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IMUGENE LIMITED — Director's Dealing 2024
Jan 18, 2024
65124_rns_2024-01-18_a6801b50-4cbb-4c8a-a68e-0c75ba4e942a.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 | Jens Eckstein |
|---|---|
| Date of last notice | 04 October 2023 |
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 | 12 January 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 31/08/2026 |
| Class | (4) Restricted Stock Units (RSUs) |
| Number acquired | (4) 1,000,000 - Restricted Stock Units (RSUs) |
| Number disposed | NIL |
| Value/Consideration | (4) - Restricted Stock Units (RSUs) issued for NIL consideration |
| No. of securities held after change | (1) 600,000 - Employee Share Option Plan - Options (2) 20,738,095 - ORDINARY FULLY PAID SHARES (3) 238,095 - OPTIONS @ $0.118 EXP 31/08/2026 (4) 1,000,000 - Restricted Stock Units (RSUs) |
| Nature of change | Issue of Restricted Stock Units under the Amended ESOP as approved by shareholders at the AGM held on 30 November 2023 |
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 | 04 October 2023 |
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 | 12 January 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 31/08/2026 |
| Class | (4) Restricted Stock Units (RSUs) |
| Number acquired | (4) 1,000,000 Restricted Stock Units (RSUs) |
| Number disposed | NIL |
| Value/Consideration | (4) - Restricted Stock Units (RSUs) issued for NIL consideration |
| No. of securities held after change | (1) 600,000 - Employee Share Option Plan - Options (2) 20,238,095 - ORDINARY FULLY PAID SHARES (3) 238,095 - OPTIONS @ $0.118 EXP 31/08/2026 (4) 1,000,000 - Restricted Stock Units (RSUs) |
| Nature of change | Issue of Restricted Stock Units under the Amended ESOP as approved by shareholders at the AGM held on 30 November 2023. |
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 | Jakob Dupont |
|---|---|
| Date of last notice | 04 October 2023 |
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 | 12 January 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 |
| Class | (4) Restricted Stock Units (RSUs) |
| Number acquired | (4) 1,000,000 - Restricted Stock Units (RSUs) |
| Number disposed | NIL |
| Value/Consideration | (4) - Restricted Stock Units (RSUs) issued for NIL consideration |
| No. of securities held after 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) |
| Nature of change | Issue of Restricted Stock Units under the Amended ESOP as approved by shareholders at the AGM held on 30 November 2023. |
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 | Kim Drapkin |
|---|---|
| Date of last notice | 04 October 2023 |
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 | 12 January 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 |
| Class | (3) Restricted Stock Units (RSUs) |
| Number acquired | (3) 1,000,000 - Restricted Stock Units (RSUs) |
| Number disposed | NIL |
| Value/Consideration | (3) - Restricted Stock Units (RSUs) issued for NIL consideration |
| No. of securities held after 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) |
| Nature of change | Issue of Restricted Stock Units under the Amended ESOP as approved by shareholders at the AGM held on 30 November 2023. |
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 |
- 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 |
|
|---|---|
| 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 Chong |
|---|---|
| Date of last notice | 11 October 2023 |
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 | 12 January 2024 |
| No. of securities held prior to change | (1) 20,300,000 - EMPLOYEE SHARE OPTION PLAN (2) 79,916,666 - ORDINARY FULLY PAID SHARES (3) 2,916,666 - LISTED OPTIONS @ $0.118, expiring 31 August 2026 |
| Class | (4) PERFORMANCE RIGHTS AWARD |
| Number acquired | (4) 23,175,000 |
| Number disposed | NIL |
| Value/Consideration | (4) NIL - Performance Rights issued for NIL consideration |
| No. of securities held after change | (1) 20,300,000 - EMPLOYEE SHARE OPTION PLAN (2) 79,916,666 - ORDINARY FULLY PAID SHARES (3) 2,916,666 - LISTED OPTIONS @ $0.118, expiring 31 August 2026 (4) 23,175,000 - PERFORMANCE RIGHTS AWARD |
| Nature of change | Performance Rights issued under the Amended ESOP as approved by shareholders at the AGM held on 30 November 2023. |
- 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 | Paul Hopper |
|---|---|
| Date of last notice | 12 October 2023 |
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) |
Director related Parties |
| Date of change | 12 January 2024 |
| No. of securities held prior to change | (1) Direct Shares - 2,894,314 ORDINARY FULLY PAID SHARES (2) Indirect Shares - 317,154,000 ORDINARY FULLY PAID SHARES (3) 2,900,000 - ESOP OPTIONS (4) 2,916,666 - LISTED OPTIONS @ $0.118, expiring 31 August 2026 |
| Class | (5) PERFORMANCE RIGHTS AWARD |
| Number acquired | (5) 3,901,500 - PERFORMANCE RIGHTS AWARD |
| Number disposed | NIL |
| Value/Consideration | (5) NIL- Performance Rights issued for NIL consideration |
| No. of securities held after change | (1) Direct Shares - 2,894,314 ORDINARY FULLY PAID SHARES (2) Indirect Shares - 317,154,000 ORDINARY FULLY PAID SHARES (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 |
- See chapter 19 for defined terms. 01/01/2011 Appendix 3Y Page 1
Appendix 3Y Change of Director's Interest Notice
Nature of change
Performance Rights issued under the Amended ESOP as approved by shareholders at the AGM held on 30 November 2023.
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