How to use OFFERlist Entry

This transaction is provided for use by issuers of Disclosure Documents under the Fundraising provisions contained in Chapter 6D of the Corporations Act 2001.

What are Disclosure Documents?
Why do I have to notify details of the offer on OFFERlist Entry?
What is the "Exposure Period"?
What do some of the terms in the transaction mean?
When should I use OFFERlist Entry
Creating a new Summary
Updating a Summary
How to contact OFFERlist Entry support staff
Privacy
OFFERlist Entry security

What are Disclosure Documents?
The following fundraising disclosure documents for fundraising offers are lodged with ASIC and are listed in the OFFERlist database: Fund raising disclosure documents which are exempt from lodgement do not need to be entered onto OFFERlist Entry.

Why do I have to notify details of the offer on OFFERlist Entry?
To assist with the public exposure of disclosure documents, all fundraising disclosure documents lodged with ASIC are listed in a public database known as OFFERlist.

This transaction allows issuers of disclosure documents to record some basic data about the offer in the OFFERlist database, and to update that data.

The OFFERlist entry transaction allows issuers of offer documents to publish summary data about their offer in OFFERlist to better describe their offer to the market. Where these offers involve securities which are not quoted on a stock exchange information as to where and how the disclosure document may be accessed during the exposure period can also be provided.

Issuers of disclosure documents should read the 'Terms and Conditions' before using OFFERlist Entry.

What is the "Exposure Period"?
The exposure period gives the market and ASIC an opportunity to consider the information in the offer document before applications for subscription or purchase of the securities can be accepted by the issuer.

A person offering non quoted securities (ie not listed on a stock exchange) will not be allowed to accept an application for the issue or transfer of the securities until 7 days after lodgement of the disclosure document with ASIC (s 727(3)). Where disclosures in an offer document are considered to be deficient the market may draw these to the attention of ASIC for consideration. ASIC may extend the seven day exposure period to a maximum of 14 days in these circumstances.

What do some of the terms in the transaction mean ?

Lodging Party Details: The name and telephone number of the person(s) that ASIC should contact in the event that it has any queries with regard to the transaction or the disclosure document once lodged.
Offer Title: This will usually be the name of the particular offer (if any) as it appears on the cover of the disclosure document.
Offer Amounts: This is the minimum and maximum dollar amount sought under a disclosure document. Managed investment offers generally do not specify an amount to be raised as there is no limit to the funds sought. In these cases you may select "Not specified".

When should I use OFFERlist Entry
When you have completed the preparation of an offer document and before you lodge the document with ASIC, you should use OFFERlist Entry to record summary information about your offer for display on OFFERlist. This summary information will be stored and not published on OFFERlist until the disclosure document has been physically lodged with ASIC.

You may also need to use OFFERlist Entry if the details of your offer need to be updated.

Creating a New Summary
This option allows you to enter summary information about your offer, including details as to where and how the disclosure document may be accessed during the exposure period.

You can navigate backwards and forwards using the buttons in the bottom frame. Active buttons are green or red. Inactive buttons are grey. A progress bar in the menu frame will show which steps are complete and which remain to be done.

STEP 1 Click on Create New Summary. You will go through a series of data entry pages culminating in a "finish" button. These pages allow entry of the offer information summary data.
STEP 2 Fill in your contact details, including your name, business address, and phone number. Then click "next".
STEP 3 Type in your ACN and click "next".
STEP 4 Choose the type of disclosure document you are lodging. // #AL3 start .. // It can be either a prospectus, short form prospectus, concise prospectus, It can be either a prospectus, short form prospectus, // #AL3 end .... profile statement or offer information statement. Then click "next".
STEP 5 Is your disclosure document subject to an exposure period? If so, enter the details in here, then click "next".
STEP 6 In the next few screens, you will be given the opportunity to key in summary information about your offer. This includes the offer title; types of securities; offer amounts; where the document is available, both during and after the exposure period; and other details.
STEP 7 You will then be presented with the information you have filled in and asked to submit the details. To do so, simply press "next" and wait while your details are validated and recorded. The offer information summary data is now stored in a private section of the OFFERlist database until ASIC receives your offer document and the attached form.
STEP 8 Once your details are validated and recorded, you will be given instructions on how to print the ASIC form and your copy of the details. Click the "next" button to display the first form. Print out the Offer Information Summary form and attach it to your offer document. Send this with two copies of the offer document to the nearest ASIC regional office. Then click the "next" button again to display the second form. Print out this form and retain it for your records. You will need the PIN and trace number on this form if you need to update your document details at a later date.
STEP 9 Press the "Finish" button to return to the OFFERlist home page.

The information which will be made publicly available through OFFERlist Entry is: Updating a Summary
As your offer information will be actively searched on the OFFERlist database, you should ensure that the information about your offer is up to date. The "Update a Summary" option will allow you to maintain your data and make changes as required.

You will need the PIN which is allocated to the offer document as part of the "Create a Summary" transaction. The PIN is recorded on the issuers copy of the original transaction. If you have lost or cannot remember your PIN, please contact OFFERlist Entry support staff.

How to contact OFFERlist Entry support staff
You can contact the OFFERlist Entry support team at your nearest ASIC regional office.

Privacy
ASIC is subject to the Commonwealth Privacy Act 1988.

OFFERlist Entry security
The OFFERlist Entry facility provides a secure environment by using Secure Sockets Layer (SSL). This establishes a session between ASIC's web server and your browser, and encrypts all traffic between your browser and the ASIC OFFERlist Entry web server. Your browser may display details of the ASIC server certificate before you connect to OFFERlist Entry