ASX Appendix 3G
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities
Notification of Issue, Conversion or Payment up of Unquoted
Equity Securities
1 / 6
Announcement Summary
Entity name
SERKO LIMITED
Date of this announcement
Tuesday August 17, 2021
The +securities the subject of this notification are:
Total number of +securities to be issued/transferred
ASX +security
codeSecurity description
Total number of
+securities to be
issued/transferredIssue date
SKOABRESTRICTED SHARE UNITS578,81016/08/2021
Refer to next page for full details of the announcement
+Securities issued under an +employee incentive scheme that are subject to a restriction on transfer and are not being
quoted on ASX until the restriction ends
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities
Notification of Issue, Conversion or Payment up of Unquoted
Equity Securities
2 / 6
Part 1 - Entity and announcement details
1.1 Name of entity
SERKO LIMITED
We (the entity named above) give notice of the issue, conversion or payment up of the following unquoted +securities.
1.2 Registered number type
ARBN
Registration number
611613980
1.3 ASX issuer code
SKO
1.4 The announcement is
1.5 Date of this announcement
17/8/2021
New announcement
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities
Notification of Issue, Conversion or Payment up of Unquoted
Equity Securities
3 / 6
Part 2 - Issue details
2.1 The +securities the subject of this notification are:
2.2a This notification is given in relation to an issue of +securities in a class which is not quoted on ASX and
which:
has an existing ASX security code ("existing class")
+Securities issued under an +employee incentive scheme that are subject to a restriction on transfer and are not being
quoted on ASX until the restriction ends
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities
Notification of Issue, Conversion or Payment up of Unquoted
Equity Securities
4 / 6
Part 3B - number and type of +securities the subject of this notification (existing class) where issue has not previously been notified to
ASX in an Appendix 3B
Additional +securities in an existing class issued under an +employee incentive scheme
ASX +security code and description
SKOAB : RESTRICTED SHARE UNITS
Date the +securities the subject of this notification were issued
16/8/2021
Will these +securities rank equally in all respects from their issue date with the existing issued
+securities in that class
Were any of the +securities issued to +key management personnel (KMP) or an +associate?
Provide details of the KMP or +associates being issued +securities.
Name of KMPName of registered holderNumber of +securities
Donna Bailey (associate of D Grafton)same
979
Robert Shawsame
15,606
Murray Warnersame
17,844
Charles Nowaczeksame
26,882
Darrin Graftonsame
35,752
Anthony D'Astolfosame
25,910
Please provide a URL link for a document lodged with ASX detailing the terms of the +employee incentive scheme
or a summary of the terms
https://f.hubspotusercontent30.net/hubfs/4389989/Serko%20-%20Investor%20Centre/FY21/Full%20Year%20Results/ES
G%20Report%202021%20Final%20low%20res.pdf
Any other information the entity wishes to provide about the +securities the subject of this notification
Yes
Yes
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities
Notification of Issue, Conversion or Payment up of Unquoted
Equity Securities
5 / 6
Issue details
Number of +securities
578,810
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities
Notification of Issue, Conversion or Payment up of Unquoted
Equity Securities
6 / 6
Part 4 - +Securities on issue
Following the issue, conversion or payment up of the +securities the subject of this application, the +securities of
the entity will comprise:
(A discrepancy in these figures compared to your own may be due to a matter of timing if there is more than one
application for quotation/issuance currently with ASX for processing.)
4.1 Quoted +Securities (Total number of each +class of +securities quoted)
ASX +security code and description
Total number of
+securities on issue
SKO : ORDINARY FULLY PAID FOREIGN EXEMPT NZX108,037,345
4.2 Unquoted +Securities (Total number of each +class of +securities issued but not quoted on ASX)
ASX +security code and description
Total number of
+securities on issue
SKOAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES160,530
SKOAB : RESTRICTED SHARE UNITS1,871,896
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.
Other issuers discussed similar conditions around this time
Matched by meaning across NZX announcement text, not keywords — based on our semantic index of announcement bodies.
- FPH — Fisher & Paykel Healthcare Corporation Limited: Capital Change Notice – Issue of Options2021-09-01
“Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 1 / 7 Announcement Summary Entity name FISHER & PAYKEL HEALTHCARE CORPORATION LIMITED Date of this announcement Wednesday Se…”
- FPH — Fisher & Paykel Healthcare Corporation Limited: Capital Change Notice – Issue of Performance Share Rights2021-09-01
“Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 2 / 7 Part 1 - Entity and announcement details 1.1 Name of entity FISHER & PAYKEL HEALTHCARE CORPORATION LIMITED We (the ent…”
- DOW — Downer EDI Limited: Notification regarding unquoted securities – Appendix 3G2021-10-14
“Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 1 / 7 Announcement Summary Entity name DOWNER EDI LIMITED Date of this announcement Wednesday October 13, 2021 The +securiti…”