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Pinnacle Investment Management : Application for quotation of securities

11/25/2021 | 05:59pm

For personal use only

This appendix is available as an online form

Only use this form if the online version is not available

+Rule 2.8, 3.10.3A to 3.10.3D

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

Pinnacle Investment Management Group

We (the entity here named) apply for

Limited

+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

ACN 100 325 184

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

PNI

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

Answer this question if your response to Q 1.4 is an

update/amendment to previous announcement.

1.4b

*Date of previous announcement to this

N/A

update

Answer this question if your response to Q 1.4 is an

update/amendment to previous announcement.

1.4c

*Reason for cancellation

N/A

Answer this question if your response to Q 1.4 is

"A

cancellation of a previous announcement"

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 you are in any doubt as to the application of, or the entity's capacity to give, this warranty, please see ASIC Regulatory Guide 173 Disclosure for on-saleof securities and other financial products and consult your legal adviser.

+ See chapter 19 for defined terms

Page 1

5 June 2021

For personal use only

This appendix is available as an online form

Appendix 2A

Application for quotation of +securities

1.4d

*Date of previous announcement to this

N/A

cancellation

Answer this question if your response to Q 1.4 is "A

cancellation of a previous announcement"

1.5

*Date of this announcement

26 November 2021

Part 2 - Type of issue

Question

Question

Answer

No.

2.1

*The +securities to be quoted are:

+Securities issued as part of a

Select whichever item is applicable.

transaction or transactions previously

If you wish to apply for quotation of different types of

announced to the market in an

issues of securities, please complete a separate

Appendix 3B

Appendix 2A for each type of issue.

+Securities issued under a +dividend or

distribution plan

+Securities issued, transferred or re-

classified as a result of options being

exercised or other +convertible

securities being converted

Unquoted partly paid +securities that

have been fully paid up and are now to

become quoted fully paid +securities

Note: there is no need to apply for quotation of

the fully paid securities if the partly paid securities

were already quoted

+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 [please specify]

If you have selected 'other' please explain the

circumstances of the issue here:

2.1a

*Have the +securities to be quoted been

No

issued yet?

2.1a.1

*What was their date of issue?

N/A

Answer this question if your response to Q2.1a is

"Yes".

2.1a.2

*What is their proposed date of issue?

29 November 2021

Answer this question if your response to Q2.1a is "No".

2.2a.1

*Date of Appendix 3B notifying the market

23 November 2021

of the proposed issue of +securities for

which quotation is now being sought

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"

+ See chapter 19 for defined terms

Page 2

5 June 2021

This appendix is available as an online form

Appendix 2A

Application for quotation of +securities

2.2a.2

*Are there any further issues of +securities

Yes

yet to take place to complete the

transaction(s) referred to in the

only

Appendix 3B?

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".

2.2a.2.1

*Please provide details of the further issues

Further issue of shares under the Share

of +securities yet to take place to complete

Purchase Plan (SPP). The SPP will open

the transaction(s) referred to in the

on 30 November 2021 and close on 15

Appendix 3B

December 2021. Shares under the SPP are

Answer this question if your response to Q2.1 is

expected to be issued on 22 December

"Securities issued as part of a transaction or

2021.

use

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

N/A

relation to the underlying +dividend or

personal

distribution

Answer this question if your response to Q2.1 is

"Securities issued under a dividend or distribution

plan".

2.2c.1

Please state the number and type of

N/A

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

"Securities issued, transferred or re-classified as a

result of options being exercised or other convertible

securities being converted".

2.2c.2

And the date the options were exercised or

N/A

other +convertible securities were

converted

Answer this question if your response to Q2.1 is

"Securities issued, transferred or re-classified as a

result of options being exercised or other convertible

securities being converted".

Note: If this occurred over a range of dates, enter the

For

first date and last date of the period in which the

options were exercised or convertible securities were

converted.

2.2c.3

Is this all of the options or other

Yes or No

+convertible securities on issue of that type

Note: If you have answered "No", consider whether

(ie have all of those options now been

you need to lodge an Appendix 3H with ASX notifying

exercised or have all of those convertible

ASX of the cessation of some or all of the remaining

securities now been converted)?

options 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

"Securities issued, transferred or re-classified as a

date without being exercised, or convertible debt

result of options being exercised or other convertible

securities have been repaid or redeemed without

securities being converted".

being converted.

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

"Securities issued, transferred or re-classified as a

securities as securities in the same

result of options being exercised or other convertible

class as the +underlying securities

securities being converted".

+ See chapter 19 for defined terms

Page 3

5 June 2021

This appendix is available as an online form

Appendix 2A

Application for quotation of +securities

2.2c.5

The underlying securities being received by

Already quoted by ASX

the holder are:

Intended to be, but are not yet, quoted

Answer this question if your response to Q2.1 is

by ASX

only

"Securities issued, transferred or re-classified as a

Are not, and are not intended to be,

result of options being exercised or other convertible

securities being converted".

quoted by ASX

2.2c.6

Were the options being exercised or other

Yes or No

+convertible securities being converted

issued under an +employee incentive

scheme?

Answer this question if your response to Q2.1 is "Securities

issued, transferred or re-classified as a result of options

being exercised or other convertible securities being

use

converted".

2.2c.7

*Are any of the options being exercised or

Yes 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 "Securities

issued, transferred or re-classified as a result of options

being exercised or other convertible securities being

converted" and your response to Q2.2c.6 is "Yes".

personal

2.2c.7.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 "Securities issued, transferred or re-classified as a result of

options being exercised or other convertible securities being converted", your response to Q2.2c.6 is "Yes" and

your response to Q2.2c.7 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

[200 characters]

[200 characters]

being exercised or

other +convertible

securities being

converted

[16 characters]

2.2d.1

Please state the number and type of

unquoted partly paid +securities (including

their ASX security code) that have been

fully paid up and that are now to become

For

quoted on ASX

Answer this question if your response to Q2.1 is "Partly

paid securities that have been fully paid up and are

now to become quoted fully paid securities".

2.2d.2

And the date the +securities were fully paid

up

Answer this question if your response to Q2.1 is "Partly

paid securities that have been fully paid up and are

now to become 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.

+ See chapter 19 for defined terms

Page 4

5 June 2021

This appendix is available as an online form

Appendix 2A

Application for quotation of +securities

2.2d.3

Is this all of the partly paid +securities on

Yes or No

issue of that type (ie have all of those partly

Note: If you have answered "No", consider whether

paid securities now been fully paid up)?

you need to lodge an Appendix 3H with ASX notifying

only

Answer this question if your response to Q2.1 is

ASX of the cessation of some or all of the remaining

partly paid securities under Listing Rule 3.10.E. This

"Unquoted partly paid securities that have been fully

may the case, for example, if partly paid securities that

paid up and are now to become quoted fully paid

have not had the call paid by the due date will be

securities".

cancelled. If you are an NL company, consider also

whether you have notification obligations in relation to

any forfeiture of the partly paid securities not paid up

under Listing Rule 3.12.

2.2e.1

Please state the number and type of

N/A

+restricted securities (including their ASX

security code) where the escrow period has

use

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

N/A

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

personal

date the last of the escrow restrictions has ceased or

will cease.

2.2f.1

Please state the number and type of

N/A

+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

N/A

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.

For

2.2g.1

Please state the number and type of

N/A

+securities (including their ASX security

code) issued under the +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 5

5 June 2021

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Disclaimer

Pinnacle Investment Management Group Limited published this content on 25 November 2021 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 25 November 2021 22:59:05 UTC.

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