22 December 2020
ASX Announcement
Exercise of Options
GWR Group Limited (ASX:GWR) ("GWR Group" or "the Company") is pleased to advise that it has received valid exercise notices relating to 8,600,000 options held by a number of Directors, employees and consultants to the Company.
An Appendix 2A and cleansing notice are attached for immediate release.
For further information please contact:
Adrian Costello | David Utting | Mark Pitts |
General Manager | David Utting Corporate | Company Secretary |
Ph: +61 8 9322 6666 | Ph: +61 416187462 |
- adrianc@gwrgroup.com.auE:david@davidutting.comE:markp@endeavourcorp.com.au
This ASX announcement was authorised for release by the Mark Pitts, Company Secretary of GWR Group Ltd
This appendix is not available as an online form | |
Please fill in and submit as a PDF announcement | +Rule 2.7 |
Appendix 2A
Application for quotation of +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 seeking quotation of 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 | GWR Group Limited | |
We (the entity here named) apply for | |||
+quotation of the following +securities and | |||
agree to the matters set out in | |||
Appendix 2A of the ASX Listing Rules.1 | |||
1.2 | *Registration type and number | ABN 87 095 092 158 | |
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 | GWR | |
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 | ||
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 | ||
update | |||
Mandatory only if "Update" ticked in Q1.4 above. | |||
1.4c | *Reason for cancellation | ||
Mandatory only if "Cancellation" ticked in Q1.4 above. | |||
1.4d | *Date of previous announcement to this | ||
cancellation | |||
Mandatory only if "Cancellation" ticked in Q1.4 above. | |||
1 Appendix 2A of the Listing Rules includes a warranty that an offer of the securities for sale within 12 months after their issue will not require disclosure under section 707(3) or 1012C(6) of the Corporations Act. If the securities to be quoted have been issued by way of a pro rata offer, to give this warranty, you will generally need to have lodged a cleansing notice with ASX under section 708AA(2)(f) or 1012DAA(2)(f) of the Corporations Act within 24 hours before the securities are offered (see ASIC Regulatory Guide 189 Disclosure relief for rights issues). If in doubt, please consult your legal adviser.
+ See chapter 19 for defined terms | Page 1 |
31 January 2020 |
This appendix is not available as an online form | Appendix 2A | |||||
Please fill in and submit as a PDF announcement | Application for quotation of +securities | |||||
1.5 | *Date of this announcement | 22 December 2020 | ||||
Part 2 - Type of issue | ||||||
Question | Question | Answer | ||||
No. | ||||||
2.1 | *The +securities to be quoted are: | ☐ Being issued as part of a transaction or | ||||
Select whichever item is applicable. | transactions previously announced to | |||||
If you wish to apply for quotation of different types of | the market in an Appendix 3B | |||||
issues of securities, please complete a separate | ☐ Being issued under a +dividend or | |||||
Appendix 2A for each type of issue. | ||||||
distribution plan | ||||||
☒ Being issued as a result of options | ||||||
being exercised or other +convertible | ||||||
securities being converted | ||||||
☐ Unquoted partly paid +securities that | ||||||
have been paid up and are now quoted | ||||||
fully paid +securities | ||||||
☐ +Restricted securities where the escrow | ||||||
period has expired or is about to expire | ||||||
☐ +Securities previously issued under an | ||||||
+employee incentive scheme where the | ||||||
restrictions on transfer have ceased or | ||||||
are about to cease | ||||||
☐ +Securities issued under an +employee | ||||||
incentive scheme that are not subject to | ||||||
a restriction on transfer or that are to be | ||||||
quoted notwithstanding there is a | ||||||
restriction on transfer | ||||||
☐ Other | ||||||
2.2a.1 | *Date of Appendix 3B notifying the market | N/A | ||||
of the proposed issue of +securities for | ||||||
which quotation is now being sought | ||||||
Answer this question if your response to Q2.1 is "Being | ||||||
issued as part of a transaction or transactions | ||||||
previously announced to the market in an Appendix | ||||||
3B" | ||||||
2.2a.2 | *Are there any further issues of +securities | N/A | ||||
yet to take place to complete the | ||||||
transaction(s) referred to in the | ||||||
Appendix 3B? | ||||||
Answer this question if your response to Q2.1 is "Being | ||||||
issued as part of a transaction or transactions | ||||||
previously announced to the market in an Appendix | ||||||
3B". | ||||||
+ See chapter 19 for defined terms | Page 2 |
31 January 2020 |
This appendix is not available as an online form | Appendix 2A | |||
Please fill in and submit as a PDF announcement | Application for quotation of +securities | |||
2.2a.2.1 | *Please provide details of the further issues | N/A | ||
of +securities yet to take place to complete | ||||
the transaction(s) referred to in the | ||||
Appendix 3B | ||||
Answer this question if your response to Q2.1 is "Being | ||||
issued as part of a transaction or transactions | ||||
previously announced to the market in an Appendix | ||||
3B" and your response to Q2.2a.2 is "Yes". | ||||
Please provide details of the proposed dates and | ||||
number of securities for the further issues. This may | ||||
be the case, for example, if the Appendix 3B related to | ||||
an accelerated pro rata offer with an institutional | ||||
component being quoted on one date and a retail | ||||
component being quoted on a later date. | ||||
2.2b.1 | *Date of Appendix 3A.1 lodged with ASX in | N/A | ||
relation to the underlying +dividend or | ||||
distribution | ||||
Answer this question if your response to Q2.1 is "Being | ||||
issued under a dividend or distribution plan". | ||||
2.2b.2 | *Does the +dividend or distribution plan | N/A | ||
meet the requirement of listing rule 7.2 | ||||
exception 4 that it does not impose a limit | ||||
on participation? | ||||
Answer this question if your response to Q2.1 is "Being | ||||
issued under a dividend or distribution plan". | ||||
Note: Exception 4 only applies where security holders | ||||
are able to elect to receive all of their dividend or | ||||
distribution as securities. For example, Exception 4 | ||||
would not apply in the following circumstances: 1) The | ||||
entity has specified a dollar limit on the level of | ||||
participation e.g. security holders can only participate | ||||
to a maximum value of $x in respect of their | ||||
entitlement, or 2) The entity has specified a maximum | ||||
number of securities that can participate in the plan | ||||
e.g. security holders can only receive securities in lieu | ||||
of dividend payable for x number of securities. | ||||
2.2c.1 | Please state the number and type of | GWRAA - Unlisted Options Exercisable at | ||
options that were exercised or other | $0.04 on or before 23 December 2020 - | |||
+convertible securities that were converted | 1,600,000 | |||
(including their ASX security code) | ||||
Answer this question if your response to Q2.1 is "Being | GWRAA - Unlisted Options Exercisable at | |||
issued as a result of options being exercised or other | $0.05 on or before 23 December 2020 - | |||
convertible securities being converted". | ||||
1,600,000 | ||||
GWRAA - Unlisted Options Exercisable at | ||||
$0.06 on or before 23 December 2020 - | ||||
4,800,000 | ||||
GWRAA - Unlisted Options Exercisable at | ||||
$0.06 on or before 6 February 2021 - | ||||
600,000 | ||||
Total options exercised - 8,600,000 | ||||
+ See chapter 19 for defined terms | Page 3 |
31 January 2020 |
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