This appendix is not available 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 | Clinuvel Pharmaceuticals 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: 88 089 644 119 |
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 | CUV |
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 | 24 December 2020 |
+ See chapter 19 for defined terms | Page 1 |
31 January 2020 |
This appendix is not available 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 not available 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 | 132,500 unlisted performance rights over | ||||||
+securities (including their ASX security | ordinary shares of Clinuvel Pharmaceuticals | |||||||
code) issued under an +employee | Ltd (CUVAK) granted under the Clinuvel | |||||||
incentive scheme that are not being | Pharmaceuticals Ltd Performance Rights | |||||||
immediately quoted on ASX | 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.2 | *Please attach a document or provide | Each Performance Right has a nil exercise | ||||||
details of a URL link for a document lodged | price and an expiry date of 20 November | |||||||
with ASX detailing the terms of the | 2023. Each Performance Right entitles the | |||||||
+employee incentive scheme or a | holder to receive one fully paid ordinary | |||||||
summary of the terms. | share in Clinuvel, subject to achieving | |||||||
Answer this question if your response to Q2.1 is | certain performance- and time-based | |||||||
"securities issued under an employee incentive | vesting conditions. See attached summary | |||||||
scheme that are not being immediately quoted on | of the Clinuvel Pharmaceuticals Ltd | |||||||
ASX". | Performance Rights Plan. | |||||||
2.2c.3 | *Are any of these +securities being issued | No | ||||||
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 | ||||||
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: | ||||||||
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". | ||||||||
+ See chapter 19 for defined terms | Page 3 |
31 January 2020 |
This appendix is not available 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 | |||
2.3 | *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 | CUVAK, Performance Rights, each right |
being an entitlement to receive one fully | ||
paid ordinary share in Clinuvel | ||
Pharmaceuticals Ltd, subject to | ||
achieving certain vesting conditions | ||
3A.2 | *Number of +securities being issued | 132,500 |
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 |
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Clinuvel Pharmaceuticals Limited published this content on 24 December 2020 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 24 December 2020 04:24:02 UTC