UUL.AX
Rules 4.7.3 and 4.10.3
Appendix 4G
Key to Disclosures
Corporate Governance Council Principles and Recommendations
Name of entity
Ultima United Limited
ABN/ARBN
30 123 920 990
Financial year ended:
30 June 2021
For personal use only
Our corporate governance statement1 for the period above can be found at:2
These pages of our
This URL on our
☒https://www.ultimaunited.com/corporate-governance website:
The Corporate Governance Statement is accurate and up to date as at 30 June 2021 and has been approved by the board.
The annexure includes a key to where our corporate governance disclosures can be located.3
Date:
24 December 2021
Name of authorised officer
Cheng Yan Marcus Goh, Executive Director
authorising lodgement:
1 "Corporate governance statement" is defined in Listing Rule 19.12 to mean the statement referred to in Listing Rule 4.10.3 which discloses the extent to which an entity has followed the recommendations set by the ASX Corporate Governance Council during a particular reporting period.
Listing Rule 4.10.3 requires an entity that is included in the official list as an ASX Listing to include in its annual report either a corporate governance statement that meets the requirements of that rule or the URL of the page on its website where such a statement is located. The corporate governance statement must disclose the extent to which the entity has followed the recommendations set by the ASX Corporate Governance Council during the reporting period. If the entity has not followed a recommendation for any part of the reporting period, its corporate governance statement must separately identify that recommendation and the period during which it was not followed and state its reasons for not following the recommendation and what (if any) alternative governance practices it adopted in lieu of the recommendation during that period.
Under Listing Rule 4.7.4, if an entity chooses to include its corporate governance statement on its website rather than in its annual report, it must lodge a copy of the corporate governance statement with ASX at the same time as it lodges its annual report with ASX. The corporate governance statement must be current as at the effective date specified in that statement for the purposes of Listing Rule 4.10.3.
Under Listing Rule 4.7.3, an entity must also lodge with ASX a completed Appendix 4G at the same time as it lodges its annual report with ASX. The Appendix 4G serves a dual purpose. It acts as a key designed to assist readers to locate the governance disclosures made by a listed entity under Listing Rule 4.10.3 and under the ASX Corporate Governance Council's recommendations. It also acts as a verification tool for listed entities to confirm that they have met the disclosure requirements of Listing Rule 4.10.3.
The Appendix 4G is not a substitute for, and is not to be confused with, the entity's corporate governance statement. They serve different purposes and an entity must produce each of them separately.
See notes 4 and 5 below for further instructions on how to complete this form.
ASX Listing Rules Appendix 4G (current at 17/7/2020)
Page 1
Appendix 4G
Key to Disclosures Corporate Governance Council Principles and Recommendations
ANNEXURE - KEY TO CORPORATE GOVERNANCE DISCLOSURES
r personal use only
Corporate Governance Council recommendation
Where a box below is ticked,4 we have followed the
Where a box below is ticked, we have NOT followed the
recommendation in fullfor the wholeof the period above. We
recommendation in full for the whole of the period above. Our
have disclosed this in our Corporate Governance Statement:
reasons for not doing so are:5
PRINCIPLE 1 - LAY SOLID FOUNDATIONS FOR MANAGEMENT AND OVERSIGHT
1.1
A listed entity should have and disclose a board charter setting
☒
☐ set out in our Corporate Governance Statement OR
out:
and we have disclosed a copy of our board charter at:
☐ we are an externally managed entity and this recommendation
(a) the respective roles and responsibilities of its board and
this URL on our website:
is therefore not applicable
management; and
https://www.ultimaunited.com/corporate-governance
(b) those matters expressly reserved to the board and those
delegated to management.
1.2
A listed entity should:
☒ and we have disclosed this in our Corporate Governance
☐ set out in our Corporate Governance Statement OR
(a) undertake appropriate checks before appointing a director or
Statement available on our website at:
☐ we are an externally managed entity and this recommendation
senior executive or putting someone forward for election as
https://www.ultimaunited.com/corporate-governance
is therefore not applicable
a director; and
(b) provide security holders with all material information in its
possession relevant to a decision on whether or not to elect
or re-elect a director.
1.3
A listed entity should have a written agreement with each director
☒ and we have disclosed this in our Corporate Governance
☐ set out in our Corporate Governance Statement OR
and senior executive setting out the terms of their appointment.
Statement available on our website at:
☐ we are an externally managed entity and this recommendation
https://www.ultimaunited.com/corporate-governance
is therefore not applicable
1.4
The company secretary of a listed entity should be accountable
☒ and we have disclosed this in our Corporate Governance
☐ set out in our Corporate Governance Statement OR
directly to the board, through the chair, on all matters to do with
Statement available on our website at:
☐ we are an externally managed entity and this recommendation
the proper functioning of the board.
https://www.ultimaunited.com/corporate-governance
is therefore not applicable
ASX Listing Rules Appendix 4G (current at 17/7/2020)
Page 2
Appendix 4G Key to Disclosures Corporate Governance Council Principles and Recommendations
r personal use only
Corporate Governance Council recommendation
Where a box below is ticked,4 we have followed the
Where a box below is ticked, we have NOT followed the
recommendation in fullfor the wholeof the period above. We
recommendation in full for the whole of the period above. Our
have disclosed this in our Corporate Governance Statement:
reasons for not doing so are:5
1.5
A listed entity should:
☐
☒ set out in our Corporate Governance Statement OR
(a) have and disclose a diversity policy;
and we have disclosed a copy of our diversity policy at:
☐ we are an externally managed entity and this recommendation
(b) through its board or a committee of the board set
……………………………………………………………………………..
is therefore not applicable
measurable objectives for achieving gender diversity in the
[insert location]
composition of its board, senior executives and workforce
and we have disclosed the information referred to in paragraph (c)
generally; and
at:
(c) disclose in relation to each reporting period:
……………………………………………………………………………..
(1) the measurable objectives set for that period to
[insert location]
achieve gender diversity;
and if we were included in the S&P / ASX 300 Index at the
(2) the entity's progress towards achieving those
commencement of the reporting period our measurable objective for
objectives; and
achieving gender diversity in the composition of its board of not less
(3) either:
than 30% of its directors of each gender within a specified period.
(A) the respective proportions of men and women
on the board, in senior executive positions and
across the whole workforce (including how the
entity has defined "senior executive" for these
purposes); or
(B) if the entity is a "relevant employer" under the
Workplace Gender Equality Act, the entity's
most recent "Gender Equality Indicators", as
defined in and published under that Act.
If the entity was in the S&P / ASX 300 Index at the
commencement of the reporting period, the measurable objective
for achieving gender diversity in the composition of its board
should be to have not less than 30% of its directors of each
gender within a specified period.
1.6
A listed entity should:
☒
☐ set out in our Corporate Governance Statement OR
(a) have and disclose a process for periodically evaluating the
and we have disclosed the evaluation process referred to in
☐ we are an externally managed entity and this recommendation
performance of the board, its committees and individual
paragraph (a) in our Corporate Governance Statement available on
is therefore not applicable
directors; and
our website at https://www.ultimaunited.com/corporate-governance;
(b) disclose for each reporting period whether a performance
and whether a performance evaluation was undertaken for the
evaluation has been undertaken in accordance with that
reporting period in accordance with that process at:
process during or in respect of that period.
As above.
ASX Listing Rules Appendix 4G (current at 17/7/2020)
Page 3
Appendix 4G Key to Disclosures Corporate Governance Council Principles and Recommendations
r personal use only
Corporate Governance Council recommendation
Where a box below is ticked,4 we have followed the
Where a box below is ticked, we have NOT followed the
recommendation in fullfor the wholeof the period above. We
recommendation in full for the whole of the period above. Our
have disclosed this in our Corporate Governance Statement:
reasons for not doing so are:5
1.7
A listed entity should:
☒
☐ set out in our Corporate Governance Statement OR
(a) have and disclose a process for evaluating the performance
and we have disclosed the evaluation process referred to in
☐ we are an externally managed entity and this recommendation
of its senior executives at least once every reporting period;
paragraph (a) in our Corporate Governance Statement available on
is therefore not applicable
and
our website at https://www.ultimaunited.com/corporate-governance;
(b) disclose for each reporting period whether a performance
and whether a performance evaluation was undertaken for the
evaluation has been undertaken in accordance with that
reporting period in accordance with that process at:
process during or in respect of that period.
As above.
ASX Listing Rules Appendix 4G (current at 17/7/2020)
Page 4
Appendix 4G Key to Disclosures Corporate Governance Council Principles and Recommendations
r personal use only
Corporate Governance Council recommendation
Where a box below is ticked,4 we have followed the
Where a box below is ticked, we have NOT followed the
recommendation in fullfor the wholeof the period above. We
recommendation in full for the whole of the period above. Our
have disclosed this in our Corporate Governance Statement:
reasons for not doing so are:5
PRINCIPLE 2 - STRUCTURE THE BOARD TO BE EFFECTIVE AND ADD VALUE
2.1
The board of a listed entity should:
☐
☒ set out in our Corporate Governance Statement OR
(a) have a nomination committee which:
[If the entity complies with paragraph (a):]
☐ we are an externally managed entity and this recommendation
(1) has at least three members, a majority of whom are
and we have disclosed a copy of the charter of the committee at:
is therefore not applicable
independent directors; and
……………………………………………………………………………..
(2) is chaired by an independent director,
[insert location]
and disclose:
and the information referred to in paragraphs (4) and (5) at:
(3) the charter of the committee;
……………………………………………………………………………..
(4) the members of the committee; and
[insert location]
(5) as at the end of each reporting period, the number
[If the entity complies with paragraph (b):]
of times the committee met throughout the period
and we have disclosed the fact that we do not have a nomination
and the individual attendances of the members at
committee and the processes we employ to address board
those meetings; or
succession issues and to ensure that the board has the appropriate
(b) if it does not have a nomination committee, disclose that
balance of skills, knowledge, experience, independence and
fact and the processes it employs to address board
diversity to enable it to discharge its duties and responsibilities
succession issues and to ensure that the board has the
effectively at:
appropriate balance of skills, knowledge, experience,
……………………………………………………………………………..
independence and diversity to enable it to discharge its
[insert location]
duties and responsibilities effectively.
2.2
A listed entity should have and disclose a board skills matrix
☒
☐ set out in our Corporate Governance Statement OR
setting out the mix of skills that the board currently has or is
and we have disclosed our board skills matrix in our Corporate
☐ we are an externally managed entity and this recommendation
looking to achieve in its membership.
Governance Statement available on our website at
is therefore not applicable
https://www.ultimaunited.com/corporate-governance
2.3
A listed entity should disclose:
☒
☐ set out in our Corporate Governance Statement
(a) the names of the directors considered by the board to be
and we have disclosed the names of the directors considered by the
independent directors;
board to be independent directors at:
(b) if a director has an interest, position, affiliation or
pages 4 to 12 of the Directors' Report of 2021 UUL Annual Report
relationship of the type described in Box 2.3 but the board
available on https://www.ultimaunited.com/financial-reports
is of the opinion that it does not compromise the
and the length of service of each director at:
independence of the director, the nature of the interest,
As above.
position or relationship in question and an explanation of
why the board is of that opinion; and
(c) the length of service of each director.
ASX Listing Rules Appendix 4G (current at 17/7/2020)
Page 5
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Ultima United Ltd. published this content on 24 December 2021 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 24 December 2021 05:16:06 UTC.