HE8.AX
For personal use only
This appendix is available as an online form
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
Question
Answer
no
1.1
*Name of entity
Helios Energy Limited
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
1.2
*Registration type and number
ABN: 61 143 932 110
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).
1.3
*ASX issuer code
HE8
1.4
*This announcement is
☒ A new announcement
Tick whichever is applicable.
☐ 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"
+ See chapter 19 for defined terms
5 June 2021
Page 1
only
This appendix is available as an online form
Appendix 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
17 January 2022
Part 2 - Type of issue
Question
Question
Answer
No.
use
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.
Note: there is no need to apply for quotation of the fully paid securities if the partly paid securities were already quoted
For personal
☐ +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
Yes
issued yet?
2.1a.1
*What was their date of issue?
13 January 2022
Answer this question if your response to Q2.1a is
"Yes".
2.1a.2
*What is their proposed date of issue?
Answer this question if your response to Q2.1a is "No".
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"
+ See chapter 19 for defined terms
5 June 2021
Page 2
personal use only
This appendix is available as an online form
Appendix 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".
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.
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".
2.2c.1
Please state the number and type of
681,077,304 Listed Options (ASX: HE8OA)
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".
2.2c.2
And the date the options were exercised or
13 January 2022 - 681,077,304 Listed
other +convertible securities were
Options (ASX: HE8OA)
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.
For
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".
Yes
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.
2.2c.4
The right of the holder of the options or
☒ An issue of new +securities
other +convertible securities to receive the
☐ A transfer of existing +securities
+underlying securities is being satisfied by:
☐ A reclassification of the +convertible
Answer this question if your response to Q2.1 is
securities as securities in the same
"Securities issued, transferred or re-classified as a
result of options being exercised or other convertible
class as the +underlying securities
securities being converted".
+ See chapter 19 for defined terms
5 June 2021
Page 3
For personal use only
This appendix is available as an online form
Appendix 2A
Application for quotation of +securities
2.2c.5
The underlying securities being received by
☐ Already quoted by ASX
the holder are:
☒ Intended to be, but are not yet, quoted
Answer this question if your response to Q2.1 is
by ASX
"Securities issued, transferred or re-classified as a
result of options being exercised or other convertible
☐ Are not, and are not intended to be,
securities being converted".
quoted by ASX
2.2c.6
Were the options being exercised or other
No
+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".
2.2c.7
*Are any of the options being exercised or
No
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".
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
Name of registered holder
Number of options
[200 characters]
[200 characters]
being exercised or
other +convertible
securities being
converted
[16 characters]
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".
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.
+ See chapter 19 for defined terms
5 June 2021
Page 4
This appendix is available as an online form
Appendix 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".
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.
For personal use only
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".
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.
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".
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.
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".
+ See chapter 19 for defined terms
5 June 2021
Page 5
This is an excerpt of the original content. To continue reading it, access the original document here.
Disclaimer
Helios Energy Limited published this content on 17 January 2022 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 17 January 2022 09:14:08 UTC.