PEAK PROCESSING LIMITED — Regulatory Filings 2018

Sep 19, 2018

Information Form and Checklist

(ASX Listing)

(ASX Listing)
Name of entity Althea Group Holdings Limited	ABN/ARBN/ARSN
Althea Group Holdings Limited	ACN 626 966 943

We (the entity named above) supply the following information and documents to support our application for admission to the official list of ASX Limited (ASX) as an ASX Listing.

Note: the entity warrants in its Appendix 1A ASX Listing Application and Agreement that the information and documents referred to in this Information Form and Checklist are (or will be) true and complete and indemnifies ASX to the fullest extent permitted by law in respect of any claim, action or expense arising from, or connected with, any breach of that warranty.

Any Annexures to this Information Form and Checklist form part of the Information Form and Checklist and are covered by the warranty referred to above.

Terms used in this Information Form and Checklist and in any Annexures have the same meaning as in the ASX Listing Rules.

Part 1 – Key Information

Instructions: please complete each applicable item below. If an item is not applicable, please mark it as “N/A”.

All entities – corporate details[1]

All entities – corporate details1
Place of incorporation or establishment	Victoria
Date of incorporation or establishment	21 June 2018
Legislation under which incorporated or established	Corporations Act 2001 (Cth)
Address of registered office in place of incorporation or establishment	Curtain & Co Services Pty Ltd Level 3, 369 Royal Parade Parkville Victoria 3052
Main business activity	Althea Group Holdings Limited (Althea Holdings) is the holding company of Althea Company Limited ACN 618 177 192 (Althea Company). Althea Company holds a number of licenses and permits for the importation, cultivation, production and supply of medicinal cannabis in Australia. See section 4 of the Prospectus attached as Annexure A for further details.
Other exchanges on which the entity is listed	Not applicable
Street address of principal administrative office	30 Dove Street, Cremorne, Victoria 3121
Postal address of principal administrative office	30 Dove Street, Cremorne, Victoria 3121
Telephone number of principal administrative office	03 9427 7552

1 If the entity applying for admission to the official list is a stapled structure, please provide these details for each entity comprising the stapled structure.

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E-mail address for investor enquiries	investors@althea.com.au
Website URL	https://www.althea.com.au/

All entities – management details[2]

All entities – management details2
Full name and title of CEO/managing director	Joshua Michael Fegan
Full name and title of chairperson of directors	Philip Andrew Newbold – Non-executive Chairman
Full names of all existing directors	Philip Andrew Newbold – Chairman and Non-Executive Director Joshua Michael Fegan – Managing Director and Chief Executive Officer Gregg Battersby – Non-Executive Director Alan Maclean Boyd – Non-Executive Director
Full names of any persons proposed to be appointed as additional or replacement directors	Not applicable
Full name and title of company secretary	Peter John Gillis

All entities – ASX contact details[3]

Full name and title of ASX contact(s)	Peter John Gillis
Business address of ASX contact(s)	Curtain & Co Services Pty Ltd Level 3, 369 Royal Parade Parkville Victoria 3052
Business phone number of ASX contact(s)	+61 (3) 8346 8500
Mobile phone number of ASX contact(s)	0412 137 136
Email address of ASX contact(s)	peter.gillis@rocg.com

All entities – auditor details[4]

Full name of auditor RSM Australia Partners

2 If the entity applying for admission to the official list is a trust, enter the management details for the responsible entity of the trust.

3 Under Listing Rule 1.1 Condition 13, a listed entity must appoint a person responsible for communication with ASX. You can appoint more than one person to cater for situations where the primary nominated contact is not available.

4

In certain cases, ASX may require the applicant to provide information about the qualifications and experience of its auditor for release to the market before quotation commences (see Guidance Note 1 section 2.10).

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All entities – registry details[5]

All entities – registry details5
Name of securities registry	Computershare Investor Services Pty Limited
Address of securities registry	Yarra Falls, 452 Johnston Street Abbotsford Victoria 3067
Phone number of securities registry	1300 787 272
Fax number of securities registry	-
Email address of securities registry	-
Type of subregisters the entity will operate6	CHESS and issuer sponsored subregisters

All entities – key dates

All entities – key dates
Annual balance date	30 June
Month in which annual meeting is usually held (or intended to be held)7	November
Months in which dividends or distributions are usually paid (or are intended to be paid)	Not applicable

Trusts – additional details

Trusts – additional details
Name of responsible entity	Not applicable
Full names of the members of the compliance committee (if any)	Not applicable

Entities incorporated or established outside Australia – additional details

Name and address of the entity’s Australian agent for service of process	Not applicable
Address of registered office in Australia (if any)	Not applicable

Entities listed or to be listed on another exchange or exchanges

Name of the other exchange(s) where the entity is or proposes to be listed	Not applicable
Is the ASX listing intended to be the entity’s primary or secondary listing	Not applicable

5 If the entity has different registries for different classes of securities, please indicate clearly which registry details apply to which class of securities.

6 Example: CHESS and issuer sponsored subregisters (see Guidance Note 1 section 3.20).

7 May not apply to some trusts.

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Part 2 – Checklist Confirming Compliance with Admission Requirements

Instructions: please indicate in the “Location/Confirmation” column for each item below and in any Annexures where the information or document referred to in that item is to be found (eg in the case of information, the specific page reference in the Offer Document where that information is located or, in the case of a document, the folder tab number where that document is located). If the item asks for confirmation of a matter, you may simply enter “Confirmed”” in the “Location/Confirmation” column. If an item is not applicable, please mark it as “N/A”.

In this regard, it will greatly assist ASX and speed up its review of the application if the various documents referred to in this Checklist and any Annexures (other than the 15 copies of the applicant’s Offer Document referred to in item 4) are provided in a folder separated by numbered tabs and if the entity’s constitution and copies of all material contracts are provided both in hard copy and in electronic format.

Note that completion of this Checklist and any Annexures is not to be taken to represent that the entity is necessarily in full or substantial compliance with the ASX Listing Rules or that ASX will admit the entity to its official list. Admission to the official list is in ASX’s absolute discretion and ASX may refuse admission without giving any reasons (see Listing Rule 1.19).

A reference in this Checklist and in any Annexures to the “Offer Document” means the listing prospectus, product disclosure statement or information memorandum lodged by the applicant with ASX pursuant to Listing Rule 1.1 Condition 3.

If the applicant lodges a supplementary or replacement prospectus, product disclosure statement or information memorandum with ASX, ASX may require it to update this Checklist and any Annexures by reference to that document.

All entities – key supporting documents

N[o] Item

1. A copy of the entity’s certificate of incorporation, certificate of registration or other evidence of status (including any change of name)

2. A copy of the entity’s constitution (Listing Rule 1.1 Condition 2)[8]

3. Either:

4. (a) confirmation that the entity’s constitution includes the provisions of Appendix 15A or Appendix 15B (as applicable); or

5. (b) a completed checklist that the constitution complies with the Listing Rules (Listing Rule 1.1 Condition 2)[9]

6. An electronic version and 15 copies of the Offer Document, as lodged with ASIC (Listing Rule 1.1 Condition 3)

7. Where in the Offer Document is the prominent statement that ASX takes no responsibility for the contents of the Offer Document (Listing Rule 1.1 Condition 3)?

8. Original executed ASX Online agreement confirming that documents may be given to ASX and authenticated electronically (Listing Rule 1.1 Condition 14)[10]

9. If the entity’s corporate governance statement[11] is included in its Offer Document, the page reference where it is included. Otherwise, a copy of the entity’s corporate governance statement (Listing Rule 1.1 Condition 16)

Location/Confirmation Annexure B Annexure C Althea Holdings confirms that its Constitution includes the provisions of Appendix 15A. 15 copies to be provided if the ASX requests them. An electronic copy will be provided and 2 hardcopies are provided as Annexure A. Refer to Important Information and section 8.19.1 of the Prospectus Annexure D Refer to section 7.8 of the Prospectus, in particular section 7.8.2.1

8 It will assist ASX if the copy of the constitution is provided both in hard copy and in electronic format.

9 An electronic copy of the checklist is available from the ASX Compliance Downloads page on ASX’s website.

10 An electronic copy of the ASX Online Agreement is available from the ASX Compliance Downloads page on ASX’s website.

11 The entity’s “corporate governance statement” is the statement disclosing the extent to which the entity will follow, as at the date of its admission to the official list, the recommendations set by the ASX Corporate Governance Council. If the entity does not intend to follow all the recommendations on its admission to the official list, the entity must separately identify each recommendation that will not be followed and state its reasons for not following the recommendation and what (if any) alternative governance practices it intends to adopt in lieu of the recommendation.

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NoItem 8. If the entity will be included in the S & P All Ordinaries Index on admission to the official list,12where in its Offer Document does it state that it will have an audit committee (Listing Rule 1.1 Condition 17)? 9. If the entity will be included in the S & P / ASX 300 Index on admission to the official list,13where in its Offer Document does it state that it will comply with the recommendations set by the ASX Corporate Governance Council in relation to composition and operation of the audit committee (Listing Rule 1.1 Condition 17)? 10. If the entity will be included in the S & P / ASX 300 Index on admission to the official list,14where in its Offer Document does it state that it will have a remuneration committee comprised solely of non-executive directors (Listing Rule 1.1 Condition 18) 11. If the entity’s trading policy is included in its Offer Document, the page reference where it is included. Otherwise, a copy of the entity’s trading policy (Listing Rule 1.1 Condition 19) 12. For each director or proposed director,15a list of the countries in which they have resided over the past 10 years (Listing Rule 1.1 Condition 20 and Guidance Note 1 section 3.18)16 13. For each director or proposed director who is or has in the past 10 years been a resident of Australia, an original or certified true copy of a national criminal history check obtained from the Australian Federal Police, a State or Territory police service or a broker accredited by CrimTrac which is not more than 12 months old (Listing Rule 1.1 Condition 20 and Guidance Note 1 section 3.18) 14. For each director or proposed director who is or has in the past 10 years been a resident of a country other than Australia, an original or certified true copy of an equivalent national criminal history check to that mentioned in item 13 above for each country in which the director has resided over the past 10 years (in English or together with a certified English translation) which is not more than 12 months old or, if such a check is not available in any such country, a statutory declaration from the director confirming that fact and that he or she has not been convicted in that country of: (a) any criminal offence involving fraud, dishonesty, misrepresentation, concealment of material facts or breach of director’s duties; or (b) any other criminal offence which at the time carried a maximum term of imprisonment of five years or more (regardless of the period, if any, for which he or she was sentenced), or, if that is not the case, a statement to that effect and a detailed explanation of the circumstances involved (Listing Rule 1.1 Condition 20 and Guidance Note 1 section 3.18) 15. For each director or proposed director who is or has in the past 10 years been a resident of Australia, an original or certified true copy of a search of	Location/Confirmation
	Refer to section 7.4.1 for details on Althea Holdings’ Audit, Risk and Compliance Committee. Note that Althea Holdings will not be admitted to S &P All Ordinaries Index
	Not applicable
	Not applicable
	Refer to section 7.4.2 of the Prospectus
	Philip Andrew Newbold – Australia Joshua Michael Fegan – Australia Alan Maclean Boyd – Australia Gregg Battersby – Canada
	Annexure E
	Annexure F
	Annexure G

12 If the entity is unsure whether they will be included in the S & P All Ordinaries Index on admission to the official list, they should contact ASX or S & P.

13 If the entity is unsure whether they will be included in the S & P / ASX 300 Index on admission to the official list, they should contact ASX or S & P.

14 If the entity is unsure whether they will be included in the S & P / ASX 300 Index on admission to the official list, they should contact ASX or S & P.

15 If the entity applying for admission to the official list is a trust, references in items 12, 13, 14, 15 and 16 to a director or proposed director mean a director or proposed director of the responsible entity of the trust.

16 The information referred to in items 12, 13, 14, 15 and 16 is required so that ASX can be satisfied that the director or proposed director is of good fame and character under Listing Rule 1 Condition 20.

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N[o] Item Location/Confirmation the Australian Financial Security Authority National Personal Insolvency Index which is not more than 12 months old (Listing Rule 1.1 Condition 20 and Guidance Note 1 section 3.18)

16. For each director or proposed director who is or has in the past 10 years been a resident of a country other than Australia, an original or certified true copy of an equivalent national bankruptcy check to that mentioned in item 15 above for each country in which the director has resided over the past 10 years (in English or together with a certified English translation) which is not more than 12 months old or if such a check is not available in any such country, a statutory declaration from the director confirming that fact and that he or she has not been declared a bankrupt or been an insolvent under administration in that country or, if that is not the case, a statement to that effect and a detailed explanation of the circumstances involved (Listing Rule 1.1 Condition 20 and Guidance Note 1 section 3.18) 17. A statutory declaration from each director or proposed director confirming that: (a) the director has not been the subject of any criminal or civil penalty proceedings or other enforcement action by any government agency in which he or she was found to have engaged in behaviour involving fraud, dishonesty, misrepresentation, concealment of material facts or breach of duty; (b) the director has not been refused membership of, or had their membership suspended or cancelled by, any professional body on the ground that he or she has engaged in behaviour involving fraud, dishonesty, misrepresentation, concealment of material facts or breach of duty; (c) the director has not been the subject of any disciplinary action (including any censure, monetary penalty or banning order) by a securities exchange or other authority responsible for regulating securities markets for failure to comply with his or her obligations as a director of a listed entity; (d) no listed entity of which he or she was a director (or, in the case of a listed trust, in respect of which he or she was a director of the responsible entity) at the time of the relevant conduct has been the subject of any disciplinary action (including any censure, monetary penalty, suspension of trading or termination of listing) by a securities exchange or other authority responsible for regulating securities markets for failure to comply with its obligations under the Listing Rules applicable to that entity; and (e) the director is not aware of any pending or threatened investigation or enquiry by a government agency, professional body, securities exchange or other authority responsible for regulating securities markets that could lead to proceedings or action of the type described in (a), (b), (c) or (d) above, or, if the director is not able to give such confirmation, a statement to that effect and a detailed explanation of the circumstances involved (Listing Rule 1.1 Condition 20 and Guidance Note 1 section 3.18) 18. A specimen certificate/holding statement for each class of securities to be quoted or a specimen holding statement for CDIs (as applicable) 19. Please either enter “Confirmed” in the column to the right to confirm that the entity has not previously applied for, and been refused or withdrawn its application for, admission to the official list of another securities exchange, or attach a statement explaining the circumstances and state the location of that statement	Annexure H
	Annexure I
	Annexure J
	Confirmed

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NoItem 20. Payment for the initial listing fee17 All entities – capital structure 21. Where in the Offer Document is there a table showing the existing and proposed capital structure of the entity, broken down as follows: (a) the number and class of each equity security and each debt security currently on issue; and (b) the number and class of each equity security and each debt security proposed to be issued between the date of this application and the date the entity is admitted to the official list; and (c) the resulting total number of each class of equity security and debt security proposed to be on issue at the date the entity is admitted to the official list; and (d) the number and class of each equity security proposed to be issued following admission in accordance with material contracts or agreements? Note: This applies whether the securities are quoted or not. If the entity is proposing to issue a minimum, maximum or oversubscription number of securities, the table should be presented to disclose each scenario. 22. For each class of securities referred to in the table mentioned in item 21, where in the Offer Document does it disclose the terms applicable to those securities? Note: This applies whether the securities are quoted or not. For equity securities (other than options to acquire unissued securities or convertible debt securities), this should state whether they are fully paid or partly paid; if they are partly paid, the amount paid up and the amount owing per security; voting rights; rights to dividends or distributions; and conversion terms (if applicable). For options to acquire unissued securities, this should state the number outstanding, exercise prices; exercise terms and expiry dates. For debt securities or convertible debt securities, this should state their nominal or face value; rate of interest; dates of payment of interest; date and terms of redemption; and conversion terms (if applicable). 23. If the entity has granted, or proposes to grant, any rights to any person, or to any class of persons (other than through the holding of securities referred to in the table mentioned in item 21), to participate in an issue of the entity’s securities, where in the Offer Document are details of those rights set out? 24. Details of all issues of securities (in all classes) in the last 5 years and the consideration received by the entity for such issues 25. A copy of every prospectus, product disclosure statement or information memorandum issued by the entity in connection with any issue of securities (in all classes) in the last 5 years 26. A copy of any court order in relation to a reorganisation of the entity’s capital in the last 5 years	Location/Confirmation
	Cheque enclosed
	Refer to section 8.6 of the Prospectus
	Refer to section 10.5 of the Prospectus
	Refer to sections 7.3.4 and 7.3.5 for details on the performance rights proposed to be issued to Mr Josh Fegan under Althea Holdings’ Long Term Incentive Plan
	Annexure K
	Not applicable
	Not applicable

17 See Guidance Notes 15 and 15A for the fees payable on the application. You can also use the ASX online equity listing fees calculator: http://www.asx.com.au/prices/cost-listing.htm. Payment should be made either by cheque made payable to ASX Operations Pty Ltd or by electronic funds transfer to the following account:

Bank: National Australia Bank Account Name: ASX Operations Pty Ltd BSB: 082 057 A/C: 494728375 Swift Code (Overseas Customers): NATAAU3202S

If payment is made by electronic funds transfer, please email your remittance advice to ar@asx.com.au or fax it to (612) 9227-0553, describing the payment as the “initial listing fee” and including the name of the entity applying for admission, the ASX home branch where the entity has lodged its application (ie Sydney, Melbourne or Perth) and the amount paid.

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NoItem 27. Where in the Offer Document does it confirm that the entity’s free float at the time of listing will be not less than 20% (Listing Rule 1.1 Condition 7)? 28. Where in the Offer Document does it confirm that the issue/sale price of all securities for which the entity seeks quotation is at least 20 cents in cash (Listing Rule 2.1 Condition 2)? 29. If the entity has or proposes to have any options on issue, where in the Offer Document does it confirm that the exercise price for each underlying security is at least 20 cents in cash (Listing Rule 1.1 Condition 12)? 30. If the entity has any partly paid securities and it is not a no liability company, where in the Offer Document does it disclose the entity’s call program, including the date and amount of each proposed call and whether it allows for any extension for payment of a call (Listing Rule 2.1 Condition 4)? 31. If the entity has or proposes to have any debt securities or convertible debt securities on issue, a copy of any trust deed applicable to those securities 32. Is the entity is proposing to offer any securities by way of a bookbuild? If so, please enter “Confirmed” in the column to the right to indicate that the entity is aware of the disclosure requirements for bookbuilds in the Annexure to Guidance Note 1 All entities – other information and documents 33. Where in the Offer Document is there a description of the history of the entity? 34. Where in the Offer Document is there a description of the entity’s existing and proposed activities and level of operations? 35. Where in the Offer Document is there a description of the key features of the entity’s business model (ie how it makes or intends to make a return for investors or otherwise achieve its objectives)? 36. Where in the Offer Document is there a description of the material business risks the entity faces? 37. If the entity has any child entities, where in the Offer Document is there a list of all child entities stating, in each case, the name, the nature of its business and the entity’s percentage holding in it? 38. If the entity has any investments in associated entities for which it will apply equity accounting, where in the Offer Document is there a list of all associated entities stating, in each case, the name, the nature of its business and the entity’s percentage holding in it? 39. Where in the Offer Document is there a description of the entity’s proposed dividend/distribution policy? 40. Does the entity have or propose to have a dividend or distribution reinvestment plan? If so, where are the existence and main terms of the plan disclosed in the Offer Document? A copy of the terms of the plan	Location/Confirmation
	Refer to section 8.6 of the Prospectus
	Key Offer Information section of the Prospectus
	Refer to section 7.3.9 of the Prospectus
	Not applicable
	Not applicable
	Confirmed
	Refer to sections 1.1, 4.1, 4.2, 4.4, 8.5 and 10.1 of the Prospectus
	Refer to section 4.2 to 4.7 of the Prospectus
	Refer to sections 4.2 of the Prospectus
	Refer to section 6 of the Prospectus
	Refer to section 10.2 of the Prospectus
	Not applicable
	Refer to section 5.16 of the Prospectus
	Not applicable
	Not applicable

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N[o] Item

Location/Confirmation

1. Does the entity have or propose to have an employee incentive scheme?

If so, where are the existence and main terms of the scheme disclosed in the Offer Document?

Althea Holdings does not have an employee incentive scheme but does have a Long Term Incentive Plan for senior executives, directors, employees and contractors. Refer to section 7.3.4 for a summary of the terms.

Where in the Offer Document is there a statement as to whether directors[18] Not applicable are entitled to participate in the scheme and, if they are, the extent to which they currently participate or are proposed to participate?

A copy of the terms of the scheme

Annexure L – copy of LTI Plan

1. Has the entity entered into any material contracts (including any underwriting agreement relating to the securities to be quoted on ASX)?[19]

2. If so, where are the existence and main terms of those material contracts Refer to section 10.4 of the Prospectus disclosed in the Offer Document? Copies of all of the material contracts referred to in the Offer Document Annexure M

3. 1. If the following information is included in the Offer Document, the page Refer to sections 7.3 of the Prospectus reference where it is included. Otherwise, either a summary of the material terms of, or a copy of, any employment, service or consultancy agreement the entity or a child entity has entered into with: (a) its chief executive officer (or equivalent)

4. (b) any of its directors or proposed directors; or

	Refer to sections 7.3 of the Prospectus
(c) any other person or entity who is a related party of the persons referred to in (a) or (b) above (Listing Rule 3.16.4) Note: if the entity applying for admission to the official list is a trust, references to a chief executive officer, director or proposed director mean a chief executive officer, director or proposed director of the responsible entity of the trust. However, the entity need not provide a summary of the material terms of, or a copy of, any employment, service or consultancy agreement the responsible entity or a related entity has entered into with any of the persons referred to in (a), (b) or (c) above if the costs associated with the agreement are borne by the responsible entity or the related entity from out of its own funds rather than from out of the trust. 44. Please enter “Confirmed” in the column to the right to indicate that the material contracts summarised in the Offer Document include, in addition to those mentioned in item 43, any other material contract(s) the entity or a child entity has entered into with: (a) its chief executive officer (or equivalent) (b) any of its directors or proposed directors; or (c) any other person or entity who is a related party of the persons referred to in (a) or (b) above 45. Please enter “Confirmed” in the column to the right to indicate that all information that a reasonable person would expect to have a material effect on the price or value of the securities to be quoted is included in or provided with this Information Form and Checklist 46. A copy of the entity’s most recent annual report
	Confirmed
	Confirmed
	Not applicable

18 If the entity applying for admission to the official list is a trust, references to a director mean a director of the responsible entity of the trust.

19 It will assist ASX if the material contracts are provided both in hard copy and in electronic format.

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Location/Confirmation

N[o] Item

Entities that are trusts

1. Evidence that the entity is a registered managed investment scheme or has Not applicable an exemption from ASIC from that requirement (Listing Rule 1.1 Condition 5(a))

2. If the entity is exempted from the requirement to be a registered managed Not applicable investment scheme, evidence that its responsible entity is either an Australian company or registered as a foreign company carrying on business in Australia under the Corporations Act (Listing Rule 1.1 Condition 5(b))

3. Please enter “Confirmed” in the column to the right to indicate that the Not applicable responsible entity is not under an obligation to allow a security holder to withdraw from the trust (Listing Rule 1.1 Condition 5(c))

Entities applying under the profit test (Listing Rule 1.2)

1. Evidence that the entity is a going concern or the successor of a going Not applicable concern (Listing Rule 1.2.1)

2. Evidence that the entity has been in the same main business activity for the Not applicable last 3 full financial years (Listing Rule 1.2.2)

3. Audited accounts for the last 3 full financial years, including the audit reports Not applicable (Listing Rule 1.2.3(a))

4. If the entity’s last financial year ended more than 6 months and 75 days Not applicable before the date of this application, audited or reviewed accounts for the last half year (or longer period if available), including the audit report or review (Listing Rule 1.2.3(b))

5. A reviewed pro forma statement of financial position, including the review Not applicable (Listing Rule 1.2.3(c))[20]

6. Evidence that the entity’s aggregated profit from continuing operations for Not applicable the last 3 full financial years has been at least $1 million (Listing Rule 1.2.4)

7. Evidence that the entity’s profit from continuing operations in the past Not applicable 12 months to a date no more than 2 months before the date of this application has exceeded $500,000 (Listing Rule 1.2.5)

8. A statement from all directors[21] confirming that they have made enquiries Not applicable and nothing has come to their attention to suggest that the entity is not continuing to earn profit from continuing operations up to the date of the application (Listing Rule 1.2.5A)

Entities applying under the assets test (Listing Rule 1.3)

1. Evidence that the entity has: (a) net tangible assets of at least $4 million (after deducting the costs of fund raising) or a market capitalisation of at least $15 million; or

(b) if it is an investment entity other than pooled development fund, net tangible assets of at least $15 million; or

Refer to section 5 of the Prospectus

20 Note: the review must be conducted by a registered company auditor (or if the entity is a foreign entity, an overseas equivalent of a registered company auditor) or independent accountant.

21 If the entity applying for admission to the official list is a trust, the statement should come from all directors of the responsible entity of the trust.

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NoItem (c) if it is a pooled development fund, net tangible assets of at least $2 million (Listing Rule 1.3.1 and 1.3.1A) 59. Evidence that: (a) at least half of the entity’s total tangible assets (after raising any funds) is not cash or in a form readily convertible to cash;22or (b) there are commitments to spend at least half of the entity’s cash and assets in a form readily convertible to cash (Listing Rule 1.3.2) 60. Is there a statement in the Offer Document setting out the entity’s stated objectives and that the entity has enough working capital to carry out its stated objectives? If so, where is it? If not, attach a statement by an independent expert confirming that the entity has enough working capital to carry out its stated objectives (Listing Rule 1.3.3(a)) 61. Evidence that the entity’s working capital is at least $1.5 million or, if it is not, that it would be at least $1.5 million if the entity’s budgeted revenue for the first full financial year that ends after listing was included in the working capital (Listing Rule 1.3.3(b))23 62. Audited accounts for the last 2 full financial years, including the audit reports (Listing Rule 1.3.5(a) first bullet point) 63. If the entity’s last financial year ended more than 6 months and 75 days before the date of this application, audited or reviewed accounts for the last half year (or longer period if available), including the audit report or review (Listing Rule 1.3.5(a) second bullet point) 64. If the entity has in the 12 months before the date of this application acquired, or is proposing in connection with its application for admission to acquire, another entity or business that is significant in the context of the entity, audited accounts for the last 2 full financial years for that other entity or business, including the audit reports (Listing Rule 1.3.5(b) first bullet point) 65. If the entity has in the 12 months before the date of this application acquired, or is proposing in connection with its application for admission to acquire, another entity or business that is significant in the context of the entity and the last full financial year for that other entity or business ended more than	Location/Confirmation
	Refer to section 4 of the Prospectus
	Refer to section 8.4 of the Prospectus
	Refer to section 8.4 of the Prospectus
	Annexure N Althea Holdings was incorporated on 21 June 2018 and, accordingly, does not have an operating history long enough to provide audited accounts for the last two full financial years. ASX in response to Althea Holdings’ application for in principle advice confirmed that the attached accounts are sufficient for the purposes of this application.
	Not applicable
	Annexure O Althea Company was incorporated on 21 June 2018 and, accordingly, does not have an operating history long enough to provide audited accounts for the last two full financial years. ASX in response to Althea Holdings’ application for in principle advice confirmed that the attached accounts are sufficient for the purposes of this application.
	Not applicable

22 In deciding if an entity’s total tangible assets are in a form readily convertible to cash, ASX would normally not treat inventories or receivables as readily convertible to cash.

23 The amount must be available after allowing for the first full financial year’s budgeted administration costs and the cost of acquiring any assets referred to in the entity’s Offer Document, to the extent those costs are to be met out of working capital. The cost of acquiring assets includes the cost of acquiring and exercising an option over them.

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• N[o] Item 6 months and 75 days before the date of this application, audited or reviewed accounts for the last half year (or longer period if available) from the end of the last full financial year for that other entity or business, including the audit report or review (Listing Rule 1.3.5(b) second bullet point)

Location/Confirmation

1. A reviewed pro forma statement of financial position, including the review Refer to section 5.4 of Prospectus (Listing Rule 1.3.5(c))[24]

Entities with restricted securities

1. A statement setting out a list of any person (either on their own or together Refer to section 8.6 of the Prospectus with associates) who has held a relevant interest in at least 10% of the entity’s voting securities at any time in the 12 months before the date of this application

2. A completed ASX Restricted Securities Table[[25]]

3. A completed ASX Restricted Securities Table[[25]] Annexure P 69. Copies of all restriction agreements (Appendix 9A) entered into in relation to Annexure Q restricted securities[26]

4. Copies of all undertakings issued by any bank, recognised trustee or the Not applicable provider of registry services to the entity in relation to such restriction agreements

Entities (other than mining exploration entities and oil and gas exploration entities) with classified assets[27]

1. Within the 2 years preceding the date of the entity’s application for admission to the official list, has the entity acquired, or entered into an agreement to acquire, a classified asset?

If so, where in the Offer Document does it disclose:

Not applicable

• the date of the acquisition or agreement;

• full details of the classified asset, including any title particulars;

• the name of the vendor;

• if the vendor was not the beneficial owner of the classified asset at the date of the acquisition or agreement, the name of the beneficial owner(s);

• details of the relationship between the vendor (or, if the vendor was not the beneficial owner of the tenement at the date of the acquisition or agreement, between the beneficial owner(s)) and the entity or any related party or promoter of the entity; and

24 Note: the review must be conducted by a registered company auditor (or if the entity is a foreign entity, an overseas equivalent of a registered company auditor) or independent accountant.

25 An electronic copy of the ASX Restricted Securities Table is available from the ASX Compliance Downloads page on ASX’s website.

26 Note: ASX will advise which restricted securities are required to be escrowed under Listing Rule 9.1.3 as part of the admission and quotation decision. If properly completed restriction agreements and related undertakings have not been provided for all such securities advised by ASX, that will need to be rectified prior to admission occurring and quotation commencing.

27 A “classified asset” is defined in Listing Rule 19.12 as:

• (a) an interest in a mining exploration area or oil and gas exploration area or similar tenement or interest;

• (b) an interest in intangible property that is substantially speculative or unproven, or has not been profitably exploited for at least three years, and which entitles the entity to develop, manufacture, market or distribute the property;

• (c) an interest in an asset which, in ASX’s opinion, cannot readily be valued; or

• (d) an interest in an entity the substantial proportion of whose assets (held directly, or through a controlled entity) is property of the type referred to in paragraphs (a), (b) and (c) above.

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• N[o] Item Location/Confirmation  details of the purchase price paid or payable and all other consideration (whether legally enforceable or not) passing directly or indirectly to the vendor.

• Is the vendor (or, if the vendor was not the beneficial owner of the classified Not applicable asset at the date of the acquisition or agreement, is any of the beneficial owner(s)) a related party or promoter of the entity? If so, please enter “Confirmed” in the column to the right to indicate that the consideration paid by the entity for the classified asset was solely restricted securities, save to the extent it involved the reimbursement of expenditure incurred in developing the classified asset[28] or the entity was not required to apply the restrictions in Appendix 9B under Listing Rule 9.1.3 (Listing Rule 1.1 Condition 11) Please also provide a copy of the agreement(s) relating to the acquisition Not applicable entered into by the entity and any expert’s report or valuation obtained by the entity in relation to the acquisition

• Mining entities 72. A completed Appendix 1A Information Form and Checklist Annexure I Not applicable (Mining Entities)[29]

• Oil and gas entities 73. A completed Appendix 1A Information Form and Checklist Annexure II (Oil Not applicable and Gas Entities)[30]

• Entities incorporated or established outside of Australia 74. A completed Appendix 1A Information Form and Checklist Annexure III Not applicable (Foreign Entities)[31]

Externally managed entities

1. A completed Appendix 1A Information Form and Checklist Annexure IV Not applicable (Externally Managed Entities)[32]

Stapled entities 76. A completed Appendix 1A Information Form and Checklist Annexure V Not applicable (Stapled Entities)[33]

Further documents to be provided before admission to the official list

Please note that in addition to the information and documents mentioned above, all entities will be required to provide the following before their admission to the official list and the quotation of their securities commences:

• A statement setting out the names of the 20 largest holders in each class of securities to be quoted, and the number and percentage of each class of securities held by those holders;

• A distribution schedule of each class of equity securities to be quoted, setting out the number of holders in the categories:

28 ASX may require evidence to support expenditure claims.

29 An electronic copy of this Appendix is available from the ASX Compliance Downloads page on ASX’s website.

30 An electronic copy of this Appendix is available from the ASX Compliance Downloads page on ASX’s website.

31 An electronic copy of this Appendix is available from the ASX Compliance Downloads page on ASX’s website.

32 An electronic copy of this Appendix is available from the ASX Compliance Downloads page on ASX’s website.

33 An electronic copy of this Appendix is available from the ASX Compliance Downloads page on ASX’s website.

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• 1 - 1,000

• 1,001 - 5,000

• 5,001 - 10,000

• 10,001 - 100,000

• 100,001 and over

• The number of holders of a parcel of securities (excluding restricted securities or securities subject to voluntary escrow) with a value of more than $2,000, based on the issue/sale price;

• Any outstanding restriction agreements (Appendix 9A) and related undertakings;[34] and

• Any other information that ASX may require under Listing Rule 1.17.[35]

34 See note 26 above.

35 Among other things, this may include evidence to verify that an entity has met Listing Rule 1 Condition 8 and achieved minimum spread without using artificial means (see Guidance Note 1 section 3.8).

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