For personal use only
This appendix is not available as an online form | |
Please fill in and submit as a PDF announcement | +Rule 3.10.1(c) |
Appendix 3A.5
Notification of return of capital by way of in specie
distribution of +securities in another entity
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.
*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.
Note: This form assumes the entity is an Australian company undertaking a return of capital that is regulated by section 256C of the Corporations Act. It the entity is not an Australian company, it should use the Word version of this form, rather than the online version, and adjust it as necessary.
If the entity is paying a cash dividend at the same time as the return of capital, it must also lodge an Appendix 3A.1 - notification of dividend / distribution.
Part 1 - Entity and announcement details
Question | Question | Answer | ||
no | ||||
1.1 | *Name of entity | Peak Minerals Limited | ||
1.2 | *Registration type and number | ACN 072 692 365 | ||
One of ABN/ARSN/ARBN/ACN or other registration | ||||
type and number (if "other" please specify what type | ||||
of registration number has been provided). | ||||
1.3 | *ASX issuer code | |||
1.4 | *The announcement is | ☐ A new announcement | ||
Select whichever is applicable. | ☒ An update/correction to a previous | |||
announcement | ||||
☐ A cancellation of a previous | ||||
announcement | ||||
1.4a | *Reason for update | Update to reflect: change to Record Date | ||
Answer this question if your response to Q 1.4 is "An | and other changes to calendar, including | |||
update/correction to a previous announcement". | effective date for return of capital and | |||
number of Peak Minerals Limited fully | ||||
paid ordinary shares on issue at the date | ||||
of this notice. | ||||
1.4b | *Date of previous announcement to this | 9 December 2021 | ||
update | ||||
Answer this question if your response to Q 1.4 is "An | ||||
update/correction to a previous announcement". | ||||
1.4c | *Reason for cancellation | N/A | ||
Answer this question if your response to Q 1.4 is "A | ||||
cancellation of a previous announcement". | ||||
1.4d | *Date of previous announcement to this | N/A | ||
cancellation | ||||
Answer this question if your response to Q 1.4 is "A | ||||
cancellation of a previous announcement". | ||||
1.5 | *Date of this announcement | 16 December 2021 | ||
The date of lodgement of the form by the entity via | ||||
ASX Online. | ||||
1.6 | *Applicable ASX +security code and | ASX +security code: PUA | ||
description for return of capital | ||||
+See chapter 19 for defined terms | |
5 June 2021 | Page 1 |
This appendix is not available as an online form | Appendix 3A.5 | ||||
Notification of return of capital by way of in | |||||
specie distribution of +securities in another entity | |||||
Please advise the security to which the notification | +Security description: Fully paid ordinary | ||||
only | applies. Only one security can be advised for each | shares | |||
form. Consequent changes to option pricing are | |||||
covered in later parts of this form. | |||||
1.7 | *Does the entity making the return of | Yes | |||
capital have quoted options on issue | |||||
If you respond "Yes" to this question, you will need | |||||
to answer Q3.2a, 3.3b, 3.5a, 3.6a, 3.7a, 3.8a, 4.5- | |||||
4.5b and 4.6-4.6c. | |||||
1.8 | *Is the return of capital a selective | No | |||
reduction of capital | |||||
use | If you respond "Yes" to this question, you will need | ||||
to answer Q3.1a and 3.1b. | |||||
1.9 | *Is the entity whose +securities are being | No | |||
distributed in the return of capital currently | |||||
listed on ASX | |||||
If you respond "Yes" to this question, you will need | |||||
to answer Q3.3a, 3.5, 3.6, 3.7, 3.8 and 4.1a-b. | |||||
If you respond "No" to this question, you will need to | |||||
answer Q1.10 and 4.1c-f | |||||
personalFor | 1.10 | *Is the entity whose +securities are being | Yes | ||
distributed in the return of capital | |||||
proposing to list on ASX | |||||
Answer this question if your response to Q1.9 is | |||||
"No". | |||||
If you respond "Yes" to this question, you will need | |||||
to answer Q3.3a, 3.5, 3.6, 3.7, 3.8 and 4.1c-f. | |||||
+See chapter 19 for defined terms | |
5 June 2021 | Page 2 |
This appendix is not available as an online formAppendix 3A.5 Notification of return of capital by way of in specie distribution of +securities in another entity
Part 2 - Conditions
only | Question | Question | Answer | |||||
No. | ||||||||
2.1 | *Do any external approvals need to be | Yes | ||||||
obtained or other conditions satisfied before | ||||||||
the return of capital can proceed on an | ||||||||
unconditional basis? | ||||||||
For example this could include: | ||||||||
• | +Security holder approval | |||||||
use | • | Court approval | ||||||
• | Lodgement of court order with +ASIC | |||||||
• | ACCC approval | |||||||
• | FIRB approval | |||||||
• | Another approval/condition external to the | |||||||
entity required to be given/met before | ||||||||
business day 0 of the timetable for the | ||||||||
return of capital. | ||||||||
If any of the above approvals apply to the return of | ||||||||
personal | capital they must be obtained before business day 0 of | |||||||
the Appendix 7A, section 9 timetable. | ||||||||
The purpose of the question is to confirm that relevant | ||||||||
approvals are received prior to ASX establishing an ex | ||||||||
market in the +securities. If the entity wishes to | ||||||||
disclose approvals or conditions which are to be | ||||||||
resolved at a later date it should use Part 5 "Further | ||||||||
information". | ||||||||
2.2 | Approvals | |||||||
Answer this question if your response to Q2.1 is "Yes". | ||||||||
Note: This question refers only to events which take place before business day 0 of the Appendix 7A, section 9 | ||||||||
timetable. The purpose of the question is to confirm that relevant approvals are received prior to ASX establishing an | ||||||||
ex market in the securities. If the entity wishes to disclose approvals or conditions which are to be resolved at a later | ||||||||
date it should use Part 5 "Further information". | ||||||||
*Approval/ | *Date for | *Is the date | **Approval received/ | Comments | ||||
condition Type | determination | estimated or | condition met? | |||||
Select the applicable | The 'date for | actual? | Please respond "Yes" or "No". | |||||
approval/condition | determination' is the | Only answer this question | ||||||
from the list (ignore | date that you expect to | when you know the outcome | ||||||
those that are not | know if the approval is | of the approval. If you lodge | ||||||
applicable). More than | given or condition is | this form before the outcome | ||||||
one approval/condition | satisfied (for example, | of the approval is known, you | ||||||
For | can be selected. | the date of the security | will need to lodge an updated | |||||
holder meeting in the | Appendix 3A.5 showing that all | |||||||
case of security holder | required approvals have been | |||||||
approval or the date of | obtained and conditions have | |||||||
the court hearing in | been met prior to business | |||||||
the case of court | day 0 in the Appendix 7A | |||||||
approval). | section 9 timetable. | |||||||
+Security holder | 8 November 2021 | ☐ | Yes | Approved at | ||||
approval | shareholders | |||||||
Estimated | ||||||||
meeting held 8 | ||||||||
OR | ||||||||
November 2021 | ||||||||
☒ | ||||||||
Actual | ||||||||
+See chapter 19 for defined terms | |
5 June 2021 | Page 3 |
For personal use only
This appendix is not available as an online form | Appendix 3A.5 | ||||||
Notification of return of capital by way of in | |||||||
specie distribution of +securities in another entity | |||||||
Court approval | ☐ | Yes or No | |||||
Estimated | |||||||
OR | |||||||
☐ | |||||||
Actual | |||||||
Lodgement of | ☐ | Yes or No | |||||
court order with | Estimated | ||||||
+ASIC | |||||||
OR | |||||||
☐ | |||||||
Actual | |||||||
ACCC approval | ☐ | Yes or No | |||||
Estimated | |||||||
OR | |||||||
☐ | |||||||
Actual | |||||||
FIRB approval | ☐ | Yes or No | |||||
Estimated | |||||||
OR | |||||||
☐ | |||||||
Actual | |||||||
Other (please | 23 December | ☒ | Yes or No | Vertex Minerals | |||
specify in | 2021 | Limited receiving | |||||
Estimated | |||||||
comment section) | conditional | ||||||
OR | |||||||
approval from ASX | |||||||
☐ | to join the Official | ||||||
List | |||||||
Actual | |||||||
+See chapter 19 for defined terms | |
5 June 2021 | Page 4 |
For personal use only
This appendix is not available as an online formAppendix 3A.5 Notification of return of capital by way of in specie distribution of +securities in another entity
Part 3 - Return of capital timetable and details
Question | Question | Answer | ||
No. | ||||
3.1 | *+Record date | 24 December 2021 | ||
Last day for entity to register transfers on a pre-return | ||||
of capital basis. | ||||
The record date must be at least four business days from the current | ||||
date. The record date is business day 3 in the Appendix 7A, section | ||||
9 timetable. This is three business days after the effective date | ||||
(Q3.1a). | ||||
Please note that the record date and the date that trading in the re- | ||||
organised securities on an "ex return of capital" basis commences | ||||
(Q3.3) cannot be changed (even to postpone or cancel them) any | ||||
later than 12 noon Sydney time on the day before the previously | ||||
advised date that trading in the re-organised securities on an "ex | ||||
return of capital" basis commences (Q3.3). | ||||
3.1a | *Date of lodgement of +security holder resolution | |||
approving the return of capital with +ASIC | N/A | |||
Answer this question if your response to Q1.8 is "Yes". | ☐ | Estimated | ||
Please provide the actual or estimated date that the security holder | ||||
resolution approving the return of capital has been or will be lodged | OR | |||
with ASIC under section 256C(3) of the Corporations Act). | ||||
If an estimated date is provided, please provide the actual date by | ☐ | Actual | ||
way of an update to this form when the resolution has been lodged | ||||
with ASIC. | ||||
This lodgement must occur before business day 0 of the Appendix | ||||
7A, section 9 timetable. | ||||
3.1b | *Date that is fourteen days after the date of lodgement | N/A | ||
of +security holder resolution approving the capital | ☐ | Estimated | ||
return with +ASIC | ||||
Answer this question if your response to Q1.8 is "Yes". | OR | |||
Note this is the earliest date that the entity can make the return of | ☐ | Actual | ||
capital under section 256C(3) of the Corporations Act. | ||||
If an estimated date is provided, please provide the actual date by | ||||
way of an update to this form when the resolution has been lodged | ||||
with ASIC. | ||||
3.1c | *Effective date of the return of capital | 21 December 2021 | ||
In the case of an equal reduction, not earlier than the day after the | ||||
resolution approving the return of capital and, in the case of a | ||||
selective reduction, not earlier than 14 days after the date of | ||||
lodgement of a copy of the resolution approving the return of capital | ||||
with ASIC. | ||||
3.2 | *Last day for trading in "cum return of capital" | 22 December 2021 | ||
+securities | ||||
This is business day 1 in the Appendix 7A, section 9 timetable, two | ||||
business days before the record date, and one business day after the | ||||
effective date. | ||||
3.2a | Last day for trading in pre-return of capital quoted | 22 December 2021 | ||
options. | ||||
Answer this question if your response to Q1.7 is "Yes". | ||||
Note: if the entity has quoted options in which case the exercise price | ||||
will change and new holding statements will be issued to option | ||||
holders | ||||
This is business day 1 in the Appendix 7A, section 9 timetable, two | ||||
business days before the record date, and one business day after the | ||||
effective date. | ||||
+See chapter 19 for defined terms | ||||
5 June 2021 | Page 5 |
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Peak Minerals Ltd. published this content on 16 December 2021 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 16 December 2021 04:38:01 UTC.