SEQUOIA FINANCIAL GROUP LTD — Director's Dealing 2022

Jul 18, 2022

==> picture [595 x 90] intentionally omitted <==

----- Start of picture text -----

Sequoia Financial Group Ltd
ACN: 091 744 884
ASX: SEQ
----- End of picture text -----

ASX AND MEDIA RELEASE

19 JULY 2022

APPENDIX 3Y – LATE LODGEMENT

Sequoia Financial Group Limited (ASX: SEQ ) (the Company ) attaches an Appendix 3Y “Change of Director’s Interest Notice” for Mr Garry Crole.

In relation to the late lodgement of the attached Appendix 3Y, the Company advises as follows:

1. The Appendix 3Y was lodged late due to an administrative oversight following the lapsing of unexercised Options on 1 July 2022. As soon as practicable after the oversight was identified the Appendix 3Y was lodged with ASX.

2. The Company and the Directors are aware of their obligations under the ASX Listing Rules 3.19A and 3.19B to provide the necessary information to the Company Secretary to meet its disclosure requirements. The Company has a Share Trading Policy which sets out requirements to notify the Company of changes in interests. This is also addressed at each Board meeting.

3. The Company considers the late lodgement as an isolated breach, and the Company believes that its current practices are adequate to ensure compliance with the ASX Listing Rules.

-ENDS -

This announcement was authorised for release by the Managing Director.

For further information please contact:

Garry Crole, Managing Director +61 3 9209 9777 Rebecca Weir, Company Secretary +61 431 240 642

Registered Office: Level 7

7 Macquarie Place Sydney NSW 2000

Phone: +61 2 8114 2222 Fax: +61 2 8114 2200 Email: admin@sequoia.com.au Website: www.sequoia.com.au

ABOUT SEQUOIA FINANCIAL GROUP LTD

ASX-listed Sequoia Financial Group Ltd (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.

It provides:

• Investment and superannuation products

• Wealth management and advisory services

• Corporate advisory and capital markets expertise

• Retail, wholesale and institutional trading platforms

• Market data and financial news services

Sequoia operates various AFS Licenses and Its subsidiary Morrison Securities Pty Ltd is an ASX Market Participant.

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	Garry Peter Crole
Date of last notice	1 December 2021

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.	Ms. Marina Baltrusaitene (spouse)
Date of change	1 July 2022
No. of securities held prior to change	1. 11,048,637 Shares and 1,000,000 Options held by Mr Garry Crole directly 2. 1,035,035 Shares held by Ms Marina Baltrusaitene
Class	Options
Number acquired	Nil
Number disposed	500,000
Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation	Nil
No. of securities held after change	1. 11,048,637 Shares and 500,000 Options held by Mr Garry Crole directly 2. 1,035,035 Shares held by Ms Marina Baltrusaitene

• See chapter 19 for defined terms.

Appendix 3Y Page 1

Appendix 3Y Change of Director’s Interest Notice

Nature of change

Lapsing of unexercised Options

Example: on-market trade, offmarket trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back

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
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

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 2