Anteris Technologies Global Corp. — Share Issue/Capital Change 2021

Sep 29, 2021

Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

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Announcement Summary

Entity name

ANTERIS TECHNOLOGIES LTD

Date of this announcement

Thursday September 30, 2021

The +securities the subject of this notification are: Other

Total number of +securities to be issued/transferred

		Total number of
ASX +security		+securities to be
code	Security description	issued/transferred	Issue date
New class - code	Unlisted options @ $10.00 Expiry 27/9/2025	1,175,001	27/09/2021
to be confirmed

Refer to next page for full details of the announcement

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Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

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Part 1 - Entity and announcement details

1.1 Name of entity

ANTERIS TECHNOLOGIES LTD

We (the entity named above) give notice of the issue, conversion or payment up of the following unquoted +securities.

1.2 Registered number type

ABN

Registration number

35088221078

1.3 ASX issuer code

AVR

1.4 The announcement is

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New announcement

1.5 Date of this announcement

30/9/2021

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Part 2 - Issue details

2.1 The +securities the subject of this notification are:

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Other

Please specify

Issue of 4-year unlisted options to acquire AVR Shares with an exercise price of $10.00 per option.

2.2a This notification is given in relation to an issue of +securities in a class which is not quoted on ASX and which:

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does not have an existing ASX security code ("new class")

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Part 3C - number and type of +securities the subject of this notification (new class) where issue has not previously been notified to ASX in an Appendix 3B

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New +securities
ASX +security code +Security description
New class - code to be confirmed Unlisted options @ $10.00 Expiry 27/9/2025
+Security type ISIN code
Options
Date the +securities the subject of this notification were issued
27/9/2021
Will all the +securities issued in this class rank equally in all respects from their issue date?
Yes
Have you received confirmation from ASX that the terms of the +securities are appropriate and equitable under
listing rule 6.1?
No
Please provide a URL link for a document lodged with ASX setting out the material terms of the +securities being
issued.
https://www.asx.com.au/asxpdf/20210824/pdf/44zn7xg5jd0jg0.pdf
Options Details
+Security currency Exercise price Expiry date
AUD - Australian Dollar AUD 10.00000000 27/9/2025
Details of the existing class of +security that will be issued upon exercise or conversion of this new class of
company option
Other
Description
AVR Ordinary fully paid shares
Any other information the entity wishes to provide about the +securities the subject of this notification
Nil
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Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

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Please provide any further information needed to understand the circumstances in which you are notifying the issue of these +securities to ASX, including why the issue of the +securities has not been previously announced to the market in an Appendix 3B

Securities were announced to the market on 2 August 2021 and noted that they were subject to shareholder approval. Shareholders approved the issue on 23 September 2021.

Issue details

Number of +securities

1,175,001

Were the +securities issued for a cash consideration?

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No

Please describe the consideration being provided for the +securities

• 3 free attaching options for every 5 shares issued under the placement (total 675,001).

• Evolution Capital Advisors Pty Ltd received 500,000 Options as part consideration for lead manager services

Purpose of the issue

Other

Additional Details

The capital raise included the issue of options and was to provide additional working capital

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Part 4 - +Securities on issue

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Following the issue, conversion or payment up of the +securities the subject of this application, the +securities of the entity will comprise:

(A discrepancy in these figures compared to your own may be due to a matter of timing if there is more than one application for quotation/issuance currently with ASX for processing.)

4.1 Quoted +Securities (Total number of each +class of +securities quoted)

	Total number of
ASX +security code and description	+securities on issue
AVR : ORDINARY FULLY PAID	8,060,884
AVRO : OPTION EXPIRING 18-DEC-2021	2,370,209

4.2 Unquoted +Securities (Total number of each +class of +securities issued but not quoted on ASX)

	Total number of
ASX +security code and description	+securities on issue
AVRAM : OPTION EXPIRING 28-MAY-2026 EX $8.72	1,750
AVRAO : OPTION EXPIRING 22-JUL-2026 EX $7.66	1,250
AVRAD : WARRANTS	49,388
AVRAL : CONV NOTES MATURING 12-AUG-22	3,780,000
AVRAK : OPTION EXPIRING 12-APR-2024 EX $10.00	350,000
AVRAI : OPTION EXPIRING 20-JAN-2024 EX $10.00	150,000
AVRAC : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES	527,668
AVRAG : OPTION EXPIRING 07-OCT-2025 EX $4.00	250
AVRAJ : CONV NOTES MATURING 19-MAY-22	1,620,000
AVRAH : OPTION EXPIRING 27-OCT-2025 EX $3.94	400
AVRAF : OPTION EXPIRING 03-JUN-2025 EX $7.58	500
AVRAE : OPTION EXPIRING 17-APR-2025 EX $3.50	1,249

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Notification of Issue, Conversion or Payment up of Unquoted Equity Securities
AVRAN : OPTION EXPIRING 16-JUL-2023 EX $11.50	205,199
AVRAP : OPTION EXPIRING 10-SEP-2026 EX $8.97	3,500
AVRAQ : OPTION EXPIRING 10-SEP-2026 EX $8.50	20,000
New class - code to be confirmed : Unlisted options @ $10.00 Expiry 27/9/2025	1,175,001

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Part 5 - Other Listing Rule requirements

5.1 Were the +securities issued under an exception in Listing Rule 7.2 and therefore the issue did not need any security holder approval under Listing Rule 7.1? No

5.2 Has the entity obtained, or is it obtaining, +security holder approval for the issue under listing rule 7.1? Yes

5.2a Date of meeting or proposed meeting to approve the issue under listing rule 7.1

23/9/2021

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