asx release
26 October 2020
APPENDIX 3G - NOTIFICATION OF ISSUE OF EQUITY SECURITIES
In accordance with ASX Listing Rule 3.10.3A, please see attached an Appendix 3G - Notification of Issue, Conversion or Payment Up of Equity Securities in relation to the issue of Performance Awards under Transurban Group's Long Term Incentive Plan.
Investor enquiries | Media enquiries |
Tess Palmer | Sarah Chapman |
Head of Investor Relations | Manager, Media and Communications |
+61 458 231 983 | +61 400 841 898 |
This announcement is authorised by Fiona Last, Company Secretary.
Classification | Transurban Group | |
Transurban International Limited | ||
ABN 90 121 746 825 | ||
Transurban Holdings Limited | ||
ABN 86 098 143 429 | Level 31 | |
Transurban Holding Trust | Tower Five, Collins Square | |
ABN 30 169 362 255 | 727 Collins Street | |
ARSN 098 807 419 | Docklands | |
Victoria 3008 Australia | ||
corporate@transurban.com | Telephone +613 8656 8900 | |
www.transurban.com | Facsimile +613 8656 8585 |
This appendix is notavailable as an online form | |
Please fill in and submit as a PDF announcement | +Rule 3.10.3A, 3.10.3B, 3.10.3C |
Appendix 3G
Notification of issue, conversion or payment up of equity
+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 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 | Transurban Group |
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 | Transurban Holdings Limited (THL) |
Please supply your ABN, ARSN, ARBN, ACN or | (ABN 86 098 143 429) | |
another registration type and number (if you supply | Transurban International Limited (TIL) | |
another registration type, please specify both the type | ||
of registration and the registration number). | (ABN 90 121 746 825) | |
Transurban Holding Trust (THT) | ||
(ABN 30 169 362 255) | ||
1.3 | *ASX issuer code | TCL |
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 | 26 October 2020 |
+ See chapter 19 for defined terms | Page 1 |
31 January 2020 |
This appendix is notavailable as an online form | Appendix 3G | |||
Please fill in and submit as a PDF announcement | Notification of issue, conversion or | |||
payment up of equity +securities | ||||
Part 2 - Type of issue | ||||
Question | Question | Answer | ||
No. | ||||
2.1 | *The +securities the subject of this | ☐+Securities issued as a result of options | ||
notification are: | being exercised or other +convertible | |||
Select whichever item is applicable. | +securities being converted and that are | |||
If you wish to notify ASX of different types of issues of | not to be quoted on ASX | |||
securities, please complete a separate Appendix 3G | ☐Partly paid +securities that have been | |||
for each type of issue. | fully paid up and that are not to be | |||
quoted on ASX | ||||
☒+Securities issued under an +employee | ||||
incentive scheme that are not being | ||||
immediately quoted on ASX | ||||
☐Other [please specify] | ||||
If you have selected 'other' please provide the | ||||
circumstances of the issue here: | ||||
2.2a.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 | ||||
"securities issued as a result of options being | ||||
exercised or other convertible securities being | ||||
converted and that are not to be quoted on ASX". | ||||
2.2a.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 as a result of options being | ||||
exercised or other convertible securities being | ||||
converted and that are not 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. | ||||
2.2b.1 | Please state the number and type of partly | |||
paid +securities that were fully paid up | ||||
(including their ASX security code if | ||||
available)? | ||||
Answer this question if your response to Q2.1 is | ||||
"partly paid securities that have been paid up and that | ||||
are not to be quoted on ASX". | ||||
2.2b.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 paid up and that | ||||
are not to be quoted on ASX". | ||||
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 | Page 2 |
31 January 2020 |
This appendix is notavailable as an online form | Appendix 3G | |||||||
Please fill in and submit as a PDF announcement | Notification of issue, conversion or | |||||||
payment up of equity +securities | ||||||||
2.2c.1 | Please state the number and type of | 934,868 Performance Awards (unquoted) | ||||||
+securities (including their ASX security | (ASX code: TCLAA). Each Performance | |||||||
code) issued under an +employee | Award is a right to receive a stapled security | |||||||
incentive scheme that are not being | in Transurban Group (ASX code: TCL, each | |||||||
immediately quoted on ASX | comprising a share in THL, share in TIL and | |||||||
Answer this question if your response to Q2.1 is | unit in THT) or an equivalent cash payment, | |||||||
"securities issued under an employee incentive | subject to the achievement of performance | |||||||
scheme that are not being immediately quoted on | and vesting conditions. | |||||||
ASX". | ||||||||
2.2c.2 | *Please attach a document or provide | Refer to pages 92 and 93 of Transurban | ||||||
details of a URL link for a document lodged | Group's 2020 Corporate Report at | |||||||
with ASX detailing the terms of the | www.transurban.com/corporate-report-2020 | |||||||
+employee incentive scheme or a | for a summary of the terms of Transurban | |||||||
summary of the terms. | Group's Long Term Incentive Plan. | |||||||
Answer this question if your response to Q2.1 is | ||||||||
"securities issued under an employee incentive | ||||||||
scheme that are not being immediately quoted on | ||||||||
ASX". | ||||||||
2.2c.3 | *Are any of these +securities being issued | Yes | ||||||
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 being immediately quoted on | ||||||||
ASX". | ||||||||
2.2c.3.a | *Provide details of the recipients and the number of +securities issued to each of them. | |||||||
Answer this question if your response to Q2.1 is "securities issued under an employee incentive scheme that are | ||||||||
not being immediately quoted on ASX" and your response to Q2.2c.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 | Name of registered holder | Number of +securities | ||||||
Louis Scott Charlton | Louis Scott Charlton | 254,594 | ||||||
Jennifer Aument | Jennifer Aument | 52,422 | ||||||
Henry Byrne | Henry Byrne | 43,675 | ||||||
Michele Huey | Michele Huey | 43,675 | ||||||
Sue Johnson | Sue Johnson | 43,856 | ||||||
Simon Moorfield | Simon Moorfield | 51,205 | ||||||
Hugh Wehby | Hugh Wehby | 66,266 | ||||||
2.2d.1 | *The purpose(s) for which the entity is | ☐To raise additional working capital | ||||||
issuing the +securities is: | ☐To fund the retirement of debt | |||||||
Answer this question if your response to Q2.1 is | ||||||||
☐To pay for the acquisition of an asset | ||||||||
"Other". | ||||||||
You may select one or more of the items in the list. | [provide details below] | |||||||
☐To pay for services rendered | ||||||||
[provide details below] | ||||||||
☐Other [provide details below] | ||||||||
Additional details: | ||||||||
+ See chapter 19 for defined terms | Page 3 |
31 January 2020 |
This appendix is notavailable as an online form | Appendix 3G | ||
Please fill in and submit as a PDF announcement | Notification of issue, conversion or | ||
payment up of equity +securities | |||
2.2d.2 | Please provide any further information | ||
needed to understand the circumstances in | |||
which you are notifying the issue of these | |||
+securities to ASX, including (if applicable) | |||
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". | |||
2.3 | *The +securities being issued are: | ☒Additional +securities in an existing | |
Tick whichever is applicable | unquoted class that is already recorded | ||
by ASX ("existing class") | |||
☐New +securities in an unquoted class | |||
that is not yet recorded by ASX ("new | |||
class") |
Part 3A - number and type of +securities being issued (existing class)
Answer the questions in this part if your response to Q2.3 is "existing class".
Question | Question | Answer |
No. | ||
3A.1 | *ASX security code & description | Performance Awards (ASX code: TCLAA) |
3A.2 | *Number of +securities being issued | 934,868 |
3A.3a | *Will the +securities being issued rank | Yes |
equally in all respects from their issue date | ||
with the existing issued +securities in that | ||
class? | ||
3A.3b | *Is the actual date from which the | |
+securities will rank equally (non-ranking | ||
end date) known? | ||
Answer this question if your response to Q3A.3a is | ||
"No". | ||
3A.3c | *Provide the actual non-ranking end date | |
Answer this question if your response to Q3A.3a is | ||
"No" and your response to Q3A.3b is "Yes". | ||
3A.3d | *Provide the estimated non-ranking end | |
period | ||
Answer this question if your response to Q3A.3a is | ||
"No" and your response to Q3A.3b is "No". | ||
3A.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 Q3A.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. | ||
+ See chapter 19 for defined terms | Page 4 |
31 January 2020 |
This appendix is notavailable as an online form | Appendix 3G |
Please fill in and submit as a PDF announcement | Notification of issue, conversion or |
payment up of equity +securities |
Part 3B - number and type of +securities being issued (new class)
Answer the questions in this part if your response to Q2.3 is "new class".
Question | Question | Answer |
No. | ||
3B.1 | *Security description | |
3B.2 | *Security type | ☐Ordinary fully or partly paid shares/units |
Select one item from the list that best describes the | ☐Options | |
securities the subject of this form. This will determine | ||
more detailed questions to be asked about the security | ☐+Convertible debt securities | |
later in this section. Select "ordinary fully or partly paid | ☐Non-convertible +debt securities | |
shares/units" for stapled securities or CDIs. For interest | ||
rate securities, please select the appropriate choice | ☐Redeemable preference shares/units | |
from either "Convertible debt securities" or "Non- | ||
convertible debt securities". Select "Other" for | ☐Other | |
performance shares/units and performance | ||
options/rights or if the selections available in the list do | ||
not appropriately describe the security being issued. | ||
3B.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. | ||
3B.4 | *Number of +securities being issued | |
3B.5a | *Will all the +securities issued in this class | |
rank equally in all respects from the issue | ||
date? | ||
3B.5b | *Is the actual date from which the | |
+securities will rank equally (non-ranking | ||
end date) known? | ||
Answer this question if your response to Q3B.5a is | ||
"No". | ||
3B.5c | *Provide the actual non-ranking end date | |
Answer this question if your response to Q3B.5a is | ||
"No" and your response to Q3B.5b is "Yes". | ||
3B.5d | *Provide the estimated non-ranking end | |
period | ||
Answer this question if your response to Q3B.5a is | ||
"No" and your response to Q3B.5b is "No". | ||
3B.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 Q3B.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. | ||
+ See chapter 19 for defined terms | Page 5 |
31 January 2020 |
This appendix is notavailable as an online form | Appendix 3G |
Please fill in and submit as a PDF announcement | Notification of issue, conversion or |
payment up of equity +securities |
3B.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.
3B.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.
3B.8aOrdinary 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.
*Will there be CDIs issued over the +securities?
*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).
*Is it a partly paid class of +security?
*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).
*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.
3B.8bOption 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.
+ See chapter 19 for defined terms | Page 6 |
31 January 2020 |
This appendix is notavailable as an online form | Appendix 3G | |||
Please fill in and submit as a PDF announcement | Notification of issue, conversion or | |||
payment up of equity +securities | ||||
*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). | ||||
*Expiry date | ||||
The date on which the options expire or terminate. | ||||
*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)". | ||||
3B.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 | ☐Simple corporate bond | |||
Select one item from the list | ☐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. | ||||
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). | ||||
*Interest rate type | ☐Fixed rate | |||
Select one item from the list | ☐Floating rate | |||
Select the appropriate interest rate type per the terms | ☐Indexed rate | |||
of the security. Definitions for each type are provided | ||||
in the Guide to the Naming Conventions and Security | ☐Variable rate | |||
Descriptions for ASX Quoted Debt and Hybrid | ||||
Securities | ☐Zero coupon/no interest | |||
☐Other | ||||
Frequency of coupon/interest payments | ☐Monthly | |||
per year | ☐Quarterly | |||
Select one item from the list. | ||||
☐Semi-annual | ||||
☐Annual | ||||
☐No coupon/interest payments | ||||
☐Other | ||||
+ See chapter 19 for defined terms | Page 7 |
31 January 2020 |
This appendix is notavailable as an online form | Appendix 3G | |||
Please fill in and submit as a PDF announcement | Notification of issue, conversion or | |||
payment up of equity +securities | ||||
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 | ||||
Interest rate per annum | ||||
Answer this question if the interest rate type is fixed. | ||||
*Is the interest rate per annum estimated | ||||
at this time? | ||||
Answer this question if the interest rate type is fixed. | ||||
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. | ||||
*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 | ||||
*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". | ||||
*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. | ||||
*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". | ||||
*S128F of the Income Tax Assessment Act | ☐s128F exempt | |||
status applicable to the +security | ☐Not s128F exempt | |||
Select one item from the list | ||||
☐s128F exemption status unknown | ||||
For financial products which are likely to give rise to a | ||||
payment to which s128F of the Income Tax | ☐Not applicable | |||
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 | ||||
*Is the +security perpetual (i.e. no maturity | ||||
date)? | ||||
*Maturity date | ||||
Answer this question if the security is not perpetual | ||||
+ See chapter 19 for defined terms | Page 8 |
31 January 2020 |
This appendix is notavailable as an online form | Appendix 3G | |||
Please fill in and submit as a PDF announcement | Notification of issue, conversion or | |||
payment up of equity +securities | ||||
*Select other features applicable to the | ☐Simple | |||
+security | ☐Subordinated | |||
Up to 4 features can be selected. Further information | ||||
is available in the Guide to the Naming Conventions | ☐Secured | |||
and Security Descriptions for ASX Quoted Debt and | ☐Converting | |||
Hybrid Securities. | ||||
☐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)? | ||||
*If yes, what is the first trigger date | ||||
Answer this question if your response to the previous | ||||
question is "Yes". | ||||
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)". | ||||
Part 4 - Issue details |
Question | Question | Answer |
No. | ||
4.1 | *Have the +securities been issued yet? | Yes |
4.1a | *What was their date of issue? | 22 October 2020 |
Answer this question if your response to Q4.1 is | ||
"Yes". | ||
4.1b | *What is their proposed date of issue? | |
Answer this question if your response to Q4.1 is "No". | ||
4.2 | *Are the +securities being issued for a | No |
cash consideration? | ||
If the securities are being issued for nil cash | ||
consideration, answer this question "No". | ||
+ See chapter 19 for defined terms | Page 9 |
31 January 2020 |
This appendix is notavailable as an online form | Appendix 3G | ||
Please fill in and submit as a PDF announcement | Notification of issue, conversion or | ||
payment up of equity +securities | |||
4.2a | *In what currency is the cash consideration | ||
being paid | |||
For example, if the consideration is being paid in | |||
Australian Dollars, state AUD. | |||
Answer this question if your response to Q4.2 is | |||
"Yes". | |||
4.2b | *What is the issue price per +security | ||
Answer this question if your response to Q4.2 is "Yes" | |||
and by reference to the issue currency provided in | |||
your response to Q4.2a. | |||
Note: you cannot enter a nil amount here. If the | |||
securities are being issued for nil cash consideration, | |||
answer Q4.2 as "No" and complete Q4.2c. | |||
4.2c | Please describe the consideration being | Performance Awards are being issued at no | |
provided for the +securities | cost under Transurban Group's Long Term | ||
Answer this question if your response to Q4.2 is "No". | Incentive Plan. | ||
4.3 | Any other information the entity wishes to | ||
provide about the issue |
Part 5 - Unquoted +securities on issue
Following the issue of the +securities the subject of this application, the unquoted issued +securities of the entity will comprise:
Note: the figures provided in the table in section 5.1 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 unquoted securities issued by the entity.
Restricted securities should be included in table 5.1.
5.1
*ASX security code and description | *Total number of +securities on issue |
Performance Awards (ASX code: TCLAA) | 3,008,787 |
+ See chapter 19 for defined terms | Page 10 |
31 January 2020 |
This appendix is notavailable as an online form | Appendix 3G |
Please fill in and submit as a PDF announcement | Notification of issue, conversion or |
payment up of equity +securities |
Part 6 - 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 an +employee incentive scheme that are not being immediately quoted on ASX"; or
- your response to Q2.1 is "Other"
Question | Question | Answer |
No. | ||
6.1 | *Are the securities being issued under | No |
Listing Rule 7.2 exception 131and therefore | ||
the issue does not need any security holder | ||
approval under Listing Rule 7.1? | ||
Answer this question if your response to Q2.1 is | ||
"securities issued under an employee incentive | ||
scheme that are not being immediately quoted on | ||
ASX". | ||
6.2 | *Has the entity obtained, or is it obtaining, | No |
+security holder approval for the issue | ||
under listing rule 7.1? | ||
Answer this question if the response to Q6.1 is "No". | ||
6.2a | *Date of meeting or proposed meeting to | |
approve the issue under listing rule 7.1 | ||
Answer this question if the response to Q6.1 is "No" | ||
and the response to Q6.2 is "Yes". | ||
6.2b | *Are any of the +securities being issued | Yes |
without +security holder approval using the | ||
entity's 15% placement capacity under | ||
listing rule 7.1? | ||
Answer this question if the response to Q6.1 is "No" | ||
and the response to Q6.2 is "No". | ||
1Exception 13An issue of securities under an employee incentive scheme if within 3 years before the issue date:
- in the case of a scheme established before the entity was listed - a summary of the terms of the scheme and the maximum number of equity securities proposed to be issued under the scheme were set out in the prospectus, PDS or information memorandum lodged with ASX under rule 1.1 condition 3; or
- the holders of the entity's ordinary securities have approved the issue of equity securities under the scheme as an exception to this rule. The notice of meeting must have included:
- a summary of the terms of the scheme.
- the number of securities issued under the scheme since the entity was listed or the date of the last approval under this rule;
- the maximum number of +equity securities proposed to be issued under the scheme following the approval; and
- a voting exclusion statement.
Exception 13 is only available if and to the extent that the number of +equity securities issued under the scheme does not exceed the maximum number set out in the entity's prospectus, PDS or information memorandum (in the case of (a) above) or in the notice of meeting (in the case of (b) above).
Exception 13 ceases to be available if there is a material change to the terms of the scheme from those set out in the entity's prospectus, PDS or information memorandum (in the case of (a) above) or in the notice of meeting (in the case of (b) above).
+ See chapter 19 for defined terms | Page 11 |
31 January 2020 |
This appendix is notavailable as an online form | Appendix 3G | ||
Please fill in and submit as a PDF announcement | Notification of issue, conversion or | ||
payment up of equity +securities | |||
6.2b.1 | *How many +securities are being issued | 680,274 Performance Awards are being | |
without +security holder approval using the | issued using Transurban Group's 15% | ||
entity's 15% placement capacity under | placement capacity under Listing Rule 7.1. | ||
listing rule 7.1? | 254,594 Performance Awards were granted | ||
Answer this question if the response to Q6.1 is "No", | to the CEO, with the approval of security | ||
the response to Q6.2 is "No" and the response to | holders at the 2020 AGM under Listing Rule | ||
Q6.2b is "Yes". | 10.14 and are not included in the 15% | ||
Please complete and separately send by email to your | |||
placement capacity. | |||
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. | |||
6.2c | *Are any of the +securities being issued | No | |
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 Q6.1 is "No" | |||
and the response to Q6.2 is "No". | |||
6.2c.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 Q6.1 is "No", | |||
the response to Q6.2 is "No" and the response to | |||
Q6.2c 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. | |||
Introduced 01/12/19; amended 31/01/20
+ See chapter 19 for defined terms | Page 12 |
31 January 2020 |
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Transurban Group Ltd. published this content on 26 October 2020 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 26 October 2020 08:54:04 UTC