Rule 2.7, 3.10.3, 3.10.4, 3.10.5
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 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
Name of entity |
CYNATA THERAPEUTICS LIMITED |
ABN |
98 104 037 372 |
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 | 2,000,000 |
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) | Unlisted options exercisable at $1.50 each expiring on 17 November 2019, subject to the following vesting conditions:
|
4 | 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:
| No. However, shares issued upon the exercise of the unlisted options will rank equally in all respects from the date of issue with existing fully paid ordinary shares. |
5 | Issue price or consideration | Nil |
6 | Purpose of the issue (If issued as consideration for the acquisition of assets, clearly identify those assets) | Issued to the non-executive chairman pursuant to the terms of his appointment and approved by shareholders on 17 November 2017. |
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 | Yes |
6b | The date the security holder resolution under rule 7.1A was passed | 17 November 2017 |
6c | Number of +securities issued without security holder approval under rule 7.1 | Nil |
6d | Number of +securities issued with security holder approval under rule 7.1A | Nil |
6e | Number of +securities issued with security holder approval under rule 7.3, or another specific security holder approval (specify date of meeting) | Nil |
6f | Number of securities issued under an exception in rule 7.2 | 2,000,000 unlisted options approved by shareholders on 17 November 2017 - Exception 14 |
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. | N/A |
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 | N/A |
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 | 7.1 13,208,587 7.1A 9,005,724 | |
7 | Dates of entering +securities into uncertificated holdings or despatch of certificates | 17 November 2017 | |
Number | +Class | ||
8 | Number and +class of all +securities quoted on ASX (including the securities in section 2 if applicable) | 90,057,248 | Fully paid ordinary shares |
Number | +Class |
5,000,000 3,666,669 750,000 600,000 800,000 300,000 2,000,000 | Unlisted options exercise price $0.40, expiring 27 September 2018 (CYPAI). Unlisted options exercise price $1.00, expiring 17 July 2020 (CYPAM). Unlisted incentive options exercise price $0.49 expiring 16 December 2018 (500,000 subject to vesting conditions). Unlisted options exercise price $0.53, expiring 22 February 2019. Unlisted options exercise price $1.022, expiring 17 November 2019 Unlisted options exercise price $0.88 expiring 4 August 2020 (subject to vesting conditions) Unlisted options exercise price $1.50 expiring 17 November 2019 (subject to vesting conditions) |
9 Number and +class of all +securities not quoted on ASX (including the securities in section 2 if applicable)
10 | Dividend policy (in the case of a trust, distribution policy) on the increased capital (interests) | N/A |
11 | Is security holder approval required? | N/A |
12 | Is the issue renounceable or non- renounceable? | N/A |
13 | Ratio in which the +securities will be offered | N/A |
14 | +Class of +securities to which the offer relates | N/A |
15 | +Record date to determine entitlements | N/A |
16 | Will holdings on different registers (or subregisters) be aggregated for calculating entitlements? | N/A |
17 | Policy for deciding entitlements in relation to fractions | N/A |
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. | N/A |
19 | Closing date for receipt of acceptances or renunciations | N/A |
20 | Names of any underwriters | N/A |
21 | Amount of any underwriting fee or commission | N/A |
22 | Names of any brokers to the issue | N/A |
23 | Fee or commission payable to the broker to the issue | N/A |
24 | Amount of any handling fee payable to brokers who lodge acceptances or renunciations on behalf of +security holders | N/A |
Cynata Therapeutics Ltd. published this content on 20 November 2017 and is solely responsible for the information contained herein.
Distributed by Public, unedited and unaltered, on 20 November 2017 00:35:07 UTC.
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