Mesoblast Ltd 6-K, filed Jan 21, 2022
Mesoblast Ltd (MESO)
About this 6-K
Mesoblast Ltd filed this 6-K on January 21, 2022.
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UNITED STATES |
Washington, D.C. 20549
Form 6-K
Report of Foreign Private Issuer
Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934
For the month of January 2022
Commission File Number 001-37626
Mesoblast Limited
(Exact name of Registrant as specified in its charter)
Not Applicable
(Translation of Registrant’s name into English)
Australia
(Jurisdiction of incorporation or organization)
Silviu Itescu
Chief Executive Officer and Executive Director
Level 38
55 Collins Street
Melbourne 3000
Australia
(Address of principal executive offices)
Indicate by check mark whether the registrant files or will file annual reports under cover Form 20-F or Form 40-F:
Form 20-F ☑ Form 40-F ☐
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(1):
Yes ☐ No ☑
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(7):
Yes ☐ No ☑
INFORMATION CONTAINED ON THIS REPORT ON FORM 6-K
On January 17, 2022, Mesoblast Limited filed with the Australian Securities Exchange a notification of issue, conversion or payment up of equity securities (Appendix 3G) which is attached hereto as Exhibit 99.1, and is incorporated herein by reference.
On January 17, 2022, Mesoblast Limited filed with the Australian Securities Exchange a notification of cessation of securities (Appendix 3H) which is attached hereto as Exhibit 99.2, and is incorporated herein by reference.
On January 17, 2022, Mesoblast Limited filed with the Australian Securities Exchange a change of director’s interest notice (Appendix 3Y) which is attached hereto as Exhibit 99.3, and is incorporated herein by reference.
On January 18, 2022, Mesoblast Limited filed with the Australian Securities Exchange a proposed issue of securities (Appendix 3B), which is attached hereto as Exhibit 99.4, and is incorporated herein by reference.
On January 18, 2022, Mesoblast Limited filed with the Australian Securities Exchange an application for quotation of securities (Appendix 2A) which is attached hereto as Exhibit 99.5, and is incorporated herein by reference.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly organized.
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Mesoblast Limited |
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/s/ Niva Sivakumar |
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Niva Sivakumar |
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Company Secretary
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Dated: January 20, 2022
INDEX TO EXHIBITS
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Item |
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99.1 |
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Appendix 3G of Mesoblast Ltd, dated January 17, 2022. |
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99.2 |
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Appendix 3H of Mesoblast Ltd, dated January 17, 2022. |
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99.3 |
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Appendix 3Y of Mesoblast Ltd, dated January 17, 2022. |
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99.4 |
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Appendix 3B of Mesoblast Ltd, dated January 18, 2022. |
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99.5 |
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Appendix 2A of Mesoblast Ltd, dated January 18, 2022. |
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This appendix is available as an online form Exhibit 99.1
Only use this form if the online version is not available+Rule 3.10.3A, 3.10.3B, 3.10.3C, 3.10.3D
Appendix 3G
Notification of issue, conversion or payment up of unquoted equity +securities
Note: this form is also used to notify ASX where quoted options have been exercised or other quoted convertible securities have been converted and the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX.
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
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Question no |
Question |
Answer |
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1.1 |
*Name of entity We (the entity here named) give notice of the issue, conversion or payment up of the following unquoted +securities. |
MESOBLAST LTD |
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1.2 |
*Registration type and number Please supply your ABN, ARSN, ARBN, ACN or another registration type and number (if you supply another registration type, please specify both the type of registration and the registration number). |
ABN 68 109 431 870 |
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1.3 |
*ASX issuer code |
MSB |
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1.4 |
*This announcement is Tick whichever is applicable. |
☒A new announcement ☐An update/amendment to a previous announcement ☐A cancellation of a previous announcement |
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1.4a |
*Reason for update Mandatory only if “Update” ticked in Q1.4 above. A reason must be provided for an update. |
N/A |
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1.4b |
*Date of previous announcement to this update Mandatory only if “Update” ticked in Q1.4 above. |
N/A |
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1.4c |
*Reason for cancellation Mandatory only if “Cancellation” ticked in Q1.4 above. |
N/A |
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1.4d |
*Date of previous announcement to this cancellation Mandatory only if “Cancellation” ticked in Q1.4 above. |
N/A |
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1.5 |
*Date of this announcement |
17 January 2022 |
+ See chapter 19 for defined terms
5 June 2021Page 1
This appendix is available as an online formAppendix 3G
Notification of issue, conversion or
payment up of unquoted equity +securities
Part 2 – Type of issue
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Question No. |
Question |
Answer |
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2.1 |
*The +securities the subject of this notification are: Select whichever item is applicable. If you wish to notify ASX of different events involving unquoted securities, please complete a separate Appendix 3G for each event. |
☒+Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B that are not quoted, and are not intended to be quoted, on ASX ☐+Securities issued under a +dividend or distribution plan that are not quoted, and are not intended to be quoted, on ASX ☒Unquoted options that have been exercised or other unquoted +convertible securities that have been converted ☐Quoted options that have been exercised or other quoted +convertible securities that have been converted where the +securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX ☐Unquoted partly paid +securities upon which a call or instalment has been paid ☐+Securities issued under an +employee incentive scheme that are subject to a restriction on transfer and are not being quoted on ASX until the restriction ends ☒+Other securities issued under an +employee incentive scheme that are not intended to be quoted on ASX ☐Other [please specify] If you have selected ‘other’ please explain the circumstances here:
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2.1a |
*Date the +securities the subject of this notification were issued Answer this question if your response to Q2.1 is anything other than “Unquoted partly paid securities upon which a call or instalment has been paid”. |
In relation to unquoted options which have been exercised: 16 November 2021 and 14 December 2021
In relation to options issued under an employee incentive scheme that are not intended to be quoted on ASX: 31 December 2021 and 14 January 2022.
In relation to securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B that are not quoted: 11 January 2022 |
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+ See chapter 19 for defined terms
5 June 2021Page 2
This appendix is available as an online formAppendix 3G
Notification of issue, conversion or
payment up of unquoted equity +securities
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2.2a.1 |
*Date of Appendix 3B notifying the market of the proposed issue of +securities the subject of this notification Answer this question if your response to Q2.1 is “Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B that are not quoted, and are not intended to be quoted, on ASX.” |
22 November 2021 |
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2.2a.2 |
*Are there any further issues of +securities yet to take place to complete the transaction(s) referred to in the Appendix 3B? Answer this question if your response to Q2.1 is “Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B that are not quoted, and are not intended to be quoted, on ASX”. |
No |
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2.2a.2.1 |
*Please provide details of the further issues of +securities yet to take place to complete the transaction(s) referred to in the Appendix 3B Answer this question if your response to Q2.1 is “Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B that are not quoted, and are not intended to be quoted, on ASX” and your response to Q2.2a.2 is “Yes”. Please provide details of the proposed dates and number of securities for the further issues. |
N/A |
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2.2b.1 |
Date of Appendix 3A.1 lodged with ASX in relation to the underlying +dividend or distribution Answer this question if your response to Q2.1 is “Being issued under a dividend or distribution plan that are not quoted, and are not intended to be quoted, on ASX”. |
N/A |
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2.2c.1 |
Please state the number and type of options that were exercised or other +convertible securities that were converted (including their ASX security code if available): Answer this question if your response to Q2.1 is “Unquoted options that have been exercised or other unquoted convertible securities that have been converted” or “Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX”. |
63,333 options (MSBAI) |
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+ See chapter 19 for defined terms
5 June 2021Page 3
This appendix is available as an online formAppendix 3G
Notification of issue, conversion or
payment up of unquoted equity +securities
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2.2c.2 |
And the date the options were exercised or other +convertible securities were converted: Answer this question if your response to Q2.1 is “Unquoted options that have been exercised or other unquoted convertible securities that have been converted” or “Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX”. Note: If this occurred over a range of dates, enter the date the last of the options was exercised or convertible securities was converted. |
16 November 2021 14 December 2021 |
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2.2c.3 |
Is this all of the options or other +convertible securities on issue of that type (ie have all of those options now been exercised or have all of those convertible securities now been converted)? Answer this question if your response to Q2.1 is ““Unquoted options that have been exercised or other unquoted convertible securities that have been converted” or “Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX”. |
No Note: If you have answered “No”, consider whether you need to lodge an Appendix 3H with ASX notifying ASX of the cessation of some or all of the remaining options or other convertible securities under Listing Rule 3.10.E. This may the case, for example, if options have lapsed because they have passed their expiry date without being exercised, or convertible debt securities have been repaid or redeemed without being converted. |
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2.2c.4 |
The right of the holder of the options or other +convertible securities to receive the +underlying securities is being satisfied by: Answer this question if your response to Q2.1 is “Unquoted options that have been exercised or other unquoted convertible securities that have been converted” or “Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX”. |
☐An issue of new +securities ☒A transfer of existing +securities ☐A reclassification of the +convertible securities as securities in the same class as the +underlying securities |
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2.2c.5 |
The underlying securities being received by the holder are: Answer this question if your response to Q2.1 is “Unquoted options that have been exercised or other unquoted convertible securities that have been converted”. |
☒Already quoted by ASX ☐Intended to be, but are not yet, quoted by ASX ☐Are not, and are not intended to be, quoted by ASX |
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2.2c.6 |
The underlying securities being received by the holder are: Answer this question if your response to Q2.1 is “Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX”. |
☐Already quoted by ASX ☐Are not, and are not intended to be, quoted by ASX
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+ See chapter 19 for defined terms
5 June 2021Page 4
This appendix is available as an online formAppendix 3G
Notification of issue, conversion or
payment up of unquoted equity +securities
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2.2c.7 |
*Were the options being exercised or other +convertible securities being converted issued under an +employee incentive scheme? Answer this question if your response to Q2.1 is “Unquoted options that have been exercised or other unquoted convertible securities that have been converted” or “Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX”. |
Yes |
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2.2c.8 |
*Are any of the options being exercised or other +convertible securities being converted held by +key management personnel (KMP) or an +associate? Answer this question if your response to Q2.1 is “Unquoted options that have been exercised or other unquoted convertible securities that have been converted” or “Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX”.” and your response to Q2.2c.7 is “Yes”. |
No |
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2.2c.8.a |
*Provide details of the KMP or associates who are exercising options or converting convertible securities. Answer this question if your response to Q2.1 is “Unquoted options that have been exercised or other unquoted convertible securities that have been converted” or “Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX”, your response to Q2.2c.7 is “Yes” and your response to Q2.2c.8 is “Yes”. Repeat the detail in the table below for each KMP involved. If the options or other convertible securities are held by the KMP, repeat the name of the KMP or insert “Same” in “Name of registered holder”. If the options or other convertible securities are held by an associate of a KMP, insert the name of the associate in “Name of registered holder”.
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Name of KMP |
Name of registered holder |
Number of options being exercised or other +convertible securities being converted |
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N/A |
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2.2d.1 |
Please state the number and type of partly paid +securities upon which a call or instalment has been paid (including their ASX security code if available)? Answer this question if your response to Q2.1 is “Unquoted partly paid securities upon which a call or instalment has been paid”. |
N/A |
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2.2d.2 |
And the date upon which the call or instalment was paid: Answer this question if your response to Q2.1 is “Unquoted partly paid securities upon which a call or instalment has been paid”. Note: If this occurred over a range of dates, enter the date the last of the payments was made. |
N/A |
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+ See chapter 19 for defined terms
5 June 2021Page 5
This appendix is available as an online formAppendix 3G
Notification of issue, conversion or
payment up of unquoted equity +securities
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2.2d.3 |
Has the call or instalment been paid on all of the partly paid +securities in question? Answer this question if your response to Q2.1 is “Unquoted partly paid securities upon which a call or instalment has been paid”. |
N/A Note: If you have answered “No”, consider whether you need to lodge an Appendix 3H with ASX notifying ASX of the cessation of some or all of the remaining partly paid securities under Listing Rule 3.10.E. This may the case, for example, if partly paid securities that have not had the call paid by the due date will be cancelled. If you are an NL company, consider also whether you have notification obligations in relation to any forfeiture of the partly paid securities not paid up under Listing Rule 3.12. |
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2.2d.4 |
Are the securities on which the call or instalment was paid now fully paid? |
N/A |
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2.2e.1 |
Please state the number and type of +securities (including their ASX security code) issued under the +employee incentive scheme Answer this question if your response to Q2.1 is “Securities issued under an employee incentive scheme that are subject to a restriction on transfer and are not being quoted on ASX until the restriction ends” or “Other securities issued under an employee incentive scheme that are not intended to be quoted on ASX”. |
4,173,000 unquoted options to acquire ordinary shares, issued pursuant to the Company’s Employee Share Option Plan |
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2.2e.2 |
*Please attach a document or provide details of a URL link for a document lodged with ASX detailing the terms of the +employee incentive scheme or a summary of the terms. Answer this question if your response to Q2.1 is “Securities issued under an employee incentive scheme that are subject to a restriction on transfer and are not being quoted on ASX until the restriction ends” or “Other securities issued under an employee incentive scheme that are not intended to be quoted on ASX”. |
Refer to Item 6 in Notice of Meeting released 27 November 2019 https://www.asx.com.au/asxpdf/20191029/pdf/44b06zfvzb0vzb.pdf |
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2.2e.3 |
*Were any of the +securities issued to +key management personnel (KMP) or an +associate Answer this question if your response to Q2.1 is “Securities issued under an employee incentive scheme that are subject to a restriction on transfer and are not being quoted on ASX until the restriction ends” or “Other securities issued under an employee incentive scheme that are not intended to be quoted on ASX”. |
Yes |
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2.2e.3.a |
*Provide details of the KMP or +associates being issued +securities. Answer this question if your response to Q2.1 is “Securities issued under an employee incentive scheme that are subject to a restriction on transfer and are not being quoted on ASX until the restriction ends” or “Other securities issued under an employee incentive scheme that are not intended to be quoted on ASX” and your response to Q2.2e.3 is “Yes”. Repeat the detail in the table below for each KMP involved in the issue. If the securities are being issued to the KMP, repeat the name of the KMP 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”.
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Name of KMP |
Name of registered holder |
Number of +securities |
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Philip Facchina |
Philip Facchina |
200,000 |
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+ See chapter 19 for defined terms
5 June 2021Page 6
This appendix is available as an online formAppendix 3G
Notification of issue, conversion or
payment up of unquoted equity +securities
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2.2f.1 |
*Were the +securities issued for a cash consideration? Answer this question if your response to Q2.1 is “Other”. If the securities are being issued for nil cash consideration, answer this question “No”. |
N/A |
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2.2f.1.a |
*In what currency was the cash consideration paid? Answer this question if your response to Q2.1 is “Other” and your response to Q2.2f.1 is “Yes”. For example, if the consideration is being paid in Australian Dollars, state AUD. |
N/A |
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2.2f.1.b |
*What was the issue price per +security Answer this question if your response to Q2.1 is “Other” and your response to Q2.2f.1 is “Yes”, and by reference to the issue currency provided in your response to Q2.2f.1.a. Note: you cannot enter a nil amount here. If the securities are being issued for nil cash consideration, answer Q2.2f.1 as “No” and complete Q2.2f.1.c. |
N/A |
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2.2f.1.c |
Please describe the consideration provided for the +securities Answer this question if your response to Q2.1 is “Other” and your response to Q2.2f.1 is “No”. |
N/A |
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2.2f.2 |
*The purpose(s) for which the entity issued the +securities was: 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 pay for the acquisition of an asset [provide details below] ☐To pay for services rendered ☐Other [provide details below] Additional details:
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2.2f.3 |
Please provide any further information needed to understand the circumstances in which you are notifying the issue of these +securities to ASX, including why the issue of the +securities has not been previously announced to the market in an Appendix 3B You must answer this question if your response to Q2.1 is “Other”. If there is no other information to provide, please answer “Not applicable” or “N/A”. |
N/A |
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+ See chapter 19 for defined terms
5 June 2021Page 7
This appendix is available as an online formAppendix 3G
Notification of issue, conversion or
payment up of unquoted equity +securities
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2.3a |
*This notification is given in relation to an issue of +securities in a class which is not quoted on ASX and which: Answer this question if your response to Q2.1 is anything other than “Unquoted options that have been exercised or other unquoted convertible securities that have been converted”, “Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX” or “Unquoted partly paid securities upon which a call or instalment has been paid”. |
☒has an existing ASX security code ("existing class") in relation to the 4,173,000 unquoted options to acquire ordinary shares, issued pursuant to the Company’s Employee Share Option Plan ☒does not have an existing ASX security code ("new class") in relation to the 1,769,669 ADS warrants issued as part of a transaction or transactions previously announced to the market in an Appendix 3B that are not quoted |
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2.3b |
*The +securities being issued, transferred or re-classified as a result of the options being exercised or other +convertible securities being converted are: Answer this question if your response to Q2.1 is “Unquoted options that have been exercised or other unquoted convertible securities that have been converted” or “Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX”. |
☒securities that have already been quoted on ASX ("existing class") ☐in a class which is not quoted on ASX but which has an existing ASX security code ("existing class") ☐in a class which is not quoted on ASX and which does not have an existing ASX security code ("new class") |
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2.3c |
*The call or instalment the subject of this notification is being paid on +securities which are not quoted on ASX and which: Answer this question if your response to Q2.1 is “Unquoted partly paid securities upon which a call or instalment has been paid”. |
☐have an existing ASX security code ("existing class") ☐do not have an existing ASX security code ("new class") |
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Part 3A – |
number and type of +securities the subject of this notification (existing or new class) where issue has previously been notified to ASX in an Appendix 3B |
Answer the questions in this Part if your response to Q2.1 is “Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B that are not quoted, and are not intended to be quoted, on ASX”.
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Question No. |
Question |
Answer |
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3A.1 |
*ASX security code & description |
New class-code to be confirmed (Security description: ADS warrants) |
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3A.2 |
*Number of +securities issued/paid up |
1,769,669 |
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3A.3 |
Any other information the entity wishes to provide about the +securities the subject of this notification |
Refer to Appendix 3B lodged on 22 November 2021 |
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Part 3B – |
number and type of +securities the subject of this notification (existing class) where issue has not previously been notified to ASX in an Appendix 3B |
Answer the questions in this part if your response to Q2.1 is anything other than “Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B that are not quoted, and are not intended to be quoted, on ASX” and your response to Q2.3a, 2.3b or 2.3c (as applicable) is “existing class”. If your response to Q2.1 is “Unquoted options
+ See chapter 19 for defined terms
5 June 2021Page 8
This appendix is available as an online formAppendix 3G
Notification of issue, conversion or
payment up of unquoted equity +securities
that have been exercised or other unquoted convertible securities that have been converted” or “Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX”, the questions in this part relate to the securities issued, transferred or re-classified as a result of the exercise of the options or the conversion of the convertible securities. If your response to Q2.1 is “Unquoted partly paid securities upon which a call or instalment has been paid”, the questions in this part relate to the securities arising from that payment. Otherwise, the questions in this part relate to the securities issued by the entity which are the subject of this notification and which are described in the response to Q2.1.
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Question No. |
Question |
Answer |
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3B.1 |
*ASX security code & description |
ASX security code in relation to 63,333 fully paid ordinary shares transferred on exercise of unquoted options: MSB (ORDINARY FULLY PAID)
ASX security code in relation to 4,173,000 unquoted options to acquire ordinary shares, issued pursuant to the Company’s Employee Share Option Plan: MSBAI (OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES)
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3B.2 |
*Number of +securities issued/transferred/reclassified/paid up |
63,333 fully paid ordinary shares transferred on exercise of unquoted options
4,173,000 unquoted options to acquire ordinary shares issued pursuant to the Company’s Employee Share Option Plan |
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3B.3a |
*Will the +securities rank equally in all respects from their issue date with the existing issued +securities in that class? You do not need to answer this question if your response to Q2.1 is ““Unquoted options that have been exercised or other unquoted convertible securities that have been converted” or “Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX”, and your response to Q2.2c.4 is “A transfer of existing securities” and your response to Q2.3b is “securities that have already been quoted on ASX”. |
Yes |
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3B.3b |
*Is the actual date from which the +securities will rank equally (non-ranking end date) known? You do not need to answer this question if your response to Q2.1 is “Unquoted options that have been exercised or other unquoted convertible securities that have been converted” or “Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX”, your response to Q2.2c.4 is “A transfer of existing securities” and your response to Q2.3b is “securities that have already been quoted on ASX”. Otherwise answer this question if your response to Q3B.3a is “No”. |
N/A |
+ See chapter 19 for defined terms
5 June 2021Page 9
This appendix is available as an online formAppendix 3G
Notification of issue, conversion or
payment up of unquoted equity +securities
|
3B.3c |
*Provide the actual non-ranking end date You do not need to answer this question if your response to Q2.1 is “Unquoted options that have been exercised or other unquoted convertible securities that have been converted” or “Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX”, your response to Q2.2c.4 is “A transfer of existing securities” and your response to Q2.3b is “securities that have already been quoted on ASX”. Otherwise answer this question if your response to Q3B.3a is “No” and your response to Q3B.3b is “Yes”. |
N/A |
|
3B.3d |
*Provide the estimated non-ranking end period You do not need to answer this question if your response to Q2.1 is “Unquoted options that have been exercised or other unquoted convertible securities that have been converted” or “Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX”, your response to Q2.2c.4 is “A transfer of existing securities” and your response to Q2.3b is “securities that have already been quoted on ASX”. Otherwise answer this question if your response to Q3B.3a is “No” and your response to Q3B.3b is “No”. |
N/A |
|
3B.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 reason Otherwise answer this question if your response to Q3B.3a is “No”. You do not need to answer this question if your response to Q2.1 is “Unquoted options that have been exercised or other unquoted convertible securities that have been converted” or “Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX”, your response to Q2.2c.4 is “A transfer of existing securities” and your response to Q2.3b is “securities that have already been quoted on ASX”. For example, the securities may not rank at all, or may rank proportionately based on the percentage of the period in question they have been on issue, for the next dividend, distribution or interest payment; or they may not be entitled to participate in some other event, such as an entitlement issue. |
N/A |
|
3B.4 |
Any other information the entity wishes to provide about the +securities the subject of this notification |
N/A |
+ See chapter 19 for defined terms
5 June 2021Page 10
This appendix is available as an online formAppendix 3G
Notification of issue, conversion or
payment up of unquoted equity +securities
|
Part 3C – |
number and type of +securities the subject of this notification (new class) |
Answer the questions in this part if your response to Q2.1 is anything other than “Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B that are not quoted, and are not intended to be quoted, on ASX” and your response to Q2.3a, 2.3b or 2.3c (as applicable) is “new class”. If your response to Q2.1 is “Unquoted options that have been exercised or other unquoted convertible securities that have been converted” or “Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX”, the questions in this part relate to the securities being issued, transferred or reclassified as a result of the exercise of the options or the conversion of the convertible securities. If your response to Q2.1 is “Unquoted partly paid securities upon which a call or instalment has been paid”, the questions in this part relate to the call paid or fully paid securities arising from that payment. Otherwise, the questions in this part relate to the securities issued by the entity which are the subject of this notification and which are described in the response to Q2.1.
|
Question No. |
Question |
Answer |
|
|
C.1 |
*Security description |
N/A |
|
|
3C.2 |
*Security type Select one item from the list that best describes the securities the subject of this form. This will determine more detailed questions to be asked about the security later in this section. Select “ordinary fully or partly paid shares/units” for stapled securities or CDIs. For interest rate securities, please select the appropriate choice from either “Convertible debt securities” or “Non-convertible debt securities”. Select “Other” for performance shares/units and performance options/rights or if the selections available in the list do not 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 |
|
|
3C.3 |
ISIN code Answer this question if you are an entity incorporated outside Australia and you are issuing a new class of securities other than CDIs. See also the note at the top of this form. |
N/A |
|
|
3C.4 |
*Number of +securities issued/paid up |
N/A |
|
|
3C.5a |
*Will all the +securities issued in this class rank equally in all respects from the issue date? |
N/A |
|
|
3C.5b |
*Is the actual date from which the +securities will rank equally (non-ranking end date) known? Answer this question if your response to Q3C.5a is “No”. |
N/A |
|
|
3C.5c |
*Provide the actual non-ranking end date Answer this question if your response to Q3C.5a is “No” and your response to Q3C.5b is “Yes”. |
N/A |
|
|
3C.5d |
*Provide the estimated non-ranking end period Answer this question if your response to Q3C.5a is “No” and your response to Q3C.5b is “No”. |
N/A |
|
+ See chapter 19 for defined terms
5 June 2021Page 11
This appendix is available as an online formAppendix 3G
Notification of issue, conversion or
payment up of unquoted equity +securities
|
3C.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 reason Answer this question if your response to Q3C.5a is “No”. For example, the securities may not rank at all, or may rank proportionately based on the percentage of the period in question they have been on issue, for the next dividend, distribution or interest payment; or they may not be entitled to participate in some other event, such as an entitlement issue. |
N/A |
|
|
3C.6 |
Please attach a document or provide a URL link for a document lodged with ASX setting out the material terms of the +securities being issued You may cross reference a disclosure document, PDS, information memorandum, investor presentation or other announcement with this information provided it has been released to the ASX Market Announcements Platform. |
N/A |
|
|
3C.7 |
*Have you received confirmation from ASX that the terms of the +securities are appropriate and equitable under listing rule 6.1? Answer this question only if you are an ASX Listing. (ASX Foreign Exempt Listings and ASX Debt Listings do not have to answer this question). If your response is “No” and the securities have any unusual terms, you should approach ASX as soon as possible for confirmation under listing rule 6.1 that the terms are appropriate and equitable. |
N/A |
|
|
3C.8a |
Ordinary fully or partly paid shares/units 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 face amount of an issue is denominated. It will also typically be the currency in which distributions are declared. |
N/A |
|
|
|
*Are there CDIs issued over the +securities? |
N/A |
|
|
|
*CDI ratio Answer this question if you answered “Yes” to the previous question. This is the ratio at which CDIs can be transmuted into the underlying security (e.g. 4:1 means 4 CDIs represent 1 underlying security whereas 1:4 means 1 CDI represents 4 underlying securities). |
N/A |
|
|
|
*Is it a partly paid class of +security? |
N/A |
|
+ See chapter 19 for defined terms
5 June 2021Page 12
This appendix is available as an online formAppendix 3G
Notification of issue, conversion or
payment up of unquoted equity +securities
|
|
*Paid up amount: unpaid amount Answer this question if answered “Yes” to the previous question. The paid up amount represents the amount of application money and/or calls which have been paid on any security considered ‘partly paid’ The unpaid amount represents the unpaid or yet to be called amount on any security considered ‘partly paid’. The amounts should be provided per the security currency (e.g. if the security currency is AUD, then the paid up and unpaid amount per security in AUD). |
N/A |
|
|
|
*Is it a stapled +security? This is a security class that comprises a number of ordinary shares and/or ordinary units issued by separate entities that are stapled together for the purposes of trading. |
N/A |
|
|
3C.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 is payable. |
N/A |
|
|
|
*Exercise price The price at which each option can be exercised and convert into the underlying security. If there is no exercise price please answer as $0.00. The exercise price should be provided per the security currency (i.e. if the security currency is AUD, the exercise price should be expressed in AUD). |
N/A |
|
|
|
*Expiry date The date on which the options expire or terminate. |
N/A |
|
|
|
*Details of the number and type of +security (including its ASX security code if the +security is quoted on or recorded by ASX) that will be issued if an option is exercised For example, if the option can be exercised to receive one fully paid ordinary share with ASX security code ABC, please insert “One fully paid ordinary share (ASX:ABC)“. |
N/A |
|
|
3C.8c |
Details of non-convertible +debt securities, +convertible debt securities, or redeemable preference shares/units Answer the questions in this section if you selected one of these security types in your response to Question 3B.2. Refer to Guidance Note 34 and the “Guide to the Naming Conventions and Security Descriptions for ASX Quoted Debt and Hybrid Securities” for further information on certain terms used in this section |
||
|
|
*Type of +security Select one item from the list |
☐Simple corporate bond ☐Non-convertible note or bond ☐Convertible note or bond ☐Preference share/unit ☐Capital note ☐Hybrid security ☐Other |
|
+ See chapter 19 for defined terms
5 June 2021Page 13
This appendix is available as an online formAppendix 3G
Notification of issue, conversion or
payment up of unquoted equity +securities
|
|
*+Security currency This is the currency in which the face value of the security is denominated. It will also typically be the currency in which interest or distributions are paid. |
N/A |
|
|
|
Face value This is the principal amount of each security. The face value should be provided per the security currency (i.e. if security currency is AUD, then the face value per security in AUD). |
N/A |
|
|
|
*Interest rate type Select one item from the list Select the appropriate interest rate type per the terms of the security. Definitions for each type are provided in the Guide to the Naming Conventions and Security Descriptions for ASX Quoted Debt and Hybrid Securities |
☐Fixed rate ☐Floating rate ☐Indexed rate ☐Variable rate ☐Zero coupon/no interest ☐Other |
|
|
|
Frequency of coupon/interest payments per year Select one item from the list. |
☐Monthly ☐Quarterly ☐Semi-annual ☐Annual ☐No coupon/interest payments ☐Other |
|
|
|
First interest payment date A response is not required if you have selected “No coupon/interest payments” in response to the question above on the frequency of coupon/interest payments |
N/A |
|
|
|
Interest rate per annum Answer this question if the interest rate type is fixed. |
N/A |
|
|
|
*Is the interest rate per annum estimated at this time? Answer this question if the interest rate type is fixed. |
N/A |
|
|
|
If the interest rate per annum is estimated, then what is the date for this information to be announced to the market (if known) Answer this question if the interest rate type is fixed and your response to the previous question is “Yes”. Answer “Unknown” if the date is not known at this time. |
N/A |
|
|
|
*Does the interest rate include a reference rate, base rate or market rate (e.g. BBSW or CPI)? Answer this question if the interest rate type is floating or indexed |
N/A |
|
|
|
*What is the reference rate, base rate or market rate? Answer this question if the interest rate type is floating or indexed and your response to the previous question is “Yes”. |
N/A |
|
+ See chapter 19 for defined terms
5 June 2021Page 14
This appendix is available as an online formAppendix 3G
Notification of issue, conversion or
payment up of unquoted equity +securities
|
|
*Does the interest rate include a margin above the reference rate, base rate or market rate? Answer this question if the interest rate type is floating or indexed. |
N/A |
|
|
|
*What is the margin above the reference rate, base rate or market rate (expressed as a percent per annum) Answer this question if the interest rate type is floating or indexed and your response to the previous question is “Yes”. |
N/A |
|
|
|
*S128F of the Income Tax Assessment Act status applicable to the +security Select one item from the list For financial products which are likely to give rise to a payment to which s128F of the Income Tax Assessment Act applies, ASX requests issuers to confirm the s128F status of the security: •“s128F exempt” means interest payments are not taxable to non-residents; •“Not s128F exempt” means interest payments are taxable to non-residents; •“s128F exemption status unknown” means the issuer is unable to advise the status; •“Not applicable” means s128F is not applicable to this security |
☐s128F exempt ☐Not s128F exempt ☐s128F exemption status unknown ☐Not applicable
|
|
|
|
*Is the +security perpetual (i.e. no maturity date)? |
N/A |
|
|
|
*Maturity date Answer this question if the security is not perpetual |
N/A |
|
|
|
*Select other features applicable to the +security Up to 4 features can be selected. Further information is available in the Guide to the Naming Conventions and Security Descriptions for ASX Quoted Debt and Hybrid 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 right of conversion, redemption, call or put can be exercised (whichever is first)? |
N/A |
|
+ See chapter 19 for defined terms
5 June 2021Page 15
This appendix is available as an online formAppendix 3G
Notification of issue, conversion or
payment up of unquoted equity +securities
|
|
*If yes, what is the first trigger date Answer this question if your response to the previous question is “Yes”. |
N/A |
|
|
|
Details of the number and type of +security (including its ASX security code if the +security is quoted on ASX) that will be issued if the securities to be quoted are converted, transformed or exchanged Answer this question if the security features include “converting”, “convertible”, “transformable” or “exchangeable”. For example, if the security can be converted into 1,000 fully paid ordinary shares with ASX security code ABC, please insert “1,000 fully paid ordinary shares (ASX:ABC)“. |
N/A |
|
|
3C.9 |
Any other information the entity wishes to provide about the +securities the subject of this notification |
N/A |
|
Part 4 –+Securities on issue
|
Following the issue, conversion or payment up of the +securities the subject of this application, the issued +securities of the entity will comprise: Note: the figures provided in the table 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 security issued by the entity. Restricted securities should be included in table 4.2. |
||||
|
4.1 |
Quoted +Securities (Total number of each +class of +securities issued and quoted on ASX)
|
|||
|
|
*ASX security code and description |
*Total number of +securities on issue |
|
|
|
|
Ordinary shares |
648,696,070 |
|
|
|
|
|
|
|
|
|
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 |
|
|
|
|
Unquoted options
Incentive rights
Warrants
ADS warrants |
44,508,135
1,500,000
15,027,327
1,769,669 |
|
|
|
|
|
|
|
|
+ See chapter 19 for defined terms
5 June 2021Page 16
This appendix is available as an online formAppendix 3G
Notification of issue, conversion or
payment up of unquoted equity +securities
Part 5 – 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:
|
- |
“Securities issued under a dividend or distribution plan that are not quoted, and are not intended to be quoted, on ASX”; |
|
- |
“Securities issued under an employee incentive scheme that are subject to a restriction on transfer and are not being quoted on ASX until the restriction ends” or “Other securities issued under an employee incentive scheme that are not intended to be quoted on ASX”; or |
|
- |
“Other” |
Note that if your response to Q2.1 is “Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B that are not quoted, and are not intended to be quoted, on ASX”, it is assumed that you will have provided the information referred to in this Part in the Appendix 3B.
|
Question No. |
Question |
Answer |
|
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? |
N/A |
|
5.1a |
Enter the number of the applicable exception in Listing Rule 7.2 Note this should be a number between 1 and 17. |
N/A |
|
5.1a.1 |
*Does the +dividend or distribution plan meet the requirement of listing rule 7.2 exception 4 that it does not impose a limit on participation? Answer this question if your response to Q5.1 is “Yes” and your response to Q5.1a is “4”. Note: Exception 4 only applies where security holders are able to elect to receive all of their dividend or distribution as securities. For example, Exception 4 would not apply in the following circumstances: 1) The entity has specified a dollar limit on the level of participation e.g. security holders can only participate to a maximum value of $x in respect of their entitlement, or 2) The entity has specified a maximum number of securities that can participate in the plan e.g. security holders can only receive securities in lieu of dividend payable for x number of securities. |
N/A |
|
5.2 |
*Has the entity obtained, or is it obtaining, +security holder approval for the issue under listing rule 7.1? Answer this question if the response to Q5.1 is “No”. |
N/A |
|
5.2a |
*Date of meeting or proposed meeting to approve the issue under listing rule 7.1 Answer this question if the response to Q5.1 is “No” and the response to Q5.2 is “Yes”. |
N/A |
|
5.2b |
*Are any of the +securities being issued without +security holder approval using the entity’s 15% placement capacity under listing rule 7.1? Answer this question if the response to Q5.1 is “No” and the response to Q5.2 is “No”. |
N/A |
+ See chapter 19 for defined terms
5 June 2021Page 17
This appendix is available as an online formAppendix 3G
Notification of issue, conversion or
payment up of unquoted equity +securities
|
5.2b.1 |
*How many +securities are being issued without +security holder approval using the entity’s 15% placement capacity under listing rule 7.1? Answer this question if the response to Q5.1 is “No”, the response to Q5.2 is “No” and the response to Q5.2b is “Yes”. If the response to Q5.2b is “Yes”, please complete and separately send by email to your ASX listings adviser a work sheet in the form of Annexure B to Guidance Note 21 confirming the entity has the available capacity under listing rule 7.1 to issue that number of securities. |
N/A |
|
5.2c |
*Are any of the +securities being issued without +security holder approval using the entity’s additional 10% placement capacity under listing rule 7.1A (if applicable)? Answer this question if the response to Q5.1 is “No” and the response to Q5.2 is “No”. |
N/A |
|
5.2c.1 |
*How many +securities are being issued without +security holder approval using the entity’s additional 10% placement capacity under listing rule 7.1A? Answer this question if the response to Q5.1 is “No”, the response to Q5.2 is “No” and the response to Q5.2c is “Yes”. If the response to Q5.2c is “Yes”, please complete and separately send by email to your ASX listings adviser a work sheet in the form of Annexure C to Guidance Note 21 confirming the entity has the available capacity under listing rule 7.1A to issue that number of securities. |
N/A |
Introduced 01/12/19; amended 31/01/20; 05/06/21
+ See chapter 19 for defined terms
5 June 2021Page 18
This appendix is available as an online formExhibit 99.2
Only use this form if the online version is not available+Rule 3.10.3E
Appendix 3H
Notification of cessation of +securities
Information and documents given to ASX become ASX’s property and may be made public.
*Denotes minimum information required for first lodgement of this form.
Part 1 – Entity and announcement details
|
Question no |
Question |
Answer |
|
1.1 |
*Name of entity We (the entity named above) provide the following information about our issued capital.1 |
MESOBLAST LTD |
|
1.2 |
*Registration type and number Please supply your ABN, ARSN, ARBN, ACN or another registration type and number (if you supply another registration type, please specify both the type of registration and the registration number). |
ABN 68 109 431 870 |
|
1.3 |
*ASX issuer code |
MSB |
|
1.4 |
*The announcement is Select whichever is applicable. |
☒New announcement ☐Update/amendment to previous announcement ☐Cancellation of previous announcement |
|
1.4a |
*Reason for update Answer this question if your response to Q 1.4 is “Update/amendment to previous announcement”. |
N/A |
|
1.4b |
*Date of previous announcement to this update Answer this question if your response to Q 1.4 is “Update/amendment to previous announcement”. |
N/A |
|
1.4c |
*Reason for cancellation Answer this question if your response to Q 1.4 is “Cancellation of previous announcement”. |
N/A |
|
1.4d |
*Date of previous announcement to this cancellation Answer this question if your response to Q 1.4 is “Cancellation”. |
N/A |
|
|
1 |
Listing rule 3.10.3E requires an entity to notify ASX of details of the cessation of: |
|
(a) |
any securities issued under an employee incentive scheme: |
|
(i) |
to key management personnel or an associate, within 5 business days of their cessation; |
|
(ii) |
to someone who is not key management personnel or an associate, within 10 business days of the end of the quarter in which the cessation occurred; |
|
(b) |
any other equity securities not otherwise notifiable to ASX under rule 3.8A, within 5 business days of their cessation; or |
|
(c) |
any quoted debt securities, within 5 business days of their cessation. |
|
The notification must be in the form of, or accompanied by, an Appendix 3H. |
|
Listing rule 3.8A requires an entity to notify ASX of the cessation of securities pursuant to a buy-back by giving ASX an Appendix 3H: |
|
• |
in the case of a minimum holding buy-back, within 5 business days of the completion of the buyback; or |
|
• |
in all other cases, within 5 business days of giving ASX the final notice for the buy-back. |
+ See chapter 19 for defined terms
5 June 2021Page 1
This appendix is available as an online formAppendix 3H
Notification of cessation of +securities
|
1.5 |
*Date of this announcement |
17 January 2022 |
+ See chapter 19 for defined terms
5 June 2021Page 2
This appendix is available as an online formAppendix 3H
Notification of cessation of +securities
|
Part 2 – |
Details of +equity securities or quoted +debt securities that have ceased |
|
Question No. |
Question |
Answer |
|
2.1 |
*ASX +security code and description |
MSBAI - Options expiring various dates ex various prices |
|
2.2 |
*Number of securities that have ceased |
2,245,666 |
|
2.3 |
*Reason for cessation Note: the conversion of a convertible security (which is notifiable to ASX under Listing Rule 3.10.3B) is not regarded as the “cessation” of the convertible security for the purposes of this rule. Likewise, the payment up of a partly paid security resulting in it becoming a fully paid security (which is notifiable to ASX under Listing Rule 3.10.3D) is not regarded as the “cessation” of the partly paid security for the purposes of this rule. |
☐Expiry of option or other convertible security without exercise or conversion ☒Lapse of conditional right to securities because the conditions have not been, or have become incapable of being, satisfied ☐Cancellation pursuant to a minimum holding buy-back ☐Cancellation pursuant to an employee share scheme buy-back ☐Cancellation pursuant to an on-market buy-back ☐Cancellation pursuant to an equal access scheme buy-back ☐Cancellation pursuant to a selective buy-back ☐Cancellation pursuant to another form of buy back ☐Cancellation pursuant to a reduction of capital ☐Cancellation pursuant to a scheme of arrangement or other reconstruction ☐Cancellation by agreement between the entity and the holder ☐Repayment or redemption of +convertible debt security without conversion ☐Repayment or redemption of quoted +debt security ☐Redemption of redeemable preference securities ☐Redemption of units ☐Cancellation of partly paid +securities upon which a call or instalment has not been paid ☐Other If you have selected ‘other’ please provide additional details regarding the reason for cessation here:
|
+ See chapter 19 for defined terms
5 June 2021Page 3
This appendix is available as an online formAppendix 3H
Notification of cessation of +securities
|
2.4 |
*Date of cessation |
31 December 2021 |
|
2.5 |
*Is the entity paying any consideration for the cessation? Example: the payment of an amount to the holder of an option or right as consideration for the holder to agree to a cancellation of the option or right. The repayment of the principal amount of a convertible debt security or quoted debt security in accordance with its terms is not regarded as consideration paid for the cessation of that security. |
No |
|
2.6 |
*In what currency is the consideration being paid? Answer this question if your response to Q 2.5 is “Yes” |
N/A |
|
2.6a |
*Consideration amount per +security paid by the entity for the cessation Answer this question if your response to Q 2.5 is “Yes” The consideration amount per security should be provided per the currency specified in Q2.6. Note: This question is not applicable for buy-back events (i.e. Minimum Holding, Employee, On-Market, Equal Access, Selective), |
N/A |
|
2.6b |
*Total consideration paid or payable for the securities The total consideration amount should be provided per the currency specified in Q2.6.
Note: This question is applicable to buy-back events only (i.e. minimum holding, employee share scheme, on-market, equal access scheme, selective or other), |
N/A |
|
2.7 |
Any other information the entity wishes to notify to ASX about the cessation? |
N/A
|
Repeat the above questions if you are advising the cessation of more than one security class.
+ See chapter 19 for defined terms
5 June 2021Page 4
This appendix is available as an online formAppendix 3H
Notification of cessation of +securities
Part 3 – Issued capital following changes
|
Following the cessation of the +securities the subject of this notification, the issued capital of the entity will comprise: |
||||
|
3.1 |
*Quoted +equity securities and +debt securities (total number of each +class of +securities quoted on ASX)
|
|||
|
|
ASX +security code and description |
Total number of +securities on issue |
|
|
|
|
Ordinary shares
|
648,696,070 |
|
|
|
|
|
|
|
|
|
3.2 |
*Unquoted +equity securities (total number of each +class of +equity securities issued but not quoted on ASX):
|
|||
|
|
ASX +security code and description |
Total number of +securities on issue |
|
|
|
|
Unquoted options
Incentive Rights
Warrant
ADS Warrants |
44,508,135
1,500,000
15,027,327
1,769,669 |
|
|
|
|
|
|
|
|
|
Note: the figures provided in the tables in sections 3.1 and 3.2 above are used to calculate the total market capitalisation of the entity published by ASX from time to time. Please make sure you include in the relevant table each class of securities issued by the entity. If you have quoted CHESS Depository Interests (CDIs) issued over your securities, include them in the table in section 3.1. Restricted securities should only be included in the table in section 3.1 if you are applying to have them quoted because the escrow period for the securities has expired or is about to expire. Otherwise include them in the table in section 3.2. |
||||
Introduced 05/06/21
+ See chapter 19 for defined terms
5 June 2021Page 5
Exhibit 99.3
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 Mesoblast Limited |
|
ABN 68 109 431 870 |
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 |
Philip Facchina |
|
Date of last notice |
6 April 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 |
|
Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest.
|
Not applicable |
|
Date of change |
14 January 2022 |
|
No. of securities held prior to change |
273,224 Ordinary shares, held indirectly 68,306 Warrants, held indirectly |
|
Class |
Options |
|
Number acquired |
200,000 options (issued with approval of shareholders at 2021 AGM) |
|
Number disposed |
Not applicable |
|
Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation
|
Nil |
+ See chapter 19 for defined terms.
01/01/2011Appendix 3Y Page 1
Appendix 3Y
Change of Director’s Interest Notice
|
No. of securities held after change |
273,224 Ordinary shares, held indirectly 68,306 Warrants, held indirectly 200,000 Options |
|
Nature of change Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back |
Issue of options with approval by shareholders at the 2021 AGM |
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 |
Not Applicable |
|
Nature of interest
|
Not Applicable |
|
Name of registered holder (if issued securities)
|
Not Applicable |
|
Date of change |
Not Applicable |
|
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
|
Not Applicable |
|
Interest acquired |
Not Applicable |
|
Interest disposed |
Not Applicable |
|
Value/Consideration Note: If consideration is non-cash, provide details and an estimated valuation
|
Not Applicable |
|
Interest after change |
Not Applicable |
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? |
Not Applicable |
|
If prior written clearance was provided, on what date was this provided? |
Not Applicable |
+ See chapter 19 for defined terms.
|
Appendix 3Y Page 2 |
01/01/2011 |
Exhibit 99.3
Appendix 3Y
Change of Director’s Interest Notice
+ See chapter 19 for defined terms.
|
01/01/2011 |
Appendix 3Y Page 3 |
|
|
Proposed issue of securities |
Exhibit 99.4 |
Announcement Summary
Entity name
MESOBLAST LIMITED
Announcement Type
New announcement
Date of this announcement
18/1/2022
The Proposed issue is:
|
|
A placement or other type of issue |
Total number of +securities proposed to be issued for a placement or other type of issue
|
|
ASX +security code
|
|
+Security description
|
|
Maximum Number of +securities to be issued
|
|
|
|
MSB |
|
ORDINARY FULLY PAID
|
|
1,758,481
|
|
Proposed +issue date
18/1/2022
Refer to next page for full details of the announcement
|
Proposed issue of securities |
1/6 |
|
|
|
Proposed issue of securities |
|
Part 1 - Entity and announcement details
1.1 Name of +Entity
MESOBLAST LIMITED
We (the entity named above) give ASX the following information about a proposed issue of +securities and, if ASX agrees to +quote any of the +securities (including any rights) on a +deferred settlement basis, we agree to the matters set out in Appendix 3B of the ASX Listing Rules.
If the +securities are being offered under a +disclosure document or +PDS and are intended to be quoted on ASX, we also apply for quotation of all of the +securities that may be issued under the +disclosure document or +PDS on the terms set out in Appendix 2A of the ASX Listing Rules (on the understanding that once the final number of +securities issued under the +disclosure document or +PDS is known, in accordance with Listing Rule 3.10.3C, we will complete and lodge with ASX an Appendix 2A online form notifying ASX of their issue and applying for their quotation).
|
1.2 Registered Number Type |
|
Registration Number |
|
|
ABN |
|
68109431870 |
|
|
|
|
|
|
|
1.3 ASX issuer code |
|
|
|
|
MSB |
|
|
|
|
|
|
|
|
|
1.4 The announcement is |
|
|
|
|
|
New announcement |
|
|
|
|
|
|
|
|
1.5 Date of this announcement |
|
|
|
|
18/1/2022 |
|
|
|
|
|
|
|
|
|
1.6 The Proposed issue is: |
|
|
|
|
|
A placement or other type of issue |
||
|
Proposed issue of securities |
2/6 |
|
|
|
Proposed issue of securities |
|
Part 7 - Details of proposed placement or other issue
Part 7A – Conditions
7A.1 Do any external approvals need to be obtained or other conditions satisfied before the placement or other type of issue can proceed on an unconditional basis?
|
|
No |
Part 7B - Issue details
|
Is the proposed security a 'New class' (+securities in a class that is not yet quoted or recorded by ASX) or an 'Existing class' (additional securities in a class that is already quoted or recorded by ASX)?
|
|
Will the proposed issue of this +security include an offer of attaching +securities?
|
Existing class
No
Details of +securities proposed to be issued
ASX +security code and description
MSB : ORDINARY FULLY PAID
Number of +securities proposed to be issued
1,547,753
Offer price details
Are the +securities proposed to be issued being issued for a cash consideration?
No
Please describe the consideration being provided for the +securities
|
1,547,753 ordinary shares issued as consideration under an existing license from a third party to certain intellectual property assets |
Please provide an estimate of the AUD equivalent of the consideration being provided for the +securities
Will these +securities rank equally in all respects from their issue date with the existing issued +securities in that class?
Yes
|
Proposed issue of securities |
3/6 |
|
|
|
Proposed issue of securities |
|
|
Is the proposed security a 'New class' (+securities in a class that is not yet quoted or recorded by ASX) or an 'Existing class' (additional securities in a class that is already quoted or recorded by ASX)?
|
|
Will the proposed issue of this +security include an offer of attaching +securities?
|
Existing class
No
Details of +securities proposed to be issued
ASX +security code and description
MSB : ORDINARY FULLY PAID
Number of +securities proposed to be issued
210,728
Offer price details
Are the +securities proposed to be issued being issued for a cash consideration?
No
Please describe the consideration being provided for the +securities
|
210,728 ordinary shares issued as payment in connection with the Kentgrove Facility Agreement |
Please provide an estimate of the AUD equivalent of the consideration being provided for the +securities
Will these +securities rank equally in all respects from their issue date with the existing issued +securities in that class?
Yes
Part 7C – Timetable
7C.1 Proposed +issue date
18/1/2022
|
Proposed issue of securities |
4/6 |
|
|
|
Proposed issue of securities |
|
Part 7D - Listing Rule requirements
7D.1 Has the entity obtained, or is it obtaining, +security holder approval for the entire issue under listing rule 7.1?
No
7D.1b Are any of the +securities proposed to be issued without +security holder approval using the entity's 15% placement capacity under listing rule 7.1?
Yes
7D.1b ( i ) How many +securities are proposed to be issued without security holder approval using the entity's 15% placement capacity under listing rule 7.1?
|
1,758,481 ordinary shares |
7D.1c Are any of the +securities proposed to be issued without +security holder approval using the entity's additional 10% placement capacity under listing rule 7.1A (if applicable)?
No
7D.2 Is a party referred to in listing rule 10.11 participating in the proposed issue?
No
7D.3 Will any of the +securities to be issued be +restricted securities for the purposes of the listing rules?
No
7D.4 Will any of the +securities to be issued be subject to +voluntary escrow?
No
Part 7E - Fees and expenses
7E.1 Will there be a lead manager or broker to the proposed issue?
No
7E.2 Is the proposed issue to be underwritten?
No
7E.4 Details of any other material fees or costs to be incurred by the entity in connection with the proposed issue
|
|
Part 7F - Further Information
7F.01 The purpose(s) for which the entity is issuing the securities
|
Please see responses in Part 7B of this form |
7F.1 Will the entity be changing its dividend/distribution policy if the proposed issue proceeds?
No
|
Proposed issue of securities |
5/6 |
|
|
|
Proposed issue of securities |
|
7F.2 Any other information the entity wishes to provide about the proposed issue
|
|
7F.3 Any on-sale of the +securities proposed to be issued within 12 months of their date of issue will comply with the secondary sale provisions in sections 707(3) and 1012C(6) of the Corporations Act by virtue of:
The publication of a cleansing notice under section 708A(5), 708AA(2)(f), 1012DA(5) or 1012DAA(2)(f)
|
Proposed issue of securities |
6/6 |
|
This appendix is available as an online formExhibit 99.5
Only use this form if the online version is not available+Rule 2.8, 3.10.3A to 3.10.3D
Appendix 2A
Application for quotation of +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 seeking quotation of 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
|
Question no |
Question |
Answer |
|
1.1 |
*Name of entity We (the entity here named) apply for +quotation of the following +securities and agree to the matters set out in Appendix 2A of the ASX Listing Rules.1 |
MESOBLAST LIMITED |
|
1.2 |
*Registration type and number Please supply your ABN, ARSN, ARBN, ACN or another registration type and number (if you supply another registration type, please specify both the type of registration and the registration number). |
ABN: 68 109 431 870 |
|
1.3 |
*ASX issuer code |
MSB |
|
1.4 |
*This announcement is Tick whichever is applicable. |
☒ A new announcement ☐ An update/amendment to a previous announcement ☐ A cancellation of a previous announcement |
|
1.4a |
*Reason for update Answer this question if your response to Q 1.4 is an update/amendment to previous announcement. |
|
|
1.4b |
*Date of previous announcement to this update Answer this question if your response to Q 1.4 is an update/amendment to previous announcement. |
|
|
1.4c |
*Reason for cancellation Answer this question if your response to Q 1.4 is “A cancellation of a previous announcement” |
|
|
|
1 |
Appendix 2A of the Listing Rules includes a warranty that an offer of the securities for sale within 12 months after their issue will not require disclosure under section 707(3) or 1012C(6) of the Corporations Act. If you are in any doubt as to the application of, or the entity’s capacity to give, this warranty, please see ASIC Regulatory Guide 173 Disclosure for on-sale of securities and other financial products and consult your legal adviser. |
+ See chapter 19 for defined terms
5 June 2021Page 1
This appendix is available as an online formAppendix 2A
Application for quotation of +securities
|
1.4d |
*Date of previous announcement to this cancellation Answer this question if your response to Q 1.4 is “A cancellation of a previous announcement” |
|
|
1.5 |
*Date of this announcement |
18 January 2022 |
Part 2 – Type of issue
|
Question No. |
Question |
Answer |
||||
|
2.1 |
*The +securities to be quoted are: Select whichever item is applicable. If you wish to apply for quotation of different types of issues of securities, please complete a separate Appendix 2A for each type of issue. |
☒+Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B ☐+Securities issued under a +dividend or distribution plan ☐+Securities issued, transferred or re-classified as a result of options being exercised or other +convertible securities being converted ☐Unquoted partly paid +securities that have been fully paid up and are now to become quoted fully paid +securities Note: there is no need to apply for quotation of the fully paid securities if the partly paid securities were already quoted ☐+Restricted securities where the escrow period has expired or is about to expire ☐+Securities previously issued under an +employee incentive scheme where the restrictions on transfer have ceased or are about to cease ☐+Securities issued under an +employee incentive scheme that are not subject to a restriction on transfer or that are to be quoted notwithstanding there is a restriction on transfer ☐ Other [please specify] If you have selected ‘other’ please explain the circumstances of the issue here: |
||||
|
2.1a |
*Have the +securities to be quoted been issued yet? |
Yes |
||||
|
2.1a.1 |
*What was their date of issue? Answer this question if your response to Q2.1a is “Yes”. |
18 January 2022 |
||||
|
2.1a.2 |
*What is their proposed date of issue? Answer this question if your response to Q2.1a is “No”. |
N/A |
||||
|
2.2a.1 |
*Date of Appendix 3B notifying the market of the proposed issue of +securities for which quotation is now being sought Answer this question if your response to Q2.1 is “Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B” |
18 January 2022 |
||||
+ See chapter 19 for defined terms
5 June 2021Page 2
This appendix is available as an online formAppendix 2A
Application for quotation of +securities
|
2.2a.2 |
*Are there any further issues of +securities yet to take place to complete the transaction(s) referred to in the Appendix 3B? Answer this question if your response to Q2.1 is “Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B”. |
No |
||||
|
2.2a.2.1 |
*Please provide details of the further issues of +securities yet to take place to complete the transaction(s) referred to in the Appendix 3B Answer this question if your response to Q2.1 is “Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B” and your response to Q2.2a.2 is “Yes”. Please provide details of the proposed dates and number of securities for the further issues. This may be the case, for example, if the Appendix 3B related to an accelerated pro rata offer with an institutional component being quoted on one date and a retail component being quoted on a later date. |
N/A |
||||
|
2.2b.1 |
Date of Appendix 3A.1 lodged with ASX in relation to the underlying +dividend or distribution Answer this question if your response to Q2.1 is “Securities issued under a dividend or distribution plan”. |
N/A |
||||
|
2.2c.1 |
Please state the number and type of options that were exercised or other +convertible securities that were converted (including their ASX security code) Answer this question if your response to Q2.1 is “Securities issued, transferred or re-classified as a result of options being exercised or other convertible securities being converted”. |
N/A |
||||
|
2.2c.2 |
And the date the options were exercised or other +convertible securities were converted Answer this question if your response to Q2.1 is “Securities issued, transferred or re-classified as a result of options being exercised or other convertible securities being converted”. Note: If this occurred over a range of dates, enter the first date and last date of the period in which the options were exercised or convertible securities were converted. |
N/A |
||||
|
2.2c.3 |
Is this all of the options or other +convertible securities on issue of that type (ie have all of those options now been exercised or have all of those convertible securities now been converted)? Answer this question if your response to Q2.1 is “Securities issued, transferred or re-classified as a result of options being exercised or other convertible securities being converted”. |
N/A |
||||
|
2.2c.4 |
The right of the holder of the options or other +convertible securities to receive the +underlying securities is being satisfied by: Answer this question if your response to Q2.1 is “Securities issued, transferred or re-classified as a result of options being exercised or other convertible securities being converted”. |
☐An issue of new +securities ☐A transfer of existing +securities ☐A reclassification of the +convertible securities as securities in the same class as the +underlying securities |
||||
+ See chapter 19 for defined terms
5 June 2021Page 3
This appendix is available as an online formAppendix 2A
Application for quotation of +securities
|
2.2c.5 |
The underlying securities being received by the holder are: Answer this question if your response to Q2.1 is “Securities issued, transferred or re-classified as a result of options being exercised or other convertible securities being converted”. |
☐Already quoted by ASX ☐Intended to be, but are not yet, quoted by ASX ☐Are not, and are not intended to be, quoted by ASX |
||||
|
2.2c.6 |
Were the options being exercised or other +convertible securities being converted issued under an +employee incentive scheme? Answer this question if your response to Q2.1 is “Securities issued, transferred or re-classified as a result of options being exercised or other convertible securities being converted”. |
N/A |
||||
|
2.2c.7 |
*Are any of the options being exercised or other +convertible securities being converted held by +key management personnel (KMP) or an +associate? Answer this question if your response to Q2.1 is “Securities issued, transferred or re-classified as a result of options being exercised or other convertible securities being converted” and your response to Q2.2c.6 is “Yes”. |
N/A |
||||
|
2.2c.7.a |
*Provide details of the KMP or +associates who are exercising options or converting convertible securities. Answer this question if your response to Q2.1 is “Securities issued, transferred or re-classified as a result of options being exercised or other convertible securities being converted”, your response to Q2.2c.6 is “Yes” and your response to Q2.2c.7 is “Yes”. Repeat the detail in the table below for each KMP involved. If the options or other convertible securities are held by the KMP, repeat the name of the KMP or insert “Same” in “Name of registered holder”. If the options or other convertible securities are held by an associate of a KMP, insert the name of the associate in “Name of registered holder”.
|
|||||
|
|
Name of KMP [200 characters] |
Name of registered holder [200 characters] |
Number of options being exercised or other +convertible securities being converted [16 characters] |
|
||
|
|
N/A |
|
|
|
||
|
|
|
|
|
|
||
|
2.2d.1 |
Please state the number and type of unquoted partly paid +securities (including their ASX security code) that have been fully paid up and that are now to become quoted on ASX Answer this question if your response to Q2.1 is “Partly paid securities that have been fully paid up and are now to become quoted fully paid securities”. |
N/A |
||||
|
2.2d.2 |
And the date the +securities were fully paid up Answer this question if your response to Q2.1 is “Partly paid securities that have been fully paid up and are now to become quoted fully paid securities”. Note: If this occurred over a range of dates, enter the date the last of the securities was fully paid up. |
N/A |
||||
+ See chapter 19 for defined terms
5 June 2021Page 4
This appendix is available as an online formAppendix 2A
Application for quotation of +securities
|
2.2d.3 |
Is this all of the partly paid +securities on issue of that type (ie have all of those partly paid securities now been fully paid up)? Answer this question if your response to Q2.1 is “Unquoted partly paid securities that have been fully paid up and are now to become quoted fully paid securities”. |
N/A |
||||
|
2.2e.1 |
Please state the number and type of +restricted securities (including their ASX security code) where the escrow period has expired or is about to expire Answer this question if your response to Q2.1 is “Restricted securities where the escrow period has expired or is about to expire”. |
N/A |
||||
|
2.2e.2 |
And the date the escrow restrictions have ceased or will cease Answer this question if your response to Q2.1 is “Restricted securities where the escrow period has expired or is about to expire”. Note: If this occurred over a range of dates, enter the date the last of the escrow restrictions has ceased or will cease. |
N/A |
||||
|
2.2f.1 |
Please state the number and type of +securities (including their ASX security code) previously issued under the +employee incentive scheme where the restrictions on transfer have ceased or are about to cease Answer this question if your response to Q2.1 is “Securities previously issued under an employee incentive scheme where the restrictions on transfer have ceased or are about to cease”. |
N/A |
||||
|
2.2f.2 |
And the date the restrictions on transfer have ceased or will cease: Answer this question if your response to Q2.1 is “Securities previously issued under an employee incentive scheme where the restrictions on transfer have ceased or are about to cease”. Note: If this occurred over a range of dates, enter the date the last of the restrictions on transfer has ceased or will cease. |
N/A |
||||
|
2.2g.1 |
Please state the number and type of +securities (including their ASX security code) issued under the +employee incentive scheme that are not subject to a restriction on transfer or that are to be quoted notwithstanding there is a restriction on transfer Answer this question if your response to Q2.1 is “Securities issued under an employee incentive scheme that are not subject to a restriction on transfer or that are to be quoted notwithstanding there is a restriction on transfer”. |
N/A |
||||
+ See chapter 19 for defined terms
5 June 2021Page 5
This appendix is available as an online formAppendix 2A
Application for quotation of +securities
|
2.2g.2 |
*Please attach a document or provide details of a URL link for a document lodged with ASX detailing the terms of the +employee incentive scheme or a summary of the terms. Answer this question if your response to Q2.1 is “Securities issued under an employee incentive scheme that are not subject to a restriction on transfer or that are to be quoted notwithstanding there is a restriction on transfer”. |
N/A |
||||
|
2.2g.3 |
*Are any of these +securities being issued to +key management personnel (KMP) or an +associate Answer this question if your response to Q2.1 is “Securities issued under an employee incentive scheme that are not subject to a restriction on transfer or that are to be quoted notwithstanding there is a restriction on transfer”. |
N/A |
||||
|
2.2g.3.a |
*Provide details of the KMP or +associates being issued +securities. Answer this question if your response to Q2.1 is “Securities issued under an employee incentive scheme that are not subject to a restriction on transfer or that are to be quoted notwithstanding there is a restriction on transfer” and your response to Q2.2g.3 is “Yes”. Repeat the detail in the table below for each KMP involved in the issue. If the securities are being issued to the KMP, repeat the name of the KMP 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 [200 characters] |
Name of registered holder [200 characters] |
Number of +securities [16 characters] |
|
||
|
|
N/A |
|
|
|
||
|
|
|
|
|
|
||
|
2.2h.1 |
*Were the +securities issued for a cash consideration? Answer this question if your response to Q2.1 is “Other”. If the securities are being issued for nil cash consideration, answer this question “No”. |
N/A |
||||
|
2.2h.1.a |
*In what currency was the cash consideration paid? Answer this question if your response to Q2.1 is “Other” and your response to Q2.2h.1 is “Yes”. For example, if the consideration is being paid in Australian Dollars, state AUD. |
N/A |
||||
|
2.2h.1.b |
*What was the issue price per +security Answer this question if your response to Q2.1 is “Other” and your response to Q2.2h.1 is “Yes”, and by reference to the issue currency provided in your response to Q2.2h.1.a. Note: you cannot enter a nil amount here. If the securities are being issued for nil cash consideration, answer Q2.2h.1 as “No” and complete Q2.2h.1.c. |
N/A |
||||
|
2.2h.1.c |
Please describe the consideration provided for the +securities Answer this question if your response to Q2.1 is “Other” and your response to Q2.2h.1 is “No”. |
N/A |
||||
+ See chapter 19 for defined terms
5 June 2021Page 6
This appendix is available as an online formAppendix 2A
Application for quotation of +securities
|
2.2h.1.d |
Please provide an estimate (in AUD) of the value of the consideration provided per +security for the +securities to be quoted Answer this question if your response to Q2.1 is “Other” and your response to Q2.2h.1 is “No”. |
N/A |
||||
|
2.2h.2 |
*The purpose(s) for which the entity is issuing 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 pay for the acquisition of an asset [provide details below] ☐ To pay for services rendered [provide details below] ☐ Other [provide details below]
Additional details:
|
||||
|
2.2h.3 |
*Please provide any further information needed to understand the circumstances in which you are applying to have these +securities quoted on ASX, including why the issue of the +securities has not been previously announced to the market in an Appendix 3B You must answer this question if your response to Q2.1 is “Other”. If there is no other information to provide, please answer “Not applicable” or “N/A”. |
N/A |
||||
|
2.2i |
*Have these +securities been offered under a +disclosure document or +PDS? Answer this question if your response to Q2.1 is “Other”. |
N/A |
||||
|
2.2i.1 |
*Date of +disclosure document or +PDS? Answer this question if your response to Q2.1 is “Other” and your response to Q2.2i is “Yes”. Under the Corporations Act, the entity must apply for quotation of the securities within 7 days of the date of the disclosure document or PDS. |
N/A |
||||
+ See chapter 19 for defined terms
5 June 2021Page 7
This appendix is available as an online formAppendix 2A
Application for quotation of +securities
|
2.3 |
*Any on-sale of the +securities to be quoted within 12 months of their date of issue will comply with the secondary sale provisions in sections 707(3) and 1012C(6) of the Corporations Act by virtue of: Answer this question if your response to Q2.1 is “Other” and your response to Q2.2i is “No”. Note: Under Appendix 2A of the Listing Rules, when the entity applies for quotation of securities, it gives a warranty that an offer of the securities for sale within 12 months after their issue will not require disclosure under section 707(3) or 1012C(6) of the Corporations Act. If you are in any doubt as to the application of, or the entity’s capacity to give, this warranty, please see ASIC Regulatory Guide 173 Disclosure for on-sale of securities and other financial products and consult your legal adviser. |
☐The publication of a +disclosure document or +PDS for the +securities to be quoted ☐The publication of a cleansing notice under section 708A(5), 708AA(2)(f), 1012DA(5) or 1012DAA(2)(f) ☐The publication of a +disclosure document or +PDS involving the same class of securities as the +securities to be quoted that meets the requirements of section 708A(11) or 1012DA(11) ☐An applicable ASIC instrument or class order ☐Not applicable – the entity has arrangements in place with the holder that ensure the securities cannot be on-sold within 12 months in a manner that would breach section 707(3) or 1012C(6) Note: Absent relief from ASIC, a listed entity can only issue a cleansing notice where trading in the relevant securities has not been suspended for more than 5 days during the shorter of: (a) the period during which the class of securities are quoted; and (b) the period of 12 months before the date on which the relevant securities under the offer were issued. |
||||
|
2.4 |
*The +securities to be quoted are: Tick whichever is applicable |
☒ Additional +securities in a class that is already quoted on ASX ("existing class") ☐ New +securities in a class that is not yet quoted on ASX ("new class") |
||||
+ See chapter 19 for defined terms
5 June 2021Page 8
This appendix is available as an online formAppendix 2A
Application for quotation of +securities
|
Part 3A – |
number and type of +securities to be quoted (existing class or new class) where issue has previously been notified to ASX in an Appendix 3B |
Answer the questions in this Part if your response to Q2.1 is “Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B”.
|
Question No. |
Question |
Answer |
||||
|
3A.1 |
*ASX security code & description |
MSB |
||||
|
3A.2 |
*Number of +securities to be quoted |
1,758,481 |
||||
|
3A.3 |
Any other information the entity wishes to provide about the +securities to be quoted |
See Appendix 3B lodged on 18 January 2022 |
||||
|
3A.4 |
*Provide a distribution schedule for the new +securities according to the categories set out in the left hand column – including the number of recipients and the total percentage of the new +securities held by the recipients in each category.
|
|||||
|
|
Number of +securities held |
Number of holders |
Total percentage of +securities held |
|
||
|
|
1 – 1,000 |
N/A |
|
|
||
|
|
1,001 – 5,000 |
|
|
|
||
|
|
5,001 – 10,000 |
|
|
|
||
|
|
10,001 – 100,000 |
|
|
|
||
|
|
100,001 and over |
|
|
|
||
|
Answer this question only if you are an ASX Listing (ASX Foreign Exempt Listings and ASX Debt Listings do not have to answer this question), your response to Q2.4 is “new class” and the securities to be quoted have already been issued. Note: if the securities to be quoted have not yet been issued, under listing rule 3.10.5, you will need to provide to ASX a list of the 20 largest recipients of the new securities, and the number and percentage of the new securities received by each of those recipients, and a distribution schedule for the securities when they are issued. |
||||||
+ See chapter 19 for defined terms
5 June 2021Page 9
This appendix is available as an online formAppendix 2A
Application for quotation of +securities
|
Part 3B – |
number and type of +securities to be quoted (existing class) where issue has not previously been notified to ASX in an Appendix 3B |
Answer the questions in this Part if your response to Q2.1 is anything other than “Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B” and your response to Q2.4 is “existing class”. If your response to Q2.1 is “Securities issued, transferred or re-classified as a result of options being exercised or other convertible securities being converted”, the questions in this part relate to the securities being issued, transferred or reclassified as a result of the exercise of the options or the conversion of the convertible securities. If your response to Q2.1 is “Unquoted partly paid securities that have been fully paid up and are now to become quoted fully paid securities”, the questions in this part relate to the fully paid securities arising from that payment up. Otherwise, the questions in this part relate to the securities issued by the entity which are to be quoted on ASX and which are described in the response to Q2.1.
|
Question No. |
Question |
Answer |
|
3B.1 |
*ASX security code & description |
N/A |
|
3B.2 |
*Number of +securities to be quoted |
N/A |
|
3B.3a |
*Will the +securities to be quoted rank equally in all respects from their issue date with the existing issued +securities in that class? |
N/A |
|
3B.3b |
*Is the actual date from which the +securities will rank equally (non-ranking end date) known? Answer this question if your response to Q3B.3a is “No”. |
N/A |
|
3B.3c |
*Provide the actual non-ranking end date Answer this question if your response to Q3B.3a is “No” and your response to Q3B.3b is “Yes”. |
N/A |
|
3B.3d |
*Provide the estimated non-ranking end period Answer this question if your response to Q3B.3a is “No” and your response to Q3B.3b is “No”. |
N/A |
|
3B.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 reason Answer this question if your response to Q3B.3a is “No”. For example, the securities may not rank at all, or may rank proportionately based on the percentage of the period in question they have been on issue, for the next dividend, distribution or interest payment; or they may not be entitled to participate in some other event, such as an entitlement issue. |
N/A |
|
3B.4 |
Any other information the entity wishes to provide about the +securities to be quoted |
N/A |
+ See chapter 19 for defined terms
5 June 2021Page 10
This appendix is available as an online formAppendix 2A
Application for quotation of +securities
|
Part 3C – |
number and type of +securities to be quoted (new class) where issue has not previously been notified to ASX in an Appendix 3B |
Answer the questions in this Part if your response to Q2.1 is anything other than “Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B” and your response to Q2.4 is “new class”. If your response to Q2.1 is “Securities issued, transferred or re-classified as a result of options being exercised or other convertible securities being converted”, the questions in this part relate to the securities being issued, transferred or reclassified as a result of the exercise of the options or the conversion of the convertible securities. If your response to Q2.1 is “Unquoted partly paid securities that have been fully paid up and are now to become quoted fully paid securities”, the questions in this part relate to the fully paid securities arising from that payment up. Otherwise, the questions in this part relate to the securities issued by the entity which are to be quoted on ASX and which are described in the response to Q2.1.
|
Question No. |
Question |
Answer |
|||||
|
3C.1 |
*Security description |
N/A |
|||||
|
3C.2 |
*Security type Select one item from the list that best describes the securities the subject of this form. This will determine more detailed questions to be asked about the security later in this section. Select “ordinary fully or partly paid shares/units” for stapled securities or CDIs. For interest rate securities, please select the appropriate choice from either “Convertible debt securities” or “Non-convertible debt securities”. Select “Other” for performance shares/units and performance options/rights or if the selections available in the list do not 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 ☐ Wholesale debt securities ☐ Other |
|||||
|
3C.3 |
ISIN code Answer this question if you are an entity incorporated outside Australia and you are seeking quotation of a new class of securities other than CDIs. See also the note at the top of this form. |
N/A |
|||||
|
3C.4 |
*Number of +securities to be quoted |
N/A |
|||||
|
3C.5a |
*Will all the +securities issued in this class rank equally in all respects from the issue date? |
N/A |
|||||
|
3C.5b |
*Is the actual date from which the +securities will rank equally (non-ranking end date) known? Answer this question if your response to Q3C.5a is “No”. |
N/A |
|||||
|
3C.5c |
*Provide the actual non-ranking end date Answer this question if your response to Q3C.5a is “No” and your response to Q3C.5b is “Yes”. |
N/A |
|||||
|
3C.5d |
*Provide the estimated non-ranking end period Answer this question if your response to Q3C.5a is “No” and your response to Q3C.5b is “No”. |
N/A |
|||||
+ See chapter 19 for defined terms
5 June 2021Page 11
This appendix is available as an online formAppendix 2A
Application for quotation of +securities
|
3C.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 reason Answer this question if your response to Q3C.5a is “No”. For example, the securities may not rank at all, or may rank proportionately based on the percentage of the period in question they have been on issue, for the next dividend, distribution or interest payment; or they may not be entitled to participate in some other event, such as an entitlement issue. |
N/A |
|||||
|
3C.6 |
Please attach a document or provide a URL link for a document lodged with ASX setting out the material terms of the +securities to be quoted You may cross-reference a disclosure document, PDS, information memorandum, investor presentation or other announcement with this information provided it has been released to the ASX Market Announcements Platform. |
N/A |
|||||
|
3C.7 |
*Have you received confirmation from ASX that the terms of the +securities are appropriate and equitable under listing rule 6.1? Answer this question only if you are an ASX Listing. (ASX Foreign Exempt Listings and ASX Debt Listings do not have to answer this question). If your response is “No” and the securities have any unusual terms, you should approach ASX as soon as possible for confirmation under listing rule 6.1 that the terms are appropriate and equitable. |
N/A |
|||||
|
3C.8 |
*Provide a distribution schedule for the new +securities according to the categories set out in the left hand column – including the number of recipients and the total percentage of the new +securities held by the recipients in each category.
|
||||||
|
|
Number of +securities held |
Number of holders |
Total percentage of +securities held |
|
|||
|
|
1 – 1,000 |
N/A |
|
|
|||
|
|
1,001 – 5,000 |
|
|
|
|||
|
|
5,001 – 10,000 |
|
|
|
|||
|
|
10,001 – 100,000 |
|
|
|
|||
|
|
100,001 and over |
|
|
|
|||
|
Answer this question only if you are an ASX Listing (ASX Foreign Exempt Listings and ASX Debt Listings do not have to answer this question) and the securities to be quoted have already been issued. Note: if the securities to be quoted have not yet been issued, under listing rule 3.10.5, you will need to provide to ASX a list of the 20 largest recipients of the new +securities, and the number and percentage of the new +securities received by each of those recipients, and a distribution schedule for the securities when they are issued. |
|||||||
|
3C.9a |
Ordinary fully or partly paid shares/units details Answer the questions in this section if you selected this security type in your response to Question 3C.2. |
||||||
|
|
*+Security currency This is the currency in which the face amount of an issue is denominated. It will also typically be the currency in which distributions are declared. |
N/A |
|||||
+ See chapter 19 for defined terms
5 June 2021Page 12
This appendix is available as an online formAppendix 2A
Application for quotation of +securities
|
|
*Will there be CDIs issued over the +securities? |
N/A |
|||||
|
|
*CDI ratio Answer this question if you answered “Yes” to the previous question. This is the ratio at which CDIs can be transmuted into the underlying security (e.g. 4:1 means 4 CDIs represent 1 underlying security whereas 1:4 means 1 CDI represents 4 underlying securities). |
N/A |
|||||
|
|
*Is it a partly paid class of +security? |
N/A |
|||||
|
|
*Paid up amount: unpaid amount Answer this question if answered “Yes” to the previous question. The paid up amount represents the amount of application money and/or calls which have been paid on any security considered ‘partly paid’ The unpaid amount represents the unpaid or yet to be called amount on any security considered ‘partly paid’. The amounts should be provided per the security currency (e.g. if the security currency is AUD, then the paid up and unpaid amount per security in AUD). |
N/A |
|||||
|
|
*Is it a stapled +security? This is a security class that comprises a number of ordinary shares and/or ordinary units issued by separate entities that are stapled together for the purposes of trading. |
N/A |
|||||
|
3C.9b |
Option details Answer the questions in this section if you selected this security type in your response to Question 3C.2. |
||||||
|
|
*+Security currency This is the currency in which the exercise price is payable. |
N/A |
|||||
|
|
*Exercise price The price at which each option can be exercised and convert into the underlying security. The exercise price should be provided per the security currency (i.e. if the security currency is AUD, the exercise price should be expressed in AUD). |
N/A |
|||||
|
|
*Expiry date The date on which the options expire or terminate. |
N/A |
|||||
|
|
*Details of the number and type of +security (including its ASX security code if the +security is quoted on ASX) that will be issued if an option is exercised For example, if the option can be exercised to receive one fully paid ordinary share with ASX security code ABC, please insert “One fully paid ordinary share (ASX:ABC)”. |
N/A |
|||||
+ See chapter 19 for defined terms
5 June 2021Page 13
This appendix is available as an online formAppendix 2A
Application for quotation of +securities
|
3C.9c |
Details of non-convertible +debt securities, +convertible debt securities, or redeemable preference shares/units Answer the questions in this section if you selected one of these security types in your response to Question 3C.2. Refer to Guidance Note 34 and the “Guide to the Naming Conventions and Security Descriptions for ASX Quoted Debt and Hybrid Securities” for further information on certain terms used in this section |
||||||
|
|
*Type of +security Select one item from the list |
☐ Simple corporate bond ☐ Non-convertible note or bond ☐ Convertible note or bond ☐ Preference share/unit ☐ Capital note ☐ Hybrid security ☐ Other |
|||||
|
|
*+Security currency This is the currency in which the face value of the security is denominated. It will also typically be the currency in which interest or distributions are paid. |
N/A |
|||||
|
|
Face value This is the principal amount of each security. The face value should be provided per the security currency (i.e. if security currency is AUD, then the face value per security in AUD). |
N/A |
|||||
|
|
*Interest rate type Select one item from the list Select the appropriate interest or dividend rate type per the terms of the security. Definitions for each type are provided in the Guide to the Naming Conventions and Security Descriptions for ASX Quoted Debt and Hybrid Securities |
☐ Fixed rate ☐ Floating rate ☐ Indexed rate ☐ Variable rate ☐ Zero coupon/no interest or dividend ☐ Other |
|||||
|
|
Frequency of coupon/interest/dividend payments per year Select one item from the list. |
☐ Monthly ☐ Quarterly ☐ Semi-annual ☐ Annual ☐ No coupon/interest payments ☐ Other |
|||||
|
|
First interest/dividend payment date A response is not required if you have selected “No coupon/interest payments” in response to the question above on the frequency of coupon/interest payments |
N/A |
|||||
|
|
Interest/dividend rate per annum Answer this question if the interest rate type is fixed. |
N/A |
|||||
|
|
*Is the interest/dividend rate per annum estimated at this time? Answer this question if the interest rate type is fixed. |
N/A |
|||||
+ See chapter 19 for defined terms
5 June 2021Page 14
This appendix is available as an online formAppendix 2A
Application for quotation of +securities
|
|
If the interest/dividend rate per annum is estimated, then what is the date for this information to be announced to the market (if known) Answer this question if the interest rate type is fixed and your response to the previous question is “Yes”. Answer “Unknown” if the date is not known at this time. |
N/A |
|||||
|
|
*Does the interest rate include a reference rate, base rate or market rate (e.g. BBSW or CPI)? Answer this question if the interest rate type is floating or indexed. |
N/A |
|||||
|
|
*What is the reference rate, base rate or market rate? Answer this question if the interest rate type is floating or indexed and your response to the previous question is “Yes”. |
N/A |
|||||
|
|
*Does the interest/dividend rate include a margin above the reference rate, base rate or market rate? Answer this question if the interest rate type is floating or indexed. |
N/A |
|||||
|
|
*What is the margin above the reference rate, base rate or market rate (expressed as a percent per annum) Answer this question if the interest rate type is floating or indexed and your response to the previous question is “Yes”. |
N/A |
|||||
|
|
*S128F of the Income Tax Assessment Act status applicable to the +security Select one item from the list For financial products which are likely to give rise to a payment to which s128F of the Income Tax Assessment Act applies, ASX requests issuers to confirm the s128F status of the security: •“s128F exempt” means interest payments are not taxable to non-residents; •“Not s128F exempt” means interest payments are taxable to non-residents; •“s128F exemption status unknown” means the issuer is unable to advise the status; •“Not applicable” means s128F is not applicable to this security |
☐ s128F exempt ☐ Not s128F exempt ☐ s128F exemption status unknown ☐ Not applicable
|
|||||
|
|
*Is the +security perpetual (i.e. no maturity date)? |
N/A |
|||||
|
|
*Maturity date Answer this question if the security is not perpetual |
N/A |
|||||
+ See chapter 19 for defined terms
5 June 2021Page 15
This appendix is available as an online formAppendix 2A
Application for quotation of +securities
|
|
*Select other features applicable to the +security Up to 4 features can be selected. Further information is available in the Guide to the Naming Conventions and Security Descriptions for ASX Quoted Debt and Hybrid 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 right of conversion, redemption, call or put can be exercised (whichever is first)? |
N/A |
|||||
|
|
*If yes, what is the first trigger date Answer this question if your response to the previous question is “Yes”. |
N/A |
|||||
|
|
Details of the number and type of +security (including its ASX security code if the +security is quoted on ASX) that will be issued if the +securities to be quoted are converted, transformed or exchanged (per 1 new +security) Answer this question if the security features include “converting”, “convertible”, “transformable” or “exchangeable”. For example, if the security can be converted into 1,000 fully paid ordinary shares with ASX security code ABC, please insert “1,000 fully paid ordinary shares (ASX:ABC)”. |
N/A |
|||||
|
3C.9d |
Details of wholesale debt securities Answer the questions in this section if you selected this security type in your response to Question Q3C.2. Refer to Guidance Note 34 and the “Guide to the Naming Conventions and Security Descriptions for ASX Quoted Debt and Hybrid Securities” for further information on certain terms used in this section |
||||||
|
|
CFI |
N/A |
|||||
|
|
FISN |
N/A |
|||||
|
|
*+Security currency This is the currency in which the face value of the security is denominated. It will also typically be the currency in which interest or distributions are paid. |
N/A |
|||||
|
|
Total principal amount of class |
N/A |
|||||
|
|
Face value This is the offer / issue price or value at which the security was offered on issue. |
N/A |
|||||
+ See chapter 19 for defined terms
5 June 2021Page 16
This appendix is available as an online formAppendix 2A
Application for quotation of +securities
|
|
Number of +securities This should be the total principal amount of class divided by the face value |
N/A |
|||||
|
|
*Interest rate type Select the appropriate interest rate type per the terms of the security. Definitions for each type are provided in the Guide to the Naming Conventions and Security Descriptions for ASX Quoted Debt and Hybrid Securities. |
☐ Fixed rate ☐ Floating rate ☐ Fixed to floating ☐ Floating to fixed |
|||||
|
|
*Frequency of coupon/interest payments per year Select one item from the list. The number of interest payments to be made per year for a wholesale debt security. |
☐ Monthly ☐ Quarterly ☐ Semi-annual ☐ Annual ☐ No payments |
|||||
|
|
*First interest payment date A response is not required if you have selected “No payments” in response to the question above on the frequency of coupon/interest payments. |
N/A |
|||||
|
|
*Interest rate per annum A response is not required if you have selected “No payments” in response to the question above on the frequency of coupon/interest payments. The rate represents the total rate for the first payment period which may include a reference or base rate plus a margin rate and other adjustment factors where applicable, stated on a per annum basis. If the rate is only an estimate at this time please enter an indicative rate and provide the actual rate once it has become available. |
N/A |
|||||
|
|
*Maturity date The date on which the security matures. |
N/A |
|||||
|
|
Class type description |
N/A |
|||||
|
|
*S128F of the Income Tax Assessment Act status applicable to the +security Select one item from the list For financial products which are likely to give rise to a payment to which s128F of the Income Tax Assessment Act applies, ASX requests issuers to confirm the s128F status of the security: •“s128F exempt” means interest payments are not taxable to non-residents; •“Not s128F exempt” means interest payments are taxable to non-residents; •“s128F exemption status unknown” means the issuer is unable to advise the status; “Not applicable” means s128F is not applicable to this security |
☐ s128F exempt ☐ Not s128F exempt ☐ s128F exemption status unknown ☐ Not applicable
|
|||||
|
3C.10 |
Any other information the entity wishes to provide about the +securities to be quoted |
N/A |
|||||
+ See chapter 19 for defined terms
5 June 2021Page 17
This appendix is available as an online formAppendix 2A
Application for quotation of +securities
Part 4 – Issued capital following quotation
|
Following the quotation of the +securities the subject of this application, the issued capital of the entity will comprise: Note: the figures provided in the tables in sections 4.1 and 4.2 below are used to calculate the total market capitalisation of the entity published by ASX from time to time. Please make sure you include in the relevant table each class of securities issued by the entity. If you have quoted CHESS Depository Interests (CDIs) issued over your securities, include them in the table in section 4.1 and include in the table in section 4.2 any securities that do not have CDIs issued over them (and therefore are not quoted on ASX). Restricted securities should only be included in the table in section 4.1 if you are applying to have them quoted because the escrow period for the securities has expired or is about to expire. Otherwise include them in the table in section 4.2. |
|||||
|
4.1 |
*Quoted +securities (total number of each +class of +securities quoted on ASX following the +quotation of the +securities the subject of this application)
|
||||
|
|
ASX security code and description |
Total number of +securities on issue |
|
||
|
|
MSB Ordinary Shares
|
650,454,551 |
|
||
|
|
|
|
|
||
|
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 |
|
||
|
|
MSBAI Unquoted options
MSBAJ Incentive rights
MSBAO Warrants
ADS Warrants |
44,508,135
1,500,000
15,027,327
1,769,669 |
|
||
|
|
|
|
|
||
Part 5 – 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:
|
- |
“Securities issued under a dividend/distribution plan”; |
|
- |
“Securities issued under an employee incentive scheme that are not subject to a restriction on transfer or that are to be quoted notwithstanding there is a restriction on transfer”; or |
|
- |
“Other”. |
Note that if your response to Q2.1 is “Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B”, it is assumed that you will have provided the information referred to in this Part in the Appendix 3B.
|
Question No. |
Question |
Answer |
|
5.1 |
*Are the +securities being issued under an exception in Listing Rule 7.2 and therefore the issue does not need any security holder approval under Listing Rule 7.1? |
N/A |
|
5.1a |
Enter the number of the applicable exception in Listing Rule 7.2 Answer this question is your response to Q5.1 is “Yes” Note this should be a number between 1 and 17. |
N/A |
+ See chapter 19 for defined terms
5 June 2021Page 18
This appendix is available as an online formAppendix 2A
Application for quotation of +securities
|
5.1a.1 |
*Does the +dividend or distribution plan meet the requirement of listing rule 7.2 exception 4 that it does not impose a limit on participation? Answer this question if your response to Q5.1 is “Yes” and your response to Q5.1a is “4”. Note: Exception 4 only applies where security holders are able to elect to receive all of their dividend or distribution as securities. For example, Exception 4 would not apply in the following circumstances: 1) The entity has specified a dollar limit on the level of participation e.g. security holders can only participate to a maximum value of $x in respect of their entitlement, or 2) The entity has specified a maximum number of securities that can participate in the plan e.g. security holders can only receive securities in lieu of dividend payable for x number of securities. |
N/A |
|
5.2 |
*Has the entity obtained, or is it obtaining, +security holder approval for the issue under listing rule 7.1? Answer this question if the response to Q5.1 is “No”. |
N/A |
|
5.2a |
*Date of meeting or proposed meeting to approve the issue under listing rule 7.1 Answer this question if the response to Q5.1 is “No” and the response to Q5.2 is “Yes”. |
N/A |
|
5.2b |
*Are any of the +securities being issued without +security holder approval using the entity’s 15% placement capacity under listing rule 7.1? Answer this question if the response to Q5.1 is “No” and the response to Q5.2 is “No”. |
N/A |
|
5.2b.1 |
*How many +securities are being issued without +security holder approval using the entity’s 15% placement capacity under listing rule 7.1? Answer this question if the response to Q5.1 is “No”, the response to Q5.2 is “No” and the response to Q5.2b is “Yes”. If the response to Q5.2b is “Yes”, please complete and separately send by email to your ASX listings compliance adviser a work sheet in the form of Annexure B to Guidance Note 21 confirming the entity has the available capacity under listing rule 7.1 to issue that number of securities. |
N/A |
|
5.2c |
*Are any of the +securities being issued without +security holder approval using the entity’s additional 10% placement capacity under listing rule 7.1A (if applicable)? Answer this question if the response to Q5.1 is “No” and the response to Q5.2 is “No”. |
N/A |
+ See chapter 19 for defined terms
5 June 2021Page 19
This appendix is available as an online formAppendix 2A
Application for quotation of +securities
|
5.2c.1 |
*How many +securities are being issued without +security holder approval using the entity’s additional 10% placement capacity under listing rule 7.1A? Answer this question if the response to Q5.1 is “No”, the response to Q5.2 is “No” and the response to Q5.2c is “Yes”. If the response to Q5.2c is “Yes”, please complete and separately send by email to your ASX listings compliance adviser a work sheet in the form of Annexure C to Guidance Note 21 confirming the entity has the available capacity under listing rule 7.1A to issue that number of securities. |
N/A |
Introduced 01/12/19; amended 31/01/20; 05/06/21
+ See chapter 19 for defined terms
5 June 2021Page 20