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Disclosure of Senior Managers Relevant Interest

Insider/Shareholder Notice22 July 2021ARBIndustrials

Ongoing Disclosure Notice
Disclosure of Directors and Senior Managers Relevant Interests

Sections 297(2) and 298(2), Financial Markets Conduct Act 2013

To NZX Limited; and

Name of listed issuer:

ArborGen Holdings Limited

Date this disclosure made:

23 July 2021

Date of last disclosure:

15 July 2021

Director or senior manager giving disclosure

Full name(s):

Andrew Mark Baum

Name of listed issuer:

ArborGen Holdings Limited

Name of related body corporate (if applicable):

N/A

Position held in listed issuer:

Chief Executive Officer

Summary of acquisition or disposal of relevant interest (excluding specified derivatives)

Class of affected quoted financial products:

ARB Ordinary Shares

Nature of the affected relevant interest(s):

Right to acquire restricted share units (RSUs)

convertible into ARB Ordinary Shares, subject to

performance targets and vesting criteria being met

For that relevant interest-

Number held in class before acquisition or disposal:

RSUs: 972,160

Ordinary Shares: 702,427

Number held in class after acquisition or disposal:

2022 RSUs: up to 1,101,811 2021

RSUs (awarded): 972,160

Ordinary Shares: 702,427

Current registered holder(s):

Andrew Mark Baum

Registered holder(s) once transfers are registered:

Andrew Mark Baum

Summary of acquisition or disposal of specified derivatives relevant interest (if applicable)

Type of affected derivative:

N/A

Class of underlying financial products:

N/A

Details of affected derivative-

The notional value of the derivative (if any) or the notional amount of underlying

financial products (if any):

A statement as to whether the derivative is cash settled or physically settled:

Maturity date of the derivative (if any):

Expiry date of the derivative(if any):

The price specified in the terms of the derivative (if any):

Any other details needed to understand how the amount of the consideration

payable under the derivative or the value of the derivative is affected by the value

of the underlying financial products:

For that derivative,-

Parties to the derivative:

If the director or senior manager is not a party to the derivative, the nature of the

relevant interest in the derivative:

Details of transactions giving rise to acquisition or disposal

Total number of transactions to which notice relates: 1

Details of transactions requiring disclosure-
Date of transaction:19 July 2021

Nature of transaction:

Entry into Conditional Restricted Share Unit Agreement

(RSU Agreement) to receive ArborGen RSUs, subject

to the ArborGen group's achievement of certain

financial performance hurdles in accordance with the

ArborGen 2022 LTI Plan.

Any RSUs awarded under the RSU Agreement will

vest as ARB Ordinary Shares in three equal tranches

on three separate vesting dates, provided that the

holder of the RSU remains employed by the ArborGen

group on the applicable vesting date.

Name of any other party or parties to the transaction (if known):N/A

The consideration, expressed in New Zealand dollars, paid or received for the

acquisition or disposal. If the consideration was not in cash and cannot be readily

by converted into a cash value, describe the consideration:

No cash consideration is payable for the RSUs. The

consideration for the RSUs is the services to be

rendered by the participant over the 2022 LTI Plan

period.

Number of financial products to which the transaction related:

A maximum of 1,101,811 RSUs

If the issuer has a financial products trading policy that prohibits directors or

senior managers from trading during any period without written clearance (a

closed period) include the following details—

Whether relevant interests were acquired or disposed of during a closed period:No

Whether prior written clearance was provided to allow the acquisition or disposal to

proceed during the closed period:

N/A

Date of the prior written clearance (if any):

N/A

Summary of other relevant interests after acquisition or disposal:

Class of quoted financial products:N/A

Nature of relevant interest:N/A

For that relevant interest,-

Number held in class:N/A

Current registered holder(s):N/A

For a derivative relevant interest,-

Type of derivative:N/A

Details of derivative,-

The notional value of the derivative (if any) or the notional amount of underlying

financial products (if any):

A statement as to whether the derivative is cash settled or physically settled:

Maturity date of the derivative (if any):

Expiry date of the derivative (if any):

The price's specified terms (if any):

Any other details needed to understand how the amount of the consideration

payable under the derivative or the value of the derivative is affected by the value

of the underlying financial products:

For that derivative relevant interest,-

Parties to the derivative:

If the director or senior manager is not a party to the derivative, the nature of the

relevant interest in the derivative:

Certification
I, certify that, to the best of my knowledge and belief, the information contained in

this disclosure is correct and that I am duly authorised to make this disclosure by

all persons for whom it is made.

Signature of director or officer:

Date of signature:

or

Signature of person authorised to sign on behalf of director or officer:

Date of signature:

23 July 2021

Name and title of authorised person:

Sharon Ludher-Chandra Company Secretary

---

Ongoing Disclosure Notice
Disclosure of Directors and Senior Managers Relevant Interests

Sections 297(2) and 298(2), Financial Markets Conduct Act 2013

To NZX Limited; and

Name of listed issuer:

ArborGen Holdings Limited

Date this disclosure made:

23 July 2021

Date of last disclosure:

27 July 2020

Director or senior manager giving disclosure

Full name(s):

Ana Gabriela Monnerat Carvalho

Name of listed issuer:

ArborGen Holdings Limited

Name of related body corporate (if applicable):

N/A

Position held in listed issuer:

General Manager, Brazil

Summary of acquisition or disposal of relevant interest (excluding specified derivatives)

Class of affected quoted financial products:

ARB Ordinary Shares

Nature of the affected relevant interest(s):

Right to acquire restricted share units (RSUs)

convertible into ARB Ordinary Shares, subject to

performance targets and vesting criteria being met

For that relevant interest-

Number held in class before acquisition or disposal:

RSUs: Nil

Ordinary Shares: N/A as no acquisition or disposal of

ARB Ordinary Shares

Number held in class after acquisition or disposal:

RSUs: up to 169,164

Ordinary Shares: N/A as no acquisition or disposal of

ARB Ordinary Shares

Current registered holder(s):

N/A

Registered holder(s) once transfers are registered:

N/A

Summary of acquisition or disposal of specified derivatives relevant interest (if applicable)

Type of affected derivative:

N/A

Class of underlying financial products:

N/A

Details of affected derivative-

The notional value of the derivative (if any) or the notional amount of underlying

financial products (if any):

A statement as to whether the derivative is cash settled or physically settled:

Maturity date of the derivative (if any):

Expiry date of the derivative(if any):

The price specified in the terms of the derivative (if any):

Any other details needed to understand how the amount of the consideration

payable under the derivative or the value of the derivative is affected by the value

of the underlying financial products:

For that derivative,-

Parties to the derivative:

If the director or senior manager is not a party to the derivative, the nature of the

relevant interest in the derivative:

Details of transactions giving rise to acquisition or disposal

Total number of transactions to which notice relates: 1

Details of transactions requiring disclosure-
Date of transaction:19 July 2021

Nature of transaction:

Entry into Conditional Restricted Share Unit Agreement

(RSU Agreement) to receive ArborGen RSUs, subject

to the ArborGen group's achievement of certain

financial performance hurdles in accordance with the

ArborGen 2022 LTI Plan.

Any RSUs awarded under the RSU Agreement will

vest as ARB Ordinary Shares in three equal tranches

on three separate vesting dates, provided that the

holder of the RSU remains employed by the ArborGen

group on the applicable vesting date.

Name of any other party or parties to the transaction (if known):N/A

The consideration, expressed in New Zealand dollars, paid or received for the

acquisition or disposal. If the consideration was not in cash and cannot be readily

by converted into a cash value, describe the consideration:

No cash consideration is payable for the RSUs. The

consideration for the RSUs is the services to be

rendered by the participant over the 2022 LTI Plan

period.

Number of financial products to which the transaction related:

A maximum of 169,164 RSUs

If the issuer has a financial products trading policy that prohibits directors or

senior managers from trading during any period without written clearance (a

closed period) include the following details—

Whether relevant interests were acquired or disposed of during a closed period:No

Whether prior written clearance was provided to allow the acquisition or disposal to

proceed during the closed period:

N/A

Date of the prior written clearance (if any):

N/A

Summary of other relevant interests after acquisition or disposal:

Class of quoted financial products:N/A

Nature of relevant interest:N/A

For that relevant interest,-

Number held in class:N/A

Current registered holder(s):N/A

For a derivative relevant interest,-

Type of derivative:N/A

Details of derivative,-

The notional value of the derivative (if any) or the notional amount of underlying

financial products (if any):

A statement as to whether the derivative is cash settled or physically settled:

Maturity date of the derivative (if any):

Expiry date of the derivative (if any):

The price's specified terms (if any):

Any other details needed to understand how the amount of the consideration

payable under the derivative or the value of the derivative is affected by the value

of the underlying financial products:

For that derivative relevant interest,-

Parties to the derivative:

If the director or senior manager is not a party to the derivative, the nature of the

relevant interest in the derivative:

Certification
I, certify that, to the best of my knowledge and belief, the information contained in

this disclosure is correct and that I am duly authorised to make this disclosure by

all persons for whom it is made.

Signature of director or officer:

Date of signature:

or

Signature of person authorised to sign on behalf of director or officer:

Date of signature:

23 July 2021

Name and title of authorised person:

Sharon Ludher-Chandra Company Secretary

---

Ongoing Disclosure Notice
Disclosure of Directors and Senior Managers Relevant Interests

Sections 297(2) and 298(2), Financial Markets Conduct Act 2013

To NZX Limited; and

Name of listed issuer:

ArborGen Holdings Limited

Date this disclosure made:

23 July 2021

Date of last disclosure:

15 July 2021

Director or senior manager giving disclosure

Full name(s):

Kathy Reeves Parker

Name of listed issuer:

ArborGen Holdings Limited

Name of related body corporate (if applicable):

N/A

Position held in listed issuer:

Vice President, Finance & Accounting

Summary of acquisition or disposal of relevant interest (excluding specified derivatives)

Class of affected quoted financial products:

ARB Ordinary Shares

Nature of the affected relevant interest(s):

Right to acquire restricted share units (RSUs)

convertible into ARB Ordinary Shares, subject to

performance targets and vesting criteria being met

For that relevant interest-

Number held in class before acquisition or disposal:

RSUs: 284,800

Ordinary Shares: 142,400

Number held in class after acquisition or disposal:

2022 RSUs: up to 322,783 2021

RSUs (awarded): 284,800

Ordinary Shares: 142,400

Current registered holder(s):

Kathy Parker

Registered holder(s) once transfers are registered:

Kathy Parker

Summary of acquisition or disposal of specified derivatives relevant interest (if applicable)

Type of affected derivative:

N/A

Class of underlying financial products:

N/A

Details of affected derivative-

The notional value of the derivative (if any) or the notional amount of underlying

financial products (if any):

A statement as to whether the derivative is cash settled or physically settled:

Maturity date of the derivative (if any):

Expiry date of the derivative(if any):

The price specified in the terms of the derivative (if any):

Any other details needed to understand how the amount of the consideration

payable under the derivative or the value of the derivative is affected by the value

of the underlying financial products:

For that derivative,-

Parties to the derivative:

If the director or senior manager is not a party to the derivative, the nature of the

relevant interest in the derivative:

Details of transactions giving rise to acquisition or disposal

Total number of transactions to which notice relates: 1

Details of transactions requiring disclosure-
Date of transaction:19 July 2021

Nature of transaction:

Entry into Conditional Restricted Share Unit Agreement

(RSU Agreement) to receive ArborGen RSUs, subject

to the ArborGen group's achievement of certain

financial performance hurdles in accordance with the

ArborGen 2022 LTI Plan.

Any RSUs awarded under the RSU Agreement will

vest as ARB Ordinary Shares in three equal tranches

on three separate vesting dates, provided that the

holder of the RSU remains employed by the ArborGen

group on the applicable vesting date.

Name of any other party or parties to the transaction (if known):N/A

The consideration, expressed in New Zealand dollars, paid or received for the

acquisition or disposal. If the consideration was not in cash and cannot be readily

by converted into a cash value, describe the consideration:

No cash consideration is payable for the RSUs. The

consideration for the RSUs is the services to be

rendered by the participant over the 2022 LTI Plan

period.

Number of financial products to which the transaction related:

A maximum of 322,783 RSUs

If the issuer has a financial products trading policy that prohibits directors or

senior managers from trading during any period without written clearance (a

closed period) include the following details—

Whether relevant interests were acquired or disposed of during a closed period:No

Whether prior written clearance was provided to allow the acquisition or disposal to

proceed during the closed period:

N/A

Date of the prior written clearance (if any):

N/A

Summary of other relevant interests after acquisition or disposal:

Class of quoted financial products:N/A

Nature of relevant interest:N/A

For that relevant interest,-

Number held in class:N/A

Current registered holder(s):N/A

For a derivative relevant interest,-

Type of derivative:N/A

Details of derivative,-

The notional value of the derivative (if any) or the notional amount of underlying

financial products (if any):

A statement as to whether the derivative is cash settled or physically settled:

Maturity date of the derivative (if any):

Expiry date of the derivative (if any):

The price's specified terms (if any):

Any other details needed to understand how the amount of the consideration

payable under the derivative or the value of the derivative is affected by the value

of the underlying financial products:

For that derivative relevant interest,-

Parties to the derivative:

If the director or senior manager is not a party to the derivative, the nature of the

relevant interest in the derivative:

Certification
I, certify that, to the best of my knowledge and belief, the information contained in

this disclosure is correct and that I am duly authorised to make this disclosure by

all persons for whom it is made.

Signature of director or officer:

Date of signature:

or

Signature of person authorised to sign on behalf of director or officer:

Date of signature:

23 July 2021

Name and title of authorised person:

Sharon Ludher-Chandra Company Secretary

---

Ongoing Disclosure Notice
Disclosure of Directors and Senior Managers Relevant Interests

Sections 297(2) and 298(2), Financial Markets Conduct Act 2013

To NZX Limited; and

Name of listed issuer:

ArborGen Holdings Limited

Date this disclosure made:

23 July 2021

Date of last disclosure:

15 July 2021

Director or senior manager giving disclosure

Full name(s):

John Ashley Pait, III

Name of listed issuer:

ArborGen Holdings Limited

Name of related body corporate (if applicable):

N/A

Position held in listed issuer:

Vice President, Sales & Marketing

Summary of acquisition or disposal of relevant interest (excluding specified derivatives)

Class of affected quoted financial products:

ARB Ordinary Shares

Nature of the affected relevant interest(s):

Right to acquire restricted share units (RSUs)

convertible into ARB Ordinary Shares, subject to

performance targets and vesting criteria being met

For that relevant interest-

Number held in class before acquisition or disposal:

RSUs: 423,950

Ordinary Shares: 211,975

Number held in class after acquisition or disposal:

2022 RSUs: up to 480,489 2021

RSUs (awarded): 423,950

Ordinary Shares: 211,975

Current registered holder(s):

John Pait

Registered holder(s) once transfers are registered:

John Pait

Summary of acquisition or disposal of specified derivatives relevant interest (if applicable)

Type of affected derivative:

N/A

Class of underlying financial products:

N/A

Details of affected derivative-

The notional value of the derivative (if any) or the notional amount of underlying

financial products (if any):

A statement as to whether the derivative is cash settled or physically settled:

Maturity date of the derivative (if any):

Expiry date of the derivative(if any):

The price specified in the terms of the derivative (if any):

Any other details needed to understand how the amount of the consideration

payable under the derivative or the value of the derivative is affected by the value

of the underlying financial products:

For that derivative,-

Parties to the derivative:

If the director or senior manager is not a party to the derivative, the nature of the

relevant interest in the derivative:

Details of transactions giving rise to acquisition or disposal

Total number of transactions to which notice relates: 1

Details of transactions requiring disclosure-
Date of transaction:19 July 2021

Nature of transaction:

Entry into Conditional Restricted Share Unit Agreement

(RSU Agreement) to receive ArborGen RSUs, subject

to the ArborGen group's achievement of certain

financial performance hurdles in accordance with the

ArborGen 2022 LTI Plan.

Any RSUs awarded under the RSU Agreement will

vest as ARB Ordinary Shares in three equal tranches

on three separate vesting dates, provided that the

holder of the RSU remains employed by the ArborGen

group on the applicable vesting date.

Name of any other party or parties to the transaction (if known):N/A

The consideration, expressed in New Zealand dollars, paid or received for the

acquisition or disposal. If the consideration was not in cash and cannot be readily

by converted into a cash value, describe the consideration:

No cash consideration is payable for the RSUs. The

consideration for the RSUs is the services to be

rendered by the participant over the 2022 LTI Plan

period.

Number of financial products to which the transaction related:

A maximum of 480,489 RSUs

If the issuer has a financial products trading policy that prohibits directors or

senior managers from trading during any period without written clearance (a

closed period) include the following details—

Whether relevant interests were acquired or disposed of during a closed period:No

Whether prior written clearance was provided to allow the acquisition or disposal to

proceed during the closed period:

N/A

Date of the prior written clearance (if any):

N/A

Summary of other relevant interests after acquisition or disposal:

Class of quoted financial products:N/A

Nature of relevant interest:N/A

For that relevant interest,-

Number held in class:N/A

Current registered holder(s):N/A

For a derivative relevant interest,-

Type of derivative:N/A

Details of derivative,-

The notional value of the derivative (if any) or the notional amount of underlying

financial products (if any):

A statement as to whether the derivative is cash settled or physically settled:

Maturity date of the derivative (if any):

Expiry date of the derivative (if any):

The price's specified terms (if any):

Any other details needed to understand how the amount of the consideration

payable under the derivative or the value of the derivative is affected by the value

of the underlying financial products:

For that derivative relevant interest,-

Parties to the derivative:

If the director or senior manager is not a party to the derivative, the nature of the

relevant interest in the derivative:

Certification
I, certify that, to the best of my knowledge and belief, the information contained in

this disclosure is correct and that I am duly authorised to make this disclosure by

all persons for whom it is made.

Signature of director or officer:

Date of signature:

or

Signature of person authorised to sign on behalf of director or officer:

Date of signature:

23 July 2021

Name and title of authorised person:

Sharon Ludher-Chandra Company Secretary

Data sourced from publicly available filings. Our datasets may not be complete. Automated analysis can produce errors. If you believe any data on this page is incorrect, please contact us at hello@nzxplorer.co.nz. For informational purposes only. Not investment advice.

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