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 pub/ic.
lntroduced 1/7/96. Origin: Appcndix 5· Amended 1/7/98, 1/9/99, 1/7/zooo, J0/9ho01, n/J/2oo2, 1/l/wo3, 24/10/zoos.
Name of entity
IGuinness Peat Group plc
ABN
Incorporated and registered in England and Wales with registered number 103548
We (the entity) give ASX the following information.
Part 1 - Ali issuesYou must complete the relevant sections (attach sheets ifthere is not enough space).
+Class of +securities issued or to be issued
Chess Depository Interests (CDis) issued over ordinary shares
2 Number of +securities issued or At 30 September 2014: 195,684,975 CDis on to be issued (if known) or issue
maximum number which may be *Net transfers: 2,002,978 issued
At 31 October 2014: 193,681,997 CDis on issue
*Transfers between CDis and ordinary shares listed on the London Stock Exchange (LSE) and/or the New Zealand Stock Exchange (NZX)
3 Principal terms of the +securities See Item 1above. (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)
+ See chapter 19 for defined terms. Appendix 38 Page 1
4 Do the +securities rank equally in Yes. ali respects from the date of allotment with an existing +ciass
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 payment
or interest
5 Issue price or consideration
6 Purpose of the issue
(If issued as consideration for the acquisition of assets, clearly identify those assets)
7 Dates of entering +securities into uncertifìcated holdings or despatch of certifìcates
8 Number and +ciass of ali
+securities quoted on ASX (including the securities in clause 2 if applicable)
l Not applicable.
1. Transfers between CDis and ordinary shares listed on the LSE and/or the NZX.
See ltem 2 above.
+ See chapter 19 for defìned terms. Appendix 38 Page 2
9 Numbcr and +ciass of ali
+secmities not quoted on ASX
(including the securities in clausc 2 if applicable)
10 Dividend policy (in the case of a Same as for other issued ordinary shares. trust, distribution policy) on the
increased capitai (interests)
Part 2 · Bonus issue or pro rata issue
Il Is security
holder
required? approvai I.._..N_/_A .J
12 Is the issue renounceable or non-N/A
renounceable? '----------------------------------
13 Ratio in which the +securities l N/A
will be offered '----------------------------------
14 +cJass of +securi ties to which the l N lA
offer relates '----------------------------------
+Record date to
entitlements determine .I._..N_/A----------------------------------'
16 Will holdings on different l N/A registers (or subregisters) be aggregated for calculating
entitlements? '----------------------------------
Policy for deciding entitlements l N/A
in relation to fractions _
'----------------------------------
+ See chapter 19 for defined terms. Appendix 38 Page 3
18 Names of countries in which the N/A
entity has +security holders who will not be sent new issue
documents
Note: Sccunty holdcrs must be told how thei r cntitlcments are to be dealt with.
Cross rerercnce: rulc 7·7·
19 Closing date for receipt acceptances or renunciations
20 Names of any underwriters
of l N/A
21 Amount ?f.any underwriting fee l N/A
or COffiffi1SS10n
-'-·
-------------------'
22 Names of any brokers to issue
the l N/A
23 Fee or commission payable to the l N/A
broker to the issue '------------------------------------
24 Amount of any handling fee l N/A
payable to brokers who lodge
acceptances or renunciations on
behalf of +security holders
-'-· --------------------------------- .
If the issue is contingent on l N/A
+security holders' approvai, the
date of the meeting '------------------------------------
Date entitlement and acceptance l N/A form and prospectus or Product Disclosure Statement will be sent
to persons entitled '--------------------.
27 If the entity has issued options, N/A and the terms entitle option holders to participate on exercise, the_date on which notices will be sent to option holders
Date rights trading will begin (if l N/A
applicable)
-'-·
------------------'
Date rights trading will end (if l N/A
applicable)
+ See chapter 19 for defined terms. Appendix 3B Page 4
'------------------------------------
30 How do +sccmity holdcrs scii thcir entitlemcnts in full through a broker?
N/A
31 How do +sccuri ty holdcrs scii l N/A
part of their entitlements
through a broker and accept for
the balance? L-----------------------------------
32 H ow do +sccmity holdcrs dispose l N/A
of theit· entitlements (exccpt by
sale through a broker)? L-----------------------------------
33 + oespatch date N/A
Part 3 - Quotation of securities
You need only complete this seclion if you are applying for quotation of securities
34 Type of secmities
(tick one)
(a) 1ZJ Securities described in Part t
(b) Ali othet· securities
Examplc: rcstrictcd sccmitics at thc end of thc cscrowcd pcriod, partly paid sccuritics that bccomc fully paid, cmployec incentive share scctm t ies when rcstrlc tìon cnds, securitics issued on cxpiry or convcrsion of convcrtlblc securitics
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
If the +securities are +equity securities, a distribution schedule of the additional
+securities setting out the number of holders in the categories
l -1,000
1,001 - 5,000
5,001 - 10,000
10,001 - 100,000
100,001 and over
+ See chapter 19 for defined terms. Appendix 38 Page 5
37 D A copy of any trust deed for the additional +securities
Entities that have ticked box 34(b)
Number of securities for
+quotation is sought which ._I_N_I_A.
39 Class of +securities for
quotation is sought which ...I_N_I_AJ
40 Do the +secmities rank equally in Nl A ali respects from the date of allotment with an existing +ciass
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
41 Reason for request for quotation N1A
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 +ciass of--all
+securities quoted on ASX
(including the securities in clause
38)
+ See chapter 19 for defined terms. Appendix 38 Page 6
Quotation agreement
+Quotation of our additional +securities is in ASX's absolute discretion. ASX
may quote the +securities on any conditions i t 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 warrantics from subscribci'S for thc sccurities in ordcr 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.
• If we are a trust, we warrant that no perso n has the right to return the
+securities to be quoted under section 1019B of the Corporations Acta t 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. We acknowledge that ASX is relying on
the information and documents. We warrant that they are (will be) true and complete.
Sign here:
Print name: Stuart Morgan
Date: 4 November 2014
== == == == ==
+ See chapter 19 for defined terms. Appendìx 38 Page 7
distributed by |