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| Share Name | Share Symbol | Market | Type | Share ISIN | Share Description |
|---|---|---|---|---|---|
| Berkeley Energia Limited | LSE:BKY | London | Ordinary Share | AU000000BKY0 | ORD NPV (DI) |
| Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
|---|---|---|---|---|---|---|---|---|---|---|
| 0.25 | 1.41% | 18.00 | 17.50 | 18.50 | 18.00 | 17.75 | 17.75 | 1,910 | 09:43:53 |
| Industry Sector | Turnover | Profit | EPS - Basic | PE Ratio | Market Cap |
|---|---|---|---|---|---|
| Gold Ores | 0 | -1.37M | -0.0031 | -109.68 | 151.57M |
TIDMBKY
RNS Number : 0611G
Berkeley Energia Limited
13 March 2020
BERKELEY ENERGIA LIMITED
NEWS RELEASE | 13 March 2020 | LSE/BME/ASX: BKY
Issue of unlisted options, Appendix 3G and Change of Directors Interest Notice
Berkeley Energia Limited (Company) has today issued 7,200,000 unlisted options to key employees pursuant to the Company's new shareholder Employee Equity Incentive Plan. Further details have been provided below in the Appendix 3G.
An Appendix 3G and 3Y has been provided below.
For further information, please contact:
For further information please contact:
Robert Behets Dylan Browne Acting Managing Director CFO and Company Secretary
+61 8 9322 6322
info@berkeleyenergia.com
Appendix 3G
Notification of issue, conversion or payment up of equity +securities
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 public.
If you are an entity incorporated outside Australia and you are issuing a new class of +securities other than CDIs, you will need to obtain and provide an International Securities Identification Number (ISIN) for that class. Further information on the requirement for the notification of an ISIN is available from the Create Online Forms page. ASX is unable to create the new ISIN for non-Australian issuers.
*Denotes minimum information required for first lodgement of this form, with exceptions provided in specific notes for certain questions. The balance of the information, where applicable, must be provided as soon as reasonably practicable by the entity.
Part 1 - Entity and announcement details
Hot Features
Premium
Question Question Answer
no
1.1 *Name of entity Berkeley Energia Limited
We (the entity here named)
give notice of the issue,
conversion or payment up
of the following unquoted
+securities.
--------------------------------------------------- --------------------------------------
1.2 *Registration type and number ABN: 40 052 468 569
Please supply your ABN, ARSN,
ARBN, ACN or another registration
type and number (if you supply
another registration type,
please specify both the type
of registration and the registration
number).
--------------------------------------------------- --------------------------------------
1.3 *ASX issuer code BKY
--------------------------------------------------- --------------------------------------
1.4 *This announcement is A new announcement
Tick whichever is applicable. An update/amendment to a
previous announcement
A cancellation of a previous
announcement
--------------------------------------------------- --------------------------------------
1.4a *Reason for update N/A
Mandatory only if "Update"
ticked in Q1.4 above. A reason
must be provided for an update.
--------------------------------------------------- --------------------------------------
1.4b *Date of previous announcement N/A
to this update
Mandatory only if "Update"
ticked in Q1.4 above.
--------------------------------------------------- --------------------------------------
1.4c *Reason for cancellation N/A
Mandatory only if "Cancellation"
ticked in Q1.4 above.
--------------------------------------------------- --------------------------------------
1.4d *Date of previous announcement N/A
to this cancellation
Mandatory only if "Cancellation"
ticked in Q1.4 above.
--------------------------------------------------- --------------------------------------
1.5 *Date of this announcement 13 March 2020
--------------------------------------------------- --------------------------------------
Part 2 - Type of issue
Question Question Answer
No.
2.1 *The + +Securities issued as a result
securities the of options being exercised
subject or other +convertible +securities
of this being converted and that are
notification not to be quoted on ASX
are: Partly paid +securities that
Select whichever have been fully paid up and
item is that are not to be quoted
applicable. on ASX
If you wish to +Securities issued under
notify ASX an +employee incentive scheme
of different that are not being immediately
types of issues quoted on ASX
of securities, Other [please specify]
please complete If you have selected 'other'
a separate please provide the circumstances
Appendix 3G for of the issue here :
each type of
issue.
------------------------------ -------------------------------------------------------------------------------------------------
2.2a.1 Please state the N/A
number and
type of options
that were
exercised or
other
+convertible
securities that
were converted
(including their
ASX security
code if
available)?
Answer this
question if your
response to Q2.1
is "securities
issued as a
result of
options
being exercised
or other
convertible
securities being
converted and
that are not
to be quoted on
ASX".
------------------------------ -------------------------------------------------------------------------------------------------
2.2a.2 And the date the N/A
options
were exercised
or other
+convertible
securities were
converted:
Answer this
question if your
response to Q2.1
is "securities
issued as a
result of
options
being exercised
or other
convertible
securities being
converted and
that are not
to be quoted on
ASX".
Note: If this
occurred over
a range of
dates, enter the
date the last of
the options
was exercised or
convertible
securities was
converted.
------------------------------ -------------------------------------------------------------------------------------------------
2.2b.1 Please state the N/A
number and
type of partly
paid +securities
that were fully
paid up
(including
their ASX
security code if
available)?
Answer this
question if your
response to Q2.1
is "partly
paid securities
that have
been paid up and
that are
not to be quoted
on ASX".
------------------------------ -------------------------------------------------------------------------------------------------
2.2b.2 And the date the N/A
+ securities
were fully paid
up:
Answer this
question if your
response to Q2.1
is "partly
paid securities
that have
been paid up and
that are
not to be quoted
on ASX".
Note: If this
occurred over
a range of
dates, enter the
date the last of
the securities
was fully paid
up.
------------------------------ -------------------------------------------------------------------------------------------------
2.2c.1 Please state the 1) 3,700,000 unlisted options
number and exercisable at $0.35 each
type of on or before 31 December 2022
+securities 2) 3,700,000 unlisted options
(including exercisable at $0.40 each
their ASX on or before 31 December 2023
security code)
issued under an
+employee
incentive scheme
that are
not being
immediately
quoted
on ASX
Answer this
question if your
response to Q2.1
is "securities
issued under an
employee
incentive scheme
that are
not being
immediately
quoted
on ASX".
------------------------------ -------------------------------------------------------------------------------------------------
2.2c.2 *Please attach a Refer to Notice of Meeting
document https://www.berkeleyenergia.com/wp-content/uploads/2020/01/200107-Notice-of-Meeting
or provide -Berkeley-Energia_final-ASX.pdf
details of a URL
link for a
document lodged
with ASX
detailing the
terms
of the +
employee
incentive
scheme or a
summary of the
terms.
Answer this
question if your
response to Q2.1
is "securities
issued under an
employee
incentive scheme
that are
not being
immediately
quoted
on ASX".
------------------------------ -------------------------------------------------------------------------------------------------
2.2c.3 *Are any of Yes
these
+securities
being issued to
+key management
personnel (KMP)
or an +associate
Answer this
question if your
response to Q2.1
is "securities
issued under an
employee
incentive scheme
that are
not being
immediately
quoted
on ASX".
------------------------------ -------------------------------------------------------------------------------------------------
2.2c.3.a *Provide details of the recipients and the number of
+securities issued to each of them.
Answer this question if your response to Q2.1 is "securities
issued under an employee incentive scheme that are not
being immediately quoted on ASX" and your response to
Q2.2c.3 is "Yes". Repeat the detail in the table below
for each KMP involved in the issue. If the securities
are being issued to the KMP, repeat the name of the KMP
or insert "Same" in "Name of registered holder". If the
securities are being issued to an associate of a KMP,
insert the name of the associate in "Name of registered
holder".
Name of KMP Name of Number of
registered +securities
holder
Mr Robert Mr Robert 1) 1,000,000
Behets Arthur $0.35
Behets options
2) 1,000,000
$0.40
options
--------------------------- -----------------------------
Mr Francisco Mr Francisco 1) 1,000,000
Bellon De Paula $0.35
Bellon Del options
Rosal 2) 1,000,000
$0.40
options
--------------------------- -----------------------------
Mr Dylan Mr Dylan Paul 1) 350,000
Browne Browne $0.35
options
2) 300,000
$0.40
options
--------------------------- -----------------------------
---------------------------------------------------------------------------------------------------------------------------------
2.2d.1 * The purpose(s) To raise additional working
for which capital
the entity is To fund the retirement of
issuing the debt
+securities is: To pay for the acquisition
Answer this of an asset [provide details
question if your below]
response to Q2.1 To pay for services rendered
is "Other". [provide details below]
You may select Other [provide details below]
one or more Additional details :
of the items in N/A
the list.
------------------------------ -------------------------------------------------------------------------------------------------
2.2d.2 Please provide N/A
any further
information
needed to
understand
the
circumstances in
which
you are
notifying the
issue
of these
+securities to
ASX,
including (if
applicable)
why the issue of
the +securities
has not been
previously
announced
to the market in
an Appendix
3B
You must answer
this question
if your response
to Q2.1
is "Other". If
there is no
other
information to
provide,
please answer
"Not applicable"
or "N/A".
------------------------------ -------------------------------------------------------------------------------------------------
2.3 *The +securities Additional +securities in
being issued an existing unquoted class
are: that is already recorded by
Tick whichever ASX ("existing class")
is applicable New +securities in an unquoted
class that is not yet recorded
by ASX ("new class")
------------------------------ -------------------------------------------------------------------------------------------------
Part 3A - number and type of +securities being issued (existing class)
Answer the questions in this part if your response to Q2.3 is "existing class".
Question Question Answer
No.
3A.1 *ASX security code & description N/A
---------------------------------------------------------------------- -------
3A.2 *Number of +securities being N/A
issued
---------------------------------------------------------------------- -------
3A.3a *Will the +securities being N/A
issued rank equally in all
respects from their issue
date with the existing issued
+securities in that class?
---------------------------------------------------------------------- -------
3A.3b *Is the actual date from which N/A
the +securities will rank
equally (non-ranking end date)
known?
Answer this question if your
response to Q3A.3a is "No".
---------------------------------------------------------------------- -------
3A.3c *Provide the actual non-ranking N/A
end date
Answer this question if your
response to Q3A.3a is "No"
and your response to Q3A.3b
is "Yes".
---------------------------------------------------------------------- -------
3A.3d *Provide the estimated non-ranking N/A
end period
Answer this question if your
response to Q3A.3a is "No"
and your response to Q3A.3b
is "No".
---------------------------------------------------------------------- -------
3A.3e *Please state the extent to N/A
which the +securities do not
rank equally:
* in relation to the next dividend, distribution or
interest payment; or
* for any other reason
Answer this question if your
response to Q3A.3a is "No".
For example, the securities
may not rank at all, or may
rank proportionately based
on the percentage of the period
in question they have been
on issue, for the next dividend,
distribution or interest payment;
or they may not be entitled
to participate in some other
event, such as an entitlement
issue.
---------------------------------------------------------------------- -------
Part 3B - number and type of +securities being issued (new class)
Answer the questions in this part if your response to Q2.3 is "new class".
Question Question Answer
No.
3B.1 *Security description 1) 3,700,000 unlisted options
exercisable at $0.35 each
on or before 31 December
2022
2) 3,700,000 unlisted options
exercisable at $0.40 each
on or before 31 December
2023
-------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------
3B.2 *Security type Ordinary fully or partly
Select one item from the list paid shares/units
that best describes the securities Options
the subject of this form. +Convertible debt securities
This will determine more detailed Non-convertible +debt securities
questions to be asked about Redeemable preference shares/units
the security later in this Other
section. Select "ordinary
fully or partly paid shares/units"
for stapled securities or
CDIs. For interest rate securities,
please select the appropriate
choice from either "Convertible
debt securities" or "Non-convertible
debt securities". Select "Other"
for performance shares/units
and performance options/rights
or if the selections available
in the list do not appropriately
describe the security being
issued.
-------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------
3B.3 ISIN code N/A
Answer this question if you
are an entity incorporated
outside Australia and you
are issuing a new class of
securities other than CDIs.
See also the note at the top
of this form.
-------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------
3B.4 *Number of +securities being As above in 3B.1
issued
-------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------
3B.5a *Will all the +securities Yes
issued in this class rank
equally in all respects from
the issue date?
-------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------
3B.5b *Is the actual date from which N/A
the +securities will rank
equally (non-ranking end date)
known?
Answer this question if your
response to Q3B.5a is "No".
-------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------
3B.5c *Provide the actual non-ranking N/A
end date
Answer this question if your
response to Q3B.5a is "No"
and your response to Q3B.5b
is "Yes".
-------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------
3B.5d *Provide the estimated non-ranking N/A
end period
Answer this question if your
response to Q3B.5a is "No"
and your response to Q3B.5b
is "No".
-------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------
3B.5e *Please state the extent to N/A
which the +securities do not
rank equally:
* in relation to the next dividend, distribution or
interest payment; or
* for any other reason
Answer this question if your
response to Q3B.5a is "No".
For example, the securities
may not rank at all, or may
rank proportionately based
on the percentage of the period
in question they have been
on issue, for the next dividend,
distribution or interest payment;
or they may not be entitled
to participate in some other
event, such as an entitlement
issue.
-------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------
3B.6 Please attach a document or Refer to Notice of Meeting
provide a URL link for a document https://www.berkeleyenergia.com/wp-content/uploads/2020/01/200107-Notice-of-Meeting
lodged with ASX setting out -Berkeley-Energia_final-ASX.pdf
the material terms of the
+securities being issued
You may cross reference a
disclosure document, PDS,
information memorandum, investor
presentation or other announcement
with this information provided
it has been released to the
ASX Market Announcements Platform.
-------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------
3B.7 *Have you received confirmation No
from ASX that the terms of
the +securities are appropriate
and equitable under listing
rule 6.1?
Answer this question only
if you are an ASX Listing.
(ASX Foreign Exempt Listings
and ASX Debt Listings do not
have to answer this question).
If your response is "No" and
the securities have any unusual
terms, you should approach
ASX as soon as possible for
confirmation under listing
rule 6.1 that the terms are
appropriate and equitable.
-------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------
3B.8a Ordinary fully or partly paid shares/units details
Answer the questions in this section if you selected
this security type in your response to Question 3B.2.
-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------
* + Security currency N/A
This is the currency in which
the face amount of an issue
is denominated. It will also
typically be the currency
in which distributions are
declared.
------------------------------------------------------------------------ ---------------------------------------------------------------------------------------------------
*Will there be CDIs issued N/A
over the + securities?
------------------------------------------------------------------------ ---------------------------------------------------------------------------------------------------
*CDI ratio N/A
Answer this question if you
answered "Yes" to the previous
question. This is the ratio
at which CDIs can be transmuted
into the underlying security
(e.g. 4:1 means 4 CDIs represent
1 underlying security whereas
1:4 means 1 CDI represents
4 underlying securities).
------------------------------------------------------------------------ ---------------------------------------------------------------------------------------------------
*Is it a partly paid class N/A
of + security?
------------------------------------------------------------------------ ---------------------------------------------------------------------------------------------------
*Paid up amount: unpaid amount N/A
Answer this question if answered
"Yes" to the previous question.
The paid up amount represents
the amount of application
money and/or calls which
have been paid on any security
considered 'partly paid'
The unpaid amount represents
the unpaid or yet to be called
amount on any security considered
'partly paid'.
The amounts should be provided
per the security currency
(e.g. if the security currency
is AUD, then the paid up
and unpaid amount per security
in AUD).
------------------------------------------------------------------------ ---------------------------------------------------------------------------------------------------
*Is it a stapled + security? N/A
This is a security class
that comprises a number of
ordinary shares and/or ordinary
units issued by separate
entities that are stapled
together for the purposes
of trading.
------------------------------------------------------------------------ ---------------------------------------------------------------------------------------------------
3B.8b Option details
Answer the questions in this section if you selected
this security type in your response to Question 3B.2.
-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------
* + Security currency Australian Dollars
This is the currency in which
the exercise price is payable.
------------------------------------------------------------------------ ---------------------------------------------------------------------------------------------------
*Exercise price 1) $0.35
The price at which each option 2) $0.40
can be exercised and convert
into the underlying security.
If there is no exercise price
please answer as $0.00.
The exercise price should
be provided per the security
currency (i.e. if the security
currency is AUD, the exercise
price should be expressed
in AUD).
------------------------------------------------------------------------ ---------------------------------------------------------------------------------------------------
*Expiry date 1) 31 December 2022
The date on which the options 2) 31 December 2023
expire or terminate.
------------------------------------------------------------------------ ---------------------------------------------------------------------------------------------------
*Details of the number and One fully paid ordinary share
type of + security (including (ASX:BKY)
its ASX security code if
the + security is quoted
on or recorded by ASX) that
will be issued if an option
is exercised
For example, if the option
can be exercised to receive
one fully paid ordinary share
with ASX security code ABC,
please insert "One fully
paid ordinary share (ASX:ABC)".
------------------------------------------------------------------------ ---------------------------------------------------------------------------------------------------
3B.8c Details of non-convertible +debt securities, +convertible
debt securities, or redeemable preference shares/units
Answer the questions in this section if you selected
one of these security types in your response to Question
3B.2.
Refer to Guidance Note 34 and the " Guide to the Naming
Conventions and Security Descriptions for ASX Quoted
Debt and Hybrid Securities " for further information
on certain terms used in this section
-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------
*Type of + security Simple corporate bond
Select one item from the Non-convertible note or bond
list Convertible note or bond
Preference share/unit
Capital note
Hybrid security
Other
------------------------------------------------------------------------ ---------------------------------------------------------------------------------------------------
* + Security currency N/A
This is the currency in which
the face value of the security
is denominated. It will also
typically be the currency
in which interest or distributions
are paid.
------------------------------------------------------------------------ ---------------------------------------------------------------------------------------------------
Face value N/A
This is the principal amount
of each security.
The face value should be
provided per the security
currency (i.e. if security
currency is AUD, then the
face value per security in
AUD).
------------------------------------------------------------------------ ---------------------------------------------------------------------------------------------------
*Interest rate type Fixed rate
Select one item from the Floating rate
list Indexed rate
Select the appropriate interest Variable rate
rate type per the terms of Zero coupon/no interest
the security. Definitions Other
for each type are provided
in the Guide to the Naming
Conventions and Security
Descriptions for ASX Quoted
Debt and Hybrid Securities
------------------------------------------------------------------------ ---------------------------------------------------------------------------------------------------
Frequency of coupon/interest Monthly
payments per year Quarterly
Select one item from the Semi-annual
list. Annual
No coupon/interest payments
Other
------------------------------------------------------------------------ ---------------------------------------------------------------------------------------------------
First interest payment date N/A
A response is not required
if you have selected "No
coupon/interest payments"
in response to the question
above on the frequency of
coupon/interest payments
------------------------------------------------------------------------ ---------------------------------------------------------------------------------------------------
Interest rate per annum N/A
Answer this question if the
interest rate type is fixed.
------------------------------------------------------------------------ ---------------------------------------------------------------------------------------------------
*Is the interest rate per N/A
annum estimated at this time?
Answer this question if the
interest rate type is fixed.
------------------------------------------------------------------------ ---------------------------------------------------------------------------------------------------
If the interest rate per N/A
annum is estimated, then
what is the date for this
information to be announced
to the market (if known)
Answer this question if the
interest rate type is fixed
and your response to the
previous question is "Yes".
Answer "Unknown" if the date
is not known at this time.
------------------------------------------------------------------------ ---------------------------------------------------------------------------------------------------
*Does the interest rate include N/A
a reference rate, base rate
or market rate (e.g. BBSW
or CPI)?
Answer this question if the
interest rate type is floating
or indexed
------------------------------------------------------------------------ ---------------------------------------------------------------------------------------------------
*What is the reference rate, N/A
base rate or market rate?
Answer this question if the
interest rate type is floating
or indexed and your response
to the previous question
is "Yes".
------------------------------------------------------------------------ ---------------------------------------------------------------------------------------------------
*Does the interest rate include N/A
a margin above the reference
rate, base rate or market
rate?
Answer this question if the
interest rate type is floating
or indexed.
------------------------------------------------------------------------ ---------------------------------------------------------------------------------------------------
*What is the margin above N/A
the reference rate, base
rate or market rate (expressed
as a percent per annum)
Answer this question if
the interest rate type is
floating or indexed and your
response to the previous
question is "Yes" .
------------------------------------------------------------------------ ---------------------------------------------------------------------------------------------------
*S128F of the Income Tax s128F exempt
Assessment Act status applicable Not s128F exempt
to the + security s128F exemption status unknown
Select one item from the Not applicable
list
For financial products which
are likely to give rise to
a payment to which s128F
of the Income Tax Assessment
Act applies, ASX requests
issuers to confirm the s128F
status of the security:
* "s128F exempt" means interest payments are not
taxable to non-residents;
* "Not s128F exempt" means interest payments are
taxable to non-residents;
* "s128F exemption status unknown" means the issuer is
unable to advise the status;
* "Not applicable" means s128F is not applicable to
this security
------------------------------------------------------------------------ ---------------------------------------------------------------------------------------------------
*Is the + security perpetual N/A
(i.e. no maturity date)?
------------------------------------------------------------------------ ---------------------------------------------------------------------------------------------------
*Maturity date N/A
Answer this question if the
security is not perpetual
------------------------------------------------------------------------ ---------------------------------------------------------------------------------------------------
*Select other features applicable Simple
to the + security Subordinated
Up to 4 features can be selected. Secured
Further information is available Converting
in the Guide to the Naming Convertible
Conventions and Security Transformable
Descriptions for ASX Quoted Exchangeable
Debt and Hybrid Securities. Cumulative
Non-Cumulative
Redeemable
Extendable
Reset
Step-Down
Step-Up
Stapled
None of the above
------------------------------------------------------------------------ ---------------------------------------------------------------------------------------------------
*Is there a first trigger N/A
date on which a right of
conversion, redemption, call
or put can be exercised (whichever
is first)?
------------------------------------------------------------------------ ---------------------------------------------------------------------------------------------------
*If yes, what is the first N/A
trigger date
Answer this question if
your response to the previous
question is "Yes" .
------------------------------------------------------------------------ ---------------------------------------------------------------------------------------------------
Details of the number and N/A
type of + security (including
its ASX security code if
the + security is quoted
on ASX) that will be issued
if the securities to be quoted
are converted, transformed
or exchanged
Answer this question if the
security features include
"converting", "convertible",
"transformable" or "exchangeable".
For example, if the security
can be converted into 1,000
fully paid ordinary shares
with ASX security code ABC,
please insert "1,000 fully
paid ordinary shares (ASX:ABC)".
------------------------------------------------------------------------ ---------------------------------------------------------------------------------------------------
Part 4 - Issue details
Question Question Answer
No.
4.1 *Have the +securities been Yes
issued yet?
------------------------------------------------- ----------------------------
4.1a *What was their date of issue? 13 March 2020
Answer this question if your
response to Q4.1 is "Yes".
------------------------------------------------- ----------------------------
4.1b *What is their proposed date N/A
of issue?
Answer this question if your
response to Q4.1 is "No".
------------------------------------------------- ----------------------------
4.2 *Are the +securities being No
issued for a cash consideration?
If the securities are being
issued for nil cash consideration,
answer this question "No".
------------------------------------------------- ----------------------------
4.2a *In what currency is the N/A
cash consideration being
paid
For example, if the consideration
is being paid in Australian
Dollars, state AUD.
Answer this question if your
response to Q4.2 is "Yes".
------------------------------------------------- ----------------------------
4.2b * What is the issue price N/A
per +security
Answer this question if your
response to Q4.2 is "Yes"
and by reference to the issue
currency provided in your
response to Q4.2a.
Note: you cannot enter a
nil amount here. If the securities
are being issued for nil
cash consideration, answer
Q4.2 as "No" and complete
Q4.2c.
------------------------------------------------- ----------------------------
4.2c Please describe the consideration Issue pursuant to an equity
being provided for the +securities incentive plan
Answer this question if your
response to Q4.2 is "No".
------------------------------------------------- ----------------------------
4.3 Any other information the N/A
entity wishes to provide
about the issue
------------------------------------------------- ----------------------------
Part 5 - Unquoted +securities on issue
Following the issue of the +securities the subject of this application,
the unquoted issued +securities of the entity will comprise:
Note: the figures provided in the table in section 5.1 below
are used to calculate part of the total market capitalisation
of the entity published by ASX from time to time. Please make
sure you include in the table each class of unquoted securities
issued by the entity.
Restricted securities should be included in table 5.1.
5.1 *ASX security code and *Total number of +securities
description on issue
200,000 Performance Share Rights subject
to various performance conditions
to be satisfied prior to relevant
milestones or expiry dates between
100,880,000 31 December 2020 and 31 December
2021
Convertible loan note with a
10,088,625 principal amount of US$65 million,
convertible into 100,880,000
ordinary shares at a conversion
price of GBP0.50 per share expiring
15,132,937 30 November 2021
Unlisted options exercisable
at GBP0.60 each, vesting on
25,221,562 conversion of the Convertible
Loan Note and expiring the earlier
of 12 months after vesting or
on 30 November 2022
Unlisted options at GBP0.75
each, vesting on conversion
of the Convertible Loan Note
and expiring the earlier of
18 months after vesting or on
30 May 2023
Unlisted options exercisable
at GBP1.00 each, vesting on
conversion of the Convertible
Loan Note and expiring the earlier
of 24 months after vesting or
on 30 November 2023.
--------------------------------------------------
--------------------------------------------------------------------------------------------------------
Part 6 - Other Listing Rule requirements
The questions in this Part should only be answered if you are an ASX Listing (ASX Foreign Exempt Listings and ASX Debt Listings do not need to complete this Part) and:
- your response to Q2.1 is "+securities issued under an +employee incentive scheme that are not being immediately quoted on ASX"; or
- your response to Q2.1 is "Other"
Question Question Answer
No.
6.1 *Are the securities being Yes
issued under Listing Rule
7.2 exception 13 and therefore
the issue does not need any
security holder approval under
Listing Rule 7.1?
Answer this question if your
response to Q2.1 is "securities
issued under an employee incentive
scheme that are not being
immediately quoted on ASX".
------------------------------------------------- --------------------
6.2 *Has the entity obtained, N/A
or is it obtaining, +security
holder approval for the issue
under listing rule 7.1?
Answer this question if the
response to Q6.1 is "No".
------------------------------------------------- --------------------
6.2a *Date of meeting or proposed N/A
meeting to approve the issue
under listing rule 7.1
Answer this question if the
response to Q6.1 is "No" and
the response to Q6.2 is "Yes".
------------------------------------------------- --------------------
6.2b *Are any of the +securities No
being issued without +security
holder approval using the
entity's 15% placement capacity
under listing rule 7.1?
Answer this question if the
response to Q6.1 is "No" and
the response to Q6.2 is "No".
------------------------------------------------- --------------------
6.2b.1 *How many +securities are N/A
being issued without +security
holder approval using the
entity's 15% placement capacity
under listing rule 7.1?
Answer this question if the
response to Q6.1 is "No",
the response to Q6.2 is "No"
and the response to Q6.2b
is "Yes".
Please complete and separately
send by email to your ASX
listings adviser a work sheet
in the form of Annexure B
to Guidance Note 21 confirming
the entity has the available
capacity under listing rule
7.1 to issue that number of
securities.
------------------------------------------------- --------------------
6.2c *Are any of the +securities No
being issued without +security
holder approval using the
entity's additional 10% placement
capacity under listing rule
7.1A (if applicable)?
Answer this question if the
response to Q6.1 is "No" and
the response to Q6.2 is "No".
------------------------------------------------- --------------------
6.2c.1 *How many +securities are N/A
being issued without +security
holder approval using the
entity's additional 10% placement
capacity under listing rule
7.1A?
Answer this question if the
response to Q6.1 is "No",
the response to Q6.2 is "No"
and the response to Q6.2c
is "Yes".
Please complete and separately
send by email to your ASX
listings adviser a work sheet
in the form of Annexure C
to Guidance Note 21 confirming
the entity has the available
capacity under listing rule
7.1A to issue that number
of securities.
------------------------------------------------- --------------------
Introduced 01/12/19; amended 31/01/20
Appendix 3Y
Change of Director's Interest Notice
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 public.
Introduced 30/09/01 Amended 01/01/11
Name of entity Berkeley Energia Limited ABN 40 052 468 569
We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.
Name of Director Robert Behets
Date of last notice 6 January 2020
----------------------------
Part 1 - Change of director's relevant interests in securities
In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust
Note: In the case of a company, interests which come within paragraph (i) of the definition of "notifiable interest of a director" should be disclosed in this part.
Direct or indirect interest Direct and Indirect
Nature of indirect interest Mr Robert Arthur Behets +
(including registered holder) Mrs Kristina Jane Behets <Behets
Note: Provide details of the Family A/C>
circumstances giving rise to (beneficial interest)
the relevant interest.
-----------------------------------------------
Date of change 13 March 2020
-----------------------------------------------
No. of securities held prior A: 2,490,000
to change B: Nil
C: Nil
-----------------------------------------------
Class A: Ordinary Shares
B: Unlisted Options exercisable
at $0.35 each on or before
31 December 2022
C: Unlisted Options exercisable
at $0.40 each on or before
31 December 2023
-----------------------------------------------
Number acquired A: Nil
B: 1,000,000
C: 1,000,000
-----------------------------------------------
Number disposed Nil
-----------------------------------------------
Value/Consideration Nil - see nature of change
Note: If consideration is non-cash, section below
provide details and estimated
valuation
-----------------------------------------------
No. of securities held after A: 2,490,000
change B: 1,000,000
C: 1,000,000
-----------------------------------------------
Nature of change Issue of Unlisted Options
Example: on-market trade, off-market following shareholder approval
trade, exercise of options,
issue of securities under dividend
reinvestment plan, participation
in buy-back
-----------------------------------------------
Part 2 - Change of director's interests in contracts
Note: In the case of a company, interests which come within paragraph (ii) of the definition of "notifiable interest of a director" should be disclosed in this part.
Detail of contract Not applicable
Nature of interest
---------------
Name of registered holder
(if issued securities)
---------------
Date of change
---------------
No. and class of securities
to which interest related
prior to change
Note: Details are only
required for a contract
in relation to which
the interest has changed
---------------
Interest acquired
---------------
Interest disposed
---------------
Value/Consideration
Note: If consideration
is non-cash, provide
details and an estimated
valuation
---------------
Interest after change
---------------
Part 3 - + Closed period
Were the interests in the securities Not applicable
or contracts detailed above traded
during a + closed period where prior
written clearance was required?
If so, was prior written clearance Not applicable
provided to allow the trade to proceed
during this period?
----------------------------
If prior written clearance was provided, Not applicable
on what date was this provided?
----------------------------
Initial notification/Amendment Initial
LEI 213800JX3V4TPO7TCJ08
-------------------------------
Place of transaction Australian Securities Exchange
-------------------------------
This information is provided by RNS, the news service of the London Stock Exchange. RNS is approved by the Financial Conduct Authority to act as a Primary Information Provider in the United Kingdom. Terms and conditions relating to the use and distribution of this information may apply. For further information, please contact rns@lseg.com or visit www.rns.com.
END
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March 13, 2020 03:55 ET (07:55 GMT)
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