or the opinions in it. Opinions expressed are subject to change without notice and accurately reflect the analyst(s)’ personal views at the time of writing. No member of the Argonaut Group or its respective employees, agents or consultants accepts any liability whatsoever for any direct, indirect, consequential or other loss arising from any use of this research and/or further communication in relation to this research.
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