Forms
The following forms are made available to entities for the purposes of completing the form and giving it to ASX as required by the ASX Listing Rules.
ASX Appendix Forms
| Appendix / event | Type of form* |
|---|---|
| Appendix 1A - Application for Admission to the ASX Official List (ASX Listing) | Word form - available in 'Applications for listing' here |
| Appendix 1B - Application for Admission to the ASX Official List (ASX Debt Listing) | Word form - available in 'Applications for listing' here |
| Appendix 1C - Application for Admission to the ASX Official List - (ASX Foreign Exempt Listing) | Word form - available in 'Applications for listing' here |
| Appendix 2A - Application for quotation of +securities | Online form - emergency word version (updated 5 February 2024) |
| Appendix 3A.1 - Notification of +dividend / distribution | Online form - emergency word version |
| Appendix 3A.2 - Notification of interest payment & interest rate change | Online form - emergency word version |
| Appendix 3A.3 - Notification of Security Consolidation or Split | Online form - emergency word version |
| Appendix 3A.4 - Notification of cash return of capital | Online form - emergency word version |
| Appendix 3A.5 - Notification of return of capital by way of in specie distribution of +securities in another entity | Word form (updated 5 February 2024) |
| Appendix 3A.6 - Notification of call - no liability company; or call/instalment - entities except no liability companies | Word form |
| Appendix 3B - Proposed issue of securities | Online form - emergency word version (updated 5 February 2024) |
| Appendix 3C - Notification of buy-back | Online form - emergency word version (only use for new buy-backs announced after 5 June 2021) |
| Appendix 3C - Announcement of buy-back | Online form - emergency word version (refer transition arrangements - not to be used post 5 June 2021) |
| Appendix 3D - Changes relating to buy-back | Word form (refer transition arrangements - to be used only for buy-backs announced prior to 5 June 2021) |
| Appendix 3E - Daily share buy-back notice | Word form (refer transition arrangements - to be used only for buy-backs announced prior to 5 June 2021) |
| Appendix 3F - Final share buy-back notice | Word form (refer transition arrangements - to be used only for buy-backs announced prior to 5 June 2021) |
| Appendix 3G - Notification of issue, conversion or payment up of equity +securities | Online form - emergency word version (updated 5 February 2024) |
| Appendix 3H - Notification of cessation of securities | Online form - emergency word version (updated 5 February 2024) |
| Appendix 3X - Initial Director's Interest Notice | Word form |
| Appendix 3Y - Change of Director's Interest Notice | Word form |
| Appendix 3Z - Final Director's Interest Notice | Word form |
| Appendix 4A - Statement of CDIs on Issue | Online form - emergency word version (updated 5 February 2024) |
| Appendix 4C - Quarterly report for entities admitted on the basis of commitments | Word form |
| Appendix 4G - Key to Disclosures - Corporate Governance Council Principles and Recommendations (fourth edition) | Word form |
| Appendix 5B - Mining exploration entity quarterly report | Word form |
*Where ASX makes available on ASX Online an online form (Create Online Forms page), the online form must be used. Refer ASX listing rule 15.3(b). This is subject to any transition or exception arrangements.
Sections 14 and 15 of Guidance Note 20 - ASX Online provide details of the circumstances in which the emergency word version of an online form may be used.
ASIC Forms
Below is a list of ASIC Forms that can be lodged with ASX. Please refer to the ASIC website to find the latest version of the forms - https://asic.gov.au/regulatory-resources/forms/
| ASIC Form | Description |
|---|---|
| 603 | Notice of initial substantial holder |
| 604 | Notice of change of interests of substantial holder |
| 605 | Notice of ceasing to be a substantial holder |
| 6021 | Notice of compulsory acquisition following takeover bid |
| 6022 | Notice of right of buy out to remaining holder of securities following a takeover bid |
| 6023 | Notice of right of buy out to holders of convertible securities following a takeover bid |
| 6024 | Notice of compulsory acquisition |
| 6025 | Notice of right of buy out to holders of convertible securities by 100% holder |