17 July 2013
Level 9, 301 Coronation Drive, Milton QLD 4064 Australia
PO Box 2118, Toowong DC QLD 4066 Australia
phone + 61 (0) 7 3156 7777 fax + 61 (0) 7 3156 7776
www.carbonenergy.com.au
Carbon Energy Limited
ABN 56 057 552 137
Carbon Energy (Operations) Pty Ltd
ABN 61 105 176 967
Appendix 3Y - Change in Director's Interest Notice On behalf of Carbon Energy Limited (Company), I attach change in Director's interest notices for Dr Christopher D. Rawlings and Mr Peter N. Hogan.
The notice for Dr Rawlings is submitted for the purpose of correcting the notice lodged with the ASX on 28 November 2012 (Original Notice). The Original Notice reflected the information provided by Dr Rawlings at that time. Subsequent to the purchase being reported to Carbon Energy the remainder of the order was filled, an additional 15,872 shares was therefore purchased, of which Carbon Energy was unaware of until now. The attached notice for Dr Rawlings is therefore lodged for the purposes of correcting the error in the Original Notice.
The notice for Mr Hogan is lodged in order to advise the ASX that Mr Hogan's shareholding increased from 250,000 to 280,000 when he took up his entitlement from the Company's rights issue in 2011. The Company has only now been advised of this change.
In order to ensure that it is able to meet its disclosure obligations under Listing Rule 3.19A, the Company has a number of arrangements in place with its directors. These arrangements include:
1. Reviewing share movements and transactions on the share register on a regular basis and noting any movements in director's interests;
2. Ensuring that the Directors are all aware that they are required to advise Carbon
Energy of any changes in their shareholding or other interest in the Company;
3. Ensuring that the Directors are also aware that under the Company's Securities Trading Policy, they are required to provide written notification of any intention to trade and comply with any conditions imposed in respect of such trade; and
4. Ensuring that Directors are aware that they must also provide confirmation of any trade in the Company's securities and in certain circumstance they must obtain approval before they trade in the Company's securities. Directors are required to disclose details of changes in securities held in the Company (directly or indirectly) as soon as reasonably practical but in any event within 3 business days after the date of the contract to buy or sell, or if they have or cease to have a substantial shareholding or there is a change in their substantial holding, within 1 business day after the date of the contract to buy or sell.
It is important to note that both oversights are historical in that they occurred prior to our exchange of correspondence with ASX regarding the interests of Andrew Dash in January and February of this year and we have, since that time, followed the processes in place to ensure that changes in director's interests are able to be reported by the Company as they occur and in compliance with Listing Rule 3.19B. Regular checks of the share register that we undertake of course would not pick up historical changes.
The Company considers that its current arrangements are adequate to ensure compliance with Listing Rule 3.19B and these are historical issues that have come to light through an internal review of Director's Interests. Whilst the Company does not expect such errors to be made going forward, as an additional measure we will now also move to add director's interests as a standing agenda item for board meetings to regularly remind Directors of the need to notify the Company of any changes in interests and thereby reinforce the significance of this requirement.
For an on behalf of the Board
Chief Executive Officer
www.carbonenergy.com.au
Appendix 3Y Change of Director's Interest Notice
Appendix 3Y Change of Director's Interest NoticeRule 3.19A.2
Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX's property and may be made public.
Introduced 30/09/01 Amended 01/01/11
Name of entity CARBON ENERGY LIMITED
ABN 56 057 552 137
We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.
| Name of Director | Christopher David Rawlings |
| Date of last notice | 5 December 2012 (Appendix 3Y issued) |
Part 1 - Change of director's relevant interests in securities
In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust
Note: In the case of a company, interests which come within paragraph (i) of the definition of "notifiable interest of a director" should be disclosed in this part.
| Direct or indirect interest | Indirect |
| Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest. | (1) EL Nelson Superannuation Fund (2) CD Rawlings Superannuation Fund |
| Date of change | 23 & 26 November 2012 |
| No. of securities held prior to change | (1) 984,128 (2) 1,900,000 Total: 2,884,128 |
| Class | Ordinary Shares |
| Number acquired | (1) 15,872 (2) Nil Total: 15,872 |
| Number disposed | Nil |
| Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation | (1) $952.32 (2) Nil Total $952.32 |
+ See chapter 19 for defined terms.
01/01/2011 Appendix 3Y Page 1
Appendix 3Y
Change of Director's Interest Notice
| No. of securities held after change | (1) 1,000,000 (2) 1,900,000 Total: 2,900,000 |
| Nature of change Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back | On-market trade |
Note: In the case of a company, interests which come within paragraph (ii) of the definition of "notifiable interest of a director" should be disclosed in this part.
| Detail of contract | Not applicable |
| Nature of interest | Not applicable |
| Name of registered holder (if issued securities) | Not applicable |
| Date of change | Not applicable |
| No. and class of securities to which interest related prior to change Note: Details are only required for a contract in relation to which the interest has changed | Not applicable |
| Interest acquired | Not applicable |
| Interest disposed | Not applicable |
| Value/Consideration Note: If consideration is non-cash, provide details and an estimated valuation | Not applicable |
| Interest after change | Not applicable |
| Were the interests in the securities or contracts detailed above traded during a +closed period where prior written clearance was required? | No |
| If so, was prior written clearance provided to allow the trade to proceed during this period? | Not applicable |
| If prior written clearance was provided, on what date was this provided? | Not applicable |
17 July 2013
+ See chapter 19 for defined terms.
Appendix 3Y Page 2 01/01/2011
Appendix 3Y Change of Director's Interest Notice
Appendix 3Y Change of Director's Interest NoticeRule 3.19A.2
Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX's property and may be made public.
Introduced 30/09/01 Amended 01/01/11
Name of entity CARBON ENERGY LIMITED
ABN 56 057 552 137
We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.
| Name of Director | Peter Neville Hogan |
| Date of last notice | 13 August 2010 (Appendix 3Y issued) |
Part 1 - Change of director's relevant interests in securities
In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust
Note: In the case of a company, interests which come within paragraph (i) of the definition of "notifiable interest of a director" should be disclosed in this part.
| Direct or indirect interest | Indirect |
| Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest. | Horizon Court Pty Limited |
| Date of change | 30 November 2011 |
| No. of securities held prior to change | 200,000 |
| Class | Ordinary Shares |
| Number acquired | 30,000 through take-up of rights issue entitlement |
| Number disposed | Nil |
| Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation | $3,600 |
| No. of securities held after change | 280,000 |
+ See chapter 19 for defined terms.
01/01/2011 Appendix 3Y Page 1
Appendix 3Y
Change of Director's Interest Notice
Nature of change
Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back
On-market trade
Part 2 - Change of director's interests in contractsNote: In the case of a company, interests which come within paragraph (ii) of the definition of "notifiable interest of a director" should be disclosed in this part.
| Detail of contract | Not applicable |
| Nature of interest | Not applicable |
| Name of registered holder (if issued securities) | Not applicable |
| Date of change | Not applicable |
| No. and class of securities to which interest related prior to change Note: Details are only required for a contract in relation to which the interest has changed | Not applicable |
| Interest acquired | Not applicable |
| Interest disposed | Not applicable |
| Value/Consideration Note: If consideration is non-cash, provide details and an estimated valuation | Not applicable |
| Interest after change | Not applicable |
| Were the interests in the securities or contracts detailed above traded during a +closed period where prior written clearance was required? | No |
| If so, was prior written clearance provided to allow the trade to proceed during this period? | Not applicable |
| If prior written clearance was provided, on what date was this provided? | Not applicable |
17 July 2013
+ See chapter 19 for defined terms.
Appendix 3Y Page 2 01/01/2011
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