Auctus Investment : Return of Capital - AVC

For personal use only

This appendix is available as an online formAppendix 3A.4 Notification of cash return of capital

+Rule 3.10.1, 3.20.4, 7.18-7.24, 15.3, Appendix 7A section 8

Appendix 3A.4

Notification of cash return of capital

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.

Please note that two or more corporate actions on the same +security may not run with different record dates if the timetables result in overlapping (but not identical) ex-periods. It is permissible to run different corporate actions with the same record date except in the case of consolidations or splits which cannot run at the same time as any other corporate action for that entity.

*Denotes minimum information required for first lodgement of this form.

**Denotes information that must be provided on or before +business day 0 of the relevant Appendix 6A or Appendix 7A timetable.

The balance of the information, where applicable, must be provided as soon as reasonably practicable by the entity.

If a cash special dividend is paid at the same time as the return of capital the entity must also lodge Appendix 3A.1 - notification of dividend / distribution.

Part 1 - Entity and announcement details

	Question	Question		Answer
	no
	1.1	*Name of entity		Auctus Investment Group Limited
	1.2	*Registration type and number		ABN 76 149 278 759
		One of ABN/ARSN/ARBN/ACN or other registration
		type and number (if "other" please specify what type
		of registration number has been provided).
	1.3	*ASX issuer code		AVC
	1.4	*The announcement is		X	New announcement
		Tick whichever is applicable.			Update/amendment to previous
					announcement
				Cancellation of 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.
		If information has previously been provided in Part 3D
		of the form "Preference +security distribution rate
		details" please also confirm whether the rate changes
		remain in place for the +security or are also cancelled.
	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		6 June 2022
	+ See chapter 19 for defined terms
	1 December 2019		Page 1

For personal use only

	This appendix is available as an online form	Appendix 3A.4
			Notification of cash return of capital
		The date of lodgement of the form by the entity via
		ASX Online.
	1.6	*Applicable ASX +security code and	ASX +security code: AVC
		description for cash return of capital	+Security description: ORDINARY FULLY
		Please select the +security to which the notification	PAID
		applies. Only one +security can be selected for each
		form. Consequent changes to option pricing are
		covered in later parts of this form.

Part 2 - Approvals

Question	Question	Answer
No.
2.1	*Are any of the below approvals required	YES
	for the cash return of capital before
	business day 0 of the timetable?
	•	+Security holder approval
	•	Court approval
	• Lodgement of court order with +ASIC
	•	ACCC approval
	•	FIRB approval;
	• Another approval/condition external to
		the entity required to be given/met
		before business day 0 of the timetable
		for the cash return of capital.
	If any of the above approvals apply to the cash return
	of capital before business day 0 of the timetable,
	please answer 'yes' and provide details at Q2.1a. If
	"no" go to Q2.2.
	The purpose of the question is to confirm that relevant
	approvals are received prior to ASX establishing an
	ex market in the +securities. If the entity wishes to
	disclose approvals or conditions which are to be
	resolved at a later date it should use Part 5 "Further
	information".
2.1a	Approvals

Select appropriate approval from drop down box as applicable. More than one approval can be selected. This question refers only to events which take place before business day 0 of the timetable. The purpose of the question is to confirm that relevant approvals are received prior to ASX establishing an ex market in the +securities. The "Date for determination" is the date that you expect to know if the approval is given for example the date of the +security holder meeting in the case of +security holder approval or the date of the court hearing in the case of court approval. If the entity wishes to disclose approvals or conditions which are to be resolved at a later date it should use Part 5 "Further information". Please note that Listing Rules 7.19.1-7.19.3 set time limits for the notification of court approval, the proposed date for lodgement of court order with a regulatory authority and confirmation that the court order has been lodged with the regulatory authority.

	*Approval/	*Date for	*Is the date	**Approval	Comments
	condition	determination	estimated or	received/
			actual?	condition
				met?
				Only answer this
				question when
				you know the
				outcome of the
				approval -
				please advise
				on or before
				+business day 0
				of the relevant
				Appendix 6A or
				Appendix 7A
	+ See chapter 19 for defined terms
	1 December 2019				Page 2

For personal use only

	This appendix is available as an online form		Appendix 3A.4
						Notification of cash return of capital
						timetable.
	+Security holder	21 July 2022	X Estimated	Yes
	approval
			OR	No
				Actual
	Court approval		Estimated	Yes
				OR	No
				Actual
	Lodgement of		Estimated	Yes
	court order with
		OR	No
	+ASIC
				Actual
	ACCC approval		Estimated	Yes
				OR	No
				Actual
	FIRB approval		Estimated	Yes
				OR	No
				Actual
	Other (please		Estimated	Yes
	specify in
			OR	No
	comment section)
				Actual
	2.2	*Is the cash return of capital a selective		No
		reduction of capital
		If "yes" please answer Q2.2a and 2.2b, if "no" go to
		Part 3.
	2.2a	*Date of lodgement of +security holder		21 June 2022
		resolution approving the cash return of
		capital with +ASIC
		Please provide the estimated or actual date of
		lodgement of +security holder resolution approving the
		cash return of capital with +ASIC. If estimated date is
		provided please provide the actual date by way of an
		update to this form when the resolution has been
		lodged with +ASIC.
	2.2b	*Date that is fourteen days after date of		5 July 2022
		lodgement of +security holder resolution
		approving the capital return with +ASIC

Amended 29/06/15

+ See chapter 19 for defined terms
1 December 2019	Page 3

		This appendix is available as an online form	Appendix 3A.4
				Notification of cash return of capital
		Part 3 - cash return of capital timetable and details
only		Question	Question	Answer
	No.
	3.1	*+Record date	26 July 2022
		Per Appendix 7A, section 8 the +record date is
		+business day 3 in the timetable. This is three
		+business days after the effective date (Q3.1a).
		This is the last day for the entity to register transfers
		on a pre return of capital basis and the date on which
		the register is closed to determine entitlements to the
		cash return of capital.
		The +record date must be at least four +business days
use			from the current date.
		Please note that the +record date and the date that
			trading in the re-organised +securities on an "ex
			return of capital" basis commences (Q3.3) cannot be
			changed (even to postpone it or cancel it) any later
			than 12 noon Sydney time on the day before the
			previously advised date that trading in the re-
			organised +securities on an "ex return of capital"
			basis commences (Q3.3)..
		3.1a	Effective date of the cash return of capital	21 July 2022
personal			Per Appendix 7A, section 8 the effective date is
		+business day 0 in the timetable and is 3 +business
			days before the +record date.
			In the case of an equal reduction, this is the day after
			the resolution approving the cash return of capital and
			in the case of a selective reduction, 14 days after the
			date of lodgement of a copy of the resolution
			approving the cash return of capital with ASIC under
			section 256C(3) of the Corporations Act.
		3.2	*Does the entity have quoted options on	No
			issue
			If the answer is Yes, answer 3.4a, 3.5a & b
		3.2a	Last day for trading in "cum return of	N/A
			capital" +securities. If the entity has quoted
			options, last day for trading in pre-return of
			capital quoted options.
			Per Appendix 7A, section 8 this is +business day 1 in
			the timetable and one +business day after the
			effective date.
For			The last day for trading in pre return of capital quoted
		options only applies if the entity has quoted options in
		which case the exercise price will change and new
			holding statements will be issued to option holders.
		3.3	*Trading in the re-organised+securities on	25 July 2022
			an "ex return of capital" basis commences.
			If the entity has quoted options and ASX
			agrees, trading in the quoted options
			commences on a +deferred settlement
			basis.
			If the entity's +securities are suspended from trading
			during this period there will be no +deferred
			settlement trading however ASX still captures this
			date.
			Per Appendix 7A, section 8 this is +business day 2 in
			the timetable and the second +business day after the
			effective date.
		+ See chapter 19 for defined terms
		1 December 2019	Page 4

		This appendix is available as an online form	Appendix 3A.4
				Notification of cash return of capital
			Please note that the +record date and the date that
			trading in the re-organised +securities on an "ex
			return of capital" basis commences cannot be
			changed (even to postpone it or cancel it) any later
only			than 12 noon Sydney time on the day before the
		previously advised last day for trading in "cum return
		of capital" +securities (Q3.2a).
		3.4	+Record date	26 July 2022
			Same as Q3.1 above.
		3.4a	If the entity has quoted options, first day for	N/A
			the +entity to send holding statements to
			+security holders notifying them of the
			change in exercise price for the quoted
use			options they hold.
		This date only applies if the entity has quoted options.
			Per Appendix 7A, section 8 this is +business day 4 in
			the timetable and one +business day after the record
			date.
		3.5	* Payment date for cash return of capital.	2 August 2022
			If applicable and the +entity has quoted
			options, +deferred settlement market in
personal			options ends. Last day for entity to send
		holding statements to +security holders
		notifying them of the change in exercise
			price for the quoted options they hold and
			to notify ASX that this has occurred.
			Per Appendix 7A, section 8 this is +business day 8 in
			the timetable and five +business days after the
			+record date.
			Please note that the payment date cannot be
			changed (even to postpone it or cancel it) any later
			than 12 noon Sydney time on the day of the previous
			payment date advised.
		3.5a	If the entity has quoted options, trading in	N/A
			the options starts on a normal T+2 basis
			Per Appendix 7A, section 8 this is +business day 9 in
			the timetable. This date is six +business days after the
			+record date and is the +business day after the
			payment date.
		3.5b	If the entity has quoted options, first	N/A
For			settlement of trades conducted on a
		+deferred settlement basis and on a normal
		T+2 basis
		Per Appendix 7A, section 8 this is +business day 11 in
		the timetable. This date is eight +business days after
		the +record date and two +business days after T+2
		trading starts.
	3.6	*Currency in which the cash return of	AUD
		capital is made
			This currency will be the currency in which all other
			fields relating to the return of capital will appear. This
			is referred to as the "primary currency".
		3.7	*Cash return of capital amount per	$0.05 (5 cents)
			+security
			Please provide the amount of the cash return of
			capital in the primary currency. If the currency is not
			AUD please answer 3.7a - 3.7c.
		+ See chapter 19 for defined terms
		1 December 2019	Page 5