MEMPHASYS LIMITED. — Capital/Financing Update 2022

Sep 4, 2022

This appendix is available as an online form Only use this form if the online version is not available

+Rule 3.10.3

Appendix 3B

Proposed issue of +securities

Information and documents given to ASX become ASX’s property and may be made public.

If you are an entity incorporated outside Australia and you are proposing to issue a new class of +securities other than CDIs, you will need to obtain and provide an International Securities Identification Number (ISIN) for that class. For offers where the +securities proposed to be issued are in an existing class of security, and the event timetable includes rights (or entitlement for nonrenounceable issues), and deferred settlement trading or a representation of such, ASX requires the issuer to advise ASX of the ISIN code for the rights (or entitlement), and deferred settlement trading. This code will be different to the existing class. If the securities do not rank equally with the existing class, the same ISIN code will be used for that security to continue to be quoted while it does not rank.

Further information on the requirement for the notification of an ISIN is available from the Create Online Forms page. ASX is unable to create the new ISIN for non-Australian issuers.

*Denotes minimum information required for first lodgement of this form, with exceptions provided in specific notes for certain questions. The balance of the information, where applicable, must be provided as soon as reasonably practicable by the entity.

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This appendix is available as an online form

Appendix 3B Proposed issue of +securities

Part 1 – Entity and announcement details

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Question Question Answer
no
1.1 Name of entity MEMPHASYS LIMITED
We (the entity here named)
give ASX the following
information about a proposed
issue of [+] securities and, if ASX
agrees to [+] quote any of the
+securities (including any
rights) on a [+] deferred
settlement basis, we agree to
the matters set out in
Appendix 3B of the ASX
Listing Rules.
If the +securities are being
offered under a +disclosure
document or +PDS and are
intended to be quoted on ASX,
we also apply for quotation of
all of the +securities that may
be issued under the
+disclosure document or
+PDS on the terms set out in
Appendix 2A of the ASX
Listing Rules (on the
understanding that once the
final number of +securities
issued under the +disclosure
document or +PDS is known,
in accordance with Listing
Rule 3.10.3C, we will complete
and lodge with ASX an
Appendix 2A online form
notifying ASX of their issue
and applying for their
quotation).
1.2 Registration type and number ABN 33120047556
Please supply your ABN, ARSN,
ARBN, ACN or another registration
type and number (if you supply
another registration type, please
specify both the type of registration
and the registration number).
1.3 ASX issuer code MEM
1.4 This announcement is ☐ A new announcement
Tick whichever is applicable. ☒ An update/amendment to a previous announcement
☐ A cancellation of a previous announcement
1.4a Reason for update Update to the capital raising timetable- extension of
Answer this question if your response closing date
to Q 1.4 is “An update/amendment to
previous announcement”. A reason
must be provided for an update.
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Appendix 3B Proposed issue of +securities

1.4b	*Date of previous announcement(s) to this update Answer this question if your response to Q 1.4 is “An update/amendment to previous announcement”.	18thAugust 2022
1.4c	*Reason for cancellation Answer this question if your response to Q 1.4 is “A cancellation of previous announcement”.
1.4d	*Date of previous announcement(s) to this cancellation Answer this question if your response to Q 1.4 is “A cancellation of previous announcement”.
1.5	*Date of this announcement	5thSeptember 2022
1.6	*The proposed issue is: Note: You can select more than one type of issue (e.g. an offer of securities under a securities purchase plan and a placement, however ASX may restrict certain events from being announced concurrently). Please contact your ASX listings compliance adviser if you are unsure.	☐A +bonus issue_(complete Parts 2 and 8) ☒A standard +pro rata issue (non-renounceable or renounceable)(complete Q1.6a and Parts 3 and 8) ☐An accelerated offer(complete Q1.6b and Parts 3 and 8) ☐An offer of +securities under a +securities purchase plan(complete Parts 4 and 8) ☐A non-+pro rata offer of +securities under a +disclosure document or +PDS(complete Parts 5 and 8) ☐A non-+pro rata offer to wholesale investors under an information memorandum(complete Parts 6 and 8) ☐A placement or other type of issue(complete Parts 7 and_ 8)
1.6a	*The proposed standard +pro rata issue is: Answer this question if your response to Q1.6 is “A standard pro rata issue (non-renounceable or renounceable).” Select one item from the list An issuer whose securities are currently suspended from trading cannot proceed with an entitlement offer that allows rights trading. If your securities are currently suspended, please consult your ASX listings compliance adviser before proceeding further.	☒Non-renounceable ☐Renounceable
1.6b	*The proposed accelerated offer is: Answer this question if your response to Q1.6 is “An accelerated offer” Select one item from the list An issuer whose securities are currently suspended from trading cannot proceed with an entitlement offer that allows rights trading. If your securities are currently suspended, please consult your ASX listings compliance adviser before proceeding further.	☐Accelerated non-renounceable entitlement offer (commonly known as a JUMBO or ANREO) ☐Accelerated renounceable entitlement offer (commonly known as an AREO) ☐Simultaneous accelerated renounceable entitlement offer (commonly known as a SAREO) ☐Accelerated renounceable entitlement offer with dual book-build structure (commonly known as a RAPIDS) ☐Accelerated renounceable entitlement offer with retail rights trading (commonly known as a PAITREO)

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This appendix is available as an online form

Appendix 3B Proposed issue of +securities

Part 2 – Details of proposed +bonus issue

If your response to Q1.6 is “A bonus issue”, please complete Parts 2A – 2D and the details of the securities proposed to be issued in Part 8. Refer to section 1 of Appendix 7A of the Listing Rules for the timetable for bonus issues.

Part 2A – Proposed +bonus issue – conditions

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Question Question Answer
No.
2A.1 Do any external approvals need to be Yes or No
obtained or other conditions satisfied before
the +bonus issue can proceed on an
unconditional basis?
For example, this could include:
• +Security holder approval
• Court approval
• Lodgement of court order with +ASIC
• ACCC approval
• FIRB approval
Disregard any approvals that have already been
obtained or conditions that have already been satisfied.
If any of the above approvals apply to the bonus issue,
they must be obtained before business day 0 of the
timetable. The relevant approvals must be received
before ASX can establish an ex market in the
securities.
2A.1a Conditions
Answer these questions if your response to Q2A.1 is “Yes”.
Approval/ condition Date for Is the date Approval received/ Comments
Type determination estimated or condition met?
Select the applicable actual? Please respond “Yes” or
approval/condition The ‘date for “No”. Only answer this
from the list (ignore determination’ is question when you know
those that are not the date that the outcome of the
applicable). More than you expect to approval. Note that you
one approval/condition know if the will need to lodge an
can be selected. approval is updated Appendix 3B
given or showing that all required
condition is approvals have been
satisfied (for obtained and conditions
example, the have been met prior to
date of the business day 0 in the
security holder timetable for the bonus
meeting in the issue in Appendix 7A of
case of security the listing rules.
holder approval
or the date of
the court
hearing in the
case of court
approval).
+Security holder
approval
Court approval
Lodgement of court
order with +ASIC
ACCC approval
FIRB approval
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Appendix 3B Proposed issue of +securities

Other (please specify in comment section)

Part 2B – Proposed +bonus issue - issue details

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Question Question Answer
No.
2B.1 Class or classes of +securities that will
participate in the proposed +bonus issue
(please enter both the ASX security code &
description)
If more than one class of security will participate in the
proposed bonus issue, make sure you clearly identify
any different treatment between the classes.
2B.2 Class of +securities that will be issued in
the proposed +bonus issue (please enter
both the ASX security code & description)
2B.3 Issue ratio for
Enter the quantity of additional securities to be issued
for a given quantity of securities held (for example, 1
for 2 means 1 new security issued for every 2 existing
securities held).
Please only enter whole numbers (for example, a
bonus issue of 1 new security for every 2.5 existing
securities held should be expressed as “2 for 5”).
2B.4 What will be done with fractional ☐ Fractions rounded up to the next whole
entitlements? number
Select one item from the list.
☐ Fractions rounded down to the nearest
whole number or fractions disregarded
☐ Fractions sold and proceeds distributed
☐ Fractions of 0.5 or more rounded up
☐ Fractions over 0.5 rounded up
☐ Not applicable
2B.5 Maximum number of +securities proposed
to be issued (subject to rounding)
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Part 2C – Proposed +bonus issue – timetable

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Question Question Answer
No.
2C.1 +Record date
Record date to identify security holders entitled to
participate in the bonus issue. Per Appendix 7A section
1 the record date must be at least 4 business days
from the announcement date (day 0).
2C.3 Ex date
Per Appendix 7A section 1 the ex date is one business
day before the record date. This is also the date that
the bonus securities will commence quotation on a
deferred settlement basis.
2C.4 Record date
Same as Q2C.1 above
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Appendix 3B Proposed issue of +securities

2C.5	*+Issue date Per Appendix 7A section 1 the issue date should be at least one business day and no more than 5 business days after the record date (the last day for the entity to issue the bonus securities and lodge an Appendix 2A with ASX to apply for quotation of the bonus securities). Deferred settlement trading will end at market close on this day.
2C.6	*Date trading starts on a normal T+2 basis Per Appendix 7A section 1 this is one business day after the issue date.
2C.7	*First settlement date of trades conducted on a +deferred settlement basis and on a normal T+2 basis Per Appendix 7A section 1 this is two business days after trading starts on a normal T+2 basis (3 business days after the issue date).

Part 2D – Proposed +bonus issue – further information

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Question Question Answer
No.
2D.1 Will holdings on different registers or sub Yes or No
registers be aggregated for the purposes of
determining entitlements to the +bonus
issue?
2D.1a Please explain how holdings on different
registers or subregisters will be aggregated
for the purposes of determining entitlements
Answer this question if your response to Q2D.1 is
“Yes”.
2D.2 Countries in which the entity has +security
holders who will not be eligible to participate
in the proposed +bonus issue
Note: The entity must send each holder to whom it will
not offer the securities details of the issue and advice
that the entity will not offer securities to them (listing
rule 7.7.1(b)).
2D.3 Will the entity be changing its Yes or No
dividend/distribution policy as a result of the
proposed +bonus issue
2D.3a Please explain how the entity will change its
dividend/distribution policy if the proposed
+bonus issue proceeds
Answer this question if your response to Q2D.3 is
“Yes”.
2D.4 Details of any material fees or costs to be
incurred by the entity in connection with the
proposed +bonus issue
2D.5 Any other information the entity wishes to
provide about the proposed +bonus issue
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Appendix 3B Proposed issue of +securities

Part 3 – Details of proposed entitlement offer

If your response to Q1.6 is “A standard pro rata issue (non-renounceable or renounceable)” or “An accelerated offer”, please complete parts 3A, 3F and 3G and the details of the securities proposed to be issued in Part 8. Please also complete Parts 3B and 3C if your response to Q1.6 is “A standard pro rata issue (non-renounceable or renounceable)” and Parts 3D and 3E if your response to Q1.6 is “An accelerated offer”. Refer to sections 2,3,4,5 and 6 of Appendix 7A of the Listing Rules for the respective timetables for entitlement offers, including non-renounceable, renounceable and accelerated offers.

Part 3A – Proposed entitlement offer – conditions

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Question Question Answer
No.
3A.1 Do any external approvals need to be No
obtained or other conditions satisfied before
the entitlement offer can proceed on an
unconditional basis?
For example, this could include:
• +Security holder approval
• Court approval
• Lodgement of court order with +ASIC
• ACCC approval
• FIRB approval
Disregard any approvals that have already been
obtained or conditions that have already been satisfied.
If any of the above approvals apply to the entitlement
offer, they must be obtained before business day 0 of
the timetable. The relevant approvals must be received
before ASX can establish an ex market in the
securities.
3A.1a Conditions
Answer these questions if your response to Q3A.1 is “Yes”.
Approval/ condition Date for Is the date Approval received/ Comments
Type determination estimated or condition met?
Select the applicable The ‘date for actual? Please respond “Yes” or
approval/condition determination’ is the “No”. Only answer this
from the list (ignore date that you expect to question when you know
those that are not know if the approval is the outcome of the
applicable). More than given or condition is approval. Note that you
one approval/condition satisfied (for example, will need to lodge an
can be selected. the date of the security updated Appendix 3B
holder meeting in the showing that all required
case of security holder approvals have been
approval or the date of obtained and conditions
the court hearing in the have been met prior to
case of court approval). business day 0 in the
timetable for the
entitlement offer in
Appendix 7A of the
listing rules.
+Security holder
approval
Court approval
Lodgement of court
order with +ASIC
ACCC approval
FIRB approval
Other (please specify
in comment section)
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Appendix 3B Proposed issue of +securities

Part 3B – Proposed standard pro rata issue entitlement offer - offer details

If your response to Q1.6 is “A standard pro rata issue (non-renounceable or renounceable)”, please complete the relevant questions in this part.

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Question Question Answer
No.
3B.1 Class or classes of +securities that will MEM Ordinary fully Paid
participate in the proposed entitlement offer
(please enter both the ASX security code &
description)
If more than one class of security will participate in the
proposed entitlement offer, make sure you clearly
identify any different treatment between the classes.
3B.2 Class of +securities that will be issued in MEM Ordinary fully paid Existing Class
the proposed entitlement offer (please enter
both the ASX security code & description)
3B.3 Offer ratio 1 for 9
Enter the quantity of additional securities to be offered
for a given quantity of securities held (for example, 1
for 2 means 1 new security will be offered for every 2
existing securities held).
Please only enter whole numbers (for example, an
entitlement offer of 1 new security for every 2.5 existing
securities held should be expressed as “2 for 5”).
Listing rule 7.11.3 requires that non-renounceable
offers must not exceed a ratio of 1:1. Please ensure
that you comply with listing rule 7.11.3 or have a waiver
from that rule.
3B.4 What will be done with fractional ☒ Fractions rounded up to the next whole
entitlements? number
Select one item from the list.
☐ Fractions rounded down to the nearest
whole number or fractions disregarded
☐ Fractions sold and proceeds distributed
☐ Fractions of 0.5 or more rounded up
☐ Fractions over 0.5 rounded up
☐ Not applicable
3B.5 Maximum number of +securities proposed 88,019,816
to be issued (subject to rounding)
3B.6 Will individual +security holders be yes
permitted to apply for more than their
entitlement (i.e. to over-subscribe)?
3B.6a Describe the limits on over-subscription Allocation of the shortfall shares will be at
Answer this question if your response to Q3B.6 is the discretion of the Board in conjunction
“Yes”. with the Underwriter
3B.7 Will a scale back be applied if the offer is No
over-subscribed?
3B.7a Describe the scale back arrangements
Answer this question if your response to Q3B.7 is
“Yes”.
3B.8 In what currency will the offer be made? AUD
For example, if the consideration for the issue is
payable in Australian Dollars, state AUD.
3B.9 Has the offer price been determined? Yes
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Appendix 3B Proposed issue of +securities

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3B.9a What is the offer price per +security for the AUD 0.02000
retail offer?
Answer this question if your response to Q3B.9 is
“Yes”.
The offer price must be input as an amount per security
in the issue currency you have selected above using
the base unit of that currency (i.e. in Australian dollars,
rather than Australian cents, if the issue currency is
AUD).
Note that if you are proposing to have an offer price
with a fraction of a cent, the offer price must comply
with the minimum price step requirement in listing rule
7.11.2. Information about minimum price steps is
available here.
An offer price cannot be less than 0.1 Australian cents
(i.e. AUD0.001), which is the lowest price at which
securities can trade on ASX, unless the security is a
free attaching security and the offer price is nil (in
which case the offer price should be entered as ‘0.00’).
3B.9b How and when will the offer price be
determined?
Answer this question if your response to Q3B.9 is “No”.
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Part 3C – Proposed standard pro rata issue – timetable

If your response to Q1.6 is “A standard pro rata issue (non-renounceable or renounceable)”, please complete the relevant questions in this part.

Question No.	Question	Answer
3C.1	*+Record date Record date to identify security holders entitled to participate in the issue. Per Appendix 7A sections 2 and 3 the record date must be at least 3 business days from the announcement date (day 0)	24thAugust 2022
3C.2	*Ex date Per Appendix 7A sections 2 and 3 the Ex Date is one business day before the record date. For renounceable issues, this is also the date that rights will commence quotation on a deferred settlement basis.	23rdAugust 2022
3C.3	Date rights trading commences For renounceable issues only*- this is the date that rights will commence quotation initially on a deferred settlement basis
3C.4	*Record date Same as Q3C.1 above	24thAugust 2022
3C.5	*Date on which offer documents will be sent to +security holders entitled to participate in the +pro rata issue The offer documents can be sent to security holders as early as business day 4 but must be sent no later than business day 6. Business day 6 is the last day for the offer to open. For renounceable issues, deferred settlement trading in rights ends at the close of trading on this day. Trading in rights on a normal (T+2) settlement basis will start from market open on the next business day (i.e. business day 7) provided that the entity tells ASX by noon Sydney time that the offer documents have been sent or will have been sent by the end of the day.	29thAugust 2022

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Appendix 3B Proposed issue of +securities

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3C.6 Offer closing date 14 [th] September 2022
Offers close at 5pm on this day. The date must be at
least 7 business days after the entity announces that
the offer documents have been sent to holders.
3C.7 Last day to extend the offer closing date 5 [th] September 2022
At least 3 business days’ notice must be given to
extend the offer closing date. Notification must be
made before noon (Sydney time) on this day.
3C.8 Date rights trading ends
For renounceable issues only - rights trading ends at
the close of trading 5 business days before the
applications closing date.
3C.9 Trading in new +securities commences on 15 [th] September 2022
a deferred settlement basis
Non-renounceable issues - the business day after the
offer closing date
Renounceable issues – the business day after the date
rights trading ends
3C.10 [deleted]
3C.11 +Issue date and last day for entity to 21 [st] September 2022
announce results of +pro rata issue
Per Appendix 7A section 2 and section 3, the issue
date should be no more than 5 business days after the
offer closes date (the last day for the entity to issue the
securities taken up in the pro rata issue and lodge an
Appendix 2A with ASX to apply for quotation of the
securities). Deferred settlement trading will end at
market close on this day.
3C.12 Date trading starts on a normal T+2 basis 22 [nd] September 2022
Per Appendix 7A section 2 and 3 this is one business
day after the issue date.
3C.13 First settlement date of trades conducted 26 [th] September 2022
on a +deferred settlement basis and on a
normal T+2 basis
Per Appendix 7A section 2 and 3 1 this is two business
days after trading starts on a normal T+2 basis (3
business days after the issue date).
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Part 3D – Proposed accelerated offer – offer details

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Question Question Answer
No.
3D.1 Class or classes of +securities that will
participate in the proposed entitlement offer
(please enter both the ASX security code &
description)
If more than one class of security will participate in the
proposed entitlement offer, make sure you clearly
identify any different treatment between the classes.
3D.2 Class of +securities that will issued in the
proposed entitlement offer (please enter
both the ASX security code & description)
3D.3 Has the offer ratio been determined? Yes or No
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Appendix 3B Proposed issue of +securities

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3D.3a Offer ratio for
Answer this question if your response to Q3D.3 is
“Yes” or “No”. If your response to Q3D.3 is “No” please
provide an indicative ratio and state as indicative.
Enter the quantity of additional securities to be offered
for a given quantity of securities held (for example, 1
for 2 means 1 new security will be offered for every 2
existing securities held).
Please only enter whole numbers (for example, an
entitlement offer of 1 new security for every 2.5 existing
securities held should be expressed as “2 for 5”).
Listing rule 7.11.3 requires that non-renounceable
offers must not exceed a ratio of 1:1. Please ensure
that you comply with listing rule 7.11.3 or have a waiver
from that rule.
3D.3b How and when will the offer ratio be
determined?
Answer this question if your response to Q3D.3 is “No”.
Note that once the offer ratio is determined, this must
be provided via an update announcement.
3D.4 What will be done with fractional ☐ Fractions rounded up to the next whole
entitlements? number
Select one item from the list.
☐ Fractions rounded down to the nearest
whole number or fractions disregarded
☐ Fractions sold and proceeds distributed
☐ Fractions of 0.5 or more rounded up
☐ Fractions over 0.5 rounded up
☐ Not applicable
3D.5 Maximum number of +securities proposed
to be issued (subject to rounding)
3D.6 Will individual +security holders be Yes or No
permitted to apply for more than their
entitlement (i.e. to over-subscribe)?
3D.6a Describe the limits on over-subscription
Answer this question if your response to Q3D.6 is
“Yes”.
3D.7 Will a scale back be applied if the offer is Yes or No
over-subscribed?
3D.7a Describe the scale back arrangements
Answer this question if your response to Q3D.7 is
“Yes”.
3D.8 In what currency will the offer be made?
For example, if the consideration for the issue is
payable in Australian Dollars, state AUD.
3D.9 Has the offer price for the institutional offer Yes or No
been determined?
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Appendix 3B Proposed issue of +securities

3D.9a	*What is the offer price per +security for the institutional offer? Answer this question if your response to Q3D.9 is “Yes”. An indicative offer price must be provided if your response to Q3D.9 is “No”. A final offer price must be provided no later than 9am on the day the trading halt is lifted. The offer price must be input as an amount per security in the issue currency you have selected above using the base unit of that currency (i.e. in Australian dollars, rather than Australian cents, if the issue currency is AUD). Note that if you are proposing to have an offer price with a fraction of a cent, the offer price must comply with the minimum price step requirement in listing rule 7.11.2. Information about minimum price steps is available here. An offer price cannot be less than 0.1 Australian cents (i.e. AUD0.001), which is the lowest price at which securities can trade on ASX, unless the security is a free attaching security and the offer price is nil (in which case the offer price should be entered as ‘0.00’).
3D.9b	*How and when will the offer price for the institutional offer be determined? Answer this question if your response to Q3D.9 is “No”.
3D.9c	*Will the offer price for the institutional offer be determined by way of a bookbuild? Answer this question if your response to Q3D.9 is “No”. If your response to this question is “Yes”, please note the information that ASX expects to be announced about the results of the bookbuild set out in section 4.12 of Guidance Note 30 Notifying an Issue of Securities and Applying for their Quotation.	Yes or No
3D.9d	*Provide details of the parameters that will apply to the bookbuild for the institutional offer (e.g. the indicative price range for the bookbuild) Answer this question if your response to Q3D.9 is “No” and your response to Q3D.9c is “Yes”.
3D.10	*Has the offer price for the retail offer been determined?	Yes or No
3D.10a	*What is the offer price per +security for the retail offer? Answer this question if your response to Q3D.10 is “Yes”. An indicative offer price must be provided if your response to Q3D.10 is “No”. A final offer price must be provided no later than 9am on the day the trading halt is lifted. The offer price must be input as an amount per security in the issue currency you have selected above using the base unit of that currency (i.e. in Australian dollars, rather than Australian cents, if the issue currency is AUD). Note that if you are proposing to have an offer price with a fraction of a cent, the offer price must comply with the minimum price step requirement in listing rule 7.11.2. Information about minimum price steps is available here. An offer price cannot be less than 0.1 Australian cents (i.e. AUD0.001), which is the lowest price at which securities can trade on ASX, unless the security is a free attaching security and the offer price is nil (in which case the offer price should be entered as ‘0.00’).

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Appendix 3B Proposed issue of +securities

3D.10b	*How and when will the offer price for the retail offer be determined? Answer this question if your response to Q3D.10 is “No”.

Part 3E – Proposed accelerated offer – timetable

If your response to Q1.6 is “An accelerated offer”, please complete the relevant questions in this Part.

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Question
Question Answer
No.
3E.1a First day of trading halt
The entity is required to announce the accelerated offer
and give a completed Appendix 3B to ASX. If the
accelerated offer is conditional on security holder
approval or any other requirement, that condition must
have been satisfied and the entity must have
announced that fact to ASX. An entity should also
consider the rights of convertible security holders to
participate in the issue and what, if any, notice needs
to be given to them in relation to the issue
3E.1b Announcement date of accelerated offer
3E.2 Trading resumes on an ex-entitlement
basis (ex date)
For JUMBO, ANREO, AREO, SAREO, RAPIDs offers
3E.3 Trading resumes on ex-rights basis
For PAITREO offers only
3E.4 Rights trading commences
For PAITREO offers only
3E.5 Date offer will be made to eligible
institutional +security holders
3E.6 Application closing date for institutional
+security holders
3E.7 Institutional offer shortfall book build date
For AREO, SAREO, RAPIDs, PAITREO offers
3E.8 Announcement of results of institutional
offer
The announcement should be made before the
resumption of trading following the trading halt.
3E.9 +Record date
Record date to identify security holders entitled to
participate in the offer. Per Appendix 7A sections 4, 5
and 6 the record date must be at least 2 business days
from the announcement date (day 0).
3E.10 Settlement date of new +securities issued
under institutional entitlement offer
If DvP settlement applies, provided the Appendix 2A is
given to ASX before noon (Sydney time) this day,
normal trading in the securities will apply on the next
business day, and if DvP settlement does not apply on
the business day after that.
3E.11 +Issue date for institutional +security
holders
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Appendix 3B Proposed issue of +securities

3E.12	*Normal trading of new +securities issued under institutional entitlement offer
3E.13	*Date on which offer documents will be sent to retail +security holders entitled to participate in the +pro rata issue The offer documents can be sent to security holders as early as business day 4 but must be sent no later than business day 6. Business day 6 is the last day for the offer to open. For renounceable offers, deferred settlement trading in rights ends at the close of trading on this day. Trading in rights on a normal (T+2) settlement basis will start from market open on the next business day (i.e. business day 7) provided that the entity tells ASX by noon Sydney time that the offer documents have been sent or will have been sent by the end of the day.
3E.14	*Offer closing date for retail +security holders Offers close at 5pm on this day. The date must be at least 7 business days after the entity announces that the offer documents have been sent to holders.
3E.15	*Last day to extend the retail offer closing date At least 3 business days’ notice must be given to extend the offer closing date. Notification must be made before noon (Sydney time) on this day.
3E.16	*Rights trading end date For PAITREO offers only
3E.17	*Trading in new +securities commences on a deferred settlement basis For PAITREO offers only The business day after rights trading end date
3E.18	[deleted]
3E.19	Last day to announce results of retail offer, bookbuild for any shortfall (if applicable) Note this is the last day to announce results of retail offer for all offers except JUMBO and ANREO offers.
3E.20	Entity announces results of bookbuild (including any information about the bookbuild expected to be disclosed under section 4.12 of Guidance Note 30) For all offers except JUMBO, ANREO
3E.21	*+Issue date for retail +security holders and last day for entity to announce results of retail offer Per Appendix 7A section 4, the issue date should be no more than 5 business days after the offer closes date. Per Appendix 7A sections 5 and 6, the issue date should be no more than 8 business days after the offer closes date. This is the last day for the entity to issue the securities taken up in the pro rata issue and lodge an Appendix 2A with ASX to apply for quotation of the securities. Deferred settlement trading (if applicable) will end at market close on this day. Note, this is the last day for entity to announce results of retail offer for JUMBO and ANREO offers only.

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Appendix 3B Proposed issue of +securities

3E.22	*Date trading starts on a normal T+2 basis For PAITREO offers only This is one business day after the issue date.
3E.23	*First settlement date of trades conducted on a +deferred settlement basis and on a normal T+2 basis For PAITREO offers only This is two business days after trading starts on a normal T+2 basis (3 business days after the issue date).

Part 3F – Proposed entitlement offer – fees and expenses

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Question Question Answer
No.
3F.1 Will there be a lead manager or broker to Yes
the proposed offer?
3F.1a Who is the lead manager/broker? Canaccord Genuity (Australia) Limited
Answer this question if your response to Q3F.1 is
“Yes”.
3F.1b What fee, commission or other a) A management fee of 2.0% of the
consideration is payable to them for acting gross proceeds raised under the
as lead manager/broker? offer, and
Answer this question if your response to Q3F.1 is b) A selling/underwriting fee of 4.0% of
“Yes”. the gross proceeds raised from the
shortfall under the offer placed by
the Lead manager.
3F.2 Is the proposed offer to be underwritten? Yes
3F.2a Who are the underwriter(s)? Canaccord Genuity (Australia) Limited
Answer this question if your response to Q3F.2 is
“Yes”.
Note for issuers that are an ASX Listing (i.e. not an
ASX Debt Listing or ASX Foreign Exempt Listing): If
you are seeking to rely on listing rule 7.2 exception 2 to
issue the securities without security holder approval
under listing rule 7.1 and without using your placement
capacity under listing rules 7.1 or 7.1A, you must
include the details asked for in this and the next 3
questions.
3F.2b What is the extent of the underwriting (i.e. a) A management fee of 2.0% of the
the amount or proportion of the offer that is gross proceeds raised under the
underwritten)? offer, and
Answer this question if your response to Q3F.2 is b) A selling/underwriting fee of 4.0% of
“Yes”. the gross proceeds raised from the
shortfall under the offer placed by
the Lead manager.
3F.2c What fees, commissions or other a) A management fee of 2.0% of the
consideration are payable to them for acting gross proceeds raised under the
as underwriter(s)? offer, and
Answer this question if your response to Q3F.2 is b) A selling/underwriting fee of 4.0% of
“Yes”. the gross proceeds raised from the
This includes any applicable discount the underwriter shortfall under the offer placed by
receives to the issue price payable by participants in
the issue. the Lead manager.
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Appendix 3B Proposed issue of +securities

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3F.2d Provide a summary of the significant Indices fall; Non-Compliance with the
events that could lead to the underwriting disclosure requirements; Misleading
being terminated Prospectus; Restriction on allotment; ASIC
Answer this question if your response to Q3F.2 is application; Takeover Panel; Hostilities;
“Yes”. Authorisation; Indictable offence.
You may cross-refer to a disclosure document, PDS,
information memorandum, investor presentation or
other announcement with this information provided it
has been released on the ASX Market Announcements
Platform.
3F.2e Is a party referred to in listing rule 10.11 Yes
underwriting or sub-underwriting the
proposed offer?
Answer this question if the issuer is an ASX Listing (i.e.
not an ASX Debt Listing or ASX Foreign Exempt
Listing) and your response to Q3F.2 is “Yes”.
3F.2e(i) What is the name of that party? Alison Coutts
Answer this question if the issuer is an ASX Listing and
your response to Q3F.2e is “Yes”.
Note: If you are seeking to rely on listing rule 10.12
exception 2 to issue the securities to the underwriter or
sub-underwriter without security holder approval under
listing rule 10.11, you must include the details asked
for in this and the next 2 questions. If there is more
than one party referred to in listing rule 10.11 acting as
underwriter or sub-underwriter include all of their
details in this and the next 2 questions.
3F.2e(ii) What is the extent of their underwriting or $42,652
sub-underwriting (i.e. the amount or
proportion of the issue they have
underwritten or sub-underwritten)?
Answer this question if the issuer is an ASX Listing and
your response to Q3F.2e is “Yes”.
3F.2e(iii) What fee, commission or other Fee of 1.0% of the value of shares sub-
consideration is payable to them for acting underwritten (based on an offer price of
as underwriter or sub-underwriter? $0.02 per share.
Answer this question if the issuer is an ASX Listing and
your response to Q3F.2e is “Yes”.
Note: This includes any applicable discount the
underwriter or sub-underwriter receives to the issue
price payable by participants in the issue.
3F.3 Will brokers who lodge acceptances or No
renunciations on behalf of eligible +security
holders be paid a handling fee or
commission?
3F.3a Will the handling fee or commission be Dollar based ($) or percentage based (%)
dollar based or percentage based?
Answer this question if your response to Q3F.3 is
“Yes”.
3F.3b Amount of handling fee or commission $
payable to brokers who lodge acceptances
or renunciations on behalf of eligible
+security holders
Answer this question if your response to Q3F.3 is “Yes”
and your response to Q3F.3a is “dollar based”.
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Appendix 3B Proposed issue of +securities

3F.3c	*Percentage handling fee or commission payable to brokers who lodge acceptances or renunciations on behalf of eligible +security holders Answer this question if your response to Q3F.3 is “Yes” and your response to Q3F.3a is “percentage based”.	%
3F.3d	Please provide any other relevant information about the handling fee or commission method Answer this question if your response to Q3F.3 is “Yes”.
3F.4	Details of any other material fees or costs to be incurred by the entity in connection with the proposed offer

Part 3G – Proposed entitlement offer – further information

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Question Question Answer
No.
3G.1 The purpose(s) for which the entity intends ☐ For additional working capital
to use the cash raised by the proposed
☐ To fund the retirement of debt
issue
You may select one or more of the items in the list. ☐ To pay for the acquisition of an asset
[ provide details below ]
☐ To pay for services rendered [ provide
details below ]
☐ Other [ provide details below ]
Additional details:
-continuing the commercialisation of the
FelixTM System
-undertaking FelixTM System clinical trials
and other regulatory activities.
-continuing the development of other
pipeline products with Uni of Newcastle.
3G.2 Will holdings on different registers or No
subregisters be aggregated for the
purposes of determining entitlements to the
issue?
3G.2a Please explain how holdings on different
registers or subregisters will be aggregated
for the purposes of determining
entitlements.
Answer this question if your response to Q3G.2 is
“Yes”.
3G.3 Will the entity be changing its No
dividend/distribution policy if the proposed
issue is successful?
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Appendix 3B Proposed issue of +securities

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3G.3a Please explain how the entity will change
its dividend/distribution policy if the
proposed issue is successful
Answer this question if your response to Q3G.3 is
“Yes”.
3G.4 Countries in which the entity has +security The offer is not being extended and Shares
holders who will not be eligible to participate will not be issued to Shareholders with a
in the proposed issue registered address which is outside Australia
For non-renounceable issues (including or New Zealand.
accelerated): The entity must send each holder to
whom it will not offer the securities details of the issue
and advice that the entity will not offer securities to
them (listing rule 7.7.1(b)).
For renounceable issues (including accelerated):
The entity must send each holder to whom it will not
offer the securities details of the issue and advice that
the entity will not offer securities to them. It must also
appoint a nominee to arrange for the sale of the
entitlements that would have been given to those
holders and to account to them for the net proceeds of
the sale and advise each holder not given the
entitlements that a nominee in Australia will arrange for
sale of the entitlements and, if they are sold, for the net
proceeds to be sent to the holder (listing rule 7.7.1(b)
and (c)).
3G.5 Will the offer be made to eligible Yes
beneficiaries on whose behalf eligible
nominees or custodians hold existing
+securities
3G.5a Please provide further details of the offer to Nominees and Custodians may not submit
eligible beneficiaries an Entitlement and Acceptance Form on
Answer this question if your response to Q3G.5 is behalf of any shareholder resident outside
“Yes”. Australia and New Zealand without the prior
If, for example, the entity intends to issue a notice to consent of the Company, taking into account
eligible nominees and custodians please indicate here relevant securities law restrictions.
where it may be found and/or when the entity expects
to announce this information. You may enter a URL.
3G.6 URL on the entity's website where investors https://www.memphasys.com/investor-
can download information about the relations/
proposed issue
3G.7 Any other information the entity wishes to
provide about the proposed issue
3G.8 Will the offer of rights under the rights issue Yes
be made under a disclosure document or
product disclosure statement under Chapter
6D or Part 7.9 of the Corporations Act (as
applicable)?
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Appendix 3B Proposed issue of +securities

Part 4 – Details of proposed offer under +securities purchase plan

If your response to Q1.6 is “An offer of securities under a securities purchase plan”, please complete Parts 4A – 4F and the details of the securities proposed to be issued in Part 8. Refer to section 12 of Appendix 7A of the Listing Rules for the timetable for securities purchase plans.

Part 4A – Proposed offer under +securities purchase plan – conditions

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Question Question Answer
No.
4A.1 Do any external approvals need to be Yes or No
obtained or other conditions satisfied before
the offer of +securities under the +securities
purchase plan can proceed on an
unconditional basis?
For example, this could include:
• +Security holder approval
• Court approval
• Lodgement of court order with +ASIC
• ACCC approval
• FIRB approval
Disregard any approvals that have already been
obtained or conditions that have already been satisfied.
4A.1a Conditions
Answer these questions if your response to 4A.1 is “Yes”.
Approval/ condition Date for Is the date Approval received/ Comments
Type determination estimated or condition met?
Select the applicable The ‘date for actual? Please respond “Yes” or
approval/condition determination’ is the “No”. Only answer this
from the list (ignore date that you expect to question when you know
those that are not know if the approval is the outcome of the
applicable). More than given or condition is approval.
one approval/condition satisfied (for example,
can be selected. the date of the security
holder meeting in the
case of security holder
approval or the date of
the court hearing in the
case of court approval).
+Security holder
approval
Court approval
Lodgement of court
order with +ASIC
ACCC approval
FIRB approval
Other (please specify
in comment section)
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Part 4B – Proposed offer under +securities purchase plan – offer details

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Question Question Answer
No.
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Part 4B – Proposed offer under +securities purchase plan – offer details	Part 4B – Proposed offer under +securities purchase plan – offer details	Part 4B – Proposed offer under +securities purchase plan – offer details
Question No. Question Answer
4B.1	*Class or classes of +securities that will participate in the proposed offer (please enter both the ASX security code & description) If more than one class of security will participate in the securities purchase plan, make sure you clearly identify any different treatment between the classes.

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Appendix 3B Proposed issue of +securities

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4B.2 Class of +securities to be offered to them
under the +securities purchase plan (please
enter both the ASX security code &
description)
Only existing classes of securities may be offered in a
securities purchase plan.
A +security purchase plan is defined in Chapter 19 of
the Listing Rules as a purchase plan, as defined in
ASIC Corporations (Share and Interest Purchase
Plans) Instrument 2019/54. The ASIC Corporations
(Share and Interest Purchase Plans) Instrument
2019/54 is relevant for shares or interest that are in a
class which is quoted on the financial market operated
by ASX. Unquoted securities and securities that are not
yet quoted on ASX do not fall within the definition of
+security purchase plan, this has consequences for
Listing Rules 7.2 exception 5 and 10.12 exception 4.
Please ensure that you have received appropriate legal
advice with regards to an offer that includes an offer of
attaching securities.
4B.2a If the offer includes attaching +securities – Yes or No
please confirm whether the offer of the
attaching +securities is a separate offer to
the offer pursuant to the +security purchase
plan
4B.2b If the offer includes attaching +securities – Yes or No
please confirm whether the attaching
+securities are being offered under a
+disclosure document or +PDS
4B.3 Maximum total number of those +securities
that could be issued if all offers under the
+securities purchase plan are accepted
4B.4 Will the offer be conditional on applications Yes or No
for a minimum number of +securities being
received or a minimum amount being raised
(i.e. a minimum subscription condition)?
4B.4a Describe the minimum subscription
condition
Answer this question if your response to Q4B.4 is
“Yes”.
4B.5 Will the offer be conditional on applications Yes or No
for a maximum number of +securities being
received or a maximum amount being
raised (i.e. a maximum subscription
condition)?
4B.5a Describe the maximum subscription
condition
Answer this question if your response to Q4B.5 is
“Yes”.
4B.6 Will individual +security holders be Yes or No
required to accept the offer for a minimum
number or value of +securities (i.e. a
minimum acceptance condition)?
4B.6a Describe the minimum acceptance
condition
Answer this question if your response to Q4B.6 is
“Yes”.
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Appendix 3B Proposed issue of +securities

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4B.7 Will individual +security holders be limited Yes or No
to accepting the offer for a maximum
number or value of +securities (i.e. a
maximum acceptance condition)?
4B.7a Describe the maximum acceptance
condition
Answer this question if your response to Q4B.7 is
“Yes”.
4B.8 Describe all the applicable parcels
available for this offer in number of
securities or dollar value
For example, the offer may allow eligible holders to
subscribe for one of the following parcels: $2,500,
$7,500, $10,000, $15,000, $20,000, $30,000.
4B.9 Will a scale back be applied if the offer is Yes or No
over-subscribed?
4B.9a Describe the scale back arrangements
Answer this question if your response to Q4B.9 is
“Yes”.
4B.10 In what currency will the offer be made?
For example, if the consideration for the issue is
payable in Australian Dollars, state AUD.
4B.11 Has the offer price been determined? Yes or No
4B.11a What is the offer price per +security?
Answer this question if your response to Q4B.11 is
“Yes” using the currency specified in your answer to
Q4B.9.
4B.11b How and when will the offer price be
determined?
Answer this question if your response to Q4B.11 is
“No”.
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Part 4C – Proposed offer under +securities purchase plan – timetable

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Question Question Answer
No.
4C.1 Date of announcement of +security
purchase plan
The announcement of the security purchase plan must
preferably be made prior to the commencement of
trading on the announcement date but ASX will accept
announcements after this time.
4C.2 +Record date
This is the date to identify security holders who may
participate in the security purchase plan. Per Appendix
7A section 12 of the Listing Rules, this day is one
business day before the entity announces the security
purchase plan.
Note: the fact that an entity's securities may be in a
trading halt or otherwise suspended from trading on
this day does not affect this date being the date for
identifying which security holders may participate in the
security purchase plan.
4C.3 Date on which offer documents will be
made available to investors
4C.4 Offer open date
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Appendix 3B Proposed issue of +securities

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4C.5 Offer closing date
4C.6 [deleted]
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4C.5 *Offer closing date	4C.5 *Offer closing date	4C.5 *Offer closing date
4C.6 [deleted]
4C.7	*+Issue date and last day for entity to announce results of +security purchase plan offer Per Appendix 7A section 12 of the Listing Rules, the last day for the entity to issue the securities purchased under the plan is no more than 5 business days after the closing date. The entity should lodge an Appendix 2A with ASX applying for quotation of the securities before noon Sydney time on this day

Part 4D – Proposed offer under +securities purchase plan – listing rule requirements

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Question Question Answer
No.
4D.1 Does the offer under the +securities Yes or No
purchase plan meet all of the requirements
of listing rule 7.2 exception 5 or do you have
a waiver from those requirements?
Answer this question if the issuer is an ASX Listing (i.e.
not an ASX Debt Listing or ASX Foreign Exempt
Listing).
Listing rule 7.2 exception 5 can only be used once in
any 12 month period and only applies where:
 the +security purchase plan satisfies the conditions
in ASIC Corporations (Share and Interest Purchase
Plans) Instrument 2019/547 or would otherwise
satisfy those conditions but for the fact that the
entity’s securities have been suspended from
trading on ASX for more than a total of 5 days
during the 12 months before the day on which the
offer is made under the plan or, if the securities
have been quoted on ASX for less than 12 months,
during the period of quotation;
 the number of +securities to be issued under the
SPP must not be greater than 30% of the number of
fully paid +ordinary securities already on issue; and
 the issue price of the +securities must be at least
80% of the +volume weighted average market price
for +securities in that +class, calculated over the
last 5 days on which sales in the +securities were
recorded, either before the day on which the issue
was announced or before the day on which the
issue was made.
Please note that the offer of securities under the plan
also will not meet the requirements of listing rule 10.12
exception 4, meaning that parties referred to in listing
rule 10.11.1 to 10.11.5 will need to obtain security
holder approval under listing rule 10.11 to participate in
the offer.
4D.1a Are any of the +securities proposed to be Yes or No
issued without +security holder approval
using the entity's 15% placement capacity
under listing rule 7.1?
Answer this question if the issuer is an ASX Listing and
your response to Q4D.1 is “No”.
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Appendix 3B Proposed issue of +securities

4D.1a(i)	*How many +securities are proposed to be issued without +security holder approval using the entity’s 15% placement capacity under listing rule 7.1? Answer this question if the issuer is an ASX Listing, your response to Q4D.1 is “No” and your response to Q4D.1a is “Yes”. Please complete and separately send by email to your ASX listings adviser a work sheet in the form of Annexure B to Guidance Note 21 confirming the entity has the available capacity under listing rule 7.1 to issue that number of securities.
4D.1b	*Are any of the +securities proposed to be issued without +security holder approval using the entity's additional 10% placement capacity under listing rule 7.1A (if applicable)? Answer this question if the issuer is an ASX Listing and your response to Q4D.1 is “No”.	Yes or No
4D.1b(i)	*How many +securities are proposed to be issued without +security holder approval using the entity's additional 10% placement capacity under listing rule 7.1A? Answer this question if the issuer is an ASX Listing, your response to Q4D.1 is “No” and your response to Q4D.1b is “Yes”. Please complete and separately send by email to your ASX listings adviser a work sheet in the form of Annexure C to Guidance Note 21 confirming the entity has the available capacity under listing rule 7.1A to issue that number of securities.

Part 4E – Proposed offer under +securities purchase plan – fees and expenses

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Question Question Answer
No.
4E.1 Will there be a lead manager or broker to Yes or No
the proposed offer?
4E.1a Who is the lead manager/broker?
Answer this question if your response to Q4E.1 is
“Yes”.
4E.1b What fee, commission or other
consideration is payable to them for acting
as lead manager/broker?
Answer this question if your response to Q4E.1 is
“Yes”.
4E.2 Is the proposed offer to be underwritten? Yes or No
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Appendix 3B Proposed issue of +securities

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4E.2a Who are the underwriter(s)?
Answer this question if your response to Q4E.2 is
“Yes”.
Note for issuers that are an ASX Listing (i.e. not an
ASX Debt Listing or ASX Foreign Exempt Listing):
listing rule 7.2 exception 5 does not extend to an issue
of securities to or at the direction of an underwriter of
an SPP. The issue will require security holder approval
under listing rule 7.1 if you do not have the available
placement capacity under listing rules 7.1 and/or 7.1A
to cover the issue. Likewise, listing rule 10.12
exception 4 does not extend to an issue of securities to
or at the direction of an underwriter of an SPP. If a
party referred to in listing rule 10.11 is underwriting the
proposed offer, this will require security holder approval
under listing rule 10.11.
4E.2b What is the extent of the underwriting (i.e.
the amount or proportion of the offer that is
underwritten)?
Answer this question if your response to Q4E.2 is
“Yes”.
4E.2c What fees, commissions or other
consideration are payable to them for acting
as underwriter(s)?
Answer this question if your response to Q4E.2 is
“Yes”.
This information includes any applicable discount the
underwriter receives to the issue price payable by
participants in the issue.
4E.2d Provide a summary of the significant
events that could lead to the underwriting
being terminated
Answer this question if your response to Q4E.2 is
“Yes”.
You may cross-refer to a disclosure document, PDS,
information memorandum, investor presentation or
other announcement with this information provided it
has been released on the ASX Market Announcements
Platform.
4E.2e Is a party referred to in listing rule 10.11 Yes or No
underwriting or sub-underwriting the
proposed offer?
Answer this question if the issuer is an ASX Listing (i.e.
not an ASX Debt Listing or ASX Foreign Exempt
Listing) and your response to Q4E.2 is “Yes”.
Note: If your response is “Yes”, this will require security
holder approval under listing rule 10.11. Listing rule
10.12 exception 4 does not extend to an issue of
securities to an underwriter or sub-underwriter of an
SPP.
4E.2e(i) What is the name of that party?
Answer this question if the issuer is an ASX Listing and
your response to Q4E.2e is “Yes”.
Note: If there is more than one such party acting as
underwriter or sub-underwriter include all of their
details in this and the next 2 questions.
4E.2e(ii) What is the extent of their underwriting or
sub-underwriting (i.e. the amount or
proportion of the issue they have
underwritten or sub-underwritten)?
Answer this question if the issuer is an ASX Listing and
your response to Q4E.2e is “Yes”.
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Appendix 3B Proposed issue of +securities

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4E.2e(iii) What fee, commission or other
consideration is payable to them for acting
as underwriter or sub-underwriter?
Answer this question if the issuer is an ASX Listing and
your response to Q4E.2e is “Yes”.
Note: This includes any applicable discount the
underwriter or sub-underwriter receives to the issue
price payable by participants in the issue.
4E.3 Will brokers who lodge acceptances or Yes or No
renunciations on behalf of eligible +security
holders be paid a handling fee or
commission?
4E.3a Will the handling fee or commission be Dollar based ($) or percentage based (%)
dollar based or percentage based?
Answer this question if your response to Q4E.3 is
“Yes”.
4E.3b Amount of handling fee or commission $
payable to brokers who lodge acceptances
or renunciations on behalf of eligible
+security holders
Answer this question if your response to Q4E.3 is “Yes”
and your response to Q4E.3a is “dollar based”.
4E.3c Percentage handling fee or commission %
payable to brokers who lodge acceptances
or renunciations on behalf of eligible
+security holders
Answer this question if your response to Q4E.3 is “Yes”
and your response to Q4E.3a is “percentage based”.
4E.3d Please provide any other relevant
information about the handling fee or
commission method
Answer this question if your response to Q4E.3 is
“Yes”.
4E.4 Details of any other material fees or costs to
be incurred by the entity in connection with
the proposed offer
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Part 4F – Proposed offer under +securities purchase plan – further information

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----- Start of picture text -----

Question Question Answer
No.
4F.1 The purpose(s) for which the entity intends ☐ For additional working capital
to use the cash raised by the proposed
☐ To fund the retirement of debt
issue
You may select one or more of the items in the list. ☐ To pay for the acquisition of an asset
[ provide details below ]
☐ To pay for services rendered [ provide
details below ]
☐ Other [ provide details below ]
Additional details:
4F.2 Will the entity be changing its Yes or No
dividend/distribution policy if the proposed
issue is successful?
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5 June 2021

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This appendix is available as an online form

Appendix 3B Proposed issue of +securities

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4F.2a Please explain how the entity will change
its dividend/distribution policy if the
proposed issue is successful
Answer this question if your response to Q4F.2 is
“Yes”.
4F.3 Countries in which the entity has +security
holders who will not be eligible to participate
in the proposed offer
4F.4 URL on the entity's website where
investors can download information about
the proposed offer
4F.5 Any other information the entity wishes to
provide about the proposed offer
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Part 5 – Details of proposed non-pro rata offer under a +disclosure document or +PDS

If your response to Q1.6 is “A non-pro rata offer of securities under a disclosure document or PDS”, please complete Parts 5A – 5F and the details of the securities proposed to be issued in Part 8.

Part 5A - Proposed non-pro rata offer under a +disclosure document or +PDS – conditions

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----- Start of picture text -----

Question Question Answer
No.
5A.1 Do any external approvals need to be Yes or No
obtained or other conditions satisfied before
the non-pro rata offer of +securities under a
+disclosure document or + PDS can
proceed on an unconditional basis?
For example, this could include:
• +Security holder approval
• Court approval
• Lodgement of court order with +ASIC
• ACCC approval
• FIRB approval
Disregard any approvals that have already been
obtained or conditions that have already been satisfied.
5A.1a Conditions
Answer these questions if your response to 5A.1 is “Yes”.
Approval/ condition Date for Is the date Approval received/ Comments
Type determination estimated or condition met?
Select the applicable The ‘date for actual? Please respond “Yes” or
approval/condition determination’ is the “No”. Only answer this
from the list (ignore date that you expect to question when you know
those that are not know if the approval is the outcome of the
applicable). More than given or condition is approval.
one approval/condition satisfied (for example,
can be selected. the date of the security
holder meeting in the
case of security holder
approval or the date of
the court hearing in the
case of court approval).
+Security holder
approval
Court approval
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• See chapter 19 for defined terms

5 June 2021

Page 26

This appendix is available as an online form

Appendix 3B Proposed issue of +securities

Lodgement of court order with +ASIC ACCC approval FIRB approval Other (please specify in comment section)

Part 5B – Proposed non-pro rata offer under a +disclosure document or +PDS – offer details

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----- Start of picture text -----

Question Question Answer
No.
5B.1 Class of +securities to be offered under the
+disclosure document or +PDS (please
enter both the ASX security code &
description)
5B.2 The number of +securities to be offered
under the +disclosure document or +PDS
If the number of securities proposed to be issued is
based on a formula linked to a variable (for example,
VWAP or an exchange rate or interest rate), include the
number of securities based on the variable as at the
date the Appendix 3B is lodged with ASX and add a
note in the “Any other information the entity wishes to
provide about the proposed offer” field at the end of this
form making it clear that this number is based on the
variable as at the date of the Appendix 3B and that it
may change.
5B.3 Will the offer be conditional on applications Yes or No
for a minimum number of +securities being
received or a minimum amount being raised
(i.e. a minimum subscription condition)?
5B.3a Describe the minimum subscription
condition
Answer this question if your response to Q5B.3 is
“Yes”.
5B.4 Will the entity be entitled to accept over- Yes or No
subscriptions?
5B.4a Provide details of the number or value of
over-subscriptions that the entity may
accept
Answer this question if your response to Q5B.4 is
“Yes”.
5B.5 Will individual investors be required to Yes or No
accept the offer for a minimum number or
value of +securities (i.e. a minimum
acceptance condition)?
5B.5a Describe the minimum acceptance
condition
Answer this question if your response to Q5B.5 is
“Yes”.
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Page 27

This appendix is available as an online form

Appendix 3B Proposed issue of +securities

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5B.6 Will individual investors be limited to Yes or No
accepting the offer for a maximum number
or value of +securities (i.e. a maximum
acceptance condition)?
5B.6a Describe the maximum acceptance
condition
Answer this question if your response to Q5B.6 is
“Yes”.
5B.7 Will a scale back be applied if the offer is Yes or No
over-subscribed?
5B.7a Describe the scale back arrangements
Answer this question if your response to Q5B.7 is
“Yes”.
5B.8 In what currency will the offer be made?
For example, if the consideration for the issue is
payable in Australian Dollars, state AUD.
5B.9 Has the offer price been determined? Yes or No
5B.9a What is the offer price per +security?
Answer this question if your response to Q5B.9 is “Yes”
using the currency specified in your answer to Q5B.8.
5B.9b How and when will the offer price be
determined?
Answer this question if your response to Q5B.9 is “No”.
5B.9c Will the offer price be determined by way of Yes or No
a bookbuild?
Answer this question if your response to Q5B.9 is “No”.
If your response to this question is “Yes”, please note
the information that ASX expects to be announced
about the results of the bookbuild set out in
section 4.12 of Guidance Note 30 Notifying an Issue of
Securities and Applying for their Quotation.
5B.9d Provide details of the parameters that will
apply to the bookbuild (e.g. the indicative
price range for the bookbuild)
Answer this question if your response to Q5B.9 is “No”
and your response to Q5B.9c is “Yes”.
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Part 5C – Proposed non-pro rata offer under a +disclosure document or +PDS – timetable

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Question Question Answer
No.
5C.1 Lodgement date of +disclosure document
or +PDS with ASIC
Note: If the securities are to be quoted on ASX, you
must lodge an Appendix 2A Application for Quotation
of Securities with ASX within 7 days of this date.
5C.2 Date when +disclosure document or +PDS
and acceptance forms will be made
available to investors
5C.3 Offer open date
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• See chapter 19 for defined terms

5 June 2021

Page 28

This appendix is available as an online form

Appendix 3B Proposed issue of +securities

5C.4	*Closing date for receipt of acceptances
5C.5	[deleted]
5C.6	*Proposed +issue date

Part 5D – Proposed non-pro rata offer under a +disclosure document or +PDS – listing rule requirements

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Question Question Answer
No.
5D.1 Has the entity obtained, or is it obtaining, Yes or No
+security holder approval for the entire
issue under listing rule 7.1?
Answer this question if the issuer is an ASX Listing (i.e.
not an ASX Debt Listing or ASX Foreign Exempt
Listing).
If the issuer has obtained security holder approval for
part of the issue only and is therefore relying on its
placement capacity under listing rule 7.1 and/or listing
rule 7.1A for the remainder of the issue, the response
should be ‘no’.
5D.1a Date of meeting or proposed meeting to
approve the issue under listing rule 7.1
Answer this question if the issuer is an ASX Listing and
your response to Q5D.1 is “Yes”.
5D.1b Are any of the +securities proposed to be Yes or No
issued without +security holder approval
using the entity’s 15% placement capacity
under listing rule 7.1?
Answer this question if the issuer is an ASX Listing and
your response to Q5D.1 is “No”.
5D.1b(i) How many +securities are proposed to be
issued without +security holder approval
using the entity's 15% placement capacity
under listing rule 7.1?
Answer this question if the issuer is an ASX Listing,
your response to Q5D.1 is “No” and your response to
Q5D.1b is “Yes”.
Please complete and separately send by email to your
ASX listings adviser a work sheet in the form of
Annexure B to Guidance Note 21 confirming the entity
has the available capacity under listing rule 7.1 to issue
that number of securities.
5D.1c Are any of the +securities proposed to be Yes or No
issued without +security holder approval
using the entity's additional 10% placement
capacity under listing rule 7.1A (if
applicable)?
Answer this question if the issuer is an ASX Listing and
your response to Q5D.1 is “No”.
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• See chapter 19 for defined terms

5 June 2021

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This appendix is available as an online form

Appendix 3B Proposed issue of +securities

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5D.1c(i) How many +securities are proposed to be
issued without +security holder approval
using the entity’s additional 10% placement
capacity under listing rule 7.1A?
Answer this question if the issuer is an ASX Listing,
your response to Q5D.1 is “No” and your response to
Q5D.1c is “Yes”.
Please complete and separately send by email to your
ASX listings adviser a work sheet in the form of
Annexure C to Guidance Note 21 confirming the entity
has the available capacity under listing rule 7.1A to
issue that number of securities.
5D.2 Is a party referred to in listing rule 10.11 Yes or No
participating in the proposed issue?
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Part 5E – Proposed non-pro rata offer under a disclosure document or PDS – fees and expenses

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----- Start of picture text -----

Question Question Answer
No.
5E.1 Will there be a lead manager or broker to Yes or No
the proposed offer?
5E.1a Who is the lead manager/broker?
Answer this question if your response to Q5E.1 is
“Yes”.
5E.1b What fee, commission or other
consideration is payable to them for acting
as lead manager/broker?
Answer this question if your response to Q5E.1 is
“Yes”.
5E.2 Is the proposed offer to be underwritten? Yes or No
5E.2a Who are the underwriter(s)?
Answer this question if your response to Q5E.2 is
“Yes”.
5E.2b What is the extent of the underwriting (i.e.
the amount or proportion of the offer that is
underwritten)?
Answer this question if your response to Q5E.2 is
“Yes”.
5E.2c What fees, commissions or other
consideration are payable to them for acting
as underwriter(s)?
Answer this question if your response to Q5E.2 is
“Yes”.
Note: This includes any applicable discount the
underwriter receives to the issue price payable by
participants in the offer.
5E.2d Provide a summary of the significant
events that could lead to the underwriting
being terminated
Answer this question if your response to Q5E.2 is
“Yes”.
You may cross-refer to another document with this
information provided it has been released on the ASX
Market Announcements Platform.
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• See chapter 19 for defined terms 5 June 2021

Page 30

This appendix is available as an online form

Appendix 3B Proposed issue of +securities

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5E.2e Is a party referred to in listing rule 10.11 Yes or No
underwriting or sub-underwriting the
proposed offer?
Answer this question if the issuer is an ASX Listing (i.e.
not an ASX Debt Listing or ASX Foreign Exempt
Listing) and your response to Q5E.2 is “Yes”.
Note: If your response is “Yes”, this will require security
holder approval under listing rule 10.11.
5E.2e(i) What is the name of that party?
Answer this question if the issuer is an ASX Listing and
your response to Q5E.2e is “Yes”.
Note: If there is more than one such party acting as
underwriter or sub-underwriter include all of their
details in this and the next 2 questions.
5E.2e(ii) What is the extent of their underwriting or
sub-underwriting (ie the amount or
proportion of the issue they have
underwritten or sub-underwritten)?
Answer this question if the issuer is an ASX Listing and
your response to Q5E.2e is “Yes”.
5E.2e(iii) What fee, commission or other
consideration is payable to them for acting
as underwriter or sub-underwriter?
Answer this question if the issuer is an ASX Listing and
your response to Q5E.2e is “Yes”.
Note: This includes any applicable discount the
underwriter or sub-underwriter receives to the issue
price payable by participants in the issue.
5E.3 Will brokers who lodge acceptances or Yes or No
renunciations on behalf of eligible +security
holders be paid a handling fee or
commission?
5E.3a * Will the handling fee or commission be Dollar based ($) or percentage based (%)
dollar based or percentage based?
Answer this question if your response to Q5E.3 is
“Yes”.
5E.3b Amount of handling fee or commission $
payable to brokers who lodge acceptances
or renunciations on behalf of eligible
+security holders
Answer this question if your response to Q5E.3 is “Yes”
and your response to Q5E.3a is “dollar based”.
5E.3c Percentage handling fee or commission %
payable to brokers who lodge acceptances
or renunciations on behalf of eligible
+security holders
Answer this question if your response to Q5E.3 is “Yes”
and your response to Q5E.3a is “percentage based”.
5E.3d Please provide any other relevant
information about the handling fee or
commission method
Answer this question if your response to Q5E.3 is
“Yes”.
5E.4 Details of any other material fees or costs to
be incurred by the entity in connection with
the proposed offer
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• See chapter 19 for defined terms 5 June 2021

Page 31

This appendix is available as an online form

Appendix 3B Proposed issue of +securities

Part 5F – Proposed non-pro rata offer under a +disclosure document or +PDS – further information

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----- Start of picture text -----

Question Question Answer
No.
5F.1 The purpose(s) for which the entity intends ☐ For additional working capital
to use the cash raised by the proposed offer
☐ To fund the retirement of debt
You may select one or more of the items in the list.
☐ To pay for the acquisition of an asset
[ provide details below ]
☐ To pay for services rendered [ provide
details below ]
☐ Other [ provide details below ]
Additional details:
5F.2 Will the entity be changing its Yes or No
dividend/distribution policy if the proposed
issue is successful?
5F.2a Please explain how the entity will change
its dividend/distribution policy if the
proposed issue is successful
Answer this question if your response to Q5F.2 is
“Yes”.
5F.3 Please explain the entity’s allocation policy
for the offer, including whether or not
acceptances from existing +security holders
will be given priority
5F.4 URL on the entity’s website where
investors can download the +disclosure
document or +PDS
5F.5 Any other information the entity wishes to
provide about the proposed offer
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• See chapter 19 for defined terms 5 June 2021

Page 32

This appendix is available as an online form

Appendix 3B Proposed issue of +securities

Part 6 – Details of proposed non-pro rata offer to wholesale investors under an +information memorandum

If your response to Q1.6 is “A non-+pro rata offer to wholesale investors under an information memorandum”, please complete Parts 6A – 6F and the details of the securities proposed to be issued in Part 8.

Part 6A – Proposed non-pro rata offer to wholesale investors under an +information memorandum – conditions

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----- Start of picture text -----

Question Question Answer
No.
6A.1 Do any external approvals need to be Yes or No
obtained or other conditions satisfied before
the non-pro rata offer to wholesale investors
under an information memorandum can
proceed on an unconditional basis?
For example, this could include:
• +Security holder approval
• Court approval
• Lodgement of court order with +ASIC
• ACCC approval
• FIRB approval
Disregard any approvals that have already been
obtained or conditions that have already been satisfied.
6A.1a Conditions
Answer these questions if your response to 6A.1 is “Yes”
Approval/ condition Date for Is the date Approval received/ Comments
Type determination estimated or condition met?
Select the applicable The ‘date for actual? Please respond “Yes” or
approval/condition determination’ is the “No”. Only answer this
from the list (ignore date that you expect to question when you know
those that are not know if the approval is the outcome of the
applicable). More than given or condition is approval.
one approval/condition satisfied (for example,
can be selected. the date of the security
holder meeting in the
case of security holder
approval or the date of
the court hearing in the
case of court approval).
+Security holder
approval
Court approval
Lodgement of court
order with +ASIC
ACCC approval
FIRB approval
Other (please specify
in comment section)
----- End of picture text -----**

• See chapter 19 for defined terms 5 June 2021

Page 33

This appendix is available as an online form

Appendix 3B Proposed issue of +securities

Part 6B – Proposed non-pro rata offer to wholesale investors under an +information memorandum – offer details

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----- Start of picture text -----

Question Question Answer
No.
6B.1 Class of +securities to be offered under the
+information memorandum (please enter
both the ASX security code & description)
6B.2 The number of +securities to be offered
under the +information memorandum
If the number of securities proposed to be issued is
based on a formula linked to a variable (for example,
VWAP or an exchange rate or interest rate), include the
number of securities based on the variable as at the
date the Appendix 3B is lodged with ASX and add a
note in the “Any other information the entity wishes to
provide about the proposed offer” field at the end of this
form making it clear that this number is based on the
variable as at the date of the Appendix 3B and that it
may change.
6B.3 Will the offer be conditional on applications Yes or No
for a minimum number of +securities being
received or a minimum amount being raised
(i.e. a minimum subscription condition)?
6B.3a Describe the minimum subscription
condition
Answer this question if your response to Q6B.3 is
“Yes”.
6B.4 Will the entity be entitled to accept over- Yes or No
subscriptions?
6B.4a Provide details of the number or value of
over-subscriptions that the entity may
accept
Answer this question if your response to Q6B.4 is
“Yes”.
6B.5 Will individual investors be required to Yes or No
accept the offer for a minimum number or
value of +securities (i.e. a minimum
acceptance condition)?
6B.5a Describe the minimum acceptance
condition
Answer this question if your response to Q6B.5 is
“Yes”.
6B.6 Will individual investors be limited to Yes or No
accepting the offer for a maximum number
or value of +securities (i.e. a maximum
acceptance condition)?
6B.6a Describe the maximum acceptance
condition
Answer this question if your response to Q6B.6 is
“Yes”.
6B.7 Will a scale back be applied if the offer is Yes or No
over-subscribed?
6B.7a Describe the scale back arrangements
Answer this question if your response to Q6B.7 is
“Yes”.
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• See chapter 19 for defined terms

5 June 2021

Page 34

This appendix is available as an online form

Appendix 3B Proposed issue of +securities

6B.8	*In what currency will the offer be made? For example, if the consideration for the issue is payable in Australian Dollars, state AUD.
6B.9	*Has the offer price been determined?	Yes or No
6B.9a	*What is the offer price per +security? Answer this question if your response to Q6B.9 is “Yes” using the currency specified in your answer to Q6B.8.
6B.9b	*How and when will the offer price be determined? Answer this question if your response to Q6B.9 is “No”.
6B.9c	*Will the offer price be determined by way of a bookbuild? Answer this question if your response to Q6B.9 is “No”. If your response to this question is “Yes”, please note the information that ASX expects to be announced about the results of the bookbuild set out in section 4.12 of Guidance Note 30 Notifying an Issue of Securities and Applying for their Quotation.	Yes or No
6B.9d	*Provide details of the parameters that will apply to the bookbuild (e.g. the indicative price range for the bookbuild) Answer this question if your response to Q6B.9 is “No” and your response to Q6B.9c is “Yes”.

Part 6C – Proposed non-pro rata offer to wholesale investors under an +information memorandum – timetable

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----- Start of picture text -----

Question Question Answer
No.
6C.1 Expected date of +information
memorandum
6C.2 Date when +information memorandum and
acceptance forms will be made available to
investors
6C.3 Offer open date
6C.4 Closing date for receipt of acceptances
6C.5 [deleted]
6C.6 Proposed +Issue date
----- End of picture text -----*

• See chapter 19 for defined terms 5 June 2021

Page 35

This appendix is available as an online form

Appendix 3B Proposed issue of +securities

Part 6D – Proposed non-pro rata offer to wholesale investors under an +information memorandum – listing rule requirements

==> picture [440 x 617] intentionally omitted <==

----- Start of picture text -----

Question Question Answer
No.
6D.1 Has the entity obtained, or is it obtaining, Yes or No
+security holder approval for the entire
issue under listing rule 7.1?
Answer this question if the issuer is an ASX Listing (i.e.
not an ASX Debt Listing or ASX Foreign Exempt
Listing).
If the issuer has obtained security holder approval for
part of the issue only and is therefore relying on its
placement capacity under listing rule 7.1 and/or listing
rule 7.1A for the remainder of the issue, the response
should be ‘no’.
6D.1a Date of meeting or proposed meeting to
approve the issue under listing rule 7.1
Answer this question if the issuer is an ASX Listing and
your response to Q6D.1 is “Yes”.
6D.1b Are any of the +securities proposed to be Yes or No
issued without +security holder approval
using the entity's 15% placement capacity
under listing rule 7.1?
Answer this question if the issuer is an ASX Listing and
your response to Q6D.1 is “No”.
6D.1b(i) How many +securities are proposed to be
issued without +security holder approval
using the entity's 15% placement capacity
under listing rule 7.1?
Answer this question if the issuer is an ASX Listing,
your response to Q6D.1 is “No” and your response to
Q6D.1b is “Yes”.
Please complete and separately send by email to your
ASX listings adviser a work sheet in the form of
Annexure B to Guidance Note 21 confirming the entity
has the available capacity under listing rule 7.1 to issue
that number of securities.
6D.1c Are any of the +securities proposed to be Yes or No
issued without +security holder approval
using the entity's additional 10% placement
capacity under listing rule 7.1A (if
applicable)?
Answer this question if the issuer is an ASX Listing
your response to Q6D.1 is “No”.
6D.1c(i) How many +securities are proposed to be
issued without +security holder approval
using the entity's additional 10% placement
capacity under listing rule 7.1A?
Answer this question if the issuer is an ASX Listing,
your response to Q6D.1 is “No” and your response to
Q6D.1c is “Yes”.
Please complete and separately send by email to your
ASX listings adviser a work sheet in the form of
Annexure C to Guidance Note 21 confirming the entity
has the available capacity under listing rule 7.1A to
issue that number of securities.
6D.2 Is a party referred to in listing rule 10.11 Yes or No
participating in the proposed issue?
----- End of picture text -----*

• See chapter 19 for defined terms

5 June 2021

Page 36

This appendix is available as an online form

Appendix 3B Proposed issue of +securities

Part 6E – Proposed non-pro rata offer to wholesale investors under an +information memorandum – fees and expenses

==> picture [440 x 587] intentionally omitted <==

----- Start of picture text -----

Question Question Answer
No.
6E.1 Will there be a lead manager or broker to Yes or No
the proposed offer?
6E.1a Who is the lead manager/broker?
Answer this question if your response to Q6E.1 is
“Yes”.
6E.1b What fee, commission or other
consideration is payable to them for acting
as lead manager/broker?
Answer this question if your response to Q6E.1 is
“Yes”.
6E.2 Is the proposed offer to be underwritten? Yes or No
6E.2a Who are the underwriter(s)?
Answer this question if your response to Q6E.2 is
“Yes”.
6E.2b What is the extent of the underwriting (i.e.
the amount or proportion of the offer that is
underwritten)?
Answer this question if your response to Q6E.2 is Yes
6E.2c What fees, commissions or other
consideration are payable to them for acting
as underwriter(s)?
Answer this question if your response to Q6E.2 is
“Yes”.
Note: This includes any applicable discount the
underwriter receives to the issue price payable by
participants in the issue.
6E.2d Provide a summary of the significant
events that could lead to the underwriting
being terminated
Answer this question if your response to Q6E.2 is
"Yes”.
You may cross-refer to another document with this
information provided it has been released on the ASX
Market Announcements Platform.
6E.2e Is a party referred to in listing rule 10.11 Yes or No
underwriting or sub-underwriting the
proposed offer?
Answer this question if the issuer is an ASX Listing and
your response to Q6E.2 is “Yes”.
Note: If your response is “Yes”, this will require security
holder approval under listing rule 10.11.
6E.2e(i) What is the name of that party?
Answer this question if the issuer is ASX Listing and
your response to Q6E.2e is “Yes”.
Note: If there is more than one such party acting as
underwriter or sub-underwriter include all of their
details in this and the next 2 questions
----- End of picture text -----

• See chapter 19 for defined terms

5 June 2021

Page 37

This appendix is available as an online form

Appendix 3B Proposed issue of +securities

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6E.2e(ii) What is the extent of their underwriting or
sub-underwriting (ie the amount or
proportion of the issue they have
underwritten or sub-underwritten)?
Answer this question if the issuer is an ASX Listing and
your response to Q6E.2e is “Yes”.
6E.2e(iii) What fee, commission or other
consideration is payable to them for acting
as underwriter or sub-underwriter?
Answer this question if the issuer is ASX Listing and
your response to Q6E.2e is “Yes”.
Note: This includes any applicable discount the
underwriter or sub-underwriter receives to the issue
price payable by participants in the issue.
6E.3 Will brokers who lodge acceptances or Yes or No
renunciations on behalf of eligible +security
holders be paid a handling fee or
commission?
6E.3a * Will the handling fee or commission be Dollar based ($) or percentage based (%)
dollar based or percentage based?
Answer this question if your response to Q6E.3 is
“Yes”.
6E.3b Amount of handling fee or commission $
payable to brokers who lodge acceptances
or renunciations on behalf of eligible
+security holders
Answer this question if your response to Q6E.3 is “Yes”
and your response to Q6E.3a is “dollar based”.
6E.3c Percentage handling fee or commission %
payable to brokers who lodge acceptances
or renunciations on behalf of eligible
+security holders
Answer this question if your response to Q6E.3 is “Yes”
and your response to Q6E.3a is “percentage based”.
6E.3d Please provide any other relevant
information about the handling fee or
commission method
Answer this question if your response to Q6E.3 is
“Yes”.
6E.4 Details of any other material fees or costs to
be incurred by the entity in connection with
the proposed offer
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Appendix 3B Proposed issue of +securities

Part 6F – Proposed non-pro rata offer to wholesale investors under an +information memorandum – further information

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Question Question Answer
No.
6F.1 The purpose(s) for which the entity intends ☐ For additional working capital
to use the cash raised by the proposed offer
☐ To fund the retirement of debt
You may select one or more of the items in the list.
☐ To pay for the acquisition of an asset
[ provide details below ]
☐ To pay for services rendered [ provide
details below ]
☐ Other [ provide details below ]
Additional details:
6F.2 Will the entity be changing its Yes or No
dividend/distribution policy if the proposed
issue is successful?
6F.2a Please explain how the entity will change
its dividend/distribution policy if the
proposed issue is successful
Answer this question if your response to Q6F.2 is
“Yes”.
6F.3 Please explain the entity’s allocation policy
for the offer, including whether or not
acceptances from existing +security holders
will be given priority
6F.4 URL on the entity’s website where
wholesale investors can download the
+information memorandum
6F.5 Any other information the entity wishes to
provide about the proposed offer
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Appendix 3B Proposed issue of +securities

Part 7 – Details of proposed placement or other issue

If your response to Q1.6 is “A placement or other type of issue”, please complete Parts 7A – 7F and the details of the securities proposed to be issued in Part 8.

Part 7A – Proposed placement or other issue – conditions

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Question Question Answer
No.
7A.1 Do any external approvals need to be
obtained or other conditions satisfied before
the placement or other type of issue can
proceed on an unconditional basis?
For example, this could include:
• +Security holder approval
• Court approval
• Lodgement of court order with +ASIC
• ACCC approval
• FIRB approval
Disregard any approvals that have already been
obtained or conditions that have already been satisfied.
7A.1a Conditions
Answer these questions if your response to 7A.1 is “Yes”.
Approval/ condition Date for Is the date Approval received/ Comments
Type determination estimated or condition met?
Select the applicable The ‘date for actual? Please answer “Yes” or
approval/condition determination’ is the “No”. Only answer this
from the list (ignore date that you expect to question when you know
those that are not know if the approval is the outcome of the
applicable). More than given or condition is approval.
one approval/condition satisfied (for example,
can be selected. the date of the security
holder meeting in the
case of security holder
approval or the date of
the court hearing in the
case of court approval).
+Security holder
approval
Court approval
Lodgement of court
order with +ASIC
ACCC approval
FIRB approval
Other (please specify
in comment section)
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Part 7B – Details of proposed placement or other issue - issue details

Question No.	Question	Answer
7B.1	*Class of +securities to be offered under the placement or other issue (please enter both the ASX security code & description)

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7B.2 Number of +securities proposed to be
issued
If the number of securities proposed to be issued is
based on a formula linked to a variable (for example,
VWAP or an exchange rate or interest rate), include
the number of securities based on the variable as at
the date the Appendix 3B is lodged with ASX and add
a note in the “Any other information the entity wishes to
provide about the proposed offer” field at the end of
this form making it clear that this number is based on
the variable as at the date of the Appendix 3B and that
it may change.
7B.3 Are the +securities proposed to be issued
being issued for a cash consideration?
If the securities are being issued for nil cash consideration, answer
this question “No”.
7B.3a In what currency is the cash consideration
being paid
For example, if the consideration is being paid in
Australian Dollars, state AUD.
Answer this question if your response to Q7B.3 is
“Yes”.
7B.3b What is the issue price per +security
Answer this question if your response to Q7B.3 is “Yes”
and by reference to the issue currency provided in your
response to Q7B.3a.
Note: you cannot enter a nil amount here. If the
securities are being issued for nil cash consideration,
answer Q7B.3 as “No” and complete Q7B.3d.
7B.3c AUD equivalent to issue price amount per
+security
Answer this question if the currency is non-AUD
7B.3d Please describe the consideration being
provided for the +securities
Answer this question if your response to Q7B.3 is “No”.
7B.3e Please provide an estimate of the AUD
equivalent of the consideration being
provided for the +securities
Answer this question if your response to Q7B.1 is “No”.
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Part 7C – Proposed placement or other issue – timetable

Question No.	Question	Answer
7C.1	*Proposed +issue date

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Appendix 3B Proposed issue of +securities

Part 7D – Proposed placement or other issue – listing rule requirements

Question No.	Question	Answer
7D.1	*Has the entity obtained, or is it obtaining, +security holder approval for the entire issue under listing rule 7.1? Answer this question if the issuer is an ASX Listing (i.e. not an ASX Debt Listing or ASX Foreign Exempt Listing). If the issuer has obtained security holder approval for part of the issue only and is therefore relying on its placement capacity under listing rule 7.1 and/or listing rule 7.1A for the remainder of the issue, the response should be ‘no’.
7D.1a	*Date of meeting or proposed meeting to approve the issue under listing rule 7.1 Answer this question if the issuer is an ASX Listing and your response to Q7D.1 is “Yes”.
7D.1b	*Are any of the +securities proposed to be issued without +security holder approval using the entity's 15% placement capacity under listing rule 7.1? Answer this question if the issuer is an ASX Listing and your response to Q7D.1 is “No”.
7D.1b(i)	*How many +securities are proposed to be issued without +security holder approval using the entity’s 15% placement capacity under listing rule 7.1? Answer this question the issuer is an ASX Listing, your response to Q7D.1 is “No” and if your response to Q7D.1b is “Yes”. Please complete and separately send by email to your ASX listings adviser a work sheet in the form of Annexure B to Guidance Note 21 confirming the entity has the available capacity under listing rule 7.1 to issue that number of securities.
7D.1c	*Are any of the +securities proposed to be issued without +security holder approval using the entity's additional 10% placement capacity under listing rule 7.1A (if applicable)? Answer this question if the issuer is an ASX Listing and your response to Q7D.1 is “No”.
7D.1c(i)	*How many +securities are proposed to be issued without +security holder approval using the entity's additional 10% placement capacity under listing rule 7.1A? Answer this question if the issuer is an ASX Listing, your response to Q7D.1 is “No” and your response to Q7D.1c is “Yes”. Please complete and separately send by email to your ASX listings adviser a work sheet in the form of Annexure C to Guidance Note 21 confirming the entity has the available capacity under listing rule 7.1A to issue that number of securities.

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Appendix 3B Proposed issue of +securities

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7D.1c(ii) Please explain why the entity has chosen
to do a placement or other issue rather than
a +pro rata issue or an offer under a
+security purchase plan in which existing
ordinary +security holders would have been
eligible to participate
Answer this question if the issuer is an ASX Listing,
your response to Q7D.1 is “No” and your response to
Q7D.1c is “Yes”.
7D.2 Is a party referred to in listing rule 10.11
participating in the proposed issue?
Answer this question if the issuer is an ASX Listing.
Note: If your response is “Yes”, this will require security
holder approval under listing rule 10.11.
7D.3 Will any of the +securities to be issued be
+restricted securities for the purposes of the
listing rules?
Note: the entity should not apply for quotation of
restricted securities
7D.3a Please enter, the number and +class of the
+restricted securities and the date from
which they will cease to be +restricted
securities
Answer this question if your response to Q7D.3 is
“Yes”.
7D.4 Will any of the +securities to be issued be
subject to +voluntary escrow?
7D.4a Please enter the number and +class of the
+securities subject to +voluntary escrow
and the date from which they will cease to
be subject to +voluntary escrow
Answer this question if your response to Q7D.4 is
“Yes”.
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Part 7E – Proposed placement or other issue – fees and expenses

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Question Question Answer
No.
7E.1 Will there be a lead manager or broker to
the proposed issue?
7E.1a Who is the lead manager/broker?
Answer this question if your response to Q7E.1 is
“Yes”.
7E.1b What fee, commission or other a)
consideration is payable to them for acting
as lead manager/broker?
Answer this question if your response to Q7E.1 is
“Yes”.
7E.2 Is the proposed issue to be underwritten?
7E.2a Who are the underwriter(s)?
Answer this question if your response to Q7E.2 is
“Yes”.
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7E.2b What is the extent of the underwriting (i.e.
the amount or proportion of the issue that is
underwritten)?
Answer this question if your response to Q7E.2 is
“Yes”.
7E.2c What fees, commissions or other
consideration are payable to them for acting
as underwriter(s)?
Answer this question if your response to Q7E.2 is
“Yes”.
Note: This includes any applicable discount the
underwriter receives to the issue price payable by
participants in the issue.
7E.2d Provide a summary of the significant
events that could lead to the underwriting
being terminated
Answer this question if your response to Q7E.2 is
“Yes”.
Note: You may cross-refer to a covering
announcement or to a separate annexure with this
information.
7E.3 Is a party referred to in listing rule 10.11 Yes or No
underwriting or sub-underwriting the
proposed issue?
Answer this question if the issuer is an ASX Listing (i.e.
not an ASX Debt Listing or ASX Foreign Exempt
Listing) and your response to Q7E.2 is “Yes”.
Note: If your response is “Yes”, this will require security
holder approval under listing rule 10.11.
7E.3a What is the name of that party?
Answer this question if the issuer is an ASX Listing and
your response to Q7E.3 is “Yes”.
Note: If there is more than one such party acting as
underwriter or sub-underwriter include all of their
details in this and the next 2 questions.
7E.3b What is the extent of their underwriting or
sub-underwriting (i.e. the amount or
proportion of the issue they have
underwritten or sub-underwritten)?
Answer this question if the issuer is an ASX Listing and
your response to Q7E.3 is “Yes”.
7E.3c What fee, commission or other
consideration is payable to them for acting
as underwriter or sub-underwriter?
Answer this question if the issuer is an ASX Listing and
your response to Q7E.3 is “Yes”.
Note: This includes any applicable discount the
underwriter or sub-underwriter receives to the issue
price payable by participants in the issue.
7E.4 Details of any other material fees or costs to
be incurred by the entity in connection with
the proposed issue
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Appendix 3B Proposed issue of +securities

Part 7F – Proposed placement or other issue – further information

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Question Question Answer
No.
7F.1 The purpose(s) for which the entity is ☐ To raise additional working capital
issuing the securities
☐ To fund the retirement of debt
You may select one or more of the items in the list.
☐ To pay for the acquisition of an asset
[ provide details below ]
☐ To pay for services rendered [ provide
details below ]
☐ Other [ provide details below ]
Additional details:
.
7F.2 Will the entity be changing its
dividend/distribution policy if the proposed
issue proceeds?
7F.2a Please explain how the entity will change
its dividend/distribution policy if the
proposed issue proceeds
Answer this question if your response to Q7F.2 is
“Yes”.
7F.3 Any other information the entity wishes to
provide about the proposed issue
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Appendix 3B Proposed issue of +securities

Part 8 – details of +securities proposed to be issued

Answer the relevant questions in this part for the type of +securities the entity proposes to issue. If the entity is proposing to issue more than one class of security, including free attaching securities, please complete a separate version of Part 8 for each class of security proposed to be issued.

Part 8A – type of +securities proposed to be issued

Question No.	Question	Answer
8A.1	*The +securities proposed to be issued are: Tick whichever is applicable Note: SPP offers must select “existing quoted class”	☐Additional +securities in a class that is already quoted on ASX ("existing quoted class") ☐Additional +securities in a class that is not currently quoted, and not intended to be quoted, on ASX ("existing unquoted class") ☐New +securities in a class that is not yet quoted, but is intended to be quoted, on ASX ("new quoted class") ☐New +securities in a class that is not quoted, and not intended to be quoted, on ASX ("new unquoted class")
8A.2	*Any on-sale of the +securities proposed to be issued within 12 months of their date of issue will comply with the secondary sale provisions in sections 707(3) and 1012C(6) of the Corporations Act by virtue of: Answer this question if your response to Q1.6 is “A standard pro rata issue (non-renounceable or renounceable)”, “An accelerated offer”, “A non-pro rata offer to wholesale investors under an information memorandum” or “A placement or other type of issue” and your response to Q8A.1 is “existing quoted class” or “new quoted class”. Note: Under Appendix 2A of the Listing Rules, when the entity applies for quotation of the securities proposed to be issued, it gives a warranty that an offer of the securities for sale within 12 months after their issue will not require disclosure under section 707(3) or 1012C(6) of the Corporations Act. If you are in any doubt as to the application of, or the entity’s capacity to give, this warranty, please see ASIC Regulatory Guide 173 Disclosure for on-sale of securities and other financial products and consult your legal adviser.	☐The publication of a +disclosure document or +PDS for the +securities proposed to be issued ☐The publication of a cleansing notice under section 708A(5), 708AA(2)(f), 1012DA(5) or 1012DAA(2)(f) ☐The publication of a +disclosure document or +PDS involving the same class of securities as the +securities proposed to be issued that meets the requirements of section 708A(11) or 1012DA(11) ☐An applicable ASIC instrument or class order ☐Not applicable – the entity has arrangements in place with the holder that ensure the securities cannot be on- sold within 12 months in a manner that would breach section 707(3) or 1012C(6) Note: Absent relief from ASIC, a listed entity can only issue a cleansing notice where trading in the relevant securities has not been suspended for more than 5 days during the shorter of: (a) the period during which the class of securities are quoted; and (b) the period of 12 months before the date on which the relevant securities were issued.

Note: If the +securities referred to in this form are being offered under a +disclosure document or +PDS and the entity selects the first or third option in its response to question 8A.1 above (existing quoted class or new quoted class), then by lodging this form with ASX, the entity is taken to have applied for quotation of all of the +securities that may be issued under the +disclosure document or +PDS on the terms set out in Appendix 2A of the ASX Listing Rules (on the understanding that once the final number of +securities issued under the +disclosure document or +PDS is known, in accordance with Listing Rule 3.10.3C, the entity will complete and lodge with ASX an Appendix 2A online form notifying ASX of their issue and applying for their quotation).

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Appendix 3B Proposed issue of +securities

Part 8B – details of +securities proposed to be issued (existing quoted class or existing unquoted class)

Answer the questions in this Part if your response to Q8A.1 is “existing quoted class” or “existing unquoted class”.

Question No.	Question	Answer
8B.1	*ASX security code & description
8B.1a	ISIN Code for the entitlement or right to participate in a non-renounceable issue; or for the tradeable rights created under a renounceable right issue (if Issuer is foreign company and +securities are non CDIs)
8B.2a	*Will the +securities to be quoted rank equally in all respects from their issue date with the existing issued +securities in that class?	Yes or No
8B.2b	*Is the actual date from which the +securities will rank equally (non-ranking end date) known? Answer this question if your response to Q8B.2a is “No”.	Yes or No
8B.2c	*Provide the actual non-ranking end date Answer this question if your response to Q8B.2a is “No” and your response to Q8B.2b is “Yes”.
8B.2d	*Provide the estimated non-ranking end period Answer this question if your response to Q8B.2a is “No” and your response to Q8B.2b is “No”.
8B.2e	*Please state the extent to which the +securities do not rank equally: in relation to the next dividend, distribution or interest payment; or for any other reason Answer this question if your response to Q8B.2a is “No”. For example, the securities may not rank at all, or may rank proportionately based on the percentage of the period in question they have been on issue, for the next dividend, distribution or interest payment or they may not be entitled to participate in some other event, such as an entitlement issue.

Part 8C – details of +securities proposed to be issued (new quoted class or new unquoted class)

Answer the questions in this Part if your response to Q8A.1 is “new quoted class” or “new unquoted class”.

Question No.	Question	Answer
8C.1	*+Security description The ASX security code for this security will be confirmed by ASX in due course.

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Appendix 3B Proposed issue of +securities

8C.2	*Security type Select one item from the list. Please select the most appropriate security type from the list. This will determine more detailed questions to be asked about the security later in this section. Select “ordinary fully or partly paid shares/units” for stapled securities or CDIs. For interest rate securities, please select the appropriate choice from either “Convertible debt securities” or “Non-convertible debt securities” (tradeable securities); or “Wholesale debt securities” (non-tradeable). Select “Other” for performance shares/units and performance options/rights or if the selections available in the list do not appropriately describe the security being issued.	☐Ordinary fully or partly paid shares/units ☐Options ☐+Convertible debt securities ☐Non-convertible +debt securities ☐Redeemable preference shares/units ☐Wholesale debt securities ☐Other
8C.3	ISIN code Answer this question if you are an entity incorporated outside Australia and you are proposing to issue a new class of securities other than CDIs. See also the note at the top of this form.
8C.3a	ISIN Code for the entitlement or right to participate in a non-renounceable issue; or for the tradeable rights created under a renounceable right issue (if Issuer is foreign company and +securities are non CDIs)
8C.4a	*Will all the +securities proposed to be issued in this class rank equally in all respects from the issue date?	Yes or No
8C.4b	*Is the actual date from which the +securities will rank equally (non-ranking end date) known? Answer this question if your response to Q8C.4a is “No”.	Yes or No
8C.4c	*Provide the actual non-ranking end date Answer this question if your response to Q8C.5a is “No” and your response to Q8C.4b is “Yes”.
8C.4d	*Provide the estimated non-ranking end period Answer this question if your response to Q8C.4a is “No” and your response to Q8C.4b is “No”.
8C.4e	*Please state the extent to which the +securities do not rank equally: in relation to the next dividend, distribution or interest payment; or for any other reason Answer this question if your response to Q8C.4a is “No”. For example, the securities may not rank at all, or may rank proportionately based on the percentage of the period in question they have been on issue, for the next dividend, distribution or interest payment; or they may not be entitled to participate in some other event, such as an entitlement issue.

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8C.5 Please attach a document or provide a URL
link for a document lodged with ASX setting
out the material terms of the +securities
proposed to be issued or provide the
information by separate announcement.
You may cross-reference a disclosure document, PDS,
information memorandum, investor presentation or
other announcement with this information provided it
has been released to the ASX Market Announcements
Platform.
8C.6 Have you received confirmation from ASX Yes or No
that the terms of the +securities are
appropriate and equitable under listing rule
6.1?
Answer this question only if you are an ASX Listing.
(ASX Foreign Exempt Listings and ASX Debt Listings
do not have to answer this question).
If your response is “No” and the securities have any
unusual terms, you should approach ASX as soon as
possible for confirmation under listing rule 6.1 that the
terms are appropriate and equitable.
8C.7a Ordinary fully or partly paid shares/units details
Answer the questions in this section if you selected this security type in your response to Question 8C.2.
+Security currency
This is the currency in which the face amount of an
issue is denominated. It will also typically be the
currency in which distributions are declared.
Will there be CDIs issued over the Yes or No
+securities?
CDI ratio X:Y
Answer this question if you answered “Yes” to the
previous question. This is the ratio at which CDIs can
be transmuted into the underlying security (e.g. 4:1
means 4 CDIs represent 1 underlying security whereas
1:4 means 1 CDI represents 4 underlying securities).
Is it a partly paid class of +security? Yes or No
Paid up amount: unpaid amount X:Y
Answer this question if answered “Yes” to the previous
question.
The paid up amount represents the amount of
application money and/or calls which have been paid
on any security considered ‘partly paid’
The unpaid amount represents the unpaid or yet to be
called amount on any security considered ‘partly paid’.
The amounts should be provided per the security
currency (e.g. if the security currency is AUD, then the
paid up and unpaid amount per security in AUD).
Is it a stapled +security? Yes or No
This is a security class that comprises a number of
ordinary shares and/or ordinary units issued by
separate entities that are stapled together for the
purposes of trading.
8C.7b Option details
Answer the questions in this section if you selected this security type in your response to Question Q8C.2.
+Security currency
This is the currency in which the exercise price is
payable.
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Exercise price
The price at which each option can be exercised and
convert into the underlying security.
The exercise price should be provided per the security
currency (i.e. if the security currency is AUD, the
exercise price should be expressed in AUD).
Expiry date
The date on which the options expire or terminate.
Details of the number and type of +security
(including its ASX security code if the
+security is quoted on ASX) that will be
issued if an option is exercised
For example, if the option can be exercised to receive
one fully paid ordinary share with ASX security code
ABC, please insert “One fully paid ordinary share
(ASX:ABC)”.
8C.7c Details of non-convertible +debt securities, +convertible debt securities, or
redeemable preference shares/units
Answer the questions in this section if you selected one of these security types in your response to Question
Q8C.2.
Refer to Guidance Note 34 and the “Guide to the Naming Conventions and Security Descriptions for ASX Quoted
Debt and Hybrid Securities” for further information on certain terms used in this section
Type of +security ☐ Simple corporate bond
Select one item from the list
☐ Non-convertible note or bond
☐ Convertible note or bond
☐ Preference share/unit
☐ Capital note
☐ Hybrid security
☐ Other
+Security currency
This is the currency in which the face value of the
security is denominated. It will also typically be the
currency in which interest or distributions are paid.
Face value
This is the principal amount of each security.
The face value should be provided per the security
currency (i.e. if security currency is AUD, then the face
value per security in AUD).
Interest or dividend rate type ☐ Fixed rate
Select one item from the list
☐ Floating rate
Select the appropriate interest rate type per the terms
of the security. Definitions for each type are provided in ☐ Indexed rate
the Guide to the Naming Conventions and Security
☐ Variable rate
Descriptions for ASX Quoted Debt and Hybrid
Securities
☐ Zero coupon/no interest
Note, this and the following questions also refer to
dividend rates and payments, as would be relevant to ☐ Other
preference securities.
Frequency of coupon/interest/dividend ☐ Monthly
payments per year
☐ Quarterly
Select one item from the list.
☐ Semi-annual
☐ Annual
☐ No coupon/interest payments
☐ Other
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First interest/dividend payment date
A response is not required if you have selected “No
coupon/interest payments” in response to the question
above on the frequency of coupon/interest payments
Interest/dividend rate per annum % p.a.
Answer this question if the interest rate type is fixed.
Is the interest/dividend rate per annum Yes or No
estimated at this time?
Answer this question if the interest rate type is fixed.
If the interest/dividend rate per annum is
estimated, then what is the date for this
information to be announced to the market
(if known)
Answer this question if the interest rate type is fixed
and your response to the previous question is “Yes”.
Answer “Unknown” if the date is not known at this time.
Does the interest/dividend rate include a Yes or No
reference rate, base rate or market rate
(e.g. BBSW or CPI)?
Answer this question if the interest rate type is floating
or indexed.
What is the reference rate, base rate or
market rate?
Answer this question if the interest rate type is floating
or indexed and your response to the previous question
is “Yes”.
Does the interest/dividend rate include a Yes or No
margin above the reference rate, base rate
or market rate?
Answer this question if the interest rate type is floating
or indexed.
What is the margin above the reference % p.a.
rate, base rate or market rate (expressed as
a percent per annum)
Answer this question if the interest rate type is floating
or indexed and your response to the previous question
is “Yes”.
Is the margin estimated at this time? Yes or No
Answer this question if the interest rate type is floating
or indexed.
If the margin is estimated, then what is the
date for this information to be announced to
the market (if known)
Answer this question if the interest rate type is floating
or indexed and your response to the previous question
is “Yes”.
Answer “Unknown” if the date is not known at this time.
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Appendix 3B Proposed issue of +securities

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S128F of the Income Tax Assessment Act ☐ s128F exempt
status applicable to the +security
☐ Not s128F exempt
Select one item from the list
For financial products which are likely to give rise to a ☐ s128F exemption status unknown
payment to which s128F of the Income Tax ☐ Not applicable
Assessment Act applies, ASX requests issuers to
confirm the s128F status of the security:
 “s128F exempt” means interest payments are not
taxable to non-residents;
 “Not s128F exempt” means interest payments are
taxable to non-residents;
 “s128F exemption status unknown” means the
issuer is unable to advise the status;
“Not applicable” means s128F is not applicable to this
security
Is the +security perpetual (i.e. no maturity Yes or No
date)?
Maturity date
Answer this question if the security is not perpetual
Select other features applicable to the ☐ Simple
+security
☐ Subordinated
Up to 4 features can be selected. Further information is
available in the Guide to the Naming Conventions and ☐ Secured
Security Descriptions for ASX Quoted Debt and Hybrid
Securities. ☐ Converting
☐ Convertible
☐ Transformable
☐ Exchangeable
☐ Cumulative
☐ Non-Cumulative
☐ Redeemable
☐ Extendable
☐ Reset
☐ Step-Down
☐ Step-Up
☐ Stapled
☐ None of the above
Is there a first trigger date on which a right Yes or No
of conversion, redemption, call or put can
be exercised (whichever is first)?
If yes, what is the first trigger date
Answer this question if your response to the previous
question is “Yes”.
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Appendix 3B Proposed issue of +securities

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Details of the number and type of +security
(including its ASX security code if the
+security is quoted on ASX) that will be
issued if the +securities are converted,
transformed or exchanged (including, if
applicable, any interest)
Answer this question if the security features include
“converting”, “convertible”, “transformable” or
“exchangeable”.
For example, if the security can be converted into
1,000 fully paid ordinary shares with ASX security code
ABC, please insert “1,000 fully paid ordinary shares
(ASX:ABC)”.
8C.7d Details of wholesale debt securities
Answer the questions in this section if you selected this security type in your response to Question Q8C.2.
Refer to Guidance Note 34 and the “Guide to the Naming Conventions and Security Descriptions for ASX Quoted
Debt and Hybrid Securities” for further information on certain terms used in this section
CFI
FISN
+Security currency
This is the currency in which the face value of the
security is denominated. It will also typically be the
currency in which interest or distributions are paid.
Total principal amount of class
Face value
This is the offer / issue price or value at which the
security was offered on issue.
Number of +securities
This should be the total principal amount of class
divided by the face value
Interest rate type ☐ Fixed rate
Select the appropriate interest rate type per the terms
☐ Floating rate
of the security.
☐ Fixed to floating
☐ Floating to fixed
Frequency of coupon/interest payments ☐ Monthly
per year
☐ Quarterly
Select one item from the list. The number of interest
payments to be made per year for a wholesale debt ☐ Semi-annual
security.
☐ Annual
☐ No payments
First interest payment date
A response is not required if you have selected “No
payments” in response to the question above on the
frequency of coupon/interest payments.
Interest rate per annum %
A response is not required if you have selected “No
payments” in response to the question above on the
frequency of coupon/interest payments. The rate
represents the total rate for the first payment period
which may include a reference or base rate plus a
margin rate and other adjustment factors where
applicable, stated on a per annum basis. If the rate is
only an estimate at this time please enter an indicative
rate and provide the actual rate once it has become
available.
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Appendix 3B Proposed issue of +securities

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Maturity date
The date on which the security matures.
Class type description
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	Class type description
	*S128F of the Income Tax Assessment Act status applicable to the +security Select one item from the list For financial products which are likely to give rise to a payment to which s128F of the Income Tax Assessment Act applies, ASX requests issuers to confirm the s128F status of the security:  “s128F exempt” means interest payments are not taxable to non-residents;  “Not s128F exempt” means interest payments are taxable to non-residents;  “s128F exemption status unknown” means the issuer is unable to advise the status; “Not applicable” means s128F is not applicable to this security	☐s128F exempt ☐Not s128F exempt ☐s128F exemption status unknown ☐Not applicable

Introduced 01/12/19; amended 31/01/20; 18/07/20; 05/06/21

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