EX-99.1

Number of ⁺securities for which ⁺quotation is sought

Not applicable

⁺Class of ⁺securities for which quotation is sought

Not applicable

EX-99.1 2 d202321dex991.htm EX-99.1 EX-99.1

Exhibit 99.1

Appendix 3B

New issue announcement

Rule 2.7, 3.10.3, 3.10.4, 3.10.5

Appendix 3B

New issue announcement,

application for quotation of additional securities

and agreement

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 01/07/96 Origin: Appendix 5 Amended 01/07/98, 01/09/99, 01/07/00, 30/09/01, 11/03/02, 01/01/03, 24/10/05, 01/08/12, 04/03/13

Name of entity

James Hardie Industries plc

ABN

097 829 895 Incorporated in Ireland. The liability of members is limited.

We (the entity) give ASX the following information.

Part 1 - All issues

You must complete the relevant sections (attach sheets if there is not enough space).

+Class of ⁺securities issued or to be issued

Two separate issuances:

Ordinary shares/CUFS issued on vesting of Restricted Stock Units (RSUs); and

Ordinary shares/CUFS issued on exercise of stock options.

Number of ⁺securities issued or to be issued (if known) or maximum number which may be issued

Total of 11,235 securities, broken down as follows:

RSUs vesting: 3,035 ordinary shares/CUFS; and

Stock options exercised: 8,200 ordinary shares/CUFS.

Principal terms of the ⁺securities (e.g. if options, exercise price and expiry date; if partly paid ⁺securities, the amount outstanding and due dates for payment; if ⁺convertible securities, the conversion price and dates for conversion)

RSUs vesting: 3,035 ordinary shares/CUFS issued on vesting of RSUs; and

Stock options exercised: 8,200 ordinary shares/CUFS issued on exercise of options, as follows:

• 8,200 at $8.40 with expiry date of 21 November 2016.


+ See chapter 19 for defined terms.

04/03/2013		Appendix 3B Page 1

Appendix 3B

New issue announcement

Do the ⁺securities rank equally in all respects from the ⁺issue date with an existing ⁺class of quoted ⁺securities?

RSUs vesting: Yes, ordinary shares/CUFS issued on vesting of RSUs rank equally with issued ordinary shares/CUFS; and

Stock options exercised: Yes, ordinary shares/CUFS issued on exercise of stock options rank equally with issued ordinary shares/CUFS.

If the additional ⁺securities do not rank equally, please state:

•

the date from which they do

•

the extent to which they participate for the next dividend, (in the case of a trust, distribution) or interest payment

•

the extent to which they do not rank equally, other than in relation to the next dividend, distribution or interest payment

Issue price or consideration

3,035 RSUs vesting: No amount payable.

8,200 stock options exercised: Allotment of ordinary shares/CUFS on exercise of options:

• 8,200 at $8.40.

Purpose of the issue

(If issued as consideration for the acquisition of assets, clearly identify those assets)

RSUs vesting: Vesting of RSUs pursuant to the James Hardie Industries 2001 Equity Incentive Plan (2001 Plan); and

Stock options exercised: Exercise of stock options issued pursuant to the James Hardie Industries 2001 Equity Incentive Plan (2001 Plan).

Is the entity an ⁺eligible entity that has obtained security holder approval under rule 7.1A?

RSUs vesting: No. Equity securities issued under the 2001 Plan are no longer the subject of security holder approval; and

Stock options exercised: No. Equity securities issued under the 2001 Plan are no longer the subject of security holder approval.

If Yes, complete sections 6b – 6h in relation to the ⁺securities the subject of this Appendix 3B, and comply with section 6i

The date the security holder resolution under rule 7.1A was passed

Not applicable

Number of ⁺securities issued without security holder approval under rule 7.1

11,235

Number of ⁺securities issued with security holder approval under rule 7.1A

Not applicable

Number of ⁺securities issued with security holder approval under rule 7.3, or another specific security holder approval (specify date of meeting)

Not applicable


+ See chapter 19 for defined terms.

Appendix 3B Page 2		04/03/2013

Appendix 3B

New issue announcement


6f	Number of ⁺securities issued under an exception in rule 7.2	Not applicable

6g	If ⁺securities issued under rule 7.1A, was issue price at least 75% of 15 day VWAP as calculated under rule 7.1A.3? Include the ⁺issue date and both values. Include the source of the VWAP calculation.	Not applicable

6h	If ⁺securities were issued under rule 7.1A for non-cash consideration, state date on which valuation of consideration was released to ASX Market Announcements	Not applicable

6i	Calculate the entity’s remaining issue capacity under rule 7.1 and rule 7.1A – complete Annexure 1 and release to ASX Market Announcements	66,511,341 (Annexure 1 attached)

7	⁺Issue dates Note: The issue date may be prescribed by ASX (refer to the definition of issue date in rule 19.12). For example, the issue date for a pro rata entitlement issue must comply with the applicable timetable in Appendix 7A. Cross reference: item 33 of Appendix 3B.	27 May 2016

		Number	⁺Class
8	Number and ⁺class of all ⁺securities quoted on ASX (including the ⁺securities in section 2 if applicable)	445,591,300	Ordinary shares/CUFS

		Number	⁺Class
9	Number and ⁺class of all ⁺securities not quoted on ASX (including the ⁺securities in section 2 if applicable)	95,827 674,812 3,264,481 23,963 2001 Plan RSUs have been cancelled. 83,163 2006 Plan RSUs have been cancelled. No Stock Options have been cancelled.	2001 Plan Options 2001 Plan RSUs 2006 Plan RSUs


+ See chapter 19 for defined terms.

04/03/2013		Appendix 3B Page 3

Appendix 3B

New issue announcement


10		Dividend policy (in the case of a trust, distribution policy) on the increased capital (interests)				Ordinary shares/CUFS issued on vesting of RSUs rank for dividends equally with issued ordinary shares/CUFS.

Part 2 - Pro rata issue


11	Is security holder approval required?	Not applicable

12	Is the issue renounceable or non-renounceable?	Not applicable

13	Ratio in which the ⁺securities will be offered	Not applicable

14	⁺Class of ⁺securities to which the offer relates	Not applicable

15	⁺Record date to determine entitlements	Not applicable

16	Will holdings on different registers (or subregisters) be aggregated for calculating entitlements?	Not applicable

17	Policy for deciding entitlements in relation to fractions	Not applicable

18	Names of countries in which the entity has security holders who will not be sent new offer documents Note: Security holders must be told how their entitlements are to be dealt with. Cross reference: rule 7.7.	Not applicable

19	Closing date for receipt of acceptances or renunciations	Not applicable

20	Names of any underwriters	Not applicable

21	Amount of any underwriting fee or commission	Not applicable


+ See chapter 19 for defined terms.

Appendix 3B Page 4		04/03/2013

Appendix 3B

New issue announcement


22	Names of any brokers to the issue	Not applicable

23	Fee or commission payable to the broker to the issue	Not applicable

24	Amount of any handling fee payable to brokers who lodge acceptances or renunciations on behalf of security holders	Not applicable

25	If the issue is contingent on security holders’ approval, the date of the meeting	Not applicable

26	Date entitlement and acceptance form and offer documents will be sent to persons entitled	Not applicable

27	If the entity has issued options, and the terms entitle option holders to participate on exercise, the date on which notices will be sent to option holders	Not applicable



28	Date rights trading will begin (if applicable)	Not applicable

29	Date rights trading will end (if applicable)	Not applicable

30	How do security holders sell their entitlements in full through a broker?	Not applicable

31	How do security holders sell part of their entitlements through a broker and accept for the balance?	Not applicable

32	How do security holders dispose of their entitlements (except by sale through a broker)?	Not applicable

33	⁺Issue date	Not applicable


+ See chapter 19 for defined terms.

04/03/2013		Appendix 3B Page 5

Appendix 3B

New issue announcement

Part 3 - Quotation of securities

You need only complete this section if you are applying for quotation of securities


34	Type of ⁺securities (tick one)

(a)	x	⁺Securities described in Part 1

(b)	¨	All other ⁺securities Example: restricted securities at the end of the escrowed period, partly paid securities that become fully paid, employee incentive share securities when restriction ends, securities issued on expiry or conversion of convertible securities

Entities that have ticked box 34(a)

Additional securities forming a new class of securities

Tick to indicate you are providing the information or documents


35	¨	If the ⁺securities are ⁺equity securities, the names of the 20 largest holders of the additional ⁺securities, and the number and percentage of additional ⁺securities held by those holders

36	¨	If the ⁺securities are ⁺equity securities, a distribution schedule of the additional ⁺securities setting out the number of holders in the categories 1 - 1,000 1,001 - 5,000 5,001 - 10,000 10,001 - 100,000 100,001 and over

37	¨	A copy of any trust deed for the additional ⁺securities

Entities that have ticked box 34(b)


+ See chapter 19 for defined terms.

Appendix 3B Page 6		04/03/2013

Appendix 3B

New issue announcement

Do the ⁺securities rank equally in all respects from the ⁺issue date with an existing ⁺class of quoted ⁺securities?

Not applicable

If the additional ⁺securities do not rank equally, please state:

•

the date from which they do

•

the extent to which they participate for the next dividend, (in the case of a trust, distribution) or interest payment

•

the extent to which they do not rank equally, other than in relation to the next dividend, distribution or interest payment

Reason for request for quotation now

Example: In the case of restricted securities, end of restriction period

(if issued upon conversion of another ⁺security, clearly identify that other ⁺security)

Not applicable

Number

⁺Class

Number and ⁺class of all ⁺securities quoted on ASX (including the ⁺securities in clause 38)

Not applicable


+ See chapter 19 for defined terms.

04/03/2013		Appendix 3B Page 7

Appendix 3B

New issue announcement

Quotation agreement

1	⁺Quotation of our additional ⁺securities is in ASX’s absolute discretion. ASX may quote the ⁺securities on any conditions it decides.

2	We warrant the following to ASX.

•

The issue of the ⁺securities to be quoted complies with the law and is not for an illegal purpose.

•

There is no reason why those ⁺securities should not be granted ⁺quotation.

•

An offer of the ⁺securities for sale within 12 months after their issue will not require disclosure under section 707(3) or section 1012C(6) of the Corporations Act.

Note: An entity may need to obtain appropriate warranties from subscribers for the securities in order to be able to give this warranty

•

Section 724 or section 1016E of the Corporations Act does not apply to any applications received by us in relation to any ⁺securities to be quoted and that no-one has any right to return any ⁺securities to be quoted under sections 737, 738 or 1016F of the Corporations Act at the time that we request that the ⁺securities be quoted.

•

If we are a trust, we warrant that no person has the right to return the ⁺securities to be quoted under section 1019B of the Corporations Act at the time that we request that the ⁺securities be quoted.

3	We will indemnify ASX to the fullest extent permitted by law in respect of any claim, action or expense arising from or connected with any breach of the warranties in this agreement.

We give ASX the information and documents required by this form. If any information or document is not available now, we will give it to ASX before ⁺quotation of the ⁺securities begins. We acknowledge that ASX is relying on the information and documents. We warrant that they are (will be) true and complete.

== == == == ==


+ See chapter 19 for defined terms.

Appendix 3B Page 8		04/03/2013

Appendix 3B

New issue announcement

Appendix 3B – Annexure 1

Calculation of placement capacity under rule 7.1 and rule 7.1A for eligible entities

Introduced 01/08/12 Amended 04/03/13

Part 1


	Rule 7.1 – Issues exceeding 15% of capital
*Step 1: Calculate “A”, the base figure from which the placement capacity is calculated*
*Insert* number of fully paid ⁺ordinary securities on issue 12 months before the ⁺issue date or date of agreement to issue		445,721,040
*Add* the following:
•	Number of fully paid ⁺ordinary securities issued in that 12 month period under an exception in rule 7.2	1,523,507
•	Number of fully paid ⁺ordinary securities issued in that 12 month period with shareholder approval	Not applicable
•	Number of partly paid ⁺ordinary securities that became fully paid in that 12 month period	Not applicable

Note:
•	Include only ordinary securities here – other classes of equity securities cannot be added
•	Include here (if applicable) the securities the subject of the Appendix 3B to which this form is annexed
•	It may be useful to set out issues of securities on different dates as separate line items
*Subtract* the number of fully paid ⁺ordinary securities cancelled during that 12 month period		(1,653,247)
“A”		445,591,300


+ See chapter 19 for defined terms.

04/03/2013		Appendix 3B Page 9

Appendix 3B

New issue announcement


*Step 2: Calculate 15% of “A”*
“B”		0.15 [Note: this value cannot be changed]
*Multiply* “A” by 0.15		66,838,695
*Step 3: Calculate “C”, the amount of placement capacity under rule 7.1 that has already been used*
*Insert* number of ⁺equity securities issued or agreed to be issued in that 12 month period not counting those issued:		327,354
•	Under an exception in rule 7.2
•	Under rule 7.1A
•	With security holder approval under rule 7.1 or rule 7.4

Note:
•	This applies to equity securities, unless specifically excluded – not just ordinary securities
•	Include here (if applicable) the securities the subject of the Appendix 3B to which this form is annexed
•	It may be useful to set out issues of securities on different dates as separate line items
“C”		327,354
*Step 4: Subtract “C” from [“A” x “B”] to calculate remaining placement capacity under rule 7.1*
“A” x 0.15 Note: number must be same as shown in Step 2		66,838,695
*Subtract* “C” Note: number must be same as shown in Step 3		(327,354)
*Total* [“A” x 0.15] – “C”		66,511,341 [Note: this is the remaining placement capacity under rule 7.1]


+ See chapter 19 for defined terms.

Appendix 3B Page 10		04/03/2013

Appendix 3B

New issue announcement

Part 2


Rule 7.1A – Additional placement capacity for eligible entities
Step 1: Calculate “A”, the base figure from which the placement capacity is calculated
“A” Note: number must be same as shown in Step 1 of Part 1		Not applicable
*Step 2: Calculate 10% of “A”*
“D”		0.10 Note: this value cannot be changed
*Multiply* “A” by 0.10		Not applicable
*Step 3: Calculate “E”, the amount of placement capacity under rule 7.1A that has already been used*
*Insert* number of ⁺equity securities issued or agreed to be issued in that 12 month period under rule 7.1A Notes:		Not applicable
•	This applies to equity securities – not just ordinary securities
•	Include here – if applicable – the securities the subject of the Appendix 3B to which this form is annexed
•	Do not include equity securities issued under rule 7.1 (they must be dealt with in Part 1), or for which specific security holder approval has been obtained
•	It may be useful to set out issues of securities on different dates as separate line items
“E”		Not applicable


+ See chapter 19 for defined terms.

04/03/2013		Appendix 3B Page 11

Appendix 3B

New issue announcement

Step 4: Subtract “E” from [“A” x “D”] to calculate remaining placement capacity under rule 7.1A

“A” x 0.10

Note: number must be same as shown in Step 2

Not applicable

Subtract “E”

Note: number must be same as shown in Step 3

Not applicable

Total [“A” x 0.10] – “E”

Not applicable

Note: this is the remaining placement capacity under rule 7.1A


+ See chapter 19 for defined terms.

Appendix 3B Page 12		04/03/2013