24 Nov

Notification regarding unquoted securities - DKM

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 DUKETON MINING LIMITED Date of this announcement Wednesday November 24, 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 Options exercisable at $0.48 expiring 19 November 2026 2,250,000 24/11/2021 Refer to next page for full details of the announcement +Securities issued under an +employee incentive scheme that are subject to a restriction on transfer and are not being quoted on ASX until the restriction ends 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 DUKETON MINING LIMITED 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 76159084107 1.3 ASX issuer code DKM 1.4 The announcement is 1.5 Date of this announcement 24/11/2021 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") +Securities issued under an +employee incentive scheme that are subject to a restriction on transfer and are not being quoted on ASX until the restriction ends 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 New +securities issued under an +employee incentive scheme ASX +security code New class - code to be confirmed +Security description Options exercisable at $0.48 expiring 19 November 2026 +Security type Options ISIN code Date the +securities the subject of this notification were issued 24/11/2021 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 Seamus Cornelius Seamus Cornelius 500,000 Stuart Fogarty Pato Negro Pty Ltd 1,000,000 Heath Hellewell Nedlands Nominees Pty Ltd 500,000 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://www.asx.com.au/asxpdf/20211020/pdf/451wfvsb1d8bs1.pdf Options Details +Security currency AUD - Australian Dollar Exercise price AUD 0.48000000 Expiry date 19/11/2026 Details of the existing class of +security that will be issued upon exercise or conversion of this new class of company option Other No 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 DKM 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://www.asx.com.au/asxpdf/20211020/pdf/451wfvsb1d8bs1.pdf Any other information the entity wishes to provide about the +securities the subject of this notification Issue details Number of +securities 2,250,000 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 DKM : ORDINARY FULLY PAID 121,114,304 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 DKMAM : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES 7,000,000 DKMAN : OPTION EXPIRING 26-NOV-2025 EX $0.288 2,250,000 DKMAO : OPTION EXPIRING 17-FEB-2026 EX $0.36 410,000 New class - code to be confirmed : Options exercisable at $0.48 expiring 19 November 2026 2,250,000 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? 5.2 Has the entity obtained, or is it obtaining, +security holder approval for the issue under listing rule 7.1? 5.2a Date of meeting or proposed meeting to approve the issue under listing rule 7.1 19/11/2021 Yes No
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