23 Nov

Notification regarding unquoted securities - ADX

Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 1 / 7 Announcement Summary Entity name ADX ENERGY LTD Date of this announcement Tuesday November 23, 2021 The +securities the subject of this notification are: Total number of +securities to be issued/transferred ASX +security code Security description Total number of +securities to be issued/transferred Issue date New class - code to be confirmed Unlisted Options expiring 31/10/2025 6,321,427 23/11/2021 Refer to next page for full details of the announcement +Other securities issued under an +employee incentive scheme that are not intended to be quoted on ASX Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 2 / 7 Part 1 - Entity and announcement details 1.1 Name of entity ADX ENERGY LTD We (the entity named above) give notice of the issue, conversion or payment up of the following unquoted +securities. 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 Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 3 / 7 Part 2 - Issue details 2.1 The +securities the subject of this notification are: 2.2a This notification is given in relation to an issue of +securities in a class which is not quoted on ASX and which: does not have an existing ASX security code ("new class") +Other securities issued under an +employee incentive scheme that are not intended to be quoted on ASX Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 4 / 7 Part 3C - number and type of +securities the subject of this notification (new class) where issue has not previously been notified to ASX in an Appendix 3B ASX +security code New class - code to be confirmed +Security description Unlisted Options expiring 31/10/2025 +Security type Options ISIN code Date the +securities the subject of this notification were issued 23/11/2021 Will all the +securities issued in this class rank equally in all respects from their issue date? Were any of the +securities issued to +key management personnel (KMP) or an +associate? Provide details of the KMP or +associates being issued +securities. Name of KMP Name of registered holder Number of +securities Ian Tchacos Ian Tcahcos 3,294,642 Paul Fink Paul Fink 3,026,785 Have you received confirmation from ASX that the terms of the +securities are appropriate and equitable under listing rule 6.1? Please provide a URL link for a document lodged with ASX setting out the material terms of the +securities being issued. https://cdn-api.markitdigital.com/apiman-gateway/ASX/asx-research/1.0/file/2924-02366152-6A1029433?access_token=8 3ff96335c2d45a094df02a206a39ff4 Options Details +Security currency AUD - Australian Dollar Exercise price AUD 0.00000000 Expiry date 31/10/2025 Details of the existing class of +security that will be issued upon exercise or conversion of this new class of company option Other Yes Yes Yes Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 5 / 7 Description Fully Paid Ordinary Shares Please provide a URL link for a document lodged with ASX detailing the terms of the +employee incentive scheme or a summary of the terms https://cdn-api.markitdigital.com/apiman-gateway/ASX/asx-research/1.0/file/2924-02366152-6A1029433?access_token=8 3ff96335c2d45a094df02a206a39ff4 Any other information the entity wishes to provide about the +securities the subject of this notification These unlisted options were issued to directors in lieu of a portion of fees for the quarter ended 30 September 2021 (value $44,250) Issue details Number of +securities 6,321,427 Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 6 / 7 Part 4 - +Securities on issue Following the issue, conversion or payment up of the +securities the subject of this application, the +securities 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) ASX +security code and description Total number of +securities on issue ADX : ORDINARY FULLY PAID 2,658,317,523 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 8,470,981 ADXAG : OPTION EXPIRING 31-JUL-2024 EX NIL 9,451,563 ADXAC : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES 25,279,836 ADXAF : OPTION EXPIRING 26-JUN-2024 EX NIL 12,578,571 ADXAD : OPTION EXPIRING 26-JUN-2021 EX 1.3C 5,000,000 ADXAO : OPTION EXPIRING 31-JUL-2025 EX NIL 4,729,688 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 9,882,811 ADXAN : OPTION EXPIRING 31-MAY-2025 EX NIL 5,302,085 New class - code to be confirmed : Unlisted Options expiring 31/10/2025 6,321,427 Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 7 / 7 Part 5 - Other Listing Rule requirements 5.1 Were the +securities issued under an exception in Listing Rule 7.2 and therefore the issue did not need any security holder approval under Listing Rule 7.1? 5.1a Select the number of the applicable exception in Listing Rule 7.2 14 Yes
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