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IMMUTEP LIMITED — Director's Dealing 2013
Jul 4, 2013
65122_rns_2013-07-04_aa15caa5-57dc-427f-9e12-9366ec82068f.pdf
Director's Dealing
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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 30/9/2001.
Name of Entity: PRIMA BIOMED LIMITED (ASX:PRR) ACN:[90 009 237 889 ]
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: Ms Lucy Turnbull
Date of Last Notice: 19.06.2013
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 | Indirect | |||
|---|---|---|---|---|---|
| Nature of indirect interest(including registered holder)Note: Provide details of the circumstances giving rise to therelevant interest. | Director related entitiesTurnbull & Partners Pty Ltd | ||||
| Date of change | 18 June 2013 | ||||
| No. of securities held prior to change | Options14,258,644 68,75014,327,394 | ||||
| Shares | Options | ||||
| Direct | 17,034,576 | 14,258,644 | |||
| Indirect | 725,000 | 68,750 | |||
| Total | 17,759,576 | 14,327,394 | |||
| Class | Listed options | ||||
| Number acquired | Options-112,500112,500 | ||||
| Shares | Options | ||||
| Direct | - | - | |||
| Indirect | - | 112,500 | |||
| Total | - | 112,500 | |||
- See chapter 19 for defined terms.
Appendix 3Y Page 1
11/3/2002
Appendix 3Y Change of Director’s Interest Notice
==> picture [419 x 237] intentionally omitted <==
----- Start of picture text ----- Number disposedShares OptionsDirect - -Indirect - -Total - -Value/ConsiderationAUD 2,250Note: If consideration is non-cash, provide details andestimated valuationNo. of securities held after changeShares OptionsDirect 17,034,576 14,258,644Indirect 725,000 181,250Total 17,759,576 14,439,894Nature of changeAcquiring 112,500 listed options at AUD 0.02 eachExample: on-market trade, off-market trade, exercise ofoptions, issue of securities under dividend reinvestmentplan, participation in buy-back----- End of picture text -----
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.
| Note: In the case of a company, interests which come withindisclosed in this part. | paragraph (ii) of the definition of “notifiable interest of a director” should be |
|---|---|
| Detail of contract | N/A |
| Nature of interest | |
| Name of registered holder(if issued securities) | |
| Date of change | |
| No. and class of securities towhich interest related prior tochangeNote: Details are only required for a contract in relationto which the interest has changed | |
| Interest acquired | |
| Interest disposed | |
| Value/ConsiderationNote: If consideration is non-cash, provide details and anestimated valuation | |
| Interest after change |
Part 3 - +Closed Period
Were the interests in the securities or contracts detailed above traded No during 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?
05.07.2013
- See chapter 19 for defined terms.
Appendix 3Y Page 2
11/3/2002
Appendix 3Y Change of Director’s Interest Notice
Prima BioMed Limited ABN 90 009 237 889
EXPLANATION FOR LATE LODGEMENT OF CHANGE IN DIRECTOR'S INTEREST NOTICE
Having regard to ASX Listing Rules 3.19A and 3.19B and Guidance Note 22: "Director Disclosure of Interests and Transactions in Securities - Obligations of Listed Entities", the Company makes the following submissions in relation to the late lodgement of the Change of Director's Interest Notice:
1. Explanation for late lodgement of Appendix 3Y
The Appendix 3Y was not lodged within 5 business days after the change of the Director's interest (i.e. by 25 June 2013) due to the delay in the director’s brokerage custodian platform informing the director of the allocation of an additional AUD 2,250 worth of PRRO options indirectly held by the Director. This allocation of PRRO options arose from the director’s participation in the Company’s Options Entitlement Offer. The majority of the Director’s PRRO allocation (i.e. AUD 86,547.88 worth) was previously disclosed in the Appendix 3Y, released on 19 June 2013.
The Company confirms that it is aware of and understands its obligations under the Corporations Act 2001 (Cth) and ASX Listing Rules, in particular the obligations under Listing Rules 3.19A and 3.19B.
2. Arrangements in place between the Company and its Directors to ensure that it is able to meet its minimum disclosure obligations under Listing Rule 3.19A
The Company considers that it has the necessary education, reporting and notification policies in place to ensure compliance with the disclosure obligations under Listing Rule 3.19A. The Company ensures that all Directors are notified of their obligations to inform the Company of any changes in their relevant interests at the time of their appointment.
The Directors are aware of their obligations to inform the Company Secretary of all information necessary for the Company to comply with its obligations under listing rule 3.19A.
3. Additional steps being considered by the Company to ensure compliance with listing rule 3.19B
The Company considers its current arrangements are adequate for ensuring timely notification. However, the Company will continue to review and update its policies as and when appropriate.
Deanne Miller Company Secretary
- See chapter 19 for defined terms.
Appendix 3Y Page 3
11/3/2002