AURORA LABS LIMITED — Capital/Financing Update 2018

Jul 11, 2018

12 July 2018

==> picture [209 x 58] intentionally omitted <==

ASX Announcement

CORPORATE DIRECTORY

Chairman PAUL KRISTENSEN

Founder, Managing Director DAVID BUDGE

Business Development and Marketing Director NATHAN HENRY

Non-Executive Director MEL ASHTON

Non-Executive Director and Company Secretary MATHEW WHYTE

Changes to Company Securities and Appendix 3Y’s

Aurora Labs Limited (“Aurora” or “the Company”) is pleased to provide the attached Appendix 3B – New Issue Announcement in relation to the following changes to the Company’s Securities:

• The issue of 245,000 fully paid ordinary shares following the exercise of 245,000 unquoted options at $0.20 each (ASX: A3DAH);

• The automatic redemption and cancellation of 7,087,500 Class B Performance Shares (ASX: A3DAJ) in the Company pursuant to their terms and conditions as the relevant milestone for conversion as at 30 June 2018 was not satisfied; and

FAST FACTS

Issued Capital: 65.6m Quoted Options: 3.7m Unquoted Options: 12.1m Market Cap: $34.0m Cash: $5.8m (As at 31 March 2018)

• The cancellation and removal from the Company’s register of securities of 15,000 unquoted options, exercisable at $0.79 and expiring on 31 August 2020, following the forfeiture of the options under the terms of the Company’s Employee Incentive Plan.

Further to Aurora’s announcement on 5 April 2018 the Company also advises that no further Securities will be issued pursuant to the shortfall under the Security Purchase Plan and Shortfall Offer as approved by shareholders at General Meeting on 17 April 2018.

Appendix 3Y’s

CONTACT DETAILS

U2/79 Bushland Ridge, Bibra Lake, WA AUSTRALIA 6163

enquiries@auroralabs3d.com t. +61 (0)8 9434 1934 auroralabs3d.com

The Company now provides Appendix 3Y - Change in Director’s Interest Notices on behalf of its directors Mr David Budge and Mr Nathan Henry arising from the redemption and cancellation of their respective Class B Performance Shares.

For further information please contact: enquiries@auroralabs3D.com

ASX CODE: A3D ACN: 601 164 505

Rule 2.7, 3.10.3, 3.10.4, 3.10.5

Appendix 3B New issue announcement, application for quotation of additional securities and agreement

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 01/07/96 Origin: Appendix 5 Amended 01/07/98, 01/09/99, 01/07/00, 30/09/01, 11/03/02, 01/01/03, 24/10/05, 01/08/12

Name of entity

Aurora Labs Limited

ABN 44 601 164 505

We (the entity) give ASX the following information.

Part 1 - All issues

You must complete the relevant sections (attach sheets if there is not enough space).

1 +Class of+securities issued or to be issued 2 Number of+securities issued or to be issued (if known) or maximum number which may be issued 3 Principal terms of the+securities (eg, if options, exercise price and expiry date; if partly paid +securities, the amount outstanding and due dates for payment; if +convertible securities, the conversion price and dates for conversion) 4 Do the+securities rank equally in all respects from the date of allotment with an existing+class of quoted+securities?	a. Ordinary fully paid shares (Shares) b. Redemption and cancellation of Class B Performance Shares (Class B Performance Shares) c. Cancellation of Unquoted Options exercisable at $0.79 and expiring 31 August 2020 (Unquoted Options)
	a. 245,000 Shares b. – 7,087,500 Class B Performance Shares c. – 15,000 Unquoted Options
	a. The Shares are fully paid ordinary shares. b. Refer to section 11.3 of prospectus dated 9 June 2016. c. Refer section 11.5 of prospectus dated 9 June 2016.
	a. Shares – yes.

If the additional securities do not rank equally, please state:

• the date from which they do

• the extent to which they participate for the next dividend, (in the case of a trust, distribution) or interest payment

• the extent to which they do not rank equally, other than in relation to the next dividend, distribution or interest payment

• 5 Issue price or consideration a. 245,000 Shares at $0.20 each (issued on exercise of 245,000 unquoted options expiring 31/12/2018, A3DAH)

• b. N/A – Class B Performance Shares being redeemed and cancelled for $0.00001 each ($70.87 in total)

• c. N/A – Unquoted Options cancelled for Nil consideration

• 6 Purpose of the issue a. Refer to section 2.3 of prospectus dated 9 (If issued as consideration for June 2016 the acquisition of assets, clearly b. N/A identify those assets) c. N/A

• 6a Is the entity an[+] eligible entity Yes. that has obtained security holder approval under rule 7.1A? If Yes, complete sections 6b – 6h in relation to the[+] securities the subject of this Appendix 3B , and comply with section 6i

• 6b The date the security holder 29 November 2017. resolution under rule 7.1A was passed

• 6c Number of[+] securities issued Not applicable. without security holder approval under rule 7.1

• 6d Number of[+] securities issued Not applicable. with security holder approval under rule 7.1A

• See chapter 19 for defined terms.

Appendix 3B Page 2

01/08/2012

6e Number of+securities issued with security holder approval under rule 7.3, or another specific security holder approval (specify date of meeting) 6f Number of securities issued under an exception in rule 7.2 6g If securities issued under rule 7.1A, was issue price at least 75% of 15 day VWAP as calculated under rule 7.1A.3? Include the issue date and both values. Include the source of the VWAP calculation. 6h If securities were issued under rule 7.1A for non-cash consideration, state date on which valuation of consideration was released to ASX Market Announcements 6i Calculate the entity’s remaining issue capacity under rule 7.1 and rule 7.1A – complete Annexure 1 and release to ASX Market Announcements 7 Dates of entering +securities into uncertificated holdings or despatch of certificates 8 Number and +class of all +securities quoted on ASX (including the securities in section 2 if applicable) 9 Number and +class of all +securities not quoted on ASX (including the securities in section 2 if applicable)	Not applicable	Not applicable
	245,000 Shares.
	Not applicable.
	Not applicable.
	LR 7.1: 9,799,415 LR 7.1A: 6,556,408
	a. Shares issued on 12 July 2018 b. Class B Performance rights redeemed and cancelled on 12 July 2018 c. Unquoted Options cancelled on 29 June 2018
	Number	~~+~~Class
	33,338,575 3,686,000	Ordinary shares Options exercisable at $1.00 & Expiry 17/4/2020
	Number	+Class
	32,260,696 765,425	Ordinary Shares (restricted securities (A3DAF) Unquoted Options Exercisable at $0.20 Expiring 31/12/2018 (A3DAH)

10 Dividend policy (in the case of a trust, distribution policy) on the increased capital (interests)	9,092,500 480,000 931,000 40,000 462,000 50,000 100,000 200,000 7,612,500	Restricted Unquoted Options Exercisable at $0.20 Expiring 31/12/2018 (A3DAG) Unquoted Options Exercisable at $2.23 Expiring 30/11/2019 (A3DAI) Unquoted Options Exercisable at $3.00 Expiring 31/03/2020 (A3DAI) Unquoted Options Exercisable at $1.17 Expiring 30/06/2020 (A3DAI) Unquoted Options Exercisable at $0.79 Expiring 31/08/2020 (A3DAI) Unquoted Options Exercisable at $0.72 Expiring 30/09/2020 (A3DAI) Unquoted Options Exercisable at $0.95 Expiring 31/07/2020 (A3DAI) Unquoted Options Exercisable at $1.08 Expiring 31/01/2021 (A3DAI) Class C Performance Shares(A3DAJ): *Balance remaining after cancellation referred to in Section 1 a) & b)
	Not applicable.

Part 2 - Bonus issue or pro rata issue

• See chapter 19 for defined terms.

Appendix 3B Page 4

01/08/2012

11 Is security holder approval required? 12 Is the issue renounceable or non- renounceable? 13 Ratio in which the+securities will be offered 14 +Class of+securities to which the offer relates 15 +Record date to determine entitlements 16 Will holdings on different registers (or subregisters) be aggregated for calculating entitlements? 17 Policy for deciding entitlements in relation to fractions 18 Names of countries in which the entity has+security holders who will not be sent new issue documents Note: Security holders must be told how their entitlements are to be dealt with. Cross reference: rule 7.7. 19 Closing date for receipt of acceptances or renunciations 20 Names of any underwriters 21 Amount of any underwriting fee or commission 22 Names of any brokers to the issue 23 Fee or commission payable to the broker to the issue	Not applicable.
	Not applicable.
	Not applicable.
	Not applicable.
	Not applicable.
	Not applicable.
	Not applicable.
	Not applicable.
	Not applicable.
	Not applicable.
	Not applicable.
	Not applicable.
	Not applicable.

24 Amount of any handling fee payable to brokers who lodge acceptances or renunciations on behalf of+security holders 25 If the issue is contingent on +security holders’ approval, the date of the meeting 26 Date entitlement and acceptance form and prospectus or Product Disclosure Statement will be sent to persons entitled 27 If the entity has issued options, and the terms entitle option holders to participate on exercise, the date on which notices will be sent to option holders 28 Date rights trading will begin (if applicable) 29 Date rights trading will end (if applicable) 30 How do+security holders sell their entitlements_in full_through a broker? 31 How do+security holders sell part of their entitlements through a broker and accept for the balance? 32 How do+security holders dispose of their entitlements (except by sale through a broker)? 33 +Despatch date	Not applicable.
	Not applicable.
	Not applicable.
	Not applicable.
	Not applicable.
	Not applicable.
	Not applicable.
	Not applicable.
	Not applicable.
	Not applicable.

Part 3 - Quotation of securities

You need only complete this section if you are applying for quotation of securities

• 34 Type of securities ( tick one )

• (a)[ Securities described in Part 1 a. only ]

• See chapter 19 for defined terms.

Appendix 3B Page 6

01/08/2012

(b) All other securities

Example: restricted securities at the end of the escrowed period, partly paid securities that become fully paid, employee incentive share securities when restriction ends, securities issued on expiry or conversion of convertible securities

Entities that have ticked box 34(a)

Additional securities forming a new class of securities

Tick to indicate you are providing the information or documents

• 35 If the[+] securities are[+] equity securities, the names of the 20 largest holders of the additional[+] securities, and the number and percentage of additional[+] securities held by those holders

• 36 If the[+] securities are[+] equity securities, a distribution schedule of the additional +securities setting out the number of holders in the categories

• 1 - 1,000

1,001 - 5,000 5,001 - 10,000 10,001 - 100,000 100,001 and over

37 A copy of any trust deed for the additional[+] securities

Entities that have ticked box 34(b)

ntities that have ticked box 34(b)
38 Number of securities for which +quotation is sought 39 Class of +securities for which quotation is sought 40 Do the+securities rank equally in all respects from the date of allotment with an existing+class of quoted+securities? If the additional securities do not rank equally, please state: • the date from which they do • the extent to which they participate for the next dividend, (in the case of a trust, distribution) or interest payment • the extent to which they do not rank equally, other than in relation to the next dividend, distribution or interest payment 41 Reason for request for quotation now Example: In the case of restricted securities, end of restriction period (if issued upon conversion of another security, clearly identify that other security) 42 Number and +class of all +securities quoted on ASX (_including_the securities in clause 38)	Not applicable.
	Not applicable.
	Not applicable.
	Not applicable.
	Number	+Class
	Not applicable.

• See chapter 19 for defined terms.

Appendix 3B Page 8

01/08/2012

Quotation agreement

• 1 +Quotation of our additional +securities is in ASX’s absolute discretion. ASX may quote the[+] securities on any conditions it decides.

• 2 We warrant the following to ASX.

• The issue of the[+] securities to be quoted complies with the law and is not for an illegal purpose.

• There is no reason why those[+] securities should not be granted +quotation.

• An offer of the[+] securities for sale within 12 months after their issue will not require disclosure under section 707(3) or section 1012C(6) of the Corporations Act.

Note: An entity may need to obtain appropriate warranties from subscribers for the securities in order to be able to give this warranty

• Section 724 or section 1016E of the Corporations Act does not apply to any applications received by us in relation to any[+] securities to be quoted and that no-one has any right to return any[+] securities to be quoted under sections 737, 738 or 1016F of the Corporations Act at the time that we request that the[+] securities be quoted.

• If we are a trust, we warrant that no person has the right to return the +securities to be quoted under section 1019B of the Corporations Act at the time that we request that the[+] securities be quoted.

• 3 We will indemnify ASX to the fullest extent permitted by law in respect of any claim, action or expense arising from or connected with any breach of the warranties in this agreement.

• 4 We give ASX the information and documents required by this form. If any information or document not available now, will give it to ASX before +quotation of the +securities begins. We acknowledge that ASX is relying on the information and documents. We warrant that they are (will be) true and complete.

Sign here: (Director & Company Secretary)

Date: 12 July 2018

Print name: Mathew Whyte

== == == == ==

• See chapter 19 for defined terms.

Appendix 3B Page 9

01/08/2012

Appendix 3B – Annexure 1

Calculation of placement capacity under rule 7.1 and rule 7.1A for +eligible entities

Introduced 01/08/12

Part 1

Rule 7.1 – Issues exceeding 15% of capital

Step 1: Calculate “A”, the base figure from which the placement capacity is calculated

Part 1	Part 1
Rule 7.1 – Issues exceeding 15% of capital
Step 1: Calculate “A”, the base figure from which the placement capacity is calculated
Insertnumber of fully paid ordinary securities on issue 12 months before date of issue or agreement to issue	57,900,000
Addthe following: • Number of fully paid ordinary securities issued in that 12 month period under an exception in rule 7.2 • Number of fully paid ordinary securities issued in that 12 month period with shareholder approval • Number of partly paid ordinary securities that became fully paid in that 12 month period Note: • Include only ordinary securities here – other classes of equity securities cannot be added • Include here (if applicable) the securities the subject of the Appendix 3B to which this form is annexed • It may be useful to set out issues of securities on different dates as separate line items	•194,000 (shares issued on 29/08/2017) •167,500 (shares issued on 03/10/2017) •196,075 (shares issued on 13/11/2017) •125,000 (shares issued on 19/12/2017) •354,500 (shares issued on 02/03/2018) •10,000 (shares issued on 17/04/2018) •245,000 shares issued on 12/07/2018) on exercise of Options (LR 7.2 exception 4) •6,250,000 (Shares issued under placement on 02/03/2018 ratified at EGM held on 17/4/2018); and •122,000 (Shares issued under SPP on 17/04/2018 ratified at EGM held on 17/04/2018) N/A
Subtractthe number of fully paid ordinary securities cancelled during that 12 month period	Nil
“A”	65,564,075

• See chapter 19 for defined terms.

Appendix 3B Page 10

01/08/2012

Step 2: Calculate 15% of “A”

Step 2: Calculate 15% of “A”	Step 2: Calculate 15% of “A”
“B”	[Note: this value cannot be changed]
Multiply“A” by 0.15	9,834,611
Step 3: Calculate “C”, the amount of placement capacity under rule 7.1 that has already been used
Insertnumber of equity securities issued or agreed to be issued in that 12 month period not counting_those issued: • Under an exception in rule 7.2 • Under rule 7.1A • With security holder approval under rule 7.1 or rule 7.4 _Note: • This applies to equity securities, unless specifically excluded – not just ordinary securities • Include here (if applicable ) the securities the subject of the Appendix 3B to which this form is annexed • It may be useful to set out issues of securities on different dates as separate line items	35,196 (shares issued on 19/12/2017)
“C”	35,196
Step 4: Subtract “C” from [“A” x “B”] to calculate remaining placement capacity under rule 7.1
“A” x 0.15 Note: number must be same as shown in Step 2	9,834,611
Subtract“C” Note: number must be same as shown in Step 3	35,196
Total[“A” x 0.15] – “C”	9,799,415 [Note: this is the remaining placement capacity under rule 7.1]

• See chapter 19 for defined terms.

Appendix 3B Page 11

01/08/2012

Part 2

Rule 7.1A – Additional placement capacity for eligible entities

Step 1: Calculate “A”, the base figure from which the placement capacity is calculated “A” 65,564,075 Note: number must be same as shown in Step 1 of Part 1

Step 2: Calculate 10% of “A”

“D” Note: this value cannot be changed

Multiply “A” by 0.10 6,556,408

Step 3: Calculate “E”, the amount of placement capacity under rule 7.1A that has already been used

Insert number of equity securities issued or Nil agreed to be issued in that 12- month period under rule 7.1A

Notes:

• This applies to equity securities – not just ordinary securities

• Include here – if applicable – the securities the subject of the Appendix 3B to which this form is annexed

• Do not include equity securities issued under rule 7.1 (they must be dealt with in Part 1), or for which specific security holder approval has been obtained

• It may be useful to set out issues of securities on different dates as separate line items

• “E” Nil

• See chapter 19 for defined terms.

Appendix 3B Page 12

01/08/2012

Step 4: Subtract “E” from [“A” x “D”] to calculate remaining placement capacity under rule 7.1A

Step 4: Subtract “E” from [“A” x “D”] to calculate remaining placement capacity under rule 7.1A	Step 4: Subtract “E” from [“A” x “D”] to calculate remaining placement capacity under rule 7.1A
“A” x 0.10 Note: number must be same as shown in Step 2	6,556,408
Subtract“E” Note: number must be same as shown in Step 3	Nil
Total[“A” x 0.10] – “E”	6,556,408 Note: this is the remaining placement capacity under rule 7.1A

• See chapter 19 for defined terms.

Appendix 3B Page 13

01/08/2012

Appendix 3Y Change of Director’s Interest Notice

Rule 3.19A.2

Appendix 3Y

Change of Director’s Interest Notice

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: AURORA LABS LIMITED

ABN 44 601 164 505

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	David James Budge
Date of last notice	29 November 2017

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.	Registered Holder: David James Budge ATF Family Trust> Relevant interest: Trustee & beneficiary
Date of change	12 July 2018
No. of securities held prior to change	1. 23,946,785 Ordinary Shares 2. 725,000 Options (Ex $0.20/Exp 31/12/2018) 3. 4,973,563 Class B Performance Shares 4. 5,341,975 Class C Performance Shares 5. 115,000 Options (Ex $2.23/ Exp 30/11/2019) 6. 165,000 Options (Ex $3.00/ Exp 31/03/2020) 7. 15,000 Options (Ex $0.79/Expiry 31/8/2020)
Class	1. Ordinary Shares 2. Unquoted Options (Ex$0.20/ Expiry 31/12/2018) 3. Class B Performance Shares 4. Class C Performance Shares 5. Unquoted Options (Ex $2.23/Expiry 30/11/2019 6. Unquoted Options (Ex $3.00/Expiry 31/3/2020) 7. Unquoted Options (Ex $0.79/Expiry 31/8/2020)

• See chapter 19 for defined terms.

01/01/2011

Appendix 3Y Page 1

Appendix 3Y Change of Director’s Interest Notice

Number acquired	N/A
Number disposed	Lapsed: 4,973,563 Class B Performance Shares
Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation	Automatic redemption of $0.00001 per Class B Performance Share ($49.73 in total)
No. of securities held after change	1. 23,946,785 Ordinary Shares 2. 725,000 Options (Ex $0.20/Exp 31/12/2018) 4. 5,341,975 Class C Performance Shares 5. 115,000 Options (Ex $2.23/ Exp 30/11/2019) 6. 165,000 Options (Ex $3.00/ Exp 31/03/2020) 7. 15,000 Options (Ex $0.79/ Exp 31/08/2020
Nature of change Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back	Lapse and automatic redemption of 4,973,563 Class B Performance Shares

Part 2 – Change of director’s interests in contracts

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	N/A
Nature of interest
Name of registered holder (if issued securities)
Date of change
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
Interest acquired
Interest disposed

• See chapter 19 for defined terms.

Appendix 3Y Page 2

01/01/2011

Appendix 3Y Change of Director’s Interest Notice

Value/Consideration Note: If consideration is non-cash, provide details and an estimated valuation Interest after change

Part 3 –[+] Closed period

Part 3 –+Closed period
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?	N/A
If prior written clearance was provided, on what date was this provided?	N/A

• See chapter 19 for defined terms.

01/01/2011

Appendix 3Y Page 3

Appendix 3Y Change of Director’s Interest Notice

Rule 3.19A.2

Appendix 3Y

Change of Director’s Interest Notice

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: AURORA LABS LIMITED

ABN: 44 601 164 505

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	John Nathan Henry
Date of last notice	29 November 2017

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 & Direct
Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest.		Registered Holder: Buttes Pty Ltd Relevant interest: Director
Date of change		12 July 2018
No. of securities held prior to change		Direct 1. 832,151 Ordinary Shares 2. 1,693,334 Unquoted Options (Ex $0.20/ Expiry 31/12/2018) 3. 172,832 Class B Performance Shares 4. 185,634 Class C Performance Shares Indirect 1. 150,000 Ordinary Shares 5. 140,000 Unquoted Options (Ex $2.23/Expiry 30/11/2019 6. 125,000 Unquoted Options (Ex $3.00/Expiry 31/3/2020) 7. 15,000 Unquoted Options (Ex $0.79/Expiry 31/08/2020

• See chapter 19 for defined terms.

01/01/2011

Appendix 3Y Page 1

Appendix 3Y Change of Director’s Interest Notice

Class		1. Ordinary Shares 2. Unquoted Options (Ex$0.20/ Expiry 31/12/2018) 3. Class B Performance Shares 4. Class C Performance Shares 5. Unquoted Options (Ex $2.23/Expiry 30/11/2019 6. Unquoted Options (Ex $3.00/Expiry 31/3/2020) 7. Unquoted Options (Ex $0.79/Expiry 31/8/2020)
Number acquired		N/A
Number disposed		Direct Lapsed: 172,832 Class B Performance Shares
Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation		Automatic redemption of $0.00001 per Class B Performance Share ($1.73 in total)
No. of securities held after change		Direct 1. 832,151 Ordinary Shares 2. 1,693,334 Options (Ex $0.20/Exp 31/12/2018) 4. 185,634 Class C Performance Shares Indirect 1. 150,000 Ordinary Shares 5. 140,000 Options (Ex $2.23/ Exp 30/11/2019) 6. 125,000 Options (Ex $3.00/Exp 31/03/2020) 7. 15,000 Unquoted Options (Ex $0.79/Expiry 31/08/2020
Nature of change Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back		Lapse and automatic redemption of 172,832 Class B Performance shares

Part 2 – Change of director’s interests in contracts

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	N/A
Nature of interest

• See chapter 19 for defined terms.

Appendix 3Y Page 2

01/01/2011

Appendix 3Y Change of Director’s Interest Notice

Name of registered holder (if issued securities) Date of change 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 Interest acquired Interest disposed Value/Consideration Note: If consideration is non-cash, provide details and an estimated valuation Interest after change

Part 3 –[+] Closed period

Part 3 –+Closed period
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?	N/A
If prior written clearance was provided, on what date was this provided?	N/A

• See chapter 19 for defined terms.

01/01/2011

Appendix 3Y Page 3