New Zealand Legislation: Regulations

Form 1 Initial disclosure notice

rr 3, 5(1), 6A, 6B, 6C, 14, 17

Section 19T(1), Securities Markets Act 1988

• Name of director or officer of public issuer:

• Name of public issuer:

• Name of related body corporate (if applicable):

• Position held in public issuer:

• Number, class, and type of securities:¹

• Nature of relevant interest in securities:²

• Name of registered holder of securities:³

• Signature of director or officer:

• Date of signature:

• or

• Signature of person authorised to sign on behalf of director or officer:

• Date of signature:

• Name and title of authorised person:

Use this form to disclose the relevant interests in securities that a director or officer of a public issuer has in the public issuer or a related body corporate. The disclosure must be made within 5 trading days of—

• (a) the listing of the public issuer; or

• (b) the person’s appointment as a director or officer.

Provide the information required under heading C for each type of security identified under heading B.

This notice must be signed either by the director or officer making the disclosure, or by a person authorised by the director or officer to sign on his or her behalf.⁵

• 1 Regulation 6B.

• 2 Regulation 6A.

• 3 Regulation 6A.

• 4 Regulation 6C.

• 5 Regulation 14.

• Schedule Form 1: inserted, on 9 October 2008, by regulation 17 of the Securities Markets (Disclosure of Relevant Interests by Directors and Officers) Amendment Regulations 2008 (SR 2008/300).

Form 2 Ongoing disclosure notice

rr 3, 5(2), 7, 8, 9, 10, 11, 12, 13, 14, 17

Section 19T(2), Securities Markets Act 1988

• Name of director or officer of public issuer:

• Name of public issuer:

• Name of related body corporate (if applicable):

• Position held in public issuer:

• Number, class, and type of securities:¹

• Nature of relevant interest in those securities:²

• Name of registered holder of those securities:³

• If the relevant interest was acquired—

• Date of acquisition:⁴

• Consideration paid for acquisition:⁵

• If the relevant interest was disposed of—

• Date of disposal:⁶

• Consideration received for disposal:⁷

• Type of transaction

• Describe the arrangement pursuant to which, or the circumstances in which, the acquisition or disposal took place:⁸

• Signature of director or officer:

• Date of signature:

• or

• Signature of person authorised to sign on behalf of director or officer:

• Date of signature:

• Name and title of authorised person:

Use this form to disclose all the acquisitions and disposals by a director of a public issuer of relevant interests in securities of the public issuer or of a related body corporate. The disclosure must normally be made within 5 trading days of the first acquisition or disposal disclosed in this notice.

Provide the information required under headings C and D for each type of security identified under heading B.

This notice must be signed either by the director or officer making the disclosure, or by a person authorised by the director or officer to sign on his or her behalf.¹¹

• 1 Regulation 8.

• 2 Regulation 7.

• 3 Regulation 7.

• 4 Regulation 9.

• 5 Regulation 10.

• 6 Regulation 9.

• 7 Regulation 10.

• 8 Regulation 11.

• 9 Regulation 12(2).

• 10 Regulation 13.

• 11 Regulation 14.

• Schedule Form 2: inserted, on 9 October 2008, by regulation 17 of the Securities Markets (Disclosure of Relevant Interests by Directors and Officers) Amendment Regulations 2008 (SR 2008/300).