HOT LINE for Help +613) 9629 2288
Procedure for negotiated Unquoted Restricted Securities dealings
1. Retail Investors (non exempt) contact your Stock Broker or Licensed Financial Adviser to order.
2. Wholesale Investors (exempt) or Semi Institutional Investors use below forms.
3. There are 2 Forms, either a) full Title/Ownership or b) Reservation of a parcel of securities.
 
HOW to BUY (or BID)

Outright Purchase a) For Securities Contract (binding, full Purchase)   GoTo  SME Securities Application Form Download Form in Adobe Reader Print, Sign and Fax after you received your copy of  SME Offer & Disclosure Document. attach cheque or payment details you negotiated with the offering Company or Seller of the securities.

to BID b) For BUY Reservation Form (non binding) GoTo BUY/SELL Reservation Form Download Form in Adobe Reader Print, Sign and Fax with Request for SME Offer & Disclosure Document. DO NOT attach cheque, send NO money

HOW to SELL (or OFFER)

Binding Tranfer (sold) a) Use OTC Transfer Form (Title/Ownership transfer) Negotiate with BUYER. Sign, Fax, Mail,  OTC Transfer Form to Secur-O-Clear. Send photocopy proof of payment details. Send old Certificate to Secur-O-Clear. Domestic or Foreign Buyers need to use different forms.

to Offer for Sale b) For SELL Reservation Form (non binding) GoTo BUY/SELL Reservation Form Download Form in Adobe Reader Print, Sign and Fax with Request for SME Offer & Disclosure Document. Mail/Fax copy of your Securities (share) Certificate to Secur-O-Clear

Alway give Secur-O-Clear pre-notice of any intended actions, transfers, sales OR Call first.
For International or Australian Domestic users;
Send E-Mail, or Post, Fax to [613] 9629 2233 with your Request 24 hours/7 days
to Secur-O-Clear, 12 Market St, Melbourne, Australia, 3000

How to Read the Equity Board - (example only)

Board Y: MINERALS, METALS, MINING: Gold & Mining, Industrial Minerals, Exploration. Milling, Extraction

ID / Code	Co. Description	CNW or NTA	Issue  Ratio	Offer Val	Purpose	Historical  Range	Last Sale  ($)  T+10	Last Trade (vol)	Move	Flag
Y101VGS	Vic. Gold Strike	-	5:1	2.5M	Re-comm	-	-	-		D
Y102HTG	Tourist Gold Mine/Village	-	1:1	500K	M & A	0.00 - 0.90	1.00	100H		D
Y103MGC	Gold/Copper (Azerbaijan)	-	-	-	IPO	-	-	-		DL
Y104PEL	Platinum-Ruthenium	-	10:1	4.5M	Drilling Test	0.00	0.00	-	NA	DL
Y105RRR	Tantalum & Nickel	5M	10:1	2.5M	Pre Float IPO	0.00	0.10	-	-	OC
Y106KCI	Copper & Iron	10M	2:1	1.5M	Re comm	0.50 - 1.00	0.75	900K		R
Market Code & Ref.	Market name or Core Business description of Co.	Deemed Net Co. Worth	No. of shares for $1.00 in Co. offer	Value of offering	Capital funds utilisation or purpose of Offering	High - Low periodic value range of Co. negotiated trades	Last known value of negotiated trade by Co.	Last volume lots traded		Co. trade reports
click  to view Market Profile										click to open Reports

EXPLANATORY NOTES

NOTE: Entries and data should be checked for clarification with the Issuer, data subject to change without notice.

All listings and Offerings are fully negotiable and divided in Odd Lots or Even Lot Parcels and Prices vary on the day of negotiation with Issuer or Seller, there is no set market price.

Legend: see Library, "How to Value an SME" or use the following;

• Currency = AUD, other currencies usually translated into AUD unless stated [in USD = U, Euro = E, etc...].
• Core Business Value = Directors assessment upon stage 1 or 2 capitalisation or per Bulletin Board Company Net Worth Model.
• Purpose = R&D, Start Up, Early Expansion, Late Expansion, MBO, LBO, Re-Start, IPO, Scale Up, Marketing or other definition,
• Revenue = Gross current receipts (income),
• EBIT=EBITDA (raw current undiluted profit),
• Issuance =Total share capital currently and physically on issue, actual issue.
• For SMEs, you may need to add in Intangibles and pre-commercialisation infrastructure cost/time/values.

Core Business Value = Stage1 or 2 plus directors Asset valuation [core business + capital raised, or on  EBIT multiplication factor for mature companies].
Last Trade =Last sale/ issued at last known report date.
Entry Pricing =  negotiable up or down between the Seller-Buyer from Market entry price usually $1.00  denominated securities. (see Rules).
Negotiated Price = the actual sale price between Buyer and Seller often referred as Last Sale.
EBIT = Earnings Before Interest and Tax and Deductions and Adjustments, [raw profit]
Asset Backing = All assets divided into issued shares.
EPS = Earnings per share, Net Profit available for dividends divided into issued shares.

 

MARKET FLAGS & SYMBOLS
Company Offering & Trading Activity

GOLD	Yellow: Dormant Company, Offering closed, not currently raising capital.
RED	Red: Inactive Company no longer active in the Market, ( OC - Offer Closed, capitalised or restructured).
BLUE	Blue: Active Company (placements or committed) during last period (as Reported).
GREEN	Green: Two or more Offerings running. (ie; Debt and Equity) see Debt Market
GREY	Suspension, Trade Halt, Delisted. (Sup, Halt, DL)
A,F	Announcement or Updated Profile, Finalised.
+	Raised capital LOWER  than Offer Document.
++	Raised capital HIGHER than Offer Document.
#, NR	No material available or filed. No Report.
O R	Offer & Disclosure Document available, Current Report.
N,P,S	Negotiated, Placed, Swapped, Contra
OC	Offer Closed
H,K,M	T=Tens, H=Hundreds, K=Thousands,  M=Millions.

 

EQUITY SECURITIES SYMBOLS

Ord	Ordinary
Red	Redeemable, with or without entitlements
Fou	Founders, with or without restrictions or entitlements
Pref	Preference, CUMP-cumulative, NCP-non cumulative, REDP-redeemable, NRP-non red,PARP-participative,
Conv	Convertible to other securities
Bonus	Bonus issue or Premium rights attached
Split	Split of existing issued shares
Com	Common Stock, fractions of shares ie. USA Corps
MAN	Management of Executive shares
Gov	Governor shares
EMP	Employee shares
Spec	Special class
Div	Dividend, due date 00/00/00,
AGM	Annual general meeting
XGM	Extra-ordinary General meeting

 

DEBT SECURITIES SYMBOLS

BX	Bills of Exchange
PN	Promissory Notes
REC	Receipts
RPN	Repository Receipts, Depository Receipts, Non Listed ADRs. (ie 144A type)
UNS	Unsecured securities
Semi	Semi secured
Secd	Fully secured
NoR	Non Rated
Deb	Debenture
CBil	Commercial Bills
Swap	Swappable securities, roll over, convertible
Switch	Convertible to other securities
Anu	Annuity, instalments ie monthly, quarterly, bi-annual.
Endow	Endowment, whole lump sum payout.

 

ISSUER ACTIVITY SYMBOLS
SME Restricted Securities Trading

Plc	Placed, allotted or issued
ReS	ReSale, re-traded, secondary sale
New	New Issue, fresh issue, un-traded securities, unseasoned securities.
Lock	Lock up period, securities unseasoned cannot be traded prior to a fixed date.
BNK	Institutional Investor placement, Bank, VC, Finance Co.
WHL	(W) Wholesale Investor placement, Dealer, Broker, Company, Services.
SOF	Sophisticated Investor placement, non Consumer high net worth entity or company.
'02, '03	Series or year of securities under a particular Offering.
B/B	Buy Back
Recall	Recalled or Cancelled Offer & Disclosure Document
ACT	Action Notice issued
Close	Issue or Offering closed, timed out, quota exceeded.
EBIT	Raw undiluted Profit

 

Secur-O-Clear REGISTRY SYMBOLS
Tracking, Proofing, Settlement & Clearance of Securities

A,B,C	Series of Securities Issue
'02	Year of Issue
SET	Settled transaction, contracts exchanged
CLR	CLEARED transaction
PYD	Paid
DH	Dishonoured, Cancelled transaction.
DPP	Direct Placement Program
CentR	Central Repository or Depository
LocR	Local Repository or Domestic Custodian
new	New issue, not traded, fresh issue, includes Repository, Custodian or Underwriters securities.
$.c	Currency: AUD, A$, USD, US$, Euro, E$ etc.
LOCK	Lock up period, escrowed securities.
ent	type of Entitlement attached to securities
IB	Inbound Securities, Domestic Placements
OB	Outbound Securities, Foreign Placements
N	New shareholder, direct issue by company
NR	New shareholder via a Re-Sale trade
NF	New foreign shareholder via a re-Sale trade
E	Existing Shareholder
M	Management issued certificate
X	Sponsor or Underwriter, Custodian.

NOTE to Qualified Investment Buyers:
GoTo BuySell Reservation to HOLD a Parcel of  Securities during your due diligence period.

NOTE to Sellers and Shareholders:
GoTo BuySell Reservation to PLACE a Parcel of  Securities on the market at ReSales or HOLDERS Board

All other queries go to OTC Library.

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