Anteris Technologies : Appendix 3G

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	ANTERIS TECHNOLOGIES LTD
	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	ABN 35 088 221 078
	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	AVR
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	N/a
	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	N/a
	update
	Mandatory only if "Update" ticked in Q1.4 above.
1.4c	*Reason for cancellation	N/a
	Mandatory only if "Cancellation" ticked in Q1.4 above.
1.4d	*Date of previous announcement to this	N/a
	cancellation
	Mandatory only if "Cancellation" ticked in Q1.4 above.
1.5	*Date of this announcement	24 December 2021

+ See chapter 19 for defined terms	Page 1
5 June 2021

For personal use only

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

Question	Question	Answer
No.
2.1	*The +securities the subject of this	☒ +Securities issued as part of a
	notification are:	transaction or transactions previously
	Select whichever item is applicable.	announced to the market in an Appendix
	If you wish to notify ASX of different events involving	3B that are not quoted, and are not
	unquoted securities, please complete a separate	intended to be quoted, on ASX
	Appendix 3G for each event.	☐ +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:
2.1a	*Date the +securities the subject of this	21 December 2021
	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	27 October 2021
	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	Page 2
5 June 2021

		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		No
			yet to take place to complete the
only			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".
		2.2a.2.1	*Please provide details of the further		No
			issues of +securities yet to take place to
			complete the transaction(s) referred to in
use			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.
		2.2b.1	Date of Appendix 3A.1 lodged with ASX in		N/a
personal			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
For			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	Page 3
5 June 2021

		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
only			(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
use			quoted on ASX".
	2.2c.4	The right of the holder of the options or		N/a
		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
personal			a result of the exercise or conversion either are
		already quoted on ASX or are not intended to be
		quoted on ASX".
	2.2c.5	The underlying securities being received		N/a
			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".
		2.2c.6	The underlying securities being received		N/a
			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".
		2.2c.7	*Were the options being exercised or other		N/a
			+convertible securities being converted
			issued under an +employee incentive
			scheme?
For			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	Page 4
5 June 2021

		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
only			converted held by +key management
		personnel (KMP) or an +associate?
		"Yes".
			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
use
	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".
personal			N/a
	2.2d.3	Has the call or instalment been paid on all		N/a
		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.
For			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?
	2.2e.1	Please state the number and type of		N/a
		+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".

+ See chapter 19 for defined terms	Page 5
5 June 2021