K2 ASSET MANAGEMENT HOLDINGS LTD — Director's Dealing 2017

Mar 6, 2017

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 30/09/01 Amended 01/01/11

Name of entity K2 Asset Management Holdings Ltd

ABN 59 124 636 782

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.

We (the entity) give ASX the following the director for the purposes of section	information under listing rule 3.19A.2 and as agent for 205G of the Corporations Act.
Name of Director	Mark Newman
Date of last notice	2 March 2017

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 (under interest_A_below)

Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest.

A. Mark Newman has a relevant interest in ordinary shares held by himself as trustee for the FD246 Trust. B. Mark Newman has a relevant interest in ordinary shares held by himself as trustee for various family and friends. C. Mark Newman has a relevant interest in ordinary shares held by MSN Superannuation Nominees Pty Ltd. D. Mark Newman has a relevant interest in ordinary shares held by Ms Newman Family Foundation Pty Ltd. E. Mark Newman has a relevant interest in ordinary shares held by Newman Family Investments (Aust) Pty Ltd. F. Mark Newman is taken under section 608(1)(b)&(c) of the Corporations Act to have a relevant interest in ordinary shares held by various employees and pre-listing shareholders of K2 Asset Management Holdings Ltd under a shareholders’ agreement (Shareholders’ Agreement) by reason of having: • a power to exercise, or control the exercise of a right to vote attached to; and • a power to dispose of, or control the exercise of a power to dispose of,

• See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 1

Appendix 3Y Change of Director’s Interest Notice

	each other’s shares.
Date of change	6 March 2017
No. of securities held prior to change	21,426,202 (As trustee of the FD246 Trust) 120,000 (As trustee for various family and friends) 8,610,476 (MSN Superannuation Nominees Pty Ltd) 8,555,556 (Ms Newman Family Foundation Pty Ltd) 440,953 (Newman Family Investments (Aust) Pty Ltd) 127,232,628 (As party to the Shareholders’ Agreement)
Class	Ordinary Shares
Number acquired
Number disposed	5,000,000 by FD246 Trust
Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation	$0.38 per share
No. of securities held after change	16,426,202 (As trustee of the FD246 Trust) 120,000 (As trustee for various family and friends) 8,610,476 (MSN Superannuation Nominees Pty Ltd) 8,555,556 (Ms Newman Family Foundation Pty Ltd) 440,953 (Newman Family Investments (Aust) Pty Ltd) 127,232,628 (As party to the Shareholders’ Agreement)
Nature of change Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back	On-market trade

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.

Detail of contract	-
Nature of interest	-
Name of registered holder (if issued securities)	-

• See chapter 19 for defined terms.

Appendix 3Y Page 2

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Appendix 3Y Change of Director’s Interest Notice

Date of change	-
No. and class of securities to which interest related prior to change Note: Details are only required for a contract in relation to which the interest has changed	-
Interest acquired	-
Interest disposed	-
Value/Consideration Note: If consideration is non-cash, provide details and an estimated valuation	-
Interest after change	-

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?	The securities were not traded during a closed period. Nevertheless, under the Company’s Share Trading Policy prior written clearance is required before every employee or director trades, whether during a closed period or not, and this written clearance was obtained
If so, was prior written clearance provided to allow the trade to proceed during this period?	Yes
If prior written clearance was provided, on what date was this provided?	2 March 2017

• See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 3

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 30/09/01 Amended 01/01/11

Name of entity K2 Asset Management Holdings Ltd

ABN 59 124 636 782

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.

We (the entity) give ASX the following the director for the purposes of section	information under listing rule 3.19A.2 and as agent for 205G of the Corporations Act.
Name of Director	Campbell Neal
Date of last notice	2 March 2017

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 (under interest_D_below)
Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest.	A. Campbell Neal has a relevant interest in ordinary shares held by CWN FT Pty Ltd. B. Campbell Neal has a relevant interest in ordinary shares held by CWN Superannuation Nominees Pty Ltd. C. Campbell Neal has a relevant interest in ordinary shares held by C.L.D. Investments Pty. Ltd.. D. Campbell Neal is taken under section 608(1)(b)&(c) of the Corporations Act to have a relevant interest in ordinary shares held by various employees and pre-listing shareholders of K2 Asset Management Holdings Ltd under a shareholders’ agreement (Shareholders’ Agreement) by reason of having: • a power to exercise, or control the exercise of a right to vote attached to; and • a power to dispose of, or control the exercise of a power to dispose of, each other’s shares.
Date of change	6 March 2017

• See chapter 19 for defined terms.

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Appendix 3Y Change of Director’s Interest Notice

No. of securities held prior to change	77,723,973 (CWN FT Pty Ltd) 4,552,853 (CWN Superannuation Nominees Pty Ltd) 358,890 (C.L.D. Investments Pty. Ltd.) 70,934,857 (As party to the Shareholders’ Agreement)
Class	Ordinary Shares
Number acquired
Number disposed	5,000,000 by another party to the Shareholders’ Agreement
Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation	$0.38 per share
No. of securities held after change	77,723,973 (CWN FT Pty Ltd) 4,552,853 (CWN Superannuation Nominees Pty Ltd) 358,890 (C.L.D. Investments Pty. Ltd.) 65,934,857 (As party to the Shareholders’ Agreement)
Nature of change Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back	On-market trade by another party to the Shareholders’ Agreement

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.

Detail of contract	-
Nature of interest	-
Name of registered holder (if issued securities)	-
Date of change	-
No. and class of securities to which interest related prior to change Note: Details are only required for a contract in relation to which the interest has changed	-
Interest acquired	-
Interest disposed	-
Value/Consideration Note: If consideration is non-cash, provide details and an estimated valuation	-

• See chapter 19 for defined terms.

Appendix 3Y Page 2

01/01/2011

Appendix 3Y Change of Director’s Interest Notice

Interest after change -

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?	N/A
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?

• See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 3

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 30/09/01 Amended 01/01/11

Name of entity K2 Asset Management Holdings Ltd

ABN 59 124 636 782

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.

We (the entity) give ASX the following the director for the purposes of section	information under listing rule 3.19A.2 and as agent for 205G of the Corporations Act.
Name of Director	Hollie Wight
Date of last notice	2 March 2017

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 (under interest_C_below)
Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest.	A. Hollie Wight has a relevant interest in ordinary shares as a trustee for the DHC Super Fund. B. Hollie Wight has a relevant interest in ordinary shares held by DHC Investments Pty Ltd. C. Hollie Wight is taken under section 608(1)(b)&(c) of the Corporations Act to have a relevant interest in ordinary shares held by various employees and pre-listing shareholders of K2 Asset Management Holdings Ltd under a shareholders’ agreement (Shareholders’ Agreement) by reason of having: • a power to exercise, or control the exercise of a right to vote attached to; and • a power to dispose of, or control the exercise of a power to dispose of, each other’s shares.
Date of change	6 March 2017
No. of securities held prior to change	635,096 (DHC Super Fund) 4,603,470 (DHC Investments Pty Ltd) 144,055,360 (As party to the Shareholders’ Agreement)

• See chapter 19 for defined terms.

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Appendix 3Y Change of Director’s Interest Notice

Class	Ordinary Shares
Number acquired
Number disposed	5,000,000 by another party to the Shareholders’ Agreement
Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation	$0.38 per share
No. of securities held after change	635,096 (DHC Super Fund) 4,603,470 (DHC Investments Pty Ltd) 139,055,360 (As party to the Shareholders’ Agreement)
Nature of change Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back	On-market trade by another party to the Shareholders’ Agreement

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.

Detail of contract	-
Nature of interest	-
Name of registered holder (if issued securities)	-
Date of change	-
No. and class of securities to which interest related prior to change Note: Details are only required for a contract in relation to which the interest has changed	-
Interest acquired	-
Interest disposed	-
Value/Consideration Note: If consideration is non-cash, provide details and an estimated valuation	-
Interest after change	-

• See chapter 19 for defined terms.

Appendix 3Y Page 2

01/01/2011

Appendix 3Y Change of Director’s Interest Notice

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?	N/A
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?

• See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 3

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 30/09/01 Amended 01/01/11

Name of entity K2 Asset Management Holdings Ltd

ABN 59 124 636 782

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	Robert Hand
Date of last notice	2 March 2017

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 (under interest_B_below)
Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest.	A. Robert Hand has a relevant interest in ordinary shares held by Abro Investments Pty Ltd. B. Robert Hand is taken under section 608(1)(b)&(c) of the Corporations Act to have a relevant interest in ordinary shares held by various employees and pre-listing shareholders of K2 Asset Management Holdings Ltd under a shareholders’ agreement (Shareholders’ Agreement) by reason of having: • a power to exercise, or control the exercise of a right to vote attached to; and • a power to dispose of, or control the exercise of a power to dispose of, each other’s shares.
Date of change	6 March 2017
No. of securities held prior to change	13,616,976 (Abro Investments Pty Ltd) 135,041,854 (As party to the Shareholders’ Agreement)
Class	Ordinary Shares
Number acquired

• See chapter 19 for defined terms.

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Appendix 3Y Change of Director’s Interest Notice

Number disposed	5,000,000 by another party to the Shareholders’ Agreement
Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation	$0.38 per share
No. of securities held after change	13,616,976 (Abro Investments Pty Ltd) 130,041,854 (As party to the Shareholders’ Agreement)
Nature of change Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back	On-market trade by another party to the Shareholders’ Agreement

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.

Detail of contract	-
Nature of interest	-
Name of registered holder (if issued securities)	-
Date of change	-
No. and class of securities to which interest related prior to change Note: Details are only required for a contract in relation to which the interest has changed	-
Interest acquired	-
Interest disposed	-
Value/Consideration Note: If consideration is non-cash, provide details and an estimated valuation	-
Interest after change	-

• See chapter 19 for defined terms.

Appendix 3Y Page 2

01/01/2011

Appendix 3Y Change of Director’s Interest Notice

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?	N/A
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?

• See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 3