Source: http://docplayer.net/15227332-Oilex-wishes-to-advise-that-8-737-500-unlisted-options-with-an-exercise-price-of-0-37-expired-on-10-november-2014.html
Timestamp: 2018-12-14 02:20:33
Document Index: 485343296

Matched Legal Cases: ['art 1', 'art 2', 'art 3', 'art 1', 'art 1', 'art 2', 'art 1', 'art 1']

Oilex wishes to advise that 8,737,500 Unlisted Options with an exercise price of $0.37 expired on 10 November PDF
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1 11 November 2014 Company Announcements Office ASX Limited 4 th Floor 20 Bridge Street Sydney NSW 2000 Dear Sirs Expiry of Unlisted Options Oilex wishes to advise that 8,737,500 Unlisted Options with an exercise price of $0.37 expired on 10 November Attached is an Appendix 3B. For and on behalf of Oilex Ltd Christopher Bath Chief Financial Officer and Company Secretary cc: Directors - MC/BMc/SB/RM ABN Level 1, 660 Newcastle Street, Leederville WA 6007 Australia; PO Box 38 Leederville WA 6902 Australia Telephone: (61 8) Facsimile: (61 8) Web:
2 Rule 2.7, , , , application for quotation of additional securities and agreement 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 01/07/96 Origin: Appendix 5 Amended 01/07/98, 01/09/99, 01/07/00, 30/09/01, 11/03/02, 01/01/03, 24/10/05, 01/08/12, 04/03/13 Name of entity OILEX LTD ABN We (the entity) give ASX the following information. Part 1 - All issues You must complete the relevant sections (attach sheets if there is not enough space). 1 Class of securities issued or to be issued 2 Number of securities issued or to be issued (if known) or maximum number which may be issued 3 Principal terms of the securities (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) 04/03/2013 Appendix 3B Page 1
3 4 Do the securities rank equally in all respects from the date of allotment with an existing class 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 5 Issue price or consideration 6 Purpose of the issue (If issued as consideration for the acquisition of assets, clearly identify those assets) 6a Is the entity an eligible entity that has obtained security holder approval under rule 7.1A? Yes If Yes, complete sections 6b 6h in relation to the securities the subject of this Appendix 3B, and comply with section 6i 6b The date the security holder resolution under rule 7.1A was passed 11 November c Number of securities issued without security holder approval under rule 7.1 6d Number of securities issued with security holder approval under rule 7.1A 6e Number of securities issued with security holder approval under rule 7.3, or another specific security holder approval (specify date of meeting) 6f Number of securities issued under an exception in rule 7.2 6g If securities issued under rule 7.1A was issue price at least 75% of 15 day VWAP as calculated under rule 7.1A.3? Include the issue date and both values. Include the source of the VWAP calculation. 6h If securities were issued under rule 7.1A for non-cash consideration, state date on which valuation of consideration was released to ASX Market Announcements 04/03/2013 Appendix 3B Page 2
4 6i Calculate the entity s remaining issue capacity under rule 7.1 and rule 7.1A complete Annexure 1 and release to ASX Market Announcements ,999, A - 59,832,980 7 Issue dates Notes: The issue date may be prescribed by ASX (refer to the definition of issue date in rule 19.12). For example, the issue date for a pro rata entitlement issue must comply with the applicable timetable in appendix 7A. Cross reference: item 33 of Appendix 3B. 8 Number and class of all securities quoted on ASX (including the securities in section 2 if applicable) Number 616,929, ,597,091 Class Fully Paid Ordinary Shares Options exercisable at $0.15 each by 07/09/ Number and class of all securities not quoted on ASX (including the securities in section 2 if applicable) Number 75,000 3,000,000 1,000,000 5,000, ,000 2,000,000 2,000,000 3,000,000 1,000, , ,000 1,325,000 1,500,000 2,000, ,000 1,325,000 4,000,000 1,500,000 Class $0.63 Options due 01/08/2015 $0.15 Options due 17/12/2015 $0.15 Options due 30/01/2016 $0.25 Options due 08/03/2016 $0.15 Options due 27/06/2016 $0.15 Options due 04/11/2016 $0.15 Options due 11/11/2016 $0.15 Options due 05/12/2016 $0.25 Options due 30/01/2017 $0.15 Options due 10/03/2017 $0.25 Options due 27/06/2017 $0.25 Options due 05/08/2017 $0.25 Options due 25/08/2017 $0.25 Options due 11/11/2017 $0.25 Options due 10/03/2018 $0.35 Options due 05/08/2018 $0.15 Options due 29/04/2019 $0.35 Options due 25/08/ Dividend policy (in the case of a trust, distribution policy) on the increased capital (interests) Not applicable 04/03/2013 Appendix 3B Page 3
5 Part 2 - Pro rata issue 11 Is security holder approval required? Not applicable 12 Is the issue renounceable or nonrenounceable? 13 Ratio in which the securities will be offered 14 Class of securities to which the offer relates 15 Record date to determine entitlements 16 Will holdings on different registers (or subregisters) be aggregated for calculating entitlements? 17 Policy for deciding entitlements in relation to fractions 18 Names of countries in which the entity has security holders who will not be sent new issue documents Note: Security holders must be told how their entitlements are to be dealt with. Cross reference: rule Closing date for receipt of acceptances or renunciations 20 Names of any underwriters 21 Amount of any underwriting fee or commission 22 Names of any brokers to the issue 23 Fee or commission payable to the broker to the issue 04/03/2013 Appendix 3B Page 4
6 24 Amount of any handling fee payable to brokers who lodge acceptances or renunciations on behalf of security holders 25 If the issue is contingent on security holders approval, the date of the meeting 26 Date entitlement and acceptance form and offer documents will be sent to persons entitled 27 If the entity has issued options, and the terms entitle option holders to participate on exercise, the date on which notices will be sent to option holders 28 Date rights trading will begin (if applicable) 29 Date rights trading will end (if applicable) 30 How do security holders sell their entitlements in full through a broker? 31 How do security holders sell part of their entitlements through a broker and accept for the balance? 32 How do security holders dispose of their entitlements (except by sale through a broker)? 33 Issue date Part 3 - Quotation of securities You need only complete this section if you are applying for quotation of securities 34 Type of securities (tick one) (a) Securities described in Part 1 (b) All other securities Example: restricted securities at the end of the escrowed period, partly paid securities that become fully paid, employee incentive share securities when restriction ends, securities issued on expiry or conversion of convertible securities 04/03/2013 Appendix 3B Page 5
7 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 36 If the securities are equity securities, a distribution schedule of the additional securities setting out the number of holders in the categories 1-1,000 1,001-5,000 5,001-10,000 10, , ,001 and over 37 A copy of any trust deed for the additional securities Entities that have ticked box 34(b) 38 Number of securities for which quotation is sought Not applicable 39 Class of securities for which quotation is sought 40 Do the securities rank equally in all respects from the issue date with an existing class 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 now Example: In the case of restricted securities, end of restriction period (if issued upon conversion of another security, clearly identify that other security) 04/03/2013 Appendix 3B Page 6
8 42 Number and class of all securities quoted on ASX (including the securities in clause 38) Number Class Quotation agreement 1 Quotation of our additional securities is in ASX s absolute discretion. ASX may quote the securities on any conditions it 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 warranties from subscribers for the securities in order 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 person has the right to return the securities to be quoted under section 1019B of the Corporations Act at 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. Date: 11 November 2014 Christopher Bath (Chief Financial Officer / Company Secretary) 04/03/2013 Appendix 3B Page 7
9 Appendix 3B Annexure 1 Calculation of placement capacity under rule 7.1 and rule 7.1A for eligible entities Introduced 01/08/12, Amended 04/03/13 Part 1 Rule 7.1 Issues exceeding 15% of capital Step 1: Calculate A, the base figure from which the placement capacity is calculated Insert number of fully paid ordinary securities on issue 12 months before the issue date or date of agreement to issue 422,778,499 Add the following: Number of fully paid ordinary securities issued in that 12 month period under an exception in rule (issued 12/11/2013) 400 (issued 04/02/2014) 1,351,610 (issued 31/07/2014) 3,379,348 (issued 01/08/2014) 2,350,000 (issued 05/08/2014) 7,740 (issued 08/08/2014) 115,000 (issued 11/08/2014) 4,380 (issued 28/08/2014) 84,942 (issued 16/09/2014) 2,000 (issued 03/11/2014) Number of fully paid ordinary securities issued in that 12 month period with shareholder approval 93,000,000 (issued 24/02/2014) 1,750,000 (issued 29/04/2014) 73,505,090 (issued 14/05/2014) Number of partly paid ordinary securities that became fully paid in that 12 month period Nil Note: Include only ordinary securities here other classes of equity securities cannot be added Include here (if applicable) the securities the subject of the Appendix 3B to which this form is annexed It may be useful to set out issues of securities on different dates as separate line items Subtract the number of fully paid ordinary securities cancelled during that 12 month period Nil A 598,329,809 04/03/2013 Appendix 3B Page 8
10 Step 2: Calculate 15% of A B 0.15 Multiply A by ,749,471 [Note: this value cannot be changed] Step 3: Calculate C, the amount of placement capacity under rule 7.1 that has already been used Insert number of equity securities issued or agreed to be issued in that 12 month period not counting those issued: Under an exception in rule 7.2 Under rule 7.1A With security holder approval under rule 7.1 or rule 7.4 Note: This applies to equity securities, unless specifically excluded not just ordinary securities Include here (if applicable ) the securities the subject of the Appendix 3B to which this form is annexed It may be useful to set out issues of securities on different dates as separate line items C 27,750,000 3,000,000 options (issued 05/12/2013) 500,000 options (issued 10/03/2014) 18,600,000 shares (issued 15/07/2014) 2,650,000 options (issued 05/08/2014) 3,000,000 options (issued 25/08/2014) Step 4: Subtract C from [ A x B ] to calculate remaining placement capacity under rule 7.1 A x 0.15 Note: number must be same as shown in Step 2 Subtract C Note: number must be same as shown in Step 3 89,749,471 27,750,000 Total [ A x 0.15] C 61,999,471 [Note: this is the remaining placement capacity under rule 7.1] 04/03/2013 Appendix 3B Page 9
11 Part 2 Rule 7.1A Additional placement capacity for eligible entities Step 1: Calculate A, the base figure from which the placement capacity is calculated A Note: number must be same as shown in Step 1 of Part 1 598,329,809 Step 2: Calculate 10% of A D 0.10 Multiply A by ,832,980 Note: this value cannot be changed Step 3: Calculate E, the amount of placement capacity under rule 7.1A that has already been used Insert number of equity securities issued or agreed to be issued in that 12 month period under rule 7.1A Notes: This applies to equity securities not just ordinary securities Include here if applicable the securities the subject of the Appendix 3B to which this form is annexed Do not include equity securities issued under rule 7.1 (they must be dealt with in Part 1), or for which specific security holder approval has been obtained It may be useful to set out issues of securities on different dates as separate line items E - Step 4: Subtract E from [ A x D ] to calculate remaining placement capacity under rule 7.1A A x 0.10 Note: number must be same as shown in Step 2 Subtract E Note: number must be same as shown in Step 3 59,832,980 - Total [ A x 0.10] E 59,832,980 Note: this is the remaining placement capacity under rule 7.1A 04/03/2013 Appendix 3B Page 10