Appendix 3B
New issue announcement
+ See chapter 19 for defined terms.
N:\Tony Macko\Investor Relations\App 3Bs\Appendix_3B_Exercise_of_options_231109.doc
Rule 2.7, 3.10.3, 3.10.4, 3.10.5
Appendix 3B
New issue announcement,
application for quotation of additional securities
and agreement
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.
Introduced 1/7/96. Origin: Appendix 5. Amended 1/7/98, 1/9/99, 1/7/2000, 30/9/2001, 11/3/2002, 1/1/2003, 24/10/2005.
Name of entity
Centennial Coal Company Limited
ABN
30 003 714 538
We (the entity) give ASX the following information.
Part 1 - All issues
You must complete the relevant sections (attach sheets if there is not enough space).
1
+
Class of
+
securities issued or to be
issued
Ordinary Shares
2 Number
of
+
securities issued or to
be issued (if known) or maximum
number which may be issued
20,000
3 Principal terms of the
+
securities
(eg, if options, exercise price and
expiry date; if partly paid
+
securities, the amount outstanding
and due dates for payment; if
+
convertible securities, the
conversion price and dates for
conversion)
Fully paid, rank equally in all respects with
existing ordinary shares
Appendix 3B
New issue announcement
+ See chapter 19 for defined terms.
N:\Tony Macko\Investor Relations\App 3Bs\Appendix_3B_Exercise_of_options_231109.doc
4 Do
the
+
securities rank equally in all
respects from the date of allotment
with an existing
+
class of quoted
+
securities?
If the additional securities do not
rank equally, please state:
·
the date from which they do
·
the extent to which they
participate for the next dividend,
(in the case of a trust,
distribution) or interest payment
·
the extent to which they do not
rank equally, other than in
relation to the next dividend,
distribution or interest payment
YES, rank parri passu
5
Issue price or consideration
20,000 @ $1.98
(plus $0.448 option purchase price)
6
Purpose of the issue
(If issued as consideration for the
acquisition of assets, clearly identify
those assets)
Exercise of Senior Executive & Director
Options
7
Dates of entering
+
securities into
uncertificated holdings or despatch
of certificates
23 November 2009
Number
+
Class
8 Number
and
+
class of all
+
securities quoted on ASX
(including the securities in clause
2 if applicable)
375,446,253
Ordinary Shares
Appendix 3B
New issue announcement
+ See chapter 19 for defined terms.
N:\Tony Macko\Investor Relations\App 3Bs\Appendix_3B_Exercise_of_options_231109.doc
Number
+
Class
9 Number
and
+
class of all
+
securities not quoted on ASX
(including the securities in clause
2 if applicable)
3,486,002
A$36,500,000
2,625,000
192,197
3,505,000
496,448
Unlisted Senior
Executive and
Director Options
Convertible notes,
which are convertible
to 16,515,837 ordinary
shares subject to
adjustments in
accordance with their
terms of issue
Performance Rights to
Senior Executives
25 January 2008
Performance Rights to
Senior Executives
23 February 2009
Performance Options
to Senior Executives
25 January 2008
Performance Options
to Senior Executives
23 February 2009
10
Dividend policy (in the case of a
trust, distribution policy) on the
increased capital (interests)
Rank pari passu
Part 2 - Bonus issue or pro rata issue
11 Is security holder approval
required?
N/A
12
Is the issue renounceable or non-
renounceable?
N/A
13
Ratio in which the
+
securities will
be offered
N/A
Appendix 3B
New issue announcement
+ See chapter 19 for defined terms.
N:\Tony Macko\Investor Relations\App 3Bs\Appendix_3B_Exercise_of_options_231109.doc
14
+
Class of
+
securities to which the
offer relates
N/A
15
+
Record date to determine
entitlements
N/A
16
Will holdings on different registers
(or subregisters) be aggregated for
calculating entitlements?
N/A
17
Policy for deciding entitlements in
relation to fractions
N/A
18
Names of countries in which the
entity has
+
security holders who
will not be sent new issue
documents
Note: Security holders must be told how their
entitlements are to be dealt with.
Cross reference: rule 7.7.
N/A
19 Closing date for receipt of
acceptances or renunciations
N/A
20
Names of any underwriters
N/A
21
Amount of any underwriting fee or
commission
N/A
22
Names of any brokers to the issue
N/A
23
Fee or commission payable to the
broker to the issue
N/A
24 Amount of any handling fee
payable to brokers who lodge
acceptances or renunciations on
behalf of
+
security holders
N/A
25 If the issue is contingent on
+
security holders' approval, the
date of the meeting
N/A
26 Date entitlement and acceptance
form and prospectus or Product
Disclosure Statement will be sent to
persons entitled
N/A
Appendix 3B
New issue announcement
+ See chapter 19 for defined terms.
N:\Tony Macko\Investor Relations\App 3Bs\Appendix_3B_Exercise_of_options_231109.doc
27
If the entity has issued options, and
the terms entitle option holders to
participate on exercise, the date on
which notices will be sent to option
holders
N/A
28
Date rights trading will begin (if
applicable)
N/A
29
Date rights trading will end (if
applicable)
N/A
30 How
do
+
security holders sell their
entitlements in full through a
broker?
N/A
31 How
do
+
security holders sell part
of their entitlements through a
broker and accept for the balance?
N/A
32 How
do
+
security holders dispose
of their entitlements (except by sale
through a broker)?
N/A
33
+
Despatch date
N/A
Part 3 - Quotation of securities
You need only complete this section if you are applying for quotation of securities
34
Type of securities
(tick one)
(a)
Securities described in Part 1
(b)
All other securities
Example: restricted securities at the end of the escrowed period, partly paid securities that become fully paid, employee
incentive share securities when restriction ends, securities issued on expiry or conversion of convertible securities
Entities that have ticked box 34(a)
Additional securities forming a new class of securities
Tick to indicate you are providing the information or
documents
35
If the
+
securities are
+
equity securities, the names of the 20 largest holders of the
additional
+
securities, and the number and percentage of additional
+
securities held by
those holders
Appendix 3B
New issue announcement
+ See chapter 19 for defined terms.
N:\Tony Macko\Investor Relations\App 3Bs\Appendix_3B_Exercise_of_options_231109.doc
36
If the
+
securities are
+
equity securities, a distribution schedule of the additional
+
securities setting out the number of holders in the categories
1 - 1,000
1,001 - 5,000
5,001 - 10,000
10,001 - 100,000
100,001 and over
37
A copy of any trust deed for the additional
+
securities
Entities that have ticked box 34(b)
38 Number of securities for which
+
quotation is sought
39 Class
of
+
securities for which
quotation is sought
40 Do
the
+
securities rank equally in all
respects from the date of allotment
with an existing
+
class of quoted
+
securities?
If the additional securities do not
rank equally, please state:
·
the date from which they do
·
the extent to which they
participate for the next dividend,
(in the case of a trust,
distribution) or interest payment
·
the extent to which they do not
rank equally, other than in
relation to the next dividend,
distribution or interest payment
41
Reason for request for quotation
now
Example: In the case of restricted securities, end of
restriction period
(if issued upon conversion of
another security, clearly identify that
other security)
Number
+
Class
42 Number
and
+
class of all
+
securities
quoted on ASX (including the
securities in clause 38)
Appendix 3B
New issue announcement
+ See chapter 19 for defined terms.
N:\Tony Macko\Investor Relations\App 3Bs\Appendix_3B_Exercise_of_options_231109.doc
All entities
Fees
43
Payment method (tick one)
To be Invoiced
Electronic payment made
Note: Payment may be made electronically if Appendix 3B is given to ASX electronically at the same time.
Periodic payment as agreed with the home branch has been arranged
Note: Arrangements can be made for employee incentive schemes that involve frequent issues of securities.
Appendix 3B
New issue announcement
+ See chapter 19 for defined terms.
N:\Tony Macko\Investor Relations\App 3Bs\Appendix_3B_Exercise_of_options_231109.doc
Quotation agreement
1
+
Quotation of our additional
+
securities is in ASX's absolute discretion. ASX may
quote the
+
securities on any conditions it decides.
2
We warrant the following to ASX.
·
The issue of the
+
securities to be quoted complies with the law and is not for
an illegal purpose.
·
There is no reason why those
+
securities should not be granted
+
quotation.
·
An offer of the
+
securities for sale within 12 months after their issue will
not require disclosure under section 707(3) or section 1012C(6) of the
Corporations Act.
Note: An entity may need to obtain appropriate warranties from subscribers for the securities in order to be able to give
this warranty
·
Section 724 or section 1016E of the Corporations Act does not apply to any
applications received by us in relation to any
+
securities to be quoted and
that no-one has any right to return any
+
securities to be quoted under
sections 737, 738 or 1016F of the Corporations Act at the time that we
request that the
+
securities be quoted.
·
If we are a trust, we warrant that no person has the right to return the
+
securities to be quoted under section 1019B of the Corporations Act at the
time that we request that the
+
securities be quoted.
3
We will indemnify ASX to the fullest extent permitted by law in respect of any
claim, action or expense arising from or connected with any breach of the warranties
in this agreement.
4
We give ASX the information and documents required by this form. If any
information or document not available now, will give it to ASX before
+
quotation of
the
+
securities begins. We acknowledge that ASX is relying on the information and
documents. We warrant that they are (will be) true and complete.
Sign here:
................................
Date: 23 November 2009
Company Secretary
Print name: Tony Macko
== == == == ==
|
Print Entire Page
