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DATADOT TECHNOLOGY LIMITED Capital/Financing Update 2017

Aug 23, 2017

64764_rns_2017-08-23_3d2f0a55-2b77-4e14-9000-1a088b9112ae.pdf

Capital/Financing Update

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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, 04/03/13

Date: 24 August 2017

DataDot Technology Limited

ABN: 54 091 908 726

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 (e.g. 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 +issue date 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

  • 5 Issue price or consideration

Ordinary Shares Issue of 40,316,032 Loan Scheme Ordinary Shares Cancellation of 38,000,000 Employee Share Options Fully Paid Ordinary Shares issued under Company Share Loan Scheme to three key management personnel. Shares are issued at 2.7c/share. The executives have been granted a loan for the face value and may not deal with the shares until they have vested, over three annual tranches; and until the loan for their purchase is repaid. The Share Loan Scheme ordinary shares for the three key management personnel replace the cancelled Employee Share Options Yes $0.027 per share

6
Purpose of the issue
(If issued as consideration for the acquisition of assets,
clearly identify those assets)
6a
Is the entity an+eligible entity 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 resolution under rule 7.1A
was passed
6c
Number of+securities issued without security holder
approval under rule 7.1
6d
Number of+securities issued with security holder
approval under rule 7.1A
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.
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
+Issue dates
Note: The issue date may be prescribed by ASX (refer to
the definition of issue date in rule 19.12). For example,
the issue date for a pro rata entitlement issue must
comply with the applicable timetable in Appendix 7A.
Cross reference: item 33 of Appendix 3B.
Shares are issued under a Board approved
senior executive incentive scheme to align
senior executive interests with shareholder
interests and to provide a positive incentive to
our senior executives’ performance.
No
N/A
22 August 2017
  • See chapter 19 for defined terms.

Appendix 3B Page 2

04/03/2013

  • 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)

Number +Class
770,290,319 Listed Ordinary Shares
Number +Class
40,316,032
2,000,000
(No change)
4,000,000
6,000,000
3,000,000
3,000,000

Ordinary Shares
Escrowed Unlisted Share
Loan scheme shares.
Share Rights
(DDTSR-6)
Share Options
(DDTSO-1)
(DDTSO-5)
(DDTSO-7)
(DDTSO-8)
  • 10 Dividend policy (in the case of a trust, distribution policy) on the increased capital (interests)

  • N/A

Part 2 - Pro rata issue

Not Applicable to 22 August 2017 issue

  • 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 offer documents

  • Note: Security holders must be told how their entitlements are to be dealt with. Cross reference: rule 7.7.

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 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 offer documents 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 +Issue date

Part 3 - Quotation of securities

Not Applicable to 22 August 2017 issue

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

  • 34 Type of[+] securities – Not Applicable ( tick one )

  • (a) +Securities described in Part 1

  • (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
  • See chapter 19 for defined terms.

Appendix 3B Page 4

04/03/2013

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)

  • 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 +issue date 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)

Number +Class

  • 42 Number and[+] class of all[+] securities quoted on ASX ( including the[+] securities in clause 38)

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 is not available now, we 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.

==> picture [118 x 79] intentionally omitted <==

Sign here:

Date: 24 August 2017

Company Secretary Print name: Patrick Raper

  • See chapter 19 for defined terms.

Appendix 3B Page 6

04/03/2013

Appendix 3B – Annexure 1

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

Introduced 01/08/12 Amended 04/03/13

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 the+issue date or date of agreement to issue
761,674,461
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
0
0
• It may be useful to set out issues of securities on different
dates as separate line items
Subtractthe number of fully paid+ordinary securities
cancelled during that 12 month period
0
“A” 761,674,461
Step 2: Calculate 15% of “A”
“B” 0.15
[Note: this value cannot be changed]
Multiply“A” by 0.15 114,251,169
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
Subtractthe number of fully paid+ordinary securities 0
cancelled during that 12 month period
“A” 761,674,461
Step 2: Calculate 15% of “A”
“B” 0.15
[Note: this value cannot be changed]
Multiply“A” by 0.15 114,251,169
  • See chapter 19 for defined terms.

Appendix 3B Page 7

04/03/2013

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

Step 3: Calculate “C”, the amount of placement capacity under rule 7.1 that has
already been used
Step 3: Calculate “C”, the amount of placement capacity under rule 7.1 that has
already been used
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
48,931,890
0
“C” 48,931,890
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
114,251,169
Subtract“C”
Note: number must be same as shown in Step 3
48,931,890
Total[“A” x 0.15] – “C” 65,319,279
[Note: this is the remaining
placement capacity under rule
7.1]

Part 2 Not applicable

Rule 7.1A – Additional placement capacity for eligible entities

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

“A” Note: number must be same as shown in Step 1 of Part 1

Step 2: Calculate 10% of “A”

0.10 “D”

  • See chapter 19 for defined terms.

Appendix 3B Page 8

04/03/2013

Note: this value cannot be changed

Multiply “A” by 0.10

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 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”

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

Subtract “E”

Note: number must be same as shown in Step 3

Total [“A” x 0.10] – “E”

Note: this is the remaining placement capacity under rule 7.1A

  • See chapter 19 for defined terms.

Appendix 3B Page 9

04/03/2013