Immuron Ltd — Regulatory Filings 2021

Oct 26, 2021

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Amended Appendix 3H

Melbourne, Australia, October 27, 2021: Immuron Limited (ASX: IMC; NASDAQ: IMRN), submits the attached Appendix 3H to replace the Appendix 3H released on 26 October 2021 due to an administrative error in the original.

Phillip Hains Company Secretary

www.immuron.com

Level 3, 62 Lygon Street, Carlton South, Victoria AUSTRALIA 3053

Phone: + 61 (0)3 9824 5254 Facsimile: + 61 (0)3 9822 7735

ABN: 80 063 114 045

This appendix is available as an online form Only use this form if the online version is not available

+Rule 3.10.3E

Appendix 3H

Notification of cessation of +securities

Information and documents given to ASX become ASX’s property and may be made public. * Denotes minimum information required for first lodgement of this form.

Part 1 – Entity and announcement details

Question no	Question	Answer
1.1	*Name of entity We (the entity named above) provide the following information about our issued capital.1	IMMURON LIMITED
1.2	*Registration type and number Please supply your ABN, ARSN, ARBN, ACN or another registration type and number (if you supply another registration type, please specify both the type of registration and the registration number).	ABN 80 063 114 045
1.3	*ASX issuer code	IMC
1.4	*The announcement is Select whichever is applicable.	☐ New announcement ☒ Update/amendment to previous announcement ☐ Cancellation of previous announcement
1.4a	*Reason for update Answer this question if your response to Q 1.4 is “Update/amendment to previous announcement”.	Correction to remove IMCAD options incorrectly reported as having lapsed
1.4b	*Date of previous announcement to this update Answer this question if your response to Q 1.4 is “Update/amendment to previous announcement”.	26 October 2021
1.4c	*Reason for cancellation Answer this question if your response to Q 1.4 is “Cancellation of previous announcement”.	n/a
1.4d	*Date of previous announcement to this cancellation Answer this question if your response to Q 1.4 is “Cancellation”.	n/a
1.5	*Date of this announcement	27 October 2021

• 1 Listing rule 3.10.3E requires an entity to notify ASX of details of the cessation of:

• (a) any securities issued under an employee incentive scheme:

  • (i) to key management personnel or an associate, within 5 business days of their cessation;

  • (ii) to someone who is not key management personnel or an associate, within 10 business days of the end of the quarter in which the cessation occurred;

• (b) any other equity securities not otherwise notifiable to ASX under rule 3.8A, within 5 business days of their cessation; or

• (c) any quoted debt securities, within 5 business days of their cessation.

The notification must be in the form of, or accompanied by, an Appendix 3H.

• Listing rule 3.8A requires an entity to notify ASX of the cessation of securities pursuant to a buy-back by giving ASX an Appendix 3H:

• in the case of a minimum holding buy-back, within 5 business days of the completion of the buyback; or

• in all other cases, within 5 business days of giving ASX the final notice for the buy-back.

• • See chapter 19 for defined terms

5 June 2021

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This appendix is available as an online form

Appendix 3H Notification of cessation of +securities

Part 2 – Details of +equity securities or quoted +debt securities that have ceased

Part 2 –	Details of +equity securities or have ceased	quoted +debt securities that
Question No.	Question	Answer
2.1	*ASX +security code and description	IMCOA: OPTION EXPIRING 30-APR- 2015 IMCAI: OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES
2.2	*Number of securities that have ceased	IMCOA: 2,899,197 IMCAI: 1,200,000
2.3	*Reason for cessation Note: the conversion of a convertible security (which is notifiable to ASX under Listing Rule 3.10.3B) is not regarded as the “cessation” of the convertible security for the purposes of this rule. Likewise, the payment up of a partly paid security resulting in it becoming a fully paid security (which is notifiable to ASX under Listing Rule 3.10.3D) is not regarded as the “cessation” of the partly paid security for the purposes of this rule.	☒ Expiry of option or other convertible security without exercise or conversion ☐ Lapse of conditional right to securities because the conditions have not been, or have become incapable of being, satisfied ☐ Cancellation pursuant to a minimum holding buy-back ☐ Cancellation pursuant to an employee share scheme buy-back ☐ Cancellation pursuant to an on-market buy-back ☐ Cancellation pursuant to an equal access scheme buy-back ☐ Cancellation pursuant to a selective buy-back ☐ Cancellation pursuant to another form of buy back ☐ Cancellation pursuant to a reduction of capital ☐ Cancellation pursuant to a scheme of arrangement or other reconstruction ☐ Cancellation by agreement between the entity and the holder ☐ Repayment or redemption of +convertible debt security without conversion ☐ Repayment or redemption of quoted +debt security ☐Redemption of redeemable preference securities ☐ Redemption of units ☐Cancellation of partly paid +securities upon which a call or instalment has not been paid

• See chapter 19 for defined terms

5 June 2021

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This appendix is available as an online form

Appendix 3H Notification of cessation of +securities

		Notification of cessation of +securities
		☐ Other If you have selected ‘other’ please provide additional details regarding the reason for cessation here:
2.4	*Date of cessation	IMCOA: 30/04/2015 IMCAI: 01/07/2021
2.5	*Is the entity paying any consideration for the cessation? Example: the payment of an amount to the holder of an option or right as consideration for the holder to agree to a cancellation of the option or right. The repayment of the principal amount of a convertible debt security or quoted debt security in accordance with its terms is not regarded as consideration paid for the cessation of that security.	No
2.6	*In what currency is the consideration being paid? Answer this question if your response to Q 2.5 is “Yes”	n/a
2.6a	*Consideration amount per +security paid by the entity for the cessation Answer this question if your response to Q 2.5 is “Yes” The consideration amount per security should be provided per the currency specified in Q2.6. Note: This question isnot applicable for buy-back events (i.e. Minimum Holding, Employee, On-Market, Equal Access, Selective),	n/a
2.6b	*Total consideration paid or payable for the securities The total consideration amount should be provided per the currency specified in Q2.6. Note: This questionisapplicable to buy-back events only (i.e. minimum holding, employee share scheme, on-market, equal access scheme, selective or other),	n/a
2.7	Any other information the entity wishes to notify to ASX about the cessation?	No

Repeat the above questions if you are advising the cessation of more than one security class.

• See chapter 19 for defined terms 5 June 2021

Page 3

This appendix is available as an online form

Appendix 3H Notification of cessation of +securities

Part 3 – Issued capital following changes

Part 3 – Issued capital following changes	Part 3 – Issued capital following changes	Part 3 – Issued capital following changes	Part 3 – Issued capital following changes	Part 3 – Issued capital following changes
Following the cessation of the +securities the subject of this notification, the issued capital of the entity will comprise:
3.1		*Quoted +equity securities and +debt securities(total number of each +class of +securities quoted on ASX) ASX +security code and description Total number of +securities on issue IMC : ORDINARY FULLY PAID 227,246,596
		ASX +security code and description	Total number of +securities on issue
		IMC : ORDINARY FULLY PAID	227,246,596
3.2		*Unquoted +equity securities(total number of each +class of +equity securities issued but not quoted on ASX): ASX +security code and description Total number of +securities on issue IMCAI : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES IMCAD : OPTION EXPIRING 13-NOV-2024 EX $0.12 IMCAJ : OPTION EXPIRING 08-JUN-2022 EX 31.25C IMCAK : OPTION EXPIRING 23-MAY-2024 EX 12.5C IMCAL : OPTION EXPIRING 16-JUL-2024 EX 12.5C IMCAM : OPTION EXPIRING 21-JUL-2025 EX USD$0.5859375 32,961,518 8,100,000 198,240 173,600 116,120 2,560,000
		ASX +security code and description		Total number of +securities on issue
		IMCAI : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES IMCAD : OPTION EXPIRING 13-NOV-2024 EX $0.12 IMCAJ : OPTION EXPIRING 08-JUN-2022 EX 31.25C IMCAK : OPTION EXPIRING 23-MAY-2024 EX 12.5C IMCAL : OPTION EXPIRING 16-JUL-2024 EX 12.5C IMCAM : OPTION EXPIRING 21-JUL-2025 EX USD$0.5859375		32,961,518 8,100,000 198,240 173,600 116,120 2,560,000
Note: the figures provided in the tables in sections 3.1 and 3.2 above are used to calculate the total market capitalisation of the entity published by ASX from time to time. Please make sure you include in the relevant table each class of securities issued by the entity. If you have quoted CHESS Depository Interests (CDIs) issued over your securities, include them in the table in section 3.1. Restricted securities should only be included in the table in section 3.1 if you are applying to have them quoted because the escrow period for the securities has expired or is about to expire. Otherwise include them in the table in section 3.2.

Introduced 05/06/21

• See chapter 19 for defined terms 5 June 2021

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