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 | MESOBLAST LTD |
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 | ABN 68 109 431 870 |
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 | MSB |
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 | 17 January 2022 |
+ See chapter 19 for defined terms | Page 1 |
5 June 2021 |
For personal use only
This appendix is available as an online formAppendix 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 | In relation to unquoted options which have |
notification were issued | been exercised: 16 November 2021 and 14 | |
Answer this question if your response to Q2.1 is | December 2021 | |
anything other than "Unquoted partly paid securities | ||
upon which a call or instalment has been paid". | In relation to options issued under an | |
employee incentive scheme that are not | ||
intended to be quoted on ASX: 31 | ||
December 2021 and 14 January 2022. | ||
In relation to securities issued as part of a | ||
transaction or transactions previously | ||
announced to the market in an Appendix 3B | ||
that are not quoted: 11 January 2022 |
+ 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.1 | *Date of Appendix 3B notifying the market | 22 November 2021 | ||||
of the proposed issue of +securities the | ||||||
only | 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." | ||||||
2.2a.2 | *Are there any further issues of +securities | No | ||||
yet to take place to complete the | ||||||
transaction(s) referred to in the | ||||||
Appendix 3B? | ||||||
use | 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 | ||||||
the Appendix 3B | ||||||
Answer this question if your response to Q2.1 is | ||||||
personal | "Securities issued as part of a transaction or | |||||
transactions previously announced to the market in | ||||||
"Unquoted options that have been exercised or other | ||||||
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 | ||||
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 | 63,333 options (MSBAI) | ||||
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 | ||||||
For | 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 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.2 | And the date the options were exercised or | 16 November 2021 | ||||
other +convertible securities were | 14 December 2021 | |||||
only | 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 | ||||||
use | convertible securities was converted. | |||||
2.2c.3 | Is this all of the options or other | No | ||||
+convertible securities on issue of that type | Note: If you have answered "No", consider whether you | |||||
(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 | |||||
personal | 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 | ||||||
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: | ☐ A reclassification of the +convertible | |||||
Answer this question if your response to Q2.1 is | ||||||
"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 | ||||||
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, | ||||||
For | 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". | ||||||
+ 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.7 | *Were the options being exercised or other | Yes | ||||||||
+convertible securities being converted | ||||||||||
only | issued under an +employee incentive | |||||||||
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". | ||||||||||
use | 2.2c.8 | *Are any of the options being exercised 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 | ||||||||||
"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 | ||||||||||
personal | 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 | ||||||||||
N/A | ||||||||||
"Yes". | ||||||||||
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". | ||||||||||
Name of KMP | Name of registered holder | Number of options | ||||||||
being exercised or | ||||||||||
other +convertible | ||||||||||
securities being | ||||||||||
converted | ||||||||||
For | ||||||||||
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: | ||||||||||
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. | ||||||||||
+ See chapter 19 for defined terms | Page 5 |
5 June 2021 |
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Mesoblast Limited published this content on 17 January 2022 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 17 January 2022 07:14:08 UTC.