Full Press Release Details
Rule 2.7, 3.10.3, 3.10.4, 3.10.5
application for quotation of additional securities
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.
Introduced 01/07/96 Origin: Appendix 5 Amended 01/07/98, 01/09/99, 01/07/00, 30/09/01, 11/03/02, 01/01/03, 24/10/05, 01/08/12, 04/03/13
We (the entity) give ASX the following information.
You must complete the relevant sections (attach sheets if there is not enough space).
| 1 | + Class of + securities issued or to be issued | Ordinary shares (fully paid). | ||
| 2 | Number of + securities issued or to be issued (if known) or maximum number which may be issued | 280,911 fully paid ordinary shares. | ||
| 3 | Principal terms of the +securities (e.g. 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) | 280,911 fully paid ordinary shares as per the company s constitution. The full amount of shares are to be held in voluntary escrow until 19 August 2017 |
| 4 | Do the + securities rank equally in all respects from the + issue date 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 | Yes for the ordinary shares. | ||
| 5 | Issue price or consideration | US$240,000 | ||
| 6 | Purpose of the issue (If issued as consideration for the acquisition of assets, clearly identify those assets) | Consideration for services in connection with the license of intellectual property relating to cell targeting technology (ex vivo fucosylation) from a third party. | ||
| 6a | Is the entity an +eligible entity that has obtained security holder approval under rule 7.1A? If Yes, complete sections 6b 6h in relation to the +securities the subject of this Appendix 3B , and comply with section 6i | No | ||
| 6b | The date the security holder resolution under rule 7.1A was passed | Not applicable | ||
| 6c | Number of +securities issued without security holder approval under rule 7.1 | Not applicable | ||
| 6d | Number of +securities issued with security holder approval under rule 7.1A | Not applicable |
| 6e | Number of + securities issued with security holder approval under rule 7.3, or another specific security holder approval (specify date of meeting) | Not applicable | ||||
| 6f | Number of + securities issued under an exception in rule 7.2 | Not applicable | ||||
| 6g | If + securities issued under rule 7.1A, was issue price at least 75% of 15 day VWAP as calculated under rule 7.1A.3? Include the + issue date and both values. Include the source of the VWAP calculation. | Not applicable | ||||
| 6h | If + securities were issued under rule 7.1A for non-cash consideration, state date on which valuation of consideration was released to ASX Market Announcements | Not applicable | ||||
| 6i | Calculate the entity s remaining issue capacity under rule 7.1 and rule 7.1A complete Annexure 1 and release to ASX Market Announcements | Not applicable |
| 7 | + Issue dates Note: The issue date may be prescribed by ASX (refer to the definition of issue date in rule 19.12). For example, the issue date for a pro rata entitlement issue must comply with the applicable timetable in Appendix 7A. Cross reference: item 33 of Appendix 3B. | Date Registered 19/08/2016 Total | Number of Fully Paid Shares Issued 280,911 280,911 | |||
| Number | + Class | |||||
| 8 | Number and + class of all + securities quoted on ASX ( including the + securities in section 2 if applicable) | 381,654,048 | Ordinary shares |
| Number | + Class | |||||
| 9 | Number and + class of all + securities not quoted on ASX ( including the + securities in section 2 if applicable) | 22,004,490 (3,091,669 options have been cancelled since last Appendix 3B) | Unquoted options | |||
| 10 | Dividend policy (in the case of a trust, distribution policy) on the increased capital (interests) | All ordinary shares rank equally and participate in the right to dividends equally. | ||||
| Part 2 - Pro rata issue | ||||||
| 11 | Is security holder approval required? | Not applicable | ||||
| 12 | Is the issue renounceable or non-renounceable? | Not applicable | ||||
| 13 | Ratio in which the + securities will be offered | Not applicable | ||||
| 14 | + Class of + securities to which the offer relates | Not applicable | ||||
| 15 | + Record date to determine entitlements | Not applicable | ||||
| 16 | Will holdings on different registers (or subregisters) be aggregated for calculating entitlements? | Not applicable | ||||
| 17 | Policy for deciding entitlements in relation to fractions | Not applicable | ||||
| 18 | Names of countries in which the entity has security holders who will not be sent new offer documents Note: Security holders must be told how their entitlements are to be dealt with. Cross reference: rule 7.7. | Not applicable | ||||
| 19 | Closing date for receipt of acceptances or renunciations | Not applicable |
| 20 | Names of any underwriters | Not applicable | ||
| 21 | Amount of any underwriting fee or commission | Not applicable | ||
| 22 | Names of any brokers to the issue | Not applicable | ||
| 23 | Fee or commission payable to the broker to the issue | Not applicable | ||
| 24 | Amount of any handling fee payable to brokers who lodge acceptances or renunciations on behalf of security holders | Not applicable | ||
| 25 | If the issue is contingent on security holders approval, the date of the meeting | Not applicable | ||
| 26 | Date entitlement and acceptance form and offer documents will be sent to persons entitled | Not applicable | ||
| 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 | Not applicable | ||
| 28 | Date rights trading will begin (if applicable) | Not applicable | ||
| 29 | Date rights trading will end (if applicable) | Not applicable | ||
| 30 | How do security holders sell their entitlements in full through a broker? | Not applicable | ||
| 31 | How do security holders sell part of their entitlements through a broker and accept for the balance? | Not applicable |
| 32 | How do security holders dispose of their entitlements (except by sale through a broker)? | Not applicable | ||
| 33 | + Issue date | Not applicable |
Part 3 - Quotation of securities
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) | 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 |
Entities that have ticked box 34(a)
Additional securities forming a new class of securities
| 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 |
Entities that have ticked box 34(b)
+ See chapter 19 for defined terms.
| 39 | + Class of + securities for which quotation is sought | Not applicable | ||
| 40 | Do the + securities rank equally in all respects from the + issue date 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 | Not applicable | ||
| 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) | Not applicable |
| Number | + Class | |||||
| 42 | Number and + class of all + securities quoted on ASX ( including the + securities in clause 38) | Not applicable | Not applicable |
Note: An entity may need to obtain appropriate warranties from subscribers for the securities in order to be able to give
| Sign here: | /s/ Charlie Harrison | Date: 19 th August 2016 | ||||
| Company secretary | ||||||
| Print name: | Charlie Harrison |
+ See chapter 19 for defined terms.