Nat.Australia Bank (40HT) - Appendix 3B RNS Number : 9615Q National Australia Bank Ld 13 November 2012 reRule 2.7, 3.10.3, 3.10.4, 3.10.5 Appendix 3B New issue announcement, application for quotation of additional securities and agreement Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX's property and may be made public. Name of entity NATIONAL AUSTRALIA BANK LIMITED ACN, ARBN or ARSN ABN 12 004 044 937 We the (entity) give ASX the following information. Part 1 - All issues You must complete the relevant sections (attach sheets if there is not enough space). 1 Class of securities issued or Ordinary shares, fully paid to be issued 2 Number of securities issued or to be Issued (if known) or maximum number which may be 3,584,612 Ordinary shares, fully paid to be issued issued 3. Principal terms of the · 139 Shares issued pursuant to securities (eg, if options, the Executive Performance exercise price and expiry Rights Plan (Expiry Date: date; if partly paid 16/06/2013) Securities, the amount outstanding and due dates. For payment; if convertible securities, the conversion price and dates of conversion) · 8,267 Shares issued pursuant to the Staff Ownership Plan (UK SIP) · 3,574,006 Shares issued pursuant to the Staff Ownership Plan · 2,200 Shares issued pursuant to Executive Staff Share Scheme Total 3,584,612 4 Do the securities rank All newly issued shares will rank pari passu with equally in all existing ordinary shares, fully paid. respects from the date of allotment with an existing class of quoted securities? Not applicable If the additional securities do not rank equally, please state: · the date from which they do · the extent to which the 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 139 N/A Shares issued NIL consideration pursuant to the Executive Performance Rights Plan NZ (Expiry Date:16/06/2013) 8,267 $25.49 Shares issued $210,725.83 pursuant to the Staff Ownership Plan (UK SIP) 880 $10.83 Shares issued $9,530.40 pursuant to 1995 Executive Staff Share Scheme 1,320 $11.03 Shares issued $14,559,60 pursuant to 1996 Executive Staff Share Scheme 3,574,006 $25.40 Shares issued $90,779,752,40 pursuant to the Staff Ownership Plan 3,584,612 $91,014,568,23 TOTAL 6 Purpose of the issue Ordinary shares issued are in accordance with the terms and conditions of the National Australia (if issued as Bank's: consideration for the § Executive Performance Rights Plan acquisition of § Executive Staff Share Scheme assets, clearly identify § Staff Share Ownership Plan those assets) 7 Dates of entering Allotted progressively from 13 September 2012 to 9 securities into November 2012 (inclusive). uncertificated holdings or despatch of certificates 8 Number and +class of all Number +Class securities 2,300,821,750 Ordinary shares, fully paid quoted on ASX (including the securities in clause 2 if applicable) 20,000,000 National Income Securities (stapled debt/preference shares) 11,725,140 NAB Subordinated Notes 9 Number and +class of all Number +Class securities not quoted on ASX 102,974 Ordinary shares, partly (including the securities in paid and not quoted clause 2 if applicable) 1,934,271 Un-exercised Options 3,212,912 Un-exercised Performance Rights 6,000 Denominations of US$100,000 of Capital Notes 1,000 2009 Stapled Securities 10 Dividend policy (in the case of a Not Applicable trust, distribution policy) on the increased capital (interests) Part 2 - Bonus issue or pro rata issue 11 Is security holder approval required?) Not Applicable 12 Is the issue renounceable or non- Not Applicable renounceable? 13 Ratio in which the securities will be Not Applicable Offered 14 Class of securities to which the offer Not Applicable Relates 15 Record dated to determine entitlements Not Applicable 16 Will holdings on different registers (or Not Applicable Subregisters) be aggregated for Calculating entitlements? 17 Policy for deciding entitlements in relation to fractions Not Applicable 18 Names of countries in which the entity has security holders Not Applicable who will not be sent new issue documents Note: Security holders must be told how their entitlements are to be dealt with. 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 Not Applicable Commission 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 Not Applicable acceptances or renunciations on behalf of security holders 25 If the issue is contingent on security Not Applicable holders' approval, the date of the meeting 26 Date entitlement and acceptance form and prospectus or Not Applicable Product Disclosure Statement will be sent to persons entitled 27 If the entity has issued options, and the terms entitle Not Applicable option holders to participate on exercise, the date on which notices will be sent to option holders 28 Date rights trading will begin (if Not Applicable applicable) 29 Date rights trading will end (if applicable) Not Applicable 30 How do security holders sell their Not Applicable Entitlements in full through a broker? 31 How do security holders sell part of their Entitlements Not Applicable through a broker and accept for the balance? 32 How do security holders dispose of their Entitlements Not Applicable (except by sale through a broker)? 33 Dispatch date Not Applicable Part 3 - Quotation of securities You need only complete this section if you are applying for quotation of securities 34 Type of securities (tick one) (a) a Securities described in Part 1 (b) 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. Entities that have ticked box 34(a) Additional securities forming a new class of securities Tick to indicate you are providing the information or documents 35 The names of the 20 largest holders of the additional securities, and the number and Percentage of additional +securities held by those holders 36 A distribution schedule of the additional securities setting out the number of holders in the Categories 1 - 1,000 1,001 - 5,000 5,000 - 10,000 10,001 - 100,000 100,001 and over 35 A copy of any trust deed for the additional securities (now go to 43) Entities that have ticked box 34(b) 38 Number of securities for which Not Applicable quotation is sought 39 Class of securities for which quotation is sought Not Applicable 40 Do the securities rank equally in all Not Applicable 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 Not Applicable Example: In the case of restricted securities, end of restriction period (if issued upon conversion of another security, clearly identify that other security) 42 Number and class of all securities Number +Class quoted on ASX (including the securities Not Applicable in clause 38) Quotation agreement 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 of the Corporations Act. · 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 require the securities to be quoted. · If confirmation is required under section 1017F of the Corporations Act in relation to the securities to be quoted, it has been provided at the time that we request 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: ……………………………………. Date: 13/11/2012 Nathan Butler Company Secretary This information is provided by RNS The company news service from the London Stock Exchange END MSCEALFDFDEAFEF -0- Nov/13/2012 07:00 GMT
Nat.Australia Bank 40HT Appendix 3B
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