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PRODIGY GOLD NL — Capital/Financing Update 2020
Nov 1, 2020
65615_rns_2020-11-01_6d987d8e-3911-4402-93d8-31a9385db6d8.pdf
Capital/Financing Update
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ASX ANNOUNCEMENT / MEDIA RELEASE ASX: PRX
2 November 2020
Unlisted Options, Appendix 3G and Appendix 3Y
Expiry of unlisted options
Prodigy Gold NL (ASX: PRX) ("Prodigy Gold" or the "Company") advises that a total of 7 Million unlisted vested options issued to Tommy McKeith on 3 November 2016 with a vesting price of $0.095 expired and lapsed unexercised on 2 November 2020.
Issue of unlisted options
Following shareholder approval at the AGM held on 2 November 2020, the Company issued 10,400,000 unlisted options to directors. Further details are included in the attached Appendix 3G.
The corresponding Appendices 3Y are attached to this announcement.
Subsequently the Company has a total of 31,100,000 unlisted options on issue.
Authorised for release by Prodigy Gold's Secretary, Jutta Zimmermann.
For further information please contact:
Jutta Zimmermann Company Secretary +61 8 9423 9777 [email protected]

Follow @ProdigyGoldAu on Twitter Follow Prodigy Gold on LinkedIn

Appendix 3G
Notification of issue, conversion or payment up of equity +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 issuing 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) give notice of the issue,conversion or payment up of the following unquoted+securities. | Prodigy Gold NL |
| 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). | 58 009 127 020 |
| 1.3 | *ASX issuer code | PRX |
| 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 updateMandatory only if "Update" ticked in Q1.4 above. Areason must be provided for an update. | Issue of unlisted options (Options) under thecompany's Employee Share Option Plan(ESOP) following shareholder approval of theissue at the Company's Annual GeneralMeeting held on 2 November 2020. |
| 1.4b | *Date of previous announcement to thisupdateMandatory only if "Update" ticked in Q1.4 above. | |
| 1.4c | *Reason for cancellationMandatory only if "Cancellation" ticked in Q1.4 above. | |
| 1.4d | *Date of previous announcement to thiscancellationMandatory only if "Cancellation" ticked in Q1.4 above. | |
| 1.5 | *Date of this announcement | 2 November 2020 |
Part 2 – Type of issue
| QuestionNo. | Question | Answer |
|---|---|---|
| 2.1 | *The +securities the subject of thisnotification are:Select whichever item is applicable.If you wish to notify ASX of different types of issues ofsecurities, please complete a separate Appendix 3Gfor each type of issue. | ☐ +Securities issued as a result of optionsbeing exercised or other +convertible+securities being converted and that arenot to be quoted on ASX☐ Partly paid +securities that have beenfully paid up and that are not to bequoted on ASX☒ +Securities issued under an +employeeincentive scheme that are not beingimmediately quoted on ASX☐ Other[please specify]If you have selected 'other' please provide thecircumstances of the issue here: |
| 2.2a.1 | Please state the number and type ofoptions that were exercised or other+convertible securities that were converted(including their ASX security code ifavailable)?Answer this question if your response to Q2.1 is"securities issued as a result of options beingexercised or other convertible securities beingconverted and that are not to be quoted on ASX". | |
| 2.2a.2 | And the date the options were exercised orother +convertible securities wereconverted:Answer this question if your response to Q2.1 is"securities issued as a result of options beingexercised or other convertible securities beingconverted and that are not to be quoted on ASX".Note: If this occurred over a range of dates, enter thedate the last of the options was exercised orconvertible securities was converted. | |
| 2.2b.1 | Please state the number and type of partlypaid +securities that were fully paid up(including their ASX security code ifavailable)?Answer this question if your response to Q2.1 is"partly paid securities that have been paid up and thatare not to be quoted on ASX". | |
| 2.2b.2 | And the date the +securities were fully paidup:Answer this question if your response to Q2.1 is"partly paid securities that have been paid up and thatare not to be quoted on ASX".Note: If this occurred over a range of dates, enter thedate the last of the securities was fully paid up. | |
| 2.2c.1 | Please state the number and type of+securities (including their ASX securitycode) issued under an +employeeincentive scheme that are not beingimmediately quoted on ASXAnswer this question if your response to Q2.1 is"securities issued under an employee incentivescheme that are not being immediately quoted onASX". | 10,400,000 unlisted options |
| 2.2c.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 asummary of the terms. | Pursuant to the ESOP as approved at the2019 AGM and pursuant to the Notice ofAnnual General Meeting for the AGM heldon 2 November 2020 | ||
|---|---|---|---|---|
| Answer this question if your response to Q2.1 is | https://www.asx.com.au/asxpdf/20191022/pdf/449qwwl2r6bbkt.pdf | |||
| "securities issued under an employee incentivescheme that are not being immediately quoted onASX". | https://wcsecure.weblink.com.au/pdf/PRX/02284082.pdf | |||
| 2.2c.3 | an +associate | *Are any of these +securities being issuedto +key management personnel (KMP) or | ||
| ASX". | Answer this question if your response to Q2.1 is"securities issued under an employee incentivescheme that are not being immediately quoted on | |||
| 2.2c.3.a | *Provide details of the recipients and the number of +securities issued to each of them.Answer this question if your response to Q2.1 is "securities issued under an employee incentive scheme that arenot being immediately quoted on ASX" and your response to Q2.2c.3 is "Yes". Repeat the detail in the tablebelow for each KMP involved in the issue. If the securities are being issued to the KMP, repeat the name of theKMP or insert "Same" in "Name of registered holder". If the securities are being issued to an associate of a KMP,insert the name of the associate in "Name of registered holder". | |||
| Name of KMP | Name of registered holder | Number of +securities | ||
| Tommy McKeith | The McKeith Family Trust | 7,000,000 | ||
| Matthew Briggs | Matthew Briggs | 400,000 | ||
| Brett Smith | Brett Smith | 1,500,000 | ||
| Michael Stirzaker | Stith Pty Limited | 1,500,000 | ||
| 2.2d.1 | *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 payfor the acquisition of an asset[provide details below]☐ To pay for services rendered[provide details below]☐ Other [provide details below]Additional details: | ||
| 2.2d.2 | Please provide any further informationneeded to understand the circumstances inwhich you are notifying the issue of these+securities to ASX, including (if applicable)why the issue of the +securities has notbeen previously announced to the marketin an Appendix 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". | |||
| 2.3 | *The +securities being issued are:Tick whichever is applicable | ☒ Additional +securities in an existingunquoted class that is already recordedby ASX ("existing class") | ||
| class") | ☐ New +securities in an unquotedclassthat is not yet recorded by ASX ("new |
Part 3A – number and type of +securities being issued (existing class)
| QuestionNo. | Question | Answer |
|---|---|---|
| 3A.1 | *ASX security code & description | PRXAA |
| 3A.2 | *Number of +securities being issued | 10,400,000 |
| 3A.3a | *Will the +securities being issued rankequally in all respects from their issue datewith the existing issued +securities in thatclass? | Yes |
| 3A.3b | *Is the actual date from which the+securities will rank equally (non-rankingend date) known?Answer this question if your response to Q3A.3a is"No". | |
| 3A.3c | *Provide the actual non-ranking end dateAnswer this question if your response to Q3A.3a is"No" and your response to Q3A.3b is "Yes". | |
| 3A.3d | *Provide the estimated non-ranking endperiodAnswer this question if your response to Q3A.3a is"No" and your response to Q3A.3b is "No". | |
| 3A.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 Q3A.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. |
Answer the questions in this part if your response to Q2.3 is "existing class".
Part 3B – number and type of +securities being issued (new class)
Answer the questions in this part if your response to Q2.3 is "new class".
| QuestionNo. | Question | Answer |
|---|---|---|
| 3B.1 | *Security description | |
| 3B.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. For interestrate securities, please select the appropriate choicefrom either "Convertible debt securities" or "Nonconvertible 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☐ Other |
| 3B.3 | ISIN codeAnswer this question if you are an entity incorporatedoutside Australia and you are issuing a new class ofsecurities other than CDIs. See also the note at the topof this form. | |
| 3B.4 | *Number of +securities being issued | |
| 3B.5a | *Will all the +securities issued in this classrank equally in all respects from the issuedate? | Yes or No |
| 3B.5b | *Is the actual date from which the+securities will rank equally (non-rankingend date) known?Answer this question if your response to Q3B.5a is"No". | Yes or No |
| 3B.5c | *Provide the actual non-ranking end dateAnswer this question if your response to Q3B.5a is"No" and your response to Q3B.5b is "Yes". | |
| 3B.5d | *Provide the estimated non-ranking endperiodAnswer this question if your response to Q3B.5a is"No" and your response to Q3B.5b is "No". | |
| 3B.5e | *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.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 they | ||
| may not be entitled to participate in some other event,such as an entitlement issue. |
| 3B.6 | Please attach a document or provide a URLlink for a document lodged with ASX settingout the material terms of the +securitiesbeing issuedYou 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. | |
|---|---|---|
| 3B.7 | *Have you received confirmation from ASXthat the terms of the +securities are | Yes or No |
| appropriate and equitable under listing rule6.1? | ||
| 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. | ||
| 3B.8a | Ordinary fully or partly paid shares/units detailsAnswer the questions in this section if you selected this security type in your response to Question 3B.2. | |
| *+Security currency | ||
| 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? | Yes or No | |
| *CDI ratio | X:Y | |
| Answer 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). | ||
| *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 theprevious question. | ||
| The paid up amount represents the amount ofapplication money and/or calls which have been paidon any security considered 'partly paid' | ||
| The unpaid amount represents the unpaid or yet to becalled amount on any security considered 'partlypaid'. | ||
| The amounts should be provided per the securitycurrency (e.g. if the security currency is AUD, then thepaid 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 ofordinary shares and/or ordinary units issued byseparate entities that are stapled together for thepurposes of trading. | ||
| 3B.8b | Option details | |
| Answer the questions in this section if you selected this security type in your response to Question 3B.2. | ||
| *+Security currency | ||
| This is the currency in which the exercise price ispayable. |
| *Exercise priceThe price at which each option can be exercised andconvert into the underlying security. If there is noexercise price please answer as $0.00.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). | ||
|---|---|---|
| *Expiry dateThe date on which the options expire or terminate. | ||
| *Details of the number and type of+security (including its ASX security code ifthe +security is quoted on or recorded byASX) that will be issued if an option isexercisedFor 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)". | ||
| 3B.8c | 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 Question | ||
| 3B.2.Debt and Hybrid Securities" for further information on certain terms used in this section | Refer to Guidance Note 34 and the "Guide to the Naming Conventions and Security Descriptions for ASX Quoted | |
| *Type of +security | ☐ Simple corporate bond | |
| Select one item from the list | ☐ Non-convertible note orbond | |
| ☐ Convertible note or bond | ||
| ☐ Preference share/unit | ||
| ☐ Capital note | ||
| ☐ Hybrid security | ||
| ☐ Other | ||
| *+Security currency | ||
| 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 | ||
| 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 rate type per the termsof the security. Definitions for each type are provided | ☐ Indexed rate | |
| in the Guide to the Naming Conventions and SecurityDescriptions for ASX Quoted Debt and Hybrid | ☐ Variable rate | |
| Securities | ☐ Zero coupon/no interest | |
| ☐ Other | ||
| Frequency of coupon/interest paymentsper year | ☐ Monthly | |
| Select one item from the list. | ☐ Quarterly | |
| ☐ Semi-annual | ||
| ☐ Annual | ||
| ☐ No coupon/interest payments | ||
| ☐ Other |
This appendix is not available as an online form Appendix 3G Please fill in and submit as a PDF announcement Notification of issue, conversion or
| First interest payment dateA response is not required if you have selected "Nocoupon/interest payments" in response to thequestion above on the frequency of coupon/interestpayments | |
|---|---|
| Interest rate per annumAnswer this question if the interest rate type is fixed. | % p.a. |
| *Is the interest rate per annum estimatedat this time?Answer this question if the interest rate type is fixed. | Yes or No |
| If the interest rate per annum is estimated,then what is the date for this information tobe 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. | |
| *Does the interest rate include a referencerate, base rate or market rate (e.g. BBSWor CPI)?Answer this question if the interest rate type is floating | Yes or No |
| or indexed*What is the reference rate, base rate ormarket rate?Answer this question if the interest rate type is floatingor indexed and your response to the previousquestion is "Yes". | |
| *Does the interest rate include a marginabove the reference rate, base rate ormarket rate?Answer this question if the interest rate type is floatingor indexed. | Yes or No |
| *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 is floatingor indexed and your response to the previousquestion is "Yes". | % p.a. |
| *S128F of the Income Tax Assessment Actstatus 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☐ Not s128F exempt☐ s128F exemption status unknown☐ Not applicable |
| •"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 | |
| *Is the +security perpetual (i.e. no maturitydate)? | Yes or No |
| *Maturity dateAnswer this question if the security is not perpetual |
This appendix is not available as an online form Appendix 3G Please fill in and submit as a PDF announcement Notification of issue, conversion or
| *Select other features applicable to the+securityUp to 4 features can be selected. Further informationis available in the Guide to the Naming Conventionsand Security Descriptions for ASX Quoted Debt andHybrid Securities. | ☐ Simple☐ Subordinated☐ Secured☐ 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 rightof conversion, redemption, call or put canbe exercised (whichever is first)? | Yes or No |
| *If yes, what is the first trigger dateAnswer 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 exchangedAnswer 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)". |
Part 4 – Issue details
| QuestionNo. | Question | Answer |
|---|---|---|
| 4.1 | *Have the +securities been issuedyet? | Yes |
| 4.1a | *What was their date of issue?Answer this question if your response to Q4.1is "Yes". | 2 November 2020 |
| 4.1b | *What is their proposed date ofissue?Answer this question if your response to Q4.1is "No". |
| 4.2 | *Are the +securities being issued fora cash consideration?If the securities are being issued for nil cashconsideration, answer this question "No". | No |
|---|---|---|
| 4.2a | *In what currency is the cashconsideration being paidFor example, if the consideration is being paidin Australian Dollars, state AUD.Answer this question if your response to Q4.2is "Yes". | |
| 4.2b | *What is the issue price per +securityAnswer this question if your response to Q4.2is "Yes" and by reference to the issuecurrency provided in your response to Q4.2a.Note: you cannot enter a nil amount here. Ifthe securities are being issued for nil cashconsideration, answer Q4.2 as "No" andcomplete Q4.2c. | |
| 4.2c | Please describe the considerationbeing provided for the +securitiesAnswer this question if your response to Q4.2is "No". | Nil consideration |
| 4.3 | Any other information the entitywishes to provide about the issue | The options were issued pursuant to the ESOP asdisclosed in the 2020 Notice of AGM.400,000 of the options will vest on 1 July 2023,subject to the achievement of KPI's between 1July 2020 and 1 July 2023 comprising•the discovery and definition of a substantialnew deposit of >1Moz JORC Resource withinan optimised design and having an averagecost of production of <a$1200 and<br="" oz;="">•total shareholder return on the 5 day VWAPfor the trading days prior to 1 July 2020,scored and weighted as follows:</a$1200> |
| The options will be adjusted by an EHS Multiplier.The expiry date of the 400,000 options is theearlier of 1 July 2025 or cessation of employment.1 Million options will vest on 14 February 2021subject to employment continuity until that date.3 Million options will vest on 2 November 2021subject to employment continuity until that date.1 Million options will vest on 14 February 2022subject to employment continuity until that date.2 Million options will vest on 2 November 2022subject to employment continuity until that date.1 Million options will vest on 14 February 2023subject to employment continuity until that date.2 Million options will vest on 2 November 2023subject to employment continuity until that date.The expiry date of the 10 Million options is theearlier of 2 Nov 2025 or cessation of employment. |
Part 5 – Unquoted +securities on issue
Following the issue of the +securities the subject of this application, the unquoted issued +securities of the entity will comprise:
Note: the figures provided in the table in section 5.1 below are used to calculate part of the total market capitalisation of the entity published by ASX from time to time. Please make sure you include in the table each class of unquoted securities issued by the entity.
Restricted securities should be included in table 5.1.
5.1
| *ASX security code and description | *Total number of+securities on issue |
|---|---|
| PRX fully paid ordinary shares | 580,627,606 |
| PRXAA unlisted options | 31,100,000 |
| 3,000,000 vested options @ $0.133 expiry 29/11/21 | |
| 500,000 vested options @ $0.159 expiry 07/10/23 | |
| 2,000,000 vested options @ $Nil expiry 01/07/30 | |
| 500,000 vested option @ $0.095 expiry 07/10/23 | |
| 500,000 options vesting 07/10/21 @ 145% of 5-day VWAPprior to 07/10/21 expiry 07/10/23 | |
| 550,000 options vesting 27/06/21 @ $Nil expiry 27/06/24 | |
| 100,000 options vesting 27/06/22 @ $Nil expiry 27/06/24 | |
| 1,050,000 options vesting 01/07/23 @ $Nil expiry 01/07/25 | |
| 400,000 options vesting 01/07/23 @ $Nil expiry 01/07/25 | |
| 6,250,000 options vesting 01/07/21 @ $Nil expiry 01/07/30 | |
| 6,250,000 options vesting 01/07/22 @ $Nil expiry 01/07/30 | |
| 3,000,000 options vesting 02/11/21 @$0.081 expiry 02/11/25 | |
| 2,000,000 options vesting 02/11/22 @$0.081 expiry 02/11/25 | |
| 2,000,000 options vesting 02/11/23 @$0.081 expiry 02/11/25 | |
| 1,000,000 options vesting 14/02/21 @$0.081 expiry 02/11/25 | |
| 1,000,000 options vesting 14/02/22 @$0.081 expiry 02/11/25 | |
| 1,000,000 options vesting 14/02/23 @$0.081 expiry 02/11/25 |
Part 6 – 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 "Other"
| QuestionNo. | Question | Answer |
|---|---|---|
| 6.1 | *Are the securities being issued underListing Rule 7.2 exception 131 and thereforethe issue does not need any security holderapproval under Listing Rule 7.1?Answer this question if your response to Q2.1 is"securities issued under an employee incentivescheme that are not being immediately quoted onASX". | No |
| 6.2 | *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 Q6.1 is "No". | No, security holder approval has beenobtained under listing rule 10.14 |
| 6.2a | *Date of meeting or proposed meeting toapprove the issue under listing rule 7.1Answer this question if the response to Q6.1 is "No"and the response to Q6.2 is "Yes". | 2 November 2020 |
| 6.2b | *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 Q6.1 is "No"and the response to Q6.2 is "No". | No |
1 Exception 13 An issue of securities under an employee incentive scheme if within 3 years before the issue date:
- (a) in the case of a scheme established before the entity was listed a summary of the terms of the scheme and the maximum number of equity securities proposed to be issued under the scheme were set out in the prospectus, PDS or information memorandum lodged with ASX under rule 1.1 condition 3; or
- (b) the holders of the entity's ordinary securities have approved the issue of equity securities under the scheme as an exception to this rule. The notice of meeting must have included:
- a summary of the terms of the scheme.
- the number of securities issued under the scheme since the entity was listed or the date of the last approval under this rule;
- the maximum number of +equity securities proposed to be issued under the scheme following the approval; and
- a voting exclusion statement.
Exception 13 is only available if and to the extent that the number of +equity securities issued under the scheme does not exceed the maximum number set out in the entity's prospectus, PDS or information memorandum (in the case of (a) above) or in the notice of meeting (in the case of (b) above).
Exception 13 ceases to be available if there is a material change to the terms of the scheme from those set out in the entity's prospectus, PDS or information memorandum (in the case of (a) above) or in the notice of meeting (in the case of (b) above).
- your response to Q2.1 is "+securities issued under an +employee incentive scheme that are not being immediately quoted on ASX"; or
| 6.2b.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 Q6.1 is "No",the response to Q6.2 is "No" and the response toQ6.2b is "Yes".Please complete and separately send by email to yourASX listings adviser a work sheet in the form ofAnnexure B to Guidance Note 21 confirming the entityhas the available capacity under listing rule 7.1 to issuethat number of securities. | |
|---|---|---|
| 6.2c | *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 Q6.1 is "No"and the response to Q6.2 is "No". | No |
| 6.2c.1 | *How many +securities are being issuedwithout +security holder approval using theentity's additional 10% placement capacityunder listing rule 7.1A?Answer this question if the response to Q6.1 is "No",the response to Q6.2 is "No" and the response toQ6.2c is "Yes".Please complete and separately send by email to yourASX listings 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
Appendix 3Y
Change of Director's Interest Notice
Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX's property and may be made public.
Introduced 30/09/01 Amended 01/01/11
| Name of entity | Prodigy GoldNL |
|---|---|
| ABN | 58 009 127 020 |
We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.
| Name of Director | Thomas McKeith |
|---|---|
| Date of last notice | 14 December 2018 |
Part 1 - Change of director's relevant interests in securities
In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust
| Direct or indirect interest | Indirect |
|---|---|
| Nature of indirect interest(including registered holder)Note: Provide details of the circumstances giving rise to therelevant interest. | The McKeith Family Trust |
| Date of change | 2 November 2020 |
| No. of securities held prior to change | 2,158,586 Ordinary shares7,000,000 Unlisted options |
| Class | Unlisted Options |
| Number acquired | 7,000,000 |
| Number disposed | 7,000,000 |
| Value/ConsiderationNote: If consideration is non-cash, provide details andestimated valuation | Nil |
+ See chapter 19 for defined terms.
| No. of securities held after change | 2,158,586 Ordinary shares7,000,000 Unlisted options |
|---|---|
| Nature of changeExample: on-market trade, off-market trade, exercise ofoptions, issue of securities under dividend reinvestment plan,participation in buy-back | 1.Issue of options as detailed in the 2020notice of annual general meeting. Theoptions were approved by shareholders atthe annual general meeting held on 2November 2020.2.Options expired unexercised |
Note: In the case of a company, interests which come within paragraph (ii) of the definition of "notifiable interest of a director" should be disclosed in this part.
| Detail ofcontract | N/A |
|---|---|
| Nature of interest | |
| Name of registered holder(if issued securities) | |
| Date of change | |
| No. and class of securities to whichinterest related prior to changeNote: Details are only required for a contract inrelation to which the interest has changed | |
| Interest acquired | |
| Interest disposed | |
| Value/ConsiderationNote: If consideration is non-cash, provide detailsand an estimated valuation | |
| Interest after change |
| Were the interests in the securities or contracts | Not traded in a closed period |
|---|---|
| detailed above traded during a +closed periodwhere prior written clearance was required? | |
| If so, was prior written clearance provided toallow the trade to proceed during thisperiod? | |
| If prior written clearance was provided, on whatdate was this provided? |
+ See chapter 19 for defined terms.
Appendix 3Y
Change of Director's Interest Notice
Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX's property and may be made public.
Introduced 30/09/01 Amended 01/01/11
| Name of entity | Prodigy GoldNL |
|---|---|
| ABN | 58 009 127 020 |
We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.
| Name of Director | Matthew Briggs |
|---|---|
| Date of last notice | 24 August 2020 |
Part 1 - Change of director's relevant interests in securities
In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust
| Direct or indirect interest | Direct |
|---|---|
| Nature of indirect interest(including registered holder)Note: Provide details of the circumstances giving rise to therelevant interest. | N/A |
| Date of change | 2 November 2020 |
| No. of securities held prior to change | 14,500,000 Unlisted options500,000 Ordinary Shares |
| Class | Unlisted options |
| Number acquired | 400,000 |
| Number disposed | Nil |
| Value/ConsiderationNote: If consideration is non-cash, provide details andestimated valuation | Nil |
+ See chapter 19 for defined terms.
| No. of securities held after change | 14,900,000Unlisted options500,000Ordinary Shares |
|---|---|
| Nature of changeExample: on-market trade, off-market trade, exercise ofoptions, issue of securities under dividend reinvestment plan,participation in buy-back | Issue of options as short and long termincentive and subject to KPI's detailed in the2020 notice of annual general meeting. Theoptions were approved by shareholders at theannual general meeting heldon 2 November2020. |
Note: In the case of a company, interests which come within paragraph (ii) of the definition of "notifiable interest of a director" should be disclosed in this part.
| Detail of contract | N/A |
|---|---|
| Nature of interest | |
| Name of registered holder | |
| (if issued securities) | |
| Date of change | |
| No. and class of securities to which | |
| interest related prior to change | |
| Note: Details are only required for a contract inrelation to which the interest has changed | |
| Interest acquired | |
| Interest disposed | |
| Value/Consideration | |
| Note: If consideration is non-cash, provide detailsand an estimated valuation | |
| Interest after change | |
| Were the interests in the securities or contracts | Not traded in a closed period |
|---|---|
| detailed above traded during a +closed periodwhere prior written clearance was required? | |
| If so, was prior written clearance provided toallow the trade to proceed during this period? | |
| If prior written clearance was provided, on whatdate was this provided? |
+ See chapter 19 for defined terms.
Appendix 3Y
Change of Director's Interest Notice
Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX's property and may be made public.
Introduced 30/09/01 Amended 01/01/11
| Name of entity | Prodigy GoldNL |
|---|---|
| ABN | 58 009 127 020 |
We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.
| Name of Director | Brett Smith |
|---|---|
| Date of last notice | 14 December 2018 |
Part 1 - Change of director's relevant interests in securities
In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust
| Direct or indirect interest | Direct |
|---|---|
| Nature of indirect interest(including registered holder)Note: Provide details of the circumstances giving rise to therelevant interest. | N/A |
| Date of change | 2 November 2020 |
| No. of securities held prior to change | 175,000 Ordinary shares1,500,000 Unlisted options |
| Class | Unlisted Options |
| Number acquired | 1,500,000 |
| Number disposed | Nil |
| Value/ConsiderationNote: If consideration is non-cash, provide details andestimated valuation | Nil |
+ See chapter 19 for defined terms.
| No. of securities held after change | 175,000Ordinary shares3,000,000 Unlisted options |
|---|---|
| Nature of change | Issue of options as detailed in the 2020 notice |
| Example: on-market trade, off-market trade, exercise of | of annual general meeting. The options were |
| options, issue of securities under dividend reinvestment plan, | approved by shareholders at the annual general |
| participation in buy-back | meeting held on 2 November 2020. |
Note: In the case of a company, interests which come within paragraph (ii) of the definition of "notifiable interest of a director" should be disclosed in this part.
| Detail of contract | N/A |
|---|---|
| Nature of interest | |
| Name ofregistered holder(if issued securities) | |
| Date of change | |
| No. and class of securities to whichinterest related prior to changeNote: Details are only required for a contract inrelation to which the interest has changed | |
| Interest acquired | |
| Interestdisposed | |
| Value/ConsiderationNote: If consideration is non-cash, provide detailsand an estimated valuation | |
| Interest after change |
| Were the interests in the securities or contracts | Not traded in a closed period |
|---|---|
| detailed above traded during a +closed periodwhere prior written clearance was required? | |
| If so, was prior written clearance provided toallow the trade to proceed during this period? | |
| If prior written clearance was provided, on whatdate was this provided? |
+ See chapter 19 for defined terms.
Appendix 3Y
Change of Director's Interest Notice
Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX's property and may be made public.
Introduced 30/09/01 Amended 01/01/11
| Name of entity | Prodigy GoldNL |
|---|---|
| ABN | 58 009 127 020 |
We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.
| Name of Director | Michael Stirzaker |
|---|---|
| Date of last notice | 3 December 2018 |
Part 1 - Change of director's relevant interests in securities
In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust
| Direct or indirect interest | Indirect |
|---|---|
| Nature of indirect interest(including registered holder)Note: Provide details of the circumstances giving rise to therelevant interest. | Stith Pty Limited(a company Mr Stirzaker is adirector and potential beneficiary of) |
| Date of change | 2 November 2020 |
| No. of securities held prior to change | Nil |
| Class | Unlisted Options |
| Number acquired | 1,500,000 |
| Number disposed | Nil |
| Value/ConsiderationNote: If consideration is non-cash, provide details andestimated valuation | Nil |
+ See chapter 19 for defined terms.
| No. of securities held after change | 1,500,000 Unlisted options |
|---|---|
| Nature of change | Issue of options as detailed in the 2020 notice |
| Example: on-market trade, off-market trade, exercise of | of annual general meeting. The options were |
| options, issue of securities under dividend reinvestment plan, | approved by shareholders at the annual general |
| participation in buy-back | meeting held on 2 November 2020. |
Note: In the case of a company, interests which come within paragraph (ii) of the definition of "notifiable interest of a director" should be disclosed in this part.
| Detail of contract | N/A |
|---|---|
| Nature of interest | |
| Name of registered holder | |
| (if issued securities) | |
| Date of change | |
| No. and class of securities to which | |
| interest related prior to change | |
| Note: Details are only required for a contract inrelation to which the interest has changed | |
| Interest acquired | |
| Interest disposed | |
| Value/Consideration | |
| Note: If consideration is non-cash, provide detailsand an estimated valuation | |
| Interest after change |
| Were the interests in the securities or contracts | Not traded in a closed period |
|---|---|
| detailed above traded during a +closed periodwhere prior written clearance was required? | |
| If so, was prior written clearance provided toallow the trade to proceed during this period? | |
| If prior written clearance was provided, on whatdate was this provided? |
+ See chapter 19 for defined terms.