Appendix 3Y
Change of Director's Interest Notice
Rule 3.19A.2
Appendix 3Y
For personal use only
Change of Director's Interest Notice
Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX becomes ASX's property and may be made public.
Introduced 30/09/01 | Amended 01/01/11 | |
Name of entity | Spenda Limited | |
ABN | 67 099 084 143 | |
We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.
Name of director | Howard Digby |
Date of last notice | 4 March 2022 |
Part 1 - Change of director's relevant interests in securities
In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust
Note: In the case of a company, interests which come within paragraph (i) of the definition of "notifiable interest of a director" should be disclosed in this part.
Direct or indirect interest | Direct |
Nature of indirect interest | N/A |
(including registered holder) | |
Date of change | 23 June 2022 |
No. of securities held prior to change | 7,700,000 - ORDINARY FULLY PAID SHARES |
(Indirect) | |
4,500,000 - UNLISTED OPT EXP 28/07/23 @ | |
$0.025 (Indirect) | |
1,925,000 - OPT EXP 28/07/23 @ $0.025 (Indirect) | |
10,000,000 - UNLISTED OPT EXP 25/02/2026 @ | |
$0.084 (Indirect) | |
2,966,666 - ORDINARY FULLY PAID SHARES | |
(Direct) | |
666,666 - OPT EXP 28/07/23 @ $0.025 (Direct) | |
Class | ORDINARY FULLY PAID SHARES |
Number acquired | 1,428,572 |
Number disposed | NIL |
Value/Consideration | Deemed value of $0.01 (1 cent) per Share |
- Seechapter 19for defined terms. 01/01/2011 Appendix 3Y Page 1
For personal use only
Appendix 3Y | |
Change of Director's Interest Notice | |
No. of securities held after change | 7,700,000 - ORDINARY FULLY PAID SHARES |
(Indirect) | |
4,500,000 - UNLISTED OPT EXP 28/07/23 @ | |
$0.025 (Indirect) | |
1,925,000 - OPT EXP 28/07/23 @ $0.025 (Indirect) | |
10,000,000 - UNLISTED OPT EXP 25/02/2026 @ | |
$0.084 (Indirect) | |
4,395,238 - ORDINARY FULLY PAID SHARES | |
(direct) | |
666,666 - OPT EXP 28/07/23 @ $0.025 (direct) | |
Nature of change | Remuneration Sacrifice Shares being issued as |
approved at the 31 January 2022 AGM | |
Part 2 - Change of director's relevant interests in contracts
Note: In the case of a company, interests which come within paragraph (ii) of the definition of "notifiable interest of a director" should be
disclosed in this part.
Detail of contract | (Director Appointment Letter) Mr Digby has elected to receive |
100% of his net salary ($25,480) for the relevant period | |
in shares, via the issue of 2,547,959 Shares at $0.01 per | |
Share, subject to shareholder approval at the next | |
shareholders | |
Nature of interest | Direct |
Name of registered holder | Howard Digby |
(if issued securities) | |
Date of change | 23 June 2022 |
No. and class of securities | 2,547,959 fully paid ordinary shares |
to which interest related | |
prior to change | |
Interest acquired | Issue and allotment of shares to occur subject to |
shareholderapproval at the next shareholder meeting | |
Interest disposed | Nil |
Value/Consideration | Shares to be issued in lieu of net salary ($25,480). |
Interest after change | Change to occur following shareholder approval at the next |
shareholder meeting. | |
Part 3 - +Closed period
Were the interests in the securities or | No |
contracts detailed above traded during a | |
+closed period where prior written clearance | |
was required? | |
If so, was prior written clearance provided to | N/A |
allow the trade to proceed during this period? | |
If prior written clearance was provided, on | N/A |
what date was this provided? | |
- Seechapter 19for defined terms. 01/01/2011 Appendix 3Y Page 2
Appendix 3Y
Change of Director's Interest Notice
Rule 3.19A.2
Appendix 3Y
For personal use only
Change of Director's Interest Notice
Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX becomes ASX's property and may be made public.
Introduced 30/09/01 | Amended 01/01/11 | |
Name of entity | Spenda Limited | |
ABN | 67 099 084 143 | |
We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.
Name of director | Adrian Floate |
Date of last notice | 4 March 2022 |
Part 1 - Change of director's relevant interests in securities
In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust
Note: In the case of a company, interests which come within paragraph (i) of the definition of "notifiable interest of a director" should be disclosed in this part.
Direct or indirect interest | Indirect |
Nature of indirect interest | FAAF PTY LTD |
(including registered holder) | Mr. Adrian Floate is a Director of FAAF Pty Ltd and |
a beneficiary of the Floating Asset A/C | |
Date of change | 23 June 2022 |
No. of securities held prior to change | 157,492,947 - ORDINARY FULLY PAID SHARES |
(indirect; Rare Air Holdings Pty Ltd) | |
10,000,000 - ORDINARY FULLY PAID SHARES | |
(indirect; Ashleigh Floate + Adrian Floate ATF Faaf | |
Super Fund) | |
26,185,822 - ORDINARY FULLY PAID SHARES | |
(indirect; FAAF Pty Ltd ATF Floating Asset A/C) | |
13,500,000 - OPT EXP 28/07/23 @ $0.025 (indirect; | |
FAAF Pty Ltd ATF Floating Asset A/C) | |
13,500,000 - UNLISTED OPT EXP 30/06/22 @ | |
$0.045 (indirect; FAAF Pty Ltd ATF Floating Asset | |
A/C) | |
90,255,656 - ORDINARY FULLY PAID SHARES | |
(direct) | |
7,704,000 - OPT EXP 28/07/23 @ $0.025 (direct) | |
Class | ORDINARY FULLY PAID SHARES |
Number acquired | 1,736,935 |
Various off market transfers between related entities | |
with no net movement in Mr. Floate's Shareholding. | |
- Seechapter 19for defined terms. 01/01/2011 Appendix 3Y Page 1
For personal use only
Appendix 3Y | |
Change of Director's Interest Notice | |
Number disposed | NIL |
Various off market transfers between related entities | |
with no net movement in Mr. Floate's Shareholding. | |
Value/Consideration | Deemed value of $0.42 (42 cents) per share |
No. of securities held after change | 97,492,947 - ORDINARY FULLY PAID SHARES |
(indirect; Rare Air Holdings Pty Ltd) | |
47,500,000 - ORDINARY FULLY PAID SHARES | |
(indirect; Ashleigh Floate + Adrian Floate ATF Faaf | |
Super Fund) | |
121,668,757 - ORDINARY FULLY PAID SHARES | |
(indirect; FAAF Pty Ltd ATF Floating Asset A/C) | |
13,500,000 - OPT EXP 28/07/23 @ $0.025 (indirect; | |
FAAF Pty Ltd ATF Floating Asset A/C) | |
13,500,000 - UNLISTED OPT EXP 30/06/22 @ | |
$0.045 (indirect; FAAF Pty Ltd ATF Floating Asset | |
A/C) | |
19,009,656 - ORDINARY FULLY PAID SHARES | |
(direct) | |
7,704,000 - OPT EXP 28/07/23 @ $0.025 (direct) | |
Nature of change | Remuneration Sacrifice Shares being issued as |
approved at the 31 January 2022 AGM | |
Part 2 - Change of director's relevant interests in contracts
Note: In the case of a company, interests which come within paragraph (ii) of the definition of "notifiable interest of a director" should be
disclosed in this part.
Detail of contract | 1) | (Director Appointment Letter) Mr Floate has elected to |
receive 100% of his net salary ($87,526) for the relevant period | ||
in shares, via the issue of 8,752,600 Shares at $0.01 per | ||
Share, subject to shareholder approval at the next | ||
shareholders meeting. | ||
2) | (Employee Incentive Plan) Agreement to issue 60,000,000 | |
unlisted options with an exercise price of $0.0175 expiring | ||
15/06/2027 with the below time based vesting conditions. | ||
- 15,000,000 unlisted options vesting 30June 2022 | ||
- 15,000,000 unlisted options vesting 30June 2023 | ||
- 15,000,000 unlisted options vesting 30June 2024 | ||
- 15,000,000 unlisted options vesting 30June 2025 | ||
The options will be subject to shareholder approval at the next | ||
shareholder meeting. | ||
3) | (Management Incentive Based Remuneration) Agreement to | |
issue 8,750,000 SPXO Listed Options as management | ||
incentive based remuneration. The options will be subject to | ||
shareholder approval at the next shareholder meeting. | ||
Nature of interest | Direct | |
Name of registered holder | Adrian Floate | |
(if issued securities) | ||
Date of change | 23 June 2022 | |
No. and class of securities | 1) | 8,752,600 fully paid ordinary shares |
to which interest related | ||
prior to change | 2) | 60,000,000 unlisted options with an exercise price of |
$0.0175 expiring 15/06/2027 | ||
3) | 8,750,000 SPXO Listed Options | |
- Seechapter 19for defined terms. 01/01/2011 Appendix 3Y Page 2
For personal use only
Appendix 3Y | ||
Change of Director's Interest Notice | ||
Interest acquired | 1) Issue and allotment of shares to occur subject to | |
shareholder approval at the next shareholder meeting. | ||
2) | Issue and allotment of options to occur subject to | |
shareholder approval at the next shareholder meeting. | ||
3) | Issue and allotment of options to occur subject to | |
shareholder approval at the next shareholder meeting. | ||
Interest disposed | 1) Nil | |
2) | Nil | |
Value/Consideration | 1) Shares to be issued in lieu of net salary ($87,526). | |
2) | Nil | |
3) | Nil | |
Interest after change | 1) Change to occur following shareholder approval at the next | |
shareholder meeting. | ||
2) | Change to occur following shareholder approval at the next | |
shareholder meeting. | ||
3) | Change to occur following shareholder approval at the next | |
shareholder meeting. | ||
Part 3 - +Closed period
Were the interests in the securities or | No |
contracts detailed above traded during a | |
+closed period where prior written clearance | |
was required? | |
If so, was prior written clearance provided to | N/A |
allow the trade to proceed during this period? | |
If prior written clearance was provided, on | N/A |
what date was this provided? | |
- Seechapter 19for defined terms. 01/01/2011 Appendix 3Y Page 3
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