Sonic Healthcare : Appendix 3GOpens in a new Window

This appendix is not available as an online form
Please fill in and submit as a PDF announcement	+Rule 3.10.3A, 3.10.3B, 3.10.3C

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

Question	Question	Answer
no
1.1	*Name of entity	Sonic Healthcare 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 24 004 196 909
	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	SHL
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 to this	N/A
	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 to this	N/A
	cancellation
	Mandatory only if "Cancellation" ticked in Q1.4 above.
1.5	*Date of this announcement	18 November 2020

+ See chapter 19 for defined terms	Page 1
31 January 2020

	This appendix is not available as an online form	Appendix 3G
	Please fill in and submit as a PDF announcement	Notification of issue, conversion or
			payment up of equity +securities
	Part 2 - Type of issue
	Question	Question	Answer
	No.
	2.1	*The +securities the subject of this	☐ +Securities issued as a result of options
		notification are:	being exercised or other +convertible
		Select whichever item is applicable.	+securities being converted and that are
		If you wish to notify ASX of different types of issues of	not to be quoted on ASX
		securities, please complete a separate Appendix 3G	☐ Partly paid +securities that have been
		for each type of issue.	fully paid up and that are not to be
			quoted on ASX
			☒ +Securities issued under an +employee
			incentive scheme that are not being
			immediately quoted on ASX
			☐ Other [please specify]
			If you have selected 'other' please provide the
			circumstances of the issue here:
	2.2a.1	Please state the number and type of	N/A
		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 options were exercised or	N/A
		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 number and type of partly	N/A
		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 +securities were fully paid	N/A
		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.

+ See chapter 19 for defined terms	Page 2
31 January 2020

	This appendix is not available as an online form	Appendix 3G
	Please fill in and submit as a PDF announcement	Notification of issue, conversion or
			payment up of equity +securities
	2.2c.1	Please state the number and type of	527,191 Options
		+securities (including their ASX security	72,196 Performance Rights
		code) issued under an +employee
		incentive scheme that are not being	Grant Date of Options and Performance
		immediately quoted on ASX
		Rights: 18 November 2020
		Answer this question if your response to Q2.1 is
		Performance Rights Exercise Price: Nil
		"securities issued under an employee incentive
		scheme that are not being immediately quoted on	Up to 527,191 Options at $34.21 exercise
		ASX".
			price per option issued under the Sonic
			Healthcare Limited Employee Option Plan
			and 69,624 Performance Rights issued
			under the Sonic Healthcare Limited
			Performance Rights Plan to Sonic's
			Managing Director and Finance Director as
			the long term incentive components of their
			remuneration through to the 2023 financial
			year pursuant to shareholder approval
			received at the 2020 AGM. These options
			and performance rights are exercisable from
			18/11/2023 until 18/11/2025 (expiry date),
			subject to satisfaction of performance
			conditions.
			2,572 performance rights issued pursuant to
			the terms of the Sonic Healthcare Limited
			Performance Rights Plan, exercisable from
			1 March 2021 until 1 October 2021 (expiry
			date) subject to vesting conditions. Upon
			vesting and exercise in accordance with
			those plan terms, each performance right
			will vest and entitle the holder to one fully-
			paid ordinary share (ASX: SHL). The
			holders will be restricted from disposing of
			the shares allocated on exercise of these
			performance rights until 1 October 2021.
	2.2c.2	*Please attach a document or provide	https://investors.sonichealthcare.com/FormB
		details of a URL link for a document lodged	uilder/_Resource/_module/T8Ln_c4ibUqyFn
		with ASX detailing the terms of the	nNe9zNRA/docs/agm/2020/SHL_2020_Noti
		+employee incentive scheme or a	ce_of_Meeting.pdf
		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 these +securities being issued	Yes
		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".

+ See chapter 19 for defined terms	Page 3
31 January 2020

	This appendix is not available as an online form		Appendix 3G
	Please fill in and submit as a PDF announcement	Notification of issue, conversion or
					payment up of equity +securities
	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 registered holder	Number of +securities
			Dr Colin Goldschmidt	Dr Colin Goldschmidt	432,136
			Mr Christopher Wilks	Mr Christopher Wilks	164,679
	2.2d.1		*The purpose(s) for which the entity is	☐ To raise additional working capital
			issuing the +securities is:		☐ To fund the retirement of debt
			Answer this question if your response to Q2.1 is
			☐ To pay for the acquisition of an asset
			"Other".
			You may select one or more of the items in the list.	[provide details below]
					☐ To pay for services rendered
					[provide details below]
					☐ Other [provide details below]
					Additional details:
	2.2d.2		Please provide 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 being issued are:	☒ Additional +securities in an existing
			Tick whichever is applicable		unquoted class that is already recorded
					by ASX ("existing class")
					☐ 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	ASX: SHLAK
		ASX: SHLAZ
3A.2	*Number of +securities being issued	599,387
3A.3a	*Will the +securities being issued rank	Yes
	equally in all respects from their issue date
	with the existing issued +securities in that
	class?

+ See chapter 19 for defined terms	Page 4
31 January 2020