1
|
+Class of +securities issued or to be issued | Ordinary shares/CUFS |
||
2
|
Number of +securities issued or to be issued (if known) or maximum number which may be issued | 105,625 ordinary shares/CUFS |
||
3
|
Principal terms of the +securities (eg, if options, exercise price and expiry date; if partly paid +securities, the amount outstanding and due dates for payment; if +convertible securities, the conversion price and dates for conversion) | 105,625 ordinary shares/CUFS issued on exercise of options |
| James Hardie Industries N.V. | ||
| + See chapter 19 for defined terms | Appendix 3B — Page 1 |
4
|
Do the +securities rank equally
in all respects from the date of
allotment with an existing +class
of quoted +securities? |
Yes, rank equally with issued ordinary shares/CUFS |
||
| If the additional securities do
not rank equally, please
state: • the date from
which they
do
• the extent to
which they
participate for the next
dividend, (in the case of a
trust, distribution) or interest
payment
• the extent to
which they
do not rank equally, other than
in relation to the next dividend,
distribution or interest payment |
||||
5
|
Issue price or consideration | Allotment of ordinary shares/CUFS on exercise of options: 66,000 at $7.05 39,625 at $8.40 |
||
6
|
Purpose of the issue (If issued as consideration for the acquisition of assets, clearly identify those assets) |
Exercise of options |
||
7
|
Dates of entering +securities into uncertificated holdings or despatch of certificates | 13 January 2010 |
||
| Number | +Class | ||||||||||
8
|
Number and +class of all +securities quoted on ASX (including the securities in clause 2 if applicable) | 434,506,974 |
Ordinary shares/CUFS |
||||||||
| James Hardie Industries N.V. | ||
| + See chapter 19 for defined terms | Appendix 3B — Page 2 |
| Number | +Class | ||||||||
9
|
Number and +class of all +securities not quoted on ASX (including the securities in clause 2 if applicable) | 14,588,524 4,749,828 No Stock Options or Restricted Stock Units have been cancelled |
Options Restricted Stock Units |
10
|
Dividend policy (in the case of a trust, distribution policy) on the increased capital (interests) | Rank for dividends equally with issued ordinary shares/CUFS |
11
|
Is security holder approval required? | Not applicable |
||
12
|
Is the issue renounceable or non-renounceable? | Not applicable |
||
13
|
Ratio in which the +securities will be offered | Not applicable |
||
14
|
+Class of +securities to which the offer relates | Not applicable |
||
15
|
+Record date to determine entitlements | Not applicable |
||
16
|
Will holdings on different registers (or subregisters) be aggregated for calculating entitlements? | Not applicable |
||
17
|
Policy for deciding entitlements in relation to fractions | Not applicable |
| James Hardie Industries N.V. | ||
| + See chapter 19 for defined terms | Appendix 3B — Page 3 |
18
|
Names of countries in which the entity has
+security holders who will not be sent new
issue documents Note: Security holders must be told how their entitlements are to be dealt with. Cross reference: rule 7.7. |
Not applicable |
||
19
|
Closing date for receipt of acceptances or renunciations | Not applicable |
||
20
|
Names of any underwriters | Not applicable | ||
21
|
Amount of any underwriting fee or commission | Not applicable | ||
22
|
Names of any brokers to the issue | Not applicable | ||
23
|
Fee or commission payable to the broker to the issue | Not applicable |
||
24
|
Amount of any handling fee payable to brokers who lodge acceptances or renunciations on behalf of +security holders | Not applicable |
||
25
|
If the issue is contingent on +security holders’ approval, the date of the meeting | Not applicable |
||
26
|
Date entitlement and acceptance form and prospectus or Product Disclosure Statement will be sent to persons entitled | Not applicable |
||
27
|
If the entity has issued options, and the terms entitle option holders to participate on exercise, the date on which notices will be sent to option holders | Not applicable |
||
28
|
Date rights trading will begin (if applicable) | Not applicable |
| + See chapter 19 for defined terms | Appendix 3B — Page 4 |
29
|
Date rights trading will end (if applicable) | Not applicable | ||
30
|
How do +security holders sell their entitlements in full through a broker? | Not applicable |
||
31
|
How do +security holders sell part of their entitlements through a broker and accept for the balance? | Not applicable |
||
32
|
How do +security holders dispose of their entitlements (except by sale through a broker)? | Not applicable |
||
33
|
+Despatch date | Not applicable |
| 34 | Type of securities (tick one) |
|||
(a)
|
o | Securities described in Part 1 | ||
(b)
|
o | All other securities | ||
| Example: restricted securities at the end of the escrowed period, partly paid securities that become fully paid, employee incentive share securities when restriction ends, securities issued on expiry or conversion of convertible securities | ||||
35
|
o | If the +securities are +equity securities, the names of the 20 largest holders of the additional +securities, and the number and percentage of additional +securities held by those holders | ||
36
|
o | If the +securities are +equity securities, a distribution schedule of
the additional +securities setting out the number of holders in the
categories 1 - 1,000 1,001 - 5,000 5,001 - 10,000 10,001 - 100,000 100,001 and over |
| + See chapter 19 for defined terms | Appendix 3B — Page 5 |
37
|
o | A copy of any trust deed for the additional +securities |
38
|
Number of securities for which +quotation is sought | ||||||||
39
|
Class of +securities for which quotation is sought | ||||||||
40
|
Do the +securities rank equally in all
respects from the date of allotment with an
existing +class of quoted +securities?
If the additional securities do not rank
equally, please state: |
||||||||
• the date from which they do |
|||||||||
• the extent to which they participate
for the next dividend, (in the case of a
trust, distribution) or interest payment |
|||||||||
• the extent to which they do not rank
equally, other than in relation to the next
dividend, distribution or interest payment |
|||||||||
41
|
Reason for request for quotation now Example: In the case of restricted securities, end of restriction period (if issued upon conversion of another security, clearly identify that other security) |
||||||||
| Number | +Class | ||||||||
42
|
Number and +class of all +securities quoted on ASX (including the securities in clause 38) | ||||||||
| + See chapter 19 for defined terms | Appendix 3B — Page 6 |
| 1 | +Quotation of our additional +securities is in ASX’s absolute discretion. ASX may quote the +securities on any conditions it decides. |
| 2 | We warrant the following to ASX. |
| • | The issue of the +securities to be quoted complies with the law and is not for an illegal purpose. | ||
| • | There is no reason why those +securities should not be granted +quotation. | ||
| • | An offer of the +securities for sale within 12 months after their issue will not require disclosure under section 707(3) or section 1012C(6) of the Corporations Act. | ||
| Note: An entity may need to obtain appropriate warranties from subscribers for the securities in order to be able to give this warranty | |||
| • | Section 724 or section 1016E of the Corporations Act does not apply to any applications received by us in relation to any +securities to be quoted and that no-one has any right to return any +securities to be quoted under sections 737, 738 or 1016F of the Corporations Act at the time that we request that the +securities be quoted. | ||
| • | If we are a trust, we warrant that no person has the right to return the +securities to be quoted under section 1019B of the Corporations Act at the time that we request that the +securities be quoted. |
| 3 | We will indemnify ASX to the fullest extent permitted by law in respect of any claim, action or expense arising from or connected with any breach of the warranties in this agreement. |
| 4 | We give ASX the information and documents required by this form. If any information or document not available now, will give it to ASX before +quotation of the +securities begins. We acknowledge that ASX is relying on the information and documents. We warrant that they are (will be) true and complete. |
Sign here:
|
/s/ Robert E Cox | Date: 13 January 2010 | ||
| (Director/Company secretary) | ||||
Print name:
|
Robert E Cox |
| + See chapter 19 for defined terms | Appendix 3B — Page 7 |