28th May 2002
ASX Appendix 3B - Application for Quotation of Additional Securities
Please find following a copy of a notice to the Australian Stock Exchange in accordance with Appendix 3B of it's listing rules for the information of your local market.
Karen Wood - Company Secretary
Rule 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.
Introduced 1/7/96. Origin: Appendix 5. Amended 1/7/98, 1/9/99, 1/7/2000.
Name of entity |
BHP BILLITON LIMITED |
ACN, ARBN or ARSN |
004 028 077 |
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 to be issued |
Fully Paid Ordinary Shares |
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2 |
Number of +securities issued or to be issued (if known) or maximum number which may be issued |
16,123,828 (excluding shares bought back & cancelled) OR 11,989,206 (net of buyback cancellations) |
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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) |
Not applicable
|
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4 |
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 additional securities rank equally in all respects with existing quoted securities from the date of allotment or, in the case of Executive Share Scheme shares, from the date of payment of the final call amount. |
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5 |
Issue price or consideration |
80,000 @ $10.65 a share paid to sixty seven cents. 55,000 @ $ 8.41 a share paid to sixty seven cents. 68,500 @ $ 9.85 a share paid to sixty seven cents. 105,000 @ $10.98 a share paid to sixty seven cents. 311,500 @ $13.58 a share paid to sixty seven cents. 138,000 @ $16.68 a share paid to sixty seven cents. 35,000 @ $19.61 a share paid to sixty seven cents. 80,000 @ $18.23 a share paid to sixty seven cents. 135,000 @ $16.22 a share paid to sixty seven cents. 330,000 @ $15.99 a share paid to sixty seven cents. 65,000 @ $13.52 a share paid to seventy one cents. 204,500 @ $18.51 a share 72,500 @ $19.42 a share 30,000 @ $18.52 a share 344,500 @ $15.55 a share 241,000 @ $15.56 a share 200,000 @ $18.96 a share 2,078,584 @ $15.32 a share 125,500 @ $18.97 a share 1,377,764 @ $15.33 a share 54,500 @ $14.73 a share 62,500 @ $14.74 a share 547,000 @ $15.72 a share 2,000 @ $17.05 a share 782,500 @ $15.73 a share 25,000 @ $17.06 a share 316,000 @ $15.55 a share 1,410,750 @ $15.56 a share 6,846,230 @ $ 1.00 a share
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6 |
Purpose of the issue (If issued as consideration for the acquisition of assets, clearly identify those assets)
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|
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7 |
Dates of entering +securities into uncertificated holdings or despatch of certificates
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Number |
+ Class |
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8 |
Number and +class of all +securities quoted on ASX (including the securities in clause 2 if applicable) |
3,714,129,241 |
Ordinary shares fully paid |
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Number |
+ Class |
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9 |
Number and +class of all +securities not quoted on ASX (including the securities in clause 2 if applicable) |
42,236,802 |
Employee Share Plan Options
Ordinary shares paid to 67 cents Performance Share Plan Performance Rights |
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10 |
Dividend policy (in the case of a trust, distribution policy) on the increased capital (interests) |
The additional securities will participate fully in future dividends |
Part 2 - Bonus issue or pro rata issue
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 |
18 |
Names of countries in which the entity has +security holders who will not be sent new issue documentsNote: 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 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 |
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 |
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) |
ü |
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
(If the additional securities do not form a new class, go to 43)
Tick to indicate you are providing the information or documents |
35 |
N/A |
The names of the 20 largest holders of the additional +securities, and the number and percentage of additional +securities held by those holders |
36 |
N/A |
A distribution schedule of the additional +securities setting out the number of holders in the categories1 - 1,000 1,001 - 5,000 5,001 - 10,000 10,001 - 100,000 100,001 and over |
37 |
N/A |
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 +quotation is sought |
Not Applicable |
39 |
Class of +securities for which quotation is sought |
Not Applicable |
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:
|
Not Applicable |
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) |
Not Applicable |
Number |
+ Class |
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42 |
Number and +class of all +securities quoted on ASX (including the securities in clause 38) |
Not Applicable |
(now go to 43)
All entities
Fees
43 |
Payment method (tick one) |
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Cheque attached |
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Electronic payment made Note: Payment may be made electronically if Appendix 3B is given to ASX electronically at the same time. |
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Periodic payment as agreed with the home branch has been arranged Note: Arrangements can be made for employee incentive schemes that involve frequent issues of securities. |
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ü |
To be invoiced |
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 to ASX that the issue of the
+securities to be quoted complies with the law and is not for an illegal purpose, and that there is no reason why those +securities should not be granted +quotation. We warrant to ASX that an offer of the +securities for sale within 12 months after their issue will not require disclosure under section 707(3) of the Corporations Law.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: ............................
(Director/Deputy Company Secretary)
Print name: .........................................................
BHP Billiton Limited ABN 49 004 028 077 Registered Office: 600 Bourke Street Melbourne Victoria 3000 Telephone +61 3 9609 3333 Facsimile +61 3 9609 3015 |
BHP Billiton Plc Registration number 3196209 Registered Office: 1-3 Strand London WC2N 5HA United Kingdom Telephone +44 20 7747 3800 Facsimile +44 20 7747 3900 |
The BHP Billiton Group is headquartered in Australia