For personal use only
This appendix is available as an online form | Appendix 3B |
Only use this form if the online version is not available | Proposed issue of +securities |
Appendix 3B
Proposed issue of +securities
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 proposing to issue a new class of +securities other than CDIs, you will need to obtain and provide an International Securities Identification Number (ISIN) for that class. For offers where the +securities proposed to be issued are in an existing class of security, and the event timetable includes rights (or entitlement for non- renounceable issues), and deferred settlement trading or a representation of such, ASX requires the issuer to advise ASX of the ISIN code for the rights (or entitlement), and deferred settlement trading. This code will be different to the existing class. If the securities do not rank equally with the existing class, the same ISIN code will be used for that security to continue to be quoted while it does not rank.
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 | Bubs Australia Limited (Company) |
We (the entity here named) | ||
give ASX the following | ||
information about a | ||
proposed issue of | ||
+securities and, if ASX | ||
agrees to +quote any of the | ||
+securities (including any | ||
rights) on a +deferred | ||
settlement basis, we agree | ||
to the matters set out in | ||
Appendix 3B of the ASX | ||
Listing Rules | ||
1.2 | *Registration type and | ABN 060 094 742 |
number | ||
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 | BUB |
+ See chapter 19 for defined terms | |
18 July 2020 | Page 1 |
1.4 | *This announcement is | ☒ A new announcement | |
Tick whichever is applicable. | ☐ An update/amendment to a previous | ||
only | announcement | ||
☐ A cancellation of a previous announcement | |||
1.4a | update | N/A | |
*Reason for update | |||
Mandatory only if "Update" ticked in | |||
Q1.4 above. A reason must be | |||
provided for an update. | |||
1.4b | *Date of previous | N/A | |
announcement to this | |||
use | Mandatory only if "Update" ticked in | ||
Q1.4 above. | |||
endi1.4 | *Reason for cancellation | N/A | |
c | Mandatory only if "Cancellation" ticked | ||
in Q1.4 above. | |||
1.4d | *Date of previous | N/A | |
announcement to this | |||
cancellation | |||
personal | Mandatory only if "Cancellation" ticked | ||
in Q1.4 above. | |||
1.5 | *Date of this announcement | ☒ A placement or other type of issue (complete Parts 7 | |
5 July 2022 | |||
1.6 | *The proposed issue is: | ☐ A +bonus issue (complete Parts 2 and 8) | |
Note: You can select more than one | ☐ A standard +pro rata issue (non-renounceable | ||
type of issue (e.g. an offer of | |||
securities under a securities purchase | or renounceable) (complete Q1.6a and Parts 3 and 8) | ||
plan and a placement, however ASX | ☒ An accelerated offer (complete Q1.6b and Parts 3 and 8) | ||
may restrict certain events from being | |||
announced concurrently). Please | ☐ An offer of +securities under a +securities | ||
contact your ASX listings compliance | |||
adviser if you are unsure. | purchase plan (complete Parts 4 and 8) | ||
☐ A non-+pro rata offer of +securities under a | |||
+disclosure document or +PDS (complete Parts 5 | |||
and 8) | |||
☐ A non-+pro rata offer to wholesale investors | |||
under an information memorandum (complete Parts | |||
6 and 8) | |||
For | and 8) | ||
+ See chapter 19 for defined terms | |
18 July 2020 | Page 2 |
For personal use only
1.6a | *The proposed standard | ☐ Non-renounceable |
+pro rata issue is: | ☐ Renounceable | |
Answer this question if your response | ||
to Q1.6 is "A standard pro rata issue | ||
(non-renounceable or renounceable)." | ||
Select one item from the list | ||
An issuer whose securities are | ||
currently suspended from trading | ||
cannot proceed with an entitlement | ||
offer that allows rights trading. If your | ||
securities are currently suspended, | ||
please consult your ASX listings | ||
compliance adviser before proceeding | ||
further. | ||
1.6b | *The proposed accelerated | ☒ Accelerated non-renounceable entitlement offer |
offer is: | (commonly known as a JUMBO or ANREO) | |
Answer this question if your response | ☐ Accelerated renounceable entitlement offer | |
to Q1.6 is "An accelerated offer" | (commonly known as an AREO) | |
Select one item from the list | ||
An issuer whose securities are | ☐ Simultaneous accelerated renounceable | |
currently suspended from trading | entitlement offer (commonly known as a | |
cannot proceed with an entitlement | ||
offer that allows rights trading. If your | SAREO) | |
securities are currently suspended, | ☐ Accelerated renounceable entitlement offer with | |
please consult your ASX listings | ||
compliance adviser before proceeding | dual book-build structure (commonly known as | |
further. | a RAPIDS) | |
☐ Accelerated renounceable entitlement offer with | ||
retail rights trading (commonly known as a | ||
PAITREO) | ||
Part 2 has been deleted - not applicable
Part 3 - Details of proposed entitlement offer
If your response to Q1.6 is "A standard pro rata issue (non-renounceable or renounceable)" or "An accelerated offer", please complete parts 3A, 3F and 3G and the details of the securities proposed to be issued in Part 8. Please also complete Parts 3B and 3C if your response to Q1.6 is "A standard pro rata issue (non-renounceable or renounceable)" and Parts 3D and 3E if your response to Q1.6 is "An accelerated offer". Refer to sections 2,3,4,5 and 6 of Appendix 7A of the Listing Rules for the respective timetables for entitlement offers, including non-renounceable, renounceable and accelerated offers.
+ See chapter 19 for defined terms | |
18 July 2020 | Page 3 |
For personal use only
Part 3A - Proposed entitlement offer - conditions
Question | Question | Answer | |
No. | |||
3A.1 | *Are any of the following approvals | No | |
required for the entitlement offer to be | |||
unconditional? | |||
• | +Security holder approval | ||
• | Court approval | ||
• Lodgement of court order with | |||
+ASIC | |||
• | ACCC approval | ||
• | FIRB approval | ||
• | Another approval/condition external | ||
to the entity. |
If any of the above approvals apply to the entitlement offer, they must be obtained before business day 0 of the timetable. The relevant approvals must be received before ASX can establish an ex market in the securities.
3A.1a Conditions
Answer these questions if your response to Q3A.1 is "Yes".
Select the applicable approval(s) from the list. More than one approval can be selected. The "date for determination" is the date that you expect to know if the approval is given (for example, the date of the security holder meeting in the case of +security holder approval or the date of the court hearing in the case of court approval).
*Approval/ condition | *Date for | *Is the date | **Approval received/ | Comments |
Type | determination | estimated or | condition met? | |
actual? | Please respond "Yes" or | |||
"No". Only answer this | ||||
question when you know | ||||
the outcome of the | ||||
approval. Please advise | ||||
before +business day 0 | ||||
of the relevant Appendix | ||||
7A entitlement offer | ||||
timetable. | ||||
+Security holder | ||||
approval | ||||
Court approval | ||||
Lodgement of court | ||||
order with +ASIC | ||||
ACCC approval | ||||
FIRB approval | ||||
Other (please specify | ||||
in comment section) | ||||
Part 3B - Proposed standard pro rata issue entitlement offer - offer details
If your response to Q1.6 is "A standard pro rata issue (non-renounceable or renounceable)", please complete the relevant questions in this part.
+ See chapter 19 for defined terms | |
18 July 2020 | Page 4 |
Question | Question | Answer | |
No. | |||
only | 3B.1 | *Class or classes of +securities that will | |
participate in the proposed entitlement | |||
offer (please enter both the ASX | |||
security code & description) | |||
If more than one class of security will participate in the | |||
proposed entitlement offer, make sure you clearly | |||
identify any different treatment between the classes. | |||
3B.2 | *Class of +securities that will be issued | ||
in the proposed entitlement offer (please | |||
enter both the ASX security code & | |||
use | description) | ||
3B.3 | *Offer ratio | for | |
Enter the quantity of additional securities to be offered | |||
for a given quantity of securities held (for example, 1 | |||
for 2 means 1 new security will be offered for every 2 | |||
existing securities held). | |||
Please only enter whole numbers (for example, an | |||
entitlement offer of 1 new security for every 2.5 existing | |||
securities held should be expressed as "2 for 5"). | |||
personal | Listing rule 7.11.3 requires that non-renounceable | ||
offers must not exceed a ratio of 1:1. Please ensure | |||
that you comply with listing rule 7.11.3 or have a waiver | |||
from that rule. | |||
3B.4 | *What will be done with fractional | ☐Fractions rounded up to the next | |
entitlements? | whole number | ||
Select one item from the list. | ☐Fractions rounded down to the nearest | ||
whole number or fractions | |||
disregarded | |||
☐Fractions sold and proceeds | |||
distributed | |||
☐Fractions of 0.5 or more rounded up | |||
☐Fractions over 0.5 rounded up | |||
☐Not applicable | |||
3B.5 | *Maximum number of +securities | ||
proposed to be issued (subject to | |||
For | rounding) | ||
3B.6 | *Will individual +security holders be | Yes or No | |
permitted to apply for more than their | |||
entitlement (i.e. to over-subscribe)? | |||
3B.6a | *Describe the limits on over-subscription | ||
Answer this question if your response to Q3B.6 is | |||
"Yes". | |||
3B.7 | *Will a scale back be applied if the offer | Yes or No | |
is over-subscribed? | |||
+ See chapter 19 for defined terms | |
18 July 2020 | Page 5 |
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Bubs Australia Limited published this content on 05 July 2022 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 05 July 2022 03:32:09 UTC.