Appendix 3B New issue announcement
Appendix 3B New issue announcement, application for quotation of additional securities and agreementInformation 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.
Introduced 1/7/96. Origin: Appendix 5. Amended 1/7/98, 1/9/99, 1/7/2000, 30/9/2001, 11/3/2002, 24/10/2005.
Name of entity
UXA Resources Limited
ABN
65 112 714 397
We (the entity) give ASX the following information.
Part 1 - All issuesYou must complete the relevant sections (attach sheets if there is not enough space).
1 +Class of +securities issued or to be issued
Unlisted Options
2 Number of +securities issued or to be issued (if known) or maximum number which may be issued
660,000
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).
Lapse of the unlisted employee options upon cessation of employment
+ See chapter 19 for defined terms.
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4 Do the +securities rank equally No 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 $0.00
6 Purpose of the issue
(If issued as consideration for the acquisition of assets,
clearly identify those assets)
Lapse upon cessation of employment
7 Dates of entering +securities into uncertificated holdings or despatch of certificates.
30 June 2012
8 Number and +class of all
+securities quoted on ASX (including the securities in clause 2 if applicable)
Number +Class
+ See chapter 19 for defined terms.
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9 Number and +class of all
+securities not quoted on ASX (including the securities in clause 2 if applicable)
9,500,000
2,070,000
1,350,000
3,075,000
1
5,000,000
1
Unlisted Options at an exercise price of
20 cents per share, expiring 4 December
2014
Unlisted Options at an exercise price of
20 cents per share, expiring 19 February
2013
Unlisted Options at an exercise price of
20 cents per share, expiring 30 June
2013
Unlisted options at an exercise price of
4 cents per share expiring on 7
October 2012
Convertible Notes:
$898,000, 30
September 2015
Unlisted options at an exercise price of
$0.00899 cents per share expiring on 12
April 2015
Convertible Notes:
$500,000, 12 April
2015
10 Dividend policy (in the case of a trust, distribution policy) on the increased capital (interests)
N/A
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
+ See chapter 19 for defined terms.
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14 +Class of +securities to which
the offer relates
15 +Record date to determine entitlements
16 Will holdings on different registers (or sub-registers) 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.
Cross reference: rule 7.7.
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
25 If the issue is contingent on
+security holders' approval, the date of the meeting
26 Date entitlement and acceptance form and prospectus or Product Disclosure Statement will be sent to persons entitled
+ See chapter 19 for defined terms.
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27 If the entity has issued options, and the terms entitle
option holders to participate on exercise, the date on which
notices will be sent to option holders
28 Date rights trading will begin (if applicable)
29 Date rights trading will end (if applicable)
30 How do +security holders sell their
entitlements in full through a broker?
31 How do +security holders sell part of their
entitlements through a broker and accept for the balance?
32 How do +security holders dispose of their
entitlements (except by sale through a broker)?
33 +Despatch date
You need only complete this section if you are applying for quotation of securities
34 Type of securities
(tick one)
(a) Securities described in Part 1
(b) X All other securities
Example: restricted securities at the end of the escrowed period, partly paid securities that become fully paid,
employee incentive share securities when restriction ends, securities issued on expiry or conversion of convertible securities
+ See chapter 19 for defined terms.
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Entities that have ticked box 34(a)Additional securities forming a new class of securities
(If the additional securities do not form a new class, go to 43)
Tick to indicate you are providing the information or documents
35 If the +securities are +equity
securities, the names of the 20 largest holders of the
additional +securities, and the number and
percentage of additional +securities held by
those holders
36 If the +securities are +equity
securities, a distribution schedule of the additional
+securities setting out the number of holders in the categories
1 - 1,000
1,001 - 5,000
5,001 - 10,000
10,001 - 100,000
100,001 and over
37 A copy of any trust deed for the additional
+securities
38 Number of securities for which
+quotation is sought
39 Class of +securities for which quotation is
sought
40 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
+ See chapter 19 for defined terms.
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41 Reason for request for quotation now
Example: In the case of restricted securities, end of restriction period (if issued upon conversion of another security, clearly identify that other security)
42 Number and +class of all
+securities quoted on ASX (including the securities in clause
38)
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 entity may need to obtain appropriate warranties from subscribers for the securities in order to be able to give this warranty
• 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 Act at the time that we request that the +securities be quoted.
• We warrant that if confirmation is required under section 1017F of the Corporations Act in relation to the +securities to be quoted, it has been provided at 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 Act at 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.
+ See chapter 19 for defined terms.
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We acknowledge that ASX is relying on the information and documents. We warrant that they are (will be) true and complete.
Sign here: | ............................................................ | Date: 31 July 2012 |
(Company Secretary) | ||
Print name: | Graham Seppelt |
== == == == ==
+ See chapter 19 for defined terms.
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