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Immuron Ltd — Capital/Financing Update 2011
Nov 7, 2011
35121_rns_2011-11-07_13b4989a-1249-4336-97bc-c573f3b12c69.pdf
Capital/Financing Update
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ABN: 80 063 114 045 Level 1, 39 Leveson Street North Melbourne, Vic 3051 Tel: +61 3 8637 1107 Fax: +61 3 9328 1675 www.immuron.com
8 November 2011
The Manager The Company Announcement Officer Australian Securities Exchange Sydney NSW 2000
Dear Sir
Non-renounceable Rights Issue
Following our announcement on 4 November re the outcome of the Non-renounceable Rights Issue, we advise that the shares and options have now been allotted and attach the following reports summarising the securities on issue as at the completion of the issue:
-
Appendix 3B.
-
Listing of top 20 shareholders.
-
Listing of top 20 option holders.
-
Spread of shareholdings.
-
Spread of option holders.
The Directors were pleased to note that our major shareholder and research partner in Israel, Hadassah Medical Center, through its technology transfer arm, Hadasit Medical Research Services & Development Ltd, subscribed for a significant portion of their entitlement under the rights issue.
Yours faithfully
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Graeme Stevens Company Secretary
1
Appendix 3B New issue announcement
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 1/7/96. Origin: Appendix 5. Amended 1/7/98, 1/9/99, 1/7/2000, 30/9/2001, 11/3/2002, 1/1/2003, 24/10/2005.
Name of entity
Immuron Limited
ABN
80 063 114 045
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) |
Ordinary shares and options |
|---|---|
| 7,613,663 shares. 2,537,944 options. |
|
| Shares issued as fully paid ordinary shares. The options are exercisable at any time prior to 15 December 2013 and have an exercise price of $0.12 |
- See chapter 19 for defined terms.
24/10/2005 Appendix 3B Page 1
Appendix 3B New issue announcement
- 4 Do the[+] securities rank equally in all respects from the date of allotment with an existing[+] class of quoted +securities?
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
5 Issue price or consideration Total consideration for the shares and options was $532,956.59 6 Purpose of the issue (If issued as consideration for the The funds raised are for working capital purposes and were acquisition of assets, clearly identify issued under the Non Renounceable rights issue to sharehold those assets) in accordance with the Offer Document dated 11 August 201 7 Dates of entering[+] securities into uncertificated holdings or despatch 8 November 2011 of certificates Number +Class 8 Number and +class of all 340,708,463 Ordinary shares +securities quoted on ASX ( including the securities in clause 2,537,944 Options expiring 15 December 2 if applicable) 2013
- See chapter 19 for defined terms.
24/10/2005
Appendix 3B Page 2
Appendix 3B New issue announcement
| 9 Number and +class of all +securities not quoted on ASX (_including_the securities in clause 2 if applicable) 10 Dividend policy (in the case of a trust, distribution policy) on the increased capital (interests) |
Number | +Class |
|---|---|---|
| 500,000 750,000 2,657,143 658,785 2,460,000 |
Options IMCJB1 Expiring 31 January 2012 Options IMCJB2 Expiring 31 May 2013 Options IMCAM Expiring 31 May 2012 Options IMCAJ Expiring 30 June 2012 Options IMCAA Expiring 31 August 2012 |
|
| Not applicable. |
Part 2 - Bonus issue or pro rata issue
11 Is security holder approval required? 12 Is the issue renounceable or nonrenounceable? 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.
- See chapter 19 for defined terms.
Appendix 3B Page 3
1/1/2003
Appendix 3B New issue announcement
| 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 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? |
|
|---|---|
- See chapter 19 for defined terms.
Appendix 3B Page 4
1/1/2003
Appendix 3B New issue announcement
32 How do[+] security holders dispose of their entitlements (except by sale through a broker)?
33 +Despatch date
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 ) Ordinary shares, and Options expiring 15 December 2013.
(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 setting out the number of holders in the categories[+] securities are[+] equity securities, a distribution schedule of the additional 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
- See chapter 19 for defined terms.
Appendix 3B Page 5
1/1/2003
Appendix 3B New issue announcement
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 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) |
||
|---|---|---|
| Number | +Class | |
- See chapter 19 for defined terms.
Appendix 3B Page 6
1/1/2003
Appendix 3B New issue announcement
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: ......Date: 8 November 2011 ........................
Print name: Graeme Stevens Company Secretary .........................................................
- See chapter 19 for defined terms.
24/10/2005 Appendix 3B Page 7
CER/COMPUTERSHARE INVESTOR SERVICES PTY LTD *** T O P 2 0 H O L D E R S *** (RSP520:11.21:081111)
IMMURON LIMITED/IMC RUN NUMBER 2700 08/11/2011 A.C.N. 063 114 045 PAGE : 1
CLASS GROUP: *G0/ISSUED CAPITAL SHARES
HOLDER NO NAME AND ADDRESS UNITS % I/C RANK
HADASIT MEDICAL RESEARCH 59,164,094 17.37 1
SERVICES & DEVELOPMENT LTD
CAPITAL CONCERNS PTY LIMITED 14,627,723 4.29 2
<LOGUE FAMILY SUPER FUND A/C>
DRILL INVESTMENTS PTY LTD 13,300,000 3.90 3
ALAVEN CONSUMER HEALTHCARE INC 9,017,229 2.65 4
MR JAMES BARRY DRILL & 8,700,000 2.55 5
MRS ELIZABETH CURTIS DRILL
RAKIO PTY LTD 5,750,168 1.69 6
<PIEKARSKI FOOTSCRAY A/C>
MR MARK HENRY COOMBE-TENNANT 5,750,000 1.69 7
HALLAM DRAINAGE PTY LTD 5,700,000 1.67 8
MR DAVID A HAMILTON 4,795,043 1.41 9
BLAU HOLDINGS PTY LTD 4,740,000 1.39 10
MR SAMUEL CYRIL DRIVER & 3,288,640 0.97 11
MRS JOANNE LEONIE DRIVER
<S C DRIVER SUPER FUND A/C>
DR RUSSELL KAY HANCOCK 3,000,000 0.88 12
DR KUEN SENG CHAN 2,272,621 0.67 13
TSAR SUPERANNUATION NOMINEES 2,153,846 0.63 14
PTY LTD
MRS KIMBERLEY MUSTOW 2,147,244 0.63 15
<THE MFT NO 1 FAMILY A/C>
MR ALI SALKO 2,050,718 0.60 16
MRS MARIA LORANDI 2,050,000 0.60 17
SALMON INVESTMENTS PTY 2,028,255 0.60 18
LIMITED
<SALMON INVESTMENTS A/C>
MR PETER MCCLURE & 2,000,000 0.59 19
MRS DENISE MCCLURE
<PETER MCCLURE S/F A/C>
TATURA MILK INDUSTRIES LIMITED 2,000,000 0.59 20
CER/COMPUTERSHARE INVESTOR SERVICES PTY LTD *** T O P 2 0 H O L D E R S *** (RSP520:11.21:081111)
IMMURON LIMITED/IMC RUN NUMBER 2700 08/11/2011 A.C.N. 063 114 045 PAGE : 2
CLASS GROUP: *G0/ISSUED CAPITAL SHARES
HOLDER NO NAME AND ADDRESS UNITS % I/C RANK
*** REPORT TOTAL *** 154,535,581 45.36
*** REMAINDER *** 186,172,882 54.64
-----------------------
*** GRAND TOTAL *** 340,708,463 100.00
------------------------------------------------------------------------------------------------------------------------------------
TOTAL CURRENT HOLDERS MEETING CRITERIA FOR THIS REPORT: 1859
------------------------------------------------------------------------------------------------------------------------------------
CER/COMPUTERSHARE INVESTOR SERVICES PTY LTD *** T O P 2 0 H O L D E R S *** (RSP520:10.23:081111)
IMMURON LIMITED/IMC RUN NUMBER 2700 08/11/2011 A.C.N. 063 114 045 PAGE : 1
CLASS: OPT/OPTIONS EXP 15/12/13 @ $0.12
HOLDER NO NAME AND ADDRESS UNITS % I/C RANK
HADASIT MEDICAL RESEARCH 893,357 35.20 1
SERVICES & DEVELOPMENT LTD
RBC DEXIA INVESTOR SERVICES 106,667 4.20 2
AUSTRALIA NOMINEES PTY LIMITED
<MLCI A/C>
YIMBOON PTY LTD 100,000 3.94 3
<STEVENS RETIREMENT FUND A/C>
MR JOHN SPEEDIE 88,172 3.47 4
KROEGER ENTERPRISES PTY LTD 72,528 2.86 5
<KEVT UNIT A/C>
R B KEENAN SUPERANNUATION PTY 71,433 2.81 6
LTD
<R B KEENAN SUPER FUND A/C>
ROGER GEORGE DAVIS 66,667 2.63 7
MR LLOYD D'SOUZA 59,167 2.33 8
MR DONALD LOGAN & 58,718 2.31 9
MR DAVID LOGAN
<SWANHILL COMPSERV P/L A/C>
MRS MARIA LORANDI 50,385 1.99 10
DEAVIN FAMILY SUPER FUND PTY 40,100 1.58 11
LTD
<DEAVIN FAMILY S/F A/C>
PASTIS PTY LTD 37,911 1.49 12
<SUPERANNUATION FUND A/C>
MR KEITH PETER GUINEY & 36,667 1.44 13
MR CHRISTOPHER PETER
MCLOUGHLIN
A S MUNN (CONSULTANTS) 33,334 1.31 14
PTY LTD
<SUPER FUND ACCOUNT>
CHRIS ROBERTS ENTERPRISES PTY 33,334 1.31 15
LTD
<NASON SUPER FUND A/C>
EXEC FACTOR PTY LTD 33,334 1.31 16
PERPETUAL TRUSTEE COMPANY 28,510 1.12 17
CER/COMPUTERSHARE INVESTOR SERVICES PTY LTD *** T O P 2 0 H O L D E R S *** (RSP520:10.23:081111)
IMMURON LIMITED/IMC RUN NUMBER 2700 08/11/2011 A.C.N. 063 114 045 PAGE : 2
CLASS: OPT/OPTIONS EXP 15/12/13 @ $0.12
HOLDER NO NAME AND ADDRESS UNITS % I/C RANK
LIMITED
SPRINGFIELD (PT) PTY LTD 26,667 1.05 18
<TOMAMICHEL FAMILY A/C>
MRS GLORIA FAY CHAPMAN & 26,048 1.03 19
MR ATHOL MURRAY CHAPMAN
<GF & AM CHAPMAN S/F A/C>
MR DONALD ALEXANDER LOGAN 25,385 1.00 20
<SHCS SUPER A/C>
*** REPORT TOTAL *** 1,888,384 74.41
*** REMAINDER *** 649,560 25.59
-----------------------
*** GRAND TOTAL *** 2,537,944 100.00
------------------------------------------------------------------------------------------------------------------------------------
TOTAL CURRENT HOLDERS MEETING CRITERIA FOR THIS REPORT: 175
------------------------------------------------------------------------------------------------------------------------------------
CER/COMPUTERSHARE INVESTOR SERVICES PTY LTD *** Range Of Units Summary ORD RE1 N/C *** (RSP510:11.22:081111)
IMMURON LIMITED/IMC RUN NUMBER 2700 08/11/2011 A.C.N. 063 114 045 PAGE : 1
1 1001 5001 10001 100001 * TOTAL *
to to to to to
1000 5000 10000 100000 (MAX)
*G0 /ISSUED CAPITAL SHARES
Holders
Issuer 36 173 120 217 95 641
Chess 55 185 146 471 361 1218
Total 91 358 266 688 456 1859
Units
Issuer 23849 535593 1032242 7723437 120027299 129342420
Chess 27344 572696 1274155 21213382 188278466 211366043
Total 51193 1108289 2306397 28936819 308305765 340708463
TOTAL HOLDERS FOR CLASSES SELECTED 1859
TOTAL UNITS " " " 340708463
CER/COMPUTERSHARE INVESTOR SERVICES PTY LTD *** Range Of Units Summary OPT ***
(RSP510:10.25:081111)
IMMURON LIMITED/IMC RUN NUMBER 2700 08/11/2011 A.C.N. 063 114 045 PAGE
: 1
1 1001 5001 10001 100001 * TOTAL *
to to to to to
1000 5000 10000 100000 (MAX)
OPT /OPTIONS EXP 15/12/13 @ $0.12
Holders
Issuer 25 10 3 8 1 47
Chess 44 34 18 31 1 128
Total 69 44 21 39 2 175
Units
Issuer 10243 27033 24346 257654 893357 1212633
Chess 16230 83883 134461 984070 106667 1325311
Total 26473 110916 158807 1241724 1000024 2537944
TOTAL HOLDERS FOR CLASSES SELECTED 175
TOTAL UNITS " " " 2537944