COMPLII FINTECH SOLUTIONS LTD — Director's Dealing 2023

Dec 13, 2023

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 Complii FinTech Solutions Ltd ABN 71 098 238 585

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 Craig Mason

Date of last notice 22 November 2023

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.	Marshall William Holdings Pty Ltd Mr Mason’s spouse is a director and sole shareholder of Marshall Williams Holdings Pty Ltd.
**Date of change **	14December 2023
No. of securities held prior to change	Indirect interests 36,700,000 fully paid ordinary shares (Shares) 5,220,527 options exercisable at $0.10 each on or before 31 December 2023 (Tranche 2 Options) 25,000,000 performance rights comprising seven classes which, subject to satisfaction of various performance milestones, will vest.

• See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 1

Appendix 3Y Change of Director’s Interest Notice

Class	Performance rights subject to the terms of the Performance Rights Plan which will vest subject to achievement of milestones prior to the expiry date of 14 December 2028.1
Number acquired	16,000,000
Number disposed	Nil
Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation	Non-cash consideration. The performance rights were issued as part of the long-term incentive structure of Mr Mason. Estimated value of $378,800 based on an independent valuation.
No. of securities held after change	Indirect interests 36,700,000 Shares 5,220,527 Tranche 2 Options 41,000,000 performance rights comprising eleven classes which, subject to satisfaction of various performance milestones,will vest.
Nature of change Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy- back	Issue of performance rights following receipt of shareholder approval at the Annual General Meeting held on 28 November 2023.

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	Not applicable
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
Value/Consideration Note: If consideration is non-cash, provide details and an estimated valuation
**Interest after change **

1 The terms and conditions of the performance rights were summarised in Schedule 1 to the Notice of Annual General Meeting released to ASX on 26 October 2023.

• See chapter 19 for defined terms.

Appendix 3Y Page 2

01/01/2011

Appendix 3Y Change of Director’s Interest Notice

Part 3 –[+] Closed period

art 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?	Not applicable
If prior written clearance was provided, on what date was this provided?	Not applicable

• 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 Complii FinTech Solutions Ltd ABN 71 098 238 585

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	Alison Sarich
Date of last notice	29 December 2022

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	Direct
Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest.	Not applicable
**Date of change **	14December 2023
No. of securities held prior to change	Direct interests 15,825,461 fully paid ordinary shares (Shares) 3,014,593 options exercisable at $0.10 each on or before 31 December 2023 (Tranche 2 Options) 9,000,000 performance rights comprising seven classes which, subject to satisfaction of various performance milestones, will vest. Indirect interests 2,512,971 Shares 837,657 Tranche 2 Options
Class	Performance rights subject to the terms of the Performance Rights Plan which will vest subject to achievement of milestones prior to the expiry date of 14December 2028.1

1 The terms and conditions of the performance rights were summarised in Schedule 1 to the Notice of Annual General Meeting released to ASX on 26 October 2023.

• See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 1

Appendix 3Y Change of Director’s Interest Notice

Number acquired	8,000,000
Number disposed	Nil
Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation	Non-cash consideration. The performance rights were issued as part of the long-term incentive structure of Ms Sarich. Estimated value of $189,400 based on an independent valuation.
No. of securities held after change	Direct interests 15,825,461 Shares 3,014,593 Tranche 2 Options 17,000,000 performance rights comprising eleven classes which, subject to satisfaction of various performance milestones, will vest. Indirect interests 2,512,971 Shares 837,657 Tranche 2 Options
Nature of change Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back	Issue of performance rights following receipt of shareholder approval at the Annual General Meetingheld on 28 November 2023.

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 Not applicable 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 Value/Consideration Note: If consideration is non-cash, provide details and an estimated valuation Interest after change

Part 3 –[+] Closed period

Were the interests in the securities or contracts detailed above No traded during a[+] closed period where prior written clearance was required?

• See chapter 19 for defined terms.

Appendix 3Y Page 2

01/01/2011

Appendix 3Y Change of Director’s Interest Notice

If so, was prior written clearance provided to allow the trade to Not applicable proceed during this period? If prior written clearance was provided, on what date was this Not applicable provided?

• 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 Complii FinTech Solutions Ltd ABN 71 098 238 585

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	Ian Steuart Roe
Date of last notice	12 September 2023

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	Direct
Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest.	Not applicable
**Date of change **	14December 2023
No. of securities held prior to change	Direct interests 11,103,435 fully paid ordinary shares (Shares) 4,145,590 options exercisable at $0.125 each on or before 31 August 2024 (Tranche 2 Registry Direct Options) 2,000,000 performance rights comprising one class which, subject to satisfaction of various performance milestones, will vest. Indirect interests 4,976,377 Shares 1,658,793 Tranche 2 Registry Direct Options

• See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 1

Appendix 3Y Change of Director’s Interest Notice

Class	Performance rights subject to the terms of the Performance Rights Plan which will vest subject to achievement of milestones prior to the expiry date of 14December 2028.1
Number acquired	2,000,000
Number disposed	Nil
Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation	Non-cash consideration. The performance rights were issued as part of the long-term incentive structure of Mr Roe. Estimated value of $70,000 based on an independent valuation.
No. of securities held after change	Direct interests 11,103,435 Shares 4,145,590 Tranche 2 Registry Direct Options 4,000,000 performance rights comprising three classes which, subject to satisfaction of various performance milestones, will vest. Indirect interests 4,976,377 Shares 1,658,793Tranche 2 RegistryDirect Options
Nature of change Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back	Issue of performance rights following receipt of shareholder approval at the Annual General Meetingheld on 28 November 2023.

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	Not applicable
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
Value/Consideration Note: If consideration is non-cash, provide details and an estimated valuation
**Interest after change **

1 The terms and conditions of the performance rights were summarised in Schedule 1 to the Notice of Annual General Meeting released to ASX on 26 October 2023.

• See chapter 19 for defined terms.

Appendix 3Y Page 2

01/01/2011

Appendix 3Y Change of Director’s Interest Notice

Part 3 –[+] Closed period

art 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?	Not applicable
If prior written clearance was provided, on what date was this provided?	Not applicable

• See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 3