ASX SETTLEMENT PROCEDURE GUIDELINES - ASX … · ASX SETTLEMENT PROCEDURE GUIDELINES APPENDIX B...

ASX SETTLEMENT PROCEDURE GUIDELINES

VERSION 1.8 i LIST OF APPENDICES MAY 2012

LIST OF APPENDICES

Appendix B Tax File Number Exemption Codes

Appendix C Country Codes

Appendix D Holder Lock – Application / Release (Issuer)

Appendix E Please download SRA21 from the SRAA website (http:\\www.sraa.com.au)

Appendix G CST Contributions and Additional Cover Form

Appendix H Change of Controlling Participant

Appendix I Please download SRA15 from the SRAA website (http:\\www.sraa.com.au)

Appendix K Standing HIN Nomination

Appendix L Standard Exercise Form - Options

Appendix M Standard Conversion Form - Convertible Securities

Appendix N Holding Statement Suppression/Reinstatement

Appendix N1 On-Demand CHESS Holding Statement Request

Appendix N2 Archive CHESS Holding Statement Request

Appendix O Holding Lock - Securities Movement Request

Appendix P1 Request to Create New Payment Facility

Appendix P2 Change Payment Provider for Payment Facility

Appendix P3 Modify Existing Payment Facility

Appendix P4 Set Default Payment Facility for Participant

Appendix P5 Move HIN(s) between Existing Payment Facilities

Appendix P6 Cancel Payment Facility

Appendix Q Statement Message Request

Appendix R Business Continuity - Message History Retrieval Request

Appendix S Request to Remove Settlement Instruction from Scheduled Settlement

Appendix V1 Demand Report Request From Archival Storage

Appendix V2 Data Message Extract Request

Appendix W New External User (Technical Details)

Appendix W1 New External User (Technical Details) – AMFS Specific

Appendix X1 Events used for Reason Codes on Registry Transactions

Appendix X2 Reason Codes for Security Movements

Appendix Y Request for CHESS Messages to be Resent

Appendix Z1 Holder’s Request To Transfer Holdings To Another Sponsor


VERSION 1.8 ii LIST OF APPENDICES MAY 2012

ASX Clear Pty Limited A.B.N. 48 001 314 503

Level 4, 20 Bridge Street, Sydney NSW 2000 P.O. Box H227 Australia Square, Sydney NSW 1215

Telephone 1800 814 051 Facsimile + 612 9227 0265

APPENDIX A

OPT OUT OF CROSSING REGISTRATION SERVICE (To allow a Clearing Participant to opt out of 164 Notified Trade for Crossing Trade Registration)

To: Clearing & Settlement Operations

Company: ASX Clear Pty Limited (ASXCL)

Email scan: [email protected]

I, _______________________________________________________________________________, (Full name and Title of Authorised Officer)

Of___________________________________________________________, with _______________, (Name of Clearing Participant) (Clearer PID)

contactable on______________________, and/or__________________________________________, (Phone Number) (Email)

[OPT OUT]: request that notwithstanding ASX Clear Operating Rule 12.2.1 ASXCL is not required

to register all crossings1 and notify the Clearing Participant by dissemination of the CHESS 164

message; or

[REINSTATE]: cancel a previous instruction that ASXCL is not required to register all crossings1

and notify the Clearing Participant by dissemination of the CHESS 164 message;

in respect of the following Trading Participant:

___________________________________________________________ _______________ (Name of Trading Participant) (Trading ID)

Effective Date: __ / __ / __

_________________________________ ___ / ___ / ___ _____ Signature of Authorised Officer Date Clearing Participant’s Stamp

1 crossings refers to trades where the 4 digit Trading Participant Buyer and Seller ID is the same PRIVACY COLLECTION STATEMENT: ASXCL uses and discloses personal information only for the purpose for which it is provided and pursuant to the ASX Clear Operating Rules.

the personal information will not be disclosed or used for any other purpose unless the individual consents or ASXCL is otherwise permitted to do so under the Privacy Act 1988 (Cth);

individuals may access personal information by contacting the ASX Chief Privacy Officer at PO Box H224 Australia Square NSW 1215.

ASX SETTLEMENT PROCEDURE GUIDELINES APPENDIX B

VERSION 1.7 B-1 TAX FILE NUMBER EXEMPTION CODES DEC 2010

APPENDIX B: TAX FILE NUMBER EXEMPTION CODES

Tax file number (TFN) exemption codes are used in CHESS messages that require a TFN but where the relevant holder may either not have supplied a TFN or may not have a TFN.

TFN Exemption Code

Description Usage

00000000000 No TFN quoted by the investor

Use when the investor chooses not to quote a TFN and has not claimed an exemption from quoting.

00333333333 Investor under sixteen Use when the investor is a child under the age of sixteen and does not quote a TFN.

00444444441 Investor is a pensioner Use when the investor is a recipient of a Social Security (age or invalid) or Service (veteran’s) pension an exemption from quoting a TFN may be claimed

00444444442 Investor is a recipient of other eligible Social Security pension or benefit

Use when the investor is the recipient of a social security benefit (e.g. supporting parent’s pension, widow’s pension, etc.). New Start or Job Search Allowance or Sickness Benefits, etc. are not eligible benefits for exemption purposes.

00555555555 Entity not required to lodge an income tax return

Use when the investor entity is exempted from lodging income tax returns.

00666666666 Investors in the business of providing consumer or business finance

Use when the investors in the business of providing consumer or business finance

00777777777 Norfolk Island residents Use when the investor is a resident of Norfolk Island.

00888888888 Non-residents Use when the investor is not a resident of Australia.

00987654321 Alphabetic characters in quoted TFN or quoted TFN has more than 11 characters

Use when an investor has quoted a TFN that includes alpha characters or contains more than 11 characters.

The value entered into a TFN field should also include an investor (entity) type code in the 12th character (refer to APG section 5). For more information on investor entity types, refer to the Company Dividend and Interest Statement information posted on the ATO website (http://www.ato.gov.au).

http://www.ato.gov.au/

ASX SETTLEMENT PROCEDURE GUIDELINES APPENDIX B

VERSION 1.7 B-2 TAX FILE NUMBER EXEMPTION CODES DEC 2010

This page is intentionally blank.


VERSION 1.8 C-1 COUNTRY CODES MAY 2012

APPENDIX C: COUNTRY CODES

Country Name Description Country Code

AFGHANISTAN AFG

ALAND ISLANDS ALA

ALBANIA ALB

ALGERIA DZA

AMERICAN SAMOA ASM

ANDORRA AND

ANGOLA AGO

ANGUILLA AIA

ANTARCTICA ATA

ANTIGUA AND BARBUDA ATG

ARGENTINA ARG

ARMENIA ARM

ARUBA ABW

AUSTRALIA AUS

AUSTRIA AUT

AZERBAIJAN AZE

BAHAMAS BHS

BAHRAIN BHR

BANGLADESH BGD

BARBADOS BRB

BELARUS BLR

BELGIUM BEL

BELIZE BLZ

BENIN BEN

BERMUDA BMU

BHUTAN BTN

BOLIVIA BOL

BOSNIA AND HERZEGOVINA BIH

BOTSWANA BWA

BOUVET ISLAND BVT

BRAZIL BRA

BRITISH IND OCEAN TERR IOT

BRITISH VIRGIN ISLANDS VGB

BRUNEI DARUSSALAM BRN

BULGARIA BGR

BURKINA FASO BFA

BURUNDI BDI

CAMBODIA KHM

CAMEROON CMR

CANADA CAN

CAPE VERDE CPV




CAYMAN ISLANDS CYM

CENTRAL AFRICAN REP CAF

CHAD TCD

CHILE CHL

CHINA CHN

CHRISTMAS ISLAND CXR

COCOS KEELING ISLANDS CCK

COLOMBIA COL

COMOROS COM

CONGO COG

CONGO DEMOCRATIC REP OF COD

COOK ISLANDS COK

COSTA RICA CRI

COTE DIVOIRE CIV

CROATIA HRV

CUBA CUB

CYPRUS CYP

CZECH REPUBLIC CZE

DEMOCRATIC PEOPLES REP KOREA PRK

DEMOCRATIC REP OF CONGO COD

DENMARK DNK

DJIBOUTI DJI

DOMINCA DMA

DOMINICAN REPUBLIC DOM

ECUADOR ECU

EGYPT EGY

EL SALVADOR SLV

EQUATORIAL GUINEA GNQ

ERITREA ERI

ESTONIA EST

ETHIOPIA ETH

FALKLAND ISL MALVINAS FLK

FAROE ISLANDS FRO

FIJI FJI

FINLAND FIN

FRANCE FRA

FRENCH GUIANA GUF

FRENCH POLYNESIA PYF

FRENCH SOUTHERN TERR ATF

GABON GAB

GAMBIA GMB

GEORGIA GEO

GERMANY DEU

GHANA GHA




GIBRALTAR GIB

GREECE GRC

GREENLAND GRL

GRENADA GRD

GUADELOUPE GLP

GUAM GUM

GUATEMALA GTM

GUERNSEY GGY

GUINEA GIN

GUINEA-BISSAU GNB

GUYANA GUY

HAITI HTI

HEARD AND MCDONALD ISL HMD

HOLY SEE VAT

HONDURAS HND

HONG KONG HKG

HUNGARY HUN

ICELAND ISL

INDIA IND

INDONESIA IDN

IRAN ISLAM REPUBLIC OF IRN

IRAQ IRQ

IRELAND IRL

ISLAMIC REP OF IRAN IRN

ISLE OF MAN IMN

ISRAEL ISR

ITALY ITA

JAMAICA JAM

JAPAN JPN

JERSEY JEY

JORDAN JOR

KAZAKHSTAN KAZ

KENYA KEN

KIRIBATI KIR

KOREA DPR PRK

KOREA REPUBLIC OF KOR

KUWAIT KWT

KYRGYZSTAN KGZ

LAO PEOPLES DEMOCRATIC REP LAO

LATVIA LVA

LEBANON LBN

LESOTHO LSO

LIBERIA LBR

LIBYAN ARAB JAMAHIRIYA LBY




LIECHTENSTEIN LIE

LITHUANIA LTU

LUXEMBOURG LUX

MACAO MAC

MACEDONIA EX YUGOSLAV REP OF MKD

MADAGASCAR MDG

MALAWI MWI

MALAYSIA MYS

MALDIVES MDV

MALI MLI

MALTA MLT

MARSHALL ISLANDS MHL

MARTINIQUE MTQ

MAURITANIA MRT

MAURITIUS MUS

MAYOTTE MYT

MEXICO MEX

MICRONESIA FEDERATED STATES FSM

MOLDOVA MDA

MONACO MCO

MONGOLIA MNG

MONTENEGRO MNE

MONTSERRAT MSR

MOROCCO MAR

MOZAMBIQUE MOZ

MYANMAR MMR

NAMIBIA NAM

NAURU NRU

NEPAL NPL

NETHERLANDS NLD

NETHERLANDS ANTILLES ANT

NEW CALEDONIA NCL

NEW ZEALAND NZL

NICARAGUA NIC

NIGER NER

NIGERIA NGA

NIUE NIU

NORFOLK ISLAND NFK

NORTHERN MARIANA ISL MNP

NORWAY NOR

OCCUPIED PALESTINIAN TERR PSE

OMAN OMN

PAKISTAN PAK

PALAU PLW




PALESTINIAN TERR OCCUPIED PSE

PANAMA PAN

PAPUA NEW GUINEA PNG

PARAGUAY PRY

PERU PER

PHILIPPINES PHL

PITCAIRN PCN

POLAND POL

PORTUGAL PRT

PUERTO RICO PRI

QATAR QAT

REPUBLIC OF KOREA KOR

REUNION REU

ROMANIA ROU

RUSSIAN FEDERATION RUS

RWANDA RWA

SAMOA WSM

SAN MARINO SMR

SAO TOME AND PRINCIPE STP

SAUDI ARABIA SAU

SENEGAL SEN

SERBIA SRB

SEYCHELLES SYC

SIERRA LEONE SLE

SINGAPORE SGP

SLOVAKIA SVK

SLOVENIA SVN

SOLOMON ISLANDS SLB

SOMALIA SOM

SOUTH AFRICA ZAF

SPAIN ESP

SRI LANKA LKA

ST BARTHELEMY BLM

ST HELENA SHN

ST KITTS AND NEVIS KNA

ST LUCIA LCA

ST MARTIN MAF

ST PIERRE AND MIQUELON SPM

ST VINCENT AND THE GRENADINES VCT

STH GEORGIA & STH SANDWICH ISL SGS

SUDAN SDN

SURINAME SUR

SVALBARD AND JAN MAYEN SJM

SWAZILAND SWZ




SWEDEN SWE

SWITZERLAND CHE

SYRIAN ARAB REPUBLIC SYR

TAIWAN, PROVINCE OF CHINA TWN

TAJIKISTAN TJK

TANZANIA, UNITED REP OF TZA

THAILAND THA

THE EX YUGOSLAV REP MACEDONIA MKD

TIMOR-LESTE TLS

TOGO TGO

TOKELAU TKL

TONGA TON

TRINIDAD AND TOBAGO TTO

TUNISIA TUN

TURKEY TUR

TURKMENISTAN TKM

TURKS AND CAICOS ISL TCA

TUVALU TUV

UGANDA UGA

UKRAINE UKR

UNITED ARAB EMIRATES ARE

UNITED KINGDOM GBR

UNITED REP OF TANZANIA TZA

UNITED STATES USA

UNITED STATES OF AMERICA USA

UNITED STATES VIRGIN ISL VIR

URUGUAY URY

US MINOR OUTLYING ISL UMI

UZBEKISTAN UZB

VANUATU VUT

VENEZUELA VEN

VIET NAM VNM

VIRGIN ISLANDS BRITISH VGB

VIRGIN ISLANDS US VIR

WALLIS AND FUTUNA WLF

WESTERN SAHARA ESH

YEMEN YEM

ZAMBIA ZMB

ZIMBABWE ZWE

APPENDIX D

ASX Settlement Pty Limited A.B.N. 49 008 504 532 Level 4, 20 Bridge Street, Sydney NSW 2000 P.O. Box H227 Australia Square, Sydney NSW 1215


HOLDING LOCK APPLICATION / RELEASE

To: C & S Operations

Company: ASX Settlement Pty Limited (ASXS)

Fax Number: (02) 9227 0265

I, of (Full Name and Title of Authorised Officer)

, with (Name of Registry) (UIC of Registry)

on behalf of (Name of Issuer)

request the application / release* of a Holding Lock to / from* the following Holding:

ISIN / ASX * code of Securities

Holder Identification Number (HIN):

Registration Details of Security Holder:

The reason for the application / release* is: The following documents (e.g. a court order) supporting this request are attached:

/ / Signature of Authorised Officer Date Lodging Registry’s Stamp

* Delete the item not applicable.

The Issuer indemnifies ASXS against any and all losses, damages, cost and expenses that ASXS may suffer as a result of ASXS acting upon this request.

PRIVACY COLLECTION STATEMENT: ASXS uses and discloses personal information only for the purpose for which it is provided and pursuant to the ASX Settlement Operating Rules. You should be aware and, where applicable, make individual clients and/or CHESS holders aware of the following information:

a failure to provide the information may result in a breach of the ASX Settlement Operating Rules by the Participant/Issuer and/or may prevent ASXS from acting on your request;

the personal information will not be disclosed or used for any other purpose unless the individual consents or ASXS is otherwise permitted to do so under the Privacy Act 1988 (Cth);


APPENDIX E

STANDARD ACCEPTANCE FORM – RIGHTS

Entitlement and Acceptance forms for a renounceable rights issue (SRA Form 21) are available from the Securities Registrars Association of Australia Inc website

(http://www.sraa.com.au).

APPENDIX G



CST CONTRIBUTIONS AND ADDITIONAL COVER FORM



Fax Number: (02) 9227 0264

This form provides ASX Clear with the information necessary to contact Clearing Participants and effect funds transfers associated with CST Contributions and Additional Cover. Refer to ASX Clear Operating Rules Section 8.1 – Contributions and ASX Clear Operating Rules Procedures 14.6.1 – Participant to Provide Cover (including Additional Cover).

The completed form should be faxed to the number above, and the original mailed to:

Clearing Risk Management

ASX Ltd

P.O. Box H227

Australia Square

Sydney NSW 1215

CLEARING PARTICIPANTS MUST RELODGE THIS FORM AS SOON AS POSSIBLE IF CONTACT OR PAYMENT DETAILS CHANGE

Participant PID :

Participant Name:

PART A – CLEARING PARTICIPANT CONTACT DETAILS (NOTIFICATIONS)

Contacts required for notification of contribution payments/reciept and monthly interest payments to be completed by all Clearing Participants. Please provide details for a minimun of two contacts. A group email is requested.

Contact 1 Name: ___________________________________________________________________________________________

Phone: ________________________________________ Mobile: _____________________________________

Email: __________________________________________________________________________________________

Contact 2 Name: ___________________________________________________________________________________________

Phone: ________________________________________ Mobile: _____________________________________

Email: __________________________________________________________________________________________

Contact 3 Name: ___________________________________________________________________________________________

Phone: ________________________________________ Mobile: _____________________________________

Email: __________________________________________________________________________________________

Group Email: __________________________________________________





APPENDIX G



PART B – CLEARING PARTICIPANT CONTACT DETAILS (SETTLEMENTS)

Contacts required for Exigo settlement issues. To be completed by all Clearing Participants. Please provide details for a minimun of two contacts. A group email is requested.

Contact 1 Name: ___________________________________________________________________________________________

Phone: ________________________________________ Mobile: _____________________________________

Email: __________________________________________________________________________________________

Contact 2 Name: ___________________________________________________________________________________________

Phone: ________________________________________ Mobile: _____________________________________

Email: __________________________________________________________________________________________

Contact 3 Name: ___________________________________________________________________________________________

Phone: ________________________________________ Mobile: _____________________________________

Email: __________________________________________________________________________________________

Group Email: __________________________________________________

PART C – CLEARING PARTICIPANT EXIGO DETAILS

To be completed by Clearing Participants that are members of Austraclear. Account details must be for House Accounts only. Two authorised Austraclear signatories are required. If Clearing Participant is not a member of Austraclear, proceed to Part D.

Austraclear Member Name:

Austraclear Member Code: Name

Payment Provider (Settlement Bank):

BSB :

Account Number :

______________________________________ ________________________________________ ____ / ____ / ____

Name of Authorised Austraclear Signatory Signature of Authorised Austraclear Signatory Date

______________________________________ ________________________________________ ____ / ____ / ____




APPENDIX G





PART D – NOMINATED AUSTRACLEAR MEMBER AND THEIR EXIGO DETAILS

This section applies to Clearing Participants that are not members of Austraclear. This section must be completed by nominated Austraclear member acting on behalf of Clearing Participant. Nominated party my be a related entity or Payment Provider/Settlement Bank. Account details must be for House Accounts only. Two authorised Austraclear signatories are required.

Austraclear Member Name:

Austraclear Member Code: Name

Payment Provider (Settlement Bank):

BSB :

Account Number :

______________________________________ ________________________________________ ____ / ____ / ____


______________________________________ ________________________________________ ____ / ____ / ____


PART E – MANAGER AUTHORISATION

This section requires an authorisation from the Manager responsible for details provided in this form. This section must be completed by all Clearing Participants.

______________________________________ ________________________________________

Name Signature

______________________________________ ____ / ____ / ____

Possition Date

PAYMENTS / RECEIPTS MATCHED TO ASX CLEAR AUSTRACLEAR CODE OPTS22 VIA EXIGO

The Participant indemnifies ASXS against any and all losses, damages, cost and expenses that ASXS may suffer as a result of ASXS acting upon this request.


a failure to provide the information may result in a breach of the ASX Settlement Rules by the Participant/Issuer and/or may prevent ASXS from acting on your request;

APPENDIX G





APPENDIX H



CHANGE OF CONTROLLING PARTICIPANT



Fax Number: (02) 9227 0264

Please nominate method to be used by marking the appropriate box:

Complete Change of PID

Partial Change of PID (refer to table below)

Effective Date: __ /___ /___

Notes: (a) New Controlling Participant completes all relevant details and passes the form to the ‘Relinquishing Participant’ for their

signature. (b) Reference should be made to the appropriate section of the ASX Settlement Procedure Guidelines for assistance in completing

this form. (c) If Allocation of New HIN(s) method is required, transfer of securities is effected by the use of off-market transfers

(refer EIS message no: 005 “Demand Dual Entry CHESS to CHESS Transfer Request”.)

Existing HIN Full Holder Name Receiving HIN

If the space provided in the table above is insufficient, all requisite details for additional holders may be listed on an attachment or an EXCEL spreadsheet may be used. Contact Settlement Operations for details.

Suppress Holder Notification

Notes: (a) Notifications can only be suppressed if Holders have been advised of change of sponsor by alternative means.

RELINQUISIHING PARTICIPANT NEW CONTROLLING PARTICIPANT

PID: Date: ___ /___ /___ PID: Date: ___ /___ /___

Name of Authorised Officer (Please Print) Name of Authorised Officer (Please Print)

Signature of Authorised Officer Signature of Authorised Officer

Participant Stamp if applicable Participant Stamp if applicable The Participant indemnifies ASX Settlement against any and all losses, damages, cost and expenses that ASX Settlement may suffer as a result of ASX Settlement acting upon this request.

PRIVACY COLLECTION STATEMENT: ASX Settlement uses and discloses personal information only for the purpose for which it is provided and pursuant to the ASX Settlement Operating Rules. You should be aware and, where applicable, make individual clients and/or CHESS holders aware of the following information:

a failure to provide the information may result in a breach of the ASX Settlement Rules by the Participant/Issuer and/or may prevent ASX Settlement from acting on your request;

the personal information will not be disclosed or used for any other purpose unless the individual consents or ASX Settlement is otherwise permitted to do so under the Privacy Act 1988 (Cth);


APPENDIX I

TRANSFER REQUEST FORM

Transfer Request forms (SRA Form 15) are available from the Securities Registrars Association of Australia Inc website

(http://www.sraa.com.au).

APPENDIX K



STANDING HIN NOMINATION



Fax Number: (02) 9227 0265


, with ________________________ , (Name of Participant) (PID)

whose Participant Identifier (PID) (PID) is

requests that until further notice the following standing Holding Identification Number (HIN) details be established in CHESS.*

Standing Accumulation HIN

Applied if a HIN for a Target Holding is not specified by the above named Participant in Registry to CHESS Transfer. Standing Demand HIN

Applied if a HIN is not specified by the above named Participant in: (a) CHESS to CHESS Transfers; and (b) CHESS to Registry Transfers. Standing Settlement HIN

Mandatory for ALL Market Participants. Applied if a HIN is not specified by the above named Participant in: (a) Single and Dual Entry Settlement Notifications; (b) Loan Application and Returns; and (c) Market Transactions (including Netting Transactions). Standing Foreign HIN Applied if a HIN is not specified by the above named Participant if any of the following are flagged as Foreign to Foreign Transactions: (a) Single and Dual Entry Settlement Notifications; and (b) Market Transactions.

/ / Signature of Authorised Officer Date Lodging Participant Stamp

* (Refer to ASX Settlement Procedure Guidelines Section 3)

The Participant indemnifies ASX Settlement against any and all losses, damages, cost & expenses that ASX Settlement may suffer as a result of ASX Settlement acting upon this request


a failure to provide the information may result in a breach of the ASX Settlement Operating Rules by the Participant/Issuer and/or may prevent ASX Settlement from acting on your request;



APPENDIX L

STANDARD EXERCISE FORM – OPTIONS

(To enable option holders to apply for Securities on exercise of a company issued option)

To:

Exercise Date (if Applicable)

____ / ____ / ____

(Name of Issuer)

* I / We hereby exercise * my / our option to apply for:

(Number in figures) (Number in words)

Securities in the above mentioned Issuer and (Description of Security)

* I / We enclose payment of ___________.___ covering each Security applied for. (Amount per Security)

A Cheque for the total payment of $A _____________ . _____ is attached.

* I / We request you allot such securities to * me/us and agree to accept them as subject to the Company’s Memorandum and Constitution.

Holder Identification Number (HIN): (HIN):

Registration Details of Option Holder:

This application may be signed by: - the holder(s) of the Securities; or - a person appointed by a power of attorney from the holder (if signed under power of attorney, the

attorney is to declare that he/she has no notice of revocation of the power of attorney); or

- companies, who must sign under seal.

(Print Name) (Signature)


____ / ____ / ____ (Date )

Company Seal (if Applicable)

Important Note: Please read the conditions relating to the issue and exercise of these options carefully. * Delete the item not applicable

Lodging Participant’s Stamp (if Applicable)

This proforma document is an example only. Participants should contact the Share Registry to ensure the correct form is used.

ASX Settlement Pty Limited takes no responsibility in relation to the use of this proforma document.

APPENDIX M

STANDARD CONVERSION FORM – CONVERTIBLE SECURITIES

(To enable convertible security holders to exercise rights to convert Securities held on the CHESS Subregister)

To:

Conversion Date (if Applicable)

____ / ____ / ____ (Name of Issuer)

* I / We hereby give notice of exercise of * my / our right to convert into:

Securities in the above mentioned Issuer (Description of Security)

* all / part of * my / our holding of (Description of Convertible Security)

of (Description of Convertible Security)

(Number in figures) (Number in words)

* I / We request you allot such Securities to * me / us and agree to accept them as subject to the Company’s Memorandum and Constitution.

Holder Identification Number (HIN): (HIN):

Registration Details of Note Holder:

This application may be signed by: - the holder(s) of the Securities; or - a person appointed by a power of attorney from the holder (if signed under power of attorney, the

attorney is to declare that he/she has no notice of revocation of the power of attorney); or

- companies, who must sign under seal.



____ / ____ / ____ (Date )

Company Seal (if Applicable)

Important Note: Please read the conditions relating to the issue and conversion of these Securities carefully. * Delete the item not applicable

Lodging Participant’s Stamp (if Applicable)

This proforma document is an example only. Participants should contact the Share Registry to ensure the correct form is used.

ASX Settlement Pty Limited takes no responsibility in relation to the use of this proforma document

APPENDIX N



HOLDING STATEMENT SUPPRESSION/REINSTATEMENT (To allow a sponsored holder to request/reverse suppression of receipt of holding statements)



Fax Number: (02) 9227 0265

I, (Full Name and Title of Authorised Officer)

of , with _____________________, (Name of Participant) (PID)

contactable on , and/or _______________________________ , (Phone Number ) (Email)

in respect of the following sponsored holder: Name: ____________________________________________

HIN: ____________________________________________

Suppress (complete Sections 1 + 2 below)

request that ASXS the production of periodic holding statements

Reinstate (complete Section 2 below)

Effective Date: __/__/__

SECTION 1 - request for suppression only

(i) I confirm that the sponsored holder specified above falls into one of the categories permitted under

ASX Settlement Rules

(ii) The category of sponsored holder under ASX Settlement Rules is (specify below):

(iii) I attach a statement from the sponsored holder as required by ASX Settlement Rules

SECTION 2 - all requests

________________________________________ ____/ ____/ ____

Signature of Authorised Officer Date Lodging Participant’s Stamp



A to provide the information may result in a breach of the ASX Settlement Operating Rules by the Participant/Issuer and/or may prevent ASXS from acting on your request;

The personal information will not be disclosed or used for any personal purpose unless the individual consents or ASXS is otherwise permitted to do so under the Privacy Act 1988 (Cth);

Individuals may access personal information by contacting the ASX Chief Privacy Officer at PO Box H224 Australia Square NSW 1215

APPENDIX N




APPENDIX N1



ON-DEMAND CHESS HOLDING STATEMENT REQUEST



Fax Number: (02) 9227 0265



contactable on , and/or _______________________________ , (Phone Number) (Email)

request that ASXS produce an On-Demand CHESS Holding Statement in respect of the following Sponsored Holder:

Holder Name :


and for the following securities (enter ‘ALL’ or list required securities):


IMPORTANT NOTE: On-Demand CHESS Holding Statements are not produced where there are no transactions for the month and the balance is zero.

The Participant agrees to accept charges as outlined in the ‘Schedule of Fees – Clearing & Settlement’.

The Participant indemnifies ASXS against any and all losses, damages, cost & expenses that ASXS may suffer as a result of ASXS acting upon this request





APPENDIX N2



ARCHIVE CHESS HOLDING STATEMENT REQUEST



Fax Number: (02) 9227 0265



contactable on , and/or _______________________________ , (Phone Number) (Email)

request that ASXS produce a copy of the following CHESS Holding Statement/s from the archives in respect of the following Sponsored Holder:

Holder Name :


and for the following securities:

Security

Month & Year of Statement Request

___/_____ ___/_____

___/_____

___/_____

___/_____

___/_____

___/_____


IMPORTANT NOTE: On-Demand CHESS Holding Statements are not produced where there are no transactions for the month and the balance is zero. The Participant agrees to accept charges as outlined in the ‘Schedule of Fees – Clearing & Settlement’.



a failure to provide the information may result in a breach of the ASTC Settlement Operating Rules by the Participant/Issuer and/or may prevent ASXS from acting on your request;



APPENDIX O



HOLDER LOCK - SECURITIES MOVEMENT REQUEST



Fax Number: (02) 9227 0265

I, __ _ of (Full Name and Title of Authorised Officer)

, with _____________________ , (Name of Participant) (PID)

request that _____________ units of ___________________________________________________________ (Number of Units) (Full Name and Description of Security)

with ASX / ISIN* code of:

be moved from a Locked Holding identified by Holder Identification Number (HIN):

to a newly established Holding identified by HIN:


* Delete the item not applicable

IMPORTANT NOTE: * Enter the number of securities available for movement to the newly established holding (Refer to the ASX Settlement Rules)






APPENDIX P1

ASX Settlement Pty Ltd A.B.N. 49 008 504 532 Level 5, 20 Bridge Street, Sydney NSW 2000 P.O. Box H227 Australia Square, Sydney NSW 1215


REQUEST TO CREATE NEW PAYMENT FACILITY

Original document required to process request. Please mail to:

ASX Settlement Pty Limited

P.O. Box H227

Australia Square

Sydney NSW 1215

Participant PID :

Participant Name:

Payment Provider UIC :

Payment Provider Name:

Payment Facility Type : (tick one only)

t

Effective Date: ___ /___ /___

Default Or HIN Specific Or Application and Redemption

For HIN Specific Payment Facilities Only HIN/s to be linked to Payment Facilities for transactions in approved Securities

HIN Details Full Holder Name

If more HINs are required, please attach to this form.

For Application and Redemption Payment Facilities Only HINs to be linked to Payment Facilities for transactions in managed fund approved products

HIN Details Full Holder Name <Application a/c>

<Redemption a/c>

Participant:

/ / Name & Title of Authorised Officer Signature of Authorised Officer Date

Payment Provider:

/ /

Name & Title of Authorised Officer Signature of Authorised Officer Date

Clearing and Settlement Use Only:

Payment Facility ID/s: -

The Participant and Payment Provider indemnifies ASX Settlement against any and all losses, damages, cost and expenses that ASX Settlement may suffer as a result of ASX Settlement acting upon this request.

PRIVACY COLLECTION STATEMENT: ASX Settlement uses and discloses personal information only for the purpose for which it is provided and pursuant to the ASX Settlement Operating Rules. You should be aware and, where applicable, make individual clients and/or CHESS holders aware of the following information:

a failure to provide the information may result in a breach of the ASX Settlement Operating Rules by the Participant/Issuer and/or may prevent ASX Settlement from acting on your request;



Payment Provider Stamp

APPENDIX P2



CHANGE PAYMENT PROVIDER FOR PAYMENT FACILITY



Fax Number: (02) 9227 0265

Original document required to process request. Please mail to:

Clearing and Settlement Operations

ASX Ltd

P.O. Box H227

Australia Square

Sydney NSW 1215

Participant PID :

Participant Name:

Payment Facility ID:

Existing Payment Provider UIC :

Payment Provider:

New Payment Provider UIC :

Payment Provider:

Effective Date: ___/___/___

Participant:

/ / Name & Title of Authorised Officer Signature of Authorised Officer Date

Payment Provider:

/ /

Name & Title of Authorised Officer Signature of Authorised Officer Date






Payment Provider Stamp

APPENDIX P3



MODIFY EXISTING PAYMENT FACILITY



Fax Number: (02) 9227 0265

Participant PID : Participant Name:

Please Link to Payment Facility ID:

t

Or

Remove from Payment Facility ID:

(tick one)


HIN Details Full Holder Name


/ / Name & Title of Authorised Officer Signature of Authorised Officer Date Lodging Participant Stamp






APPENDIX P4



SET DEFAULT PAYMENT FACILITY FOR PARTICIPANT



Fax Number: (02) 9227 0265

Participant PID :

Participant Name:

Please set the following Payment Facility as DEFAULT:










APPENDIX P5



MOVE HIN(S) BETWEEN EXISTING PAYMENT FACILITIES To: C & S Operations


Fax Number: (02) 9227 0265

Participant PID :

Participant Name:

Please move the following HIN(S) Effective Date: ___/___/___

From:



To:



Existing HIN Full Holder Name








APPENDIX P6



CANCEL PAYMENT FACILITY To: C & S Operations


Fax Number: (02) 9227 0265

Participant PID :

Participant Name:

Please CANCEL the following Payment Facility:


Payment Provider UIC:

Payment Provider:



Has the Payment Provider been Notified Y/N






APPENDIX Q



STATEMENT MESSAGE REQUEST To: C & S Operations


Fax Number: (02) 9227 0265

Issuer Name:

Contact Name:

Contact Phone Number:

E-Mail:

The message is to appear on all CHESS Holding Statements for (tick one and provide correct code):

Issuer Code: ___________________ (to have the message appear on all securities of the Issuer)

or

ISIN Code: ___________________ (to have the message appear on one specific security)

Specify the Issuer message you wish to appear on your CHESS Holding Statements. The message length cannot exceed 180 characters. (Note: The message displays on the statement as two lines of text.)

Line 1

Line 2

Specify the date range during which you want the message to appear:

Message Start Date: ___ /___ /____ Message End Date: ___ /___ /____

The message details requested will appear on all CHESS Holding Statements for the Issuer Code or ISIN Code and date range specified. Your authorisation of this request is required.

/ / Name of Authorised Officer Signature of Authorised Officer Date

The Issuer indemnifies ASXS against any and all losses, damages, cost and expenses that ASXS may suffer as a result of ASXS acting upon this request.





APPENDIX R



BUSINESS CONTINUITY – CHESS MESSAGE HISTORY FILE REQUEST



Fax Number: (02) 9227 0265

Please complete the following details to request the creation of a CHESS message history file for disaster recovery purposes. Next, fax the completed form to Clearing and Settlement Operations, ensuring you phone Clearing and Settlement Operations when you fax the form. You will be put in contact with an ASXS representative who will discuss your requirements with you.

AIC:

UIC:

Registry Name:

Contact Name:

Phone:

Email Address:

Office Address:

Please specify selection parameters, for example: MSN Range, Message Type, Security ID.

File Type (tick one): CHESS PC File Format Or CHESS EIS Message Format

t

Medium (tick one): Diskette Or CD

t

A diskette or a CD containing the requested file will be couriered to you at your expense.

As the CHESS message history will not be encrypted, ASXS cannot guarantee the security of the data. Your signature is required to authorise the request and by way of acknowledgement that ASXS does not guarantee the security of the data.

/ / Signature of Authorised Officer Date Registry’s Stamp

The Registry indemnifies ASXS against any and all losses, damages, costs and expenses that ASXS may suffer as a result of ASXS acting upon this request.





APPENDIX R




APPENDIX S



REQUEST TO REMOVE SETTLEMENT INSTRUCTION FROM SCHEDULED SETTLEMENT (Non-Market Participants Only)



Fax Number: (02) 9227 0265


, with ________________________ , (Name of NBP) (PID)

request that ASXS remove the following Settlement Instruction from Scheduled Settlement:

Settlement Instruction Transaction ID

I confirm that this request complies with the provisions of the ASX Settlement Operating Rules, and attach the following supporting documentation as required by ASX Settlement Operating Rules:

PLEASE COMPLETE FOR VERIFICATION USE

Settlement Date

/ /

/

Security Code Outstanding Units

Outstanding Value

Receiving UIC

Delivering UIC

Officer’s Contact Details:

Contact No: Fax Number

/ / Signature of Authorised Officer Date Lodging Participant’s Stamp






APPENDIX V1



DEMAND REPORT REQUEST FROM ARCHIVAL STORAGE To: C & S Operations


Fax Number: (02) 9227 0265

Selection Criteria (refer to ASX Settlement Procedure Guidelines Section 16 for specific field requirements)

Report Type:

HIN:

ISIN/ASX Security Code:

Reporting Start Date:

Reporting End Date: Date:Date:

Y Y Yy

Y

mm

M M D D

Y Y Yy

Y

mm

M M D D

Other Fields (Refer to EIS Message 503 – Reporting Request)

Field Name Criteria

Field Name Criteria

Field Name Criteria

Medium: Hardcopy Diskette CD E-mail

(Please note: Hardcopies, diskettes and CDs will be couriered to the Participant at their expense.)

Participant Details

Name: Title: Organisation: Contact Phone Number E-Mail:

As the demand report will not be encrypted, ASXS cannot guarantee the security of the data. Your signature is required to

authorise the request and by way of acknowledgement that ASXS does not guarantee the security of the data.

/ / Signature of Authorised Officer Date Participant’s Stamp

Clearing & Settlement Operations Use Only:

Actioned : _______________________________________ Date __/__/__ Initials __________



a failure to provide the information may result in a breach of the ASX Settlement OperatingRules by the Participant/Issuer and/or may prevent ASXS from acting on your request;



UIC :

APPENDIX V2



CHESS MESSAGE EXTRACT REQUEST To: C & S Operations


Fax Number: (02) 9227 0265

Message Type(s):

UIC:

HIN:

ISIN/ASX Security Code:

Unit Quantity:

Transaction ID:

Start Date:

End Date:

Y Y Yy

Y

mm

M M D D

Y Y Yy

Y

mm

M M D D

Other information specific to the message(s) you want to retrieve:

Medium: Hardcopy Diskette CD E-mail

(Please note: Hardcopies, diskettes and CDs will be couriered to the User at their expense.)

Requesting Party’s Details

Name: Title: Organisation: Contact Phone Number: E-Mail:

As the CHESS message extract will not be encrypted, ASXS cannot guarantee the security of the data. Your signature is required to authorise the request and by way of acknowledgement that ASXS does not guarantee the security of the data.

/ / Signature of Authorised Officer Date User’s Stamp

Clearing & Settlement Operations use only:

Actioned: _______________________________________ Date: ____ / ____ / ____ Initials: __________

The User indemnifies ASXS against any and all losses, damages, cost and expenses that ASXS may suffer as a result of ASXS acting upon this request.





APPENDIX W



NEW EXTERNAL CHESS USER (Technical Details)



Fax Number: (02) 9227 0265

Please tick:

Direct Clearing Participant General Settlement Participant Payment Provider

General Clearing Participant Specialist Settlement Participant Registry

Account Participant Approved Market Operator

Organisation Name:

Address:

Starting Date: __________________ Or Estimated Starting Date: _____________________

Please tick preference: ASX Code Or ISIN Code

Set-Up / Technical Contact Person:

Name: __________________________________________ Tel: _________________ Fax: ____________

Ongoing Contact Person:

Name: __________________________________________ Tel: _________________ Fax: ____________

Technical Details

System Supplier: _________________________________________________________________________

Security Key Please tick: Type 1

Type 2 Type 3

Encryption Type Please tick: Software

Hardware

If hardware: Make:____________Model:_____________

IP Address for PRIMARY system: _________________________________________

IP Address for BACKUP system: __________________________________________

Contacts to Receive Keys

Contact 1: __________________________ Tel no: _________________ Fax no: ________________

Contact 2: _________________________ Tel no: _________________ Fax no: ________________


AIC: ___/___/___/___/___ UIC: ___/___/___/___/___

Number of key issued: ___________________________________________





APPENDIX W1



NEW EXTERNAL CHESS USER (Technical Details) Product Issuer Settlement Participant (PISP) To: ASX Settlement Operations


Email: [email protected]

Organisation Name:

Address:

Legal Issuer Name (RE):

Investment Manager:

Starting or Estimated Starting Date: _________________

System Set up Details:

Are you new to CHESS: Y/N? ____ (If yes Security Keys and an AIC will be issued)

Do you wish to use an existing AIC: Y/N? __ please specify existing AIC: ____________ (New Security Keys and AIC will NOT be issued)

Technical Details

Name of System Supplier / Vendor: __________________________________________________________________

Security Key Please tick: Type 1 Type 2 Type 3

Encryption Type Please tick: Software Hardware

System Coding for CHESS messages: ASX Code or ISIN Code

If hardware: Make:____________Model:_____________

IP Address for PRIMARY system: _________________________________________ (provided by your VPN provider)

IP Address for BACKUP system: __________________________________________ (provided by your VPN provider)

Registry System Details

Please tick:

Internal Registry (PISP acting as its own registry)

New External (Appendix W required for new AIC)

Existing External Registry AIC:____________

_

ASX Settlement Operations use only:

AIC: ___/___/___/___/___ PISP UIC: ___/___/___/___/___

Number of key issued: ___________________________________________

mailto:[email protected]

Set-Up / Technical Contact Person:

Name: __________________________________________ Tel: _________________ Email: _____________

Ongoing Operational Contact Person:

Name: __________________________________________ Tel: _________________ Email: _____________

Name: __________________________________________ Tel: _________________ Email: _____________

CHESSHELP Notification Group Email

_________________________________________________ (only one group email permitted)

Contacts to Receive Keys

Contact 1: _______________________________________ Tel: _________________Email: _____________

Contact 2: _______________________________________ Tel: _________________Email: _____________ Street Adress to send the Keys: ___________________________________________________________

Payment Provider Details (Bank)

Bank Name: __________________________________________________________________________

Contact Name: __________________________________________________________________________

email: ______________________________________________________ Tel: ________________________

Registry Contact Details

Registry Name: __________________________________________________________________________

Contact Name: __________________________________________________________________________

email: ______________________________________________________ Tel: ________________________

Registry Address and Phone number to appear on investors CHESS statements

Registry Name : ________________________________________________________ (limit of 39 characters)

Address : _____________________________________________________________

Suburb: ______________________________________________________________

State: ________________________________________________________________

Postcode: _____________________________________________________________

Tel no: _______________________________________________________________






VERSION 1.7 X1-1 REASON CODES FOR REGISTRY TRANSACTIONS DEC 2010

APPENDIX X1: EVENTS USED FOR REASON CODES ON REGISTRY TRANSACTIONS

This table lists the events where reason codes may be used on registry transactions, and the appropriate subsequent reason code.

Event Event Description Reason Description

Code (as per the EIS)

Bonus Issue Allotment of shares in a bonus issue.

BON Bonus Issue Allotment

Bonus Share Plan

Allotment of shares in a bonus share plan.

BSP Bonus Plan Allotment

Calls of partly Payment of calls for partly paid CAL Call Paid

paid shares shares of either a limited or no liability company.

Removal of shares on which a call FOR Forfeiture of Partly

has not been paid. Paid Shares

Capital Effects of a capital reconstruction. REC Reconstruction

Reconstruction of a company

Company Buy Removal of securities when a holder

BYB Buy Back

Back has failed to issue instructions for a

compulsory buy back.

Company Allotment of securities as a result of

MER Company Merger

Merger a company merger.

Conversion Conversions of securities other than

CNV Miscellaneous

convertible notes. Conversion

Convertible Notes

Allotment. CNA Convertible Note Allotment

Conversion. NCN Convertible Note Conversion

Redemption or Maturity. CNR Convertible Note Redemption/Maturity





Distribution in Specie

Allotment of securities as a result of a distribution in specie.

DIS Distribution in Specie

Divestment Adjustments to CHESS Holdings due to divestment procedures for securities other than those subject to

DVM Divestment

CHESS foreign ownership restrictions. All other processing for divestment takes place outside of CHESS.

Adjustments to CHESS Holdings due

AFO Adjustment for Foreign

to divestment procedures for Ownership

securities subject to CHESS foreign

ownership restrictions. All other processing for divestment takes

place

outside of CHESS.

Dividend in Allotment of shares as a result of the

SCD Scrip Dividend

form of company deciding to pay the securities dividend in the form of shares.

Dividend Allotment of shares in a dividend DRP Dividend Plan

Reinvestment reinvestment plan. Allotment

Plan

Float Allotment of securities as a result of a company float.

FLT Float

Income Allotment of securities in a IDA Income Distribution Reinvestment reinvestment of income other than Allotment

dividend income e.g. interest, trust

income, etc.

Miscellaneous Any adjustment where no specific ADJ Adjustment

Adjustment reason codes is applicable. For example:

• Error fixing. • Unusual Corporate Actions

Miscellaneous Any allotment of securities where no

ALT Miscellaneous

Allotment specific reason code is applicable. Allotment





Non-Registry Movement due to the CHESS CSC CHESS Subregister Initiated subregister closing. For example

in Closed

Movement the event of an issuer being delisted.

Movement due to the CHESS subregister being archived.

SAR Subregister Archived

Non- Allotment of new securities following

NRE Non-Renounceable

Renounceable acceptance of the issue. Issue Allotment Issues

Options Allotment. OPT Option Allotment

Option exercised. OEX Option Exercised

Placement Allotment due to a placement of securities.

PLC Placement

Non Pro-Rata Entitlement

Cum entitlement reporting facility PRI Non pro-rata entitlement

Redemption Redemptions of securities other than

RED Miscellaneous

convertible notes. Redemption

Renounceable Allotment of rights entitlements RHE Renounceable Rights

Rights Issues (rights securities). Entitlement Allotment

Removal of rights entitlements RHA Renounceable Rights

(rights securities) upon acceptance Accepted

Allotment of new securities following

RHT Renounceable Rights

acceptance of a rights entitlement Issue Allotment

OR Transformation of rights securities

to

new securities.

Reversal Reversal of an allotment or transfer due to various errors/events.

REV Allotment Reversal

Scheme of Arrangement

Effects of a scheme of arrangement.

SOA Scheme of Arrangement

Share Purchase Plan

Allotment of securities as a result of a share purchase plan.

SPP Share Purchase Plan

Share Top-up Plan

Allotment of securities as a result of a share top up plan.

STP Share Top-up Plan





Takeovers Allotment of securities as consideration from a takeover that is unconditional.

TKA Takeover Consideration Allotment

Movement of securities from the client to the offeror for a takeover subject to a compulsory acquisition by the offeror.

CAQ Compulsory Acquisition by Offeror

Warrants Allotment. WAL Warrant Allotment

Exercise. WEX Exercise of a warrant


VERSION 1.7 X2-1 REASON CODES FOR SECURITY MOVEMENTS DEC 2010

APPENDIX X2: REASON CODES FOR SECURITY MOVEMENTS

Reason Code

Description (as per EIS)

Event Event Description

ADJ Adjustment Miscellaneous Adjustment

Any adjustment where no specific reason code is applicable. For example:

Error fixing

Unusual Corporate Actions

AFO Adjustment for Foreign Ownership

Adjustments to CHESS Holdings due to divestment procedures for securities subject to CHESS foreign ownership restrictions. All other processing for divestment takes place outside of CHESS.

ALT Miscellaneous Allotment

Miscellaneous Allotment

Any allotment of securities where no specific reason code is applicable.

BON Bonus Issue Allotment

Bonus Issue Allotment of shares in a bonus issue.

BSP Bonus Plan Allotment

Bonus Share Plan Allotment of shares in a bonus share plan.

BYB Buy Back Company Buy Back

Removal of securities where a holder has failed to issue instructions for a compulsory buyback.

CAL Call Paid Calls of partly paid shares

Payment of calls for partly paid shares of either a limited or no liability company.

CAQ Compulsory Acquisition by Offeror

Movement of securities from the client to the offeror for a takeover subject to a compulsory acquisition by the offeror.

CNA Convertible Note Allotment

Convertible Notes

Allotment of a convertible note.

CNR Convertible Note Redemption / Maturity

Redemption or Maturity of a convertible note.

CNV Miscellaneous Conversion

Conversion Conversions of securities other than convertible notes.

CRI Collateral Removal Options Security no longer meets the criteria for eligibility as collateral cover.

CSC CHESS Subregister Closed

Non-Registry Initiated Movement

Movement due to the CHESS subregister closing, for example, in the event of an Issuer being delisted.



Reason Code



DIS Distribution in Specie

Distribution in Specie

Allotment of securities as a result of a distribution in specie.

DRP Dividend Plan Allotment

Dividend Reinvestment Plan

Allotment of shares in a dividend reinvestment plan.

DVM Divestment Divestment Adjustments to CHESS Holdings due to divestment procedures for securities other than those subject to CHESS foreign ownership restrictions.

EXP Collateral Removal Options The imminent expiry of a security used as collateral.

FLT Float Float Allotment of securities as a result of a company float.

FOR Forfeiture of Partly Paid Shares

Removal of shares on which a call has not been paid.

IDA Income Distribution Allotment

Income Reinvestment

Allotment of securities in a reinvestment of income other than dividend income, e.g. interest, trust income, etc.

MER Company Merger Company Merger Allotment of securities as a result of a company merger.

NCN Convertible Note Conversion

Conversion of a convertible note.

NRE Non-Renounceable Issue Allotment

Non-Renounceable Issues

Allotment of new securities following acceptance of the issue.

ODR Collateral Removal Options Collateral removal by ACH directive.

OEX Option Exercised Options Option exercised.

OPT Option Allotment Options Allotment of options.

PLC Placement Placement Allotment due to a placement of securities.

PRI Priority Issue Priority Issue Effects of a priority issue.

REC Reconstruction Capital Reconstruction of a company

Effects of a capital reconstruction.

RED Miscellaneous Redemption

Redemption Redemption of securities other than convertible notes.

REV Allotment Reversal Reversal Reversal of an allotment or transfer due to various errors/events.



Reason Code



RHA Renounceable Rights Accepted

Removal of rights entitlements (rights securities) upon acceptance.

RHE Renounceable Rights Entitlement Allotment

Renounceable Rights Issue

Allotment of rights entitlements (rights securities).

RHT Renounceable Rights Issue Allotment

Allotment of new securities following acceptance of a rights entitlement. OR Transformation of rights securities to new securities.

SAR Subregister Archived

Non-Registry Initiated Movement

Movement due to the CHESS subregister being archived.

SCD Scrip Dividend Payment of dividend in the form of securities

Payment of dividend in the form of securities. Distinct from a DRP where the dividend is paid in cash and the holder has the option of converting cash to a security.

SOA Scheme of Arrangement

Scheme of Arrangement

Effects of a scheme of arrangement.

SPP Share Purchase Plan

Share Purchase Plan

Allotment of securities as a result of a share purchase plan.

STP Share Top-up Plan Share Top-up Plan

Allotment of securities as a result of a share top up plan.

TKA Takeover Consideration Allotment

Takeovers Allotment of securities as consideration from a takeover that is unconditional.

WAL Warrant Allotment Warrants Allotment of a warrant.

WDL Warrant Delivery Warrants Delivery of a warrant.

WEX Warrant Exercise Warrants Exercise of a warrant.

WRL Warrant Rollover Warrants Rollover of a warrant.

WUX Warrant Underlying Exercise

Warrants Exercise of the underlying security.

APPENDIX Y



REQUEST FOR CHESS MESSAGES TO BE RESENT



Fax Number: (02) 9227 0265

Complete the following details if you desire CHESS messages to be resent. Please note that only completed forms can be authorised.

Organisation Name:

Contact Name:

Contact Number:

CHESS System Provider:

AIC:

Reason for Request:

Please fill out Section A or Section B below. For advice on which section best applies to your circumstances, please contact Clearing & Settlement Operations on 1800 814 051.

SECTION A: Request to Set the Last MSN Received from CHESS to a Lower Number

Please set the last MSN acknowledged by my AIC to:

I understand that the first message I will receive from CHESS will be the above MSN +1, and that these messages will be identical to those that were originally received from CHESS.

SECTION B: Request for Messages to be Resent with New MSNs

Please resend the message(s) with MSN: to MSN: inclusive.

I understand that these messages will contain new MSNs and that they will be added to the end of my current queue of messages to be received from CHESS. I also understand that current CHESS messages may be mixed in with the resent messages. Please complete and sign the following indemnity:

(Organisation’s name) hereby indemnifies ASX Settlement and

Pty Limited (“ASXS”) in respect of any losses, damages, costs or expenses which it or

(CHESS User name) may suffer or incur by reason of any action

taken by ASXS pursuant to this request for CHESS messages to be resent.

Signature: Date:


Approved: Actioned:

Date: Date:

PRIVACY COLLECTION STATEMENT: ASXS uses and discloses your personal information only for the purpose for which you provided it and pursuant to the ASX Settlement Operating Rules. Your personal information will not be disclosed or used for any other purpose unless you consent or ASXS is otherwise permitted to do so under the Privacy Act 1988 (Cth). Failure to provide this information may prevent ASXS from acting on your request. You may access your personal information by contacting the ASX Chief Privacy Officer at PO Box H224 Australia Square NSW 1215.

APPENDIX Y




APPENDIX Z1

This proforma document is an example only. ASX Settlement Pty Limited takes no responsibility in relation to the use of this proforma document.

HOLDER’S REQUEST TO TRANSFER HOLDINGS TO ANOTHER SPONSOR (To enable CHESS Holders to request the transfer of all or a portion of their CHESS Holdings from one CHESS Sponsor to another CHESS Sponsor. The transfer will NOT cause a change in the ownership of those securities.)

Participant PID :

Participant Name:

(CHESS Sponsor to Relinquish Control of Securities)

having under your control my / our Holder Identification Number (HIN) of:

kkkkk o … … … . … … … . . … … .

I am / We are requesting that you transfer:

ALL of my / our securities including my / our HIN

OR

A portion of my /our securities (you must complete Section A)

to my / our other CHESS Sponsor:

Participant PID :

Participant Name:

(CHESS Sponsor to Acquire Control of Securities)

Section A: (This section is only to be completed if a portion of the holders’ securities, as specified below, are to be transferred to a

different CHESS Sponsor. If there is insufficient space, a separate sheet that details the information and is signed appropriately should be attached.)

The following securities are to be transferred into HIN:

Security Name or ASX Code or ISIN Code Number of Units to be Transferred

The following are my / our exact Holder Registration Details (as they appear on my / our CHESS Holding Statements for the securities I am / we are requesting to be transferred):

This transfer request may be signed by:

each holder of the securities; or a person appointed by a power of attorney from the holders (If signed under power of attorney, the attorney is to declare that he/she

has no notice of revocation of the power of attorney.); or the Company’s Sole Director; or two Company Directors; or a Company Director and the Company Secretary.

Print Name (and Office held if applicable) Signature Date



ASX SETTLEMENT PROCEDURE GUIDELINES - ASX … · ASX SETTLEMENT PROCEDURE GUIDELINES APPENDIX B...

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