This appendix is available as an online form
Only use this form if the online version is not available +Rule 3.10.3A, 3.10.3B, 3.10.3C, 3.10.3D
Appendix 3G
For personal use only
Question no | Question | Answer |
1.1 | *Name of entity We (the entity here named) give notice of the issue, conversion or payment up of the following unquoted +securities. | Magellan Financial Group Ltd |
1.2 | *Registration type and number 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). | ACN 108 437 592 |
1.3 | *ASX issuer code | MFG |
1.4 | *This announcement is Tick whichever is applicable. | ☒ A new announcement ☐ 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. | N/A |
1.4b | *Date of previous announcement to this update Mandatory only if "Update" ticked in Q1.4 above. | N/A |
1.4c | *Reason for cancellation Mandatory only if "Cancellation" ticked in Q1.4 above. | N/A |
1.4d | *Date of previous announcement to this cancellation Mandatory only if "Cancellation" ticked in Q1.4 above. | N/A |
1.5 | *Date of this announcement | 14 April 2022 |
Notification of issue, conversion or payment up of unquoted equity +securities
Note: this form is also used to notify ASX where quoted options have been exercised or other quoted convertible securities have been converted and the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX.
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
+ See chapter 19 for defined terms
5 June 2021
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This appendix is available as an online form
Part 2 - Type of issue
For personal use only
Question No. | Question | Answer |
2.1 | *The +securities the subject of this notification are: Select whichever item is applicable. If you wish to notify ASX of different events involving unquoted securities, please complete a separate Appendix 3G for each event. |
☒ +Other securities issued under an +employee incentive scheme that are not intended to be quoted on ASX ☐ Other [please specify] If you have selected 'other' please explain the circumstances here: |
2.1a | *Date the +securities the subject of this notification were issued Answer this question if your response to Q2.1 is anything other than "Unquoted partly paid securities upon which a call or instalment has been paid". | 14 April 2022 |
2.2a.1 | *Date of Appendix 3B notifying the market of the proposed issue of +securities the subject of this notification Answer this question if your response to Q2.1 is "Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B that are not quoted, and are not intended to be quoted, on ASX." | N/A |
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This appendix is available as an online form
For personal use only
2.2a.2 | *Are there any further issues of +securities yet to take place to complete the transaction(s) referred to in the Appendix 3B? Answer this question if your response to Q2.1 is "Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B that are not quoted, and are not intended to be quoted, on ASX". | N/A |
2.2a.2.1 | *Please provide details of the further issues of +securities yet to take place to complete the transaction(s) referred to in the Appendix 3B Answer this question if your response to Q2.1 is "Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B that are not quoted, and are not intended to be quoted, on ASX" and your response to Q2.2a.2 is "Yes". Please provide details of the proposed dates and number of securities for the further issues. | N/A |
2.2b.1 | Date of Appendix 3A.1 lodged with ASX in relation to the underlying +dividend or distribution Answer this question if your response to Q2.1 is "Being issued under a dividend or distribution plan that are not quoted, and are not intended to be quoted, on ASX". | N/A |
2.2c.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 "Unquoted options that have been exercised or other unquoted convertible securities that have been converted" or "Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX". | N/A |
2.2c.2 | And the date the options were exercised or other +convertible securities were converted: Answer this question if your response to Q2.1 is "Unquoted options that have been exercised or other unquoted convertible securities that have been converted" or "Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended 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. | N/A |
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This appendix is available as an online form
For personal use only
2.2c.3 | 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)? Answer this question if your response to Q2.1 is ""Unquoted options that have been exercised or other unquoted convertible securities that have been converted" or "Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX". | Yes or No Note: If you have answered "No", consider whether you need to lodge an Appendix 3H with ASX notifying ASX of the cessation of some or all of the remaining options or other convertible securities under Listing Rule 3.10.E. This may the case, for example, if options have lapsed because they have passed their expiry date without being exercised, or convertible debt securities have been repaid or redeemed without being converted. N/A |
2.2c.4 | The right of the holder of the options or other +convertible securities to receive the +underlying securities is being satisfied by: Answer this question if your response to Q2.1 is "Unquoted options that have been exercised or other unquoted convertible securities that have been converted" or "Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX". |
N/A |
2.2c.5 | The underlying securities being received by the holder are: Answer this question if your response to Q2.1 is "Unquoted options that have been exercised or other unquoted convertible securities that have been converted". |
N/A |
2.2c.6 | The underlying securities being received by the holder are: Answer this question if your response to Q2.1 is "Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX". | ☐ Already quoted by ASX ☐ Are not, and are not intended to be, quoted by ASX N/A |
2.2c.7 | *Were the options being exercised or other +convertible securities being converted issued under an +employee incentive scheme? Answer this question if your response to Q2.1 is "Unquoted options that have been exercised or other unquoted convertible securities that have been converted" or "Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX". | Yes or No N/A |
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This appendix is available as an online form
For personal use only
2.2c.8 | *Are any of the options being exercised or other +convertible securities being converted held by +key management personnel (KMP) or an +associate? Answer this question if your response to Q2.1 is "Unquoted options that have been exercised or other unquoted convertible securities that have been converted" or "Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX"." and your response to Q2.2c.7 is "Yes". | N/A |
2.2c.8.a | *Provide details of the KMP or associates who are exercising options or converting convertible securities. Answer this question if your response to Q2.1 is "Unquoted options that have been exercised or other unquoted convertible securities that have been converted" or "Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX", your response to Q2.2c.7 is "Yes" and your response to Q2.2c.8 is "Yes". Repeat the detail in the table below for each KMP involved. If the options or other convertible securities are held by the KMP, repeat the name of the KMP or insert "Same" in "Name of registered holder". If the options or other convertible securities are held by an associate of a KMP, insert the name of the associate in "Name of registered holder". Name of KMP Name of registered holderNumber of options being exercised or other +convertible securities being converted N/A N/A N/A | |
2.2d.1 | Please state the number and type of partly paid +securities upon which a call or instalment has been paid (including their ASX security code if available)? Answer this question if your response to Q2.1 is "Unquoted partly paid securities upon which a call or instalment has been paid". | N/A |
2.2d.2 | And the date upon which the call or instalment was paid: Answer this question if your response to Q2.1 is "Unquoted partly paid securities upon which a call or instalment has been paid". Note: If this occurred over a range of dates, enter the date the last of the payments was made. | N/A |
2.2d.3 | Has the call or instalment been paid on all of the partly paid +securities in question? Answer this question if your response to Q2.1 is "Unquoted partly paid securities upon which a call or instalment has been paid". | N/A |
2.2d.4 | Are the securities on which the call or instalment was paid now fully paid? | N/A |
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Magellan Financial Group Limited published this content on 14 April 2022 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 14 April 2022 01:44:06 UTC.