Synertec : Notification of unquoted securities - SOP

About this update from Synertec Corporation Limited

For personal use only This appendix is available as an online form Only use this form if the online version is not available +Rule 3.10.3A, 3.10.3B, 3.10.3C, 3.10.3D Appendix 3G Notification of issue, conversion or payment up of unquoted equity +securities Note: this form is also used to notify ASX where quoted options have been exercised or other quoted convertible securities have been converted and the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX. 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 Synertec Corporation 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 ARBN 161 803 032 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 SOP 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 14 January 2022 + See chapter 19 for defined terms Page 1 5 June 2021 For personal use only This appendix is available as an online form Appendix 3G Notification of issue, conversion or payment up of unquoted equity +securities Part 2 - Type of issue Question Question Answer No. 2.1 *The +securities the subject of this ☒ +Securities issued as part of a notification are: transaction or transactions previously Select whichever item is applicable. announced to the market in an Appendix If you wish to notify ASX of different events involving 3B that are not quoted, and are not unquoted securities, please complete a separate intended to be quoted, on ASX Appendix 3G for each event. ☐ +Securities issued under a +dividend or distribution plan that are not quoted, and are not intended to be quoted, on ASX ☐ Unquoted options that have been exercised or other unquoted +convertible securities that have been converted ☐ Quoted options that have been exercised or other quoted +convertible securities that have been converted where the +securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX ☐ Unquoted partly paid +securities upon which a call or instalment has been paid ☐ +Securities issued under an +employee incentive scheme that are subject to a restriction on transfer and are not being quoted on ASX until the restriction ends ☐ +Other securities issued under an +employee incentive scheme that are not intended to be quoted on ASX ☐ Other [please specify] If you have selected 'other' please explain the circumstances here : 2.1a *Date the +securities the subject of this 14 January 2022 notification were issued Answer this question if your response to Q2.1 is anything other than "Unquoted partly paid securities upon which a call or instalment has been paid" . 2.2a.1 *Date of Appendix 3B notifying the market 16 November 2021 of the proposed issue of +securities the subject of this notification 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 that are not quoted, and are not intended to be quoted, on ASX." + See chapter 19 for defined terms Page 2 5 June 2021 This appendix is available as an online form Appendix 3G Notification of issue, conversion or payment up of unquoted equity +securities 2.2a.2 *Are there any further issues of +securities No yet to take place to complete the only 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 transactions previously announced to the market in an Appendix 3B that are not quoted, and are not intended to be quoted, on ASX". 2.2a.2.1 *Please provide details of the further N/A issues of +securities yet to take place to complete the transaction(s) referred to in use the 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 that are not quoted, and are not intended to be quoted, on ASX" and your response to Q2.2a.2 is "Yes". Please provide details of the proposed dates and number of securities for the further issues. 2.2b.1 Date of Appendix 3A.1 lodged with ASX in N/A personal 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 that are not quoted, and are not intended to be quoted, on ASX". 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 if available): Answer this question if your response to Q2.1 is "Unquoted options that have been exercised or other unquoted convertible securities that have been converted" or "Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX". 2.2c.2 And the date the options were exercised or N/A For other +convertible securities were converted: Answer this question if your response to Q2.1 is "Unquoted options that have been exercised or other unquoted convertible securities that have been converted" or "Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended 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. + See chapter 19 for defined terms Page 3 5 June 2021 This appendix is available as an online form Appendix 3G Notification of issue, conversion or payment up of unquoted equity +securities 2.2c.3 Is this all of the options or other N/A +convertible securities on issue of that type Note: If you have answered "No", consider whether you only (ie have all of those options now been need to lodge an Appendix 3H with ASX notifying ASX exercised or have all of those convertible of the cessation of some or all of the remaining options securities now been converted)? 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 ""Unquoted options that have been exercised or other date without being exercised, or convertible debt unquoted convertible securities that have been securities have been repaid or redeemed without being converted" or "Quoted options that have been converted. exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be use quoted on ASX". 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: Answer this question if your response to Q2.1 is ☐ A reclassification of the +convertible "Unquoted options that have been exercised or other securities as securities in the same class unquoted convertible securities that have been as the +underlying securities converted" or "Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as personal a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX". 2.2c.5 The underlying securities being received ☐ Already quoted by ASX by the holder are: ☐ Intended to be, but are not yet, quoted Answer this question if your response to Q2.1 is by ASX "Unquoted options that have been exercised or other ☐ Are not, and are not intended to be, unquoted convertible securities that have been converted". quoted by ASX 2.2c.6 The underlying securities being received ☐ Already quoted by ASX by the holder are: ☐ Are not, and are not intended to be, Answer this question if your response to Q2.1 is quoted by ASX "Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX". 2.2c.7 *Were the options being exercised or other N/A +convertible securities being converted issued under an +employee incentive For scheme? Answer this question if your response to Q2.1 is "Unquoted options that have been exercised or other unquoted convertible securities that have been converted" or "Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX". + See chapter 19 for defined terms Page 4 5 June 2021 This appendix is available as an online form Appendix 3G Notification of issue, conversion or payment up of unquoted equity +securities 2.2c.8 *Are any of the options being exercised or N/A other +convertible securities being only converted held by +key management personnel (KMP) or an +associate? "Yes". Answer this question if your response to Q2.1 is "Unquoted options that have been exercised or other unquoted convertible securities that have been converted" or "Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX"." and your response to Q2.2c.7 is use 2.2c.8.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 "Unquoted options that have been exercised or other unquoted convertible securities that have been converted" or "Quoted options that have been exercised or other quoted convertible securities that have been converted where the securities received as a result of the exercise or conversion either are already quoted on ASX or are not intended to be quoted on ASX", your response to Q2.2c.7 is "Yes" and your response to Q2.2c.8 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". personal Name of KMP Name of registered holder Number of options being exercised or other +convertible securities being converted 2.2d.1 Please state the number and type of partly N/A paid +securities upon which a call or instalment has been paid (including their ASX security code if available)? Answer this question if your response to Q2.1 is "Unquoted partly paid securities upon which a call or instalment has been paid". 2.2d.2 And the date upon which the call or N/A instalment was paid: For Answer this question if your response to Q2.1 is "Unquoted partly paid securities upon which a call or instalment has been paid". Note: If this occurred over a range of dates, enter the date the last of the payments was made. 2.2d.3 Has the call or instalment been paid on all N/A of the partly paid +securities in question? Note: If you have answered "No", consider whether you Answer this question if your response to Q2.1 is need to lodge an Appendix 3H with ASX notifying ASX "Unquoted partly paid securities upon which a call or of the cessation of some or all of the remaining partly instalment has been paid". paid securities under Listing Rule 3.10.E. This may the case, for example, if partly paid securities that have not had the call paid by the due date will be 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. 2.2d.4 Are the securities on which the call or N/A instalment was paid now fully paid? + 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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