IMUGENE LIMITED — Share Issue/Capital Change 2022

Dec 15, 2022

Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

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Announcement Summary

Entity name

IMUGENE LIMITED

Date of this announcement

Friday December 16, 2022

The +securities the subject of this notification are:

+Securities issued under an +employee incentive scheme that are subject to a restriction on transfer and are not being quoted on ASX until the restriction ends

Total number of +securities to be issued/transferred

		Total number of
ASX +security		+securities to be
code	Security description	issued/transferred	Issue date
New class - code	Unlisted Options	22,400,000	15/12/2022
to be confirmed
New class - code	Unlisted Options	1,700,000	15/12/2022
to be confirmed
New class - code	Unlisted Options	3,000,000	15/12/2022
to be confirmed

Refer to next page for full details of the announcement

Notification of Issue, Conversion or Payment up of Unquoted E it S iti

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Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

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Part 1 - Entity and announcement details

1.1 Name of entity

IMUGENE LIMITED

We (the entity named above) give notice of the issue, conversion or payment up of the following unquoted +securities.

1.2 Registered number type

ABN

Registration number

99009179551

1.3 ASX issuer code

IMU

1.4 The announcement is

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New announcement

1.5 Date of this announcement

16/12/2022

Notification of Issue, Conversion or Payment up of Unquoted E it S iti

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Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

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Part 2 - Issue details

2.1 The +securities the subject of this notification are:

+Securities issued under an +employee incentive scheme that are subject to a restriction on transfer and are not being quoted on ASX until the restriction ends

2.2a This notification is given in relation to an issue of +securities in a class which is not quoted on ASX and which:

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does not have an existing ASX security code ("new class")

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Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

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Part 3C - number and type of +securities the subject of this notification (new class) where issue has not previously been notified to ASX in an Appendix 3B

New +securities issued under an +employee incentive scheme

ASX +security code New class - code to be confirmed	+Security description Unlisted Options
+Security type	ISIN code
Options

Date the +securities the subject of this notification were issued 15/12/2022

Will all the +securities issued in this class rank equally in all respects from their issue date? Yes

Were any of the +securities issued to +key management personnel (KMP) or an +associate? Yes

Provide details of the KMP or +associates being issued +securities.

Name of KMP	Name of registered holder	Number of +securities
Leslie Chong	Miss Mi Ok Chong	17,300,000
Paul Hopper	Kilinwata Investments Pty Ltd	2,900,000
Charles Walker	Charles Walker + Melissa Walker	600,000
Lesley Russell	Lesley Russell	600,000
Jens Eckstein	Dr Jens Eckstein	600,000
Jakob Dupont	Jakob Dupont	400,000

Have you received confirmation from ASX that the terms of the +securities are appropriate and equitable under listing rule 6.1?

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No

Please provide a URL link for a document lodged with ASX setting out the material terms of the +securities being issued.

Refer to Notice of Annual General Meeting of the Company held on 24 November 2020: https://cdn-api.markitdigital.com/apiman-gateway/ASX/asx-research/1.0/file/2924-02296893-3A553198?access_token=83

Notification of Issue, Conversion or Payment up of Unquoted E it S iti

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Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

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Options Details

+Security currency

AUD - Australian Dollar

Exercise price Expiry date AUD 0.30600000 30/6/2026

Details of the existing class of +security that will be issued upon exercise or conversion of this new class of company option

Other

Description

IMU: FULLY PAID ORDINARY

Please provide a URL link for a document lodged with ASX detailing the terms of the +employee incentive scheme or a summary of the terms

Refer to Notice of Annual General Meeting of the Company held on 24 November 2020: https://cdn-api.markitdigital.com/apiman-gateway/ASX/asx-research/1.0/file/2924-02296893-3A553198?access_token=83

Any other information the entity wishes to provide about the +securities the subject of this notification

N/A

Issue details

Number of +securities

22,400,000

New +securities issued under an +employee incentive scheme

ASX +security code New class - code to be confirmed	+Security description Unlisted Options
+Security type	ISIN code
Options

Date the +securities the subject of this notification were issued

15/12/2022

Will all the +securities issued in this class rank equally in all respects from their issue date? Yes

Were any of the +securities issued to +key management personnel (KMP) or an +associate? Yes

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Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

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Provide details of the KMP or +associates being issued +securities.

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Name of KMP Name of registered holder Number of +securities
Jakob Dupont Jakob Dupont 1,700,000
Have you received confirmation from ASX that the terms of the +securities are appropriate and equitable under
listing rule 6.1?
No
Please provide a URL link for a document lodged with ASX setting out the material terms of the +securities being
issued.
Refer to Notice of Annual General Meeting of the Company held on 24 November 2020:
https://cdn-api.markitdigital.com/apiman-gateway/ASX/asx-research/1.0/file/2924-02296893-3A553198?access_token=83
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Options Details
+Security currency	Exercise price	Expiry date
AUD - Australian Dollar	AUD 0.18400000	29/9/2026
Details of the existing class of +security that will be issued upon exercise or conversion of this new class of
company option
Other

Description

IMU: FULLY PAID ORDINARY

Please provide a URL link for a document lodged with ASX detailing the terms of the +employee incentive scheme or a summary of the terms Refer to Notice of Annual General Meeting of the Company held on 24 November 2020: https://cdn-api.markitdigital.com/apiman-gateway/ASX/asx-research/1.0/file/2924-02296893-3A553198?access_token=83

Any other information the entity wishes to provide about the +securities the subject of this notification

N/A

Issue details

Number of +securities

1,700,000

Notification of Issue, Conversion or Payment up of Unquoted E it S iti

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Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

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New +securities issued under an +employee incentive scheme
ASX +security code New class - code to be confirmed +Security description Unlisted Options
+Security type ISIN code
Options
Date the +securities the subject of this notification were issued
15/12/2022
Will all the +securities issued in this class rank equally in all respects from their issue date?
Yes

Were any of the +securities issued to +key management personnel (KMP) or an +associate? Yes

Provide details of the KMP or +associates being issued +securities.

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Name of KMP Name of registered holder Number of +securities
Leslie Chong Miss Mi Ok Chong 3,000,000
Have you received confirmation from ASX that the terms of the +securities are appropriate and equitable under
listing rule 6.1?
No
Please provide a URL link for a document lodged with ASX setting out the material terms of the +securities being
issued.
Refer to Notice of Annual General Meeting of the Company held on 24 November 2020:
https://cdn-api.markitdigital.com/apiman-gateway/ASX/asx-research/1.0/file/2924-02296893-3A553198?access_token=83
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Options Details
+Security currency	Exercise price	Expiry date
AUD - Australian Dollar	AUD 0.40000000	14/12/2026
Details of the existing class of	+security that will be issued upon exercise or conversion of this new class of
company option
Other
Description
IMU: FULLY PAID ORDINARY

Please provide a URL link for a document lodged with ASX detailing the terms of the +employee incentive scheme or a summary of the terms Refer to Notice of Annual General Meeting of the Company held on 24 November 2020: https://cdn-api.markitdigital.com/apiman-gateway/ASX/asx-research/1.0/file/2924-02296893-3A553198?access_token=83

Notification of Issue, Conversion or Payment up of Unquoted E it S iti

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Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

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Any other information the entity wishes to provide about the +securities the subject of this notification

N/A

Issue details

Number of +securities

3,000,000

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Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

Part 4 - +Securities on issue

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Following the issue, conversion or payment up of the +securities the subject of this application, the +securities of the entity will comprise:

(A discrepancy in these figures compared to your own may be due to a matter of timing if there is more than one application for quotation/issuance currently with ASX for processing.)

4.1 Quoted +Securities (Total number of each +class of +securities quoted)

	Total number of
ASX +security code and description	+securities on issue
IMU : ORDINARY FULLY PAID	6,421,715,706
IMUOD : OPTION EXPIRING 31-AUG-2024	158,264,242

4.2 Unquoted +Securities (Total number of each +class of +securities issued but not quoted on ASX)

	Total number of
ASX +security code and description	+securities on issue
IMUAZ : OPTION EXPIRING 23-DEC-2024 EX $0.45	311,075
IMUAAF : OPTION EXPIRING 31-MAR-2026 EX $0.33	200,000,001
IMUAAD : OPTION EXPIRING 30-JUN-2026 EX $0.18	1,500,000
IMUAAE : OPTION EXPIRING 01-JUL-2026 EX $0.188	1,540,000
IMUAY : OPTION EXPIRING 30-APR-2025 EX $0.19	45,000,000
IMUAAC : OPTION EXPIRING 03-FEB-2025 EX $0.45	266,666
IMUAAB : OPTION EXPIRING 01-FEB-2025 EX $0.45	2,000,000
IMUAAA : OPTION EXPIRING 01-FEB-2026 EX $0.40	1,500,000
IMUAW : OPTION EXPIRING 26-FEB-2024 EX $0.15	5,000,000
New class - code to be confirmed : Unlisted Options	22,400,000
New class - code to be confirmed : Unlisted Options	1,700,000
New class - code to be confirmed : Unlisted Options	3,000,000

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Part 5 - Other Listing Rule requirements

5.1 Were the +securities issued under an exception in Listing Rule 7.2 and therefore the issue did not need any security holder approval under Listing Rule 7.1? Yes

5.1a Select the number of the applicable exception in Listing Rule 7.2

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