Appen : Notification regarding unquoted securities - APX

Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

Announcement Summary

For personal use only

Entity name

APPEN LIMITED

Date of this announcement

Friday June 03, 2022

The +securities the subject of this notification are:

+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

Total number of +securities to be issued/transferred

		Total number of
ASX +security		+securities to be
code	Security description	issued/transferred	Issue date
APXAB	PERFORMANCE RIGHTS	514,866	27/05/2022

Refer to next page for full details of the announcement

Notification of Issue, Conversion or Payment up of Unquoted

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Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

Part 1 - Entity and announcement details

For personal use only

1.1 Name of entity

APPEN LIMITED

We (the entity named above) give notice of the issue, conversion or payment up of the following unquoted +securities.

1.2	Registered number type	Registration number
ABN	60138878298
1.3	ASX issuer code
APX

1. The announcement is New announcement
2. Date of this announcement

3/6/2022

Notification of Issue, Conversion or Payment up of Unquoted

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Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

Part 2 - Issue details

For personal use only

2.1 The +securities the subject of this notification are:

+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

2.2a This notification is given in relation to an issue of +securities in a class which is not quoted on ASX and which:

has an existing ASX security code ("existing class")

Notification of Issue, Conversion or Payment up of Unquoted

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Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

Part 3B - number and type of +securities the subject of this notification (existing class) where issue has not previously been notified to

ASX in an Appendix 3B

For personal use only

Additional +securities in an existing class issued under an +employee incentive scheme

ASX +security code and description

APXAB : PERFORMANCE RIGHTS

Date the +securities the subject of this notification were issued

27/5/2022

Will these +securities rank equally in all respects from their issue date with the existing issued +securities in that class

No

If some of the issued +securities do not rank equally:

Is the actual date from which the +securities will rank equally (non-ranking end date) known?

No

Provide the estimated non-ranking end period

The performance rights to which this Notice relates rank equally in all respects to existing performance rights on issue under the code APXAB with the exception of differing exercise prices and expiry dates.

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

The performance rights to which this Notice relates rank equally in all respects to existing performance rights on issue under the code APXAB with the exception of differing exercise prices and expiry dates. Unlisted performance rights are not entitled to participate in dividends until they vest, are exercised and are quoted securities. Upon vesting and being exercised all performance rights will rank equally with existing quoted shares.

Were any of the +securities issued to +key management personnel (KMP) or an +associate? Yes

Provide details of the KMP or +associates being issued +securities.

Name of KMP		Name of registered holder	Number of +securities
			187,500
Mark Brayan		Mark Brayan

Please provide a URL link for a document lodged with ASX detailing the terms of the +employee incentive scheme or a summary of the terms

https://appen.com/investors/corporate-governance/

Any other information the entity wishes to provide about the +securities the subject of this notification

No

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Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

Issue details

Number of +securities

514,866

For personal use only

Notification of Issue, Conversion or Payment up of Unquoted

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