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Corporations Regulations 2001 (consolidated as of April 6, 2019)

Corporations Regulations 2001

Authorised Version F2019C00362 registered 18/04/2019

Statutory Rules No. 193, 2001

made under the

Corporations Act 2001

Compilation No. 147

Compilation date: 6 April 2019

Includes amendments up to: F2019L00539

Registered: 18 April 2019

This compilation is in 7 volumes

Volume 1: regulations 1.0.01–6D.5.03

Volume 2: regulations 7.1.02–7.6.08E

Volume 3: regulations 7.7.01–8A.7.20

Volume 4: regulations 9.1.01–12.9.03

Volume 5: Schedules 1, 2 and 2A

Volume 6: Schedules 3–13

Volume 7: Endnotes

Each volume has its own contents

Prepared by the Office of Parliamentary Counsel, Canberra

About this compilation

This compilation

This is a compilation of the Corporations Regulations 2001 that shows the text of the law as

amended and in force on 6 April 2019 (the compilation date).

The notes at the end of this compilation (the endnotes) include information about amending

laws and the amendment history of provisions of the compiled law.

Uncommenced amendments

The effect of uncommenced amendments is not shown in the text of the compiled law. Any

uncommenced amendments affecting the law are accessible on the Legislation Register

(www.legislation.gov.au). The details of amendments made up to, but not commenced at, the

compilation date are underlined in the endnotes. For more information on any uncommenced

amendments, see the series page on the Legislation Register for the compiled law.

Application, saving and transitional provisions for provisions and amendments

If the operation of a provision or amendment of the compiled law is affected by an

application, saving or transitional provision that is not included in this compilation, details are

included in the endnotes.

Editorial changes

For more information about any editorial changes made in this compilation, see the endnotes.

Modifications

If the compiled law is modified by another law, the compiled law operates as modified but the

modification does not amend the text of the law. Accordingly, this compilation does not show

the text of the compiled law as modified. For more information on any modifications, see the

series page on the Legislation Register for the compiled law.

Self-repealing provisions

If a provision of the compiled law has been repealed in accordance with a provision of the

law, details are included in the endnotes.

Authorised Version F2019C00362 registered 18/04/2019

Contents

Schedule 1—List of forms in Schedule 2 1

Schedule 2—Forms 5

Form 314 10

Form 501 12

Form 502 14

Form 503 16

Form 509A 17

Form 509B 18

Form 509E 19

Form 509H 20

Form 5249 25

Form 527 27

Form 535 30

Form 536 32

Form 537 34

Form 538 35

Form 539 37

Form 541 39

Form 542 42

Form 543 43

Form 544 44

Form 547 46

Form 548 47

Form 549 48

Form 550 49

Form 551 50

Form 552 52

Form 553 53

Form 701 54

Form 719 71

Corporations Regulations 2001

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Form 719A 73

Form 719B 75

Form 720 77

Form 721 78

Form 905 79

Schedule 2A—Forms of transfer of Division 3 securities 83

Form 1 83

Form 2 85

Form 3 87

Form 4 89

Form 5 90

Form 6 92

Form 7 94

Form 8 96

Form 9 97

Form 10 98

Corporations Regulations 2001

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List of forms in Schedule 2 Schedule 1

Schedule 1—List of forms in Schedule 2 (regulation 1.0.03)

Column 1 Column 2 Column 3 Column 4

Provision of the Act or the No. of form

Item Regulations Description of form

Chapter 1 Introductory

1 Regulation 1.0.16 Verification or certification of 911

a document

1A Regulation 1.0.21 Cover page for office copy of 105

a court order

2 Subsection 117(2) Certification of compliance 207Z

Subsection 163(3) with stamp duty law

Subsection 254X(2)

Subsection 601BC(2)

3 Subparagraph 206F(1)(b)(i) Notice to demonstrate why

disqualification should not

occur

5249

4 Subsection 206F(3) Notice of disqualification 587

from managing corporations

Chapter 3 Internal administration

23A Section 250P Extension of time for holding 2501

AGM

26 Paragraph 263(2)(b) Notification of further issue 310

of debentures in a series

30 Paragraph 324(2)(e) Return of members of firm o

auditors

f 314

31 Paragraph 319(5)(a)

Subsections 324(1) & (2)

Notice of resignation or

removal of auditor

315

Subsections 327(4) & (15)

Paragraph 329(11)(c)

Section 330

Chapter 4 Various corporations

Chapter 5 External administration

43 501Subsection 414(2) Notice to dissenting

shareholder

44 502Paragraph 414(9)(a) Notice to remaining

shareholder

44A Subsection 419A(3) Notice of controller’s 503

intention not to exercise

property rights

Corporations Regulations 2001

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Schedule 1 List of forms in Schedule 2

Column 1 Column 2 Column 3 Column 4

Provision of the Act or the No. of form

Item Regulations Description of form

51A Subsection 438C(3) Notice to deliver books of 509A

company to the administrator

51B Subsection 443B(3) Notice of administrator’s 509B

intention not to exercise

property rights

51E Paragraph 450B(a) Notice to creditors of 509E

execution of a deed of

company arrangement

51H Paragraph 459E(2)(e) Creditor’s statutory demand 509H

for payment of debt

61 Subsections 494(1) & (2) Declaration of solvency 520

68 Paragraph 568(8)(a) Application requiring 527

liquidator to decide whether

to disclaim property

69 Subsection 601AA(2) De-registration—voluntary 6010

75 Subregulation 5.6.39(3) Notice to submit particulars 533

of debt or claim

76 Subregulation 5.6.48(3) Notice inviting formal proof 534

of debt or claim

77 Subregulation 5.6.49(2) Formal proof of debt or claim 535

(General form)

78 Subregulation 5.6.49(2) Formal proof of debt or claim 536

on behalf of employees

79 Subregulation 5.6.54(1) Notice of rejection of formal 537

proof of debt or claim

80 Regulation 5.6.58 Provisional list of 538

contributories

81 Subregulation 5.6.59(1) Notice to contributories of 539

appointment to settle list of

contributories

83 Subregulation 5.6.60(2) Certificate of liquidator of 541

final settlement of list of

contributories

84 Subregulation 5.6.61(1) Provisional supplementary 542

list of contributories

85 Subregulation 5.6.61(1) Certificate of liquidator of 543

settlement of supplementary

list of contributories

86 Subregulation 5.6.62(4) Notice to contributory of final 544

settlement of list or

supplementary list of

contributories and of

inclusion in list

Corporations Regulations 2001

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List of forms in Schedule 2 Schedule 1

Column 1 Column 2 Column 3 Column 4

Provision of the Act or the No. of form

Item Regulations Description of form

88 Subregulation 5.6.65(1) Notice of intention to declare 546

a dividend

89 Subregulation 5.6.65(1) Notice to creditor or person 547

claiming to be a creditor of

intention to declare a

dividend

90 Subregulation 5.6.65(1) Notice to creditor or person 548

claiming to be a creditor of

intention to declare a final

dividend

91 Subregulation 5.6.67(3) Notice of declaration of 549

dividend

92 Regulation 5.6.70 Notice to liquidator to pay 550

dividend to a person named

93 Subregulation 5.6.71(1) Schedule of contributories or 551

other persons to whom a

distribution of surplus is to be

paid

94 Subregulation 5.6.71(2) Notice of distribution of 552

surplus to contributories or

other persons

95 Regulation 5.6.72 Authority to liquidator to pay 553

distribution of surplus to a

person named

Chapter 6 Acquisition of shares

96 Subsection 671B(4) Notice of initial substantial 603

holder

Chapter 7

Subsection 671B(4)

Financial services and markets

Notice of change of interests

of substantial holder

Notice of ceasing to be a

substantial holder

604

605

Chapter 9

Subregulation 7.6.08D(3)

Subregulation 7.6.08E(3)

Miscellaneous

Data on intermediated

business with

APRA-authorised general

insurers, Lloyd’s underwriter

and unauthorised foreign

insurers

701

150 Subsection 1287(1) Particulars of cessation or 905

change relating to person

registered as an auditor under

subsection 1287(1)

Corporations Regulations 2001

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Schedule 1 List of forms in Schedule 2

Column 1 Column 2 Column 3 Column 4

Provision of the Act or the No. of form

Item Regulations Description of form

154A Subsection 1302(4) Notice of change of address 909

Corporations Regulations 2001

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Forms Schedule 2

Schedule 2—Forms (regulations 1.0.02 and 1.0.03)

Corporations Regulations 2001

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Schedule 2 Forms

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms Schedule 2

Corporations Regulations 2001

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Authorised Version F2019C00362 registered 18/04/2019

Schedule 2 Forms

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms Schedule 2

Corporations Regulations 2001

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Schedule 2 Forms

Form 314 (paragraph 324(2)(e))

Corporations Act 2001

RETURN OF MEMBERS OF FIRM OF AUDITORS

Name of firm:

Address of firm 1 :

The full names and addresses of all of the members of the firm are:

Surname First or given names Residential address

Dated

Signature 2

1. Give the address of each place of business of the firm. If there is more than one place of

business, indicate the principal place of business.

2. To be signed by one of the members of the firm.

DIRECTION

Requirements relating to annexures are set out in regulation 1.0.06.

NOTE

The completion of this form does not relieve members of the firm from any obligation under

the law relating to business names.

Corporations Regulations 2001

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Forms Schedule 2

Corporations Regulations 2001

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Schedule 2 Forms

Form 501 (subsection 414(2))

Australian Company Number:

Corporations Act 2001

NOTICE TO DISSENTING SHAREHOLDER

(Note that in this form “dissenting shareholder” means a shareholder who has not assented to

the scheme or contract mentioned in paragraph B, or who has failed or refused to transfer his

or her shares to the transferee in accordance with that scheme or contract)

1. To

A. (insert name of person giving notice, in this form called “the transferee”) The

transferee on (insert date) made

an offer to the holders of *shares in Limited/ *shares included in class of shares

in Limited for the transfer of those shares to the

transferee, not being an offer made under a scheme or contract arising out of

the making of takeover offers or a takeover announcement under the law

relating to the acquisition of shares; and

B. the scheme or contract involving the transfer of those shares to the transferee

was on or before (insert date) approved by the

holders of not less than nine-tenths in nominal value of the shares *in that

company/*included in that class of shares, other than shares already held at the

date of the offer by, or by a nominee for, the transferee (or, if the transferee is

a company, its subsidiary); and

C. you are a dissenting shareholder of shares *in the company/ *included in that

class of shares.

2. The transferee gives you notice under subsection 414(2) that the transferee desires

to acquire those shares held by you.

3. You are entitled under subsection 414(7) to require the transferee, by a demand in

writing served on the transferee within one month after the date on which this

notice is given, to furnish to you a statement in writing of the names and addresses

of all other dissenting shareholders shown in the register of members.

*4. You are entitled not later than the expiration of one month after the date on which

this notice is given or 14 days after the date on which a statement is supplied to

you under subsection 414(7), whichever is the later, to elect, by notice to the

transferee, which of the alternative terms offered to the approving shareholders

under the scheme or contract you prefer. The alternative terms are as follows:

Corporations Regulations 2001

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5. Unless, on application made by you within one month after the date on which this

notice is given or within 14 days after a statement is supplied to you under

subsection 414(7), the Federal Court of Australia or the Supreme Court of (State

or Territory) orders otherwise, the transferee will be entitled and bound subject to

subsection 414(7) to acquire your shares:

(a) on the terms on which under the scheme or contract the shares of the

approving shareholders are to be transferred to the transferee; or

(b) if alternative terms were offered — on the terms for which you have elected;

determines unless the Court otherwise orders.

Dated

(signature of transferee) *Omit if not applicable

DIRECTION

Requirements relating to annexures are set out in regulation 1.0.06.

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

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Schedule 2 Forms

Form 502 (subsection 414(9)(a))

Australian Company Number:

Corporations Act 2001

NOTICE TO REMAINING SHAREHOLDER

1. To

A. (insert name of person giving notice, in this form called “the transferee”) The

transferee in (insert date) made offers to the holders of shares *in Limited/*included

in class of shares in Limited for the

transfer of those shares to the transferee, not being offers made under a scheme or

contract arising out of the making of takeover offers or a takeover announcement

under the law relating to the acquisition of shares; and

B. under the scheme or contract the transferee became an (insert date) beneficially

entitled to shares in that company which together with any other shares in that

company to which the transferee, or the transferee and any corporation related to the

transferee, is beneficially entitled, comprise or include nine-tenths in nominal value

of the shares *in Limited/*included in that class of shares

in Limited; and

C. you are the holder of remaining shares *in that company/*included in that class of

shares in that company and have not assented to the scheme or contract or been given

notice in respect of those shares by the transferee under subsection 414(2).

2. The transferee gives you notice under subsection 414(9) that under that scheme or

contract the transferee on (insert date) become beneficially entitled to shares in

Limited and those shares together with any

other shares in that company to which the transferee, or the transferee and any corporation

related to the transferee, is beneficially entitled, comprise or included nine-tenths in

nominal value of the shares (in that company/*included in that class of shares in that

company.

3. You are entitled under subsection 414(9) within 3 months after the date on which this

notice is given by notice to the transferee to require the transferee to acquire your shares. *3. You are entitled under subsection 414(9) within 3 months after the date on which this

notice is given to elect by notice to the transferee which of the alternative terms offered to

the approving shareholders under the scheme or contract you will accept. The alternative

terms are as follows:

4. If you require the transferee to acquire the shares held by you the transferee will be

entitled and bound to acquire those shares:

Corporations Regulations 2001

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(a) on the terms that under the scheme or contract were offered to the approving

shareholders; or

(b) if alternative terms were offered—on the terms for which you have elected;

(i) on whichever of the terms the transferee determines or

(ii) on such other terms as are agreed or as the Federal Court of Australia or the

Supreme Court of` on the application of

the transferee or of yourself orders.

Dated

(signature of transferee) *Omit if not applicable

DIRECTION

Requirements relating to annexures are set out in regulation 1.0.06.

Corporations Regulations 2001

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Schedule 2 Forms

Form 503 (subsection 419A(3))

Corporations Act 2001

NOTICE OF CONTROLLER’S INTENTION NOT TO EXERCISE PROPERTY

RIGHTS

To: (name), of (address) , the *owner/*lessor of property (“the specified property”) being:

(name and description of property including, if appropriate, relevant reference numbers and

account numbers identifying contracts such as leasing arrangements in relation to that

property)

I (name), of (address), the controller of property of

(name of corporation) (“the corporation”) give you notice that I do not propose to exercise

rights in relation to the specified property as controller of the specified property, whether on

behalf of the corporation or anyone else.

Dated

(Controller’s signature)

*Delete if not applicable

NOTES:

1. Under subsection 419A(4) the controller is not liable for rent or other amounts by

the corporation in relation to the specified property while this notice in force, but

the notice does not affect a liability of the corporation.

2 Under subsection 419A(5), this notice ceases to have effect if the controller:

(a) revokes the notice, by writing to the owner/lessor; or

(b) exercises or purports to exercise a right in relation to the specified property the

controller.

Corporations Regulations 2001

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Forms Schedule 2

Form 509A (subsection 438C(3))

A.C.N. or A.R.B.N.

Corporations Act 2001

NOTICE TO DELIVER BOOKS OF COMPANY TO THE ADMINISTRATOR

Limited (administrator appointed)

To: (name) of (address)

1. I (name), of (address), the administrator of the company, give you notice under

subsection 438C(3) that I require you to deliver to me, at the above address,

within (insert number being not less than 3) business days of the date of this

notice, the books specified in the Schedule, being books of the company, that are

in your possession.

2. Note that under subsection 438C(5), you must comply with this notice except so

far as you are entitled as against the company and the administrator, to retain

possession of the books.

SCHEDULE

(insert specified books)

Dated

(administrator’s signature)

Corporations Regulations 2001

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Schedule 2 Forms

Form 509B (subsection 443B(3))

Corporations Act 2001

NOTICE OF ADMINISTRATOR’S INTENTION NOT TO EXERCISE PROPERTY

RIGHTS

Limited (administrator appointed)

To: (name), of (address), the *owner/*lessor of property (“the specified property”)

being:

(name and description of property, including, if appropriate, relevant reference numbers and

account numbers identifying contracts such as leasing arrangements in relation to that

property)

I (name), of (address) , the administrator of (name of company)

(“the company”) give you notice that I do not propose to exercise rights in relation to the

specified property.

Dated

(administrator’s signature)

*Delete if not applicable

NOTES

1. Under subsection 443B(4), the administrator is not liable for rent or other amounts

payable by the company in relation to the specified property while this notice is in

force, but the notice does not affect a liability of the company.

2. Under subsection 443B(5), this notice ceases to have effect if:

(a) the administrator revokes the notice, by writing to the owner/ lessor; or

(b) the company exercises or purports to exercise a right in relation to the

specified property.

Corporations Regulations 2001

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Forms Schedule 2

Form 509E (paragraph 450B(a))

Corporations Act 2001

NOTICE TO CREDITORS OF EXECUTION OF A DEED OF COMPANY

ARRANGEMENT

Limited (subject to deed of company arrangement)

*To (name) of (address)

*To creditors of the company

1. Notice is given under section 450B that the company executed a deed of

arrangement on (insert date).

2. A copy of the deed may be inspected at (insert address).

Dated

(Signature of administrator of the

deed of company arrangement) *Delete if not applicable

Corporations Regulations 2001

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Schedule 2 Forms

Form 509H (paragraph 459E(2)(e))

Corporations Act 2001

CREDITOR’S STATUTORY DEMAND FOR PAYMENT OF DEBT

To (name and A.C.N. or A.R.B.N. of debtor company) of (address of the company’s registered

office)

1. The company owes (name) of (address) (“the creditor”) *the amount of $(insert amount), being the amount of the debt described in the Schedule. *the amount of $(insert total amount), being the total of the amounts of the debts

described in the Schedule.

*2. The amount is due and payable by the company.

*2. Attached is the affidavit of (insert name of deponent of the affidavit), dated (insert date of

affidavit), verifying that the amount is due and payable by the company

3. The creditor requires the company, within 21 days after service on the company of this

demand:

(a) to pay to the creditor the *amount of the debt/*total of the amounts of the debts; or

(b) to secure or compound for the *amount of the debt/*total of the amounts of the debts,

to the creditor’s reasonable satisfaction.

4. The creditor may rely on a failure to comply with this demand within the period for

compliance set out in subsection 459F(2) as grounds for an application to a court having

jurisdiction under the Corporations Act 2001 for the winding up of the company.

5. Section 459G of the Corporations Act 2001 provides that a company served with a

demand may apply to a court having jurisdiction under the Corporations Act 2001 for an

order setting the demand aside. An application must be made within 21 days after the

demand is served and, within the same period:

(a) an affidavit supporting the application must be filed with the court; and

(b) a copy of the application and a copy of the affidavit must be served on the person

who served the demand.

A failure to respond to a statutory demand can have very serious consequences for a

company. In particular, it may result in the company being placed in liquidation and

control of the company passing to the liquidator of the company.

6. The address of the creditor for service of copies of any application and affidavit is (insert

the address for service of the documents in the State or Territory in which the demand is

Corporations Regulations 2001

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served on the company, being, if solicitors are acting for the creditor, the address of the

solicitors).

SCHEDULE

Description of the debt Amount of the debt

(indicate if it is a judgment debt,

giving the name of the court

and the date of the order)

*Total Amount

Dated:

signed:

Print name: capacity:

Corporation or partnership name (if applicable):

NOTES:

1. The form must be signed by the creditor or the creditor’s solicitor. It may be signed on

behalf of a partnership by a partner, and on behalf of a corporation by a director or by the

secretary or an executive officer of the corporation.

2. The amount of the debt or, if there is more than one debt, the total of the amounts of the

debts, must exceed the statutory minimum of $2,000.

3. Unless the debt, or each of the debts, is a judgment debt, the demand must be

accompanied by an affidavit that:

(a) verifies that the debt, or the total of the amounts of the debts, is due and payable by

the company; and

(b) complies with the rules.

4. A person may make a demand relating to a debt that is owed to the person as assignee.

5. This form was amended in 2006 as part of amendments of the Corporations

Regulations 2001. For the period of 12 months after the commencement of those

amendments a person may comply with paragraph 459E(2)(e) of the Corporations Act

2001 in relation to a statutory demand for payment of debt by using:

Corporations Regulations 2001

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Schedule 2 Forms

(a) the version of this form that was in force immediately before the commencement of

the amendments; or

(b) this version of the form.

*Omit if inapplicable

Corporations Regulations 2001

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Forms Schedule 2

Corporations Regulations 2001

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Schedule 2 Forms

Corporations Regulations 2001

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Forms Schedule 2

Form 5249

Corporations Regulations 2001

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Schedule 2 Forms

Corporations Regulations 2001

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Forms Schedule 2

Form 527 (paragraph 568(8)(a))

Australian Company Number:

Corporations Act 2001

APPLICATION REQUIRING LIQUIDATOR TO DECIDE WHETHER TO DISCLAIM

PROPERTY

Limited

To (insert name), the liquidator of the company.

Under paragraph 568(8)(a), application is made to you by (full name, address and occupation

of applicant) requiring you to decide whether you will disclaim the property described in the

Schedule to this notice or not.

The applicant has the following interest in the property:

SCHEDULE

Dated

(signature of applicant)

Corporations Regulations 2001

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Schedule 2 Forms

Corporations Regulations 2001

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Corporations Regulations 2001

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Schedule 2 Forms

Form 535 (subregulation 5.6.49(2)

A.C.N or A.R.B.N:

Corporations Act 2001

FORMAL PROOF OF DEBT OR CLAIM (GENERAL FORM)

To the liquidator of Limited

1. This is to state that the company was on (date of court order in winding up by the

Court, or date of resolution to wind up, if a voluntary winding up), and still is,

justly and truly indebted to (full name and address of the creditor and, if

applicable, the creditor’s partners. If prepared by an employee or agent of the

creditor, also insert a description of the occupation of the creditor) for

dollars and cents

Particulars of the debt are:

Date Consideration

(state how the debt

arose)

Amount Remarks

(include details of voucher

substantiating payment)

$ c

2. To my knowledge or belief the creditor has not, nor has any person by the

creditor’s order, had or received any satisfaction or security for the sum or any

part of it except for the following: (insert particulars of all securities held. If the

securities are on the property of the company, assess the value of those securities.

If any bills or other negotiable securities are held, show them in a schedule in the

following form).

Date Drawer Acceptor Amount Due Date

$ c

Corporations Regulations 2001

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Forms Schedule 2

*3. I am employed by the creditor and authorised in writing by the creditor to make

this statement. I know that the debt was incurred for the consideration stated and

that the debt, to the best of my knowledge and belief, remains unpaid and

unsatisfied.

*3. I am the creditor’s agent authorised in writing to make this statement in writing. I

know the debt was incurred for the consideration stated and that the debt, to the

best of my knowledge and belief, remains unpaid and unsatisfied.

Dated

Signature

Occupation

Address

*Do not complete if this proof is made by the creditor personally

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Schedule 2 Forms

Form 536 (subregulation 5.6.49(2))

A.C.N. or A.R.B.N:

Corporations Act 2001

FORMAL PROOF OF DEBT OR CLAIM ON BEHALF OF EMPLOYEES

To the liquidator of Limited

(full name of person making the statement) of (full address) being (occupation) state:

1. the company was, on (date of court order in winding up, if winding up was by the

Court, or date of resolution to wind up if a voluntary winding up), and still is,

indebted to the persons whose names, addresses and descriptions appear in

Columns 2, 3 and 4 in the Schedule;

2. the debt is for wages, salaries, annual leave, retrenchment payments or long

service leave, due to them for services rendered while employed by the company

during the periods set out in Column 5 against the names of the persons;

3. the debt of the company due to each person is for the amount set out in Column 6

against the name of that person;

4. none of those persons has had or received any satisfaction or security in respect of

that debt;

5. I am authorised as and the source of my information is

as follows:

SCHEDULE

Column 1 Column 2 Column 3 Column 4 Column 5 Column 6

No Full name Address of Description Period for Amount of

employee which claim is claim

made (see note

below)

Dated

Signature

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms Schedule 2

Note: In case of a claim for annual leave or long service leave, insert a description of the

claim.

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Schedule 2 Forms

Form 537 (subregulation 5.6.54(1))

A.C.N or A.R.B.N:

Corporations Act 2001

NOTICE OF REJECTION OF FORMAL PROOF OF DEBT OR CLAIM

Limited

1. Your claim against the company set out in the formal proof of debt or claim of

(name of person submitting original proof of debt or claim) made on (date) has

been *wholly disallowed/*disallowed to the extent of (particulars of part of claim

disallowed)/*allowed in the sum of $ /*allowed to the extent of your claim for

(particulars of part of claim allowed).

2. My grounds for disallowance of (particulars of part of claim referred to) are as

follows:

3. If you are dissatisfied with my determination as set out above, you may appeal

against it, no later than (number of days, being not less than 14) days after the

service of this notice or, if the Court allows, within any further period, to the *Federal Court of Australia/*the Supreme court of (State or Territory). If you do

not do so, your claim will be assessed in accordance with this determination.

Dated

Signature of liquidator

Address

* Omit if inapplicable

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms Schedule 2

Form 538 (regulation 5.6.58)

A.C.N or A.R.B.N:

Corporations Act 2001

PROVISIONAL LIST OF CONTRIBUTORIES

Limited

The following is a provisional list of persons to be placed on the list of contributories that I

have made from the records of the company, together with the number of their shares or the

extent of their interest, their address and other participants:

PART 1

PERSONS WHO ARE CONTRIBUTORIES

IN THEIR OWN RIGHT

Serial Name Address Description of Number Amount Amount Amount

No. class of of shares called up paid up at not called

contributory (or extent at date of date of up at date

of interest) start of start of of start of

winding winding winding

up up up

PART 2

CONTRIBUTORIES WHO ARE REPRESENTATIVES OF, OR LIABLE FOR THE

DEBTS OF, OTHERS

Serial Name Address Description Number Amount Amount Amount

No. of class of of shares called up paid up at not called

contributory and (or extent at date of date of up at date

in what of interest) start of start of of start of

character winding winding winding

included up up up

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Schedule 2 Forms

Dated

Signature of liquidator

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms Schedule 2

Form 539 (subregulation 5.6.59(1))

A.C.N or A.R.B.N:

Corporations Act 2001

NOTICE TO CONTRIBUTORIES OF APPOINTMENT TO SETTLE LIST OF

CONTRIBUTORIES

Limited

Take notice that I (name) of (address), the liquidator of the company, have appointed (time) *a.m./*p.m. on (date) at (address of place appointed for settlement), at which I must settle the

list of the contributories of the company that I have made. You are at present included in that

list.

Particulars of your inclusion are set out below. Unless, before or at the time appointed for the

settlement, you give me sufficient reason for your exclusion, your name will be included in

the settled list.

Dated

Signature of liquidator

Serial No. Name Address Description Number of Amount Amount Amount

of class of shares (or called up paid up at not called

contributory and extent of at date of date of up at date

in what interest) start of start of of start of

character winding winding winding

included up up up

* Strike out whichever is inapplicable.

NOTES

1. Contributories do not have to attend the appointment referred to in this notice if

they are satisfied that the particulars contained in the notice are correct.

2. A shareholder’s name cannot be omitted from the list of contributories because he

or she is unable to pay calls; this question will be dealt with when application is

made for payment of the calls.

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Schedule 2 Forms

3. A change of address may be notified by giving notice to the liquidator by post

before the date fixed for the appointment.

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms Schedule 2

Form 541 (subregulation 5.6.60(2))

A.C.N. or A.R.B.N.:

Corporations Act 2001

CERTIFICATE OF LIQUIDATOR OF FINAL SETTLEMENT OF LIST OF

CONTRIBUTORIES

Limited

I (name), the liquidator of the company, certify that the result of the settlement of the list of

contributories of the company is as follows:

1. The persons named in Column 2 of Schedule 1 have been included in the list of

contributories as contributories of the company in respect of the number of shares

or extent of interest set out opposite their names. I have listed in Part 1 of

Schedule 1, contributories in their own right and, in Part 2 of Schedule 1,

contributories who are representatives of, or liable for the debts of, others.

2. The persons named in Column 2 of Schedule 2 were included in the provisional

list of contributories, but have been excluded from the settled list of

contributories.

3. In Column 6 of Schedule 1 and in Column 6 of Schedule 2, I have set out opposite

the name of each person the date when that person was included in or excluded

from the list of contributories.

4. In Columns 7 and 8 of Schedule 1, I have set out opposite the name of each person

the amount called up at the date of the commencement of the winding up and the

amount paid up at that date in respect of the shares, or interest, of that person.

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Schedule 2 Forms

SCHEDULE 1

PERSONS INCLUDED IN THE LIST OF CONTRIBUTORIES

PART 1: CONTRIBUTIONS IN THEIR OWN RIGHT

1 2 3 4 5 6 7 8 9

Serial No. Name Address Description of Number of shares Date when Amount called up Amount paid up Amount not called

class of (or extent of included in list at date of start of at date of start of up at date of start

contributory and interest) winding up winding up of winding up

in what character

included

PART 2: CONTRIBUTORIES WHO ARE REPRESENTATIVES OF, OR LIABLE FOR

THE DEBTS OF, OTHERS

1 2 3 4 5 6 7 8 9

No. Name Address Description of Number of shares Date when Amount called up Amount paid up Amount not called

class of (or extent of included in list at date of start of at date of start of up at date of start

contributory and interest) winding up winding up of winding up

in what character

included

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms Schedule 2

SCHEDULE 2

PERSONS EXCLUDED FROM THE LIST OF CONTRIBUTORIES

1 2 3 4 5 6

No. Name Address Description of class of Number of shares (or extent Date when included in list

contributory and in what of interest)

character proposed to be

included

Dated

Signature of liquidator

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Schedule 2 Forms

Form 542 (subregulation 5.6.61(1))

A.C.N or A.R.B.N.:

Corporations Act 2001

PROVISIONAL SUPPLEMENTARY LIST OF CONTRIBUTORIES

Limited

The following is a list of persons that I have found, since making out the annexed list of

contributories dated , to be, or to have been, *holders of shares

in/*members of the company, and who to the best of my knowledge and belief are

contributories of the company:

(insert list in the same form as the original list: see Form 538)

Dated

Signature of liquidator

*Omit if inapplicable

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms Schedule 2

Form 543 (subregulation 5.6.61(1))

A.C.N. or A.R.B.N.:

Corporations Act 2001

CERTIFICATE OF LIQUIDATOR OF SETTLEMENT OF SUPPLEMENTARY LIST

OF CONTRIBUTORIES

Limited

I (name), the liquidator of the company, certify that the result of the settlement of the

provisional supplementary list of contributories of the company that I made out on (date) is as

follows:

(set out the Certificate and Schedules as in Form 541)

Dated

Signature of liquidator

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Schedule 2 Forms

Form 544 (subregulation 5.6.62(4))

A.C.N. or A.R.B.N.:

Corporations Act 2001

NOTICE TO CONTRIBUTORY OF FINAL SETTLEMENT OF LIST OR

SUPPLEMENTARY LIST OF CONTRIBUTORIES AND OF INCLUSION IN LIST

Limited

To:

of:

Take notice that I (name), the liquidator of the company, on (date) settled the list of

contributories of the company. You are included in that list. The character, if applicable, in

which, and the number of share, or extent of interest, for which, you are included, and the

amounts called dup, paid up and unpaid in respect of those shares or that interest are stated in

the Schedule.

You may apply to vary the list of contributories, or to remove your name from the list, by

making an application to *the Federal Court of Australia/*the Supreme court of (State or

Territory) within 21 days from the service on you of this notice or, if the Court allows, any

further period.

You may inspect the list at my office at (address) from Monday to Friday inclusive between

the hours of (insert times making up not less than 3 hours during the normal working day)

and

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms Schedule 2

SCHEDULE

No. Name Address Description of Number of Amount called Amount unpaid Amount unpaid Amount not

class of shares (or up at date of at date of start at date of start called up at date

contributory extent of start of winding of winding up of winding up of start winding

and in what interest) up up

character

included

Dated

Signature of liquidator

* Omit if not applicable

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Schedule 2 Forms

Form 547 (subregulation 5.6.65(1))

Corporations Act 2001

NOTICE TO CREDITOR OR PERSON CLAIMING TO BE A CREDITOR OF

INTENTION TO DECLARE A DIVIDEND

Limited

A dividend (state the number of the dividend, e.g. “first”, “second”) is to be declared on

(date) for the company.

*You are listed as a creditor in the report on the affairs of the company; *You are known to me to claim to be a creditor, but your debt or claim has not yet been

admitted.

You are required formally to prove your debt or claim on or before (date). If you do not, you

will be excluded from the benefit of the dividend.

Dated

Signature of liquidator

Address

*Omit if inapplicable.

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms Schedule 2

Form 548 (subregulation 5.6.65(1))

Corporations Act 2001

NOTICE TO CREDITOR OR PERSON CLAIMING TO BE A CREDITOR OF

INTENTION TO DECLARE A DIVIDEND

Limited

A final dividend is to be declared on (date) for the company.

You are required formally to prove your debt or claim on or before (date).

If you do not, I will exclude your claim from participation, and I will proceed to make a final

dividend without having regard to it.

Signature of liquidator

Address

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Schedule 2 Forms

Form 549 (subregulation 5.6.67(3))

Corporations Act 2001

NOTICE OF DECLARATION OF DIVIDEND

Limited

(State the number of the dividend, e.g. “First”, “Second”) dividend.

A dividend at the rate of in the dollar has been declared for the company and a

cheque is attached for $ calculated at that rate on your debt as admitted to rank for

dividend for $ .

Dated

Signature of liquidator

Address

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms Schedule 2

Form 550 (regulation 5.6.70)

Corporations Act 2001

AUTHORITY TO LIQUIDATOR TO PAY DIVIDEND TO A PERSON NAMED

Limited

To the liquidator

*I/*We authorise and request you to pay to (name) of (address) all dividends as they are

declared for the company, and that become due and payable to *me/*us in respect of *my/ *our

claim for $ against the company.

*I/*We further request that cheques drawn for those dividends are made payable to the order

of (name).

This authority remains in force until revoked by *me/*us in writing.

Date

Signature of creditor

Name of creditor

*Omit if inapplicable

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Schedule 2 Forms

Form 551 (subregulation 5.6.71(1))

Corporations Act 2001

(Note: Before completing this schedule please read carefully the “Direction for completing

Form 551” at the end of this form)

SCHEDULE OF CONTRIBUTORIES OR OTHER PERSONS TO WHOM A

DISTRIBUTION OF SURPLUS IS TO BE PAID

Limited

Serial No. in Name of Address Number of Total amount Total amount

settled list contributory as shares held as called up paid up

in settled list set out in

settled list

SCHEDULE OF CONTRIBUTORIES OR OTHER PERSONS, TO WHOM A

DISTRIBUTION OF SURPLUS IS TO BE PAID

Arrears of calls at Previous Amount of Net distribution Date and

date of return distributions of distribution payable particulars of

capital payable per share transfer of interest

appropriated by or other variation

liquidator for in list

arrears of calls

Signature of liquidator

Date

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms Schedule 2

DIRECTION FOR COMPLETING FORM 551

If the Articles:

(a) provide that the amount divisible among members or any class of members must

be dividable in proportion to the amount paid up or that ought to have been paid

up at the date of winding up; or

(b) contain any other provision that requires further information before a distribution

can be made; columns should be added showing the amount called up and the amount paid up at that date in

respect of shares then held by those members or that class of members, or any other facts that

may be required.

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Schedule 2 Forms

Form 552 (subregulation 5.6.71(2))

Corporations Act 2001

NOTICE OF DISTRIBUTION OF SURPLUS TO CONTRIBUTORIES OR OTHER

PERSONS

Limited

A distribution of surplus at the rate of per share has been declared for the company

and a cheque is attached for $ calculated at that rate per share on your (number) shares.

Dated

Signature of liquidator

Address

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms Schedule 2

Form 553 (regulation 5.6.72)

Corporations Act 2001

AUTHORITY TO LIQUIDATOR TO PAY DISTRIBUTION OF SURPLUS TO A

PERSON NAMED

Limited

To the Liquidator

*I/*We authorise and request you to pay to (name) of (address) any distribution of surplus

payable to *me/*us for the company.

*I/*We further request that the cheque drawn for that distribution be made payable to the order

of (name).

This authority remains in force until revoked by *me/*us in writing.

Dated

Signature

Name(s) of person(s) completing this authority

*Omit if inapplicable.

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Schedule 2 Forms

Form 701

Data on intermediated business with APRA-authorised general insurers, Lloyd’s underwriters and unauthorised foreign

insurers

Australian business number

Australian financial services licence

number

Australian financial services licensee

name

Reporting period

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms Schedule 2

TABLE 1: AGGREGATE DATA ON INTERMEDIATED BUSINESS WITH APRA-AUTHORISED GENERAL INSURERS,

LLOYD’S UNDERWRITERS AND UNAUTHORISED FOREIGN INSURERS

Total business placed with APRA-authorised general insurers, Lloyds

underwriters and unauthorised foreign insurers

Premium invoiced this reporting period

Effective this

reporting period

Effective after the

reporting period

end

Effective before the

reporting period

start

Total invoiced

this reporting

period

a. Business placed directly by the general insurance intermediary

with APRA-authorised general insurers

b. Business placed directly, or indirectly through a foreign

intermediary, by the general insurance intermediary with Lloyd’s

underwriters

c. Business placed directly, or indirectly through a foreign

intermediary, by the general insurance intermediary with

unauthorised foreign insurers

d. Business placed indirectly through another general insurance

intermediary, by the general insurance intermediary with:

i. APRA-authorised general insurers; or

ii. Lloyds underwriters; or

iii. unauthorised foreign insurers

Total

General insurer is defined in subsection 3(1) of the Insurance Act 1973.

Lloyd’s underwriter is defined in subsection 3(1) of the Insurance Act 1973.

Unauthorised foreign insurer is defined in regulation 4 of the Insurance Regulations 2002.

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Schedule 2 Forms

TABLE 2: TRANSACTION LEVEL DATA ON INTERMEDIATED BUSINESS PLACED DIRECTLY, OR INDIRECTLY THROUGH A

FOREIGN INTERMEDIARY, WITH UNAUTHORISED FOREIGN INSURERS

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15

Policy

transaction

type

Client

code

Policy

code

Invoice

date

Effective

date

APRA

class of

business

Premium Currency

premium

UFI

name

UFI

country

code

Exemption

type

HVI

limb

HVI

value

(#)

Atypical

risk

class

Customised

reason

Note It is an offence under section 137.1 of the Criminal Code Act 1995 to provide false or misleading information to a Commonwealth entity. The Australian Prudential Regulation Authority is a Commonwealth entity.

Lodgement requirements

If information is to be lodged in Table 1 only, the licensee may lodge the information electronically or in writing.

If information is to be lodged in both Table 1 and Table 2, the licensee must lodge the information electronically. If the licensee is

unable to lodge the information electronically, the licensee must arrange an alternative method of lodgement with APRA.

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms Schedule 2

Requirements for forms lodged electronically

A licensee must lodge a form electronically via the licensees portal provided by APRA. A licensee must undertake the steps required

by APRA to become authorised to use the portal.

A document accompanying a form may only be lodged electronically if APRA has approved, in writing, the electronic lodgement of

documents of that kind. If APRA has not approved the electronic lodgement of a document, the document may be lodged in writing.

APRA may approve the electronic lodgement of:

(a) a particular kind of document; or

(b) documents in a particular class of documents.

A document is taken to be lodged with APRA electronically if it is lodged in accordance with APRA’s approval, including any

requirements of the approval as to authentication.

Requirements for forms lodged in writing

If a form is lodged in writing, the form must be signed in accordance with the requirements of section 912CA of the Corporations Act

2001, as modified by regulation 7.6.08C of the Corporations Regulations 2001.

Licensees lodging by mail or in person must lodge with APRA:

(a) the signed, original form; and

(b) any information, statements, explanations or other matters required by the form; and

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Schedule 2 Forms

Licensees lodging by email must lodge with APRA:

(a) the signed form in PDF (portable document format); and

(b) any information, statements, explanations or other matters required by the form; and

Licensees lodging by email must retain signed original copies of the forms and attachments for a period of 7 years.

A form, or document, lodged with APRA in writing by, or on behalf of, an entity in an item of the following table, must be

signed by the person specified in the item.

Item Entity Person

1 A body that is not a foreign company A director or secretary

2 A body that is a foreign company (a) a local agent; or

(b) if the local agent is a company — a director or secretary of the company

3 An individual An individual

4 A partnership (a) a partner; or

(b) if the partner is a company — a director or secretary of the company

5 A trust (a) a trustee; or

(b) if the trustee is a body — a director or secretary of the body

Note A body includes a body corporate or an unincorporated body, for example, a society or association — see the definition of body in section 9 of the Act.

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms Schedule 2

The following table must be completed. In the table, the person’s name must be printed next to the person’s signature.

Lodgement details (for the person who physically completes the form)

Firm/organisation

Contact name/position description

ASIC registered agent number (if applicable)

Telephone number

Postal address or DX address

Signature block

Name

Signature

Capacity

Entity name (if entity acting as local agent)

Date signed

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Schedule 2 Forms

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms Schedule 2

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Schedule 2 Forms

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms Schedule 2

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Schedule 2 Forms

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms Schedule 2

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Schedule 2 Forms

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms Schedule 2

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Schedule 2 Forms

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms Schedule 2

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Schedule 2 Forms

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms Schedule 2

Form 719 (regulations 7.5.90 and 7.5.92)

Corporations Regulations 2001

STATEMENT ABOUT PAYMENTS OUT OF FINANCIAL INDUSTRY

DEVELOPMENT ACCOUNT

1. The name of the market licensee to which this statement relates is (insert name of market

licensee).

2. This statement relates to the financial year ending on (insert date) (the relevant financial

year).

3. Specify in respect of each purpose approved by the Minister under subregulation 7.5.88

of the Regulations:

(a) the terms of the purpose as so approved are:

(insert terms)

(b) the date of that approval was (date);

(d) the total, as at the end of the relevant financial year, of all payments made for this purpose in the relevant financial year and previous financial years was $(amount);

(e) further payments for this purpose *are / *are not envisaged.

4. The total of payments for all purposes in respect of the relevant financial year was

$(amount).

REPORT OF AUDITOR

*I/We (insert name of the auditor or auditors signing this report), report that:

(a) *I / *We have audited the above statement; and

(b) it accurately represents the payments that it mentions.

Dated

(signature of auditor)

(under the signature add the name under which the auditor practises or the name of the firm

in which the auditor is employed)

* Omit if not applicable

DECLARATION

I (insert name of officer of the market licensee and the office he or she occupies), declare:

(a) that, to the best of my knowledge and belief, the information contained in the above statement is correct; and

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

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Schedule 2 Forms

(b) that the Board of (insert name of the market licensee) has accepted the information contained in the statement and resolved that the statement be lodged with ASIC.

Dated

(signature of officer of the market licensee)

(under the signature add the name of the person signing)

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms Schedule 2

Form 719A (subregulation 7.5.56(4))

Corporations Regulations 2001

COMPENSATION FOR LOSSES RESULTING FROM THE UNAUTHORISED

TRANSFER OF RIGHTS, SHARES, DEBENTURES OR OTHER SECURITIES BY

DEALER

This notice relates to the unauthorised transfer of securities by (insert name of the dealer who

is claimed to have transferred securities without authority of transferor) (in this notice called

‘the dealer’) of (insert residential address of the dealer) *formerly carrying on / *carrying on

business at (insert address of the principal place of business of the dealer, including State or

Territory).

A person wishing to make a claim under regulation 7.5.54 or 7.5.55 of the Corporations

Regulations 2001 in respect of loss suffered as a result of a transfer of securities executed

between (insert date of first day of applicable period) and (insert date of last day of

applicable period, being a date before the date on which the notice is first to be published)

(inclusive) by the dealer without authority must lodge his or her claim with:

Securities Exchanges Guarantee Corporation

(insert address, including State or Territory and postcode).

The claim must be made in writing before the end of (specify last application day, at least 3

months after last day of publication of notice).

Under subregulation 7.5.56(3) of the Corporations Regulations 2001, a claim that is not made

before the end of that day is barred unless the Board of the Securities Exchanges Guarantee

Corporation otherwise determines.

The effect of regulation 7.5.54 of the Corporations Regulations 2001 is to allow a person

who:

(a) owned securities that were transferred by a dealer; and

(b) did not authorise the dealer to transfer those securities; and

to make a claim for compensation for the loss suffered in respect of the securities.

The effect of subregulation 7.5.55(1) of the Corporations Regulations 2001 is to allow:

(a) a person to whom securities were transferred by the dealer without the authority of the owner of the securities; or

(b) a successor in title of that person;

to make a claim for compensation for the loss suffered in respect of the securities.

Under regulation 7.5.55 of the Corporations Regulations 2001, the following persons are not

entitled to make a claim:

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

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Schedule 2 Forms

(a) a person who knew that the owner of the securities had not authorised the dealer to transfer them;

(b) a person who is connected with the dealer in a way described in regulation 7.5.04 of the Corporations Regulations 2001.

(signature of an officer of the SEGC)

(under the signature add the words ‘for the Securities Exchanges Guarantee Corporation’)

(add the date of signature)

* Omit if not applicable

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms Schedule 2

Form 719B (subregulation 7.5.61(4))

Corporations Regulations 2001

NOTICE CALLING FOR CLAIMS AGAINST SECURITIES EXCHANGES

GUARANTEE CORPORATION

This notice relates to claims for pecuniary loss suffered in respect of a contravention of the

ASTC certificate cancellation provisions by (insert name of dealer who is claimed to have

contravened SCH certificate cancellation provisions) (in this notice called ‘the dealer’) *formerly carrying on business / *carrying on business at (insert business address of the

dealer).

A person wishing to make a claim under subregulation 7.5.60(1) of the Corporations

Regulations 2001 for pecuniary loss suffered in respect of a contravention by the dealer of the

SCH certificate cancellation provisions during the period beginning on and ending on (insert

dates) is required to serve the claim on:

Securities Exchanges Guarantee Corporation

(insert address including relevant State or Territory and postcode).

The claim must be made in writing and served on or before the end of (specify last

application day — at least 3 months after last day of publication of notice).

(NOTES:

1. Under subregulation 7.5.61(3) of the Corporations Regulations 2001, a claim that is not

served before the end of the day specified will be barred, unless the Board of the

Securities Exchanges Guarantee Corporation (‘SEGC’) otherwise determines.

2. Regulation 7.5.60 of the Corporations Regulations 2001 provides that a person who

suffers pecuniary loss in respect of a contravention, by a dealer, of the ASTC certificate

cancellation provisions may make a claim in respect of the loss. ASTC certificate

cancellation provisions are provisions of the ASTC operating rules that deal with brokers

cancelling certificates or other documents of title to Part 4 financial products or with

matters incidental to that function.)

A person may not make a claim under regulation 7.5.60 of the Corporations Regulations 2001

if:

(a) the loss is in respect of an unauthorised execution (within the meaning of regulation 7.5.53 of those Regulations) in respect of which the person has made, or is entitled to make a claim under Subdivision 4.7 of Part 7.5 of those Regulations; or

(b) the person was involved in the contravention of the ASTC certificate cancellation provisions.

(signature of an officer of the SEGC)

for the Securities Exchanges Guarantee Corporation

(add the date of signature)

Corporations Regulations 2001

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Schedule 2 Forms

* Omit if not applicable

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms Schedule 2

Form 720 (subregulation 7.5.70(1))

Corporations Regulations 2001

NOTICE CALLING FOR CLAIMS AGAINST THE SECURITIES EXCHANGES

GUARANTEE CORPORATION

In relation to (insert name of dealer who has become insolvent) (in this notice called ‘the

dealer’) of (insert residential address of the dealer), *formerly / carrying on business at (insert

address of the principal place of business of the dealer, including State or Territory), a dealer

who has become insolvent.

Persons wishing to make a claim under subregulation 7.5.64(1) of the Corporations

Regulations 2001 in respect of property that was, in the course of, or in connection with, the

dealer’s business of dealing in securities, entrusted to or received by the dealer (or another

person as provided under that subregulation) are required to lodge their claim with:

The Securities Exchanges Guarantee Corporation

(insert address, including State or Territory and postcode).

The claim must be made in writing on or before (insert date).

Subject to regulation 7.5.70 of the Corporations Regulations 2001, claims not made on or

before that date are barred unless the Board of the Securities Exchanges Guarantee

Corporation otherwise determines.

Subregulation 7.5.64(1) of the Corporations Regulations 2001 provides to the effect that,

where the requirements of that provision are otherwise met, a person may make a claim in

respect of property that was, in the course of, or in connection with, the dealer’s business of

dealing in securities, entrusted to or received by:

(a) unless paragraph (b) applies, the dealer or an employee of the dealer; or

(b) if the dealer was, at the time the property was so entrusted or received, a partner in a participant, the participant, or a partner in, or an employee of, the participant.

(signature of an officer of the SEGC)

(under the signature add the words ‘For the Securities Exchanges Guarantee Corporation’)

(add the date of signature)

* Omit if not applicable

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

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Schedule 2 Forms

Form 721 (regulation 7.5.80)

Corporations Regulations 2001

NOTICE OF DISALLOWANCE OF CLAIM AGAINST THE SECURITIES

EXCHANGES GUARANTEE CORPORATION

(Set out the name and address of the claimant or the claimant’s solicitor and an appropriate

form of salutation)

In relation to (insert name of the dealer to whom the claim relates), *formerly carrying on / *carrying on business at (insert business address of the dealer).

The *Board of the Securities Exchanges Guarantee Corporation / *delegate of the Board of the

Securities Exchanges Guarantee Corporation under section 890C of the Corporations Act

2001 has considered your claim against the Corporation in respect of (insert description of the

circumstances giving rise to the claim and the loss allegedly suffered by the claimant).

After considering all the available evidence, the Corporation has decided that the claim under *regulation (insert relevant regulation number) / *regulations (insert relevant regulation

numbers) should be *disallowed / *partly disallowed to the extent set out below.

If you are not satisfied with this decision, you may bring proceedings within 3 months after

service of this notice (see section 888H of the Act).

Yours sincerely,

(signature of an officer of the Corporation)

(under the signature add the words ‘for the Securities Exchanges Guarantee Corporation’)

(add the date of signature)

(If the claim has been partly disallowed, insert a heading

‘PARTICULARS OF PARTIAL DISALLOWANCE’

and specify the necessary particulars under it)

* Omit if not applicable

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

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Forms Schedule 2

Form 905

Registration no:

Corporations Act 2001

PARTICULARS OF CESSATION OR CHANGE RELATING TO A PERSON

REGISTERED AS AN AUDITOR UNDER SUBSECTION 1287(1)

Surname First or given names

Residential address

*1. CESSATION

On (insert date) , I ceased to practise as an auditor. I request ASIC to exercise its

discretion under subsection 1290(1) and cancel my registration as an auditor.

*2. CHANGE OF NAME

On (insert date) , I changed my name

from:

to:

*3. CHANGE IN OTHER PARTICULARS *On (insert date) , the full address of the principal place at which I practise was

changed from:

to: (insert full address)

*On (insert date) , the full address of a place at which I practise was changed from:

to: (insert full address)

*On (insert date) , I commenced to practise at: (insert full address)

*On (insert date) , I commenced to practise under a name and style other than my

own at: (insert full address)

*On (insert date) , I ceased to practise at: (insert full address)

**On (insert date) , the *name/*address of a firm of which I am a member/*an

employee was changed from:

to:

Corporations Regulations 2001

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Schedule 2 Forms

*On (insert date) , I became *a member/*an employee of: (insert name and

full address)

*On (insert date) , I ceased to be *a member/*an employee of: (insert name and

full address)

*On (insert date) , a name or style other than my own under which I practise was

changed from:

to:

Dated: (insert date)

(signature of the registered company auditor)

* Omit if not applicable

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms Schedule 2

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Schedule 2 Forms

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms of transfer of Division 3 securities Schedule 2A

Form 1

Schedule 2A—Forms of transfer of Division 3

securities (regulation 7.11.04)

Form 1

DIVISION 3 SECURITY TRANSFER FORM MARKING STAMP

PART 1

Full name of company:

If not fully paid, Description of Division 3 assets: Class: Register:

paid to:

Quantity: [Words] [Figures]

Transfer identification number:

Full name(s) of transferor(s):

The transferor(s) hereby transfer(s) the above Division 3 assets to the transferee(s) named in Part 2 hereof or to

the several transferees named in Part 2 of the Broker’s Transfer Form(s), Split Transfer Form(s) or Consolidated

Transfer Form(s) relating to the assets.

This transfer is executed on the transferor’s behalf by the transferor’s broker, who certifies:

(a) as to the validity of documents; and

(b) that stamp duty, if payable, has been or will be paid.

[Transferor’s broker’s stamp]

Affixed at

(place and date of affixing stamp)

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Schedule 2A Forms of transfer of Division 3 securities

Form 1

PART 2

Full name(s) and address(es) of transferee(s): Transferee’s broker hereby certifies:

(a) that the Division 3 assets set out in Part 1 above,

having been purchased in the ordinary course of

business, are to be registered in the name(s) of

the transferee(s) named in this Part; and

(b) that stamp duty, if payable, has been or will be

paid;

and hereby requests that such entries be made in the

[Transferee’s broker’s stamp]

Date of affixing stamp:

PART 3

Transferee’s broker hereby certifies:

(a) that the Division 3 assets set out in Part 1 above, having been purchased in the ordinary course of business,

are to be registered in the name(s) of the transferee(s) named in the Consolidated Transfer Form relating to

the Division 3 assets; and

(b) that stamp duty, if payable, has been or will be paid;

and hereby requests that such entries be made in the register as are necessary to give effect to this transfer.

[Transferee’s broker’s stamp]

Date of affixing stamp:

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms of transfer of Division 3 securities Schedule 2A

Form 2

BROKER’S TRANSFER FORM MARKING STAMP

PART 1

Full name of company:

Description of Division 3 assets: Class: If not fully paid,

paid to: Register:

Quantity: [Words] [Figures]

Transfer identification number: Transferor’s broker hereby certifies:

(a) that the Security Transfer Form relating to the

Division 3 assets set out above has been or will be Full name(s) of transferor(s):

lodged at the company’s office; and

(b) that stamp duty, if payable, has been or will be paid.

[Transferor’s broker’s stamp]

Affixed at

(place and date of affixing stamp)

PART 2

Full name(s) and address(es) of transferee(s): Transferee’s broker hereby certifies:

(a) that the Division 3 assets set out in Part 1 above,

having been purchased in the ordinary course of

business, are to be registered in the name(s) of the

transferee(s) named in this Part; and

(b) that stamp duty, if payable, has been or will be paid;

and hereby requests that such entries be made in the register

as are necessary to give effect to this transfer.

[Transferee’s broker’s stamp]

Date of affixing stamp:

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Schedule 2A Forms of transfer of Division 3 securities

Form 2

PART 3

Transferee’s broker hereby certifies:

(a) that the Division 3 assets set out in Part 1 above, having been purchased in the ordinary course of business,

are to be registered in the name(s) of the transferee(s) named in the Consolidated Transfer Form relating to

the assets; and

(b) that stamp duty, if payable, has been or will be paid;

and hereby requests that such entries be made in the register as are necessary to give effect to this transfer.

[Transferee’s broker’s stamp]

Date of affixing stamp:

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms of transfer of Division 3 securities Schedule 2A

Form 3

SPLIT TRANSFER FORM MARKING STAMP

PART 1

Full name of company:

Description of Division 3 assets: If not fully paid,

Class: Register: paid to:

Quantity: [Words] [Figures]

The [name of market licensee] hereby certifies that the Transfer identification number:

Security Transfer Form or the Broker’s Transfer Form

relating to the Division 3 assets set out above has been or

will be lodged at the company’s office.

Full name(s) of transferor(s): [Market licensee stamp]

Affixed at

(place and date of affixing stamp)

PART 2

Transferee’s broker hereby certifies:

(a) that the Division 3 assets set out in Part 1 above,

having been purchased in the ordinary course of

business, are to be registered in the name(s) of the

transferee(s) named in this Part; and

Full name(s) and address(es) of transferee(s) (b) that stamp duty, if payable, has been or will be paid;

and hereby requests that such entries be made in the register

as are necessary to give effect to this transfer.

[Transferee’s broker’s stamp]

Date of affixing stamp:

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Schedule 2A Forms of transfer of Division 3 securities

Form 3

PART 3

Transferee’s broker hereby certifies:

(a) that the Division 3 assets set out in Part 1 above, having been purchased in the ordinary course of business,

are to be registered in the name(s) of the transferee(s) named in the Consolidated Transfer Form relating to

the Division 3 assets; and

(b) that stamp duty, if payable, has been or will be paid;

and hereby requests that such entries be made in the register as are necessary to give effect to this transfer.

[Transferee’s broker’s stamp]

Date of affixing stamp:

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms of transfer of Division 3 securities Schedule 2A

Form 4

CONSOLIDATED TRANSFER FORM MARKING STAMP

PART 1

Full name of company:

If not fully paid, Description of Division 3 assets: Class: Register:

paid to:

Quantity: [Words] [Figures]

Transfer identification number:

Transfer Consolidation Number(s):

PART 2

Transferee’s broker hereby certifies:

(a) that the Division 3 assets set out in Part 1 of the Form(s)

whose Transfer Consolidation Number(s) is (or are) set out

in Part 1 above, having been purchased in the ordinary

course of business, are to be registered in the name(s) of the

transferee(s) named in this Part; andFull name(s) and address(es) of

transferee(s): (b) that stamp duty, if payable, has been or will be paid;

and hereby requests that such entries be made in the register as

are necessary to give effect to the transfer(s).

[Transferee’s broker’s stamp]

Date of affixing stamp:

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Schedule 2A Forms of transfer of Division 3 securities

Form 5

SECURITY RENUNCIATION AND TRANSFER FORM MARKING STAMP

PART 1

Full name of company:

Description of Division 3 rights: Register:

Quantity: [Words] [Figures]

Transfer identification number:

Full name(s) of transferor(s):

The transferor(s) hereby renounce(s) and transfer(s) the above Division 3 rights in favour of the transferee(s)

named in Part 2 hereof or to the several transferees named in Part 2 of the Broker’s Renunciation and Transfer

Form(s), Renunciation and Split Transfer Form(s) or Renunciation and Consolidated Transfer Form(s) relating

to the above Division 3 rights.

This transfer and renunciation is executed on the transferor’s behalf by the transferor’s broker, who certifies:

(a) as to the validity of documents; and

(b) that stamp duty, if payable, has been or will be paid.

[Transferor’s broker’s stamp]

Affixed at

(place and date of affixing stamp)

PART 2

Transferee’s broker hereby certifies:

(a) that, the Division 3 rights set out in Part 1 above having been

purchased in the ordinary course of business, the Division 3

assets to which the Division 3 rights relate are to be issued to Full name(s) and address(es) of

the transferee(s) named in this Part; and transferee(s):

(b) that stamp duty, if payable, has been or will be paid;

and hereby requests that the Division 3 assets be issued by the

company to the transferee(s) and such entries be made in the register

as are necessary to give effect to this renunciation and transfer.

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms of transfer of Division 3 securities Schedule 2A

Form 5

[Transferee’s broker’s stamp]

Date of affixing stamp:

PART 3

Transferee’s broker hereby certifies:

(a) that, the Division 3 rights set out in Part 1 above having been purchased in the ordinary course of business,

the Division 3 assets to which the rights relate are to be issued to the transferee(s) named in the

Renunciation and Consolidated Transfer Form relating to the Division 3 rights; and

(b) that stamp duty, if payable, has been or will be paid;

and hereby requests that the Division 3 assets be issued by the company to the transferee(s) and such entries be

made in the register as are necessary to give effect to this renunciation and transfer.

[Transferee’s broker’s stamp]

Date of affixing stamp:

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Schedule 2A Forms of transfer of Division 3 securities

Form 6

BROKER’S RENUNCIATION AND TRANSFER MARKING STAMP

FORM

PART 1

Full name of company:

Description of Division 3 rights: Register:

Quantity: [Words] [Figures]

Transfer identification number:

Transferor’s broker hereby certifies:

(a) that the Security Renunciation and Transfer Form

relating to the Division 3 rights set out above has been

or will be lodged at the company’s office; and

(b) that stamp duty, if payable, has been or will be paid.

Full name(s) and address(es) of transferor(s): [Transferor’s broker’s stamp]

Affixed at

(place and date of affixing stamp)

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms of transfer of Division 3 securities Schedule 2A

Form 6

PART 2

Transferee’s broker hereby certifies:

(a) that, the Division 3 rights set out in Part 1 above

having been purchased in the ordinary course of

business, the Division 3 assets to which the Division 3

rights relate are to be issued to the transferee(s) named

in this Part; and

(b) that stamp duty, if payable, has been or will be paid; Full name(s) and address(es) of transferee(s):

and hereby requests that the Division 3 assets be issued by

the company to the transferee(s) and such entries be made in

the register as are necessary to give effect to this renunciation

and transfer.

[Transferee’s broker’s stamp]

Date of affixing stamp:

PART 3

Transferee’s broker hereby certifies:

(a) that, the Division 3 rights set out in Part 1 above having been purchased in the ordinary course of business,

the Division 3 assets to which the Division 3 rights relate are to be issued to the transferee(s) named in the

Renunciation and Consolidated Transfer Form relating to the rights; and

(b) that stamp duty, if payable, has been or will be paid;

and hereby requests that the Division 3 assets be issued by the company to the transferee(s) and such entries be

made in the register as are necessary to give effect to this renunciation and transfer.

[Transferee’s broker’s stamp]

Date of affixing stamp:

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Schedule 2A Forms of transfer of Division 3 securities

Form 7

RENUNCIATION AND SPLIT TRANSFER FORM MARKING STAMP

PART 1

Full name of company:

Description of Division 3 rights: Register:

Quantity: [Words] [Figures]

Transfer identification number:

The [name of market licensee] hereby certifies that the

Security Renunciation and Transfer Form or the Broker’s

Renunciation and Transfer Form relating to the Division 3

rights set out above has been or will be lodged at the

company’s office.

Full name(s) of transferor(s): [Market licensee stamp]

Affixed at

(place and date of affixing stamp)

PART 2

Transferee’s broker hereby certifies:

(a) that, the Division 3 rights set out in Part 1 above

having been purchased in the ordinary course of

business, the Division 3 assets to which the Division 3

rights relate are to be issued to the transferee(s) named

in this Part; and

(b) that stamp duty, if payable, has been or will be paid; Full name(s) and address(es) of transferee(s):

and hereby requests that the Division 3 assets be issued by

the company to the transferee(s) and such entries be made in

the register as are necessary to give effect to this renunciation

and transfer.

[Transferee’s broker’s stamp]

Date of affixing stamp:

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms of transfer of Division 3 securities Schedule 2A

Form 7

PART 3

Transferee’s broker hereby certifies:

(a) that, the Division 3 rights set out in Part 1 above having been purchased in the ordinary course of business,

the Division 3 assets to which the Division 3 rights relate are to be issued to the transferee(s) named in the

Renunciation and Consolidated Transfer Form relating to the rights; and

(b) that stamp duty, if payable, has been or will be paid;

and hereby requests that the Division 3 assets be issued by the company to the transferee(s) and such entries be

made in the register as are necessary to give effect to this renunciation and transfer.

(Transferee’s broker’s stamp)

Date of affixing stamp:

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Schedule 2A Forms of transfer of Division 3 securities

Form 8

RENUNCIATION AND CONSOLIDATION MARKING STAMP

TRANSFER FORM

PART 1

Full name of company:

Description of Division 3 rights: Register:

Quantity: [Words] [Figures]

Transfer identification number:

Transfer Consolidation Number:

PART 2

Transferee’s broker hereby certifies:

(a) that, the Division 3 rights set out in Part 1 of the

Form(s) whose Transfer Consolidation Number(s) is

(or are) set out in Part 1 above having been purchased

in the ordinary course of business, the Division 3 assets

to which the Division 3 rights relate are to be issued to

the transferee(s) named in this Part; and

Full name(s) and address(es) of transferee(s): (b) that stamp duty, if payable, has been or will be paid;

and hereby requests that the Division 3 assets be issued by

the company to the transferee(s) and such entries be made in

the register as are necessary to give effect to the

renunciation(s) and transfer(s).

[Transferee’s broker’s stamp]

Date of affixing stamp:

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Forms of transfer of Division 3 securities Schedule 2A

Form 9

TRUSTEE TRANSFER FORM MARKING STAMP

PART 1

Full name of company:

If not fully paid, Description of Division 3 assets: Class: Register:

paid to:

Quantity: [Words] [Figures]

Transfer identification number, where

appropriate:

Full name(s) of transferor(s):

PART 2

Transferor hereby certifies that the Division 3 assets set out

in Part 1 above are to be registered in the name(s) of the

transferee(s) named in this Part, being the person(s) for or on

whose behalf the transferor held them, either alone or Full name(s) and address(es) of transferee(s):

together with another person or other persons, in the ordinary

course of business immediately before the execution of this

transfer, and hereby requests that such entries be made in the

I [or We] hereby transfer the above Division 3 assets to the transferee(s) named in Part 2 hereof.

Execution by the transferor(s):

Date of execution:

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

Authorised Version F2019C00362 registered 18/04/2019

Schedule 2A Forms of transfer of Division 3 securities

Form 10

TRUSTEE RENUNCIATION AND TRANSFER FORM

PART 1

Full name of company:

Description of Division 3 rights: Register:

Quantity: [Words] [Figures]

Transfer identification number, where

appropriate:

Full name(s) of transferor(s):

PART 2

Transferor hereby certifies that, the Division 3 rights set out

in Part 1 above having been transferred to the person(s) for

or on whose behalf the transferor held them, either alone or

together with another person or other persons, in the ordinary

Full name(s) and address(es) of transferee(s): course of business immediately before the transfer, the

Division 3 assets to which the Division 3 rights relate are to

be issued to the transferee(s) named in this Part, and hereby

requests that the Division 3 assets be issued by the company

to the transferee(s) and that such entries be made in the

and transfer.

I [or We] hereby renounce and transfer the above Division 3 rights in favour of the transferee(s) named in Part 2

hereof.

Execution by the transferor(s):

Date of execution:

Corporations Regulations 2001

Compilation No. 147 Compilation date: 6/4/19 Registered: 18/4/19

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Corporations Regulations 2001 (consolidated as of April 6, 2019)