Orocobre : Appendix 3B - ORE - Appendix 3B 28 August 2020.pdf

This appendix is available as an online form	Appendix 3B
Only use this form if the online version is not available	Proposed issue of +securities

Appendix 3B

Proposed issue of +securities

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 proposing to issue a new class of +securities other than CDIs, you will need to obtain and provide an International Securities Identification Number (ISIN) for that class. For offers where the +securities proposed to be issued are in an existing class of security, and the event timetable includes rights (or entitlement for non- renounceable issues), and deferred settlement trading or a representation of such, ASX requires the issuer to advise ASX of the ISIN code for the rights (or entitlement), and deferred settlement trading. This code will be different to the existing class. If the securities do not rank equally with the existing class, the same ISIN code will be used for that security to continue to be quoted while it does not rank.

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	Orocobre Limited
		We (the entity here named)
		give ASX the following
		information about a proposed
		issue of +securities and, if ASX
		agrees to +quote any of the
		+securities (including any
		rights) on a +deferred
		settlement basis, we agree to
		the matters set out in
		Appendix 3B of the ASX
		Listing Rules
	1.2	*Registration type and number	ABN 31 112 589 910
		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	ORE
	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.

+ See chapter 19 for defined terms
18 July 2020	Page 1

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	28 August 2020
1.6	*The proposed issue is:	☐ A +bonus issue (complete Parts 2 and 8)
	Note: You can select more than one	☐ A standard +pro rata issue (non-renounceable or
	type of issue (e.g. an offer of
	renounceable) (complete Q1.6a and Parts 3 and 8)
	securities under a securities purchase
	plan and a placement, however ASX	☐ An accelerated offer (complete Q1.6b and Parts 3 and 8)
	may restrict certain events from being
	announced concurrently). Please	☒ An offer of +securities under a +securities purchase
	contact your ASX listings compliance	plan (complete Parts 4 and 8)
	adviser if you are unsure.
	☐ A non-+pro rata offer of +securities under a
		+disclosure document or +PDS (complete Parts 5 and 8)
		☐ A non-+pro rata offer to wholesale investors under an
		information memorandum (complete Parts 6 and 8)
		☒ A placement or other type of issue (complete Parts 7 and
		8)
1.6a	*The proposed standard +pro	☐ Non-renounceable
	rata issue is:	☐ Renounceable
	Answer this question if your response
	to Q1.6 is "A standard pro rata issue
	(non-renounceable or renounceable)."
	Select one item from the list
	An issuer whose securities are
	currently suspended from trading
	cannot proceed with an entitlement
	offer that allows rights trading. If your
	securities are currently suspended,
	please consult your ASX listings
	compliance adviser before proceeding
	further.
1.6b	*The proposed accelerated	☐ Accelerated non-renounceable entitlement offer
	offer is:	(commonly known as a JUMBO or ANREO)
	Answer this question if your response	☐ Accelerated renounceable entitlement offer
	to Q1.6 is "An accelerated offer"
	(commonly known as an AREO)
	Select one item from the list
	☐ Simultaneous accelerated renounceable entitlement
	An issuer whose securities are
	currently suspended from trading	offer (commonly known as a SAREO)
	cannot proceed with an entitlement	☐ Accelerated renounceable entitlement offer with dual
	offer that allows rights trading. If your
	securities are currently suspended,	book-build structure (commonly known as a
	please consult your ASX listings	RAPIDS)
	compliance adviser before proceeding
	☐ Accelerated renounceable entitlement offer with retail
	further.
		rights trading (commonly known as a PAITREO)

+ See chapter 19 for defined terms
18 July 2020	Page 2

Part 2 - Details of proposed +bonus issue

If your response to Q1.6 is "A bonus issue", please complete Parts 2A - 2D and the details of the securities proposed to be issued in Part 8. Refer to section 1 of Appendix 7A of the Listing Rules for the timetable for bonus issues.

Part 2A - Proposed +bonus issue - conditions

Question	Question		Answer
No.
2A.1	*Are any of the following approvals required	Yes or No
	for the +bonus issue to be unconditional?
	•	+Security holder approval
	•	Court approval
	• Lodgement of court order with +ASIC
	•	ACCC approval
	•	FIRB approval
	• Another approval/condition external to
		the entity.
	If any of the above approvals apply to the bonus issue,
	they must be obtained before business day 0 of the
	timetable. The relevant approvals must be received
	before ASX can establish an ex market in the
	securities.
2A.1a	Conditions
	Answer these questions if your response to Q2A.1 is "Yes".
	Select the applicable approval(s) from the list. More than one approval can be selected. The "date for
	determination" is the date that you expect to know if the approval is given (for example, the date of the security
	holder meeting in the case of security holder approval or the date of the court hearing in the case of court
	approval).
*Approval/ condition	*Date for	*Is the date	*Approval received/	Comments
Type			determination	estimated or	condition met?
				actual?	Please respond "Yes" or
					"No". Only answer this
					question when you know
					the outcome of the
					approval. Please advise
					before business day 0 of
					the Appendix 7A bonus
					issue timetable.
+Security holder
approval
Court approval
Lodgement of court
order with +ASIC
ACCC approval
FIRB approval
Other (please specify
in comment section)

+ See chapter 19 for defined terms
18 July 2020	Page 3

Part 2B - Proposed +bonus issue - issue details

Question	Question	Answer
No.
2B.1	*Class or classes of +securities that will
	participate in the proposed +bonus issue
	(please enter both the ASX security code &
	description)
	If more than one class of security will participate in the
	proposed bonus issue, make sure you clearly identify
	any different treatment between the classes.
2B.2	*Class of +securities that will be issued in
	the proposed +bonus issue (please enter
	both the ASX security code & description)
2B.3	*Issue ratio	for
	Enter the quantity of additional securities to be issued
	for a given quantity of securities held (for example, 1
	for 2 means 1 new security issued for every 2 existing
	securities held).
	Please only enter whole numbers (for example, a
	bonus issue of 1 new security for every 2.5 existing
	securities held should be expressed as "2 for 5").
2B.4	*What will be done with fractional	☐ Fractions rounded up to the next whole
	entitlements?	number
	Select one item from the list.	☐ Fractions rounded down to the nearest
		whole number or fractions disregarded
		☐ Fractions sold and proceeds distributed
		☐ Fractions of 0.5 or more rounded up
		☐ Fractions over 0.5 rounded up
		☐ Not applicable
2B.5	*Maximum number of +securities proposed
	to be issued (subject to rounding)
Part 2C - Proposed +bonus issue - timetable

Question	Question	Answer
No.
2C.1	*+Record date
	Record date to identify security holders entitled to
	participate in the bonus issue. Per Appendix 7A section
	1 the record date must be at least 4 business days
	from the announcement date (day 0).
2C.3	*Ex date
	Per Appendix 7A section 1 the ex date is one business
	day before the record date. This is also the date that
	the bonus securities will commence quotation on a
	deferred settlement basis.
2C.4	*Record date
	Same as Q2C.1 above

+ See chapter 19 for defined terms
18 July 2020	Page 4