For personal use only
This appendix is available as an online formAppendix 3A.4 Notification of cash return of capital
+Rule 3.10.1, 3.20.4, 7.18-7.24, 15.3, Appendix 7A section 8
Appendix 3A.4
Notification of cash return of capital
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.
Please note that two or more corporate actions on the same +security may not run with different record dates if the timetables result in overlapping (but not identical) ex-periods. It is permissible to run different corporate actions with the same record date except in the case of consolidations or splits which cannot run at the same time as any other corporate action for that entity.
*Denotes minimum information required for first lodgement of this form.
**Denotes information that must be provided on or before +business day 0 of the relevant Appendix 6A or Appendix 7A timetable.
The balance of the information, where applicable, must be provided as soon as reasonably practicable by the entity.
If a cash special dividend is paid at the same time as the return of capital the entity must also lodge Appendix 3A.1 - notification of dividend / distribution.
Part 1 - Entity and announcement details
Question | Question | Answer | |||
no | |||||
1.1 | *Name of entity | Auctus Investment Group Limited | |||
1.2 | *Registration type and number | ABN 76 149 278 759 | |||
One of ABN/ARSN/ARBN/ACN or other registration | |||||
type and number (if "other" please specify what type | |||||
of registration number has been provided). | |||||
1.3 | *ASX issuer code | AVC | |||
1.4 | *The announcement is | X | New announcement | ||
Tick whichever is applicable. | Update/amendment to previous | ||||
announcement | |||||
Cancellation of 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. | |||||
If information has previously been provided in Part 3D | |||||
of the form "Preference +security distribution rate | |||||
details" please also confirm whether the rate changes | |||||
remain in place for the +security or are also cancelled. | |||||
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 | 6 June 2022 | |||
+ See chapter 19 for defined terms | |||||
1 December 2019 | Page 1 |
For personal use only
This appendix is available as an online form | Appendix 3A.4 | ||
Notification of cash return of capital | |||
The date of lodgement of the form by the entity via | |||
ASX Online. | |||
1.6 | *Applicable ASX +security code and | ASX +security code: AVC | |
description for cash return of capital | +Security description: ORDINARY FULLY | ||
Please select the +security to which the notification | PAID | ||
applies. Only one +security can be selected for each | |||
form. Consequent changes to option pricing are | |||
covered in later parts of this form. | |||
Part 2 - Approvals
Question | Question | Answer | |
No. | |||
2.1 | *Are any of the below approvals required | YES | |
for the cash return of capital before | |||
business day 0 of the timetable? | |||
• | +Security holder approval | ||
• | Court approval | ||
• Lodgement of court order with +ASIC | |||
• | ACCC approval | ||
• | FIRB approval; | ||
• Another approval/condition external to | |||
the entity required to be given/met | |||
before business day 0 of the timetable | |||
for the cash return of capital. | |||
If any of the above approvals apply to the cash return | |||
of capital before business day 0 of the timetable, | |||
please answer 'yes' and provide details at Q2.1a. If | |||
"no" go to Q2.2. | |||
The purpose of the question is to confirm that relevant | |||
approvals are received prior to ASX establishing an | |||
ex market in the +securities. If the entity wishes to | |||
disclose approvals or conditions which are to be | |||
resolved at a later date it should use Part 5 "Further | |||
information". | |||
2.1a | Approvals |
Select appropriate approval from drop down box as applicable. More than one approval can be selected. This question refers only to events which take place before business day 0 of the timetable. The purpose of the question is to confirm that relevant approvals are received prior to ASX establishing an ex market in the +securities. The "Date for determination" is the date that you expect to know if the approval is given for example the date of the +security holder meeting in the case of +security holder approval or the date of the court hearing in the case of court approval. If the entity wishes to disclose approvals or conditions which are to be resolved at a later date it should use Part 5 "Further information". Please note that Listing Rules 7.19.1-7.19.3 set time limits for the notification of court approval, the proposed date for lodgement of court order with a regulatory authority and confirmation that the court order has been lodged with the regulatory authority.
*Approval/ | *Date for | *Is the date | **Approval | Comments | ||
condition | determination | estimated or | received/ | |||
actual? | condition | |||||
met? | ||||||
Only answer this | ||||||
question when | ||||||
you know the | ||||||
outcome of the | ||||||
approval - | ||||||
please advise | ||||||
on or before | ||||||
+business day 0 | ||||||
of the relevant | ||||||
Appendix 6A or | ||||||
Appendix 7A | ||||||
+ See chapter 19 for defined terms | ||||||
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Notification of cash return of capital | |||||||
timetable. | |||||||
+Security holder | 21 July 2022 | X Estimated | Yes | ||||
approval | |||||||
OR | No | ||||||
Actual | |||||||
Court approval | Estimated | Yes | |||||
OR | No | ||||||
Actual | |||||||
Lodgement of | Estimated | Yes | |||||
court order with | |||||||
OR | No | ||||||
+ASIC | |||||||
Actual | |||||||
ACCC approval | Estimated | Yes | |||||
OR | No | ||||||
Actual | |||||||
FIRB approval | Estimated | Yes | |||||
OR | No | ||||||
Actual | |||||||
Other (please | Estimated | Yes | |||||
specify in | |||||||
OR | No | ||||||
comment section) | |||||||
Actual | |||||||
2.2 | *Is the cash return of capital a selective | No | |||||
reduction of capital | |||||||
If "yes" please answer Q2.2a and 2.2b, if "no" go to | |||||||
Part 3. | |||||||
2.2a | *Date of lodgement of +security holder | 21 June 2022 | |||||
resolution approving the cash return of | |||||||
capital with +ASIC | |||||||
Please provide the estimated or actual date of | |||||||
lodgement of +security holder resolution approving the | |||||||
cash return of capital with +ASIC. If estimated date is | |||||||
provided please provide the actual date by way of an | |||||||
update to this form when the resolution has been | |||||||
lodged with +ASIC. | |||||||
2.2b | *Date that is fourteen days after date of | 5 July 2022 | |||||
lodgement of +security holder resolution | |||||||
approving the capital return with +ASIC |
Amended 29/06/15
+ See chapter 19 for defined terms | |
1 December 2019 | Page 3 |
This appendix is available as an online form | Appendix 3A.4 | ||||
Notification of cash return of capital | |||||
Part 3 - cash return of capital timetable and details | |||||
only | Question | Question | Answer | ||
No. | |||||
3.1 | *+Record date | 26 July 2022 | |||
Per Appendix 7A, section 8 the +record date is | |||||
+business day 3 in the timetable. This is three | |||||
+business days after the effective date (Q3.1a). | |||||
This is the last day for the entity to register transfers | |||||
on a pre return of capital basis and the date on which | |||||
the register is closed to determine entitlements to the | |||||
cash return of capital. | |||||
The +record date must be at least four +business days | |||||
use | from the current date. | ||||
Please note that the +record date and the date that | |||||
trading in the re-organised +securities on an "ex | |||||
return of capital" basis commences (Q3.3) cannot be | |||||
changed (even to postpone it or cancel it) any later | |||||
than 12 noon Sydney time on the day before the | |||||
previously advised date that trading in the re- | |||||
organised +securities on an "ex return of capital" | |||||
basis commences (Q3.3).. | |||||
3.1a | Effective date of the cash return of capital | 21 July 2022 | |||
personal | Per Appendix 7A, section 8 the effective date is | ||||
+business day 0 in the timetable and is 3 +business | |||||
days before the +record date. | |||||
In the case of an equal reduction, this is the day after | |||||
the resolution approving the cash return of capital and | |||||
in the case of a selective reduction, 14 days after the | |||||
date of lodgement of a copy of the resolution | |||||
approving the cash return of capital with ASIC under | |||||
section 256C(3) of the Corporations Act. | |||||
3.2 | *Does the entity have quoted options on | No | |||
issue | |||||
If the answer is Yes, answer 3.4a, 3.5a & b | |||||
3.2a | Last day for trading in "cum return of | N/A | |||
capital" +securities. If the entity has quoted | |||||
options, last day for trading in pre-return of | |||||
capital quoted options. | |||||
Per Appendix 7A, section 8 this is +business day 1 in | |||||
the timetable and one +business day after the | |||||
effective date. | |||||
For | The last day for trading in pre return of capital quoted | ||||
options only applies if the entity has quoted options in | |||||
which case the exercise price will change and new | |||||
holding statements will be issued to option holders. | |||||
3.3 | *Trading in the re-organised+securities on | 25 July 2022 | |||
an "ex return of capital" basis commences. | |||||
If the entity has quoted options and ASX | |||||
agrees, trading in the quoted options | |||||
commences on a +deferred settlement | |||||
basis. | |||||
If the entity's +securities are suspended from trading | |||||
during this period there will be no +deferred | |||||
settlement trading however ASX still captures this | |||||
date. | |||||
Per Appendix 7A, section 8 this is +business day 2 in | |||||
the timetable and the second +business day after the | |||||
effective date. | |||||
+ See chapter 19 for defined terms | |||||
1 December 2019 | Page 4 |
This appendix is available as an online form | Appendix 3A.4 | ||||
Notification of cash return of capital | |||||
Please note that the +record date and the date that | |||||
trading in the re-organised +securities on an "ex | |||||
return of capital" basis commences cannot be | |||||
changed (even to postpone it or cancel it) any later | |||||
only | than 12 noon Sydney time on the day before the | ||||
previously advised last day for trading in "cum return | |||||
of capital" +securities (Q3.2a). | |||||
3.4 | +Record date | 26 July 2022 | |||
Same as Q3.1 above. | |||||
3.4a | If the entity has quoted options, first day for | N/A | |||
the +entity to send holding statements to | |||||
+security holders notifying them of the | |||||
change in exercise price for the quoted | |||||
use | options they hold. | ||||
This date only applies if the entity has quoted options. | |||||
Per Appendix 7A, section 8 this is +business day 4 in | |||||
the timetable and one +business day after the record | |||||
date. | |||||
3.5 | * Payment date for cash return of capital. | 2 August 2022 | |||
If applicable and the +entity has quoted | |||||
options, +deferred settlement market in | |||||
personal | options ends. Last day for entity to send | ||||
holding statements to +security holders | |||||
notifying them of the change in exercise | |||||
price for the quoted options they hold and | |||||
to notify ASX that this has occurred. | |||||
Per Appendix 7A, section 8 this is +business day 8 in | |||||
the timetable and five +business days after the | |||||
+record date. | |||||
Please note that the payment date cannot be | |||||
changed (even to postpone it or cancel it) any later | |||||
than 12 noon Sydney time on the day of the previous | |||||
payment date advised. | |||||
3.5a | If the entity has quoted options, trading in | N/A | |||
the options starts on a normal T+2 basis | |||||
Per Appendix 7A, section 8 this is +business day 9 in | |||||
the timetable. This date is six +business days after the | |||||
+record date and is the +business day after the | |||||
payment date. | |||||
3.5b | If the entity has quoted options, first | N/A | |||
For | settlement of trades conducted on a | ||||
+deferred settlement basis and on a normal | |||||
T+2 basis | |||||
Per Appendix 7A, section 8 this is +business day 11 in | |||||
the timetable. This date is eight +business days after | |||||
the +record date and two +business days after T+2 | |||||
trading starts. | |||||
3.6 | *Currency in which the cash return of | AUD | |||
capital is made | |||||
This currency will be the currency in which all other | |||||
fields relating to the return of capital will appear. This | |||||
is referred to as the "primary currency". | |||||
3.7 | *Cash return of capital amount per | $0.05 (5 cents) | |||
+security | |||||
Please provide the amount of the cash return of | |||||
capital in the primary currency. If the currency is not | |||||
AUD please answer 3.7a - 3.7c. | |||||
+ See chapter 19 for defined terms | |||||
1 December 2019 | Page 5 |
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Auctus Investment Group Limited published this content on 05 June 2022 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 05 June 2022 23:21:06 UTC.