EXCELSIOR CAPITAL LTD — Director's Dealing 2020

Oct 26, 2020

Excelsior Capital Limited ABN 98 050 542 553 Level 29, Chifley Tower 2 Chifley Square, Sydney, NSW, 2000, Australia Telephone: (02) 9238 4267 Email: investor@excelsiorcapital.com.au www.cmilimited.com.au

27 October 2020

Australian Securities Exchange Exchange Centre 20 Bridge Street SYDNEY NSW 2000

ASX ANNOUNCEMENT

Excelsior Capital Limited (ASX: ECL)

NOTICE OF AMENDED APPENDIX 3Y’S

Excelsior Capital Limited (ASX:ECL) advises that the attached Appendix 3Y’s are amended.

The amendment relates to Part 1 (b) by changing the name of the entity the securities are held from, LJ Catelan Superannuation Fund Pty Ltd ATF LJ Catelan Superannuation Fund to Leanne Catelan Superannuation Pty Ltd ATF Leanne Catelan Superannuation Fund.

This announcement has been authorised for release to ASX by the Board.

-ENDS-

For further information, please contact:

Danny Herceg Non-executive Chairman +61 (02) 9238 4267

About Excelsior (ASX: ECL): Excelsior is a Listed Investment Entity, originally established in 1991, and listed on the ASX in 1993. Excelsior Capital Limited’s operations comprise the design and distribution of electrical components and cables for resource and infrastructure applications through its Electrical Division and a substantial investment portfolio.

Appendix 3Y Change of Director’s Interest Notice

Rule 3.19A.2

Amended 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 30/9/2001.

Name of entity Excelsior Capital Limited ABN 98 050 542 553

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	Leanne Catelan
Date of last notice	11/03/2016

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.	Securities held by: (a) Catelan Securities Pty Ltd ACN 156 174 300 ATF Catelan Securities Trust. Leanne Catelan is a substantial shareholder of Catelan Securities Pty Ltd and a beneficiary of Catelan Securities Trust. (b) Leanne Catelan Superannuation Pty Ltd ACN 124 587 686 ATF the Leanne Catelan Superannuation Fund. Leanne Catelan is a substantial shareholder of Leanne Catelan Superannuation Pty Ltd and a beneficiary of the Leanne Catelan Superannuation Fund.
Date of change	14 October 2019
No. of securities held prior to change	(a) 12,420,484 (b) 1,409,316 Total – 13,829,800
Class	Ordinary Shares

• See chapter 19 for defined terms.

Appendix 3Y Page 1

11/3/2002

Appendix 3Y Change of Director’s Interest Notice

Number acquired	(b) 50,000
Number disposed	Nil
Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation	(b) $58,000
No. of securities held after change	(a) 12,420,484 (b) 1,459,316 Total - 13,879,800
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 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	Nil
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 traded during No a[+] closed period where prior written clearance was required?

If so, was prior written clearance provided to allow the trade to proceed during this period? If prior written clearance was provided, on what date was this provided?

• See chapter 19 for defined terms.

Appendix 3Y Page 2

11/3/2002

Appendix 3Y Change of Director’s Interest Notice

Rule 3.19A.2

Amended 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 30/9/2001.

Introduced 30/9/2001.
Name of entity	Excelsior Capital Limited
ABN	98 050 542 553

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	Leanne Catelan
Date of last notice	14/10/2019

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.	Securities held by: (a) Catelan Securities Pty Ltd ACN 156 174 300 ATF Catelan Securities Trust. Leanne Catelan is a substantial shareholder of Catelan Securities Pty Ltd and a beneficiary of Catelan Securities Trust. (b) Leanne Catelan Superannuation Pty Ltd ACN 124 587 686 ATF the Leanne Catelan Superannuation Fund. Leanne Catelan is a substantial shareholder of Leanne Catelan Superannuation Pty Ltd and a beneficiary of the Leanne Catelan Superannuation Fund.
Date of change	10 and 12 March 2020
No. of securities held prior to change	(a) 12,420,484 (b) 1,459,316 Total – 13,879,800
Class	Ordinary Shares

• See chapter 19 for defined terms.

Appendix 3Y Page 1

11/3/2002

Appendix 3Y Change of Director’s Interest Notice

Number acquired	(b) 309,912
Number disposed	Nil
Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation	(b) $395,306
No. of securities held after change	(a) 12,420,484 (b) 1,769,228 Total – 14,189,712
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 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	Nil
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 traded during No a[+] closed period where prior written clearance was required?

If so, was prior written clearance provided to allow the trade to proceed during this period? If prior written clearance was provided, on what date was this provided?

• See chapter 19 for defined terms.

Appendix 3Y Page 2

11/3/2002

Appendix 3Y Change of Director’s Interest Notice

Rule 3.19A.2

Amended 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 30/9/2001.

Name of entity Excelsior Capital Limited ABN 98 050 542 553

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	Leanne Catelan
Date of last notice	13/03/2020

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.	Securities held by: (a) Catelan Securities Pty Ltd ACN 156 174 300 ATF Catelan Securities Trust. Leanne Catelan is a substantial shareholder of Catelan Securities Pty Ltd and a beneficiary of Catelan Securities Trust. (b) Leanne Catelan Superannuation Pty Ltd ACN 124 587 686 ATF the Leanne Catelan Superannuation Fund. Leanne Catelan is a substantial shareholder of Leanne Catelan Superannuation Pty Ltd and a beneficiary of the Leanne Catelan Superannuation Fund.
Date of change	16 and 17 March 2020
No. of securities held prior to change	(a) 12,420,484 (b) 1,769,228 Total – 14,189,712
Class	Ordinary Shares

• See chapter 19 for defined terms.

Appendix 3Y Page 1

11/3/2002

Appendix 3Y Change of Director’s Interest Notice

Number acquired	(b) 249,944
Number disposed	Nil
Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation	(b) $298,184
No. of securities held after change	(a) 12,420,484 (b) 2,019,172 Total – 14,439,656
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 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	Nil
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

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?
If prior written clearance was provided, on what date was this provided?

• See chapter 19 for defined terms.

Appendix 3Y Page 2

11/3/2002

Appendix 3Y Change of Director’s Interest Notice

Rule 3.19A.2

Amended 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 30/9/2001.

Name of entity Excelsior Capital Limited ABN 98 050 542 553

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	Leanne Catelan
Date of last notice	17/03/2020

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.	Securities held by: (a) Catelan Securities Pty Ltd ACN 156 174 300 ATF Catelan Securities Trust. Leanne Catelan is a substantial shareholder of Catelan Securities Pty Ltd and a beneficiary of Catelan Securities Trust. (b) Leanne Catelan Superannuation Pty Ltd ACN 124 587 686 ATF the Leanne Catelan Superannuation Fund. Leanne Catelan is a substantial shareholder of Leanne Catelan Superannuation Pty Ltd and a beneficiary of the Leanne Catelan Superannuation Fund.
Date of change	18 March 2020
No. of securities held prior to change	(a) 12,420,484 (b) 2,019,172 Total – 14,439,656
Class	Ordinary Shares

• See chapter 19 for defined terms.

Appendix 3Y Page 1

11/3/2002

Appendix 3Y Change of Director’s Interest Notice

Number acquired	(b) 15,000
Number disposed	Nil
Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation	(b) $17,325
No. of securities held after change	(a) 12,420,484 (b) 2,034,172 Total - 14,454,656
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 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	Nil
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

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?
If prior written clearance was provided, on what date was this provided?

• See chapter 19 for defined terms.

Appendix 3Y Page 2

11/3/2002

Appendix 3Y Change of Director’s Interest Notice

Rule 3.19A.2

Amended 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 30/9/2001.

Name of entity	Excelsior Capital Limited
ABN	98 050 542 553

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	Leanne Catelan
Date of last notice	23/03/2020

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.	Securities held by: (a) Catelan Securities Pty Ltd ACN 156 174 300 ATF Catelan Securities Trust. Leanne Catelan is a substantial shareholder of Catelan Securities Pty Ltd and a beneficiary of Catelan Securities Trust. (b) Leanne Catelan Superannuation Pty Ltd ACN 124 587 686 ATF the Leanne Catelan Superannuation Fund. Leanne Catelan is a substantial shareholder of Leanne Catelan Superannuation Pty Ltd and a beneficiary of the Leanne Catelan Superannuation Fund.
Date of change	25 March 2020
No. of securities held prior to change	(a) 12,420,484 (b) 2,034,172 Total – 14,454,656
Class	Ordinary Shares

• See chapter 19 for defined terms.

Appendix 3Y Page 1

11/3/2002

Appendix 3Y Change of Director’s Interest Notice

Number acquired	(b) 7,772
Number disposed	Nil
Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation	(b) $8,549
No. of securities held after change	(a) 12,420,484 (b) 2,041,944 Total - 14,462,428
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 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	Nil
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

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?
If prior written clearance was provided, on what date was this provided?

• See chapter 19 for defined terms.

Appendix 3Y Page 2

11/3/2002

Appendix 3Y Change of Director’s Interest Notice

Rule 3.19A.2

Amended 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 30/9/2001.

Name of entity	Excelsior Capital Limited
ABN	98 050 542 553

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	Leanne Catelan
Date of last notice	09/04/2020

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.	Securities held by: (a) Catelan Securities Pty Ltd ACN 156 174 300 ATF Catelan Securities Trust. Leanne Catelan is a substantial shareholder of Catelan Securities Pty Ltd and a beneficiary of Catelan Securities Trust. (b) Leanne Catelan Superannuation Pty Ltd ACN 124 587 686 ATF the Leanne Catelan Superannuation Fund. Leanne Catelan is a substantial shareholder of Leanne Catelan Superannuation Pty Ltd and a beneficiary of the Leanne Catelan Superannuation Fund.
Date of change	3 June 2020
No. of securities held prior to change	(a) 12,420,484 (b) 2,041,944 Total – 14,462,428
Class	Ordinary Shares

• See chapter 19 for defined terms.

Appendix 3Y Page 1

11/3/2002

Appendix 3Y Change of Director’s Interest Notice

Number acquired	(b) 98,674
Number disposed	Nil
Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation	(b) $113,475.10
No. of securities held after change	(a) 12,420,484 (b) 2,140,618 Total - 14,561,102
Nature of change Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back	Off-market trade

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	Nil
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 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?
If prior written clearance was provided, on what date was this provided?

• See chapter 19 for defined terms.

Appendix 3Y Page 2

11/3/2002