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| Subject: Appendix3B3,000,000SpecialUtilitiesPLC 16/10 | |
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Author: anonymous |
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Date Posted: 00:37:16 10/17/02 Thu ERG LIMITED 2002-10-16 ASX-SIGNAL-G HOMEX - Perth +++++++++++++++++++++++++ APPENDIX 3B NEW ISSUE ANNOUNCEMENT 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 andmay be made public. Introduced 1/7/96. Origin Appendix 5. Amended 1/7/98, 1/9/99, 1/7/2000. Name of Entity ERG Limited ACN or ARBN 23 009 112 725 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 Fully paid ordinary shares or to be issued 2. Number of securities issued 3,000,000 or to be issued (if known) or maximum number which may be issued 3. Principal terms of the securities Same as all other fully paid (eg, if options, exercise price ordinary shares on issue. 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) 4. Do the securities rank equally Yes 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: Each convertible note has a face value of $1.65 and converts into 3 fully paid ordinary shares. 6. Purpose of the issue (if issued as consideration for the acquisition of assets, clearly identify those assets): 3,000,000 ordinary shares issued on conversion of 1,000,000 unlisted convertible notes under the terms of a deed poll between the Company and Corporate Registry Services Pty Ltd dated 15 October 1997. 7. Dates of entering securities 14/10/2002 into uncertified holdings or despatch of certificates NUMBER CLASS 8. Number and class of all 936,747,074 Ordinary shares securities quoted on 18,518,519 Convertible notes ASX (including the maturing 01/10/2005 securities in clause exercisable at $13.50 2 if applicable) 9. Number and class of all securities not quoted on ASX (including the securities in clause 2 if applicable): NUMBER CLASS 8,995,100 Ordinary employee shares. 10,828,989 Convertible notes maturing 15/10/02 exercisable at $1.65. 450,000 Employee options expiring 26/10/02 exercisable at $0.93. 30,000 Employee options expiring 11/01/03 exercisable at $2.59. 15,000 Employee options expiring 12/01/03 exercisable at $2.61. 57,000 Employee options expiring 13/01/03 exercisable at $2.62 45,000 Employee options expiring 14/01/03 exercisable at $2.70 3,000 Employee options expiring 17/11/03 exercisable at $3.18. 3,750,000 Employee options expiring 09/12/08 exercisable at $0.37. 75,000 Employee options expiring 11/12/08 exercisable at $0.38. 2,190,000 Employee options expiring 16/07/09 exercisable at $0.93. 330,000 Employee Options expiring 30/08/09 exercisable at $1.19. 75,000 Employee options expiring 26/11/09 exercisable at $2.60. 75,000 Employee options expiring 29/11/09 exercisable at $2.60. 315,000 Employee options expiring 02/12/09 exercisable at $2.64. 120,000 Employee options expiring 10/01/10 exercisable at $2.54 105,000 Employee options expiring 11/01/10 exercisable at $2.59. 174,000 Employee options expiring 12/01/10 exercisable at $2.61 232,500 Employee options expiring 13/01/10 exercisable at $2.62 235,500 Employee options expiring 14/01/10 exercisable at $2.70. 12,000Employee options expiring 25/02/10 exercisable at $3.75. 180,000 Employee options expiring 14/06/10 exercisable at $3.08. 1,020,000 Employee options expiring 01/11/10 exercisable at $3.23. 1,085,500 Employee options expiring 17/11/10 exercisable at $3.18. 1,000,000 Options expiring 15/03/07 exercisable at $0.376. 7,437,210 Options expiring 01/02/09 exercisable at $0.40. 10.Dividend policy (in the case Ordinary shares in the of a trust, distribution Company are entitled to policy) on the increased participate in dividends capital (interests) declared by directors of the Company from time to time. PART 2 - BONUS ISSUE OR PRO RATA ISSUE Items 11 to 33 are Not Applicable 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) X 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 Entities that have Ticked Box 34(a) Additional Securities Forming a New Class of Securities (If the additional securities do not form a new class, go to 43) Tick to indicate you are providing the information or documents 35. If the securites 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 - 100,000 100,001 - and over 37. A copy of any trust deed for the additional securities (now go to 43) Entities that have Ticked Box 34 (b) Items 38 to 42 are Not Applicable ALL ENTITIES Fees 43. Payment method (tick one) Cheque attached Electronic payment made Note: Payment may be made electronically if Appendix 3B is given to ASX electronically at the same time. X Periodic payment as agreed with the home branch has been arranged Note: Arrangements can be made for employee incentive schemes that involve frequent issues of securities. 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. * 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. * We warrant that if confirmation is required under section 1017F of the Corporations Act in relation to the securities to be quoted, it has been provided 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. C L Barrett-Lennard DIRECTOR/COMPANY SECRETARY 15/10/2002 MORE TO FOLLOW ERG LIMITED 2002-10-16 ASX-SIGNAL-G HOMEX - Perth +++++++++++++++++++++++++ ISSUE OF SHARES TO SPECIAL UTILITIES INVESTMENT TRUST PLC We confirm that 3,000,000 fully paid ordinary ERG Limited (ERG) shares (Shares) have been issued to The Special Utilities Investment Trust PLC (Subscriber), following conversion of 1 million unlisted convertible notes in ERG. The notes were convertedin accordance with the arrangements made with the Subscriber and announced on 12 September 2002. In order to comply with the recent changes to the secondary trading provisions of the Corporations Act 2001 (Cth) (Act), ERG advises that, in relation to the Shares, it relies on the Class Order 02/272 (as amended by Class Order 02/334) issued by the Australian Securities and Investments Commission (ASIC), which grants relief from the secondary trading provisions, in that: 1 the Shares were issued by ERG to the Subscriber on 14 October 2002; 2 none of the Shares issued by ERG to the Subscriber are debentures; 3 the Shares issued by ERG to the Subscriber come within the relief specified in category 5 of Schedule C of the Class Order; 4 in accordance with the substantive relief categories of the Class Order a Reliance Notice will be issued to ASIC within 5 business days after the issue of the Shares by ERG to the Subscriber; and 5 ERG hereby gives notice to the Australian Stock Exchange that all information of the kind that would be required to be disclosed under subsection 713(5) of the Act if a prospectus were issued in reliance on section 713 in relation to an offer of the Shares has been disclosed to Australian Stock Exchange Limited. P Fogarty CHIEF EXECUTIVE [ Next Thread | Previous Thread | Next Message | Previous Message ] |