Appendix 2A
Application for quotation of +securities
Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX's property and may be made public.
If you are an entity incorporated outside Australia and you are seeking quotation of a new class of +securities other than CDIs, you will need to obtain and provide an International Securities Identification Number (ISIN) for that class. 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.
Part 1 – Entity and announcement details
| Questionno |
Question |
Answer |
| 1.1 |
*Name of entityWe (the entity here named) apply for+quotation of the following +securities andagree to the matters set out inAppendix 2A of the ASX Listing Rules.1 |
Pacific Edge Limited (Pacific Edge) |
| 1.2 |
*Registration type and numberPlease supply your ABN, ARSN, ARBN, ACN oranother registration type and number (if you supplyanother registration type, please specify both the typeof registration and the registration number). |
ARBN 653 308 144 |
| 1.3 |
*ASX issuer code |
PEB |
| 1.4 |
*This announcement isTick whichever is applicable. |
☒ A new announcement☐ An update/amendment to a previousannouncement☐ A cancellation of a previousannouncement |
| 1.4a |
*Reason for updateAnswer this question if your response to Q 1.4 is anupdate/amendment to previous announcement. |
Not applicable |
| 1.4b |
*Date of previous announcement to thisupdateAnswer this question if your response to Q 1.4 is anupdate/amendment to previous announcement. |
Not applicable |
| 1.4c |
*Reason for cancellationAnswer this question if your response to Q 1.4 is "Acancellation of a previous announcement" |
Not applicable |
1 Appendix 2A of the Listing Rules includes 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.
| 1.4d |
*Date of previous announcement to thiscancellation |
Not applicable |
|
Answer this question if your response to Q 1.4 is "Acancellation of a previous announcement" |
|
| 1.5 |
*Date of this announcement |
29 September 2021 |
Part 2 – Type of issue
| QuestionNo. |
Question |
Answer |
| 2.1 |
*The +securities to be quoted are:Select whichever item is applicable.If you wish to apply for quotation of different types ofissues of securities, please complete a separateAppendix 2A for each type of issue. |
☒+Securities issued as part of atransaction or transactions previouslyannounced to the market in anAppendix 3B☐+Securities issued under a +dividend or |
|
|
distribution plan |
|
|
☐+Securities issued, transferred or reclassified as a result of options beingexercised or other +convertiblesecurities being converted |
|
|
☐Unquoted partly paid +securities thathave been fully paid up and are now tobecome quoted fully paid +securitiesNote: there is no need to apply for quotation ofthe fully paid securities if the partly paid securities |
|
|
were already quoted☐+Restricted securities where the escrowperiod has expired or is about to expire |
|
|
☐+Securities previously issued under an+employee incentive scheme where therestrictions on transfer have ceased orare about to cease |
|
|
☐+Securities issued under an +employeeincentive scheme that are not subject toa restriction on transfer or that are to bequoted notwithstanding there is arestriction on transfer |
|
|
☐ Other [please specify] |
|
|
If you have selected 'other' please explain thecircumstances of the issue here: |
| 2.1a |
*Have the +securities to be quoted beenissued yet? |
No |
| 2.1a.1 |
*What was their date of issue?Answer this question if your response to Q2.1a is"Yes". |
Not applicable |
| 2.1a.2 |
*What is their proposed date of issue?Answer this question if your response to Q2.1a is "No". |
30 September 2021 |
| 2.2a.1 |
*Date of Appendix 3B notifying the marketof the proposed issue of +securities forwhich quotation is now being soughtAnswer this question if your response to Q2.1 is"Securities issued as part of a transaction ortransactions previously announced to the market in anAppendix 3B" |
23 September 2021 |
| 2.2a.2 |
*Are there any further issues of +securitiesyet to take place to complete thetransaction(s) referred to in theAppendix 3B?Answer this question if your response to Q2.1 is"Securities issued as part of a transaction ortransactions previously announced to the market in anAppendix 3B". |
Yes |
| 2.2a.2.1 |
*Please provide details of the further issuesof +securities yet to take place to completethe transaction(s) referred to in theAppendix 3BAnswer this question if your response to Q2.1 is"Securities issued as part of a transaction ortransactions previously announced to the market in anAppendix 3B" and your response to Q2.2a.2 is "Yes". |
Pacific Edge also announced a retail offerof securities to raise up to NZ$20 million(A$19.4 million) (with the ability to acceptoversubscriptions, subject to demand andat the discretion of the Board), whichopened on 28 September 2021 and willclose on 13 October 2021. |
|
Please provide details of the proposed dates andnumber of securities for the further issues. This maybe the case, for example, if the Appendix 3B related toan accelerated pro rata offer with an institutionalcomponent being quoted on one date and a retailcomponent being quoted on a later date. |
The price of the shares under the retailoffer will be determined at the close of theoffer and will be the lower of the share pricepaid by investors in Pacific Edge'splacement (being NZ$1.35), and thevolume weighted average price of PacificEdge's shares traded on NZX over the 5NZX trading days up to, and including, theclosing date (being 7 October 2021 to 13October 2021, unless the closing date isextended). |
| 2.2b.1 |
Date of Appendix 3A.1 lodged with ASX inrelation to the underlying +dividend ordistributionAnswer this question if your response to Q2.1 is"Securities issued under a dividend or distributionplan". |
Not applicable |
| 2.2c.1 |
Please state the number and type ofoptions that were exercised or other+convertible securities that were converted(including their ASX security code)Answer this question if your response to Q2.1 is"Securities issued, transferred or re-classified as aresult of options being exercised or other convertiblesecurities being converted". |
Not applicable |
| 2.2c.2 |
And the date the options were exercised orother +convertible securities wereconvertedAnswer this question if your response to Q2.1 is"Securities issued, transferred or re-classified as aresult of options being exercised or other convertiblesecurities being converted".Note: If this occurred over a range of dates, enter thefirst date and last date of the period in which theoptions were exercised or convertible securities wereconverted. |
Not applicable |
| 2.2c.3 |
Is this all of the options or other+convertible securities on issue of that type(ie have all of those options now beenexercised or have all of those convertiblesecurities now been converted)?Answer this question if your response to Q2.1 is"Securities issued, transferred or re-classified as aresult of options being exercised or other convertiblesecurities being converted". |
Not applicableNote: If you have answered "No", consider whetheryou need to lodge an Appendix 3H with ASX notifyingASX of the cessation of some or all of the remainingoptions or other convertible securities under ListingRule 3.10.E. This may the case, for example, if optionshave lapsed because they have passed their expirydate without being exercised, or convertible debtsecurities have been repaid or redeemed withoutbeing converted. |
| 2.2c.4 |
The right of the holder of the options orother +convertible securities to receive the+underlying securities is being satisfied by:Answer this question if your response to Q2.1 is"Securities issued, transferred or re-classified as aresult of options being exercised or other convertiblesecurities being converted". |
|
☐☐☐ |
An issue of new +securitiesA transfer of existing +securitiesA reclassification of the +convertiblesecurities as securities in the sameclass as the +underlying securities |
| 2.2c.5 |
The underlying securities being received bythe holder are:Answer this question if your response to Q2.1 is"Securities issued, transferred or re-classified as aresult of options being exercised or other convertiblesecurities being converted". |
|
☐☐by ASX☐quoted by ASX |
Already quoted by ASXIntended to be, but are not yet, quotedAre not, and are not intended to be, |
| 2.2c.6 |
Were the options being exercised or other+convertible securities being convertedissued under an +employee incentivescheme?Answer this question if your response to Q2.1 is "Securitiesissued, transferred or re-classified as a result of optionsbeing exercised or other convertible securities beingconverted". |
|
Not applicable |
|
| 2.2c.7 |
*Are any of the options being exercised orother +convertible securities beingconverted held by +key managementpersonnel (KMP) or an +associate?Answer this question if your response to Q2.1 is "Securitiesissued, transferred or re-classified as a result of optionsbeing exercised or other convertible securities beingconverted" and your response to Q2.2c.6 is "Yes". |
|
Not applicable |
|
| 2.2c.7.a |
convertible securities.name of the associate in "Name of registered holder". |
*Provide details of the KMP or +associates who are exercising options or convertingAnswer this question if your response to Q2.1 is "Securities issued, transferred or re-classified as a result ofoptions being exercised or other convertible securities being converted", your response to Q2.2c.6 is "Yes" andyour response to Q2.2c.7 is "Yes". Repeat the detail in the table below for each KMP involved. If the options orother convertible securities are held by the KMP, repeat the name of the KMP or insert "Same" in "Name ofregistered holder". If the options or other convertible securities are held by an associate of a KMP, insert the |
|
|
|
Name of KMP[200 characters]Not applicable |
Name of registered holder[200 characters] |
|
Number of optionsbeing exercised orother +convertiblesecurities beingconverted[16 characters] |
| 2.2d.1 |
Please state the number and type ofunquoted partly paid +securities (includingtheir ASX security code) that have beenfully paid up and that are now to becomequoted on ASXAnswer this question if your response to Q2.1 is "Partlypaid securities that have been fully paid up and arenow to become quoted fully paid securities". |
|
Not applicable |
|
| 2.2d.2 |
And the date the +securities were fully paidupAnswer this question if your response to Q2.1 is "Partlypaid securities that have been fully paid up and arenow to become quoted fully paid securities".Note: If this occurred over a range of dates, enter thedate the last of the securities was fully paid up. |
|
Not applicable |
|
| 2.2d.3 |
Is this all of the partly paid +securities onissue of that type (ie have all of those partlypaid securities now been fully paid up)?Answer this question if your response to Q2.1 is"Unquoted partly paid securities that have been fullypaid up and are now to become quoted fully paidsecurities". |
Not applicableNote: If you have answered "No", consider whetheryou need to lodge an Appendix 3H with ASX notifyingASX of the cessation of some or all of the remainingpartly paid securities under Listing Rule 3.10.E. Thismay the case, for example, if partly paid securities thathave not had the call paid by the due date will becancelled. If you are an NL company, consider alsowhether you have notification obligations in relation toany forfeiture of the partly paid securities not paid upunder Listing Rule 3.12. |
| 2.2e.1 |
Please state the number and type of+restricted securities (including their ASXsecurity code) where the escrow period hasexpired or is about to expireAnswer this question if your response to Q2.1 is |
Not applicable |
|
"Restricted securities where the escrow period hasexpired or is about to expire". |
|
| 2.2e.2 |
And the date the escrow restrictions haveceased or will ceaseAnswer this question if your response to Q2.1 is |
Not applicable |
|
"Restricted securities where the escrow period hasexpired or is about to expire".Note: If this occurred over a range of dates, enter thedate the last of the escrow restrictions has ceased orwill cease. |
|
| 2.2f.1 |
Please state the number and type of+securities (including their ASX securitycode) previously issued under the+employee incentive scheme where therestrictions on transfer have ceased or areabout to ceaseAnswer this question if your response to Q2.1 is |
Not applicable |
|
"Securities previously issued under an employeeincentive scheme where the restrictions on transferhave ceased or are about to cease". |
|
| 2.2f.2 |
And the date the restrictions on transferhave ceased or will cease: |
Not applicable |
|
Answer this question if your response to Q2.1 is"Securities previously issued under an employeeincentive scheme where the restrictions on transferhave ceased or are about to cease". |
|
|
Note: If this occurred over a range of dates, enter thedate the last of the restrictions on transfer has ceasedor will cease. |
|
| 2.2g.1 |
Please state the number and type of+securities (including their ASX securitycode) issued under the +employeeincentive scheme that are not subject to arestriction on transfer or that are to bequoted notwithstanding there is a restrictionon transferAnswer this question if your response to Q2.1 is"Securities issued under an employee incentivescheme that are not subject to a restriction on transferor that are to be quoted notwithstanding there is a |
Not applicable |
| 2.2g.2 |
*Please attach a document or providedetails of a URL link for a document lodgedwith ASX detailing the terms of the+employee incentive scheme or a summaryof the terms. |
|
Not applicable |
|
|
Answer this question if your response to Q2.1 is"Securities issued under an employee incentivescheme that are not subject to a restriction on transferor that are to be quoted notwithstanding there is arestriction on transfer". |
|
|
|
| 2.2g.3 |
*Are any of these +securities being issuedto +key management personnel (KMP) oran +associate |
|
Not applicable |
|
|
Answer this question if your response to Q2.1 is"Securities issued under an employee incentivescheme that are not subject to a restriction on transferor that are to be quoted notwithstanding there is arestriction on transfer". |
|
|
|
| 2.2g.3.a |
*Provide details of the KMP or +associates being issued +securities. |
|
|
|
|
Answer this question if your response to Q2.1 is "Securities issued under an employee incentive scheme that arenot subject to a restriction on transfer or that are to be quoted notwithstanding there is a restriction on transfer"and your response to Q2.2g.3 is "Yes". Repeat the detail in the table below for each KMP involved in the issue. Ifthe securities are being issued to the KMP, repeat the name of the KMP or insert "Same" in "Name of registeredholder". If the securities are being issued to an associate of a KMP, insert the name of the associate in "Name ofregistered holder". |
|
|
|
|
Name of KMP |
Name of registered holder |
|
Number of +securities |
|
[200 characters] |
[200 characters] |
|
[16 characters] |
|
Not applicable |
|
|
|
| 2.2h.1 |
*Were the +securities issued for a cashconsideration? |
|
Not applicable |
|
|
Answer this question if your response to Q2.1 is"Other". |
|
|
|
|
If the securities are being issued for nil cashconsideration, answer this question "No". |
|
|
|
| 2.2h.1.a |
*In what currency was the cashconsideration paid? |
|
Not applicable |
|
|
Answer this question if your response to Q2.1 is"Other" and your response to Q2.2h.1 is "Yes". |
|
|
|
|
For example, if the consideration is being paid inAustralian Dollars, state AUD. |
|
|
|
| 2.2h.1.b |
*What was the issue price per +security |
|
Not applicable |
|
|
Answer this question if your response to Q2.1 is"Other" and your response to Q2.2h.1 is "Yes", and byreference to the issue currency provided in yourresponse to Q2.2h.1.a. |
|
|
|
|
Note: you cannot enter a nil amount here. If thesecurities are being issued for nil cash consideration,answer Q2.2h.1 as "No" and complete Q2.2h.1.c. |
|
|
|
| 2.2h.1.c |
Please describe the consideration providedfor the +securities |
|
Not applicable |
|
|
Answer this question if your response to Q2.1 is"Other" and your response to Q2.2h.1 is "No". |
|
|
|
| 2.2h.1.d |
Please provide an estimate (in AUD) of thevalue of the consideration provided per+security for the +securities to be quotedAnswer this question if your response to Q2.1 is"Other" and your response to Q2.2h.1 is "No". |
|
Not applicable |
|
| 2.2h.2 |
*The purpose(s) for which the entity isissuing the +securities is:Answer this question if your response to Q2.1 is"Other".You may select one or more of the items in the list. |
☐ To raise additional working capital☐ To fund the retirement of debt☐ 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: |
| 2.2h.3 |
*Please provide any further informationneeded to understand the circumstances inwhich you are applying to have these+securities quoted on ASX, including whythe issue of the +securities has not beenpreviously announced to the market in anAppendix 3BYou must answer this question if your response toQ2.1 is "Other". If there is no other information toprovide, please answer "Not applicable" or "N/A". |
Not applicable |
| 2.2i |
*Have these +securities been offered undera +disclosure document or +PDS?Answer this question if your response to Q2.1 is"Other". |
Not applicable |
| 2.2i.1 |
*Date of +disclosure document or +PDS?Answer this question if your response to Q2.1 is"Other" and your response to Q2.2i is "Yes".Under the Corporations Act, the entity must apply forquotation of the securities within 7 days of the date ofthe disclosure document or PDS. |
Not applicable |
| 2.3 |
*Any on-sale of the +securities to be quotedwithin 12 months of their date of issue willcomply with the secondary sale provisionsin sections 707(3) and 1012C(6) of theCorporations Act by virtue of:Answer this question if your response to Q2.1 is"Other" and your response to Q2.2i is "No".Note: Under Appendix 2A of the Listing Rules, whenthe entity applies for quotation of securities, it gives awarranty that an offer of the securities for sale within12 months after their issue will not require disclosureunder section 707(3) or 1012C(6) of the CorporationsAct.If you are in any doubt as to the application of, or theentity's capacity to give, this warranty, please seeASIC Regulatory Guide 173 Disclosure for on-sale ofsecurities and other financial products and consultyour legal adviser. |
☐☐☐☐☐ |
The publication of a +disclosuredocument or +PDS for the +securitiesto be quotedThe publication of a cleansing noticeunder section 708A(5), 708AA(2)(f),1012DA(5) or 1012DAA(2)(f)The publication of a +disclosuredocument or +PDS involving the sameclass of securities as the +securities tobe quoted that meets the requirementsof section 708A(11) or 1012DA(11)An applicable ASIC instrument or classorderNot applicable – the entity hasarrangements in place with the holderthat ensure the securities cannot be onsold within 12 months in a manner thatwould breach section 707(3) or1012C(6)Note: Absent relief from ASIC, a listed entity can onlyissue a cleansing notice where trading in the relevantsecurities has not been suspended for more than5 days during the shorter of: (a) the period duringwhich the class of securities are quoted; and (b) theperiod of 12 months before the date on which therelevant securities under the offer were issued. |
|
|
|
|
| 2.4 |
*The +securities to be quoted are:Tick whichever is applicable |
|
☒ Additional +securities in a class that isalready quoted on ASX ("existingclass") |
|
|
|
☐ New +securities in a class that is not yetquoted on ASX ("new class") |
Part 3A – number and type of +securities to be quoted (existing class or new class) where issue has previously been notified to ASX in an Appendix 3B
Answer the questions in this Part if your response to Q2.1 is "Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B".
| QuestionNo. |
Question |
|
Answer |
|
| 3A.1 |
*ASX security code & description |
|
exempt NZX) |
PEB ordinary fully paid shares (foreign |
| 3A.2 |
*Number of +securities to be quoted |
|
59,259,259 |
|
| 3A.3 |
Any other information the entity wishes toprovide about the +securities to be quoted |
|
No |
|
| 3A.4 |
new +securities held by the recipients in each category. |
*Provide a distribution schedule for the new +securities according to the categories set outin the left hand column – including the number of recipients and the total percentage of the |
|
|
|
Number of +securities held |
Number of holders |
|
Total percentage of+securities held |
|
1 – 1,000 |
Not applicable |
|
|
|
1,001 – 5,000 |
|
|
|
|
5,001 – 10,000 |
|
|
|
|
10,001 – 100,000 |
|
|
|
|
100,001 and over |
|
|
|
|
Answer this question only if you are an ASX Listing (ASX Foreign Exempt Listings and ASX Debt Listings do nothave to answer this question), your response to Q2.4 is "new class" and the securities to be quoted have alreadybeen issued.Note: if the securities to be quoted have not yet been issued, under listing rule 3.10.5, you will need to provide toASX a list of the 20 largest recipients of the new securities, and the number and percentage of the new securitiesreceived by each of those recipients, and a distribution schedule for the securities when they are issued. |
|
|
|
|
|
|
|
|
Part 3B – number and type of +securities to be quoted (existing class) where issue has not previously been notified to ASX in an Appendix 3B
Answer the questions in this Part if your response to Q2.1 is anything other than "Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B" and your response to Q2.4 is "existing class". If your response to Q2.1 is "Securities issued, transferred or re-classified as a result of options being exercised or other convertible securities being converted", the questions in this part relate to the securities being issued, transferred or reclassified as a result of the exercise of the options or the conversion of the convertible securities. If your response to Q2.1 is "Unquoted partly paid securities that have been fully paid up and are now to become quoted fully paid securities", the questions in this part relate to the fully paid securities arising from that payment up. Otherwise, the questions in this part relate to the securities issued by the entity which are to be quoted on ASX and which are described in the response to Q2.1.
| QuestionNo. |
Question |
Answer |
| 3B.1 |
*ASX security code & description |
Not applicable |
| 3B.2 |
*Number of +securities to be quoted |
Not applicable |
| 3B.3a |
*Will the +securities to be quoted rankequally in all respects from their issue datewith the existing issued +securities in thatclass? |
Not applicable |
| 3B.3b |
*Is the actual date from which the+securities will rank equally (non-rankingend date) known?Answer this question if your response to Q3B.3a is"No". |
Not applicable |
| 3B.3c |
*Provide the actual non-ranking end dateAnswer this question if your response to Q3B.3a is"No" and your response to Q3B.3b is "Yes". |
Not applicable |
| 3B.3d |
*Provide the estimated non-ranking endperiodAnswer this question if your response to Q3B.3a is"No" and your response to Q3B.3b is "No". |
Not applicable |
| 3B.3e |
*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 reasonAnswer this question if your response to Q3B.3a is"No".For example, the securities may not rank at all, or mayrank proportionately based on the percentage of theperiod in question they have been on issue, for thenext dividend, distribution or interest payment; or theymay not be entitled to participate in some other event,such as an entitlement issue. |
Not applicable |
| 3B.4 |
Any other information the entity wishes toprovide about the +securities to be quoted |
Not applicable |
Part 3C – number and type of +securities to be quoted (new class) where issue has not previously been notified to ASX in an Appendix 3B
Answer the questions in this Part if your response to Q2.1 is anything other than "Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B" and your response to Q2.4 is "new class". If your response to Q2.1 is "Securities issued, transferred or re-classified as a result of options being exercised or other convertible securities being converted", the questions in this part relate to the securities being issued, transferred or reclassified as a result of the exercise of the options or the conversion of the convertible securities. If your response to Q2.1 is "Unquoted partly paid securities that have been fully paid up and are now to become quoted fully paid securities", the questions in this part relate to the fully paid securities arising from that payment up. Otherwise, the questions in this part relate to the securities issued by the entity which are to be quoted on ASX and which are described in the response to Q2.1.
| QuestionNo. |
Question |
Answer |
| 3C.1 |
*Security description |
Not applicable |
| 3C.2 |
*Security typeSelect one item from the list that best describes thesecurities the subject of this form. This will determinemore detailed questions to be asked about the securitylater in this section. Select "ordinary fully or partly paidshares/units" for stapled securities or CDIs. Forinterest rate securities, please select the appropriatechoice from either "Convertible debt securities" or"Non-convertible debt securities". Select "Other" forperformance shares/units and performanceoptions/rights or if the selections available in the list donot 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 |
| 3C.3 |
ISIN codeAnswer this question if you are an entity incorporatedoutside Australia and you are seeking quotation of anew class of securities other than CDIs. See also thenote at the top of this form. |
Not applicable |
| 3C.4 |
*Number of +securities to be quoted |
Not applicable |
| 3C.5a |
*Will all the +securities issued in this classrank equally in all respects from the issuedate? |
Not applicable |
| 3C.5b |
*Is the actual date from which the+securities will rank equally (non-rankingend date) known?Answer this question if your response to Q3C.5a is"No". |
Not applicable |
| 3C.5c |
*Provide the actual non-ranking end dateAnswer this question if your response to Q3C.5a is"No" and your response to Q3C.5b is "Yes". |
Not applicable |
| 3C.5d |
*Provide the estimated non-ranking endperiodAnswer this question if your response to Q3C.5a is"No" and your response to Q3C.5b is "No". |
Not applicable |
| 3C.5e |
*Please state the extent to which the+securities do not rank equally: |
|
Not applicable |
|
|
•in relation to the next dividend,distribution or interest payment; or |
|
|
|
|
•for any other reason |
|
|
|
|
Answer this question if your response to Q3C.5a is"No". |
|
|
|
|
For example, the securities may not rank at all, or mayrank proportionately based on the percentage of theperiod in question they have been on issue, for thenext dividend, distribution or interest payment; or theymay not be entitled to participate in some other event,such as an entitlement issue. |
|
|
|
| 3C.6 |
Please attach a document or provide a URLlink for a document lodged with ASX settingout the material terms of the +securities tobe quoted |
|
Not applicable |
|
|
You may cross-reference a disclosure document, PDS,information memorandum, investor presentation orother announcement with this information provided ithas been released to the ASX Market AnnouncementsPlatform. |
|
|
|
| 3C.7 |
*Have you received confirmation from ASXthat the terms of the +securities areappropriate and equitable under listing rule6.1? |
|
Not applicable |
|
|
Answer this question only if you are an ASX Listing.(ASX Foreign Exempt Listings and ASX Debt Listingsdo not have to answer this question). |
|
|
|
|
If your response is "No" and the securities have anyunusual terms, you should approach ASX as soon aspossible for confirmation under listing rule 6.1 that theterms are appropriate and equitable. |
|
|
|
| 3C.8 |
*Provide a distribution schedule for the new +securities according to the categories set outin the left hand column – including the number of recipients and the total percentage of thenew +securities held by the recipients in each category. |
|
|
|
|
Number of +securities held |
Number of holders |
|
Total percentage of+securities held |
|
1 – 1,000 |
Not applicable |
|
|
|
1,001 – 5,000 |
|
|
|
|
5,001 – 10,000 |
|
|
|
|
10,001 – 100,000 |
|
|
|
|
100,001 and over |
|
|
|
|
Answer this question only if you are an ASX Listing (ASX Foreign Exempt Listings and ASX Debt Listings do nothave to answer this question) and the securities to be quoted have already been issued.ASX a list of the 20 largest recipients of the new +securities, and the number and percentage of the new+securities received by each of those recipients, and a distribution schedule for the securities when they areissued. |
|
|
Note: if the securities to be quoted have not yet been issued, under listing rule 3.10.5, you will need to provide to |
| 3C.9a |
Ordinary fully or partly paid shares/units detailsAnswer the questions in this section if you selected this security type in your response to Question 3C.2. |
|
|
|
|
*+Security currency |
|
Not applicable |
|
|
This is the currency in which the face amount of anissue is denominated. It will also typically be thecurrency in which distributions are declared. |
|
|
|
|
*Will there be CDIs issued over the+securities? |
|
Not applicable |
|
|
*CDI ratioAnswer this question if you answered "Yes" to theprevious question. This is the ratio at which CDIs canbe transmuted into the underlying security (e.g. 4:1means 4 CDIs represent 1 underlying securitywhereas 1:4 means 1 CDI represents 4 underlyingsecurities). |
Not applicable |
|
*Is it a partly paid class of +security? |
Not applicable |
|
*Paid up amount: unpaid amountAnswer this question if answered "Yes" to theprevious question.The paid up amount represents the amount ofapplication money and/or calls which have been paidon any security considered 'partly paid' |
Not applicable |
|
The unpaid amount represents the unpaid or yet tobe called amount on any security considered 'partlypaid'.The amounts should be provided per the securitycurrency (e.g. if the security currency is AUD, thenthe paid up and unpaid amount per security in AUD). |
|
|
*Is it a stapled +security?This is a security class that comprises a number ofordinary shares and/or ordinary units issued byseparate entities that are stapled together for thepurposes of trading. |
Not applicable |
| 3C.9b |
Option details |
|
|
Answer the questions in this section if you selected this security type in your response to Question 3C.2. |
|
|
*+Security currencyThis is the currency in which the exercise price ispayable. |
Not applicable |
|
*Exercise priceThe price at which each option can be exercised andconvert into the underlying security.The exercise price should be provided per thesecurity currency (i.e. if the security currency is AUD,the exercise price should be expressed in AUD). |
Not applicable |
|
*Expiry dateThe date on which the options expire or terminate. |
Not applicable |
|
*Details of the number and type of+security (including its ASX security codeif the +security is quoted on ASX) that willbe issued if an option is exercisedFor example, if the option can be exercised to receiveone fully paid ordinary share with ASX security codeABC, please insert "One fully paid ordinary share(ASX:ABC)". |
Not applicable |
| 3C.9c |
Details of non-convertible +debt securities, +convertible debt securities, orredeemable preference shares/units |
|
|
Answer the questions in this section if you selected one of these security types in your response to Question3C.2. |
|
|
Refer to Guidance Note 34 and the "Guide to the Naming Conventions and Security Descriptions for ASX QuotedDebt 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 |
Not applicable |
|
This is the currency in which the face value of thesecurity is denominated. It will also typically be thecurrency in which interest or distributions are paid. |
|
|
Face value |
Not applicable |
|
This is the principal amount of each security. |
|
|
The face value should be provided per the securitycurrency (i.e. if security currency is AUD, then theface value per security in AUD). |
|
|
*Interest rate type |
☐ Fixed rate |
|
Select one item from the list |
☐ Floating rate |
|
Select the appropriate interest or dividend rate typeper the terms of the security. Definitions for each type |
☐ Indexed rate |
|
are provided in the Guide to the Naming Conventionsand Security Descriptions for ASX Quoted Debt and |
☐ Variable rate |
|
Hybrid Securities |
☐ Zero coupon/no interestor dividend |
|
|
☐ Other |
|
Frequency of coupon/interest/dividend |
☐ Monthly |
|
payments per year |
☐ Quarterly |
|
Select one item from the list. |
☐ Semi-annual |
|
|
☐ Annual |
|
|
☐ No coupon/interest payments |
|
|
☐ Other |
|
First interest/dividend payment date |
Not applicable |
|
A response is not required if you have selected "Nocoupon/interest payments" in response to thequestion above on the frequency of coupon/interestpayments |
|
|
Interest/dividend rate per annumAnswer this question if the interest rate type is fixed. |
Not applicable |
|
*Is the interest/dividend rate per annumestimated at this time?Answer this question if the interest rate type is fixed. |
Not applicable |
| If the interest/dividend rate per annum isestimated, then what is the date for thisinformation to be announced to the market(if known)Answer this question if the interest rate type is fixedand your response to the previous question is "Yes".Answer "Unknown" if the date is not known at thistime. |
Not applicable |
| *Does the interest rate include a referencerate, base rate or market rate (e.g. BBSWor CPI)?Answer this question if the interest rate type isfloating or indexed. |
Not applicable |
| *What is the reference rate, base rate ormarket rate?Answer this question if the interest rate type isfloating or indexed and your response to the previousquestion is "Yes". |
Not applicable |
| *Does the interest/dividend rate include amargin above the reference rate, base rateor market rate?Answer this question if the interest rate type isfloating or indexed. |
Not applicable |
| *What is the margin above the referencerate, base rate or market rate (expressedas a percent per annum)Answer this question if the interest rate type isfloating or indexed and your response to the previousquestion is "Yes". |
Not applicable |
| *S128F of the Income Tax AssessmentAct status applicable to the +securitySelect one item from the listFor financial products which are likely to give rise to apayment to which s128F of the Income TaxAssessment Act applies, ASX requests issuers toconfirm the s128F status of the security:•"s128F exempt" means interest payments are nottaxable to non-residents;•"Not s128F exempt" means interest payments aretaxable to non-residents;•"s128F exemption status unknown" means theissuer is unable to advise the status;•"Not applicable" means s128F is not applicable tothis security |
☐ s128F exempt☐ Not s128F exempt☐ s128F exemption status unknown☐ Not applicable |
| *Is the +security perpetual (i.e. no maturitydate)? |
Not applicable |
| *Maturity dateAnswer this question if the security is not perpetual |
Not applicable |
|
*Select other features applicable to the+security |
☐ Simple |
|
Up to 4 features can be selected. Further information |
☐ Subordinated |
|
is available in the Guide to the Naming Conventions |
☐ Secured |
|
and Security Descriptions for ASX Quoted Debt andHybrid 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 |
Not applicable |
|
right of conversion, redemption, call or put |
|
|
can be exercised (whichever is first)? |
|
|
*If yes, what is the first trigger date |
Not applicable |
|
Answer this question if your response to the previousquestion is "Yes". |
|
|
Details of the number and type of +security(including its ASX security code if the+security is quoted on ASX) that will beissued if the +securities to be quoted areconverted, transformed or exchanged (per1 new +security) |
Not applicable |
|
Answer this question if the security features include"converting", "convertible", "transformable" or"exchangeable". |
|
|
For example, if the security can be converted into1,000 fully paid ordinary shares with ASX securitycode ABC, please insert "1,000 fully paid ordinaryshares (ASX:ABC)". |
|
| 3C.9d |
Details of wholesale debt securities |
|
|
Answer the questions in this section if you selected this security type in your response to Question Q3C.2. |
|
|
Refer to Guidance Note 34 and the "Guide to the Naming Conventions and Security Descriptions for ASXQuoted Debt and Hybrid Securities" for further information on certain terms used in this section |
|
|
CFI |
Not applicable |
|
FISN |
Not applicable |
|
*+Security currency |
Not applicable |
|
This is the currency in which the face value of thesecurity is denominated. It will also typically be thecurrency in which interest or distributions are paid. |
|
|
Total principal amount of class |
Not applicable |
|
Face value |
Not applicable |
|
This is the offer / issue price or value at which thesecurity was offered on issue. |
|
|
Number of +securitiesThis should be the total principal amount of classdivided by the face value |
Not applicable |
|
*Interest rate typeSelect the appropriate interest rate type per the termsof the security. Definitions for each type are providedin the Guide to the Naming Conventions and SecurityDescriptions for ASX Quoted Debt and HybridSecurities. |
☐ Fixed rate☐ Floating rate☐ Fixed to floating☐ Floating to fixed |
|
*Frequency of coupon/interest paymentsper yearSelect one item from the list. The number of interestpayments to be made per year for a wholesale debtsecurity. |
☐ Monthly☐ Quarterly☐ Semi-annual☐ Annual☐ No payments |
|
*First interest payment dateA response is not required if you have selected "Nopayments" in response to the question above on thefrequency of coupon/interest payments. |
Not applicable |
|
*Interest rate per annumA response is not required if you have selected "Nopayments" in response to the question above on thefrequency of coupon/interest payments. The raterepresents the total rate for the first payment periodwhich may include a reference or base rate plus amargin rate and other adjustment factors whereapplicable, stated on a per annum basis. If the rate isonly an estimate at this time please enter anindicative rate and provide the actual rate once it hasbecome available. |
Not applicable |
|
*Maturity dateThe date on which the security matures. |
Not applicable |
|
Class type description |
Not applicable |
|
*S128F of the Income Tax AssessmentAct status applicable to the +securitySelect one item from the listFor financial products which are likely to give rise to apayment to which s128F of the Income TaxAssessment Act applies, ASX requests issuers toconfirm the s128F status of the security:•"s128F exempt" means interest payments are nottaxable to non-residents;•"Not s128F exempt" means interest payments aretaxable to non-residents;•"s128F exemption status unknown" means theissuer is unable to advise the status;"Not applicable" means s128F is not applicable to thissecurity |
☐ s128F exempt☐ Not s128F exempt☐ s128F exemption status unknown☐ Not applicable |
| 3C.10 |
Any other information the entity wishes toprovide about the +securities to be quoted |
Not applicable |
Part 4 – Issued capital following quotation
Following the quotation of the +securities the subject of this application, the issued capital of the entity will comprise:
Note: the figures provided in the tables in sections 4.1 and 4.2 below are used to calculate the total market capitalisation of the entity published by ASX from time to time. Please make sure you include in the relevant table each class of securities issued by the entity.
If you have quoted CHESS Depository Interests (CDIs) issued over your securities, include them in the table in section 4.1 and include in the table in section 4.2 any securities that do not have CDIs issued over them (and therefore are not quoted on ASX). Restricted securities should only be included in the table in section 4.1 if you are applying to have them quoted because the escrow period for the securities has expired or is about to expire. Otherwise include them in the table in section 4.2.
| 4.1 |
*Quoted +securities (total number of each +class of +securities quoted on ASX followingthe +quotation of the +securities the subject of this application) |
|
|
|
ASX security code and description |
Total number of +securities on issue |
|
|
PEB ordinary fully paid shares (foreign exemptNZX) |
788,469,244 |
|
| 4.2*Unquoted +securities (total number of each +class of +securities issued but not quotedon ASX): |
|
|
|
|
ASX security code and description |
Total number of +securities on issue |
|
|
PEBAA Options expiring various dates exvarious prices |
15,327,288 |
|
|
|
|
|
Part 5 – Other Listing Rule requirements
The questions in this Part should only be answered if you are an ASX Listing (ASX Foreign Exempt Listings and ASX Debt Listings do not need to complete this Part) and your response to Q2.1 is:
- "Securities issued under a dividend/distribution plan";
- "Securities issued under an employee incentive scheme that are not subject to a restriction on transfer or that are to be quoted notwithstanding there is a restriction on transfer"; or
- "Other".
Note that if your response to Q2.1 is "Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B", it is assumed that you will have provided the information referred to in this Part in the Appendix 3B.
| QuestionNo. |
Question |
Answer |
| 5.1 |
*Are the +securities being issued under anexception in Listing Rule 7.2 and thereforethe issue does not need any security holderapproval under Listing Rule 7.1? |
Not applicable |
| 5.1a |
Enter the number of the applicableexception in Listing Rule 7.2Answer this question is your response to Q5.1 is "Yes"Note this should be a number between 1 and 17. |
Not applicable |
| 5.1a.1 |
*Does the +dividend or distribution planmeet the requirement of listing rule 7.2exception 4 that it does not impose a limiton participation?Answer this question if your response to Q5.1 is "Yes"and your response to Q5.1a is "4".Note: Exception 4 only applies where security holdersare able to elect to receive all of their dividend ordistribution as securities. For example, Exception 4would not apply in the following circumstances: 1) Theentity has specified a dollar limit on the level ofparticipation e.g. security holders can only participateto a maximum value of $x in respect of theirentitlement, or 2) The entity has specified a maximumnumber of securities that can participate in the plane.g. security holders can only receive securities in lieuof dividend payable for x number of securities. |
Not applicable |
| 5.2 |
*Has the entity obtained, or is it obtaining,+security holder approval for the issueunder listing rule 7.1?Answer this question if the response to Q5.1 is "No". |
Not applicable |
| 5.2a |
*Date of meeting or proposed meeting toapprove the issue under listing rule 7.1Answer this question if the response to Q5.1 is "No"and the response to Q5.2 is "Yes". |
Not applicable |
| 5.2b |
*Are any of the +securities being issuedwithout +security holder approval using theentity's 15% placement capacity underlisting rule 7.1?Answer this question if the response to Q5.1 is "No"and the response to Q5.2 is "No". |
Not applicable |
| 5.2b.1 |
*How many +securities are being issuedwithout +security holder approval using theentity's 15% placement capacity underlisting rule 7.1?Answer this question if the response to Q5.1 is "No",the response to Q5.2 is "No" and the response toQ5.2b is "Yes".If the response to Q5.2b is "Yes", please complete andseparately send by email to your ASX listingscompliance adviser a work sheet in the form ofAnnexure B to Guidance Note 21 confirming the entityhas the available capacity under listing rule 7.1 toissue that number of securities. |
Not applicable |
| 5.2c |
*Are any of the +securities being issuedwithout +security holder approval using theentity's additional 10% placement capacityunder listing rule 7.1A (if applicable)?Answer this question if the response to Q5.1 is "No"and the response to Q5.2 is "No". |
Not applicable |
| 5.2c.1 |
*How many +securities are being issuedwithout +security holder approval using theentity's additional 10% placement capacityunder listing rule 7.1A? |
Not applicable |
|
Answer this question if the response to Q5.1 is "No",the response to Q5.2 is "No" and the response toQ5.2c is "Yes". |
|
|
If the response to Q5.2c is "Yes", please complete andseparately send by email to your ASX listingscompliance adviser a work sheet in the form ofAnnexure C to Guidance Note 21 confirming the entityhas the available capacity under listing rule 7.1A toissue that number of securities. |
|
Introduced 01/12/19; amended 31/01/20; 05/06/21