Pinnacle Investment Management : Application for quotation of securities

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For personal use only This appendix is available as an online form Only use this form if the online version is not available +Rule 2.8, 3.10.3A to 3.10.3D 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 Pinnacle Investment Management Group We (the entity here named) apply for Limited +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 ACN 100 325 184 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 PNI 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 Answer this question if your response to Q 1.4 is an update/amendment to previous announcement. 1.4b *Date of previous announcement to this N/A update Answer this question if your response to Q 1.4 is an update/amendment to 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 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 you are in any doubt as to the application of, or the entity's capacity to give, this warranty, please see ASIC Regulatory Guide 173 Disclosure for on-sale of securities and other financial products and consult your legal adviser. + See chapter 19 for defined terms Page 1 5 June 2021 For personal use only This appendix is available as an online form Appendix 2A Application for quotation of +securities 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 22 December 2021 Part 2 - Type of issue Question Question Answer No. 2.1 *The +securities to be quoted are: ☒ +Securities issued as part of a Select whichever item is applicable. transaction or transactions previously If you wish to apply for quotation of different types of announced to the market in an issues of securities, please complete a separate Appendix 3B Appendix 2A for each type of issue. ☐ +Securities issued under a +dividend or distribution plan ☐ +Securities issued, transferred or re- classified as a result of options being exercised or other +convertible securities being converted ☐ Unquoted partly paid +securities that have been fully paid up and are now to become quoted fully paid +securities Note: there is no need to apply for quotation of the fully paid securities if the partly paid securities were already quoted ☐ +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 [please specify] If you have selected 'other' please explain the circumstances of the issue here: 2.1a *Have the +securities to be quoted been Yes issued yet? 2.1a.1 *What was their date of issue? 22 December 2021 Answer this question if your response to Q2.1a is "Yes". 2.1a.2 *What is their proposed date of issue? N/A Answer this question if your response to Q2.1a is "No". 2.2a.1 *Date of Appendix 3B notifying the market 23 November 2021 of the proposed issue of +securities for which quotation is now being sought Answer this question if your response to Q2.1 is "Securities 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 5 June 2021 This appendix is available as an online form Appendix 2A Application for quotation of +securities 2.2a.2 *Are there any further issues of +securities No yet to take place to complete the transaction(s) referred to in the only Appendix 3B? Answer this question if your response to Q2.1 is "Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B". 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 "Securities issued as part of a transaction or use 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 personal distribution Answer this question if your response to Q2.1 is "Securities issued under a dividend or distribution plan". 2.2c.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) Answer this question if your response to Q2.1 is "Securities issued, transferred or re-classified as a result of options being exercised or other convertible securities being converted". 2.2c.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, transferred or re-classified as a result of options being exercised or other convertible securities being converted". Note: If this occurred over a range of dates, enter the For first date and last date of the period in which the options were exercised or convertible securities were converted. 2.2c.3 Is this all of the options or other Yes or No +convertible securities on issue of that type Note: If you have answered "No", consider whether (ie have all of those options now been you need to lodge an Appendix 3H with ASX notifying exercised or have all of those convertible ASX of the cessation of some or all of the remaining securities now been converted)? options or other convertible securities under Listing Rule 3.10.E. This may the case, for example, if options Answer this question if your response to Q2.1 is have lapsed because they have passed their expiry "Securities issued, transferred or re-classified as a date without being exercised, or convertible debt result of options being exercised or other convertible securities have been repaid or redeemed without securities being converted". being converted. 2.2c.4 The right of the holder of the options or ☐ An issue of new +securities other +convertible securities to receive the ☐ A transfer of existing +securities +underlying securities is being satisfied by: ☐ A reclassification of the +convertible Answer this question if your response to Q2.1 is "Securities issued, transferred or re-classified as a securities as securities in the same result of options being exercised or other convertible class as the +underlying securities securities being converted". + See chapter 19 for defined terms Page 3 5 June 2021 This appendix is available as an online form Appendix 2A Application for quotation of +securities 2.2c.5 The underlying securities being received by ☐ Already quoted by ASX the holder are: ☐ Intended to be, but are not yet, quoted Answer this question if your response to Q2.1 is by ASX only "Securities issued, transferred or re-classified as a ☐ Are not, and are not intended to be, result of options being exercised or other convertible securities being converted". quoted by ASX 2.2c.6 Were the options being exercised or other Yes or No +convertible securities being converted issued under an +employee incentive scheme? Answer this question if your response to Q2.1 is "Securities issued, transferred or re-classified as a result of options being exercised or other convertible securities being use converted". 2.2c.7 *Are any of the options being exercised or Yes or No other +convertible securities being converted held by +key management personnel (KMP) or an +associate? Answer this question if your response to Q2.1 is "Securities issued, transferred or re-classified as a result of options being exercised or other convertible securities being converted" and your response to Q2.2c.6 is "Yes". personal 2.2c.7.a *Provide details of the KMP or +associates who are exercising options or converting convertible securities. Answer this question if your response to Q2.1 is "Securities issued, transferred or re-classified as a result of options being exercised or other convertible securities being converted", your response to Q2.2c.6 is "Yes" and your response to Q2.2c.7 is "Yes". Repeat the detail in the table below for each KMP involved. If the options or other convertible securities are held by the KMP, repeat the name of the KMP or insert "Same" in "Name of registered holder". If the options or other convertible securities are held by 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 options [200 characters] [200 characters] being exercised or other +convertible securities being converted [16 characters] 2.2d.1 Please state the number and type of unquoted partly paid +securities (including their ASX security code) that have been fully paid up and that are now to become For quoted on ASX Answer this question if your response to Q2.1 is "Partly paid securities that have been fully paid up and are now to become quoted fully paid securities". 2.2d.2 And the date the + securities were fully paid up Answer this question if your response to Q2.1 is "Partly paid securities that have been fully paid up and are now to become quoted fully paid securities". 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 4 5 June 2021 This appendix is available as an online form Appendix 2A Application for quotation of +securities 2.2d.3 Is this all of the partly paid +securities on Yes or No issue of that type (ie have all of those partly Note: If you have answered "No", consider whether paid securities now been fully paid up)? you need to lodge an Appendix 3H with ASX notifying only Answer this question if your response to Q2.1 is ASX of the cessation of some or all of the remaining partly paid securities under Listing Rule 3.10.E. This "Unquoted partly paid securities that have been fully may the case, for example, if partly paid securities that paid up and are now to become quoted fully paid have not had the call paid by the due date will be securities". cancelled. If you are an NL company, consider also whether you have notification obligations in relation to any forfeiture of the partly paid securities not paid up under Listing Rule 3.12. 2.2e.1 Please state the number and type of N/A +restricted securities (including their ASX security code) where the escrow period has use expired or is about to expire Answer this question if your response to Q2.1 is "Restricted securities where the escrow period has expired or is about to expire". 2.2e.2 And the date the escrow restrictions have N/A ceased or will cease Answer this question if your response to Q2.1 is "Restricted securities where the escrow period has expired or is about to expire". Note: If this occurred over a range of dates, enter the personal date the last of the escrow restrictions has ceased or will cease. 2.2f.1 Please state the number and type of N/A +securities (including their ASX security code) previously issued under the +employee incentive scheme where the restrictions on transfer have ceased or are about to cease Answer this question if your response to Q2.1 is "Securities previously issued under an employee incentive scheme where the restrictions on transfer have ceased or are about to cease". 2.2f.2 And the date the restrictions on transfer N/A have ceased or will cease: Answer this question if your response to Q2.1 is "Securities previously issued under an employee incentive scheme where the restrictions on transfer have ceased or are about to cease". Note: If this occurred over a range of dates, enter the date the last of the restrictions on transfer has ceased or will cease. For 2.2g.1 Please state the number and type of N/A +securities (including their ASX security code) issued under the +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 Answer this question if your response to Q2.1 is "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". + See chapter 19 for defined terms Page 5 5 June 2021 This is an excerpt of the original content. To continue reading it, access the original document here .

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