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HARTSHEAD RESOURCES NL Share Issue/Capital Change 2017

Dec 6, 2017

65052_rns_2017-12-06_7fa02b1c-c69a-44e7-b6da-9da96f4d86f4.pdf

Share Issue/Capital Change

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7 December 2017

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ASX Code: PVD

Appendix 3B and Appendix 3Y’s

Pura Vida Energy NL ( Pura Vida or Compan y) (ASX:PVD) submits an Appendix 3B and Appendix 3Y’s in relation to the issue of securities, as resolved by shareholders at the 2017 Annual General Meeting held on 30 November 2017.

Yours faithfully

Kevin Hart Company Secretary

Subscribe to FRONTIER - FRONTIER is the fastest way to receive breaking news about Pura Vida. To subscribe to our email alert service, FRONTIER , visit our website at www.puravidaenergy.com.au

CONTACT Simon Eley, w: +61 8 9226 2011 e: [email protected]

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

Name of entity

PURA VIDA ENERGY NL

ABN

11 150 624 169

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)
a) Ordinary Fully Paid Shares
b) Unlisted options
a) 1,302,726
b) 12,000,000
a) n/a
b) Unlisted options exercisable at $0.065
expiring 30 November 2019.
  • See chapter 19 for defined terms.

Appendix 3B Page 1

04/03/2013

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
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
a) yes
b) Upon exercise the shares issued will
rank equally with those already on
issue
a) In lieu of $50,000 outstanding Director
Fees
b) Nil consideration
Issued pursuant to resolution of shareholders
at the 2017 Annual General Meeting held on
30 November 2017
Yes
30 November 2017
Nil
Nil
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
+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.
8
Number
and
+class
of
all
+securities
quoted
on
ASX
(including
the
+securities
in
section 2 if applicable)
Nil
a) 1,302,726 ordinary fully paid shares
b) 12,000,000 unlisted options
Nil
a) 1,302,726 ordinary fully paid shares
b) 12,000,000 unlisted options

n/a
n/a
Refer Annexure 1

5 December 2017
Number +Class
261,386,330 Ordinary fully paid
  • See chapter 19 for defined terms.

Appendix 3B Page 3

04/03/2013

9 Number and +class of all 10,428,550 Unquoted Partly Paid +securities not quoted on ASX Shares ( including the +securities in section 2 if applicable) 621,101 Performance rights expiring 30 June 2018 12,000,000 Unlisted options exercisable at $0.065 expiring 30 November 2019 10 Dividend policy (in the case of a There is currently no dividend policy in place trust, distribution policy) on the for the Company increased capital (interests)

Part 2 - Pro rata 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.
19
Closing
date
for
receipt
of
acceptances or renunciations
n/a
n/a
n/a
n/a
n/a
n/a
n/a
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)?
n/a
n/a
n/a
n/a
n/a
n/a
n/a
n/a
n/a
n/a
n/a
n/a
n/a
  • See chapter 19 for defined terms.

Appendix 3B Page 5

04/03/2013

33 +Issue date

n/a

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

  • (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)

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

  • See chapter 19 for defined terms.

Appendix 3B Page 7

04/03/2013

  • 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.

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Sign here: .......................................................... Date: 7 December 2017 (Director/Company secretary)

Print name: .............. .KEVIN HART....... ................................... == == == == ==

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

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----- Start of picture text -----

Insert number of fully paid [+] ordinary 259,633,604
securities on issue 12 months before the
+ issue date or date of agreement to issue
Add the following:
• Number of fully paid [+] ordinary securities
issued in that 12-month period under an
exception in rule 7.2 450,000 (5 July 2017) Retention Rights vested
• Number of fully paid [+] ordinary securities 1,302,726 (5 December 2017) Issued in lieu of
issued in that 12-month period with Director Fees per 2017 AGM
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
Subtract the number of fully paid [+] ordinary -
securities cancelled during that 12-month
period
“A” 261,386,330
----- End of picture text -----

  • See chapter 19 for defined terms.

Appendix 3B Page 9

04/03/2013

Step 2: Calculate 15% of “A”

0.15

“B” 0.15 [Note: this value cannot be changed] Multiply “A” by 0.15 39,207,950

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

Insert number 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

  • “C” -

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

“A” x 0.15

39,207,950

Note: number must be same as shown in Step 2

Subtract “C”

Note: number must be same as shown in - Step 3 Total [“A” x 0.15] – “C” 39,207,950

Total [“A” x 0.15] – “C”

[Note: this is the remaining placement capacity under rule 7.1]

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” 261,386,330 Note: number must be same as shown in Step 1 of Part 1 Step 2: Calculate 10% of “A” “D” 0.10 Note: this value cannot be changed Multiply “A” by 0.10 26,138,633 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 0 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” 0

  • See chapter 19 for defined terms.

Appendix 3B Page 11

04/03/2013

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
26,138,633
Subtract“E”
Note: number must be same as shown in
Step 3
0
Total[“A” x 0.10] – “E” 26,138,633
Note: this is the remaining placement capacity
under rule 7.1A

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 Pura Vida Energy NL

ABN 11 150 624 169

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 Sanders
Date of last notice 27 October 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 Direct
Nature of indirect interest
(including registered holder)
Note: Provide details of the circumstances giving rise to the relevant interest.
Date of change 5 December 2017
No. of securities held prior to change Nil
Class Unlisted options exercisable at $0.065,
expiring 30 November 2019
Number acquired 4,000,000
Number disposed nil
Value/Consideration
Note: If consideration is non-cash, provide details and estimated valuation
nil
  • See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 1

Appendix 3Y Change of Director’s Interest Notice

No. of securities held after change 4,000,000 Unlisted options exercisable at
$0.065, expiring 30 November 2019
Nature of change
Example: on-market trade, off-market trade, exercise of options, issue of
securities under dividend reinvestment plan, participation in buy-back
Issued pursuant to resolution of
shareholders at the 2017 Annual General
Meetingheld on 30 November 2017

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

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.

Appendix 3Y Page 2

01/01/2011

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 Pura Vida Energy NL

ABN 11 150 624 169

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 Nathan Lude
Date of last notice 14 June 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.
Advantage Management Pty Ltd Management A/C>
Lude Investment Holdings Pty Ltd
Lude Nominees Pty Ltd Superfund A/C>
Harnat Nominees Pty Ltd
Date of change 5 December 2017
  • See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 1

Appendix 3Y Change of Director’s Interest Notice

No. of securities held prior to change Advantage Management Pty Ltd Management\
A/C>
4,199,512
ordinary
shares
Lude Investment Holdings Pty Ltd
19,303 ordinary shares
Lude Nominees Pty Ltd Superfund A/C> 800,000 ordinary shares
Class a) Ordinary shares
b) Unlisted
options
exercisable
at
$0.065, expiring 30 November 2019
Number acquired a) 1,302,726
b) 4,000,000
Number disposed nil
Value/Consideration
Note: If consideration is non-cash, provide details and estimated valuation
a) In lieu of $50,000 outstanding Director
Fees
b) Nil
No. of securities held after change Advantage Management Pty Ltd Management\
A/C>
5,502,238
ordinary
shares
Advantage Management Pty Ltd Management\
A/C>
4,000,000
Unlisted
options exercisable at $0.065 expiring 30
November 2019.
Lude Nominees Pty Ltd Superfund A/C> 800,000 ordinary shares
Harnat Nominees Pty Ltd
19,303 ordinary shares_(transferred from_
Lude Investment Holdings Pty Ltd)
Nature of change
Example: on-market trade, off-market trade, exercise of options, issue of
securities under dividend reinvestment plan, participation in buy-back
Issued
pursuant
to
resolution
of
shareholders at the 2017 Annual General
Meetingheld on 30 November 2017
  • See chapter 19 for defined terms.

Appendix 3Y Page 2

01/01/2011

Appendix 3Y Change of Director’s Interest Notice

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

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 Pura Vida Energy NL

ABN 11 150 624 169

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 Simon Eley
Date of last notice 27 October 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.
CS Logistics Pty Ltd
Date of change 5 December 2017
No. of securities held prior to change Nil
Class Unlisted options exercisable at $0.065,
expiring 30 November 2019
Number acquired 4,000,000
Number disposed nil
Value/Consideration
Note: If consideration is non-cash, provide details and estimated valuation
nil
  • See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 1

Appendix 3Y Change of Director’s Interest Notice

No. of securities held after change CS Logistics Pty Ltd

4,000,000 Unlisted options exercisable at
$0.065, expiring 30 November 2019
Nature of change
Example: on-market trade, off-market trade, exercise of options, issue of
securities under dividend reinvestment plan, participation in buy-back
Issued pursuant to resolution of
shareholders at the 2017 Annual General
Meetingheld on 30 November 2017

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

Part 3 –[+] Closed period

Were the interests in the securities or contracts detailed No above traded during a[+] closed period where prior written clearance was required? If so, was prior written clearance provided to allow the trade N/A to proceed during this period? If prior written clearance was provided, on what date was this N/A provided?

  • See chapter 19 for defined terms.

Appendix 3Y Page 2

01/01/2011