Aspermont : Notification regarding unquoted securities - ASP

Published: 2022-01-14 02:22:08 ET ASP.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 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

Question

Question

Answer

no

1.1

*Name of entity

ASPERMONT LIMITED

We (the entity here named) give notice of the issue,

conversion or payment up of the following unquoted

+securities.

1.2

*Registration type and number

ACN

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

ASP

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

Mandatory only if "Update" ticked in Q1.4 above. A

reason must be provided for an update.

1.4b

*Date of previous announcement to this

update

Mandatory only if "Update" ticked in Q1.4 above.

1.4c

*Reason for cancellation

Mandatory only if "Cancellation" ticked in Q1.4 above.

1.4d

*Date of previous announcement to this

cancellation

Mandatory only if "Cancellation" ticked in Q1.4 above.

1.5

*Date of this announcement

14/01/2022

+ See chapter 19 for defined terms

5 June 2021

Page 1

This appendix is available as an online form

Appendix 3G

Notification of issue, conversion or

payment up of unquoted equity +securities

Part 2 - Type of issue

Question Question

Answer

No.

personal use only

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.

If you have selected 'other' please explain the circumstances here:

For

2.1a

*Date the +securities the subject of this

10/01/2022

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".

2.2a.1

*Date of Appendix 3B notifying the market

10/01/2022

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."

+ See chapter 19 for defined terms

5 June 2021

Page 2

only

This appendix is available as an online form

Appendix 3G

Notification of issue, conversion or

payment up of unquoted equity +securities

2.2a.2

*Are there any further issues of +securities

Yes

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".

use

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.

20 million options will be subject to shareholder approval at the upcoming annual general meeting.

For personal

2.2b.1

Date of Appendix 3A.1 lodged with ASX in

N/A

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".

2.2c.1

Please state the number and type of

N/A

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".

2.2c.2

And the date the options were exercised or

N/A

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.

+ See chapter 19 for defined terms

5 June 2021

Page 3

only

This appendix is available as an online form

Appendix 3G

Notification of issue, conversion or

payment up of unquoted equity +securities

2.2c.3

Is this all of the options or other

N/A

+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".

use

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".

For personal

2.2c.5

The underlying securities being received

☐ Already quoted by ASX

by the holder are:

☐ Intended to be, but are not yet, quoted

Answer this question if your response to Q2.1 is

by ASX

"Unquoted options that have been exercised or other

unquoted convertible securities that have been

☐ Are not, and are not intended to be,

converted".

quoted by ASX

2.2c.6

The underlying securities being received

☐ Already quoted by ASX

by the holder are:

☐ Are not, and are not intended to be,

Answer this question if your response to Q2.1 is

quoted by ASX

"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".

2.2c.7

*Were the options being exercised or other

N/A

+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".

+ See chapter 19 for defined terms

5 June 2021

Page 4

For personal use only

This appendix is available as an online form

Appendix 3G

Notification of issue, conversion or

payment up of unquoted equity +securities

2.2c.8

*Are any of the options being exercised or

N/A

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".

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".

Name of KMP

Name of registered holder

Number of options

being exercised or

other +convertible

securities being

converted

2.2d.1

Please state the number and type of partly

N/A

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".

2.2d.2

And the date upon which the call or

N/A

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.

2.2d.3

Has the call or instalment been paid on all

N/A

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".

2.2d.4

Are the securities on which the call or

N/A

instalment was paid now fully paid?

+ See chapter 19 for defined terms

5 June 2021

Page 5

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Disclaimer

Aspermont Limited published this content on 14 January 2022 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 14 January 2022 07:21:04 UTC.