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IMUGENE LIMITED — Director's Dealing 2024
Jul 7, 2024
65124_rns_2024-07-07_a9c7042e-ec64-4650-ac4d-0188ca28d4c1.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 becomes ASX's property and may be made public.
Introduced 30/09/01 Amended 01/01/11
| Name of entity | Imugene Limited |
|---|---|
| ABN | 99 009 179 551 |
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 | Jakob Dupont |
|---|---|
| Date of last notice | 19 January 2024 |
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) |
N/A |
| Date of change | 01 July 2024 |
| No. of securities held prior to change | (1) 89,286 - ORDINARY FULLY PAID SHARES (2) 89,286 - OPTIONS @ $0.118 EXP 31/08/2026 (3) 2,100,000 - Employee Share Option Plan - Options (4) 1,000,000 - Restricted Stock Units (RSUs) |
| Class | (1) ORDINARY FULLY PAID SHARES (4) Restricted Stock Units (RSUs) |
| Number acquired | (1) 250,000 - ORDINARY FULLY PAID SHARE |
| Number disposed | 250,000 - Restricted Stock Units (RSUs) |
| Value/Consideration | NIL consideration |
| No. of securities held after change | (1) 339,286 - ORDINARY FULLY PAID SHARES (2) 89,286 - OPTIONS @ $0.118 EXP 31/08/2026 (3) 2,100,000 - Employee Share Option Plan - Options (4) 750,000 - Restricted Stock Units (RSUs) |
| Nature of change | Issue of Ordinary Fully Paid shares on vesting of RSUs granted under the ESOP |
- See chapter 19 for defined terms. 01/01/2011 Appendix 3Y Page 1
Appendix 3Y Change of Director's Interest Notice
Part 2 - Change of director's relevant 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 | N/A |
|---|---|
| Nature of interest | N/A |
| Name of registered holder (if issued securities) |
N/A |
| Date of change | N/A |
| No. and class of securities to which interest related prior to change |
N/A |
| Interest acquired | N/A |
| Interest disposed | N/A |
| Value/Consideration | N/A |
| Interest after change | N/A |
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 2
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 becomes ASX's property and may be made public.
Introduced 30/09/01 Amended 01/01/11
| Name of entity | Imugene Limited |
|---|---|
| ABN | 99 009 179 551 |
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 | Kim Drapkin |
|---|---|
| Date of last notice | 19 January 2024 |
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) |
N/A |
| Date of change | 01 July 2024 |
| No. of securities held prior to change | (1) 119,048 - ORDINARY FULLY PAID SHARES (2) 119,048 - OPTIONS @ $0.118 EXP 31/08/2026 (3) 1,000,000 - Restricted Stock Units (RSUs) |
| Class | (1) ORDINARY FULLY PAID SHARES (3) Restricted Stock Units (RSUs) |
| Number acquired | (1) 250,000 - ORDINARY FULLY PAID SHARES |
| Number disposed | (3) 250,000 - Restricted Stock Units (RSUs) |
| Value/Consideration | NIL consideration |
| No. of securities held after change | (1) 369,048 - ORDINARY FULLY PAID SHARES (2) 119,048 - OPTIONS @ $0.118 EXP 31/08/2026 (3) 750,000 - Restricted Stock Units (RSUs) |
| Nature of change | Issue of Ordinary Fully Paid shares on vesting of RSUs granted under the ESOP |
Part 2 - Change of director's relevant 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.
- See chapter 19 for defined terms. 01/01/2011 Appendix 3Y Page 1
Appendix 3Y Change of Director's Interest Notice
| Detail of contract | N/A |
|---|---|
| Nature of interest | N/A |
| Name of registered holder (if issued securities) |
N/A |
| Date of change | N/A |
| No. and class of securities to which interest related prior to change |
N/A |
| Interest acquired | N/A |
| Interest disposed | N/A |
| Value/Consideration | N/A |
| Interest after change | N/A |
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 2
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 becomes ASX's property and may be made public.
Introduced 30/09/01 Amended 01/01/11
| Name of entity | Imugene Limited |
|---|---|
| ABN | 99 009 179 551 |
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 | Lesley Russell |
|---|---|
| Date of last notice | 19 January 2024 |
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) |
N/A |
| Date of change | 01 July 2024 |
| No. of securities held prior to change | (1) 600,000 - Employee Share Option Plan - Options (2) 20,238,095 - ORDINARY FULLY PAID SHARES (3) 238,095 - OPTIONS @ $0.118 EXP 31/08/202 (4) 1,000,000 - Restricted Stock Units (RSUs) |
| Class | (2) ORDINARY FULLY PAID SHARES (4) Restricted Stock Units (RSUs) |
| Number acquired | (2) 250,000 - ORDINARY FULLY PAID SHARES |
| Number disposed | (4) 250,000 - Restricted Stock Units (RSUs) |
| Value/Consideration | NIL consideration |
| No. of securities held after change | (1) 600,000 - Employee Share Option Plan - Options (2) 20,488,095 - ORDINARY FULLY PAID SHARES (3) 238,095 - OPTIONS @ $0.118 EXP 31/08/2026 (4) 750,000 - Restricted Stock Units (RSUs) |
| Nature of change | Issue of Ordinary Fully Paid shares on vesting of RSUs granted under the ESOP |
Part 2 - Change of director's relevant 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 + See chapter 19 for defined terms.
01/01/2011 Appendix 3Y Page 1
Appendix 3Y Change of Director's Interest Notice
disclosed in this part.
| Detail of contract | N/A |
|---|---|
| Nature of interest | N/A |
| Name of registered holder (if issued securities) |
N/A |
| Date of change | N/A |
| No. and class of securities to which interest related prior to change |
N/A |
| Interest acquired | N/A |
| Interest disposed | N/A |
| Value/Consideration | N/A |
| Interest after change | N/A |
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 2
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 becomes ASX's property and may be made public.
Introduced 30/09/01 Amended 01/01/11
| Name of entity | Imugene Limited |
|---|---|
| ABN | 99 009 179 551 |
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 | Jens Eckstein |
|---|---|
| Date of last notice | 19 January 2024 |
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) |
N/A |
| Date of change | 01 July 2024 |
| No. of securities held prior to change | (1) 600,000 - Employee Share Option Plan - Options (2) 20,738,095 - ORDINARY FULLY PAID SHARES (3) 238,095 - OPTIONS @ $0.118 EXP 31/08/202 (4) 1,000,000 - Restricted Stock Units (RSUs) |
| Class | (2) ORDINARY FULLY PAID SHARES (4) Restricted Stock Units (RSUs) |
| Number acquired | 250,000 - ORDINARY FULLY PAID SHARES |
| Number disposed | 250,000 - Restricted Stock Units (RSUs) |
| Value/Consideration | NIL |
| No. of securities held after change | (1) 600,000 - Employee Share Option Plan - Options (2) 20,988,095 - ORDINARY FULLY PAID SHARES (3) 238,095 - OPTIONS @ $0.118 EXP 31/08/202 (4) 750,000 - Restricted Stock Units (RSUs) |
| Nature of change | Issue of Ordinary Fully Paid Shares on vesting of RSUs granted under the ESOP. |
Part 2 - Change of director's relevant 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 + See chapter 19 for defined terms.
01/01/2011 Appendix 3Y Page 1
Appendix 3Y Change of Director's Interest Notice
disclosed in this part.
| Detail of contract | N/A |
|---|---|
| Nature of interest | N/A |
| Name of registered holder (if issued securities) |
N/A |
| Date of change | N/A |
| No. and class of securities to which interest related prior to change |
N/A |
| Interest acquired | N/A |
| Interest disposed | N/A |
| Value/Consideration | N/A |
| Interest after change | N/A |
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 2
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 becomes ASX's property and may be made public.
Introduced 30/09/01 Amended 01/01/11
| Name of entity | Imugene Limited |
|---|---|
| ABN | 99 009 179 551 |
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 | Leslie(Mi Ok)Chong |
|---|---|
| Date of last notice | 19 January 2024 |
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 and Indirect |
|---|---|
| Nature of indirect interest (including registered holder) |
Ms Chong is a trustee for the Chong Super Fund TC Pty Ltd. |
| Date of change | 01 July 2024 |
| No. of securities held prior to change | (1) 20,300,000 - Employee Share Options Plan (2) 79,916,666 - ORDINARY FULLY PAID SHARES (3) 2,916,666 - OPTIONS @ $0.118 EXP 31/08/2026 (4) 23,175,000 - Performance Rights Award |
| Class | ORDINARY FULLY PAID SHARES |
| Number acquired | 5,793,750 Ordinary Fully Paid Shares |
| Number disposed | 5,793,750 Performance Rights Award |
| Value/Consideration | NIL Consideration |
| No. of securities held after change | (1) 20,300,000 - Employee Share Options Plan (2) 84,210,416 - Direct ORDINARY FULLY PAID SHARES (3) 1,500,000 - Indirect ORDINARY FULLY PAID SHARES (4) 2,916,666 - OPTIONS @ $0.118 EXP 31/08/2026 (5) 17,381,250 - Performance Rights Award |
- See chapter 19 for defined terms. 01/01/2011 Appendix 3Y Page 1
Appendix 3Y Change of Director's Interest Notice
Nature of change
(2) Exercise of Performance Rights granted under the ESOP
(3) Transfer from direct to indirect holding
Part 2 - Change of director's relevant 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 | N/A |
|---|---|
| Nature of interest | N/A |
| Name of registered holder (if issued securities) |
N/A |
| Date of change | N/A |
| No. and class of securities to which interest related prior to change |
N/A |
| Interest acquired | N/A |
| Interest disposed | N/A |
| Value/Consideration | N/A |
| Interest after change | N/A |
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 2
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 becomes ASX's property and may be made public.
Introduced 30/09/01 Amended 01/01/11
| Name of entity | Imugene Limited |
|---|---|
| ABN | 99 009 179 551 |
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 | Paul Hopper |
|---|---|
| Date of last notice | 23 April 2024 |
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 and Indirect |
|---|---|
| Nature of indirect interest (including registered holder) |
Directors Related Parties |
| Date of change | 1 July 2024 |
| No. of securities held prior to change | (1) Direct Shares - 4,275,736 ORDINARY FULLY PAID SHARES (1,381,422 Shares - Subject to voluntary escrow 12m after issue date) (2) Indirect Shares - 403,820,795 ORDINARY FULLY PAID SHARES (110,790,024 Shares - Subject to voluntary escrow 12m after issue date) (3) 2,900,000 - ESOP OPTIONS (4) 2,916,666 - LISTED OPTIONS @ $0.118, expiring 31 August 2026 (5) 3,901,500 - PERFORMANCE RIGHTS AWARD |
| Class | (2) Indirect Shares |
| Number acquired | 975,375 - ORDINARY FULLY PAID SHARES |
| Number disposed | 975,375 - PERFORMANCE RIGHTS AWARD |
| Value/Consideration | NIL Consideration |
- See chapter 19 for defined terms. 01/01/2011 Appendix 3Y Page 1
Appendix 3Y Change of Director's Interest Notice
| Appendix 3Y Change of Director's Interest Notice |
|
|---|---|
| No. of securities held after change | (1) Direct Shares - 4,275,736 ORDINARY FULLY PAID SHARES (1,381,422 Shares - Subject to voluntary escrow 12m after issue date) (2) Indirect Shares - 404,796,170 ORDINARY FULLY PAID SHARES (110,790,024 Shares - Subject to voluntary escrow 12m after issue date) (3) 2,900,000 - ESOP OPTIONS (4) 2,916,666 - LISTED OPTIONS @ $0.118, expiring 31 August 2026 (5) 2,926,125 - PERFORMANCE RIGHTS AWARD |
| Nature of change | Exercise of Performance Rights granted under the ESOP |
Part 2 - Change of director's relevant 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 | N/A |
|---|---|
| Nature of interest | N/A |
| Name of registered holder (if issued securities) |
N/A |
| Date of change | N/A |
| No. and class of securities to which interest related prior to change |
N/A |
| Interest acquired | N/A |
| Interest disposed | N/A |
| Value/Consideration | N/A |
| Interest after change | N/A |
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 2