Skip to main content

AI assistant

Sign in to chat with this filing

The assistant answers questions, extracts KPIs, and summarises risk factors directly from the filing text.

ROCKETDNA LTD. Capital/Financing Update 2023

Jun 18, 2023

65709_rns_2023-06-18_11b4b895-d11b-44c5-9c12-f853247c61d8.pdf

Capital/Financing Update

Open in viewer

Opens in your device viewer

Announcement Summary

Entity name

ROCKETDNA LTD.

Date of this announcement

Monday June 19, 2023

The +securities the subject of this notification are:

+Other securities issued under an +employee incentive scheme that are not intended to be quoted on ASX

Total number of +securities to be issued/transferred

ASX +securitycode Security description Total number of+securities to beissued/transferred Issue date
New class - codeto be confirmed Emp Options Expiring 22 May 2028 @ $0.01 6,500,000 19/06/2023

Refer to next page for full details of the announcement

Part 1 - Entity and announcement details

1.1 Name of entity

ROCKETDNA LTD.

We (the entity named above) give notice of the issue, conversion or payment up of the following unquoted +securities.

1.2 Registered number type

ACN

Registration number

618678701

1.3 ASX issuer code RKT

1.4 The announcement is

New announcement

1.5 Date of this announcement

19/6/2023

Part 2 - Issue details

2.1 The +securities the subject of this notification are:

+Other securities issued under an +employee incentive scheme that are not intended to be quoted on ASX

2.2a This notification is given in relation to an issue of +securities in a class which is not quoted on ASX and which:

does not have an existing ASX security code ("new class")

Part 3C - number and type of +securities the subject of this notification (new class) where issue has not previously been notified to ASX

in an Appendix 3B

ASX +security code +Security description
New class - code to be confirmed Emp Options Expiring 22 May 2028 @ $0.01
+Security type ISIN code
Options
Date the +securities the subject of this notification were issued
19/6/2023
Yes Will all the +securities issued in this class rank equally in all respects from their issue date?
No Were any of the +securities issued to +key management personnel (KMP) or an +associate?
listing rule 6.1?No Have you received confirmation from ASX that the terms of the +securities are appropriate and equitable under
issued. Please provide a URL link for a document lodged with ASX setting out the material terms of the +securities being
https://cdn-api.markitdigital.com/apiman-gateway/ASX/asx-research/1.0/file/2924-02515998-6A1089357?access_token=8
3ff96335c2d45a094df02a206a39ff4

Options Details

+Security currency AUD - Australian Dollar Exercise price AUD 0.01000000 Expiry date 22/5/2028

Details of the existing class of +security that will be issued upon exercise or conversion of this new class of company option

Other

Description

Ordinary fully paid shares

Please provide a URL link for a document lodged with ASX detailing the terms of the +employee incentive scheme or a summary of the terms

https://cdn-api.markitdigital.com/apiman-gateway/ASX/asx-research/1.0/file/2924-02515998-6A1089357?access\_token=8 3ff96335c2d45a094df02a206a39ff4

Any other information the entity wishes to provide about the +securities the subject of this notification

The options are being issued under the South African employee incentive plan with one third vesting every year of employment for the first three years.

Issue details

Number of +securities

6,500,000

Part 4 - +Securities on issue

Following the issue, conversion or payment up of the +securities the subject of this application, the +securities of the entity will comprise: (A discrepancy in these figures compared to your own may be due to a matter of timing if there is more than one application for quotation/issuance currently with ASX for processing.) 4.1 Quoted +Securities (Total number of each +class of +securities quoted) ASX +security code and description Total number of +securities on issue RKT : ORDINARY FULLY PAID 517,203,769

4.2 Unquoted +Securities (Total number of each +class of +securities issued but not quoted on ASX)

ASX +security code and description Total number of+securities on issue
RKTAL : CLASS C PERFORMANCE SHARES 10,000,000
RKTAE : OPTION EXPIRING 17-APR-2024 EX $0.1125 955,480
RKTAD : OPTION EXPIRING 13-JUN-2023 EX $0.0027 1,991,581
RKTAJ : CLASS A PERFORMANCE SHARES 20,000,000
RKTAK : CLASS B PERFORMANCE SHARES 15,000,000
RKTAG : OPTION EXPIRING 05-NOV-2024 EX $0.09 948,053
RKTAN : OPTION EXPIRING 30-MAY-2026 EX $0.021 2,000,000
RKTAM : PERFORMANCE RIGHTS 15,000,000
RKTAF : OPTION EXPIRING 24-JUN-2024 EX $0.1125 953,544
RKTAP : OPTION EXPIRING 24-MAY-2027 EX $0.015 1,000,000
RKTAO : PERFORMANCE RIGHTS 2022 12,000,000
New class - code to be confirmed : Emp Options Expiring 22 May 2028 @ $0.01 6,500,000

Part 5 - Other Listing Rule requirements

5.1 Were the +securities issued under an exception in Listing Rule 7.2 and therefore the issue did not need any security holder approval under Listing Rule 7.1? Yes

5.1a Select the number of the applicable exception in Listing Rule 7.2

13