SEQUOIA FINANCIAL GROUP LTD — Director's Dealing 2018

Jul 2, 2018

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Sequoia Financial Group Ltd
ACN: 091 744 884
ASX: SEQ
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3 July 2018

Ms. Kimberley Brown Principal Adviser Listings Compliance (Sydney)

Dear Ms. Brown,

APPENDIX 3Y – LATE LODGEMENT NOTICE

Attached is an Appendix 3Y (Change of Director’s Interest Notice) for Mr. Scott Beeton.

In relation to the late lodgement of the attached Appendix 3Y, we advise the following:

1. the delay in lodgement of the Appendix 3Y was due to an internal administrative oversight of which Mr. Beeton was not aware and which is not attributable to him. Upon being identified by Sequoia Financial Group Limited (ASX:SEQ) (“ Company ”), the notice has been immediately lodged.

2. Mr. Beeton obtained the Chairman’s approval to acquire a small parcel of of his fully paid ordinary securities on-market in December 2017 in accordance with the Company’s Security Trading Policy.

3. Directors are aware that any securities acquired, direct or indirect, must be notified to the Company Secretary. The Company Secretary and the board regularly review Director’s interests to ensure any change to their holdings are duly disclosed. It was during this regular review that a discrepancy of Mr. Beeton’s records was identified.

4. The Company considers its current arrangements are adequate to ensure timely disclosure and the late lodgement of this particular Appendix 3Y is an isolated incident. SEQ is mindful of its disclosure obligations under ASX Listing Rule 3.19A.2. The directors are also aware of their personal obligation involving SEQ securities.

Kind regards,

Tharun Kuppanda

Company Secretary

For further information please contact: Scott Beeton, Managing Director & CEO +61 2 8114 2222 Garry Crole, Executive Chairman +61 3 9209 9777

ABOUT SEQUOIA FINANCIAL GROUP LIMITED

ASX-listed Sequoia Financial Group Limited (ASX: SEQ) is an integrated financial services company providing products and services to self-directed retail and wholesale clients and those of third party professional service firms.

Registered Office: Level 7 7 Macquarie Place Sydney NSW 2000

It provides:

• Sydney NSW 2000 • Investment and superannuation products • Wealth management and advisory services • Corporate advisory and capital markets expertise

• Phone: +61 2 8114 2222 • Retail, wholesale and institutional trading platforms Fax: +61 2 8114 2200 • Market data and financial news services Email: admin@sequoia.com.au Sequoia operates various AFS Licenses and Its subsidiaries D2MX Pty Ltd and Morrison Securities Pty Ltd Website: www.sequoia.com.au are ASX Market Participants.

Appendix 3Y Change of Director’s Interest Notice

Rule 3.19A.2

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	Sequoia Financial Group Ltd
ABN	90 091 744 884

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	Scott Lionel Beeton
Date of last notice	20 December 2017

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

Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part.

Direct or indirect interest	Direct and Indirect
Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest.	Holdings held in five separate holdings as follows: A. Beeton Enterprises Pty Ltd Beeton A/C> (Mr. Beeton is a Director of Beeton Enterprises and a beneficiary of the Scott & Sally Beeton A/C); B. Manly Lane Pty Ltd A/C> (Mr. Beeton is a director of Manly Lane and a Beneficiary of the Scott and Salle Beeton Sup A/C); C. Mr Scott Lionel Beeton A/C> (Ms. Amelie Beeton is a dependent of Mr. Beeton); D. Mr Scott Beeton (Mr. Cooper Beeton is a dependent of Mr. Beeton); and E. Mr Scott Beeton.
Date of change	27 December 2017

• See chapter 19 for defined terms.

Appendix 3Y Page 1

Appendix 3Y Change of Director’s Interest Notice

No. of securities held prior to change	A. 10,896,184 FPOs B. 800,155 FPOs C. 11,112 FPOs D. 11,112 FPOs E. 2,000,000 unlisted options exercisable at $0.45 on or before 31 December 2019
Class	Fully Paid Ordinary Shares (FPOs)
Number acquired	A. Nil. B. 2,500 FPOs C. Nil D. Nil E. Nil
Number disposed	Nil.
Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation	$775.00 ($0.31 per share)
No. of securities held after change	A. 10,896,184 FPOs B. 802,655 FPOs C. 11,112 FPOs D. 11,112 FPOs E. 2,000,000 unlisted options exercisable at $0.45 on or before 31 December 2019
Nature of change Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy- back	On market purchase of shares.

Part 2 – Change of director’s interests in contracts

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	N/A
Name of registered holder (if issued securities)	N/A
Date of change	N/A

• See chapter 19 for defined terms.

Appendix 3Y Page 2

Appendix 3Y Change of Director’s Interest Notice

No. and class of securities to which interest related prior to change Note: Details are only required for a contract in relation to which the interest has changed	N/A
Interest acquired	N/A
Interest disposed	N/A
Value/Consideration Note: If consideration is non-cash, provide details and an estimated valuation	N/A
Interest after change	N/A

Part 3 –[+] Closed period

art 3 –+Closed period
Were the interests in the securities or contracts detailed above traded during a+closed period where prior written clearance was required?	No
If so, was prior written clearance provided to allow the trade to proceed during this period?	N/A
If prior written clearance was provided, on what date was this provided?	N/A

• See chapter 19 for defined terms.

Appendix 3Y Page 3