Information or documents not available now must be given to ASX as soon as available. lnformation and documents given to ASX become ASX's property and may be made public.
l ntroduced 1l7l96. Origin: Appendi x 5· Amendcd •l7l98, •19199. • f1l 20oo,JOI9I2001, n iJI20oz, •Mzoo3, z41lolzoos.
Name of entity
IGuinness Peat Group plc
ABN
Incorporated and registered in England and Wales with registered number 103548
We (the entity) give ASX the following information.
Part 1 ·Ali issuesYou must complete the relevant sections (attach sheets ifthere is not enoug h space).
+CJass of +securities issued or to be issued
Chess Depository Interests (CDis) issued over ordinary shares
2 Number of +securities issued or to be issued (if known} or maximum number which may be issued
At 30 November 2012: 207,751,171 CDis on
ISSUe
*Net transfers: -8,497,817
At 31 December 2012: 199,253,354 CDis on
ISSUe
*Transfers between CDis and ordinary shares listed on the London Stock Exchange (LSE) and/or the New Zealand Stock Exchange (NZX)
3 Principal terms of the +securities See Item 1above. (eg, if options, exercise price and
ex piry date; if partly paid
+securities, the amount outstanding and due dates for payment; if +convertible securities, the conversio n price and dates for conversion)
4 Do the +securities rank equally in Yes. all respects from the date of allotment with an existing +ciass
of quoted +securities?
If the additional securities do not rank equally, please state:
• the date from which they do
• the extent to which they participate for the next dividend, (in the case of a trust, distribution) or interest payment
• the extent to which they do not rank equally, other than in relation to the next dividend,
distribution payment
or interest
5 Issue price or consideration
6 Purpose of the issue
(If issued as consideration for the acquisition of assets, clearly identify those assets)
7 Dates of entering +securities into uncertificated holdings or despatch of certificates
8 Number and +ciass of ali
+securities quoted on ASX (including the sec urities in clause 2 if applicable)
l No applicable
Transfers between CDis and ordinary shares listed on the LSE and/or the NZX.
See item 2 above.
+ See chapter 19 for defìned terms. Appendix 38 Page 2
9 Number and +ciass of all
+securities not quoted on ASX
(including the securities in clause 2 if applicable)
10 Dividend policy (in the case of a Same as for other issued ordinary shares. trust, distribution policy) on the
increased capitai (interests)
Part 2 · Bonus issue or pro rata issue
li Js security
holder
required? approvai ._I_N_I_A _.
12. Is the issue renounceable or non-NlA
renounceable? .L-----------------------------------
13 Ratio in which the +securities l NlA
will be offered
L. -----------------------------------
14 +ctass of +securities to which the l N lA
offer relates '------------------------------------
+Record date to
entitlements determine ._I_N/__A--------------------------------
Wili holdings on different l N lA registers (or subregisters) be aggregated for calculating
entitlements? L-----------------------------------
Policy for deciding entitlements l N/A
in relation to fractions .L-----------------------------------
18 Names of countries in which the N/A
entity has +security holders who
will not be sent new issue documents
Not e: Secu r ity holders must be told how their entitlemen ts are to be dealt with.
Cross reference: rule 7-7·
Closing date for receipt acceptances or renunciations
20 Names of any underwriters
of l N/A
l N/A
21 Amount ?f.any underwriting fee l N/A
Or COffiffi1SS10n .L-----------------------------------
22 Names of any brokers to the l N/A
issue .L-----------------------------------
23 Fee or commission payable to the l N/A
broker to the issue .L-----------------------------------
Amount of any handling fee l N/A
payable to brokers who lodge
acceptances or renunciations on
behalf of +security holders .L-----------------------------------
If the issue is contingent on l N/A
+security holders' approvai, the
date of the meeting L-----------------------------------
Date entitlement and acceptance l N 1A
form a nd prospect us or Product
Disclosure Statement will be sent
to persons entitled L-----------------------------------
27 If the entity has issued options, N/A
and the terms entitle option holders to participate on exercise, the date on which notices will be sent to option holders
Date rights trading will begin (if l N/A
applicable)
·'- J
Date rights trading wili end ( if l N l A
applicable) '-· J
30 How do +security holders sei! l N/A
their entitlements in full through
a broker? '------------------------------------
31 How do +security holders sei! l N lA
part of their entitlements
through a broker and accept for
the bala nce? L-----------------------------------
32 How do +security holders dispose l N/A
of their entitlements (except by
sale through a broker)? L-----------------------------------
+ See chapter 19 for defined terms. Appendix 38 Page 4
33 +oespatch date l N/A
Part 3 · Quotation of securitiesYou need only com plete this section ifyou are applying for quotation of securities
34 Type of securities
(tick one)
(a) Securities described in Part 1
(b) Ali ot her securities
Example: restricted securities at the end of the escrowed period, partly paid sec urities that become fu lly paid, employee incentive share sec urities when restriction en ds, securities issu ed on expiry or con version of convertible securities
Entities that have ticked box 34(a)
Additional securities forming a new class of securities
Tick to indicate you are providing the information or documents
35 If the +securities are +equity secu rities, the names of the 20 largest holders of the additional +securities, and the number and percentage of additional +securities
held by those holders
If the +securities are +equity securities, a distribution schedule of the additional
+securities setting out the number of holders in the categories
l - 1,000
1,001 - s.ooo s,oOl - 10,000
10,001 - 100,000
100,001and over
37 D A copy of any trust deed for the additional +securities
Entities that have ticked box 34(b)
Number of securities for
+quotation is sought
which I.N_/A-------------------'
39 Class of +securities for quotation is sought
which .l_-N/-A _,
40 Do the +securities rank equally in N/A ali respects from the date of allotment with an existing +cJass
of quoted +securities?
If the additional securities do not rank equally, please state:
• the date from which they do
• the extent to which they participate for the next dividend, (in the case of a trust, distribution) or interest payment
• the extent to which they do not rank equally, other than in relation to the next dividend, distribution or interest payment
41 Reason for request for quotation N/A
now
Example: In the case of restricted sec urities, end of restriction period
(if issued upon conversion of another security, clearly identify that other security)
42 Number and +ciass of ali
+securities quoted on ASX
(including the securities in clause
38)
+ See chapter 19 for defìned terms. Appendix 3B Page 6
Quotation agreement
1 +Quotation of our additional +securities is in ASX's absolute discretion. ASX
may quote the +securities on any conditions it decides.
2 We warrant the following to ASX.
• The issue of the +securities to be quoted complies with the law and is not for an illegal purpose.
• There is no reason why those +securities should not be granted
+quotation.
• An offer of the +securities for sale within 12 months after their issue will not require disclosure under section 707(3) or section 1012C(6) of the Corporations Act.
Note: An cntity may need to obtain appropriate warrantics from subscr ibcrs for the securities i n order to be able t o give this wa rranty
• Section 724 or section 1016E of the Corporations Act does not apply to any applications received by us in relation to any +securities to be quoted and that no-one has any right to return any +securities to be quoted under sections 737, 738 or 1016F of the Corporations Actat the time that we request that the +securities be quoted.
• If we are a trust, we warrant that no person has the right to return the
+securities to be quoted under section 1019B of the Corporations Actat the time that we request that the +securities be quoted.
3 We will indemnify ASX to the fullest extent permitted by law in respect of any claim, action or expense arising from or connected with any breach of the warranties in this agreement.
4 We give ASX the information and documents required by this form. If any information or document not available now, will give it to ASX before
+quotation of the +securities begins. We acknowledge that ASX is relying on the information and documents. We warrant that they are (will be) true and complete.
Sign here: Date: 3 January 2013 (Deputy Secretary)
Print name: Richard Russell
== == == == ==
+ See chapter 19 for defined terms. Appendix 3B Page 7
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