Ark Mines : Information Form and Checklist

For personal use only

	Information Form and Checklist
	(ASX Listing)
Name of entity			ABN/ACN/ARBN/ARSN
Ark Mines Ltd			123 668 717

We (the entity named above) supply the following information and documents to support our application for admission to the official list of ASX Limited (ASX) as an ASX Listing.

Note: by giving an Appendix 1A Application for Admission to the ASX Official List (ASX Listing) to ASX, the entity is taken to have warranted that all of the information and documents it has given, or will give, to ASX in connection with its admission to the official list and the quotation of its securities are, or will be, accurate, complete and not misleading. It also indemnifies ASX to the fullest extent permitted by law in respect of any claim, action or expense arising from, or connected with, any breach of that warranty (see Appendix 1A of the ASX Listing Rules).

The information and documents referred to in this Information Form and Checklist (including any annexures to it) are covered by the warranty and indemnity mentioned above.

Terms used in this Information Form and Checklist and in any Annexures have the same meaning as in the ASX Listing Rules.

Part 1 - Key Information

Instructions: please complete each applicable item below. If an item is not applicable, please mark it as "N/A".

All entities - corporate details1

Type of Australian registration	ACN
number given above (eg ABN, ACN,
ARSN or ARBN)
Legal entity identifier, if applicable
Place of incorporation or	NSW, Australia
establishment
Date of incorporation or	9 February 2007
establishment
Legislation under which incorporated	Corporations Act 2001
or established
Address of registered office in place	Ian B Mitchell and Associates
of incorporation or establishment	Level 9, MLC Centre
		19-29 Martin Place
		Sydney, NSW 2000
Main business activity	Mineral exploration
Country where main business activity	Australia
is mostly carried on
Other exchanges on which the entity	N/A
is listed

1 If the entity applying for admission to the official list is a stapled group, please provide these details for each entity comprising the stapled group.

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For personal use only

Street address of principal	Ian B Mitchell and Associates
administrative office	Level 9, MLC Centre
	19-29 Martin Place
	Sydney, NSW 2000
Postal address of principal	GPO Box 1968
administrative office	Sydney 2001
Telephone number of principal	[phone]
administrative office
E-mail address for investor enquiries	[e-mail]
Website URL	www.arkmines.com
All entities - board and senior management details2
Full name and title of chairperson of	Mr Antony Corel - Non-Executive Chair
directors
Full names of all existing directors	Mr Antony Corel
	Mr Roger Jackson
	Mr Ian Mitchell
Full names of any persons proposed	Mr Benjamin Emery
to be appointed as additional or
replacement directors
Full name and title of CEO/managing	Mr Roger Jackson - Executive Director
director
Email address of CEO/managing	[e-mail]
director
Full name and title of CFO	Ian White
Email address of CFO	[e-mail]
Full name and title of company	Mr Ian Mitchell
secretary
Email address of company secretary	[e-mail]
All entities - ASX compliance contact details3
Full name and title of ASX contact(s)	Ian Mitchell - Company Secretary

2

3

If the entity applying for admission to the official list is a trust, enter the board and senior management details for the responsible entity of the trust.

Under Listing Rule 1.1 Condition 13, a listed entity must appoint a person responsible for communication with ASX on Listing Rule matters. You can appoint more than one person to cater for situations where the primary nominated contact is not available.

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	Business address of ASX contact(s)	Level 9, MLC Centre
		19-29 Martin Place
only		Sydney, NSW 2000
Business phone number of ASX	[phone]
	contact(s)
	Mobile phone number of ASX
	contact(s)
	Email address of ASX contact(s)	[e-mail]
use
All entities - investor relations contact details
Full name and title of person	Ian Mitchell - Company Secretary
	responsible for investor relations
	Business phone number of person	[phone]
	responsible for investor relations
personal	Email address of person responsible	[e-mail]
for investor relations
All entities - auditor details4
	Full name of auditor	Moore Australia Audit (WA)
	All entities - registry details5
	Name of securities registry	Next Registries
	Address of securities registry	Level 16, 1 Market Street, Sydney, NSW 2000
	Phone number of securities registry	[phone]
	Fax number of securities registry	[phone]
For	Email address of securities registry	[e-mail]
Type of subregisters the entity will	Refer to section 13.15 of the Prospectus
	operate6
	All entities - key dates
	Annual balance date	30 June
	Month in which annual meeting is	November
	usually held (or intended to be held)7

4

5

6

In certain cases, ASX may require the applicant to provide information about the qualifications and experience of its auditor for release to the market before quotation commences (see Guidance Note 1 section 2.12).

If the entity has different registries for different classes of securities, please indicate clearly which registry details apply to which class of securities. Example: CHESS and issuer sponsored subregisters (see Guidance Note 1 section 3.23).

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Months in which dividends or	N/A
distributions are usually paid (or are
intended to be paid)

For personal use only

Trusts - additional details

Name of responsible entity	N/A
Full names of the members of the	N/A
compliance committee (if any)

Entities incorporated or established outside Australia - additional details

Name and address of the entity's	N/A
Australian agent for service of
process
Address of registered office in	N/A
Australia (if any)

Entities listed or to be listed on another exchange or exchanges

Name of the other exchange(s) where	N/A
the entity is or proposes to be listed
Is the ASX listing intended to be the	N/A
entity's primary or secondary listing

Part 2 - Checklist Confirming Compliance with Admission Requirements

Instructions: please indicate in the "Location/Confirmation" column for each item below and in any Annexures where the information or document referred to in that item is to be found (eg in the case of information, the specific page reference in the Offer Document where that information is located or, in the case of a document, the folder tab number where that document is located). If the item asks for confirmation of a matter, you may simply enter "Confirmed"" in the "Location/Confirmation" column. If an item is not applicable, please mark it as "N/A".

In this regard, it will greatly assist ASX and speed up its review of the application if the various documents referred to in this Checklist and any Annexures (other than the 2 copies of the applicant's Offer Document (as lodged with ASIC) referred to in item 4 and the 10 printed versions of the final Offer Document referred to in note 10) are provided in a folder separated by numbered tabs and if the entity's constitution and copies of all material contracts are provided both in hard copy and in electronic format.

Note that completion of this Checklist and any Annexures is not to be taken to represent that the entity is necessarily in full or substantial compliance with the ASX Listing Rules or that ASX will admit the entity to its official list. Admission to the official list is in ASX's absolute discretion and ASX may refuse admission without giving any reasons (see Listing Rule 1.19).

A reference in this Checklist and in any Annexures to the "Offer Document" means the listing prospectus, product disclosure statement or information memorandum lodged by the applicant with ASX pursuant to Listing Rule 1.1 Condition 3.

If the applicant lodges a supplementary or replacement prospectus, product disclosure statement or information memorandum with ASX, ASX may require it to update this Checklist and any Annexures by reference to that document.

All entities - key supporting documents

No	Item	Location/Confirmation
1.	A copy of the entity's certificate of incorporation, certificate of registration or	01. Certificate of Registration
	other evidence of status (including any change of name)

7 May not apply to some trusts.

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No	Item	Location/Confirmation
2.	A copy of the entity's constitution (Listing Rule 1.1 Condition 2)8	02. Ark Mines Constitution.
3.	Either:	Confirmed, see clause 87.1 of the
	(a)	confirmation that the entity's constitution includes the provisions of	Company's Constitution.
		Appendix 15A or Appendix 15B (as applicable); or
	(b)	a completed checklist that the constitution complies with the Listing
		Rules (Listing Rule 1.1 Condition 2)9

use

1. An electronic version and 2 hard copies of the Offer Document, as lodged with ASIC (Listing Rule 1.1 Condition 3)10
2. Where in the Offer Document is the prominent statement that ASX takes no responsibility for the contents of the Offer Document (Listing Rule 1.1 Condition 3)?
3. Original executed ASX Online agreement confirming that documents may be given to ASX and authenticated electronically (Listing Rule 1.1
   Condition 14)11

2 copies of prospectus lodged with the file

Refer "Important Notice" on page 2 of the prospectus lodged.

03. ASX Online Agreement

1. If the entity's corporate governance statement12 is included in its Offer Document, the page reference where it is included. Otherwise, a copy of the entity's corporate governance statement (Listing Rule 1.1 Condition 16)
2. If the entity will be included in the S & P All Ordinaries Index on admission to the official list,13 where in its Offer Document does it state that it will have an audit committee (Listing Rule 1.1 Condition 17)?

Confirmed. Refer to Section 7.10 of the prospectus lodged.

N/A

For personal

9.	If the entity will be included in the S & P / ASX 300 Index on admission to the	N/A
	official list,14 where in its Offer Document does it state that it will comply with
	the recommendations set by the ASX Corporate Governance Council in
	relation to the composition and operation of the audit committee (Listing
	Rule 1.1 Condition 17)?
10.	If the entity will be included in the S & P / ASX 300 Index on admission to the	N/A
	official list,15 where in its Offer Document does it state that it will have a
	remuneration committee comprised solely of non-executive directors (Listing
	Rule 1.1 Condition 18)
11.	If the entity's trading policy is included in its Offer Document, the page	04. Ark Mines Trading Policy
	reference where it is included. Otherwise, a copy of the entity's trading policy
	(Listing Rule 1.1 Condition 19)
12.	For each director or proposed director, the CEO or proposed CEO, and the	Antony Corel - Australia and UK

1. It will assist ASX if the copy of the constitution is provided both in hard copy and in electronic format.
2. An electronic copy of the checklist is available from the ASX Compliance Downloads page on ASX's website.
3. The applicant should also provide 10 printed copies of the final Offer Document to ASX as soon as they are available.
4. An electronic copy of the ASX Online Agreement is available from the ASX Compliance Downloads page on ASX's website.
5. The entity's "corporate governance statement" is the statement disclosing the extent to which the entity will follow, as at the date of its admission to the official list, the recommendations set by the ASX Corporate Governance Council. If the entity does not intend to follow all the recommendations on its admission to the official list, the entity must separately identify each recommendation that will not be followed and state its reasons for not following the recommendation and what (if any) alternative governance practices it intends to adopt in lieu of the recommendation.
6. If the entity is unsure whether they will be included in the S & P All Ordinaries Index on admission to the official list, they should contact ASX or S & P.
7. If the entity is unsure whether they will be included in the S & P / ASX 300 Index on admission to the official list, they should contact ASX or S & P.
8. If the entity is unsure whether they will be included in the S & P / ASX 300 Index on admission to the official list, they should contact ASX or S & P.

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