CardieX : Application for quotation of securities - CDX

Application for quotation of +securities

Announcement Summary

For personal use only

Entity name

CARDIEX LIMITED

Announcement Type

New announcement

Date of this announcement

Tuesday December 07, 2021

The +securities to be quoted are:

+Securities issued, transferred or re-classified as a result of options being exercised or other +convertible securities being converted

Total number of +securities to be quoted

ASX +security		Number of +securities to
code	Security description	be quoted	Issue date
CDX	ORDINARY FULLY PAID	20,431,467	30/11/2021

Refer to next page for full details of the announcement

Application for quotation of +securities

1 / 9

Application for quotation of +securities

Part 1 - Entity and announcement details

For personal use only

1.1 Name of entity

CARDIEX LIMITED

We (the entity named above) apply for +quotation of the following +securities and agree to the matters set out in Appendix 2A of the ASX Listing Rules.

1.2	Registered number type	Registration number
ABN	81113252234
1.3	ASX issuer code
CDX

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

7/12/2021

Application for quotation of +securities

2 / 9

Application for quotation of +securities

Part 2 - Type of Issue

For personal use only

2.1 The +securities to be quoted are:

+Securities issued, transferred or re-classified as a result of options being exercised or other +convertible securities being converted

2.2 The +securities to be quoted are:

Additional +securities in a class that is already quoted on ASX ("existing class")

Application for quotation of +securities

3 / 9

Application for quotation of +securities

Part 3B - number and type of +securities to be quoted (existing class) where issue has not previously been notified to ASX in an Appendix 3B

Existing +securities converting into additional +securities in an existing class

FROM (Existing Class)

ASX +security code and description

CDXAJ : PERFORMANCE RIGHTS

TO (Existing Class)

ASX +security code and description

CDX : ORDINARY FULLY PAID

Please state the number of options that were exercised or other +convertible securities that were converted

12,000,000

The first date the options were exercised or other +convertible securities were converted

30/11/2021

The last date the options were exercised or other +convertible securities were converted

30/11/2021

personal use only

Is this all of the options or other +convertible securities on issue of that type (ie have all of those options now been exercised or have all of those convertible securities now been converted)?

No

The right of the holder of the options or other +convertible securities to receive the +underlying securities is being satisfied by:

An issue of new +securities

The underlying securities being received by the holder are:

Intended to be, but are not yet, quoted by ASX

Were the options being exercised or other +convertible securities being converted issued under an +employee incentive scheme?

Yes

Are any of the options being exercised or other +convertible securities being converted held by +key management personnel (KMP) or an +associate?

Yes

Provide details of the KMP or +associates who are exercising options or converting convertible securities

For

Name of KMP		Name of registered holder
Mr Craig Cooper		Mr Craig Cooper
Mr Niall Cairns		Carnethy Investments Pty Ltd

Number of options being exercised or other +convertible securities being converted

6,000,000

6,000,000

Application for quotation of +securities

4 / 9

Application for quotation of +securities

Issue date 30/11/2021

		Will the +securities to be quoted rank equally in all respects from their issue date with the existing issued
only	+securities in that class?
Yes
	Issue details
use	Number of +securities to be quoted
12,000,000
		Are the +securities being issued for a cash consideration?
		No
		Please describe the consideration being provided for the +securities
personal	Performance Rights issues to directors of the Company as part of their remuneration (with shareholder approval) which
have vested and are being converted in accordance with their terms.
Please provide an estimate (in AUD) of the value of the consideration being provided per +security for the
		+securities to be quoted
		0.000000
		Any other information the entity wishes to provide about the +securities to be quoted
		The Company notes that the 12,000,000 Performance Rights which have been converted are:
		8,000,000 Performance Rights (in aggregate) which vested upon a 30 Days VWAP in CDX of over $0.08, and were due to
		expire on or before 30/11/21; and
		4,000,000 Performance Rights (in aggregate) which vested upon a 30 Days VWAP in CDX of over $0.08, and were due to
		expire on or before 06/03/22;
		held by Niall Cairns and Craig Cooper (or their nominees) in equal proportions.
orF	Existing +securities converting into additional +securities in an existing class

FROM (Existing Class)

ASX +security code and description

CDXAL : CONVERTIBLE NOTES

Application for quotation of +securities

5 / 9