AFT Pharmaceuticals : Appendix 2AOpens in a new Window

This appendix is not available as an online form
Please fill in and submit as a PDF announcement	+Rule 2.7

Appendix 2A

Application for quotation of +securities

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 seeking quotation of 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	AFT Pharmaceuticals Limited
	We (the entity here named) apply for
	+quotation of the following +securities and
	agree to the matters set out in
	Appendix 2A of the ASX Listing Rules.1
1.2	*Registration type and number	ARBN 609 017 969
	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	AFP
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
	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
	update
	Mandatory only if "Update" ticked in Q1.4 above.
1.4c	*Reason for cancellation
	Mandatory only if "Cancellation" ticked in Q1.4 above.
1.4d	*Date of previous announcement to this
	cancellation
	Mandatory only if "Cancellation" ticked in Q1.4 above.

1 Appendix 2A of the Listing Rules includes a warranty that an offer of the securities for sale within 12 months after their issue will not require disclosure under section 707(3) or 1012C(6) of the Corporations Act. If the securities to be quoted have been issued by way of a pro rata offer, to give this warranty, you will generally need to have lodged a cleansing notice with ASX under section 708AA(2)(f) or 1012DAA(2)(f) of the Corporations Act within 24 hours before the securities are offered (see ASIC Regulatory Guide 189 Disclosure relief for rights issues). If in doubt, please consult your legal adviser.

+ See chapter 19 for defined terms	Page 1
31 January 2020

	This appendix is not available as an online form		Appendix 2A
Please fill in and submit as a PDF announcement		Application for quotation of +securities
	1.5	*Date of this announcement		23 June 2021
	Part 2 - Type of issue
	Question	Question		Answer
	No.
	2.1	*The +securities to be quoted are:		☐ Being issued as part of a transaction or
		Select whichever item is applicable.		transactions previously announced to
		If you wish to apply for quotation of different types of		the market in an Appendix 3B
		issues of securities, please complete a separate		☐ Being issued under a +dividend or
		Appendix 2A for each type of issue.
				distribution plan
				☐ Being issued as a result of options being
				exercised or other +convertible
				securities being converted
				☐ Unquoted partly paid +securities that
				have been paid up and are now quoted
				fully paid +securities
				☐ +Restricted securities where the escrow
				period has expired or is about to expire
				☐ +Securities previously issued under an
				+employee incentive scheme where the
				restrictions on transfer have ceased or
				are about to cease
				☒ +Securities issued under an +employee
				incentive scheme that are not subject to
				a restriction on transfer or that are to be
				quoted notwithstanding there is a
				restriction on transfer
				☒ Other
	2.2a.1	*Date of Appendix 3B notifying the market
		of the proposed issue of +securities for
		which quotation is now being sought
		Answer this question if your response to Q2.1 is "Being
		issued as part of a transaction or transactions
		previously announced to the market in an Appendix
		3B"
	2.2a.2	*Are there any further 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 "Being
		issued as part of a transaction or transactions
		previously announced to the market in an Appendix
		3B".

+ See chapter 19 for defined terms	Page 2
31 January 2020

	This appendix is not available as an online form	Appendix 2A
Please fill in and submit as a PDF announcement	Application for quotation of +securities
	2.2a.2.1	*Please provide details of the further 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 "Being
		issued as part of a transaction or transactions
		previously announced to the market in an Appendix
		3B" and your response to Q2.2a.2 is "Yes".
		Please provide details of the proposed dates and
		number of securities for the further issues. This may
		be the case, for example, if the Appendix 3B related to
		an accelerated pro rata offer with an institutional
		component being quoted on one date and a retail
		component being quoted on a later date.
	2.2b.1	*Date of Appendix 3A.1 lodged with ASX in
		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".
	2.2b.2	*Does the +dividend or distribution plan	Yes or No
		meet the requirement of listing rule 7.2
		exception 4 that it does not impose a limit
		on participation?
		Answer this question if your response to Q2.1 is "Being
		issued under a dividend or distribution plan".
		Note: Exception 4 only applies where security holders
		are able to elect to receive all of their dividend or
		distribution as securities. For example, Exception 4
		would not apply in the following circumstances: 1) The
		entity has specified a dollar limit on the level of
		participation e.g. security holders can only participate
		to a maximum value of $x in respect of their
		entitlement, or 2) The entity has specified a maximum
		number of securities that can participate in the plan
		e.g. security holders can only receive securities in lieu
		of dividend payable for x number of securities.
	2.2c.1	Please state the number and type of
		options that were exercised or other
		+convertible securities that were converted
		(including their ASX security code)
		Answer this question if your response to Q2.1 is "Being
		issued as a result of options being exercised or other
		convertible securities being converted".
	2.2c.2	And the date the options were exercised or
		other +convertible securities were
		converted
		Answer this question if your response to Q2.1 is "Being
		issued as a result of options being exercised or other
		convertible securities being converted".
		Note: If this occurred over a range of dates, enter the
		date the last of the options was exercised or
		convertible securities was converted.
	2.2d.1	Please state the number and type of partly
		paid +securities (including their ASX
		security code) that were fully paid up
		Answer this question if your response to Q2.1 is
		"Unquoted partly paid securities that have been paid
		up and are now quoted fully paid securities".

+ See chapter 19 for defined terms	Page 3
31 January 2020

	This appendix is not available as an online form	Appendix 2A
Please fill in and submit as a PDF announcement	Application for quotation of +securities
	2.2d.2	And the date the +securities were fully paid
		up
		Answer this question if your response to Q2.1 is
		"Unquoted partly paid securities that have been paid
		up and are now quoted fully paid securities".
		Note: If this occurred over a range of dates, enter the
		date the last of the securities was fully paid up.
	2.2e.1	Please state the number and type of
		+restricted securities (including their ASX
		security code) where the escrow period has
		expired or is about to expire
		Answer this question if your response to Q2.1 is
		"Restricted securities where the escrow period has
		expired or is about to expire".
	2.2e.2	And the date the escrow restrictions have
		ceased or will cease
		Answer this question if your response to Q2.1 is
		"Restricted securities where the escrow period has
		expired or is about to expire".
		Note: If this occurred over a range of dates, enter the
		date the last of the escrow restrictions has ceased or
		will cease.
	2.2f.1	Please state the number and type of
		+securities (including their ASX security
		code) previously issued under the
		+employee incentive scheme where the
		restrictions on transfer have ceased or are
		about to cease
		Answer this question if your response to Q2.1 is
		"Securities previously issued under an employee
		incentive scheme where the restrictions on transfer
		have ceased or are about to cease".
	2.2f.2	And the date the restrictions on transfer
		have ceased or will cease:
		Answer this question if your response to Q2.1 is
		"Securities previously issued under an employee
		incentive scheme where the restrictions on transfer
		have ceased or are about to cease".
		Note: If this occurred over a range of dates, enter the
		date the last of the restrictions on transfer has ceased
		or will cease.
	2.2g.1	Please state the number and type of	80,000 AFP fully paid ordinary shares
		+securities (including their ASX security
		code) issued under an +employee incentive
		scheme that are not subject to a restriction
		on transfer or that are to be quoted
		notwithstanding there is a restriction on
		transfer
		Answer this question if your response to Q2.1 is
		"Securities issued under an employee incentive
		scheme that are not subject to a restriction on transfer
		or that are to be quoted notwithstanding there is a
		restriction on transfer".

+ See chapter 19 for defined terms	Page 4
31 January 2020

	This appendix is not available as an online form		Appendix 2A
Please fill in and submit as a PDF announcement	Application for quotation of +securities
	2.2g.2		*Please attach a document or provide	https://investors.aftpharm.com/DownloadFil
			details of a URL link for a document lodged	e.axd?file=Announcements/NZX/20180615/
		with ASX detailing the terms of the	281088.pdf
		+employee incentive scheme or a summary
		of the terms.
			Answer this question if your response to Q2.1 is
			"Securities issued under an employee incentive
			scheme that are not subject to a restriction on transfer
			or that are to be quoted notwithstanding there is a
			restriction on transfer".
	2.2g.3		*Are any of these +securities being issued	Yes or No
		to +key management personnel (KMP) or
		an +associate
			Answer this question if your response to Q2.1 is
			"Securities issued under an employee incentive
			scheme that are not subject to a restriction on transfer
			or that are to be quoted notwithstanding there is a
			restriction on transfer".
	2.2g.3.a		*Provide details of the recipients and the number of +securities issued to each of them.
			Answer this question if your response to Q2.1 is "Securities issued under an employee incentive scheme that are
			not subject to a restriction on transfer or that are to be quoted notwithstanding there is a restriction on transfer"
			and your response to Q2.2g.3 is "Yes". Repeat the detail in the table below for each KMP involved in the issue. If
			the securities are being issued to the KMP, repeat the name of the KMP or insert "Same" in "Name of registered
			holder". If the securities are being issued to 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 +securities
			Louise Clayton	Louise Clayton		10,000
			Malcolm Tubby	Malcolm Tubby		50,000
	2.2h.1	*The purpose(s) for which the entity is	☐ To raise additional working capital
		issuing the +securities is:		☐ To fund the retirement of debt
			Answer this question if your response to Q2.1 is
			☐ To pay for the acquisition of an asset
			"Other".
			You may select one or more of the items in the list.	[provide details below]
					☐ To pay for services rendered
					[provide details below]
					☒ Other [provide details below]
					Additional details:
					Ordinary shares:
					1. created upon the conversion of
					redeemable preference shares; and
					2. issued in respect of accumulated
					dividends on the redeemable
					preference shares in 1.

+ See chapter 19 for defined terms	Page 5
31 January 2020