Anteris Technologies Global Corp (Anteris) has shares of common stock (Shares) listed on NASDAQ.
Anteris also has CHESS Depositary Interests (CDIs) listed on the Australian Securities Exchange.
The process of converting Anteris CDIs into Anteris Shares (and vice versa) can be completed, when a valid instruction is provided to Computershare’s Global Transaction team, within 24 hours (timezones permitting). The cross-border conversion process is detailed below. No CDI issuance or cancellation fee will be charged to an individual securityholder, although a cross-border transaction fee may be charged to the securityholder by any intermediaries (i.e. stockbroker or custodian) involved.
Cancellation of CDIs held in Australia and their conversion into Shares in the United States
(i) Issuer sponsored holders - by completing a CDI cancellation request form and returning it to Computershare’s Global Transaction team in Australia (GT AU). Note, issuer sponsored holder numbers are prefixed with an ‘I’ and are referred to as Securityholder Reference Numbers (SRN). It is important that the CDI holder completes the form in full and in accordance with the instructions on the form. If the Shares are to be delivered into a US brokerage account in Depository Trust Company (DTC), the US central securities depository, the holder’s Australian or US broker can assist them with providing this information.
The completed and signed CDI cancellation request form, and the certified copy of the holder’s identification document(s) if the Shares are being delivered to a US brokerage account within DTC, should be sent by post or email to GT AU:
Email: au.globaltransactions@computershare.com
Post: Computershare Limited – Global Transactions Team
PO Box 103 Abbotsford
Victoria 3067 Australia
OR
(ii) CHESS holders - by contacting their sponsoring Australian CHESS Participant (usually their broker) to request the conversion of CDIs into Shares held in the US. This is relevant to holders that hold their CDIs on the CHESS sponsored subregister. CHESS holder numbers are prefixed with an ‘X’ and are referred to as Holder Identification Numbers (HIN). The CHESS participant will need to convert the CDIs onto the issuer sponsored subregister before the cancellation can be processed by GT AU. Alternatively, if the CHESS participant uses Computershare’s online cross-border instruction portal, xSettle, the CHESS participant can complete an AU/US xSettle request and deliver the CDIs to Computershare Clearing PID 20127.
In both cases once the form or xSettle request is validated by GT AU, and matched to the CDIs, then GT AU will cancel the relevant number of CDIs and arrange with their US counterparts to deliver the corresponding Share entitlements from the CDI custody account held within DTC through the US share register either (i) directly to the holder on the register in the Direct Registration System (DRS) or (ii) to their nominated DTC participant in accordance with the request submitted.
If CDI holders have any questions about the CDI cancellation process, which would move their securities from Australia to the US, they can contact GT AU on 1300 850 505 (Australia toll free) or +61 3 9415 4000 (outside Australia).
- Conversion of Shares held in the United States into CDIs in Australia
If a shareholder wishes to convert their Shares into CDIs they can do so:
(i) For securities held in a brokerage or custody account within DTC, by requesting their broker/DTC Participant to deliver the relevant number of book-entry interests representing the Shares to Computershare Trust Company N.A. DTC Participant Account (#2415), via the DTC Settlement Web System, as a free Deliver Order (DO). At the same time, the DTC Participant completes and submits a US/AU xSettle instruction to Computershare’s Global Transaction team in the United States (GT US), with this matched to the delivery of the Shares.
(ii) If the Shares are held by the holder on the US share register in (i) certificated or (ii) book-entry form via DRS, by submitting a CDI issuance request form and accompanied by their share certificate(s) where applicable to GT US for the relevant number of Shares.
In both cases once the instruction is validated by GT US and matched to the share register or DTC delivery instruction, then GT US will work with their Australian counterparts to issue a corresponding number of CDIs in Australia on the following business day in accordance with the request submitted. For additional information, shareholders can contact GT US on +1 866 277 2086 or by email us.globaltransactions@computershare.com.