Announcement PDF Emu NL Expiry of Unlisted Options and Appendix 3Y’s 4 March 2020 EMU NL (EMU or Company) advises that the following unlisted options in the Company have not been exercised and have lapsed: Number of Options To Acquire Exercise Price Expiry Date 6,000,000 Partly paid ordinary shares (ASX:EMUCA) $0.03 28/2/2020 The relevant Appendix 3Y’s showing the lapse of options are attached in respect of each director, where relevant. The Appendix 3Y’s include notification of the issue of options as approved at the Company Annual General Meeting held on 29 November 2019 (AGM). Notification of the issue of these director options has been made late due to administrative staff being on annual leave in the UK, USA and Asia over the Xmas/New Year period resulting in the unintended oversight in lodgement of the required forms. The Company and its officers are cognisant and aware of the disclosure obligations relating to market disclosures on director related security movements. The issue of option securities to the directors was the subject of Resolutions 8 to 11 (inclusive) at the AGM – voting results were advised 2 December 2019 and the resulting Appendix 3B was lodged with ASX on 27 December 2019. The Company will ensure that all future disclosures are made in accordance with the disclosure period noted in ASX Listing Rule 3.19A. Contact Details: Chief Executive Officer T +61 8 9226 4266 E info@emunl.com.au WWW.EMUNL.COM.AU • ASX: EMU Page 1 of 1 Appendix 3Y Change of Director’s Interest Notice Rule 3.19A.2 Appendix 3Y Change of Director’s Interest Notice 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 30/09/01 Amended 01/01/11 Name of entity: EMU NL ABN: 50 127 291 927 We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act. Name of Director Peter Sisley Thomas Date of last notice 8 April 2019 Part 1 - Change of director’s relevant interests in securities In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part. Direct or indirect interest (i) (ii) (iii) Direct Indirect Indirect Nature of indirect interest (including registered holder) (ii) Sole officer of Super Metals Corporation Pty Ltd Sole officer of Northern Griffin Pty Ltd Note: Provide details of the circumstances giving rise to the relevant interest. (iii) Date of changes 27 December 2019 – acquisition of options 28 February 2020 – lapse of options No. of securities held prior to change (i) Class Number acquired + See chapter 19 for defined terms. Appendix 3Y Page 1 237,501 fully paid ordinary shares 2,188,540 contributing shares (paid as to $0.03, unpaid as to $0.03) (ii) 33,589 fully paid ordinary shares 33,589 contributing shares (paid as to $0.03, unpaid as to $0.03) (iii) 7,511,877 fully paid ordinary shares 7,198,522 contributing shares (paid as to $0.03, unpaid as to $0.03) 2,000,000 options to acquire partly paid ordinary shares, exercisable at $0.03 each, on or before 28.2.2020 Unlisted Options 3,000,000 options to acquire partly paid ordinary shares, exercisable at $0.03 each, on or before 21.12.2021 Appendix 3Y Change of Director’s Interest Notice Number disposed – lapsed as unexercised 2,000,000 options to acquire partly paid ordinary shares, exercisable at $0.03 each, on or before 28.2.2020 Value/Consideration Issued as part consideration for directorial services rendered Note: If consideration is non-cash, provide details and estimated valuation No. of securities held after change (i) (ii) (iii) Nature of change Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back 237,501 fully paid ordinary shares 2,188,540 contributing shares (paid as to $0.03, unpaid as to $0.03) 33,589 fully paid ordinary shares 33,589 contributing shares (paid as to $0.03, unpaid as to $0.03) 7,511,877 fully paid ordinary shares 7,198,522 contributing shares (paid as to $0.03, unpaid as to $0.03) 3,000,000 options to acquire partly paid ordinary shares, exercisable at $0.03 each, on or before 21.12.2021 Shareholder approved issue Lapse of unexercised unlisted options Part 2 – Change of director’s interests in contracts Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part. Detail of contract N/A Nature of interest Name of registered holder (if issued securities) N/A Date of change No. and class of securities to which interest related prior to change N/A N/A N/A Note: Details are only required for a contract in relation to which the interest has changed Interest acquired Interest disposed Value/Consideration N/A N/A N/A Note: If consideration is non-cash, provide details and an estimated valuation Interest after change N/A + See chapter 19 for defined terms. Appendix 3Y Page 2 Printed : 4/3/2020 Appendix 3Y Change of Director’s Interest Notice Part 3 – +Closed period Were the interests in the securities or contracts detailed N/A above traded during a +closed period where prior written clearance was required? If so, was prior written clearance provided to allow the trade N/A to proceed during this period? If prior written clearance was provided, on what date was this provided? + See chapter 19 for defined terms. Appendix 3Y Page 3 N/A Appendix 3Y Change of Director’s Interest Notice Rule 3.19A.2 Appendix 3Y Change of Director’s Interest Notice 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 30/09/01 Amended 01/01/11 Name of entity: EMU NL ABN: 50 127 291 927 We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act. Name of Director: Gavin Alan Rutherford Date of last notice: 25 October 2019 Part 1 - Change of director’s relevant interests in securities In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part. Direct or indirect interest (i) (ii) Direct Indirect Nature of indirect interest (including registered holder) (ii) GAR Rutherford & ML Rutherford <The Gavelle Super Fund A/c> Note: Provide details of the circumstances giving rise to the relevant interest. Date of changes 27 December 2019 – acquisition of options 28 February 2020 – lapse of options No. of securities held prior to change (i) (ii) Class + See chapter 19 for defined terms. Appendix 3Y | Page 1 570,884 contributing shares (paid as to $0.03, unpaid as to $0.03) 1,000,000 options to acquire partly paid ordinary shares, exercisable at $0.03 each, on or before 28.2.2020 3,111,365 fully paid ordinary shares 1,313,397 contributing shares (paid as to $0.03, unpaid as to $0.03) 1,000,000 options to acquire partly paid ordinary shares, exercisable at $0.03 each, on or before 28.2.2020 312,500 options to acquire partly paid ordinary shares, exercisable at $0.02 each, on or before 21.12.2020 Unlisted Options Appendix 3Y Change of Director’s Interest Notice Number acquired 3,000,000 options to acquire partly paid ordinary shares, exercisable at $0.03 each, on or before 21.12.2021 Number disposed – lapsed as unexercised 2,000,000 options to acquire partly paid ordinary shares, exercisable at $0.03 each, on or before 28.2.2020 Value/Consideration Issued as part consideration for directorial services rendered Note: If consideration is non-cash, provide details and estimated valuation No. of securities held after change (i) (ii) Nature of change Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back 570,884 contributing shares (paid as to $0.03, unpaid as to $0.03) 1,500,000 options to acquire partly paid ordinary shares, exercisable at $0.03 each, on or before 21.12.2021 3,111,365 fully paid ordinary shares 1,313,397 contributing shares (paid as to $0.03, unpaid as to $0.03) 312,500 options to acquire partly paid ordinary shares, exercisable at $0.02 each, on or before 21.12.2020 1,500,000 options to acquire partly paid ordinary shares, exercisable at $0.03 each, on or before 21.12.2021 Shareholder approved issue Lapse of unexercised unlisted options Part 2 – Change of director’s interests in contracts Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part. Detail of contract N/A Nature of interest N/A Name of registered holder (if issued securities) N/A Date of change N/A No. and class of securities to which interest related prior to change N/A Note: Details are only required for a contract in relation to which the interest has changed Interest acquired N/A Interest disposed N/A Value/Consideration N/A Note: If consideration is non-cash, provide details and an estimated valuation Interest after change N/A + See chapter 19 for defined terms. Appendix 3Y | Page 2 Printed : 4/3/2020 Appendix 3Y Change of Director’s Interest Notice Part 3 – +Closed period Were the interests in the securities or contracts detailed N/A above traded during a +closed period where prior written clearance was required? If so, was prior written clearance provided to allow the trade N/A to proceed during this period? If prior written clearance was provided, on what date was this provided? + See chapter 19 for defined terms. Appendix 3Y | Page 3 N/A Appendix 3Y Change of Director’s Interest Notice Rule 3.19A.2 Appendix 3Y Change of Director’s Interest Notice 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 30/09/01 Amended 01/01/11 Name of entity: EMU NL ABN: 50 127 291 927 We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act. Name of Director Terence Ernest Streeter Date of last notice 8 April 2019 Part 1 - Change of director’s relevant interests in securities In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part. Direct or indirect interest Indirect Nature of indirect interest (including registered holder) Trustee for Keeka Family A/c Note: Provide details of the circumstances giving rise to the relevant interest. Date of change 27 December 2019 – acquisition of options 28 February 2020 – lapse of options No. of securities held prior to change 2,000,000 options to acquire partly paid ordinary shares, exercisable at $0.03 each, on or before 28.2.2020 Class Unlisted Options Number acquired 3,000,000 options to acquire partly paid ordinary shares, exercisable at $0.03 each, on or before 21.12.2021 Number disposed – lapsed as unexercised 2,000,000 options to acquire partly paid ordinary shares, exercisable at $0.03 each, on or before 28.2.2020 Value/Consideration Issued as part consideration for directorial services rendered Note: If consideration is non-cash, provide details and estimated valuation No. of securities held after change + See chapter 19 for defined terms. Appendix 3Y Page 1 3,000,000 options to acquire partly paid ordinary shares, exercisable at $0.03 each, on or before 21.12.2021 Appendix 3Y Change of Director’s Interest Notice Nature of change Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back Shareholder approved issue Lapse of unexercised unlisted options Part 2 – Change of director’s interests in contracts Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part. Detail of contract N/A Nature of interest Name of registered holder (if issued securities) N/A Date of change No. and class of securities to which interest related prior to change N/A N/A N/A Note: Details are only required for a contract in relation to which the interest has changed Interest acquired Interest disposed Value/Consideration N/A N/A N/A Note: If consideration is non-cash, provide details and an estimated valuation Interest after change N/A Part 3 – +Closed period Were the interests in the securities or contracts detailed N/A above traded during a +closed period where prior written clearance was required? If so, was prior written clearance provided to allow the trade N/A to proceed during this period? If prior written clearance was provided, on what date was this provided? N/A + See chapter 19 for defined terms. Appendix 3Y Page 2 Printed : 4/3/2020 Appendix 3Y Change of Director’s Interest Notice Rule 3.19A.2 Appendix 3Y Change of Director’s Interest Notice 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 30/09/01 Amended 01/01/11 Name of entity: EMU NL ABN: 50 127 291 927 We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act. Name of Director Tim Sandeman Staermose Date of last notice 24 October 2019 Part 1 - Change of director’s relevant interests in securities In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part. Direct or indirect interest Direct and Indirect Nature of indirect interest (including registered holder) Wonfair Investments Pty Ltd Note: Provide details of the circumstances giving rise to the relevant interest. Date of change 27 December 2019 No. of securities held prior to change Direct: Fully paid ordinary shares – 64,205 Options to acquire fully paid ordinary shares (expiry 15.1.2021, exercisable at $0.20 each) – 5,208,334 Indirect: Fully paid ordinary shares – 10,563,182 Partly paid ordinary shares - 750,000 Options to acquire partly paid ordinary shares (expiry 21.12.2020, exercisable at $0.02 each) – 3,169,839 Options to acquire fully paid ordinary shares (expiry 16.1.2021, exercisable at $0.20 each) – 937,500 Class Unlisted Options Number acquired 3,000,000 options to acquire partly paid ordinary shares, exercisable at $0.03 each, on or before 21.12.2021 N/A Number disposed + See chapter 19 for defined terms. Appendix 3Y Page 1 Appendix 3Y Change of Director’s Interest Notice Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation Issued as part consideration for directorial services rendered No. of securities held after change Direct: Fully paid ordinary shares – 64,205 Options to acquire fully paid ordinary shares (expiry 15.1.2021, exercisable at $0.20 each) – 5,208,334 Options to acquire partly paid ordinary shares, exercisable at $0.03 each, on or before 21.12.2021 – 3,000,000 Indirect: Fully paid ordinary shares – 10,563,182 Partly paid ordinary shares - 750,000 Options to acquire partly paid ordinary shares (expiry 21.12.2020, exercisable at $0.02 each) – 3,169,839 Options to acquire fully paid ordinary shares (expiry 16.1.2021, exercisable at $0.20 each) – 937,500 Nature of change Shareholder approved issue Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back Part 2 – Change of director’s interests in contracts Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part. Detail of contract N/A Nature of interest Name of registered holder (if issued securities) N/A Date of change No. and class of securities to which interest related prior to change N/A N/A N/A Note: Details are only required for a contract in relation to which the interest has changed Interest acquired Interest disposed Value/Consideration N/A N/A N/A Note: If consideration is non-cash, provide details and an estimated valuation Interest after change N/A Part 3 – +Closed period Were the interests in the securities or contracts detailed N/A above traded during a +closed period where prior written clearance was required? If so, was prior written clearance provided to allow the trade N/A to proceed during this period? If prior written clearance was provided, on what date was this provided? N/A + See chapter 19 for defined terms. Appendix 3Y Page 2 Printed : 4/3/2020