Kaizen Global Investments : Application for quotation of additional securities

www.nsxa.com.au

ABN: 11 000 902 063

Application for Quotation of Additional Securities

File Reference:

I:IssuersFormswebsite formsdocuments 2016issuersNSX Quotation of Additional Securities.doc

Table of Contents

INTRODUCTION ..................................................................................................................... 2

NEW ISSUE ANNOUNCEMENT, APPLICATION FOR QUOTATION OF ADDITIONAL

SECURITIES AND AGREEMENT .......................................................................................... 3

PART 1 - ALL ISSUES ........................................................................................................... 3

PART 2 - BONUS ISSUE OR PRO RATA ISSUE ................................................................ 5

PART 3 - QUOTATION OF SECURITIES .............................................................................. 7

ADDITIONAL SECURITIES FORMING A NEW CLASS OF SECURITIES .............................................. 7

QUOTATION AGREEMENT ................................................................................................... 9

Introduction

To ensure the efficient processing of this form by NSX, please:

• 1. Adhere to the suggested number of the annexures required by this form.

• 2. Complete all statements and questions in this form. (NSX can provide an electronic version of this form on request).

New issue announcement, application for quotation of additional securities and agreement

Information or documents not available now must be given to NSX as soon as available. Information and documents given to NSX become NSX's property and may be made public.

Introduced 11 March 2004. Revised 7 March 2016.

Name of entity

KAIZEN GLOBAL INVESTMENTS LTD

ABN/ACN

ACN 137 114 160

We (the entity) give NSX the following information.

Part 1 - All issues

You must complete the relevant sections (attach sheets if there is not enough space).

• 1 Class of securities issued or to be issued

  ORDINARY

• 2 Number of securities issued or to be issued (if known) or maximum number which may be issued

  503,067

• 3 Principal terms of the securities (eg, if options, exercise price and expiry date; if partly paid securities, the amount outstanding and due dates for payment; if convertible securities, the conversion price and dates for conversion)

  Fully paid ordinary shares

• 4 Do the securities rank equally in all respects from the date of allotment with an existing class 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

• 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 class of all securities quoted on NSX (including the securities in clause 2 if applicable)

• 9 Number and class of all securities not quoted on NSX (including the securities in clause 2 if applicable)

• 10 Dividend policy (in the case of a trust, distribution policy) on the increased capital (interests)

Capital raise for investment purposes

Number	Class
3,503,067	Fully paid ordinary

Number	Class

Yes

Part 2 - Bonus issue or pro rata issue

• 11 Is security holder approval required?

• 12 Is the issue renounceable or non-renounceable?

• 13 Ratio in which the securities will be offered

• 14 Class of securities to which the offer relates

• 15 Record date to determine entitlements

• 16 Will holdings on different registers (or subregisters) be aggregated for calculating entitlements?

• 17 Policy for deciding entitlements in relation to fractions

• 18 Names of countries in which the entity has security holders who will not be sent new issue documents

  Note: Security holders must be told how their

  entitlements are to be dealt with.

• 19 Closing date for receipt of acceptances or renunciations

• 20 Names of any underwriters

• 21 Amount of any underwriting fee or commission

• 22 Names of any brokers to the issue

• 23 Fee or commission payable to the broker to the issue

• 24 Amount of any handling fee payable to brokers who lodge acceptances or renunciations on behalf of security holders