application for quotation of additional securities and agreement
lnformation or documents not available now must be given to ASX as soon as available. lnformation and documents given to ASX become ASX's property and may be made public.
lntroduced 1/7/96. Origin: Appendix 5· Amended 1/7/98, 1/9/99, 1/7/2000, 30/9/2001, n /3/2002, l /1/2003, 24/10/2005.
Name of entity
IGuinness Peat Group pie
ABN
Incorporated and registered in England and Wa les with registered number 103548
We ( the e ntity) give ASX the following information .
Part 1 -Ali issuesYou must complete the relevant sections (attach sheets ifthere is not enough space).
+(Jass of +securities issued or to be issued
Chess Depository Interests (CDis) issued aver ordinary sha res
2 Number of +securities issued or to be issued (if known) or maximum number which ma y be issued
At 30 November 2013: 188,898,736 CDis on
ISSUe
*Net transfers: -1,123,682
At 31 December 2013: 187,775,054 CDis on issue
*Transfers between CDis and ord inary shares listed on t he London Stock Exchange ( LSE) a nd /or the New Zea land Stock
Exchange (NZX)
3 Principa l terms of t he +securities See Item 1above. (eg, if options, exercise price and
expiry date; if partly paid
+securities, the amo unt o utsta nding and due dates for payment; if +convertible secu rities, the conversion price a nd dates for conversion)
+ See chapter 19 for defìned terms. Appendix 3B Page 1
4 Do the +securities rank equally in Yes. ali respects from the date of allotment with an existing +cJass
of quoted +securities?
If the additional securities do not rank equally, please state:
• the date from which they do
• the extent to which they participate for the next dividend, (in the case of a trust, distribution) or interest payment
• the extent to which they do not rank equally, other than in relation to the next dividend, distribution or interest payment
5 Issue price or consideration
6 Purpose of the issue
(If issued as consideration for the acq uisition of assets, clearly identify those assets)
7 Dates of entering +securities into uncertificated holdings or despatch of certificates
8 Number and +cJass of ali
+securities quoted on ASX (including the secunt1es in clause 2 if applicable)
l Not applicable.
Transfers between CDis and ordinary shares listed on the LSE and/or the NZX.
See Item 2 above.
+ See cha pter 19 for defìned ter ms. Appendix 3B Page 2
9 Number and +ciass of ali
+securities not quoted on ASX
(includ ing the secunt1es in clause 2 if applicable)
w Dividend policy (in the case of a Same as far other issued ordinary shares. tr ust, dist ribution policy) on the
increased ca pitai ( interests)
Part 2 · Bonus issue or pro rata issue
11 Is security
holder
required? appwval I..N..._/A____
12 Is the issue renounceable or non- NlA
renounceable? L-----------------------------
+cJass of +securities to which the l NlA
offer relates L
15 + Record date to
entitlements determine L,_N/__A,
16 Will holdings on different l N/A registers (or subregisters) be aggregated for calculating
entitlements?
'-----------------------------'
Policy for deciding enti tlements l N/A
in relation to fractions
'----------------------------------
+ See chapter 19 for defìned terms. Appendix 38 Page 3
18 Names of countries in which the N/A
entity has +security holders who will not be sent new issue documents
Note: Security holders must be told h ow their en titleme nts are to be dealt with.
Cross referencc: rule 7·7·
19 Closing date for receipt acceptances or renunciations
20 Names of any underwriters
of l N/A
21 Amount f.any underwriting fee l N/A
or COffiffiiSSIOn L-----------------------------------
22 Names of any brokers to issue
the l N/A
23 Fee or commission payable to the l N/A
broker to the issue L-------------------------------------
24 Amount of any handling fee l N/A payable to brokers who lodge acceptances or renunciations on
behalf of +security holders L-------------------------------------
If the issue is contingent on l N/A
+security holders' approvai, the
date of the meeting ------------------------------------
Date entitlement and acceptance l N/A
form and prospectus or Product
Disclosure Statement will be sent
to persons entitled L-----------------------------------
27 l f the entity has issued options, N/A and the terms entitle option holders to participate on exercise, the date on which notices will be sent to option holders
Date rights trading will begin (if l N/A
applicable) L. -------------------'
Date rights trading will end (if l N/A
applicable)
+ See chapter 19 for defined terms. Appendix 38 Page 4
L-----------------------------------
30 How do +security holders sell l N/A
their entitlements in full through
a broker? . ----------------------------------
31 How do +security holders sell l N/A
part of their entitlements
through a broker and accept for
the baiance? ----------------------------------
32 How do +security holders dispose l N/A
of their entitlements (except by
sale through a broker)? ----------------------------------
33 +oespatch date N/A
Part 3 • Quotation of securities
You need only complete this section if you are applying for quotation of securities
34 Type of securities
(tick one)
(a) Securities described in Part 1
(b) Ali other securities
Example: restricted securities at the end of thc escrowed pe riod, partly paid securities tha t becomc fully pa id, employec incentivc sharc sec urities when rest riction cnds, scc urities issued on expi ry or conversion of convcrtiblc securities
Entities that have ticked box 34(a)
Additional securities forming a new class of securities
Tick to indicate you are providing the information or
documents
35 If the +securities are +eq uity securities, the names of the 20 largest holders of the additional +securities, and the number and percentage of additional +securities held by those holders
If the +securities are +eq uity securities, a distribution sched ule of the additional
+securities setting out the number of holders in the categories
l- 1,000
1,001 - s.ooo s,o01 - 10,000
10,001 - 100,000
100,001 and over
+ See chapter 19 for defined terms. Appendix 3B Page 5
37 D A copy of any trust deed for the additional +securities
Entities that have ticked box 34(b)Number of securities for
+quotation is sought whichl,__N_/_A___,
39 Class of +securities for quotation is sought
whci h l N/A
----------------------------------
40 Do the +securities rank equally in N/A ali respects from the date of allotment with an existing +cJass
of quoted +securities?
If the additional securities do not rank equally, please state:
• the date from which they do
• the extent to which they participate for the next dividend, (in the case of a trust, distribution) or interest payment
• the extent to which they do not rank equally, ot her than in relation to the next dividend,
distribution payrnent
or interest
41 Reason for request for quotation N/A
now
Exampl e: I n the case of restricted sec urities, end of restriction per iod
(if issued upon conversion of anot her security, clearly identify that other security)
Number and +cJass of ali
+securities q uoted on ASX
(including the securities in clause
38)
+ See chapter 19 for defìned terms. Appendix 3B Page 6
Quotation agreement
+Quotation of our additional +securities is in ASX's absolute discretion. ASX
may quote the +securities on any conditions it decides.
2 We warrant the following to ASX.
• The issue of the •sec urities to be quoted complies with the law and is not for an illegal purpose.
• There is no reason why those •securities shou ld not be granted
•quotation.
• An offer of the •sec urities for sale within 12 months after their issue will not require disclosure under section 707(3) or section 1012C(6) of the Corporations Act.
Note: An entity may need to obtain appropriate warranties from subscribers for th e securities in order to be able to give this warranty
• Section 724 or section 1016E of the Corporations Act does no t apply to any applications received by us in relation to any •securities to be quoted and that no-one has any right to return any •securities to be quoted under sections 737, 738 or 1016F of the Corporations Act a t the time that we request that the •securities be quoted.
• If we are a trust, we warrant that no person has the right to return the
+securities to be quoted under section 1019B of the Corporations Act at the time that we request that the •securities be quoted.
3 We will indemnify ASX to the fullest extent permitted by law in respect of any claim, action or expense arising from or connected with any breach of the warranties in this agreement.
4 We give ASX the information and documents required by this form. If any information or document not available now, will give it to ASX before
+quotation of the +securit ies begins. We acknowledge that ASX is relying on the information and documents. We warrant that they are (will be) true and
complete.
Sign here:
(Deputy Secretary)
Date: 7 January 2014
Print name: Richard Russell
== == == == ==
+ See chapter 19 for defìned terms. Appendix 3B Page 7
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