IQnovate Share Placement Completed
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1 NSX: IQN IQnvate Share Placement Cmpleted 13 March 2013 Further t the Cmpany s previus annuncement, and the expiry f the 12 mnth escrw perid fr existing shares,attached is an Applicatin fr Qutatin f the Shares issued pursuant t the placement and expiry f escrw. The shares t be issued in the placement are part f a class f securities currently quted n the Natinal Stck Exchange f Australia. The cmpany gives this ntice pursuant t Sectin 708A(5)(e) f the Crpratins Act as fllws: the Cmpany issued 1,908,500 fully paid rdinary shares at an issue price f $1:00 each. the shares were issued withut disclsure t the recipient under Part 6D.2 f the Crpratins Act. this ntice is being given under sectin 708A(5)(e) f the Crpratins Act. the Cmpany, as at the date f this ntice, has cmplied with: the prvisins f Chapter 2M f the Crpratins Act as they apply t the Cmpany; and Sectin 674 f the Crpratins Act. as at the date f this ntice, there is n excluded infrmatin fr the purpses f Sectin 708A(7) and (8) f the Crpratins Act. IQnvate Ltd is a life science rganisatin, prviding intellectual prperty asset management services and scientific advice t the glbal Bipharmaceutical industry. Whether the asset is a pharmaceutical, medical device, technlgy platfrm r a cmpund in develpment, IQNvate will effectively manage yur asset thrugh its cmplete life cycle, frm clinical trials right thrugh t maturity. IQNvate clients are pharmaceutical, bitechnlgy, medical device cmpanies as well as financial institutins, academic and gvernment rganisatins. IQNvate is publicly listed with the Natinal Stck exchange f Australia - NSX : IQN and crss listed n the OTC in New Yrk USA - OTC: IQNDY Level 3, 222 Clarence Street, Sydney NSW 2000 Phne: Fax: ABN:
2 ABN: Applicatin fr Qutatin f Additinal Securities File Reference: I:\Operatins\Prjects\NETS Prject\NSX install package USB key\issuer Dcuments\NSX Qutatin f Additinal Securities.dc
3 Applicatin fr qutatin f additinal securities Table f Cntents INTRODUCTION... 3 MORE INFORMATION AND SUBMISSION OF FORM:... 3 NEW ISSUE ANNOUNCEMENT, APPLICATION FOR QUOTATION OF ADDITIONAL SECURITIES AND AGREEMENT... 4 PART 1 - ALL ISSUES... 4 PART 2 - BONUS ISSUE OR PRO RATA ISSUE... 6 PART 3 - QUOTATION OF SECURITIES... 8 ADDITIONAL SECURITIES FORMING A NEW CLASS OF SECURITIES... 8 QUOTATION AGREEMENT Page 2 f 10
4 Applicatin fr qutatin f additinal securities Intrductin T ensure the efficient prcessing f this frm by NSX, please: 1. Adhere t the suggested number f the annexures required by this frm. 2. Cmplete all statements and questins in this frm. (NSX can prvide an electrnic versin f this frm n request). Mre Infrmatin and Submissin f Frm: Further infrmatin can be btained frm and all applicatins shuld be sent t: General Manager Natinal Stck Exchange f Australia Limited PO BOX 283 Newcastle NSW 2300 Phne: Fax: Page 3 f 10
5 Applicatin fr qutatin f additinal securities New issue annuncement, applicatin fr qutatin f additinal securities and agreement Infrmatin r dcuments nt available nw must be given t NSX as sn as available. Infrmatin and dcuments given t NSX becme NSX s prperty and may be made public. Intrduced 11 March Name f entity IQnvate Ltd ABCN ABN We (the entity) give NSX the fllwing infrmatin. Part 1 - All issues Yu must cmplete the relevant sectins (attach sheets if there is nt enugh space). 1 Class f securities issued r t be issued Ordinary Shares 2 Number f securities issued r t be issued (if knwn) r maximum number which may be issued 1,908,500 (Private Placement) 1,437,500 (12 mnth Escrw Release) 3 Principal terms f the securities (eg, if ptins, exercise price and expiry date; if partly paid securities, the amunt utstanding and due dates fr payment; if cnvertible securities, the cnversin price and dates fr cnversin) 4 D the securities rank equally in all respects frm the date f alltment with an existing class f quted securities? Fully Paid Ordinary Shares Yes If the additinal securities d nt rank equally, please state: the date frm which they d the extent t which they participate fr the next dividend, (in the case f a trust, distributin) r interest payment the extent t which they d nt rank equally, ther than in relatin t the next dividend, distributin r interest payment Page 4 f 10
6 Applicatin fr qutatin f additinal securities 5 Issue price r cnsideratin $1.00 per share (private placement) $ per share n riginal placement ( Escrw Release) 6 Purpse f the issue (If issued as cnsideratin fr the acquisitin f assets, clearly identify thse assets) 1/ T further expand business pprtunities 2/ One year Escrw Release 7 Dates f entering securities int uncertificated hldings r despatch f certificates 1/ 12 th March 2013 (Private Placement) 2/ 15 th December 2012 (Escrw Release) 8 Number and class f all securities quted n NSX (including the securities in clause 2 if applicable) Number Class 12,943,390 Fully paid rdinary shares 9 Number and class f all securities nt quted n NSX (including the securities in clause 2 if applicable) 10 Dividend plicy (in the case f a trust, distributin plicy) n the increased capital (interests) Number 24,512, ,500 4,000,000 Class 2 year escrw shares frm IPO Unlisted ptins exercisable at any time within 2 years frm 16 December, 2011 at an exercise price f $0.20 Unlisted ptins exercisable at any time within 24 and 36 mnths f 16 December, 2011, at an exercise price f $0.10 Page 5 f 10
7 Applicatin fr qutatin f additinal securities Part 2 - Bnus issue r pr rata issue 11 Is security hlder apprval required? 12 Is the issue renunceable r nnrenunceable? 13 Rati in which the securities will be ffered 14 Class f securities t which the ffer relates 15 Recrd date t determine entitlements 16 Will hldings n different registers (r subregisters) be aggregated fr calculating entitlements? 17 Plicy fr deciding entitlements in relatin t fractins 18 Names f cuntries in which the entity has security hlders wh will nt be sent new issue dcuments Nte: Security hlders must be tld hw their entitlements are t be dealt with. 19 Clsing date fr receipt f acceptances r renunciatins 20 Names f any underwriters 21 Amunt f any underwriting fee r cmmissin 22 Names f any brkers t the issue 23 Fee r cmmissin payable t the brker t the issue 24 Amunt f any handling fee payable t brkers wh ldge acceptances r renunciatins n behalf f security hlders Page 6 f 10
8 Applicatin fr qutatin f additinal securities 25 If the issue is cntingent n security hlders apprval, the date f the meeting 26 Date entitlement and acceptance frm and prspectus r Prduct Disclsure Statement will be sent t persns entitled 27 If the entity has issued ptins, and the terms entitle ptin hlders t participate n exercise, the date n which ntices will be sent t ptin hlders 28 Date rights trading will begin (if applicable) 29 Date rights trading will end (if applicable) 30 Hw d security hlders sell their entitlements in full thrugh a brker? 31 Hw d security hlders sell part f their entitlements thrugh a brker and accept fr the balance? 32 Hw d security hlders dispse f their entitlements (except by sale thrugh a brker)? 33 Despatch date Page 7 f 10
9 Applicatin fr qutatin f additinal securities Part 3 - Qutatin f securities Yu need nly cmplete this sectin if yu are applying fr qutatin f securities 34 Type f securities (tick ne) (a) Securities described in Part 1 (b) All ther securities Example: restricted securities at the end f the escrwed perid, partly paid securities that becme fully paid, emplyee incentive share securities when restrictin ends, securities issued n expiry r cnversin f cnvertible securities Entities that have ticked bx 34(a) Additinal securities frming a new class f securities Tick t indicate yu are prviding the infrmatin r dcuments If the securities are equity securities, the names f the 20 largest hlders f the additinal securities, and the number and percentage f additinal securities held by thse hlders If the securities are equity securities, a distributin schedule f the additinal securities setting ut the number f hlders in the categries 1-1,000 1,001-5,000 5,001-10,000 10, , ,001 and ver A cpy f any trust deed fr the additinal securities Entities that have ticked bx 34(b) 38 Number f securities fr which qutatin is sught 39 Class f securities fr which qutatin is sught Page 8 f 10
10 Applicatin fr qutatin f additinal securities 40 D the securities rank equally in all respects frm the date f alltment with an existing class f quted securities? If the additinal securities d nt rank equally, please state: the date frm which they d the extent t which they participate fr the next dividend, (in the case f a trust, distributin) r interest payment the extent t which they d nt rank equally, ther than in relatin t the next dividend, distributin r interest payment 41 Reasn fr request fr qutatin nw Example: In the case f restricted securities, end f restrictin perid (if issued upn cnversin f anther security, clearly identify that ther security) 42 Number and class f all securities quted n NSX (including the securities in clause 38) Number Class Page 9 f 10
11 Qutatin f Additinal Securities Qutatin agreement 1 Qutatin f ur additinal securities is in NSX s abslute discretin. NSX may qute the securities n any cnditins it decides. 2 We warrant the fllwing t NSX. The issue f the securities t be quted cmplies with the law and is nt fr an illegal purpse. There is n reasn why thse securities shuld nt be granted qutatin. An ffer f the securities fr sale within 12 mnths after their issue will nt require disclsure under sectin 707(3) r sectin 1012C(6) f the Crpratins Act. Nte: An entity may need t btain apprpriate warranties frm subscribers fr the securities in rder t be able t give this warranty Sectin 724 r sectin 1016E f the Crpratins Act des nt apply t any applicatins received by us in relatin t any securities t be quted and that n-ne has any right t return any securities t be quted under sectins 737, 738 r 1016F f the Crpratins Act at the time that we request that the securities be quted. We warrant that if cnfirmatin is required under sectin 1017F f the Crpratins Act in relatin t the securities t be quted, it has been prvided at the time that we request that the securities be quted. If we are a trust, we warrant that n persn has the right t return the securities t be quted under sectin 1019B f the Crpratins Act at the time that we request that the securities be quted. 3 We will indemnify NSX t the fullest extent permitted by law in respect f any claim, actin r expense arising frm r cnnected with any breach f the warranties in this agreement. 4 We give NSX the infrmatin and dcuments required by this frm. If any infrmatin r dcument nt available nw, will give it t NSX befre qutatin f the securities begins. We acknwledge that NSX is relying n the infrmatin and dcuments. We warrant that they are (will be) true and cmplete. Sign here:... Date:... (Directr/Cmpany secretary) Print name:... Page 10 f 10
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