Pinnacle Investment Management : Application for quotation of securities

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	22 December 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	Yes
	issued yet?
2.1a.1	*What was their date of issue?	22 December 2021
	Answer this question if your response to Q2.1a is
	"Yes".
2.1a.2	*What is their proposed date of issue?	N/A
	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	No
			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	N/A
			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
			"Securities issued as part of a transaction or
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