23 Nov

Application for quotation of securities - ADX

Application for quotation of +securities Application for quotation of +securities 1 / 15 Announcement Summary Entity name ADX ENERGY LTD Announcement Type New announcement Date of this announcement Tuesday November 23, 2021 The +securities to be quoted are: Total number of +securities to be quoted ASX +security code Security description Number of +securities to be quoted Issue date ADX ORDINARY FULLY PAID 26,369,420 23/11/2021 Refer to next page for full details of the announcement +Securities issued, transferred or re-classified as a result of options being exercised or other +convertible securities being converted Application for quotation of +securities Application for quotation of +securities 2 / 15 Part 1 - Entity and announcement details 1.1 Name of entity ADX ENERGY LTD We (the entity named above) apply for +quotation of the following +securities and agree to the matters set out in Appendix 2A of the ASX Listing Rules. 1.2 Registered number type ABN Registration number 50009058646 1.3 ASX issuer code ADX 1.4 The announcement is 1.5 Date of this announcement 23/11/2021 New announcement Application for quotation of +securities Application for quotation of +securities 3 / 15 Part 2 - Type of Issue 2.1 The +securities to be quoted are: 2.2 The +securities to be quoted are: Additional +securities in a class that is already quoted on ASX ("existing class") +Securities issued, transferred or re-classified as a result of options being exercised or other +convertible securities being converted Application for quotation of +securities Application for quotation of +securities 4 / 15 Part 3B - number and type of +securities to be quoted (existing class) where issue has not previously been notified to ASX in an Appendix 3B Existing +securities converting into additional +securities in an existing class FROM (Existing Class) ASX +security code and description ADXAO : OPTION EXPIRING 31-JUL-2025 EX NIL TO (Existing Class) ASX +security code and description ADX : ORDINARY FULLY PAID Please state the number of options that were exercised or other +convertible securities that were converted 2,273,438 The first date the options were exercised or other +convertible securities were converted 23/11/2021 The last date the options were exercised or other +convertible securities were converted 23/11/2021 Is this all of the options or other +convertible securities on issue of that type (ie have all of those options now been exercised or have all of those convertible securities now been converted)? The right of the holder of the options or other +convertible securities to receive the +underlying securities is being satisfied by: The underlying securities being received by the holder are: Were the options being exercised or other +convertible securities being converted issued under an +employee incentive scheme? Are any of the options being exercised or other +convertible securities being converted held by +key management personnel (KMP) or an +associate? Provide details of the KMP or +associates who are exercising options or converting convertible securities Name of KMP Name of registered holder Number of options being exercised or other +convertible securities being converted Paul Fink Paul Fink 2,273,438 Yes Yes Intended to be, but are not yet, quoted by ASX An issue of new +securities No Application for quotation of +securities Application for quotation of +securities 5 / 15 Issue date 23/11/2021 Will the +securities to be quoted rank equally in all respects from their issue date with the existing issued +securities in that class? Issue details Number of +securities to be quoted 2,273,438 Are the +securities being issued for a cash consideration? Please describe the consideration being provided for the +securities Nil exercise price. Previously issued in lieu of fees of $22,734 Please provide an estimate (in AUD) of the value of the consideration being provided per +security for the +securities to be quoted 0.010000 Any other information the entity wishes to provide about the +securities to be quoted Existing +securities converting into additional +securities in an existing class FROM (Existing Class) ASX +security code and description ADXAN : OPTION EXPIRING 31-MAY-2025 EX NIL TO (Existing Class) ASX +security code and description ADX : ORDINARY FULLY PAID Please state the number of options that were exercised or other +convertible securities that were converted 2,156,252 The first date the options were exercised or other +convertible securities were converted 23/11/2021 The last date the options were exercised or other +convertible securities were converted 23/11/2021 Is this all of the options or other +convertible securities on issue of that type (ie have all of those options now been exercised or have all of those convertible securities now been converted)? No Yes Application for quotation of +securities Application for quotation of +securities 6 / 15 The right of the holder of the options or other +convertible securities to receive the +underlying securities is being satisfied by: The underlying securities being received by the holder are: Were the options being exercised or other +convertible securities being converted issued under an +employee incentive scheme? Are any of the options being exercised or other +convertible securities being converted held by +key management personnel (KMP) or an +associate? Provide details of the KMP or +associates who are exercising options or converting convertible securities Name of KMP Name of registered holder Number of options being exercised or other +convertible securities being converted Paul Fink Paul Fink 2,156,252 Issue date 23/11/2021 Will the +securities to be quoted rank equally in all respects from their issue date with the existing issued +securities in that class? Yes Yes Yes Intended to be, but are not yet, quoted by ASX An issue of new +securities No Application for quotation of +securities Application for quotation of +securities 7 / 15 Issue details Number of +securities to be quoted 2,156,252 Are the +securities being issued for a cash consideration? Please describe the consideration being provided for the +securities Nil exercise price. Previously issued in lieu of fees of $19,406 Please provide an estimate (in AUD) of the value of the consideration being provided per +security for the +securities to be quoted 0.009000 Any other information the entity wishes to provide about the +securities to be quoted Existing +securities converting into additional +securities in an existing class FROM (Existing Class) ASX +security code and description ADXAK : OPTION EXPIRING 31-JAN-2025 EX NIL TO (Existing Class) ASX +security code and description ADX : ORDINARY FULLY PAID Please state the number of options that were exercised or other +convertible securities that were converted 2,632,811 The first date the options were exercised or other +convertible securities were converted 23/11/2021 The last date the options were exercised or other +convertible securities were converted 23/11/2021 Is this all of the options or other +convertible securities on issue of that type (ie have all of those options now been exercised or have all of those convertible securities now been converted)? The right of the holder of the options or other +convertible securities to receive the +underlying securities is being satisfied by: The underlying securities being received by the holder are: Were the options being exercised or other +convertible securities being converted issued under an +employee incentive scheme? Are any of the options being exercised or other +convertible securities being converted held by +key management personnel (KMP) or an +associate? Yes Intended to be, but are not yet, quoted by ASX An issue of new +securities No No No Application for quotation of +securities Application for quotation of +securities 8 / 15 personnel (KMP) or an +associate? Provide details of the KMP or +associates who are exercising options or converting convertible securities Name of KMP Name of registered holder Number of options being exercised or other +convertible securities being converted Paul Fink Paul Fink 2,632,811 Issue date 23/11/2021 Will the +securities to be quoted rank equally in all respects from their issue date with the existing issued +securities in that class? Issue details Number of +securities to be quoted 2,632,811 Are the +securities being issued for a cash consideration? Please describe the consideration being provided for the +securities Nil exercise price. Previously issued in lieu of fees of $15,797 Please provide an estimate (in AUD) of the value of the consideration being provided per +security for the +securities to be quoted 0.006000 Any other information the entity wishes to provide about the +securities to be quoted Existing +securities converting into additional +securities in an existing class FROM (Existing Class) No Yes Yes Application for quotation of +securities Application for quotation of +securities 9 / 15 FROM (Existing Class) ASX +security code and description ADXAH : OPTION EXPIRING 31-OCT-2024 EX NIL TO (Existing Class) ASX +security code and description ADX : ORDINARY FULLY PAID Please state the number of options that were exercised or other +convertible securities that were converted 3,354,910 The first date the options were exercised or other +convertible securities were converted 23/11/2021 The last date the options were exercised or other +convertible securities were converted 23/11/2021 Is this all of the options or other +convertible securities on issue of that type (ie have all of those options now been exercised or have all of those convertible securities now been converted)? The right of the holder of the options or other +convertible securities to receive the +underlying securities is being satisfied by: The underlying securities being received by the holder are: Were the options being exercised or other +convertible securities being converted issued under an +employee incentive scheme? Are any of the options being exercised or other +convertible securities being converted held by +key management personnel (KMP) or an +associate? Provide details of the KMP or +associates who are exercising options or converting convertible securities Name of KMP Name of registered holder Number of options being exercised or other +convertible securities being converted Paul Fink Paul Fink 3,354,910 Issue date 23/11/2021 Will the +securities to be quoted rank equally in all respects from their issue date with the existing issued +securities in that class? Yes Yes Yes Intended to be, but are not yet, quoted by ASX An issue of new +securities No Application for quotation of +securities Application for quotation of +securities 10 / 15 Issue details Number of +securities to be quoted 3,354,910 Are the +securities being issued for a cash consideration? Please describe the consideration being provided for the +securities Nil exercise price. Previously issued in lieu of fees of $23,484 Please provide an estimate (in AUD) of the value of the consideration being provided per +security for the +securities to be quoted 0.007000 Any other information the entity wishes to provide about the +securities to be quoted Existing +securities converting into additional +securities in an existing class FROM (Existing Class) ASX +security code and description ADXAG : OPTION EXPIRING 31-JUL-2024 EX NIL TO (Existing Class) ASX +security code and description ADX : ORDINARY FULLY PAID Please state the number of options that were exercised or other +convertible securities that were converted 3,373,438 The first date the options were exercised or other +convertible securities were converted 23/11/2021 The last date the options were exercised or other +convertible securities were converted 23/11/2021 Is this all of the options or other +convertible securities on issue of that type (ie have all of those options now been exercised or have all of those convertible securities now been converted)? The right of the holder of the options or other +convertible securities to receive the +underlying securities is being satisfied by: The underlying securities being received by the holder are: Were the options being exercised or other +convertible securities being converted issued under an +employee incentive scheme? Are any of the options being exercised or other +convertible securities being converted held by +key management personnel (KMP) or an +associate? Yes Intended to be, but are not yet, quoted by ASX An issue of new +securities No No Application for quotation of +securities Application for quotation of +securities 11 / 15 personnel (KMP) or an +associate? Provide details of the KMP or +associates who are exercising options or converting convertible securities Name of KMP Name of registered holder Number of options being exercised or other +convertible securities being converted Paul Fink Paul Fink 3,373,438 Issue date 23/11/2021 Will the +securities to be quoted rank equally in all respects from their issue date with the existing issued +securities in that class? Issue details Number of +securities to be quoted 3,373,438 Are the +securities being issued for a cash consideration? Please describe the consideration being provided for the +securities Nil exercise price. Previously issued in lieu of fees of $20,241 Please provide an estimate (in AUD) of the value of the consideration being provided per +security for the +securities to be quoted 0.006000 Any other information the entity wishes to provide about the +securities to be quoted Existing +securities converting into additional +securities in an existing class FROM (Existing Class) No Yes Yes Application for quotation of +securities Application for quotation of +securities 12 / 15 FROM (Existing Class) ASX +security code and description ADXAF : OPTION EXPIRING 26-JUN-2024 EX NIL TO (Existing Class) ASX +security code and description ADX : ORDINARY FULLY PAID Please state the number of options that were exercised or other +convertible securities that were converted 6,578,571 The first date the options were exercised or other +convertible securities were converted 23/11/2021 The last date the options were exercised or other +convertible securities were converted 23/11/2021 Is this all of the options or other +convertible securities on issue of that type (ie have all of those options now been exercised or have all of those convertible securities now been converted)? The right of the holder of the options or other +convertible securities to receive the +underlying securities is being satisfied by: The underlying securities being received by the holder are: Were the options being exercised or other +convertible securities being converted issued under an +employee incentive scheme? Are any of the options being exercised or other +convertible securities being converted held by +key management personnel (KMP) or an +associate? Provide details of the KMP or +associates who are exercising options or converting convertible securities Name of KMP Name of registered holder Number of options being exercised or other +convertible securities being converted Paul Fink Paul Fink 6,578,571 Issue date 23/11/2021 Will the +securities to be quoted rank equally in all respects from their issue date with the existing issued +securities in that class? Yes Yes Yes Intended to be, but are not yet, quoted by ASX An issue of new +securities No Application for quotation of +securities Application for quotation of +securities 13 / 15 Issue details Number of +securities to be quoted 6,578,571 Are the +securities being issued for a cash consideration? Please describe the consideration being provided for the +securities Nil exercise price. Previously issued in lieu of fees of $46,050 Please provide an estimate (in AUD) of the value of the consideration being provided per +security for the +securities to be quoted 0.007000 Any other information the entity wishes to provide about the +securities to be quoted Existing +securities converting into additional +securities in an existing class FROM (Existing Class) ASX +security code and description ADXAC : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES TO (Existing Class) ASX +security code and description ADX : ORDINARY FULLY PAID Please state the number of options that were exercised or other +convertible securities that were converted 6,000,000 The first date the options were exercised or other +convertible securities were converted 23/11/2021 The last date the options were exercised or other +convertible securities were converted 23/11/2021 Is this all of the options or other +convertible securities on issue of that type (ie have all of those options now been exercised or have all of those convertible securities now been converted)? The right of the holder of the options or other +convertible securities to receive the +underlying securities is being satisfied by: The underlying securities being received by the holder are: Were the options being exercised or other +convertible securities being converted issued under an +employee incentive scheme? Are any of the options being exercised or other +convertible securities being converted held by +key management personnel (KMP) or an +associate? Yes Intended to be, but are not yet, quoted by ASX An issue of new +securities No No Application for quotation of +securities Application for quotation of +securities 14 / 15 personnel (KMP) or an +associate? Provide details of the KMP or +associates who are exercising options or converting convertible securities Name of KMP Name of registered holder Number of options being exercised or other +convertible securities being converted Ian Tchacos Ian Tchacos 6,000,000 Issue date 23/11/2021 Will the +securities to be quoted rank equally in all respects from their issue date with the existing issued +securities in that class? Issue details Number of +securities to be quoted 6,000,000 Are the +securities being issued for a cash consideration? Please describe the consideration being provided for the +securities Nil exercise price. Previously issued in lieu of fees of $54,000 Please provide an estimate (in AUD) of the value of the consideration being provided per +security for the +securities to be quoted 0.009000 Any other information the entity wishes to provide about the +securities to be quoted Exercise price was 31/05/2023 No Yes Yes Application for quotation of +securities Application for quotation of +securities 15 / 15 Part 4 - Issued capital following quotation Following the quotation of the +securities the subject of this application, the issued capital of the entity will comprise: (A discrepancy in these figures compared to your own may be due to a matter of timing if there is more than one application for quotation/issuance currently with ASX for processing.) 4.1 Quoted +securities (total number of each +class of +securities quoted on ASX following the +quotation of the +securities subject of this application) ASX +security code and description Total number of +securities on issue ADX : ORDINARY FULLY PAID 2,684,686,943 4.2 Unquoted +securities (total number of each +class of +securities issued but not quoted on ASX) ASX +security code and description Total number of +securities on issue ADXAH : OPTION EXPIRING 31-OCT-2024 EX NIL 5,116,071 ADXAG : OPTION EXPIRING 31-JUL-2024 EX NIL 6,078,125 ADXAC : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES 19,279,836 ADXAF : OPTION EXPIRING 26-JUN-2024 EX NIL 6,000,000 ADXAD : OPTION EXPIRING 26-JUN-2021 EX 1.3C 5,000,000 ADXAO : OPTION EXPIRING 31-JUL-2025 EX NIL 2,456,250 ADXAL : OPTION EXPIRING 26-MAY-2022 EX $0.01 67,500,020 ADXAM : OPTION EXPIRING 26-NOV-2023 EX $0.01 67,500,020 ADXAP : PERFORMANCE RIGHTS 46,086,012 ADXAK : OPTION EXPIRING 31-JAN-2025 EX NIL 7,250,000 ADXAN : OPTION EXPIRING 31-MAY-2025 EX NIL 3,145,833
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